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Certified Financial Services Auditor® (CFSA®) Exam Syllabus — Domain IV

The Regulatory Environment (10-20%)

(P) = Candidates must exhibit proficiency (thorough understanding, ability to apply concepts) in these topic areas.

(A) = Candidates must exhibit awareness (knowledge of terminology and fundamentals) in these topic areas.

A. Overview of the Regulatory Environment (A)

  1. Function of Central Bank
  2. Function of Insurance Regulators
  3. Function of Securities Regulators

B. Laws and Regulations (A)

  1. Equal Credit Opportunity/Antidiscrimination
  2. Home Mortgage Disclosure
  3. Reserve Requirements
  4. Insider Transactions
  5. Lending Disclosure
  6. Deposits Disclosure
  7. Real Estate Sales Disclosure
  8. Self-assessment of Internal Controls/Risk Management
  9. Investor/Depositor Protection
  10. Financial and Personal Information Privacy
  11. Anti-Money Laundering

C. Stock Exchanges and Other Markets (A)

D. Money and Banking (A)

  1. Role of Money and Banking
  2. Bond and Stock Markets
  3. Effect of Interest Rate Movements
  4. Monetary Management Theories

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Candidates from the following countries must refer to their local IIA Institute web-site or contact their local representative for more information about local certification processes:

The information contained on this website pertains to all other countries.