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BULLETIN #0737-M
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Ken Woodard

Director, Communications & Membership Services

(416) 943-4602

kwoodard@mfda.ca

BULLETIN #0737-M

December 20, 2017

Membership Information

For Distribution to Relevant Parties within your Firm

2018 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 2018.


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
2018 financial filing deadlines

Unaudited Form 1

Audited Form 1

Month Ending

Due

Fiscal Year Ending

Due

January 31, 2018

March 1, 2018

January 31, 2018

May 1, 2018

February 28, 2018

March 28, 2018

February 28, 2018

May 29, 2018

March 31, 2018

April 27, 2018

March 31, 2018

June 29, 2018

April 30, 2018

May 29, 2018

April 30, 2018

July 30, 2018

May 31, 2018

June 29, 2018

May 31, 2018

August 29, 2018

June 30, 2018

July 30, 2018

June 30, 2018

September 28, 2018

July 31, 2018

August 29, 2018

July 31, 2018

October 29,2018

August 31, 2018

October 1, 2018

August 31, 2018

November 29, 2018

September 30, 2018

October 29, 2018

September 30, 2018

December 31, 2018

October 31, 2018

November 29, 2018

October 31, 2018

January 29, 2019

November 30, 2018

January 2, 2019

November 30, 2018

February 28, 2019

December 31, 2018

January 29, 2019

December 31, 2018

April 1, 2019

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

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