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

"Certified Financial Services Auditor - Securities", also known as IIA-CFSA-SEC exam, is a IIA Certification. With the complete collection of questions and answers, BraindumpsPass has assembled to take you through 0 Q&As to your IIA-CFSA-SEC Exam preparation. In the IIA-CFSA-SEC exam resources, you will cover every field and category in IIA Certification Certification helping to ready you for your successful IIA Certification.

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  • Updated on: Aug 20, 2026
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IIA IIA-CFSA-SEC Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Securities Discipline20%- Capital Markets
  • 1. Market participants
  • 2. Primary and secondary markets
  • 3. Trading mechanisms
- Securities Industry Risk Management
  • 1. Market risk management
  • 2. Counterparty risk management
  • 3. Operational risk management
- Investment Products
  • 1. Fixed-income securities
  • 2. Equities
  • 3. Mutual funds
  • 4. Derivatives
Topic 2: The Regulatory Environment10-20%- Securities Regulation
  • 1. Securities laws and regulations
  • 2. Market conduct requirements
  • 3. Anti-money laundering requirements
  • 4. Self-regulatory organizations
Topic 3: Auditing Financial Services Processes25-35%- Securities Operations
  • 1. Clearing and settlement
  • 2. Custody services
  • 3. Order management and execution
  • 4. Trading activities
- Support and Control Processes
  • 1. Business continuity management
  • 2. Fraud prevention and detection
  • 3. Financial reporting
  • 4. Information technology controls
Topic 4: Auditing Financial Services Products25-35%- Securities Products
  • 1. Debt securities
  • 2. Equity securities
  • 3. Derivative instruments
  • 4. Mutual funds and collective investment schemes
- Product Risks and Controls
  • 1. Compliance risk
  • 2. Credit risk
  • 3. Liquidity risk
  • 4. Market risk
Topic 5: Financial Services Auditing25-35%- Audit Methodology
  • 1. Risk assessment techniques
  • 2. Planning and scoping engagements
  • 3. Audit evidence and reporting
- Professional Auditing Standards
  • 1. Risk-based auditing
  • 2. Code of Ethics
  • 3. Internal control evaluation
  • 4. IIA International Professional Practices Framework

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