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

IIA IIA-CFSA-SEC exam
  • Exam Code: IIA-CFSA-SEC
  • Exam Name: Certified Financial Services Auditor - Securities
  • Updated: Aug 24, 2026
  • Q & A: 0 Questions and Answers

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IIA IIA-CFSA-SEC Exam Syllabus Topics:
SectionWeightObjectives
Topic 1: Auditing Financial Services Processes25%- Reconciliation & Record Keeping
- Trade Execution & Settlement
- Transaction Lifecycle Controls
- Custody & Asset Servicing
Topic 2: Financial Services Auditing30%- Internal Control Frameworks
- Audit Planning & Risk Assessment
- Governance & Risk Management
- IIA Standards & Code of Ethics
Topic 3: The Regulatory Environment15%- 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 Products30%- Equities & Fixed Income Securities
- Securities Valuation & Pricing
- Mutual Funds & Investment Portfolios
- Derivatives & Structured Products

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