0001752724-19-011393.txt : 20190315 0001752724-19-011393.hdr.sgml : 20190315 20190315132351 ACCESSION NUMBER: 0001752724-19-011393 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190315 DATE AS OF CHANGE: 20190315 EFFECTIVENESS DATE: 20190315 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Weiss Strategic Interval Fund CENTRAL INDEX KEY: 0001717976 IRS NUMBER: 822853585 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-23298 FILM NUMBER: 19684343 BUSINESS ADDRESS: STREET 1: 320 PARK AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2124154500 MAIL ADDRESS: STREET 1: 320 PARK AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 N-CEN 1 primary_doc.xml X0201 N-CEN LIVE 0001717976 XXXXXXXX 811-23298 false false false N-2 Weiss Strategic Interval Fund 811-23298 0001717976 549300VP2BQ6QYBB3780 320 PARK AVENUE 20TH FLOOR NEW YORK 10022 US-NY US 212-415-4500 State Street Bank and Trust Company 1 Lincoln Street Boston 02111 617-786-3000 Custody, transfer agency and accounting records. Y N N N-2 N Peter L. Tedone 000000000 N Jay Tucker 000000000 Y Peter M. Lebovitz 000000000 N May Ngai Seeman 000000000 N Patrick Keniston 000000000 c/o Foreside 3 Canal Plaza Portland 04101 XXXXXX Y N N N N N N KPMG LLP 185 5493003PVCIGA21K0K42 Y N N N N N Weiss Strategic Interval Fund 549300VP2BQ6QYBB3780 Y 0 0 0 Interval Fund N N N N N/A N/A N/A Rule 12d1-1 (17 CFR 270.12d1-1) Rule 23c-1 (17 CFR 270.23c-1) N N N N Weiss Multi-Strategy Advisers LLC 801-71151 000136150 549300NX0B5LQB7GKH98 2018-02-01 State Street Bank and Trust Company 85-05003 571474TGEMMWANRLN572 N N Y Thomson Reuters Corporation 549300561UZND4C7B569 CA N ICE Data Services, Inc. 5493000NQ9LYLDBCTL34 N Y State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UBS Switzerland AG 549300WOIFUSNYH0FL22 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Societa per Azioni 529900SS7ZWCX82U3W60 IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) 529900SICIK5OVMVY186 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Austria AG D1HEB8VEU6D9M8ZUXG17 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Hong Kong) Limited X5AV1MBDXGRPX5UGMX13 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank International GmbH ZMHGNT7ZPKZ3UFZ8EO46 DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) 2HI3YI5320L3RW6NJ957 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Limited 54930045L3MXWBD27H71 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Singapore, SG, Branch) E57ODZWZ7FF32TWEFA76 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) 7LTWFZYICNSX8D621K86 NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company (London, GB, Branch) 0000000000 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) RB0PEZSDGCO3JS6CEU02 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Y State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Y State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Y WEISS MULTI-STRATEGY FUNDS LLC 8-66414 000130991 00000000000000000000 0.00000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 379871.63000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 647525.67000000 ISI Group, Inc 8-43515 000028195 0000000000 349741.15000000 Bank Of America Merrill Lynch Securities Inc N/A 000000000 00000000000000000000 604108.17000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 620901.43000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 390591.32000000 BMO Capital Markets Corp. 008-34344 000016686 RUC0QBLBRPRCU4W1NE59 237135.01000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 378246.78000000 Barclays Bank PLC N/A 000000000 G5GSEF7VJP5I7OUK5573 GB 920828.44000000 JPMorgan Chase & Co. 8-35008 000000079 8I5DZWZKVSZI1NUHU748 827950.43000000 8244582.85000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 502697115.10000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 103306894.60000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 25992384.73000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 139145347.30000000 Barclays Bank PLC N/A 000000000 G5GSEF7VJP5I7OUK5573 GB 344691952.40000000 Deutsche Bank Aktiengesellschaft N/A 000000000 7LTWFZYICNSX8D621K86 DE 8510371.66000000 State Street Bank and Trust Company N/A 000000000 571474TGEMMWANRLN572 704006455.60000000 Bank Of America Merrill Lynch Securities Inc N/A 000000000 00000000000000000000 17532149.44000000 Jefferies LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 10509292.09000000 JPMorgan Chase & Co. 8-35008 000000079 8I5DZWZKVSZI1NUHU748 22343181.64000000 1905038100.04000000 Y 185713664.02000000 Common stock Common Stock N N N N N N 1.50000000 5.82000000 N/A 9.95000000 true true INTERNAL CONTROL RPT 2 NCEN_9994503186884069.txt Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholder of Weiss Strategic Interval Fund.: In planning and performing our audit of the financial statements of Weiss Strategic Interval Fund. (hereafter referred to as the "Fund") as of and for the period February 1, 2018 (commencement of operations) to December 31, 2018, in accordance with the standards of the Public Company Accounting Oversight Board (United States), 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. 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 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 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 the 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 Public Company Accounting Oversight Board (United States). 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 December 31, 2018. This report is intended solely for the information and use of management and the Board of Trustees of the Fund 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/ KPMG LLP Short Hills, New Jersey March 1, 2019 EXEMPT ORDER INFO 3 NCEN_9986647087030942.txt UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No. 33124 / June 18, 2018 In the Matter of WEISS STRATEGIC INTERVAL FUND WEISS MULTI-STRATEGY ADVISERS LLC Jeffrey Dillabough Weiss Multi-Strategy Advisers LLC 320 Park Avenue New York, NY 10022 (812-14832) ORDER UNDER SECTIONS 6(c) AND 23(c)(3) OF THE INVESTMENT COMPANY ACT OF 1940 GRANTING AN EXEMPTION FROM CERTAIN PROVISIONS OF RULE 23c-3 UNDER THE ACT Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC filed an application on October 11, 2017, and an amendment to the application on March 19, 2018. Applicants requested an order under sections 6(c) and 23(c)(3) of the Act for an exemption from certain provisions of rule 23c-3 under the Act. The order would permit certain registered closed-end management investment companies to make repurchase offers on a monthly basis. On May 21, 2018, a notice of the filing of the application was issued (Investment Company Act Release No. 33101). The notice gave interested persons an opportunity to request a hearing and stated that an order disposing of the application would be issued unless a hearing was ordered. No request for a hearing has been filed, and the Commission has not ordered a hearing. The matter has been considered and it is found, on the basis of the information set forth in the application, as amended, that granting the requested exemption is appropriate in the public interest, and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of the Act. It is further found that the proposed purchases will be made in a manner or on a basis which does not unfairly discriminate against any holders of the class or classes of securities to be purchased. Accordingly, in the matter of Weiss Strategic Interval Fund and Weiss Multi-Strategy Advisers LLC (File No. 812-14832), IT IS ORDERED, under sections 6(c) and 23(c)(3) of the Act, that the requested exemption from certain provisions of rule 23c-3 is granted, effective forthwith, subject to the conditions contained in the application, as amended. For the Commission, by the Division of Investment Management, under delegated authority. Eduardo A. Aleman Assistant Secretary