0001752724-20-004391.txt : 20200114
0001752724-20-004391.hdr.sgml : 20200114
20200114164048
ACCESSION NUMBER: 0001752724-20-004391
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20191031
FILED AS OF DATE: 20200114
DATE AS OF CHANGE: 20200114
EFFECTIVENESS DATE: 20200114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SCHRODER GLOBAL SERIES TRUST
CENTRAL INDEX KEY: 0001236572
IRS NUMBER: 000000000
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1031
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-21364
FILM NUMBER: 20526397
BUSINESS ADDRESS:
STREET 1: ONE FREEDOM VALLEY DRIVE
CITY: OAKS
STATE: PA
ZIP: 19456
BUSINESS PHONE: 8004643108
MAIL ADDRESS:
STREET 1: ONE FREEDOM VALLEY DRIVE
CITY: OAKS
STATE: PA
ZIP: 19456
0001236572
S000010680
NORTH AMERICAN EQUITY FUND
C000029559
NORTH AMERICAN EQUITY FUND - INVESTOR CLASS
SNAEX
C000029580
NORTH AMERICAN EQUITY FUND - ADVISOR CLASS
SNAVX
N-CEN
1
primary_doc.xml
X0201
N-CEN
LIVE
0001236572
XXXXXXXX
811-21364
N-1A
true
SCHRODER GLOBAL SERIES TRUST
811-21364
0001236572
549300Q0I3CJLGMNVV33
ONE FREEDOM VALLEY DRIVE
OAKS
19456
US-PA
US
8004643108
Schroder Investment Management North America, Inc.
7 Bryant Park
New York
10018-3706
1-212-641-3800
Records as Advisor for Trust
SEI INVESTMENTS GLOBAL FUNDS SERVICES
1 Freedom Valley Drive
OAKS
19456
610-676-1000
Records as Administrator for Trust
Schroder Investment Management North America, Ltd.
31 Gresham Street
London
GB
EC2B 7QA
44-020-7658-6000
Records as sub-advisor for Trust
SEI INVESTMENTS DISTRIBUTION COMPANY
1 Freedom Valley Drive
OAKS
19456
610-676-1000
Records as Distributor for Trust
J.P. MORGAN CHASE & CO.
270 Park Avenue
New York
10017-2070
212-270-6000
Records as Custodian for Trust
DST Asset Manager Solutions, Inc.
311 W. 11th Street
Kansas City
64105
816-435-1000
Records as Transfer Agent for Trust
N
N
N-1A
1
N
Thomas P. Lemke
N/A
N
Randall S. Yanker
N/A
N
Jon C Hunt
N/A
N
Jay Nadel
N/A
N
William M. Doran
N/A
Y
Russell Emery
N/A
1 Freedom Valley Drive
Oaks
19456
XXXXXX
N
N
N
N
N
N
N
SEI INVESTMENTS DISTRIBUTION CO.
8-27897
000010690
N/A
N
N
PRICEWATERHOUSECOOPERS, LLP
238
5493009NI73B74CHXG16
N
N
N
N
N
N
N
Schroder North American Equity Fund
S000010680
549300T2Z8OXVWNVQ241
N
2
0
0
N/A
N
N
Y
N
N/A
N/A
N/A
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
Schroder Investment Management North America, Inc.
801-15834
000105820
5493003P29LAPF3HFV10
N
Schroder Investment Management North American, Ltd.
801-37163
000106585
54930087VYMSIGK4TY26
Y
GB
N
DST Asset Manager Solutions, Inc.
084-00896
N/A
N
N
N
Intercontinental Exchange, Inc.
5493000F4ZO33MV32P92
N
Thomson Reuters Corporation
549300561UZND4C7B569
CA
N
S&P
549300U4VWNITEKO2881
N
IHS Markit
549300HLPTRASHS0E726
GB
N
Pricing Direct
549300WIC0TOJ7N7GD54
N
Bloomberg
254900BF4G8VMW8GG471
N
N
Royal Bank of Canada
ES7IP3U3RHIGC71XBU11
CA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. MORGAN CHASE & CO.
8I5DZWZKVSZI1NUHU748
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
N
DST SYSTEMS, INC.
