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AI Agent Governance for Financial Services

Govern Microsoft 365 AI agents with confidence — from policy to production. 78 controls across 4 pillars and 3 governance zones, 36 companion solutions, implementation playbooks, and regulatory mappings for Microsoft Copilot Studio, Agent Builder, and custom agent deployments.

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78 Controls
4 Governance Pillars
6 Regulatory Frameworks
3 Governance Zones

FINRA · SEC · SOX · GLBA · OCC Bulletin 2026-13 / Fed SR 26-2 · CFTC Rule 1.31

Quick Start by Role

  • Compliance Officer

    Map controls to FINRA, SEC, SOX, and GLBA requirements. Build examination-ready evidence packs.

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  • Power Platform Admin

    Deploy controls, run playbooks, and configure governance across your M365 tenant.

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  • IT Security / InfoSec

    Implement DLP, audit logging, encryption, MFA, and 29 security controls across your tenant.

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  • Examination Readiness

    Prepare for FINRA/SEC examinations with evidence standards and audit checklists.

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  • Business Owner

    Understand zone requirements and the agent approval lifecycle for your team.

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Framework Architecture

Governance Zones
Zone 1: Personal Low Risk · Self-Service
Zone 2: Team Medium Risk · Manager Approval
Zone 3: Enterprise High Risk · Committee Approval
▼
78 Controls across 4 Pillars
Security 29 Controls
Management 26 Controls
Reporting 14 Controls
SharePoint 9 Controls
▼
Regulatory Coverage
FINRA 4511/3110
SEC 17a-3/4
SOX 302/404
GLBA 501(b)
OCC / Fed 2026-13 / SR 26-2
CFTC Rule 1.31

Disclaimer

This framework is provided for informational purposes only and does not constitute legal, regulatory, or compliance advice. Organizations should consult with their legal counsel and compliance teams. See Disclaimer for full details.

FSI Agent Governance Framework v1.6.2 - May 2026