Certificates and Designations - Letters Matter

Smarten Up Institute offers three levels of certification in varying fields of study in the financial industry. An explanation of our academic designations follows. For information on course content and schedules please visit the SUI Courses section of this website. 

Students will receive the Professional or Specialist Certificate designation:

  • in recognition of category expertise upon completion of 72 hours of course work including requisite courses  and assignments within a general category
 How to qualify:
  • complete 72 hours of course work within a general category within 3 years
  • receive a passing grade of 60% in all classroom courses and 75% for on-line
  • for instructor-led courses, students must attend at least 80% of the sessions
Example: The Professional Certificate in Brokerage Operations - PCBO is received upon successful completion of the following requisite courses:
  • Inside Canada's Securities Industry
  • Inside Canada's Mutual Fund Industry
  • Global Securities: Trading and Settlement
 And any optional classroom or on-line courses necessary to complete the relevant certificate requirement as outlined.
 
Note: For some designations, a final assignment is required in addition to the exam.

The Professional or Specialist Certification is valid for 3 years. 36 hours of Continuing Education within a 3 year cycle is required to maintain the designation in good standing.

 
The following designation Certificates are available:
 
"Advisor Assistant Professional Certificate"  Designation Course Requirements
Mandatory Courses Online "O"
Virtual "V"
HRS of Credit Mandatory "M"
Optional "O"
 
Advisor Assistant Training Course V 12 M  
Ethics for Representatives of Investment Dealers O 2 M  
Optional Courses 
(to meet the 72 hour requirement)
Online "O"
Virtual "V"

HRS of Credit

Mandatory "M"
Optional "O"
 
Understanding Investment Returns O 8 O  
Anti-Money Laundering O 6 O  
FATCA O 6 O  
CRM II O 6 O  
Advanced ETFs O 6 O  
Leveraged ETFs O 12 O  
A Guide to Understanding the Derivatives Market O 9 O  
Introduction to ETFs O 4 O   

"Certified Anti-Money Laundering Specialist"  Designation Course Requirements
Eligible Courses Online "O"
Classroom "C"
HRS of Credit Mandatory "M"
Optional "O"
 
Inside Canada’s Securities Industry
Note:  either online or classroom for qualification
C 25 O  
Inside Canada’s Securities Industry
Note:  either online or classroom for qualification
O 25 O  
Anti-Money Laundering
Note:  either online or classroom for qualification
O 6 M  
Anti-Money Laundering
Note:  either online or classroom for qualification
C 6 M  
Anti-Money Laundering  - Level II
Note:  either online or classroom for qualification
O 6 M  
Anti-Money Laundering  - Level II
Note:  either online or classroom for qualification
C 6 M  
FATCA Lite
Note:  either online or classroom for qualification
O 6 M  
FATCA Lite
Note:  either online or classroom for qualification
C 6 M  
Full Fat FATCA
Note:  either online or classroom for qualification
O 6 M  
Full Fat FATCA
Note:  either online or classroom for qualification
C 6 M  
Final Assignment - Audit        

Eligible Courses Online "O"
Classroom "C"
HRS of Credit Mandatory "M"
Optional "O"
 
Inside Canada’s Securities Industry
Note:  either online or classroom for qualification
C 25 O  
Inside Canada’s Securities Industry
Note:  either online or classroom for qualification
O 25 O  
Life of Trade  C 12 M  
Debt and Fixed Income  O 4 M  
Advanced ETFs  O 6 M  
Advanced ETFs C 6 O  
Science of ETFs C 16 O  
Leveraged ETFs O 12 O  
Leveraged ETFs  C 12 O  
A Guide to Understanding the Derivatives Market  O 9 M  
Introduction to Options  O 4 M  
Introduction to ETFs  O 4 O  
Options Based Portfolio Strategies  O   O  
Final Exam    2 M   

Eligible Courses
Online "O"
Classroom "C"
HRS of Credit
Mandatory "M"
Optional "O"
 
Introduction to ETFs
O
4
O
 
Advanced ETFs
O
6
M
 
Advanced ETFs
C
6
M
 
Science of ETFs
C
16
M
 
Leveraged ETFs
O
12
M
 
Leveraged ETFs
C
12
O
 
A Guide to Understanding the Derivatives Market
O
9
O
 
CRM II
O
6
O
 
CRM II
C
6
O
 
Anti-Money Laundering
O
6
O
 
Anti-Money Laundering
C
6
O
 
Ethics for Representatives of Investment Dealers
O
2
O
 
Final Assignment
TAKE HOME
15-25
M
 


Eligible Courses
Online "O"
Classroom "C"
HRS of Credit
Mandatory "M"
Optional "O"
 
Inside Canada’s Securities Industry
Note:  either online or classroom for qualification
C
25
O
 
