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IIA IIA-CFSA-SEC Exam Syllabus Topics:

SectionObjectives
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
Securities Trading and Processing Controls- Clearing, custody, and reconciliation controls
- Trade lifecycle and settlement processes
Financial Reporting and Audit Practices in Securities- Financial disclosures and reporting integrity
- Audit planning and engagement for securities firms

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