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Bulletin #0171-M

Membership Information
2005/2006 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:
Laurie
Gillett
BULLETIN #0171 – M
Manager, Communications & Membership Services

October 26, 2005
Phone: 416-943-5827
E-mail : lgillett@mfda.ca

MFDA Bulletin

Membership Information

For Distribution to Relevant Parties within your Firm


2005/2006 Financial Filing Deadlines

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 2005/2006.

(doc #69223)
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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

2005/2006 FINANCIAL FILING DEADLINES

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

ENDING
November 30, 2005
December 30, 2005
November 30, 2005
February 28, 2006
December 31, 2005
January 30, 2006
December 31, 2005
March 31, 2006
January 31, 2006
February 28, 2006
January 31, 2006
May 1, 2006
February 28, 2006
March 28, 2006
February 28, 2006
May 29, 2006
March 31, 2006
May 1, 2006
March 31, 2006
June 29, 2006
April 30, 2006
May 29, 2006
April 30, 2006
July 31, 2006
May 31, 2006
June 28, 2006
May 31, 2006
August 29, 2006
June 30, 2006
July 31, 2006
June 30, 2006
September 28, 2006
July 31, 2006
August 29, 2006
July 31, 2006
October 30, 2006
August 31, 2006
September 29, 2006
August 31, 2006
November 29, 2006
September 30, 2006
October 30, 2006
September 30, 2006
December 29, 2006
October 31, 2006
November 28, 2006
October 31, 2006
January 29, 2007
November 30, 2006
January 2, 2007
November 30, 2006
February 28, 2007
December 31, 2006
January 29, 2007
December 31, 2006
April 2, 2007

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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