Under the second version of proposed National Instrument 31-103 Registration Requirements all registrants will be required to establish compliance and supervisory procedures, including procedures concerning management of conflicts of interest and, in most cases, complaint handling. Detailed guidelines are given to registrants seeking to comply with these requirements. The compliance requirements and guidelines will apply, with two exceptions, uniformly to all registered dealers, advisers and investment fund managers.

type Investment Management Advisory - April 2008 - Proposed National Instrument 31-103: Enhanced Compliance And Supervision Expectations