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Control 3.3: Compliance and Regulatory Reporting - PowerShell Setup

This playbook provides PowerShell automation scripts for Control 3.3.

Prerequisites

# Install required modules
Install-Module -Name Microsoft.Graph -Force -AllowClobber
Install-Module -Name ExchangeOnlineManagement -Force -AllowClobber
Install-Module -Name PnP.PowerShell -Force -AllowClobber

# Connect to services
Connect-MgGraph -Scopes "Reports.Read.All", "Compliance.Read.All"
Connect-ExchangeOnline
Connect-PnPOnline -Url "https://[tenant].sharepoint.com/sites/AI-Compliance-Reports" -Interactive

Helper Function: HTML Report Generator

# Helper function to generate HTML compliance reports
function New-ComplianceHtmlReport {
    param(
        [Parameter(Mandatory=$true)]
        [hashtable]$ControlStatus
    )

    $html = @"
<!DOCTYPE html>
<html>
<head>
    <title>FSI Agent Governance - Compliance Report</title>
    <style>
        body { font-family: 'Segoe UI', sans-serif; margin: 20px; }
        h1 { color: #0078d4; }
        .compliant { color: green; }
        .needs-attention { color: orange; }
        .non-compliant { color: red; }
        table { border-collapse: collapse; width: 100%; margin-top: 20px; }
        th, td { padding: 10px; text-align: left; border-bottom: 1px solid #ddd; }
        th { background: #0078d4; color: white; }
        .score { font-size: 24px; font-weight: bold; }
    </style>
</head>
<body>
    <h1>FSI Agent Governance Framework</h1>
    <h2>Compliance Status Report</h2>
    <p>Report Date: $($ControlStatus.ReportDate)</p>
    <p>Report Type: $($ControlStatus.ReportType)</p>
    <p class="score">Overall Score: $($ControlStatus.OverallComplianceScore)%</p>
</body>
</html>
"@
    return $html
}

Control Status Report Generation

function New-ControlStatusReport {
    param(
        [Parameter(Mandatory=$true)]
        [string]$OutputPath,
        [ValidateSet("Weekly", "Monthly", "Quarterly")]
        [string]$ReportType = "Weekly"
    )

    Write-Host "Generating $ReportType Control Status Report..." -ForegroundColor Cyan

    # Define control status structure
    $controlStatus = @{
        ReportDate = Get-Date -Format "yyyy-MM-dd"
        ReportType = $ReportType
        Pillars = @(
            @{
                Name = "Pillar 1: Security"
                Controls = @(
                    @{ Id = "1.1"; Name = "Restrict Agent Publishing"; Status = "Compliant"; LastReview = (Get-Date).AddDays(-7) },
                    @{ Id = "1.2"; Name = "Agent Registry Management"; Status = "Compliant"; LastReview = (Get-Date).AddDays(-14) },
                    @{ Id = "1.3"; Name = "SharePoint Content Governance"; Status = "Compliant"; LastReview = (Get-Date).AddDays(-10) }
                    # Add all Pillar 1 controls
                )
                ComplianceScore = 95
            },
            @{
                Name = "Pillar 2: Management"
                Controls = @(
                    @{ Id = "2.1"; Name = "Managed Environments"; Status = "Compliant"; LastReview = (Get-Date).AddDays(-5) },
                    @{ Id = "2.2"; Name = "Environment Groups"; Status = "Needs Attention"; LastReview = (Get-Date).AddDays(-30) }
                    # Add all Pillar 2 controls
                )
                ComplianceScore = 88
            },
            @{
                Name = "Pillar 3: Reporting"
                Controls = @(
                    @{ Id = "3.1"; Name = "Agent Inventory"; Status = "Compliant"; LastReview = (Get-Date).AddDays(-3) },
                    @{ Id = "3.2"; Name = "Usage Analytics"; Status = "Compliant"; LastReview = (Get-Date).AddDays(-7) }
                    # Add all Pillar 3 controls
                )
                ComplianceScore = 92
            },
            @{
                Name = "Pillar 4: SharePoint"
                Controls = @(
                    @{ Id = "4.1"; Name = "Agent Source Governance"; Status = "Compliant"; LastReview = (Get-Date).AddDays(-14) }
                    # Add all Pillar 4 controls
                )
                ComplianceScore = 97
            }
        )
    }

