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Bulletin #0926-M

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Membership Information
For Distribution to Relevant Parties within your Firm

2023 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 2023.


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
2023 financial filing deadlines

Unaudited Form 1

Audited Form 1

Month Ending

Due

Fiscal Year Ending

Due

January 31, 2023

March 1, 2023

January 31, 2023

May 1, 2023

February 28, 2023

March 28, 2023

February 28, 2023

May 29, 2023

March 31, 2023

May 1, 2023

March 31, 2023

June 29, 2023

April 30, 2023

May 29, 2023

April 30, 2023

July 31, 2023

May 31, 2023

June 29, 2023

May 31, 2023

August 29, 2023

June 30, 2023

July 31, 2023

June 30, 2023

September 28, 2023

July 31, 2023

August 29, 2023

July 31, 2023

October 30, 2023

August 31, 2023

September 29, 2023

August 31, 2023

November 29, 2023

September 30, 2023

October 30, 2023

September 30, 2023

December 29, 2023

October 31, 2023

November 29, 2023

October 31, 2023

January 29, 2024

November 30, 2023

January 2, 2024

November 30, 2023

February 28, 2024

December 31, 2023

January 29, 2024

December 31, 2023

April 1, 2024

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