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