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Bulletin #0279-M

Membership Information
2007/2008 Financial Filing Deadlines


Contact: Ken Woodard
BULLETIN #0279 – M
Director, Communications & Membership Services
October 1, 2007
Phone: 416-943-4602
E-mail: kwoodard@mfda.ca

MFDA Bulletin

Membership Information

For Distribution to Relevant Parties within your Firm


2007/2008 Financial Filing Deadlines

Members are reminded that, unless they are subject to earlier filing deadlines due to 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 2007/2008.

(doc #120727)
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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

2007/2008 FINANCIAL FILING DEADLINES

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

ENDING
December 31, 2007
January 29, 2008
December 31, 2007
March 31, 2008
January 31, 2008
February 28, 2008
January 31, 2008
April 30, 2008
February 29, 2008
March 31, 2008
February 29, 2008
May 29, 2008
March 31, 2008
April 28, 2008
March 31, 2008
June 30, 2008
April 30, 2008
May 29, 2008
April 30, 2008
July 29, 2008
May 31, 2008
June 27, 2008
May 31, 2008
August 29, 2008
June 30, 2008
July 29, 2008
June 30, 2008
September 29, 2008
July 31, 2008
August 29, 2008
July 31, 2008
October 29, 2008
August 31, 2008
September 29, 2008
August 31, 2008
December 1, 2008
September 30, 2008
October 29, 2008
September 30, 2008
December 29, 2008
October 31, 2008
November 28, 2008
October 31, 2008
January 29, 2009
November 30, 2008
December 30, 2008
November 30, 2008
March 2, 2009
December 31, 2008
January 29, 2009
December 31, 2008
March 31, 2009

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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