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IIA IIA-CFSA-SEC Exam Braindumps - in .pdf Free Demo

  • Exam Code: IIA-CFSA-SEC
  • Exam Name: Certified Financial Services Auditor - Securities
  • , Last Updated: Aug 16, 2026
  • Q & A: 0 Questions and Answers
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  • Exam Code: IIA-CFSA-SEC
  • Exam Name: Certified Financial Services Auditor - Securities
  • , Last Updated: Aug 16, 2026
  • Q & A: 0 Questions and Answers
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IIA IIA-CFSA-SEC Exam Syllabus Topics:

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

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