0001752724-24-021125.txt : 20240209 0001752724-24-021125.hdr.sgml : 20240209 20240209110347 ACCESSION NUMBER: 0001752724-24-021125 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231130 FILED AS OF DATE: 20240209 DATE AS OF CHANGE: 20240209 EFFECTIVENESS DATE: 20240209 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Pioneer Floating Rate Fund, Inc. CENTRAL INDEX KEY: 0001305767 ORGANIZATION NAME: IRS NUMBER: 582683903 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-21654 FILM NUMBER: 24612974 BUSINESS ADDRESS: STREET 1: 60 STATE STREET STREET 2: 5TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617-742-7825 MAIL ADDRESS: STREET 1: 60 STATE STREET STREET 2: 5TH FLOOR CITY: BOSTON STATE: MA ZIP: 02109 FORMER COMPANY: FORMER CONFORMED NAME: Pioneer Floating Rate Trust DATE OF NAME CHANGE: 20041013 N-CEN 1 primary_doc.xml X0404 N-CEN LIVE 0001305767 XXXXXXXX 811-21654 false false false N-2 Pioneer Floating Rate Fund, Inc. 811-21654 0001305767 5493002P921ISFUETH70 60 State Street Boston 02109 US-MA US 617-422-4947 American Stock Transfer & Trust Company, LLC 6201 15th Avenue Brooklyn 11219 800-937-5449 Records related to its functions as shareholder servicing and transfer agent. Amundi Asset Management US, Inc. 60 State Street Boston 02109 617-422-4947 Records related to its functions as investment adviser and administrator. The Bank of New York Mellon 240 Greenwich Street New York 10286 212-495-1784 Records related to its functions as custodian and sub-administrator. Pioneer Floating Rate Fund, Inc. 60 State Street Boston 02109 617-422-4947 Records related to its functions as Registrant. Amundi Distributor US, Inc. 60 State Street Boston 02109 617-422-4947 Records related to its functions as principal underwriter. N N N-2 Y Thomas J. Perna N/A N John E. Baumgardner, Jr. N/A N Lorraine H. Monchak N/A N Craig C. MacKay 002008771 N Lisa M. Jones N/A Y Diane Durnin N/A N Kenneth J. Taubes N/A Y Marguerite A. Piret N/A N Benjamin M. Friedman N/A N Fred J. Ricciardi N/A N John Malone 002314031 60 State Street Boston 02109-1820 XXXXXX N N N N N N ROBERT W. BAIRD & CO. 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Report of Independent Registered Public Accounting Firm

To the Shareholders and Board of Directors of

Pioneer Floating Rate Fund, Inc.:

In planning and performing our audit of the financial statements of Pioneer Floating Rate Fund, Inc. (the “Fund”) as of and for the year ended November 30, 2023, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Fund’s 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 Fund’s internal control over financial reporting. Accordingly, we express no such opinion.

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 company’s 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 U.S. generally accepted accounting principles. A company’s 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 U.S. 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 company’s 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 Fund’s annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Fund’s 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 that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Fund’s 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 November 30, 2023.

This report is intended solely for the information and use of management and the Board of Directors of Pioneer Floating Rate Fund, Inc., 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/ ERNST & YOUNG LLP

Boston, Massachusetts

January 29, 2024