    # Calculate overall score
    $overallScore = ($controlStatus.Pillars | ForEach-Object { $_.ComplianceScore } |
        Measure-Object -Average).Average

    $controlStatus.OverallComplianceScore = [math]::Round($overallScore, 1)

    # Generate HTML report (uses helper function defined above)
    $htmlReport = New-ComplianceHtmlReport -ControlStatus $controlStatus

    $htmlReport | Out-File -FilePath $OutputPath -Encoding UTF8

    Write-Host "Report generated: $OutputPath" -ForegroundColor Green
    Write-Host "Overall Compliance Score: $($controlStatus.OverallComplianceScore)%" -ForegroundColor $(
        if ($controlStatus.OverallComplianceScore -ge 90) { "Green" }
        elseif ($controlStatus.OverallComplianceScore -ge 75) { "Yellow" }
        else { "Red" }
    )

    return $controlStatus
}

Regulatory Alignment Report

function New-RegulatoryAlignmentReport {
    param(
        [string]$Regulation = "All",
        [string]$OutputPath = ".\RegulatoryAlignmentReport.html"
    )

    Write-Host "Generating Regulatory Alignment Report..." -ForegroundColor Cyan

    $regulations = @{
        "FINRA_4511" = @{
            Name = "FINRA Rule 4511 - Books and Records"
            Requirements = @(
                @{ Requirement = "Retain business records for required period"; Control = "1.9, 2.13"; Status = "Compliant" },
                @{ Requirement = "Maintain records in accessible format"; Control = "2.13, 3.1"; Status = "Compliant" },
                @{ Requirement = "Preserve electronic communications"; Control = "1.7, 1.10"; Status = "Compliant" }
            )
        }
        "SEC_17a-4" = @{
            Name = "SEC Rule 17a-4 - Records Preservation"
            Requirements = @(
                @{ Requirement = "WORM storage for required records"; Control = "2.13"; Status = "Compliant" },
                @{ Requirement = "Index and retrieve records"; Control = "3.1"; Status = "Compliant" },
                @{ Requirement = "Third-party access letter"; Control = "2.13"; Status = "Compliant" }
            )
        }
        "SOX_404" = @{
            Name = "SOX Section 404 - Internal Controls"
            Requirements = @(
                @{ Requirement = "Document IT general controls"; Control = "2.8, 2.1"; Status = "Compliant" },
                @{ Requirement = "Access control and segregation of duties"; Control = "2.8"; Status = "Compliant" },
                @{ Requirement = "Change management controls"; Control = "2.3, 2.4"; Status = "Compliant" }
            )
        }
        "GLBA_501b" = @{
            Name = "GLBA Section 501(b) - Safeguards Rule"
            Requirements = @(
                @{ Requirement = "Protect NPI confidentiality"; Control = "1.5, 1.15"; Status = "Compliant" },
                @{ Requirement = "Monitor for unauthorized access"; Control = "3.2, 1.8"; Status = "Compliant" },
                @{ Requirement = "Third-party oversight"; Control = "2.7"; Status = "Compliant" }
            )
        }
    }

    # Calculate compliance by regulation
    $summary = $regulations.GetEnumerator() | ForEach-Object {
        $compliantCount = ($_.Value.Requirements | Where-Object { $_.Status -eq "Compliant" }).Count
        $totalCount = $_.Value.Requirements.Count

        [PSCustomObject]@{
            Regulation = $_.Value.Name
            Compliant = $compliantCount
            Total = $totalCount
            Percentage = [math]::Round(($compliantCount / $totalCount) * 100, 0)
        }
    }

