IIA IIA-CFSA-SEC valid exam dumps : Certified Financial Services Auditor - Securities

  • Exam Code: IIA-CFSA-SEC
  • Exam Name: Certified Financial Services Auditor - Securities
  • Updated: Aug 08, 2026
  • Q&As: 0 Questions and Answers

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IIA IIA-CFSA-SEC Exam Syllabus Topics:

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

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