Regulated Industries
Every Regulated Industry Has the Same M365 Problem.
The platform is powerful. Ungoverned, it is a liability. Whether your regulatory driver is SEC/FINRA record retention, SOC 2 Type II audit requirements, ISO 27001 controls, or GLBA data safeguards — the Microsoft 365 governance and security architecture that underlies compliance is the same. We build it.
The Regulatory Reality
The Compliance Requirements That Apply to Your M365 Environment
Financial services firms using M365 face specific requirements for electronic communications supervision, records retention, data governance, and cybersecurity risk management under SEC and FINRA rules.
- FINRA Rule 4511/3110: business communications retention and supervision obligations
- SEC 17a-4: electronic records retention in non-rewriteable, non-erasable format
- Reg S-P: customer financial information safeguards and access controls
- SEC Cybersecurity Rules: risk management, incident reporting, and governance disclosure
SOC 2 Type II audits examine organizational controls across Trust Services Criteria — Security, Availability, Confidentiality, Processing Integrity, and Privacy. M365 configuration evidence is central to many audit findings.
- CC6: Logical and physical access controls — Entra ID, Conditional Access, MFA
- CC7: System operations — audit logging, monitoring, incident detection
- CC8: Change management — configuration management, approval workflows
- A1: Availability — uptime, backup, and recovery controls
ISO 27001 Annex A controls have specific M365 implications across information security policies, access management, cryptography, physical security, and supplier relationships.
- A.9: Access control — Entra ID, role-based access, least privilege
- A.10: Cryptography — encryption in transit and at rest for M365 data
- A.12: Operations security — audit logging, malware protection, monitoring
- A.13: Communications security — email security, external sharing controls
What We Configure
Industry-Specific Microsoft 365 Configuration
Every Microsoft 365 product we configure maps to the specific compliance controls your industry requires.
Records Retention and Supervision
Purview Compliance Manager, retention policies, and in-place holds configured for your specific record retention obligations — SEC 17a-4, FINRA, or internal policy. Communication supervision policies for financial services, legal hold workflows, and eDiscovery-ready configuration.
Access Controls and SOC 2 / ISO 27001 Evidence
Access control configuration aligned to SOC 2 CC6 and ISO 27001 A.9 controls — least privilege, MFA enforcement, role-based access reviews, Privileged Identity Management. Audit log configuration for access control evidence during Type II assessment periods.
Threat Detection and Security Operations
Defender for Office 365 Plan 2 configuration for threat hunting, advanced threat protection, and incident detection — supporting SOC 2 CC7 (System Operations) and ISO 27001 A.12 (Operations Security) controls. Automated investigation and response configured for your environment.
Email Security and Records Compliance
Exchange Online Protection and Defender for Office 365 email security hardening, plus compliance archiving for SEC 17a-4 and FINRA Rule 4511 obligations. Journal rules, email retention policies, and immutable archive configuration for regulated communications.
Information Governance and Data Sovereignty
SharePoint governance framework for regulated data — sensitivity labels, external sharing controls, permission governance, and Purview retention policies. Data residency configuration for organizations with data sovereignty requirements under GDPR, state privacy laws, or industry regulations.
Powered by TenantForge
TenantForge maps your M365 configuration to SOC 2 Trust Services Criteria and ISO 27001 Annex A controls — producing evidence documentation that audit teams can use directly. We use TenantForge to run assessments that identify configuration gaps before your Type II audit window, not during it.
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