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 1 of 1