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Bulletin #0552-M

Membership Information
2013 Financial Filing Deadlines



Contact: Ken Woodard
BULLETIN #0552-M
Director, Communications & Membership Services
December 14, 2012
Phone: 416-943-4602
E-mail: kwoodard@mfda.ca

MFDA Bulletin

Membership Information

For Distribution to Relevant Parties within your Firm

2013 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 Form 1 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 2013.

DM#322308

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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 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.

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SCHEDULE B
Mutual Fund Dealers Association of Canada
2013 financial filing deadlines

Unaudited Form 1
Audited Form 1

Month Ending
Due Fiscal
Year
Ending
Due

January 31, 2013
March 1, 2013
January 31, 2013
May 1, 2013
February 28, 2013
March 28, 2013
February 28, 2013
May 29, 2013
March 31, 2013
April 26, 2013
March 31, 2013
July 2, 2013
April 30, 2013
May 29, 2013
April 30, 2013
July 29, 2013
May 31, 2013
June 28, 2013
May 31, 2013
August 29, 2013
June 30, 2013
July 29, 2013
June 30, 2013
September 30, 2013
July 31, 2013
August 29, 2013
July 31, 2013
October 29, 2013
August 31, 2013
September 30, 2013 August 31, 2013
November 29, 2013
September 30, 2013
October 29, 2013
September 30, 2013 December 30, 2013
October 31, 2013
November 29, 2013 October 31, 2013
January 29, 2014
November 30, 2013
December 31, 2013
November 30, 2013 February 28, 2014
December 31, 2013
January 29, 2014
December 31, 2013
March 31, 2014

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

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