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IIA IIA-CFSA-SEC Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Securities Specialty (20% of total) | 20% | - Clearing & Settlement Systems - Securities Industry Risks & Controls - Securities Market Operations - Broker-Dealer & Investment Advisory |
| Financial Services Auditing | 30% | - Audit Planning & Risk Assessment - Governance & Risk Management - Internal Control Frameworks - IIA Standards & Code of Ethics |
| The Regulatory Environment | 15% | - Compliance & Reporting Requirements - Regulatory Oversight & Audit - Market Conduct & Investor Protection - Global Securities Regulations |
| Auditing Financial Services Products | 30% | - Mutual Funds & Investment Portfolios - Equities & Fixed Income Securities - Securities Valuation & Pricing - Derivatives & Structured Products |
| Auditing Financial Services Processes | 25% | - Reconciliation & Record Keeping - Custody & Asset Servicing - Transaction Lifecycle Controls - Trade Execution & Settlement |
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