21B7QCD05XOK0YTYOP98
N
N
N
SEI INVESTMENTS GLOBAL FUNDS SERVICES
801-24593
SEC File Number
N
N
N
SEI INVESTMENTS DISTRIBUTION COMPANY
8-27897
000010690
N/A
0
Bank of America
008-69787
000283942
549300HN4UKV1E2R3U73
4663.46
Cowen and Company
008-40756
000023857
5493008QI0EFC5WBED75
22871.13
TD Securities
008-36747
000018476
5493006RJSLS5DA4PD75
3365.48
Haitong International Securities
008-66566
000132201
549300NE01PCWMXUF415
16151.15
State Street
008-69862
000285852
549300FDEDF5ORXCMQ56
15915.37
UBS
008-16267
000008174
ETYRV6ORNFJB5NONI676
17726.5
ITG
008-44218
000029299
549300S41SMIODVIT266
6630.97
Goldman Sachs
008-00129
000000361
FOR8UP27PHTHYVLBNG30
15791.33
Liquidnet
008-52461
000103987
213800HSKBBO1GCVRG79
7647.34
Citigroup
008-08177
000007059
MBNUM2BPBDO7JBLYG310
16952.07
128978.48
Cowen and Company
008-40756
000023857
5493008QI0EFC5WBED75
20117.52
20117.52
Y
962858915.67
Committed
50000000
N
N
N
N
false
false
true
false
false
false
INTERNAL CONTROL RPT
2
Schroder_Global_Series_Trust.txt
INTERNAL CONTROL LETTER
Report of Independent Registered Public Accounting
Firm
To the Board of Trustees of Schroder Global Series
Trust and Shareholders of Schroder North American
Equity Fund
In planning and performing our audit of the
financial statements of Schroder North American
Equity Fund (constituting Schroder Global Series
Trust, hereafter referred to as the Fund) as of and
for the year ended October 31, 2019, in accordance
with the standards of the Public Company Accounting
Oversight Board (United States) (PCAOB), we
considered the Funds internal control over financial
reporting, including controls over safeguarding
securities, as a basis for designing our auditing
procedures for the purpose of expressing our opinion
on the financial statements and to comply with the
requirements of Form N-CEN, but not for the purpose
of expressing an opinion on the effectiveness of the
Funds internal control over financial
reporting. Accordingly, we do not express an
opinion on the effectiveness of the Funds internal
control over financial reporting.
The management of the Fund is responsible for
establishing and maintaining effective internal
control over financial reporting. In fulfilling this
responsibility, estimates and judgments by
management are required to assess the expected
benefits and related costs of controls. A companys
internal control over financial reporting is a
process designed to provide reasonable assurance
regarding the reliability of financial reporting and
the preparation of financial statements for external
purposes in accordance with generally accepted
accounting principles. A companys internal control
over financial reporting includes those policies and
procedures that (1) pertain to the maintenance of
records that, in reasonable detail, accurately and
fairly reflect the transactions and dispositions of
the assets of the company; (2) provide reasonable
assurance that transactions are recorded as
necessary to permit preparation of financial
statements in accordance with generally accepted
accounting principles, and that receipts and
expenditures of the company are being made only in
accordance with authorizations of management and
directors of the company; and (3) provide reasonable
assurance regarding prevention or timely detection
of unauthorized acquisition, use or disposition of a
companys assets that could have a material effect on
the financial statements.
Because of its inherent limitations, internal
control over financial reporting may not prevent or
detect misstatements. Also, projections of any
evaluation of effectiveness to future periods are
subject to the risk that controls may become
inadequate because of changes in conditions, or that
the degree of compliance with the policies or
procedures may deteriorate.
A deficiency in internal control over financial
reporting exists when the design or operation of a
control does not allow management or employees, in
the normal course of performing their assigned
functions, to prevent or detect misstatements on a
timely basis. A material weakness is a deficiency,
or a combination of deficiencies, in internal
control over financial reporting, such that there is
a reasonable possibility that a material
misstatement of the companys annual or interim
financial statements will not be prevented or
detected on a timely basis.
Our consideration of the Funds internal control over
financial reporting was for the limited purpose
described in the first paragraph and would not
necessarily disclose all deficiencies in internal
control over financial reporting that might be
material weaknesses under standards established by
the PCAOB. However, we noted no deficiencies in the
Funds internal control over financial reporting and
its operation, including controls over safeguarding
securities, that we consider to be a material
weakness as defined above as of October 31, 2019.
This report is intended solely for the information
and use of the Board of Trustees of Schroders Global
Series Trust and the Securities and Exchange
Commission and is not intended to be and should not
be used by anyone other than these specified
parties.
/s/ PricewaterhouseCoopers LLP
Philadelphia, Pennsylvania
December 27, 2019
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