Control 3.3: Compliance and Regulatory Reporting

Overview

Control ID: 3.3 Control Name: Compliance and Regulatory Reporting Regulatory Reference: FINRA 4511, SEC 17a-3/4, SOX 302/404, GLBA 501(b), OCC 2011-12 Setup Time: 3-5 hours

Purpose

Compliance and Regulatory Reporting establishes a comprehensive framework for generating, distributing, and archiving compliance reports that demonstrate AI agent governance adherence to financial services regulations. This control ensures that organizations can provide evidence of regulatory compliance during examinations, audits, and internal reviews while maintaining continuous visibility into control effectiveness across all governance pillars.

Prerequisites

Primary Owner Admin Role: Compliance Officer Supporting Roles: Power Platform Admin, SharePoint Site Owner

Licensing Requirements

Component	License Required
Microsoft Purview Compliance Portal	Microsoft 365 E5 Compliance
Power BI for Compliance Dashboards	Power BI Pro or Premium
SharePoint for Report Archiving	Microsoft 365 E3/E5
Microsoft Sentinel (optional)	Azure subscription
Compliance Manager	Microsoft 365 E5 Compliance

Permissions Required

Task	Role/Permission
View Compliance Reports	Compliance Reader
Generate Compliance Reports	Compliance Administrator
Configure Compliance Manager	Compliance Manager Administrator
Access Audit Logs	Audit Log Reader
Distribute Reports	SharePoint Site Owner
Sign-off on Reports	Designated Approver (Business Role)

Dependencies

[x] Control 3.1: Agent Inventory and Metadata Management
[x] Control 3.2: Usage Analytics and Activity Monitoring
[x] Control 1.7: Comprehensive Audit Logging
[x] All Pillar 1, 2, and 4 controls (as evidence sources)

Pre-Setup Checklist

[ ] Compliance Manager configured for organization
[ ] Report distribution lists established
[ ] SharePoint document library created for report archiving
[ ] Executive sign-off workflow defined
[ ] Regulatory examination calendar documented

Governance Levels

Baseline (Level 1)

Generate compliance reports showing control status, audit logs, and policy adherence.

Recommended (Level 2-3)

Monthly compliance reports; dashboards showing control maturity by pillar.

Regulated/High-Risk (Level 4)

Quarterly regulatory reports; evidence of compliance with all applicable regulations.

Setup & Configuration

Step 1: Configure Microsoft Compliance Manager

Portal Path: Microsoft Purview → Compliance Manager → Assessments

Navigate to Microsoft Purview Compliance Portal
Select Compliance Manager in the left navigation
Click Assessments → + Add assessment
Create assessments for applicable regulations:

Assessment	Template	Scope
FINRA Agent Governance	Custom template	AI Agents
SEC 17a-4 Records	SEC 17a-4 template	Agent Interactions
SOX 404 IT Controls	SOX 404 template	Agent Infrastructure
GLBA Safeguards	GLBA 501(b) template	Customer Data Agents

Map FSI-AgentGov controls to assessment actions

Step 2: Create Compliance Reporting Template Library

Report Types Required:

Report Type	Frequency	Audience	Retention
Control Status Summary	Weekly	IT/Compliance	3 years
Regulatory Alignment Report	Monthly	Compliance/Audit	7 years
Executive Compliance Dashboard	Monthly	C-Suite	3 years
Examination Ready Package	On-demand	Regulators	7 years
Audit Evidence Bundle	Quarterly	Internal/External Audit	7 years
Incident Compliance Summary	As needed	Compliance/Legal	7 years

Step 3: Set Up SharePoint Report Archive

Portal Path: SharePoint Admin Center → Sites → Create Site

Create dedicated SharePoint site: AI-Compliance-Reports
Configure document libraries:

