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

  • Exam Code: IIA-CFSA-SEC
  • Exam Name: Certified Financial Services Auditor - Securities
  • Last Updated: Aug 23, 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 23, 2026
  • Q & A: 0 Questions and Answers
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IIA IIA-CFSA-SEC Exam Syllabus Topics:

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

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