Control Catalog
Complete catalog of 79 governance controls for Microsoft 365 AI agents.
🔍 Control Explorer
The Control Explorer is the fastest way to find the controls you need — filter by pillar, zone, regulation, role, and automation feasibility.
Quick filters (click to open Explorer pre-filtered):
| Filter | Link |
|---|---|
| SharePoint controls only | Explorer → SharePoint |
| Zone 3 (Enterprise Managed) | Explorer → Zone 3 |
| FINRA-regulated controls | Explorer → FINRA |
| Automatable controls | Explorer → Automatable |
| Purview workload | Explorer → Purview |
Overview
The Control Catalog provides detailed requirements for each governance control. Controls are organized by pillar and include:
- Control objective — What the control achieves
- Regulatory relevance — Which regulations the control supports
- Zone requirements — How the control applies by zone
- Implementation links — References to playbooks for step-by-step procedures
Quick Navigation by Role
I'm a Compliance Officer...
- Start with Pillar 2: Management Controls for supervision and oversight
- Review Regulatory Framework for mappings
- Focus on: Controls 2.6, 2.11, 2.12, 2.13, 3.3
I'm a Power Platform Admin...
- Start with Pillar 1: Security Controls for DLP and access
- Review Pillar 2: Management Controls for environments
- Focus on: Controls 1.1, 1.5, 2.1, 2.3, 2.15
I'm a SharePoint Admin...
- Start with Pillar 4: SharePoint Controls
- Focus on: Controls 4.1-4.9
I'm preparing for an examination...
- Review Evidence Standards
- Check applicable controls in Regulatory Framework
Control Summary by Pillar
Pillar 1: Security Controls (29)
Protect data and systems from unauthorized access and misuse.
| ID | Control Name | Zone | Regulatory |
|---|---|---|---|
| 1.1 | Restrict Agent Publishing | All | FINRA 3110, FINRA 4511, Fed SR 26-2 +5 more |
| 1.2 | Agent Registry | 2-3 | FINRA 4511, Fed SR 26-2, GLBA +5 more |
| 1.3 | SharePoint Content Governance | 2-3 | FINRA 3110, FINRA 4511, GLBA +3 more |
| 1.4 | Advanced Connector Policies | 2-3 | FINRA 3110, FINRA 4511, Fed SR 26-2 +5 more |
| 1.5 | DLP and Sensitivity Labels | All | FINRA 3110, FINRA 4511, GLBA +6 more |
| 1.6 | DSPM for AI | 3 | FINRA 3110, GLBA, Reg S-P +1 more |
| 1.7 | Comprehensive Audit Logging | All | CFTC 1.31, FINRA 3110, FINRA 4511 +5 more |
| 1.8 | Runtime Protection | 3 | FINRA 3110, GLBA |
| 1.9 | Data Retention | 2-3 | CFTC 1.31, FINRA 4511, GLBA +3 more |
| 1.10 | Communication Compliance | 3 | FINRA 3110, FINRA 4511, FINRA 4530 +4 more |
| 1.11 | Conditional Access and MFA | 2-3 | FINRA 4511, Fed SR 26-2, GLBA +6 more |
| 1.12 | Insider Risk Detection | 3 | FINRA 3110, FINRA 4511, Fed SR 26-2 +7 more |
| 1.13 | Sensitive Information Types | 2-3 | CFTC 1.31, FINRA 4511, Fed SR 26-2 +7 more |
| 1.14 | Data Minimization | 2-3 | FINRA 3110, FINRA 4511, GLBA +1 more |
| 1.15 | Encryption | All | FINRA 4511, GLBA, NYDFS 500 +4 more |
| 1.16 | Information Rights Management | 2-3 | FINRA 4511, GLBA, Reg S-P +1 more |
| 1.17 | Endpoint DLP | 3 | FINRA 3110, FINRA 4511, GLBA +5 more |
| 1.18 | Application-Level RBAC | 2-3 | FINRA 3110, FINRA 4511, GLBA +3 more |
| 1.19 | eDiscovery | 2-3 | FINRA 4511, GLBA, SEC 17a-4 +1 more |
| 1.20 | Network Isolation | 3 | FINRA 3110, Fed SR 26-2, GLBA +3 more |
| 1.21 | Adversarial Input Logging | 3 | FINRA 3110, FINRA 4511, Fed SR 26-2 +4 more |
| 1.22 | Information Barriers | 3 | Fed SR 26-2, OCC 2026-13, Reg S-P |
| 1.23 | Step-Up Authentication | 3 | FINRA 4511, FINRA 4530, GLBA +2 more |
| 1.24 | Defender AI-SPM | All | Fed SR 26-2, GLBA, NIST AI RMF +2 more |
| 1.25 | MIME Type Restrictions | All | FINRA 3110, FINRA 4511, GLBA +2 more |
| 1.26 | File Upload Restrictions | All | CFTC 1.31, FINRA 3110, FINRA 4511 +5 more |
| 1.27 | Content Moderation | All | FINRA 3110, Fed SR 26-2, GLBA +5 more |
| 1.28 | Policy-Based Publishing | All | FINRA 3110, Fed SR 26-2, OCC 2026-13 +1 more |
| 1.29 | Global Secure Access Network Controls | 2-3 | FINRA 4511, GLBA, OCC 2026-13 +1 more |
Pillar 2: Management Controls (27)
Govern agent lifecycle, risk, and operational processes.
