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ACI-SMU Executive Certificate in Financial Markets Operations (IBF Level 1)


Candidates will be assessed on the following competency unit in Technology & Operations: Operations (Investment Banking Elective)

CU1. Industry Knowledge and Awareness
CU2. Governance, Risk Management, and Compliance
CU3. Principles of Finance and Accounting
CU4. Core Concepts of Technology & Operations
CU5. Customer Account Support
CU6. Record Keeping, Reporting and Financial Controls  
CU7. Operations Performance Management
CU8. Transaction flow in Investment Banking

Format of Assessment

Participants will take a written assessment at the end of the course.


Candidates who are unsuccessful on their first attempt may apply for a re-assessment. Separate assessment fee applies.


If you are not satisfied with your assessment results, you may request that your results be re-tabulated.

The review would only involve checking through the answer scripts to ensure that there were no mistakes in the calculation of marks.

Please note that the decision on your appeal is final. You will not be permitted to re-appeal against the outcome.

Request for re-tabulation must be made in writing within 5 days from the date of release of results. Administrative fee applies for each paper reviewed.

Terms and Conditions

SMU Academy | Financial Services reserves the right to make changes to assessment dates if necessary or due to circumstances beyond our control.


Successful candidates will be awarded the ACI-SMU Executive Certificate in Financial Markets Operations (IBF Level 1), and be conferred the IBF Qualified (IBFQ) certification status.

A financial practitioner with IBFQ certification is equipped with broad-based capabilities and foundational competencies to undertake new roles.

Find out more about IBF Certification and its benefits at:

Last updated on 29 Jan 2018 .