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