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

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Name: IIA IIA-CFSA-SEC Exam
Brand: IIA
SKU: IIA-CFSA-SEC
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Updated: Jul 22, 2026

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IIA IIA-CFSA-SEC Exam Overview:

Certification Vendor:	The Institute of Internal Auditors (IIA)
Exam Name:	Certified Financial Services Auditor (CFSA) - Securities Discipline
Exam Number:	IIA-CFSA-SEC
Exam Format:	Multiple Choice Questions, Computer-Based Testing
Passing Score:	600/750
Available Languages:	English
Exam Duration:	175 minutes
Real Exam Qty:	115
Related Certifications:	Certified Financial Services Auditor (CFSA) Certified Internal Auditor (CIA) Certification in Risk Management Assurance (CRMA)
Certificate Validity Period:	Annual renewal required
Exam Way:	Computer-based exam delivered through authorized testing centers.
Pre Condition:	Bachelor's degree or equivalent education and relevant internal auditing or financial services experience were typically required under the CFSA program. Certification program has been retired by IIA; candidates should verify current eligibility and replacement credentials with IIA.
Official Syllabus URL:	https://www.theiia.org/globalassets/documents/certifications/ccsa-cfsa-cgap-candidate-handbook.pdf

IIA IIA-CFSA-SEC Exam Syllabus Topics:

Section	Weight	Objectives
Financial Services Auditing	25-35%	- Audit Methodology 1. Risk assessment techniques 2. Planning and scoping engagements 3. Audit evidence and reporting - Professional Auditing Standards 1. IIA International Professional Practices Framework 2. Code of Ethics 3. Risk-based auditing 4. Internal control evaluation
The Regulatory Environment	10-20%	- Securities Regulation 1. Securities laws and regulations 2. Anti-money laundering requirements 3. Self-regulatory organizations 4. Market conduct requirements
Auditing Financial Services Products	25-35%	- Securities Products 1. Mutual funds and collective investment schemes 2. Derivative instruments 3. Debt securities 4. Equity securities - Product Risks and Controls 1. Liquidity risk 2. Compliance risk 3. Market risk 4. Credit risk
Securities Discipline	20%	- Securities Industry Risk Management 1. Counterparty risk management 2. Market risk management 3. Operational risk management - Capital Markets 1. Trading mechanisms 2. Market participants 3. Primary and secondary markets - Investment Products 1. Mutual funds 2. Fixed-income securities 3. Equities 4. Derivatives
Auditing Financial Services Processes	25-35%	- Support and Control Processes 1. Fraud prevention and detection 2. Information technology controls 3. Financial reporting 4. Business continuity management - Securities Operations 1. Order management and execution 2. Trading activities 3. Clearing and settlement 4. Custody services

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