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BULLETIN #0707-M
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Ken Woodard

Director, Communications & Membership Services

(416) 943-4602

kwoodard@mfda.ca

BULLETIN #0707-M

19 December, 2016

Member Information

For Distribution to Relevant Parties within your Firm

2017 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 an audited Form 1 no later than 90 days after the Member’s fiscal year end.

MFDA Rule 3.5.4(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 2017.

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 Member’s fiscal year end

$250/business day

2.

Unaudited Form 1

Within 20 business days of the month end. Earlier filing deadlines apply to those subject to early warning.

$100/business day

3.

Any other form or report requested by the Corporation under Rule 3.

As determined by the Corporation

$100/business day

 

 

SCHEDULE B

Mutual Fund Dealers Association of Canada

2017 financial filing deadlines

 

Unaudited Form 1

Audited Form 1

Month Ending

Due

Fiscal Year Ending

Due

January 31, 2017

March 1, 2017

January 31, 2017

May 1, 2017

February 28, 2017

March 28, 2017

February 28, 2017

May 29, 2017

March 31, 2017

May 1, 2017

March 31, 2017

June 29, 2017

April 30, 2017

May 29, 2017

April 30, 2017

July 31, 2017

May 31, 2017

June 29, 2017

May 31, 2017

August 29, 2017

June 30, 2017

July 31, 2017

June 30, 2017

September 28, 2017

July 31, 2017

August 29, 2017

July 31, 2017

October 30, 2017

August 31, 2017

September 29, 2017

August 31, 2017

November 29, 2017

September 30, 2017

October 30, 2017

September 30, 2017

December 29, 2017

October 31, 2017

November 29, 2017

October 31, 2017

January 29, 2018

November 30, 2017

January 2, 2018

November 30, 2017

February 28, 2018

December 31, 2017

January 29, 2018

December 31, 2017

April 2, 2018

 

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

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