AI-Compliance-Reports/
├── Weekly Reports/
│   ├── Control Status/
│   └── Metrics Summary/
├── Monthly Reports/
│   ├── Regulatory Alignment/
│   ├── Executive Dashboard/
│   └── Trend Analysis/
├── Quarterly Reports/
│   ├── Audit Evidence/
│   ├── Risk Assessment/
│   └── Control Effectiveness/
├── Examination Packages/
│   ├── FINRA/
│   ├── SEC/
│   ├── OCC/
│   └── State Regulators/
└── Archive/
    └── [Year]/

Apply retention labels:
Regulatory-7Year for examination packages
Compliance-3Year for operational reports

Step 4: Configure Automated Report Generation

Portal Path: Power Automate → Create → Scheduled cloud flow

Create automated flows for each report type:

Flow Name	Trigger	Actions
Weekly Control Status	Every Monday 6 AM	Query Compliance Manager → Generate PDF → Email → Archive
Monthly Regulatory Report	1st of month	Aggregate data → Generate report → Route for approval → Archive
Quarterly Audit Package	Quarterly	Compile evidence → Generate package → Executive sign-off → Archive

Step 5: Build Compliance Dashboard in Power BI

Dashboard Components:

Section	Metrics	Data Source
Overall Compliance Score	% controls compliant	Compliance Manager
Control Status by Pillar	Red/Yellow/Green by pillar	Control tracking
Regulatory Coverage	% regulations addressed	Assessment mapping
Trend Analysis	Score over time	Historical data
Action Items	Open remediation items	Compliance Manager
Upcoming Reviews	Scheduled control reviews	Calendar integration

Step 6: Establish Report Distribution and Approval

Distribution Matrix:

Report	Primary Recipients	CC Recipients	Approval Required
Weekly Status	Compliance Team, IT Ops	-	No
Monthly Regulatory	CCO, CIO, CISO	Business Heads	Yes - CCO
Quarterly Audit	CAO, External Auditors	CCO, CEO	Yes - CAO, CCO
Examination Package	Exam Coordinator	CCO, Legal	Yes - CCO, Legal

Step 7: Configure Regulatory Calendar Integration

Track examination schedules and filing deadlines:

Regulator	Typical Schedule	Report Requirements
FINRA	Annual cycle exam	Books and records, supervision evidence
SEC	Periodic exams	17a-4 compliance, trading records
OCC	12-18 month cycle	IT risk management, third-party controls
State Regulators	Annual	State-specific requirements
SOX Auditors	Annual	IT general controls, access management

PowerShell Configuration

# ============================================================
# Control 3.3: Compliance and Regulatory Reporting
# PowerShell Configuration Script for FSI Organizations
# ============================================================

# 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

# ============================================================
# SECTION 1: 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 18 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 14 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 6 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 5 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
    $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
}

function New-ComplianceHtmlReport {
    param($ControlStatus)

    $statusColor = @{
        "Compliant" = "#28A745"
        "Needs Attention" = "#FFC107"
        "Non-Compliant" = "#DC3545"
    }

