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As Of Filer Filing For·On·As Docs:Size Issuer Agent 9/30/14 Boston Trust & Walden Funds 40-17F2 9/30/14 1:31K Boston Trust & Walden Funds Avery Publishin… Corp/FA |
Document/Exhibit Description Pages Size
1: 40-17F2 Certificate of Accounting of Securities in the HTML 29K
Custody of a Management Investment
Company
| UNITED STATES | ||||
| SECURITIES AND EXCHANGE COMMISSION | ||||
| Washington, D.C. 20549 | OMB APPROVAL | |||
| OMB Number: | 3235-0360 | |||
| Expires: | December 31, 2014 | |||
| FORM N-17f-2 | Estimated average burden | |||
| hours per response ........ 2.0 | ||||
| Certificate of Accounting of Securities and Similar | ||||
| Investments in the Custody of | ||||
| Management Investment Companies | ||||
| Pursuant to Rule 17f-2 [17 CFR 270.17f-2] | ||||
| 1. Investment Company Act File Number: | Date examination completed: | |||||||
| 811-06526 | September 22, 2014 | |||||||
| 2. State identification Number: | ||||||||
| AL | AK | AZ | AR | CA | CO | |||
| CT | DE | DC | FL | GA | HI | |||
| ID | IL | IN | IA | KS | KY | |||
| LA | ME | MD | MA | MI | MN | |||
| MS | MO | MT | NE | NV | NH | |||
| NJ | NM | NY | NC | ND | OH | |||
| OK | OR | PA | RI | SC | SD | |||
| TN | TX | UT | VT | VA | WA | |||
| WV | WI | WY | PUERTO RICO | |||||
| Other (specify): | ||||||||
| 3. Exact name of investment company as specified in registration statement: | ||||||||
| The Boston Trust & Walden Funds | ||||||||
| 4. Address of principal executive office (number, street, city, state, zip code): | ||||||||
| One Beacon Street, Boston, MA 02108 | ||||||||
INSTRUCTIONS
This Form must be completed by investment companies that have custody of securities or similar investments.
Investment Company
| 1. | All items must be completed by the investment company. | |
| 2. | Give this Form to the independent public accountant who, in compliance with Rule 17f-2 under the Act and applicable state law, examines securities and similar investments in the custody of the investment company. | |
| Accountant | ||
| 3. | Submit this Form to the Securities and Exchange Commission and appropriate state securities administrators when filing the certificate of accounting required by Rule 17f-2 under the Act and applicable state law. File the original and one copy with the Securities and Exchange Commission’s principal office in Washington, D.C., one copy with the regional office for the region in which the investment company’s principal business operations are conducted, and one copy with the appropriate state of administrator(s), if applicable. | |
THIS FORM MUST BE GIVEN TO YOUR INDEPENDENT PUBLIC ACCOUNTANT
SEC 2198 (10-03)
MANAGEMENT STATEMENT REGARDING
COMPLIANCE WITH CERTAIN
PROVISIONS OF THE INVESTMENT COMPANY ACT OF 1940
September 22, 2014
We, as members of management of The Boston
Trust & Walden Funds, comprising the Boston Trust Asset Management Fund, Boston
Trust Equity Fund, Boston Trust Midcap Fund, Boston Trust SMID Cap Fund, Boston
Trust Small Cap Fund, Walden Asset Management Fund, Walden Equity Fund, Walden Midcap
Fund, Walden SMID Cap Innovations Fund, and Walden Small Cap Innovations Fund (the
“Funds”), are responsible for complying with the requirements of subsections
(b) and (c) of Rule 17f-2, “Custody of Investments by Registered Management
Investment Companies,” of the Investment Company Act of 1940. We are also responsible
for establishing and maintaining effective internal controls over compliance with
those requirements. We have performed an evaluation of the Funds’ compliance
with the requirements of subsections (b) and (c) of Rule 17f-2 as of July 11, 2014,
and from May 23, 2014, (last examination date) through July 11, 2014.
Based on this evaluation, we assert that
the Funds were in compliance with the requirements of subsections (b) and (c) of
Rule 17f-2 of the Investment Company Act of 1940 as of July 11, 2014, and from May
23, 2014, through July 11, 2014, with respect to securities reflected in the investment
accounts of the Funds.
/s/ Lucia B. Santini
Lucia B. Santini, President
/s/ Jennifer Ellis
Jennifer Ellis, Treasurer
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Board of Trustees of
The Boston Trust & Walden Funds
We have examined management’s assertion,
included in the accompanying Management Statement Regarding Compliance With Certain
Provisions of the Investment Company Act of 1940, that The Boston Trust & Walden
Funds, comprising the Boston Trust Asset Management Fund, Boston Trust Equity Fund,
Boston Trust Midcap Fund, Boston Trust SMID Cap Fund, Boston Trust Small Cap Fund,
Walden Asset Management Fund, Walden Equity Fund, Walden Midcap Fund, Walden SMID
Cap Innovations Fund, and Walden Small Cap Innovations Fund (the “Funds”),
complied with the requirements of subsections (b) and (c) of Rule 17f-2 under the
Investment Company Act of 1940 as of July 11, 2014. Management is responsible for
the Funds’ compliance with those requirements. Our responsibility is to express
an opinion on management’s assertion about the Funds’ compliance based
on our examination.
Our examination was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included examining, on a test basis, evidence about the Funds ’ compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. Included among our procedures were the following tests performed as of July 11, 2014, which is a date we selected without prior notice to management, and with respect to agreement of security purchases and sales, for the period from May 23, 2014, (the date of our last examination) through July 11, 2014:
| • | Confirmation of all securities and similar investments held by State
Street Corporation in book entry form |
|
| • | Confirmation of all securities and similar
investments hypothecated, pledged, placed in escrow, or out for transfer with pledges, transfer agents
or brokers or by other appropriate auditing procedures where replies from brokers were not received |
|
| • | Reconciliation of all such securities to the books and
records of the Funds and the Custodian, Boston Trust & Investment Management Company |
|
| • | Agreement of two security purchases and two security sales or maturities for each Fund,
if any, since our last report from the books and records of the Funds to broker confirmations |
We believe that our examination provides
a reasonable basis for our opinion. Our examination does not provide a legal determination
on the Funds’ compliance with specified requirements.
In our opinion, management’s assertion
that the Funds complied with the requirements of subsections (b) and (c) of Rule
17f-2 of the Investment Company Act of 1940 as of July 11, 2014, with respect to
securities and similar investments reflected in the investment accounts of the Funds
is fairly stated, in all material respects.
This report is intended solely for the information
and use of management and the Board of Trustees of The Boston Trust & Walden
Funds 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/ COHEN FUND AUDIT SERVICES, LTD.
Cleveland, Ohio
September 22, 2014
| This ‘40-17F2’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 12/31/14 | ||||
| Filed on / Effective on: | 9/30/14 | 40-17F2 | ||
| 9/22/14 | ||||
| 7/11/14 | ||||
| 5/23/14 | ||||
| List all Filings | ||||