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IIA Certified Financial Services Auditor Exam
- Topic 1: Financial and Personal Information Privacy/ Implications of Information Technology
- Topic 2: IIA International Professional Practices Framework/ Data Gathering and Evaluation
- Topic 3: Auditing Financial Statement Elements/ Marketing Sales and Distribution
- Topic 4: Auditing Financial Services Products/ Internal Control/Risk Management/Governance
- Topic 5: Risk Management Frameworks/ Internal Control Frameworks
- Topic 6: Allowance for Loan and Lease Losses/ Financial Services Auditing
- Topic 7: Initial Public Offerings/ Overview of the Regulatory Environment
- Topic 8: Self-assessment of Internal Controls/Risk Management/ Equal Credit Opportunity/Antidiscrimination
- Topic 9: Effect of Interest Rate Movements/ Real Estate Sales Disclosure
- Topic 10: Stock Exchanges and Other Markets/ Monetary Management Theories/ Home Mortgage Disclosure
Free IIA Certified Financial Services Auditor Exam Actual Questions
The questions for Certified Financial Services Auditor were last updated On Apr. 10, 2024
Some objectives of an audit related to mutual funds might include determining that:
Not all misstatements will be material enough to affect the fair presentation of the financial statement. A material misstatement is one that the auditors determine would change or influence the option of a reasonable person relying on the financial statements for information. Ultimately, auditors must exercise judgment to assess materiality based on the qualitative nature of the misstatements and their quantitative extent. Materiality is also based on auditors' assessment of control risk levels in the organization. The following factors may influence the auditors' assessment of control risk EXCEPT:
There are different classes of mutual funds. Classes that typically do not have a front-end sales load. Instead they may impose a contingent deferred sales load and a 12b-1 fee (along with other annual expenses) is called:
Not all misstatements will be material enough to affect the fair presentation of the financial statement. A material misstatement is one that the auditors determine would change or influence the option of a reasonable person relying on the financial statements for information. Ultimately, auditors must exercise judgment to assess materiality based on the qualitative nature of the misstatements and their quantitative extent. Materiality is also based on auditors' assessment of control risk levels in the organization. The following factors may influence the auditors' assessment of control risk EXCEPT:
Major types of Real Estate Investment Trust (REITs) include all of the following EXCEPT:
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