2023 Financial Filing Deadlines

bulletin0926-M
Type:
Member Bulletin
Division
Mutual Fund Dealer

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 FilingFiling DeadlineFine
1.Annual Audited Form 1Within 90 days of Member’s fiscal year end$250/business day
2.Unaudited Form 1Within 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 1Audited Form 1
Month EndingDueFiscal Year EndingDue
January 31, 2023March 1, 2023January 31, 2023May 1, 2023
February 28, 2023March 28, 2023February 28, 2023May 29, 2023
March 31, 2023May 1, 2023March 31, 2023June 29, 2023
April 30, 2023May 29, 2023April 30, 2023July 31, 2023
May 31, 2023June 29, 2023May 31, 2023August 29, 2023
June 30, 2023July 31, 2023June 30, 2023September 28, 2023
July 31, 2023August 29, 2023July 31, 2023October 30, 2023
August 31, 2023September 29, 2023August 31, 2023November 29, 2023
September 30, 2023October 30, 2023September 30, 2023December 29, 2023
October 31, 2023November 29, 2023October 31, 2023January 29, 2024
November 30, 2023January 2, 2024November 30, 2023February 28, 2024
December 31, 2023January 29, 2024December 31, 2023April 1, 2024

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

bulletin0926-M
Type:
Member Bulletin
Division
Mutual Fund Dealer

Other Notices associated with this Enforcement Proceeding:

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