Exam Name: Certified Financial Services Auditor - Securities
Certification Provider: IIA
Corresponding Certification: IIA Certification
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IIA IIA-CFSA-SEC Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Financial Reporting and Audit Practices in Securities | - Audit planning and engagement for securities firms - Financial disclosures and reporting integrity |
| Risk Management in Securities Operations | - Market, credit, and operational risk concepts - Internal control systems and risk mitigation techniques |
| Securities Industry Governance and Regulation | - Compliance and ethical standards in securities operations - Regulatory frameworks and oversight in securities markets |
| Securities Trading and Processing Controls | - Trade lifecycle and settlement processes - Clearing, custody, and reconciliation controls |
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