Certificates and Designations - Letters Matter
SUI offers 2 certificate levels for financial industry programs.
For information on the content of each course please see SUI Courses.
Students will receive the “Specialist” designation upon:
- An initial interview to determine your present qualifications. SUI supports custom study programs.
- Registration within the certificate program.
- Completion of 72 hours of course work; including passing the course exam(s) and any required assignments.
How to qualify:
- Complete 72 hours of course work within 2 years.
- Receive a passing grade 75% for on-line courses.
- Receive a passing grade of 60% for virtual courses.
- Students must attend all of the virtual courses.
Example: The Professional Certificate in Anti-Money Laundering - CAMLS is received upon successful completion of the following mandatory courses:
- Life of a Trade
- Anti-Money Laundering
- Full Fat FATCA
- Ethics for Representatives of Investment Dealers
- Cyber Security
- Social Media for the Securities Industry
“Optional” courses may be necessary to meet the number of study hours required.
Note: For some designations, a final assignment is required in addition to the exam.
The Professional or Specialist designation is valid for 2 years, and 36 hours of Continuing Education (CE) courses is required within a 2 year cycle to maintain the designation in good standing.
The following designation Certificates are available:
Certified Anti-Money Laundering Specialist (CAMLS)
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Mandatory Courses
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Credits
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Virtual “V”
Online “O”
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Anti-Money Laundering
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14
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O
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Full Fat FATCA
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20
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O
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Ethics for Representatives of Investment Dealers
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14
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O
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Cyber Security
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12
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O
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Social Media for the Securities Industry
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12
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O
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Mandatory Courses
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Credits
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Virtual “V”
Online “O”
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Life of A Trade
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36
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O
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Debt and Fixed Income
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12
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O
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Advanced ETFs
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14
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V
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A Guide to Understanding the Derivatives Market
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12
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O
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Introduction to Options
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9
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O
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Optional Courses
(to meet the 72 hour requirement)
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Credits
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Virtual “V”
Online “O”
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Introduction to ETFs
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9
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O
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Science of ETFs
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16
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V
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Leveraged ETFs
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12
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V
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Mandatory Courses
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Credits
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Virtual “V”
Online “O”
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Advanced ETFs
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14
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V
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Science of ETFs
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16
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V
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Leveraged ETFs
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12
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V
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Final Assignment
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Take Home
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Optional Courses
(to meet the 72 hour requirement)
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Credits
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Virtual “V”
Online “O”
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Introduction to ETFs
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9
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O
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A Guide to Understanding the Derivatives Market
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12
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O
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CRM II
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9
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O
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Anti-Money Laundering
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14
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O
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Ethics for Representatives of Investment Dealers
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14
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O
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Mandatory Courses
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Credits
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Virtual “V”
Online “O”
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Compliance & Audit
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24
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V
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Mutual Fund Regulation and Governance
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12
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O
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Anti-Money Laundering
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14
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O
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Optional Courses
(to meet the 72 hour requirement)
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Credits
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Virtual “V”
Online “O”
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Regulatory Development
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12
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O
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Basel III
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9
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O
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FATCA
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12
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O
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CRM II
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9
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O
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NOTE: Information on all certificates reviewed by IIROC are listed on the IIROC website.
Once landed on the IIROC page, you must choose the Smart Certificate, the Smart Specialist Certificate or the Smart Professional Certificate on the drop down box and the details of the Certificate will be displayed.
Once landed on the IIROC page, you must choose the Smart Certificate, the Smart Specialist Certificate or the Smart Professional Certificate on the drop down box and the details of the Certificate will be displayed.
EXAMPLE
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