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Quick Start Guide

Get up and running with the FSI Agent Governance Framework in 30 minutes.

Getting Started: 3-Phase Approach

The framework recommends a structured 3-phase adoption approach:

Phase I: Form a Governance Team (Week 1-2)

Activity Owner Output
Identify stakeholders Executive Sponsor Stakeholder list
Assign roles per RACI AI Governance Lead Role assignments
Establish communication channels Project Lead Teams channel/meetings
Create initial policies Compliance Officer Draft governance policy

Phase II: Train Employees (Week 2-4)

Training Audience Duration
Zone overview and classification All makers 1 hour
PPAC administration Platform admins 2 hours
Compliance monitoring Compliance team 2 hours
Security controls Security team 2 hours

Phase III: Deploy and Engage (Week 4+)

Activity Priority Control Reference
Enable environment routing Critical 2.15
Configure environment groups Critical 2.2
Deploy security controls High Pillar 1 controls
Set up monitoring High 3.7, 3.8
Iterate based on feedback Ongoing All controls

For New Users (10 minutes)

Quick Assessment

Want a faster way to evaluate your readiness? Try the Governance Readiness Assessment — an interactive tool that walks you through all 71 controls and generates a personalized remediation roadmap.

Step 1: Understand the Framework Structure (3 min)

The framework has 4 pillars and 3 zones:

4 Pillars (types of governance):

  1. Security (28 controls) - Protect data
  2. Management (24 controls) - Govern lifecycle
  3. Reporting (12 controls) - Monitor activities
  4. SharePoint (7 controls) - Govern SharePoint

3 Zones (risk levels):

  1. Zone 1 - Personal development (low risk)
  2. Zone 2 - Team collaboration (medium risk)
  3. Zone 3 - Enterprise production (high risk)

Step 2: Classify Your Agents (5 min)

Ask these questions:

Q: Who uses this agent? - Just me? → Zone 1 - My team/department? → Zone 2 - Organization-wide or customers? → Zone 3

Q: What data does it access? - Only my personal data? → Zone 1 - Departmental data? → Zone 2 - Regulated/customer data? → Zone 3

Result: You've classified your agent to a zone.

Step 3: Find Applicable Regulations (2 min)

Check which regulations apply to your organization:

  • FINRA? (broker-dealers)
  • SEC? (investment advisers, public companies)
  • SOX? (public companies)
  • GLBA? (all financial institutions)
  • OCC? (national banks)
  • Federal Reserve? (bank holding companies, state member banks)
  • FDIC? (state non-member banks, savings associations)
  • NCUA? (credit unions)
  • State insurance regulator? (insurers)
  • NYDFS Part 500? (NY-licensed institutions)

Result: You've identified your primary US regulators. Consult your Compliance Officer to confirm.

For Implementation (20 minutes)

Quick Implementation Checklist

Week 1: Assessment

  • Classify all existing agents to zones
  • Create agent inventory
  • Identify primary regulations
  • Assign governance roles

Week 2: Security Baseline

  • Enable MFA for all agent creators
  • Implement basic DLP policy
  • Configure audit logging (1-year)
  • Document security procedures

Week 3: Governance

  • Establish approval workflow for Zone 2+
  • Create agent registry
  • Document change control process
  • Assign Compliance Officer oversight

Week 4: Monitoring

  • Set up compliance dashboard
  • Configure incident alerts
  • Schedule quarterly reviews
  • Document governance procedures

Week 5+: Continuous

  • Monthly compliance reviews
  • Quarterly control assessments
  • Annual regulatory updates
  • Continuous improvement

Common Scenarios

Scenario 1: Single Zone 1 Agent (Personal)

Time Required: 1 day

Steps:

  1. Create agent in personal environment
  2. Document agent purpose
  3. Keep basic audit logs (30 days)
  4. No approval needed

Controls Required:

  • Basic documentation
  • Minimal governance

Compliance: Minimal — regulatory obligations may still apply depending on organizational policies and the nature of interactions. See Zones and Tiers for details.

Scenario 2: Zone 2 Team Agent (Department)

Time Required: 1 week

Steps:

  1. Get manager approval
  2. Classify agent to Zone 2
  3. Identify data sources
  4. Configure DLP and audit
  5. Document approval
  6. Train team members

Controls Required (minimum):

  • 1.2 Agent Registry
  • 1.5 DLP and Labels
  • 1.7 Audit Logging (1 year)
  • 1.11 Conditional Access
  • 2.3 Change Management
  • 2.12 Supervision

Compliance: FINRA 3110 supervision

Scenario 3: Zone 3 Production Agent (Customer-Facing)

Time Required: 3-6 weeks

Steps:

  1. Establish governance committee
  2. Risk assessment and business case
  3. Security testing
  4. Bias testing (if applicable)
  5. Model risk assessment
  6. Legal and compliance review
  7. Change control process
  8. Incident response procedures
  9. Governance committee approval
  10. Production deployment

Controls Required (comprehensive):

  • All 71 controls apply
  • Enhanced versions per regulation

Compliance:

  • FINRA comprehensive
  • SEC Rule 17a-3/4
  • SOX 302/404
  • GLBA 501(b)
  • OCC/SR 11-7 (if applicable)

Where to Find Things

Question Answer
"How do I get started?" You're reading it!
"What are the zones?" Zones Guide
"Which regulations apply?" Regulatory Framework
"What's the full framework?" Overview
"Who does what?" Operating Model
"How do I implement?" Implementation Checklist
"What does this term mean?" Glossary
"Common questions?" FAQ
"Tell me about control 1.5" 1.5 Data Loss Prevention
"I need a policy" Control Index - browse controls for policy guidance

Key Terms (Quick Version)

  • Zone: Risk level (1=low, 2=medium, 3=high)
  • Control: Governance requirement (71 total)
  • Pillar: Control category (Security, Management, Reporting, SharePoint)
  • DLP: Data Loss Prevention (prevent unauthorized data sharing)
  • MFA: Multi-Factor Authentication (login security)
  • Audit: Activity logging and monitoring
  • Model Risk: Risk of AI/algorithm failures
  • Bias Testing: Check for unfair treatment across demographics

Next Steps

  1. Read Zones Guide (understand zones)
  2. Review Regulatory Framework (find your regulations)
  3. Check Implementation Checklist (get step-by-step tasks)
  4. Reference individual controls (implement details)
  5. Document evidence (compliance proof)

Still Questions?

  • Check FAQ for common questions
  • Review Glossary for terms
  • Contact your Compliance Officer for regulatory questions
  • Ask your Power Platform Admin for technical setup

FSI Agent Governance Framework v1.2.51 - February 2026