Certificates and Designations - Letters Matter

SUI offers 3 certificate levels for financial industry programs. 
For information on the content of each course please see SUI Courses.
Students will receive the “Specialist” or “Professional” 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 Brokerage Operations - PCBO is received upon successful completion of the following mandatory courses:
  • Inside Canada's Securities Industry
  • Inside Canada's Mutual Fund Industry
  • Global Securities: Trading and Settlement
“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.

 
Advisor Assistant Professional Certificate (AAPC)
 
Mandatory Courses
 
Credits
Virtual “V”
Online “O”
Advisor Assistant Training Course
12
V
Ethics for Representatives of Investment Dealers
12
O
 
 
 
Optional Courses
(to meet the 72 hour requirement)
 
Credits
Virtual “V”
Online “O”
Understanding Investment Returns
8
O
Anti-Money Laundering
6
O
Full Fat FATCA
6
O
Introduction to ETFs
4
O
Advanced ETFs
6
O
Leveraged ETFs
12
O
A Guide to Understanding the Derivatives Market
9
O
 
 
Certified Anti-Money Laundering Specialist (CAMLS)
 
Mandatory Courses
 
Credits
Virtual “V”
Online “O”
Inside Canada’s Securities Industry
32
O
Anti-Money Laundering
6
O
Full Fat FATCA
6
O
Ethics for Representatives of Investment Dealers
12
O
Cyber Security
9
O
Social Media for the Securities Industry
9
O
 
 
Certified Capital Markets Trading Specialist (CCMS)
 
Mandatory Courses
 
Credits
Virtual “V”
Online “O”
Life of A Trade
12
O
Debt and Fixed Income
4
O
Advanced ETFs
6
O
A Guide to Understanding the Derivatives Market
9
O
Introduction to Options
4
O
Final Exam
2
V
Optional Courses
(to meet the 72 hour requirement)
Credits
Virtual “V”
Online “O”
Introduction to ETFs
4
O
Science of ETFs
16
V
Leveraged ETFs
12
O
Options Based Portfolio Strategies
12
O
Inside Canada’s Securities Industry
32
O
 
 
Certified ETF Specialist (CETFS)
 
Mandatory Courses
 
Credits
Virtual “V”
Online “O”
Advanced ETFs
6
O
Science of ETFs
16
V
Leveraged ETFs
12
O
Final Assignment
 
Take Home
Optional Courses
(to meet the 72 hour requirement)
 
Credits
Virtual “V”
Online “O”
Introduction to ETFs
4
O
A Guide to Understanding the Derivatives Market
9
O
CRM II
6
O
Anti-Money Laundering
6
O
Ethics for Representatives of Investment Dealers
12
O

 
Certified Regulatory Compliance Specialist (CRCS)
 
Mandatory Courses
 
Credits
Virtual “V”
Online “O”
Compliance for the Securities Industry (Levels I, II,& III)
42
V
Compliance & Audit
8
V
Mutual Fund Regulation and Governance
12
O
Anti-Money Laundering
6
O
Optional Courses
(to meet the 72 hour requirement)
 
Credits
Virtual “V”
Online “O”
Inside Canada’s Securities Industry
32
O
Regulatory Development
12
O
Basel III
4
O
FATCA
6
O
CRM II
6
O
 
Certified Supervision, Risk & Regulation Specialist (CSRRS)
 
Mandatory Courses
 
Credits
Virtual “V”
Online “O”
Branch Manager Training Course
12
V
Life of A Trade
12
O
Mutual Fund Regulation and Governance
12
O
Anti-Money Laundering
6
O
Final Assignment
 
Take Home
Optional Courses
(to meet the 72 hour requirement)
 
Credits
Virtual “V”
Online “O”
The US and European Regulatory Framework
8
O
Regulatory Development
12
O
Basel III
4
O
FATCA
6
O
CRM II
6
O
 
 
Certified Year-End Tax Specialist (CYTS)
 
Mandatory Courses
 
Credits
Virtual “V”
Online “O”
Inside Canada’s Securities Industry
32
O
Inside Canada’s Mutual Fund Industry
12
O
Year-End Tax
8
V
Corporate Actions & Entitlements
3
O
Optional Courses
(to meet the 72 hour requirement)
 
Credits
Virtual “V”
Online “O”
Understanding Investment Returns
8
O
Cyber Security
9
O
FATCA
6
O
 
 
Professional Certificate in Brokerage Operations (PCBO)
 
Mandatory Courses
 
Credits
Virtual “V”
Online “O”
Inside Canada’s Securities Industry
32
O
Inside Canada’s Mutual Fund Industry
12
O
Life of A Trade
12
O
Corporate Actions & Entitlements
3
O
Final Exam
2
V
Optional Courses
(to meet the 72 hour requirement)
 
Credits
Virtual “V”
Online “O”
Understanding Investment Returns
8
O
Anti-Money Laundering
6
O
Global Securities: Custody
12
V
FATCA
6
O
Corporate Actions & Entitlements
3
O
CRM II
6
O
  
 
Professional Certificate in Mutual Funds Operations (PCMO)
 
Mandatory Courses
 
Credits
Virtual “V”
Online “O”
Inside Canada’s Mutual Fund Industry
12
O
Inside Canada’s Securities Industry
32
O
Mutual Fund Regulation and Governance
12
O
Life of A Trade
12
O
Exchange Traded Funds for Representatives of Mutual Fund Dealers
12
O
Final Exam
2
V
Optional Courses
(to meet the 72 hour requirement)
 
Credits
Virtual “V”
Online “O”
Understanding Investment Returns
8
O
Anti-Money Laundering
6
O
FATCA
6
O
Corporate Actions & Entitlements
3
O
CRM II
6
O

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.

EXAMPLE

  
 
 
Click here to view all records
 
Smart Certificate®
Certification Smart Certificate®
Acronym None
Issuing Organization Smarten Up Institute
Certification Status Currently offered and recognized by the issuing organization
Prerequisites/ Experience Required None
Educational Requirements Students receive a Smart Certificate™ upon successful completion of any one (1) course within a general category and confirmed attendance of any six (6) Smart Talk® events
Exam Type Classroom: a combination of Multiple Choice, True/False, and Applied Concept questions.

On Line: Multiple Choice and True/False

Continuing Education No
Investor Complaint Process No
Public Disciplinary Process No
Check Professional’s Status Online No