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Bulletin #0100-M

Membership Information
2004/2005 Financial Filing Deadlines

Mutual Fund Dealers Association of Canada
Association canadienne des courtiers de fonds mutuels
121 King Street West, Suite 1600, Toronto, Ontario, M5H 3T9
TEL: 416-361-6332 FAX: 416-943-1218 WEBSITE: www.mfda.ca


Contact:
David
Liptrott
BULLETIN #0100 – M
Senior Membership Services Coordinator

October 12, 2004
Phone: 416-943-4668
E-mail : dliptrott@mfda.ca

MFDA Bulletin

Membership Information

For Distribution to Relevant Parties within your Firm


2004/2005 Financial Filing Deadlines

Effective October 1, 2004, the MFDA’s Membership Services Department will no longer issue
reminder letters to MFDA Members concerning their financial filing requirements.

Members are reminded that, unless they are specifically subject to earlier time periods due to the
imposition of early warning requirements, they are required to file an unaudited Financial
Questionnaire and Report with the MFDA no later than 20 business days after the month end
and audited financial statements and an audited Financial Questionnaire and Report no later
than 90 days after the Member’s fiscal year end.

MFDA Rule 3.5.5(b) provides for the levy of fines or assessments for the failure of a Member or
its auditor to file any report, form or financial statements required under MFDA Rule 3. As of
December 1, 2003, the MFDA commenced imposing fees for late filing of information in the
amounts prescribed in the attached Schedule A.

Attached as Schedule B is a schedule outlining financial filing deadlines for 2004/2005.

(doc #42509)
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SCHEDULE A

MUTUAL FUND DEALERS ASSOCIATION OF CANADA

ASSESSMENTS FOR LATE FILING


Name of Filing
Filing Deadline
Fine
1.
Annual Audited Financial
Within 90 days of
$250/business day
Questionnaire and Report
Member’s fiscal year end
and Audited Financial
Statements
2. Unaudited
Financial
Within 20 business days of
$100/business day
Questionnaire and Report
the month end. Earlier
filing deadlines apply to
those subject to early
warning.
3.
Any other form or report
As determined by the
$100/business day
requested by the Corporation Corporation
under Rule 3.

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SCHEDULE B

MUTUAL FUND DEALERS ASSOCIATION OF CANADA

2004/2005 FINANCIAL FILING DEADLINES

UNAUDITED FINANCIAL
AUDITED FINANCIAL
QUESTIONNAIRE AND REPORT
QUESTIONNAIRE AND REPORT
AND AUDITED FINANCIAL
STATEMENTS
MONTH ENDING
DUE FISCAL
YEAR DUE

ENDING
September 30, 2004
October 29, 2004
September 30, 2004
December 29, 2004
October 31, 2004
November 26, 2004
October 31, 2004
January 29, 2005
November 30, 2004
December 30, 2004
November 30, 2004
February 28, 2005
December 31, 2004
January 31, 2005
December 31, 2004
March 31, 2005
January 31, 2005
February 28, 2005
January 31, 2005
May 2, 2005
February 28, 2005
March 29, 2005
February 28, 2005
May 30, 2005
March 31, 2005
April 28, 2005
March 31, 2005
June 29, 2005
April 30, 2005
May 30, 2005
April 30, 2005
July 29, 2005
May 31, 2005
June 28, 2005
May 31, 2005
August 29, 2005
June 30, 2005
July 29, 2005
June 30, 2005
September 28, 2005
July 31, 2005
August 29, 2005
July 31, 2005
October 31, 2005
August 31, 2005
September 29, 2005
August 31, 2005
November 29, 2005
September 30, 2005
October 31, 2005
September 30, 2005
December 29, 2005
October 31, 2005
November 28, 2005
October 31, 2005
January 30, 2006
November 30, 2005
December 30, 2005
November 30, 2005
February 28, 2006
December 31, 2005
January 30, 2006
December 31, 2005
March 31, 2006

The above dates have been determined taking into consideration Canadian statutory holidays.
Should there be provincial statutory holidays that the Member observes (i.e. the Member is
closed for business on that day), the deadline may be adjusted to reflect these holidays.

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