IIA IIA-CFSA-SEC : Certified Financial Services Auditor - Securities

  • Exam Code: IIA-CFSA-SEC
  • Exam Name: Certified Financial Services Auditor - Securities
  • Updated: Aug 15, 2026

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IIA IIA-CFSA-SEC Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Auditing Financial Services Products30%- Mutual Funds & Investment Portfolios
- Derivatives & Structured Products
- Securities Valuation & Pricing
- Equities & Fixed Income Securities
Topic 2: Financial Services Auditing30%- IIA Standards & Code of Ethics
- Internal Control Frameworks
- Audit Planning & Risk Assessment
- Governance & Risk Management
Topic 3: The Regulatory Environment15%- Regulatory Oversight & Audit
- Market Conduct & Investor Protection
- Compliance & Reporting Requirements
- Global Securities Regulations
Topic 4: Auditing Financial Services Processes25%- Trade Execution & Settlement
- Custody & Asset Servicing
- Reconciliation & Record Keeping
- Transaction Lifecycle Controls
Topic 5: Securities Specialty (20% of total)20%- Securities Market Operations
- Clearing & Settlement Systems
- Broker-Dealer & Investment Advisory
- Securities Industry Risks & Controls

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