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