| ID | Control Name | Zone | Regulatory |
|---|---|---|---|
| 2.1 | Managed Environments | 2-3 | FINRA 3110, FINRA 4511, Fed SR 26-2 +6 more |
| 2.2 | Environment Groups | 2-3 | FINRA 3110, FINRA 4511, Fed SR 26-2 +4 more |
| 2.3 | Change Management | 2-3 | FINRA 4511, Fed SR 26-2, GLBA +4 more |
| 2.4 | Business Continuity | 3 | FINRA 4511, GLBA, OCC 2026-13 +3 more |
| 2.5 | Testing and Validation | 2-3 | FINRA 3110, FINRA 4511, Fed SR 26-2 +5 more |
| 2.6 | Model Risk Management | 3 | FINRA 3110, FINRA 4511, Fed SR 26-2 +6 more |
| 2.7 | Vendor Risk Management | 2-3 | FINRA 3110, FINRA 4511, Fed SR 26-2 +4 more |
| 2.8 | Segregation of Duties | 2-3 | FINRA 3110, FINRA 4511, GLBA +2 more |
| 2.9 | Performance Monitoring | 2-3 | FINRA 4511, Fed SR 26-2, GLBA +4 more |
| 2.10 | Patch Management | 2-3 | FINRA 4511, GLBA, SEC 17a-4 +1 more |
| 2.11 | Bias Testing | 3 | FINRA 3110, Fed SR 26-2, NIST AI RMF +1 more |
| 2.12 | Supervision and Oversight | 2-3 | FINRA 3110, FINRA 4511, NYDFS 500 +3 more |
| 2.13 | Documentation | 2-3 | CFTC 1.31, FINRA 3110, FINRA 4511 +6 more |
| 2.14 | Training Program | All | FINRA 3110, GLBA, OCC 2026-13 +1 more |
| 2.15 | Environment Routing | All | FINRA 3110, GLBA, OCC 2026-13 +1 more |
| 2.16 | RAG Source Integrity | 2-3 | FINRA 4511, Fed SR 26-2, OCC 2026-13 |
| 2.17 | Multi-Agent Orchestration | 3 | Fed SR 26-2, OCC 2026-13, SOX |
| 2.18 | Conflict of Interest Testing | 3 | FINRA 3110 |
| 2.19 | AI Disclosure | 3 | FINRA 4511, GLBA, SEC 17a-4 |
| 2.20 | Adversarial Testing | 3 | FINRA 3110, Fed SR 26-2, NIST AI RMF +1 more |
| 2.21 | AI Marketing Claims | 3 | FINRA 2210, FINRA RN 24-09, FTC Act §5 +2 more |
| 2.22 | Inactivity Timeout Enforcement | 2-3 | FINRA 4511, GLBA, SEC 17a-4 +1 more |
| 2.23 | User Consent and AI Disclosure | All | FINRA 3110, GLBA, SEC 17a-4 +1 more |
| 2.24 | Feature Enablement Governance | All | FINRA 3110, FINRA 4511, Fed SR 26-2 +3 more |
| 2.25 | Agent 365 Governance Console | 2-3 | FINRA 3110, FINRA 4511, GLBA +5 more |
| 2.26 | Entra Agent ID Identity Governance | 2-3 | FINRA 3110, GLBA, OCC 2026-13 +1 more |
| 2.27 | Consumption Entitlement Governance | 2-3 | FINRA 4511, GLBA, OCC 2026-13 +2 more |
Pillar 3: Reporting Controls (14)
Monitor, track, and report on agent activities and compliance.
