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IIA IIA-CFSA-BANK Exam Syllabus Topics:

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

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