BULLETIN #0848-M

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BULLETIN #0848-M

January 4, 2021

2021 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 2021.


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
2021 financial filing deadlines

Unaudited Form 1

Audited Form 1

Month Ending

Due

Fiscal Year Ending

Due

January 31, 2021

March 1, 2021

January 31, 2021

May 3, 2021

February 28, 2021

March 26, 2021

February 28, 2021

May 31, 2021

March 31, 2021

April 29, 2021

March 31, 2021

June 29, 2021

April 30, 2021

May 29, 2021

April 30, 2021

July 29, 2021

May 31, 2021

June 29, 2021

May 31, 2021

August 30, 2021

June 30, 2021

July 29, 2021

June 30, 2021

September 28, 2021

July 31, 2021

August 31, 2021

July 31, 2021

October 29, 2021

August 31, 2021

September 29, 2021

August 31, 2021

November 29, 2021

September 30, 2021

October 29, 2021

September 30, 2021

December 29, 2021

October 31, 2021

November 30, 2021

October 31, 2021

January 31, 2022

November 30, 2021

December 30, 2021

November 30, 2021

February 28, 2022

December 31, 2021

January 29, 2022

December 31, 2021

March 31, 2022

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

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