IIA : IIA-CFSA-BANK Questions & Answers

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IIA IIA-CFSA-BANK Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Auditing Financial Services Products25%- Banking products and services
  • 1. Treasury and cash management
    • 2. Commercial lending
      • 3. Retail banking
        • 4. Investment and trust services
          Topic 2: Auditing Financial Services Processes15%- Operational auditing
          • 1. Deposit operations
            • 2. Fraud prevention and detection
              • 3. Loan processing
                • 4. Information systems and technology controls
                  Topic 3: Financial Services Auditing25%- Risk assessment and audit planning
                  • 1. Internal control evaluation
                    • 2. Financial services risk identification
                      • 3. Audit engagement planning
                        Topic 4: Banking Discipline20%- Banking-specific knowledge
                        • 1. Interest rate risk
                          • 2. Credit risk management
                            • 3. Liquidity risk
                              • 4. Capital management
                                • 5. Bank governance and regulatory expectations
                                  • 6. Asset and liability management
                                    Topic 5: Regulatory Environment15%- Banking regulations and compliance
                                    • 1. Anti-money laundering requirements
                                      • 2. Consumer protection regulations
                                        • 3. Capital adequacy and risk management requirements
                                          • 4. Regulatory agencies and oversight
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