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IIA IIA-CFSA-SEC Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Auditing Financial Services Processes | 25% | - Reconciliation & Record Keeping - Trade Execution & Settlement - Transaction Lifecycle Controls - Custody & Asset Servicing |
| Topic 2: Financial Services Auditing | 30% | - Internal Control Frameworks - Audit Planning & Risk Assessment - Governance & Risk Management - IIA Standards & Code of Ethics |
| Topic 3: The Regulatory Environment | 15% | - Global Securities Regulations - Regulatory Oversight & Audit - Market Conduct & Investor Protection - Compliance & Reporting Requirements |
| Topic 4: Securities Specialty (20% of total) | 20% | - Securities Industry Risks & Controls - Broker-Dealer & Investment Advisory - Clearing & Settlement Systems - Securities Market Operations |
| Topic 5: Auditing Financial Services Products | 30% | - Equities & Fixed Income Securities - Securities Valuation & Pricing - Mutual Funds & Investment Portfolios - Derivatives & Structured Products |
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