    Write-Host "Regulatory Alignment Summary:" -ForegroundColor Green
    $summary | Format-Table -AutoSize

    return $summary
}

Examination Package Generator

function New-ExaminationPackage {
    param(
        [Parameter(Mandatory=$true)]
        [ValidateSet("FINRA", "SEC", "OCC", "State")]
        [string]$Regulator,
        [string]$OutputFolder = ".\ExamPackage"
    )

    Write-Host "Generating $Regulator Examination Ready Package..." -ForegroundColor Cyan

    # Create output folder
    New-Item -ItemType Directory -Path $OutputFolder -Force | Out-Null

    # Define package contents by regulator
    $packageContents = @{
        "FINRA" = @{
            "01-AI-Governance-Framework-Overview.pdf" = "Framework documentation"
            "02-Agent-Inventory-Full-List.xlsx" = "Complete agent inventory"
            "03-Supervisory-Procedures-WSP.pdf" = "Written Supervisory Procedures"
            "04-Control-Status-Summary.pdf" = "Current control compliance status"
            "05-Usage-Analytics-90-Days.xlsx" = "Agent usage data"
            "06-Incident-Log.xlsx" = "Incident tracking log"
            "07-Training-Completion-Records.xlsx" = "Staff training records"
            "08-Policy-Documents/" = "All AI governance policies"
        }
        "SEC" = @{
            "01-Records-Retention-Policy.pdf" = "17a-4 compliant retention policy"
            "02-Agent-Interaction-Logs.xlsx" = "Customer interaction records"
            "03-WORM-Storage-Certification.pdf" = "Storage compliance certification"
            "04-Access-Control-Documentation.pdf" = "Access management evidence"
            "05-Audit-Trail-Export.xlsx" = "Unified audit log export"
        }
        "OCC" = @{
            "01-Third-Party-Risk-Assessment.pdf" = "Vendor risk documentation"
            "02-Technology-Risk-Controls.pdf" = "IT control documentation"
            "03-Business-Continuity-Plans.pdf" = "BCP documentation"
            "04-Change-Management-Evidence.xlsx" = "Change control records"
            "05-Security-Assessment-Results.pdf" = "Security testing evidence"
        }
    }

    Write-Host "Package Contents for $Regulator Examination:" -ForegroundColor Yellow
    $packageContents[$Regulator].GetEnumerator() | ForEach-Object {
        Write-Host "  - $($_.Key): $($_.Value)" -ForegroundColor Gray
    }

    # Create manifest
    $manifest = @{
        Regulator = $Regulator
        GeneratedDate = Get-Date -Format "yyyy-MM-dd HH:mm:ss"
        GeneratedBy = (Get-MgContext).Account
        Contents = $packageContents[$Regulator]
        Instructions = "Upload all documents to secure examination portal within 48 hours of request"
    }

    $manifest | ConvertTo-Json -Depth 3 | Out-File "$OutputFolder\MANIFEST.json"

    Write-Host "Package manifest created at: $OutputFolder\MANIFEST.json" -ForegroundColor Green

    return $manifest
}

Archive Report to SharePoint

function Save-ComplianceReportToSharePoint {
    param(
        [Parameter(Mandatory=$true)]
        [string]$ReportPath,
        [Parameter(Mandatory=$true)]
        [string]$LibraryPath
    )

    Write-Host "Archiving report to SharePoint..." -ForegroundColor Cyan

    $fileName = Split-Path $ReportPath -Leaf

    try {
        Add-PnPFile -Path $ReportPath -Folder $LibraryPath

        Write-Host "Report archived: $LibraryPath/$fileName" -ForegroundColor Green

        return $true
    }
    catch {
        Write-Error "Failed to archive report: $_"
        return $false
    }
}

Usage Examples

# Generate control status report
New-ControlStatusReport -OutputPath ".\WeeklyComplianceReport.html" -ReportType "Weekly"

# Generate regulatory alignment report
New-RegulatoryAlignmentReport -Regulation "All"

# Generate examination package
New-ExaminationPackage -Regulator "FINRA" -OutputFolder ".\FINRA_Exam_Package"

Next Steps

Updated: January 2026 | Version: v1.2