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Bulletin #0593-M

Membership Information
2014 Financial Filing Deadlines



Contact: Ken Woodard
BULLETIN #0593 – M
Director, Communications & Membership Services
December 23, 2013
Phone: 416-943-4602
E-mail: kwoodard@mfda.ca

MFDA Bulletin

Membership Information

For Distribution to Relevant Parties within your Firm

2014 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 audited financial statements and an audited Form 1 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 2014.

DM#365246

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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
$250/business day
Member’s fiscal year end
2.
Unaudited Form 1
Within 20 business days of
$100/business day
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.

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SCHEDULE B
Mutual Fund Dealers Association of Canada
2014 financial filing deadlines

Unaudited Form 1 
Audited Form 1 
Month Ending 
Due 
Fiscal Year Ending 
Due 
January 31, 2014 
March 3, 2014 
January 31, 2014 
May 1, 2014 
February 28, 2014 
March 28, 2014 
February 28, 2014 
May 29, 2014 
March 31, 2014 
April 29, 2014 
March 31, 2014 
June 30, 2014 
April 30, 2014 
May 29, 2014 
April 30, 2014 
July 29, 2014 
May 31, 2014 
June 30, 2014 
May 31, 2014 
August 29, 2014 
June 30, 2014 
July 29, 2014 
June 30, 2014 
September 29, 2014 
July 31, 2014 
August 29, 2014 
July 31, 2014 
October 29, 2014 
August 31, 2014 
September 29, 2014 
August 31, 2014 
December 1, 2014 
September 30, 2014 
October 29, 2014 
September 30, 2014 
December 29, 2014 
October 31, 2014 
December 1, 2014 
October 31, 2014 
January 29, 2015 
November 30, 2014 
December 30, 2014 
November 30, 2014 
March 2, 2015 
December 31, 2014 
January 29, 2015 
December 31, 2014 
March 31, 2015 

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

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