Exam Code: IIA-CFSA-SEC
Exam Name: Certified Financial Services Auditor - Securities
Certification Provider: IIA
Corresponding Certification: IIA Certification

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IIA IIA-CFSA-SEC Exam Overview:

Certification Vendor:	The Institute of Internal Auditors (The IIA)
Exam Name:	Certified Financial Services Auditor – Securities Exam
Exam Number:	IIA-CFSA-SEC
Available Languages:	English
Related Certifications:	Certified Financial Services Auditor (CFSA)
Exam Format:	Multiple-choice (computer-based exam)
Recommended Training:	The IIA Official Training and Exam Prep
Exam Registration:	The IIA Certification Registration
Exam Way:	Computer-based exam (delivered via authorized testing centers or remote proctoring depending on availability)
Pre Condition:	No strict prerequisite is typically published; professional auditing or financial services experience is recommended by The IIA.
Official Syllabus URL:	https://www.theiia.org

IIA IIA-CFSA-SEC Exam Syllabus Topics:

Section	Objectives
Topic 1: Financial Reporting and Audit Practices in Securities	- Financial disclosures and reporting integrity - Audit planning and engagement for securities firms
Topic 2: Securities Industry Governance and Regulation	- Compliance and ethical standards in securities operations - Regulatory frameworks and oversight in securities markets
Topic 3: Securities Trading and Processing Controls	- Clearing, custody, and reconciliation controls - Trade lifecycle and settlement processes
Topic 4: Risk Management in Securities Operations	- Market, credit, and operational risk concepts - Internal control systems and risk mitigation techniques

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