Inside Canada’s Securities Industry
Note:  either online or classroom for qualification
O
25
O
 
Compliance and Audit
C
8
M
 
Compliance for the Securities Industry (Levels I, II and III)
C
42
M
 
Mutual Fund Regulation and Governance
Note:  either online or classroom for qualification
C
12
M
 
Mutual Fund Regulation and Governance
Note:  either online or classroom for qualification
O
12
M
 
Regulatory Development
C
12
O
 
Basel III
O
4
O
 
Basel III
C
4
O
 
Anti-Money Laundering
O
6
M
 
Anti-Money Laundering
C
6
M
 
Dodd-Frank Act
O
4
O
 
Dodd-Frank Act
C
4
O
 
FATCA
O
6
O
 
FATCA
C
6
O
 
CRM II
O
6
O
 
CRM II
C
6
O
 

Eligible Courses
Online "O"
Classroom "C"
HRS of Credit
Mandatory "M"
Optional "O"
 
Branch Manager Training course
C
12
M
 
Global Securities: Trading and Settlement Level I
C
12
M
 
Mutual Fund Regulation and Governance
Note:  either online or classroom for qualification
C
12
M
 
Mutual Fund Regulation and Governance
Note:  either online or classroom for qualification
O
12
M
 
Regulatory Development
C
12
O
 
The U.S. and European Regulatory Framework
O
8
O
 
Basel III
O
4
O
 
Basel III
C
4
O
 
Anti-Money Laundering
O
6
M
 
Anti-Money Laundering
C
6
M
 
Dodd-Frank Act
O
4
O
 
Dodd-Frank Act
C
4
O
 
FATCA
O
6
O
 
FATCA
C
6
O
 
CRM II
O
6
O
 
CRM II
C
6
O
 
Final Assignment
 TAKE HOME
 
 
 

Eligible Courses
Online "O"
Classroom "C"
HRS of Credit
Mandatory "M"
Optional "O"
 
Inside Canada’s Securities Industry
Note:  either online or classroom for qualification
C
25
M
 
Inside Canada’s Securities Industry
Note:  either online or classroom for qualification
O
25
M
 
Year-end Tax
C
8
M
 
Inside Canada’s Mutual Fund Industry
Note:  either online or classroom for qualification
C
12
O
 
Inside Canada’s Mutual Fund Industry
Note:  either online or classroom for qualification
O
12
O
 
Understanding Investment Returns
O
8
O
 
Corporate Actions and Entitlements
O
3
M
 
Approved other optional SUI course
O or C
 
 
 
Final Assignment
TAKE HOME
 
 
 

"Professional Certificate in Brokerage Operations"  Designation Course Requirements
Eligible Courses Online "O"
Classroom "C"
HRS of Credit Mandatory "M"
Optional "O"
 
Inside Canada’s Securities Industry
Note:  either online or classroom for qualification
C 25 M  
Inside Canada’s Securities Industry
Note:  either online or classroom for qualification
O 25 M  
Global Securities:Trading and Settlement  C 25 M  
Inside Canada’s Mutual Fund Industry
Note:  either online or classroom for qualification
C 12 M  
Inside Canada’s Mutual Fund Industry
Note:  either online or classroom for qualification
O 12 M  
Understanding Investment Returns  O 8 O  
Anti-Money Laundering  O 6 O  
Anti-Money Laundering  C 6 O  
Global Securities: Custody C 12 O  
Corporate Actions and Entitlements  O 3 O  
FATCA O 6 O  
FATCA C 6 O  
CRM II O 6 O  
CRM II C 6 O  
Final Exam    2 M  
       
 "Professional Certificate in Mutual Fund Operations"  Designation Course Requirements
Eligible Courses Online "O"
Classroom "C"
HRS of Credit Mandatory "M"
Optional "O"
 
Inside Canada’s Securities Industry
Note:  either online or classroom for qualification
C 25 O  
Inside Canada’s Securities Industry
Note:  either online or classroom for qualification
O 25 O  
Mutual Fund Regulation and Governance
Note:  either online or classroom for qualification
C 12 M  
Mutual Fund Regulation and Governance
Note:  either online or classroom for qualification
O 12 M  
Inside Canada’s Mutual Fund Industry
Note:  either online or classroom for qualification
C 12 M  
Inside Canada’s Mutual Fund Industry
Note:  either online or classroom for qualification
O 12 M  
Exchange Traded Funds for Mutual Fund Dealers C 12 M  
Understanding Investment Returns O 8 O  
Anti-Money Laundering O 6 O  
Anti-Money Laundering C 6 O  
FATCA O 6 O  
FATCA C 6 O  
CRM II O 6 O  
CRM II C 6 O  
Approved other optional SUI course O or C      
Final Exam   2 M  


NOTE:  
Information on all certificates as 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