BULLETIN #0767-M

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Ken Woodard

Director, Communications & Membership Services

(416) 943-4602

kwoodard@mfda.ca

BULLETIN #0767-M

December 17, 2018

2019 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 2019.


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
2019 financial filing deadlines

Unaudited Form 1

Audited Form 1

Month Ending

Due

Fiscal Year Ending

Due

January 31, 2019

March 1, 2019

January 31, 2019

May 1, 2019

February 28, 2019

March 28, 2019

February 28, 2019

May 29, 2019

March 31, 2019

April 29, 2019

March 31, 2019

July 2, 2019

April 30, 2019

May 29, 2019

April 30, 2019

July 29, 2019

May 31, 2019

July 2, 2019

May 31, 2019

August 29, 2019

June 30, 2019

July 29, 2019

June 30, 2019

September 30, 2019

July 31, 2019

August 29, 2019

July 31, 2019

October 29,2019

August 31, 2019

September 30, 2019

August 31, 2019

November 29, 2019

September 30, 2019

October 29, 2019

September 30, 2019

December 30, 2019

October 31, 2019

November 29, 2019

October 31, 2019

January 29, 2020

November 30, 2019

December 31, 2019

November 30, 2019

February 28, 2020

December 31, 2019

January 29, 2020

December 31, 2019

March 30, 2020

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

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