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M365 Copilot Governance for Financial Services

Govern Microsoft 365 Copilot with confidence across every M365 application. 63 controls, 268 playbooks, and regulatory mappings for FINRA, SEC, SOX, and GLBA compliance.

Get Started View Controls

63 Controls
268 Playbooks
4 Governance Pillars
3 Governance Levels

FINRA · SEC · SOX · GLBA · OCC/SR 11-7

Quick Start by Role

  • Compliance Officer

    Map controls to FINRA, SEC, SOX, and GLBA requirements. Understand governance levels and regulatory mappings.

    Executive Summary

  • M365 Admin

    Configure Copilot governance controls, admin toggles, and DLP policies across your tenant.

    Quick Start

  • IT Security / InfoSec

    Implement DLP, conditional access, information barriers, and security controls for Copilot.

    Security Controls

  • Examination Readiness

    Prepare for FINRA/SEC examinations with audit logging, retention, and evidence standards.

    Regulatory Mappings

  • Governance Scorecard

    Assess your governance posture across all 63 controls with the interactive scorecard tool.

    Start Assessment

Framework Architecture

Governance Levels
Baseline Minimum viable governance
Recommended Production best practices
Regulated Examination-ready
▼
63 controls across 4 Pillars
Readiness 16 controls
Security 16 controls
Compliance 15 Controls
Operations 15 Controls
▼
Copilot Surfaces Covered
Productivity Word, Excel, PPT
Communication Outlook, Teams
Collaboration SharePoint, OneDrive
AI-Native Copilot Chat, Pages

Companion Repository

Site Description
FSI Agent Governance For Copilot Studio, Agent Builder, and custom AI agents (FSI-AgentGov: 71 controls)
FSI Copilot Governance This site — M365 Copilot governance (63 controls)

What This Framework Does Not Cover

This framework governs the Microsoft 365 Copilot surface only. The following adjacent domains are explicitly out of scope here:

  • Copilot Studio agents, declarative agents, Agent Builder, custom pro-code agents — agent registration, risk tiering, environment zoning, model-card review → covered by FSI-AgentGov.
  • Power Platform ALM — solutions, environment variables, connection references, deploymentSettings.template.json, managed-solution promotion, pac cli → covered by FSI-AgentGov + Microsoft's Copilot Studio ALM guidance.
  • Power Platform DLP (connector classification, environment routing) → covered by FSI-AgentGov.
  • Tenant identity / Conditional Access design, privileged identity management, network segmentation → owned by your existing Entra and security-engineering programs.
  • Records-management, supervisory-policy authoring, exam-response procedures → owned by your compliance, legal, and RIM programs (this framework provides the evidence plumbing, not the policy text).

See Governance Fundamentals → What This Framework Does Not Cover for the full table, and Relationship to FSI-AgentGov for the boundary map.

Disclaimer

This framework is provided for informational purposes only and does not constitute legal, regulatory, or compliance advice. See full disclaimer.