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<div class="hero" markdown>

# AI Agent Governance for **Financial Services**

Govern Microsoft 365 AI agents with confidence — from policy to production.
78 controls across 4 pillars and 3 governance zones, 36 companion solutions,
implementation playbooks, and regulatory mappings for Microsoft Copilot Studio, Agent Builder, and custom
agent deployments.

[Get Started](getting-started/quick-start.md){ .md-button .md-button--primary }
[View Control Catalog](controls/index.md){ .md-button }

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<div class="metrics-strip">
  <div class="metric">
    <span class="metric-number">78</span>
    <span class="metric-label">Controls</span>
  </div>
  <div class="metric">
    <span class="metric-number">4</span>
    <span class="metric-label">Governance Pillars</span>
  </div>
  <div class="metric">
    <span class="metric-number">6</span>
    <span class="metric-label">Regulatory Frameworks</span>
  </div>
  <div class="metric">
    <span class="metric-number">3</span>
    <span class="metric-label">Governance Zones</span>
  </div>
</div>
<p class="metrics-regulations">
  FINRA · SEC · SOX · GLBA · OCC Bulletin 2026-13 / Fed SR 26-2 · CFTC Rule 1.31
</p>

## Quick Start by Role

<div class="grid cards" markdown>

-   **Compliance Officer**

    ---

    Map controls to FINRA, SEC, SOX, and GLBA requirements.
    Build examination-ready evidence packs.

    [Start Here ->](framework/executive-summary.md)

-   **Power Platform Admin**

    ---

    Deploy controls, run playbooks, and configure
    governance across your M365 tenant.

    [Start Here ->](controls/index.md)

-   **IT Security / InfoSec**

    ---

    Implement DLP, audit logging, encryption, MFA,
    and 29 security controls across your tenant.

    [Start Here ->](controls/pillar-1-security/index.md)

-   **Examination Readiness**

    ---

    Prepare for FINRA/SEC examinations with
    evidence standards and audit checklists.

    [Start Here ->](playbooks/compliance-and-audit/audit-readiness-checklist.md)

-   **Business Owner**

    ---

    Understand zone requirements and the agent
    approval lifecycle for your team.

    [Start Here ->](framework/zones-and-tiers.md)

</div>

## Framework Architecture

<div class="arch-diagram" markdown>
<div class="arch-layer">
<div class="arch-label">Governance Zones</div>
<div class="arch-row">
<div class="arch-card arch-zone">
<strong>Zone 1: Personal</strong>
Low Risk · Self-Service
</div>
<div class="arch-card arch-zone">
<strong>Zone 2: Team</strong>
Medium Risk · Manager Approval
</div>
<div class="arch-card arch-zone">
<strong>Zone 3: Enterprise</strong>
High Risk · Committee Approval
</div>
</div>
</div>
<div class="arch-arrow">▼</div>
<div class="arch-layer">
<div class="arch-label">78 Controls across 4 Pillars</div>
<div class="arch-row">
<div class="arch-card arch-pillar">
<strong>Security</strong>
29 Controls
</div>
<div class="arch-card arch-pillar">
<strong>Management</strong>
26 Controls
</div>
<div class="arch-card arch-pillar">
<strong>Reporting</strong>
14 Controls
</div>
<div class="arch-card arch-pillar">
<strong>SharePoint</strong>
9 Controls
</div>
</div>
</div>
<div class="arch-arrow">▼</div>
<div class="arch-layer">
<div class="arch-label">Regulatory Coverage</div>
<div class="arch-row">
<div class="arch-card arch-reg">
<strong>FINRA</strong>
4511/3110
</div>
<div class="arch-card arch-reg">
<strong>SEC</strong>
17a-3/4
</div>
<div class="arch-card arch-reg">
<strong>SOX</strong>
302/404
</div>
<div class="arch-card arch-reg">
<strong>GLBA</strong>
501(b)
</div>
<div class="arch-card arch-reg">
<strong>OCC / Fed</strong>
2026-13 / SR 26-2
</div>
<div class="arch-card arch-reg">
<strong>CFTC</strong>
Rule 1.31
</div>
</div>
</div>
</div>

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!!! warning "Disclaimer"
    This framework is provided for informational purposes only and does not constitute legal, regulatory, or compliance advice. Organizations should consult with their legal counsel and compliance teams. See [Disclaimer](disclaimer.md) for full details.

*FSI Agent Governance Framework v1.6.2 - May 2026*
