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.
The following designation Certificates are available:
- Advisor Assistant Professional Certificate - AAPC
- Certified Anti-Money Laundering Specialist - CAMLS
- Certified Capital Markets Trading Specialist - CCMS
- Certified ETF Specialist - CETFS
- Certified Regulatory Compliance Specialist - CRCS
- Certified Supervision, Risk and Regulation Specialist - CSRRS
- Certified Year-End Tax Specialist - CYTS
- Professional Certificate in Brokerage Operations - PCBO (Equivalent to the US Series 99)
- Professional Certificate in Mutual Fund Operations - PCMO
|
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
|
|
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
|
|
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
|
|
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
|
|
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
|
|
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
|
|
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
|
|
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
|
|
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
|
||||||||||||||||||||||||||||||||
|
||||||||||||||||||||||||||||||||
Follow SUI