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Bulletin #0512-M

Membership Information
2012 Financial Filing Deadlines



Contact: Ken Woodard
BULLETIN #0512 – M
Director, Communications & Membership Services
December 16, 2011
Phone: 416-943-4602
E-mail: kwoodard@mfda.ca

MFDA Bulletin

Membership Information

For Distribution to Relevant Parties within your Firm

2012 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 Form 1 with the MFDA no later than 20
business days after the month end
and audited financial statements and an audited Form1 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 2012.

DM#278331

DM # 278331 Page 1 of 3


SCHEDULE A
Mutual Fund Dealers Association of Canada
Assessments for late filing


Name of Filing
Filing Deadline
Fine
1.
Annual Audited Form 1
Within 90 days of
$250/business day
Member’s fiscal year end
2.
Unaudited Form 1
Within 20 business days of
$100/business day
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
2012 financial filing deadlines

Unaudited Form 1
Audited Form 1

Month Ending
Due Fiscal
Year
Ending
Due

January 31, 2012
February 29, 2012
January 31, 2012
April 30, 2012
February 29, 2012
March 28, 2012
February 29, 2012
May 29, 2012
March 31, 2012
April 30, 2012
March 31, 2012
June 29, 2012
April 30, 2012
May 29, 2012
April 30, 2012
July 30, 2012
May 31, 2012
June 28, 2012
May 31, 2012
August 29, 2012
June 30, 2012
July 30, 2012
June 30, 2012
September 28, 2012
July 31, 2012
August 29, 2012
July 31, 2012
October 29, 2012
August 31, 2012
October 1, 2012
August 31, 2012
November 29, 2012
September 30, 2012
October 29, 2012
September 30, 2012
December 31, 2012
October 31, 2012
November 29, 2012
October 31, 2012
January 29, 2013
November 30, 2012
January 2, 2013
November 30, 2012
February 28, 2013
December 31, 2012
January 29, 2013
December 31, 2012
April 1, 2013

The above due dates take into consideration all national and provincial statutory holidays.