Membership Information
2009 Financial Filing Deadlines
Contact: Ken Woodard
BULLETIN #0339 – M
Director, Communications & Membership Services
November 4, 2008
Phone: 416-943-4602
E-mail: [email protected]
MFDA Bulletin
Membership Information
For Distribution to Relevant Parties within your Firm
2009 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 2009.
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.
SCHEDULE B
MUTUAL FUND DEALERS ASSOCIATION OF CANADA
2009 FINANCIAL FILING DEADLINES
UNAUDITED FINANCIAL
AUDITED FINANCIAL
QUESTIONNAIRE AND REPORT
QUESTIONNAIRE AND REPORT
AND AUDITED FINANCIAL
STATEMENTS
MONTH ENDING
DUE FISCAL
YEAR DUE
ENDING
January 31, 2009
February 27, 2009
January 31, 2009
May 1, 2009
February 28, 2009
March 27, 2009
February 28, 2009
May 29, 2009
March 31, 2009
April 29, 2009
March 31, 2009
June 29, 2009
April 30, 2009
May 29, 2009
April 30, 2009
July 29, 2009
May 31, 2009
June 26, 2009
May 31, 2009
August 31, 2009
June 30, 2009
July 29, 2009
June 30, 2009
September 28, 2009
July 31, 2009
August 31, 2009
July 31, 2009
October 29, 2009
August 31, 2009
September 29, 2009
August 31, 2009
November 30, 2009
September 30, 2009
October 29, 2009
September 30, 2009
December 29, 2009
October 31, 2009
November 27, 2009
October 31, 2009
January 29, 2010
November 30, 2009
December 30, 2009
November 30, 2009
March 1, 2010
December 31, 2009
January 29, 2010
December 31, 2009
March 31, 2010
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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