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Bulletin #0674-M

For further information, please contact:

Ken Woodard
Director, Communications & Membership Services
Membership Information
For Distribution to Relevant Parties within your Firm

2016 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 2016.


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
2016 financial filing deadlines

Unaudited Form 1 Audited Form 1
Month Ending Due Fiscal Year Ending Due
January 31, 2016 February 29, 2016 January 31, 2016 May 2, 2016
February 29, 2016 March 29, 2016 February 29, 2016 May 30, 2016
March 31, 2016 April 28, 2016 March 31, 2016 June 29, 2016
April 30, 2016 May 30, 2016 April 30, 2016 July 29, 2016
May 31, 2016 June 29, 2016 May 31, 2016 August 29, 2016
June 30, 2016 July 29, 2016 June 30, 2016 September 28, 2016
July 31, 2016 August 29, 2016 July 31, 2016 October 31, 2016
August 31, 2016 September 29, 2016 August 31, 2016 November 29, 2016
September 30, 2016 October 31, 2016 September 30, 2016 December 29, 2016
October 31, 2016 November 29, 2016 October 31, 2016 January 30, 2017
November 30, 2016 December 30, 2016 November 30, 2016 February 28, 2017
December 31, 2016 January 30, 2017 December 31, 2016 March 31, 2017

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

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