Skip to Main Content

Bulletin #0465-M

Membership Information
2011 Financial Filing Deadlines

Contact: Ken Woodard
BULLETIN #0465 – M
Director, Communications & Membership Services
January 27, 2011
Phone: 416-943-4602
E-mail: kwoodard@mfda.ca

MFDA Bulletin

Membership Information

For Distribution to Relevant Parties within your Firm

2011 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 – Financial Questionnaire
and Report
with the MFDA no later than 20 business days after the month end and audited
financial statements and an audited Form 1 – Financial Questionnaire and Report 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 2011. Schedule
“C” outlines IFRS transition due dates for 2011 financial filings.

DM#231584
Page 1 of 4


SCHEDULE A
Mutual Fund Dealers Association of Canada
Assessments for late filing


Name of Filing
Filing Deadline
Fine
1.
Annual Audited Financial
Within 90 days of
$250/business day
Questionnaire and Report
Member’s fiscal year end
and Audited Financial
Statements
2. Unaudited
Financial
Within 20 business days of
$100/business day
Questionnaire and Report
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.

Page 2 of 4


SCHEDULE B
Mutual Fund Dealers Association of Canada
2011 financial filing deadlines

Unaudited Financial Questionnaire and
Audited Financial Questionnaire and Report and
Report
Audited Financial Statements
(Please refer to Schedule C for IFRS
Transition Due Dates)
Month Ending
Due Fiscal
Year
Ending
Due

January 31, 2011
March 1, 2011
January 31, 2011
May 2, 2011
February 28, 2011
March 28, 2011
February 28, 2011
May 30, 2011
March 31, 2011
April 29, 2011
March 31, 2011
June 29, 2011
April 30, 2011
May 30, 2011
April 30, 2011
July 29, 2011
May 31, 2011
June 29, 2011
May 31, 2011
August 29, 2011
June 30, 2011
July 29, 2011
June 30, 2011
September 28, 2011
July 31, 2011
August 29, 2011
July 31, 2011
October 31, 2011
August 31, 2011
September 29, 2011
August 31, 2011
November 29, 2011
September 30, 2011
October 31, 2011
September 30, 2011
December 29, 2011
October 31, 2011
November 29, 2011
October 31, 2011
January 30, 2012
November 30, 2011
December 30, 2011
November 30, 2011
February 28, 2012
December 31, 2011
January 30, 2012
December 31, 2011
March 30, 2012

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


Page 3 of 4




SCHEDULE “C”
Mutual Fund Dealers Association of Canada
IFRS Transition Due Dates for 2011 Financial Filings

Second IFRS

First IFRS Form
Form 1, Final

1 and
Annual Audited
Opening IFRS
Third IFRS
Date of IFRS
Month of First
Preliminary
Fiscal Year End

GAAP Form 1

Statement and
Form 1
Conversion
IFRS Form 1
Opening IFRS
Due Date
UDP/CFO
Due Date
Statement
Certificate Due
Due Date
Date
31-Dec-2010

01-Jan-2011

Jan-2011

31-Mar-2011

15-Mar-2011

11-Apr-2011

6-May-2011
31-Jan-2011

01-Feb-2011

Feb-2011

2-May-2011

11-Apr-2011

13-May-2011

6-Jun-2011
28-Feb-2011

01-Mar-2011

Mar-2011

30-May-2011

13-May-2011

13-Jun-2011

7-Jul-2011
31-Mar-2011

01-Apr-2011

Apr-2011

29-Jun-2011

13-Jun-2011

14-Jul-2011

8-Aug-2011
30-Apr-2011

01-May-2011

May-2011

29-Jul-2011

14-Jul-2011

15-Aug-2011

6-Sep-2011
31-May-2011

01-Jun-2011

Jun-2011

29-Aug-2011

15-Aug-2011

13-Sep-2011

6-Oct-2011
30-Jun-2011

01-Jul-2011

Jul-2011

28-Sep-2011

13-Sep-2011

14-Oct-2011

7-Nov-2011
31-Jul-2011

01-Aug-2011

Aug-2011

31-Oct-2011

14-Oct-2011

15-Nov-2011

6-Dec-2011
31-Aug-2011

01-Sep-2011

Sep-2011

29-Nov-2011

15-Nov-2011

13-Dec-2011

9-Jan-2012
30-Sep-2011

01-Oct-2011

Oct-2011

29-Dec-2011

13-Dec-2011

16-Jan-2012

6-Feb-2012
31-Oct-2011

01-Nov-2011

Nov-2011

30-Jan-2012

16-Jan-2012

13-Feb-2012

7-Mar-2012
30-Nov-2011

01-Dec-2011

Dec-2011

28-Feb-2012

13-Feb-2012

14-Mar-2012

4-Apr-2012

Page 4 of 4