    $html = @"
<!DOCTYPE html>
<html>
<head>
    <title>AI Agent Governance - Compliance Status Report</title>
    <style>
        body { font-family: 'Segoe UI', Arial, sans-serif; margin: 40px; background: #f8f9fa; }
        .container { max-width: 1200px; margin: 0 auto; background: white; padding: 30px; border-radius: 8px; box-shadow: 0 2px 4px rgba(0,0,0,0.1); }
        h1 { color: #0078D4; border-bottom: 3px solid #0078D4; padding-bottom: 15px; }
        h2 { color: #333; margin-top: 30px; border-left: 4px solid #0078D4; padding-left: 15px; }
        .score-card { text-align: center; padding: 30px; background: linear-gradient(135deg, #0078D4, #00BCF2); color: white; border-radius: 12px; margin: 20px 0; }
        .score-value { font-size: 72px; font-weight: bold; }
        .score-label { font-size: 18px; opacity: 0.9; }
        .pillar-summary { display: grid; grid-template-columns: repeat(4, 1fr); gap: 20px; margin: 20px 0; }
        .pillar-card { background: #f5f5f5; padding: 20px; border-radius: 8px; text-align: center; }
        .pillar-score { font-size: 36px; font-weight: bold; color: #0078D4; }
        table { width: 100%; border-collapse: collapse; margin: 20px 0; }
        th { background: #0078D4; color: white; padding: 12px; text-align: left; }
        td { border: 1px solid #ddd; padding: 10px; }
        tr:nth-child(even) { background: #f9f9f9; }
        .status-badge { padding: 4px 12px; border-radius: 12px; color: white; font-size: 12px; font-weight: bold; }
        .regulatory-section { background: #FFF3CD; border: 1px solid #FFC107; padding: 20px; border-radius: 8px; margin: 20px 0; }
        .footer { text-align: center; color: #666; margin-top: 40px; padding-top: 20px; border-top: 1px solid #ddd; }
    </style>
</head>
<body>
    <div class="container">
        <h1>🏦 AI Agent Governance Compliance Report</h1>
        <p><strong>Report Date:</strong> $($ControlStatus.ReportDate) | <strong>Type:</strong> $($ControlStatus.ReportType)</p>

        <div class="score-card">
            <div class="score-value">$($ControlStatus.OverallComplianceScore)%</div>
            <div class="score-label">Overall Compliance Score</div>
        </div>

        <h2>Pillar Summary</h2>
        <div class="pillar-summary">
            $($ControlStatus.Pillars | ForEach-Object {
                "<div class='pillar-card'>
                    <div class='pillar-score'>$($_.ComplianceScore)%</div>
                    <div>$($_.Name)</div>
                </div>"
            })
        </div>

        <h2>Regulatory Alignment</h2>
        <div class="regulatory-section">
            <p><strong>Regulations Covered:</strong> FINRA 4511, SEC 17a-3/4, SOX 302/404, GLBA 501(b), OCC 2011-12</p>
            <p><strong>Next Examination:</strong> [To be updated based on calendar]</p>
            <p><strong>Audit Readiness:</strong> Evidence packages current as of $($ControlStatus.ReportDate)</p>
        </div>

        <h2>Control Details by Pillar</h2>
        $($ControlStatus.Pillars | ForEach-Object {
            $pillar = $_
            "<h3>$($pillar.Name)</h3>
            <table>
                <tr><th>Control ID</th><th>Control Name</th><th>Status</th><th>Last Review</th></tr>
                $($pillar.Controls | ForEach-Object {
                    $bgColor = $statusColor[$_.Status]
                    "<tr>
                        <td>$($_.Id)</td>
                        <td>$($_.Name)</td>
                        <td><span class='status-badge' style='background: $bgColor'>$($_.Status)</span></td>
                        <td>$($_.LastReview.ToString('yyyy-MM-dd'))</td>
                    </tr>"
                })
            </table>"
        })

        <div class="footer">
            <p>Generated by FSI-AgentGov Compliance Reporting System</p>
            <p>This report is confidential and intended for internal compliance use only.</p>
        </div>
    </div>
</body>
</html>
"@

    return $html
}

# ============================================================
# SECTION 2: 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" }
            )
        }
        "OCC_2011-12" = @{
            Name = "OCC Bulletin 2011-12 - Third-Party Risk"
            Requirements = @(
                @{ Requirement = "Vendor risk assessment"; Control = "2.7"; Status = "Compliant" },
                @{ Requirement = "Ongoing monitoring"; Control = "2.7, 3.2"; Status = "Compliant" },
                @{ Requirement = "Contingency planning"; Control = "2.5"; 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
}

