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IIA IIA-CFSA-SEC Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Auditing Financial Services Products | 30% | - Mutual Funds & Investment Portfolios - Securities Valuation & Pricing - Derivatives & Structured Products - Equities & Fixed Income Securities |
| Topic 2: Securities Specialty (20% of total) | 20% | - Broker-Dealer & Investment Advisory - Clearing & Settlement Systems - Securities Industry Risks & Controls - Securities Market Operations |
| Topic 3: Financial Services Auditing | 30% | - Audit Planning & Risk Assessment - Internal Control Frameworks - IIA Standards & Code of Ethics - Governance & Risk Management |
| Topic 4: Auditing Financial Services Processes | 25% | - Custody & Asset Servicing - Transaction Lifecycle Controls - Trade Execution & Settlement - Reconciliation & Record Keeping |
| Topic 5: The Regulatory Environment | 15% | - Compliance & Reporting Requirements - Market Conduct & Investor Protection - Global Securities Regulations - Regulatory Oversight & Audit |