| ID | Control Name | Zone | Regulatory |
|---|---|---|---|
| 3.1 | Agent Inventory | All | FINRA 4511, Fed SR 26-2, GLBA +5 more |
| 3.2 | Usage Analytics | 2-3 | FINRA 4511, GLBA, SEC 17a-3 +2 more |
| 3.3 | Compliance Reporting | 2-3 | FINRA 4511, GLBA, OCC 2026-13 +4 more |
| 3.4 | Incident Reporting | 2-3 | FINRA 4511, FINRA 4530, GLBA +6 more |
| 3.5 | Cost Allocation | 2-3 | FINRA 4511, GLBA, OCC 2026-13 +2 more |
| 3.6 | Orphaned Agent Detection | 2-3 | FINRA 3110, FINRA 4511, GLBA +5 more |
| 3.7 | PPAC Security Posture | 2-3 | FINRA 3110, GLBA, OCC 2026-13 +1 more |
| 3.8 | Copilot Hub | 2-3 | FINRA 4511, GLBA, SEC 17a-3 +2 more |
| 3.9 | Sentinel Integration | 3 | FINRA 4511, Fed SR 26-2, NYDFS 500 +4 more |
| 3.10 | Hallucination Feedback | 2-3 | FINRA 3110, FINRA 4511, SEC 17a-4 +1 more |
| 3.11 | Centralized Inventory Enforcement | All | FINRA 4511, Fed SR 26-2, OCC 2026-13 +2 more |
| 3.12 | Exception and Override Management | All | FINRA 3110, Fed SR 26-2, OCC 2026-13 +1 more |
| 3.13 | Agent 365 Analytics and Reporting | All | FINRA 3110, FINRA 4511, SEC 17a-3 +2 more |
| 3.14 | Agent 365 Observability SDK | 2-3 | FINRA 4511, OCC 2026-13, SEC 17a-3 +2 more |
Pillar 4: SharePoint Controls (9)
SharePoint-specific governance for agent knowledge sources.
Note: Pillar 4 specializes the governance requirements from Pillars 1-3 for SharePoint as an agent knowledge source. Controls address SharePoint-specific implementation of data protection, access governance, and content management.
| ID | Control Name | Zone | Regulatory |
|---|---|---|---|
| 4.1 | SharePoint IAG | 2-3 | FINRA 4511, GLBA, Reg S-P +2 more |
| 4.2 | Site Access Reviews | 2-3 | FINRA 4511, GLBA, NYDFS 500 +2 more |
| 4.3 | Retention Management | 2-3 | FINRA 4511, GLBA, SEC 17a-3 +2 more |
| 4.4 | External User Controls | 2-3 | FINRA 4511, GLBA, Reg S-P +1 more |
| 4.5 | Security Monitoring | 2-3 | FINRA 4511, GLBA, SEC 17a-3 +2 more |
| 4.6 | Grounding Scope | 2-3 | FINRA 4511, GLBA, OCC 2026-13 +3 more |
| 4.7 | M365 Copilot Data Governance | 2-3 | FINRA 3110, FINRA 4511, Fed SR 26-2 +7 more |
| 4.8 | Item-Level Permission Scanning | 2-3 | Fed SR 26-2, GLBA, NIST AI RMF +1 more |
| 4.9 | Embedded File Content Governance | 2-3 | FINRA 4511, GLBA, SEC 17a-3 +2 more |
Control Implementation Status
Use this table to track implementation progress:
| Status | Meaning |
|---|---|
| Not Started | Control not yet implemented |
| In Progress | Implementation underway |
| Implemented | Control configured and operational |
| Verified | Control tested and verified effective |
Related Sections
- Framework — Governance principles and structure
- Playbooks — Step-by-step implementation procedures
- Reference — Supporting materials
FSI Agent Governance Framework v1.6.2 - May 2026