# ============================================================
# SECTION 3: Examination Ready 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"
        }
        "State" = @{
            "01-State-Licensing-Compliance.pdf" = "State-specific requirements"
            "02-Consumer-Protection-Controls.pdf" = "Consumer protection evidence"
            "03-Privacy-Policy-Compliance.pdf" = "Privacy documentation"
        }
    }

    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
    Write-Host "Populate the package folder with actual documents before submission." -ForegroundColor Yellow

    return $manifest
}

# ============================================================
# SECTION 4: 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

        # Apply retention label
        # Set-PnPListItem -List $LibraryPath -Identity $fileName -Values @{ "_ComplianceTag" = "Regulatory-7Year" }

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

# ============================================================
# SECTION 5: Schedule Automated Reporting
# ============================================================

function Get-ComplianceReportSchedule {

    $schedule = @{
        Weekly = @{
            Reports = @("Control Status Summary")
            Day = "Monday"
            Time = "06:00 AM"
            Recipients = @("compliance-team@company.com")
        }
        Monthly = @{
            Reports = @("Regulatory Alignment Report", "Executive Dashboard", "Trend Analysis")
            Day = "1st of month"
            Time = "07:00 AM"
            Recipients = @("cco@company.com", "cio@company.com", "ciso@company.com")
            ApprovalRequired = $true
        }
        Quarterly = @{
            Reports = @("Audit Evidence Package", "Risk Assessment", "Control Effectiveness")
            Day = "First week of quarter"
            Time = "07:00 AM"
            Recipients = @("cao@company.com", "external-audit@company.com")
            ApprovalRequired = $true
        }
    }

    Write-Host "Compliance Report Schedule:" -ForegroundColor Cyan
    $schedule | ConvertTo-Json -Depth 3

    return $schedule
}

# ============================================================
# EXAMPLE USAGE
# ============================================================

Write-Host "=== Control 3.3: Compliance and Regulatory Reporting ===" -ForegroundColor Magenta

# 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"

# View report schedule
# Get-ComplianceReportSchedule

Write-Host "`nConfiguration script ready. Uncomment and run desired functions." -ForegroundColor Green

Financial Sector Considerations

Regulatory Requirements

Regulation	Requirement	Report Type	Frequency
FINRA 4511	Books and records documentation	Agent inventory, usage logs	Continuous
SEC 17a-3/4	Customer interaction records	Interaction logs	Continuous
SOX 302	Management certifications	Executive attestation	Quarterly
SOX 404	Internal control documentation	Control status report	Annual
GLBA 501(b)	Safeguard effectiveness	Security control report	Annual
OCC 2011-12	Third-party oversight	Vendor compliance report	Annual

Zone-Specific Configuration

Zone	Report Scope	Approval Level	Distribution
Zone 1 (Personal Productivity)	Summary metrics only	Team Lead	IT Operations
Zone 2 (Team Collaboration)	Department-level detail	Department Head	Business Unit
Zone 3 (Enterprise Managed)	Full compliance detail	CCO/CAO	Executive + Regulators

FSI Example: Quarterly Regulatory Package

Q4 2024 Regulatory Compliance Package
├── Executive Summary
│   ├── Overall compliance score: 94%
│   ├── Controls assessed: 48
│   └── Remediation items: 3 (low severity)
│
├── Pillar Reports
│   ├── Pillar 1: Security Controls (95%)
│   ├── Pillar 2: Management Controls (92%)
│   ├── Pillar 3: Reporting Controls (96%)
│   └── Pillar 4: SharePoint Controls (94%)
│
├── Regulatory Alignment
│   ├── FINRA 4511: 100% compliant
│   ├── SEC 17a-4: 100% compliant
│   ├── SOX 404: 95% compliant
│   └── GLBA 501(b): 100% compliant
│
├── Evidence Attachments
│   ├── Audit log excerpts
│   ├── Policy documents
│   ├── Training records
│   └── Incident reports
│
└── Attestations
    ├── CCO sign-off: [Date]
    ├── CIO sign-off: [Date]
    └── External auditor acknowledgment: [Date]

