IIA IIA-CFSA-SEC Q&A - in .pdf

  • IIA-CFSA-SEC pdf
  • Exam Code: IIA-CFSA-SEC
  • Exam Name: Certified Financial Services Auditor - Securities
  • Updated: Sep 29, 2026
  • Q & A: 0 Questions and Answers
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  • Exam Code: IIA-CFSA-SEC
  • Exam Name: Certified Financial Services Auditor - Securities
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  • Updated: Sep 29, 2026
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  • Exam Code: IIA-CFSA-SEC
  • Exam Name: Certified Financial Services Auditor - Securities
  • Updated: Sep 29, 2026
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IIA IIA-CFSA-SEC Exam Syllabus Topics:

SectionWeightObjectives
The Regulatory Environment10-20%- Securities Regulation
  • 1. Market conduct requirements
  • 2. Self-regulatory organizations
  • 3. Anti-money laundering requirements
  • 4. Securities laws and regulations
Auditing Financial Services Products25-35%- Product Risks and Controls
  • 1. Liquidity risk
  • 2. Market risk
  • 3. Compliance risk
  • 4. Credit risk
- Securities Products
  • 1. Mutual funds and collective investment schemes
  • 2. Debt securities
  • 3. Derivative instruments
  • 4. Equity securities
Securities Discipline20%- Investment Products
  • 1. Equities
  • 2. Fixed-income securities
  • 3. Derivatives
  • 4. Mutual funds
- Capital Markets
  • 1. Primary and secondary markets
  • 2. Trading mechanisms
  • 3. Market participants
- Securities Industry Risk Management
  • 1. Operational risk management
  • 2. Counterparty risk management
  • 3. Market risk management
Financial Services Auditing25-35%- Audit Methodology
  • 1. Audit evidence and reporting
  • 2. Planning and scoping engagements
  • 3. Risk assessment techniques
- Professional Auditing Standards
  • 1. Internal control evaluation
  • 2. IIA International Professional Practices Framework
  • 3. Risk-based auditing
  • 4. Code of Ethics
Auditing Financial Services Processes25-35%- Support and Control Processes
  • 1. Business continuity management
  • 2. Information technology controls
  • 3. Financial reporting
  • 4. Fraud prevention and detection
- Securities Operations
  • 1. Trading activities
  • 2. Custody services
  • 3. Order management and execution
  • 4. Clearing and settlement
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