IIA Certified Financial Services Auditor - Securities - IIA-CFSA-SEC

IIA IIA-CFSA-SEC test insides dumps
  • Exam Code: IIA-CFSA-SEC
  • Exam Name: Certified Financial Services Auditor - Securities
  • Updated: Aug 19, 2026
  • Q & A: 0 Questions and Answers

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IIA IIA-CFSA-SEC Exam Syllabus Topics:

SectionWeightObjectives
The Regulatory Environment15%- Compliance & Reporting Requirements
- Global Securities Regulations
- Regulatory Oversight & Audit
- Market Conduct & Investor Protection
Securities Specialty (20% of total)20%- Securities Market Operations
- Broker-Dealer & Investment Advisory
- Securities Industry Risks & Controls
- Clearing & Settlement Systems
Auditing Financial Services Processes25%- Custody & Asset Servicing
- Reconciliation & Record Keeping
- Trade Execution & Settlement
- Transaction Lifecycle Controls
Financial Services Auditing30%- Audit Planning & Risk Assessment
- Internal Control Frameworks
- Governance & Risk Management
- IIA Standards & Code of Ethics
Auditing Financial Services Products30%- Securities Valuation & Pricing
- Equities & Fixed Income Securities
- Mutual Funds & Investment Portfolios
- Derivatives & Structured Products

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