Verification & Testing

Verification Steps

Report Generation
Execute weekly control status report
- Verify all 48 controls appear with accurate status
Confirm pillar scores calculate correctly
Distribution Workflow
Send test report to distribution list
Verify approval workflow triggers
Confirm archive to SharePoint succeeds
Regulatory Alignment
Review control-to-regulation mapping
Verify evidence links are valid
Test examination package generation
Dashboard Accuracy
Compare dashboard metrics to source data
Verify trend calculations are correct
Test drill-down functionality

Compliance Checklist

Item	Required For	Status
Weekly control status reports	Internal governance	☐
Monthly executive dashboard	SOX 302/404	☐
Quarterly audit packages	External audit	☐
Examination ready packages	FINRA/SEC/OCC	☐
7-year report retention	FINRA 4511, SEC 17a-4	☐
Executive sign-off workflow	SOX 302	☐
Automated report generation	Operational efficiency	☐

Troubleshooting & Validation

Issue: Compliance Manager Data Not Syncing

Symptoms: Assessment scores not reflecting current state

Resolution:

Navigate to Compliance Manager → Settings
Check data connector status
Manually refresh assessment data
Verify improvement actions are properly assigned

Issue: Report Distribution Fails

Symptoms: Recipients not receiving scheduled reports

Resolution:

Check Power Automate flow run history
Verify email addresses are correct
Check for mail flow rules blocking
Ensure service account has send permissions

Issue: SharePoint Archive Permission Denied

Symptoms: Reports fail to save to archive library

Resolution:

Verify service account has Contribute permissions
Check library isn't in read-only mode
Ensure retention labels allow new content
Test with manual upload first

Issue: Examination Package Incomplete

Symptoms: Missing documents in generated package

Resolution:

Review MANIFEST.json for required documents
Verify source document locations
Check document permissions
Validate content freshness dates

Issue: Dashboard Performance Slow

Symptoms: Power BI dashboard takes long to load

Resolution:

Implement incremental refresh
Optimize data model relationships
Reduce visual complexity
Consider Premium capacity for large datasets

Additional Resources

Control	Relationship
3.1 Agent Inventory	Provides agent data for reports
3.2 Usage Analytics	Supplies usage metrics
1.7 Audit Logging	Source of audit evidence
2.13 Documentation	Archives reports
2.12 Supervision	Uses reports for supervisory review

Support & Questions

For implementation support or questions about this control, contact:

AI Governance Lead (governance direction)
Compliance Officer (regulatory requirements)
Technical Implementation Team (platform setup)

Updated: Dec 2025
Version: v1.0 Beta (Dec 2025)
UI Verification Status: ❌ Needs verification

Control 3.3: Compliance and Regulatory Reporting

Overview

Purpose

Prerequisites

Licensing Requirements

Permissions Required

Dependencies

Pre-Setup Checklist

Governance Levels

Baseline (Level 1)

Recommended (Level 2-3)

Regulated/High-Risk (Level 4)

Setup & Configuration

Step 1: Configure Microsoft Compliance Manager

Step 2: Create Compliance Reporting Template Library

Step 3: Set Up SharePoint Report Archive

Step 4: Configure Automated Report Generation

Step 5: Build Compliance Dashboard in Power BI

Step 6: Establish Report Distribution and Approval

Step 7: Configure Regulatory Calendar Integration

PowerShell Configuration

Financial Sector Considerations

Regulatory Requirements

Zone-Specific Configuration

FSI Example: Quarterly Regulatory Package

Verification & Testing

Verification Steps

Compliance Checklist

Troubleshooting & Validation

Issue: Compliance Manager Data Not Syncing

Issue: Report Distribution Fails

Issue: SharePoint Archive Permission Denied

Issue: Examination Package Incomplete

Issue: Dashboard Performance Slow

Additional Resources

Related Controls

Support & Questions