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As Of Filer Filing For·On·As Docs:Size Issuer Agent 5/07/15 Advisors Preferred Trust 40-17F1 5/07/15 1:62K Advisors Preferred Trust GemCom of New York/FA |
Document/Exhibit Description Pages Size 1: 40-17F1 Certificate of Accounting of Securities in the HTML 32K Custody of a Management Investment Company
GemCom, LLC |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-17f-1
Certificate of Accounting of Securities and Similar
Investments of a Management Investment Company
in the Custody of Members of
National Securities Exchanges
Pursuant to Rule 17f-1 [17 CFR 270.17f-1]
1. Investment Company Act File Number:
|
Date examination completed: May 6, 2015 | |||||||||||
2. State identification Number: | ||||||||||||
AL | N/A | AK | 60078037 | AZ |
Investor Class: 67179 Advisor Class: N/A |
AR | 60030170 | CA | N/A | CO | 2013-52-250 | |
CT | 1074239 | DE | DC |
Investor Class: 60049411 Advisor Class: 60051138 |
FL | GA | SCMF049318 | HI | N/A | |||
ID | 71362 | IL | 60027229 | IN | 13-0029IC | IA |
Investor Class: i-85414 Advisor Class: I-86484 |
KS | 2013S0001256 | KY |
Investor Class: 60027110 Advisor Class: 60026499 | |
LA | N/A | ME |
Investor Class: N/A Advisor Class: 10039551 |
MD |
Investor Class: SM20130318 Advisor Class: SM20132181 |
MA |
Investor Class: N/A Advisor Class: 60152003 |
MI |
Investor Class: 969530 Advisor Class: 971410 |
MN | N/A | |
MS |
Investor Class: 60064906 Advisor Class: 60064905 |
MO | R2013-394 | MT |
Investor Class: 85832 Advisor Class: N/A |
NE |
Investor Class: 88251 Advisor Class: 95629 |
NV | N/A | NH |
Investor Class: N/A Advisor Class: MF13-0084606 | |
NJ |
Investor Class: mf-12155 Advisor Class: MF-12940 |
NM |
Investor Class: 44398 Advisor Class: 46083 |
NY | S33-30-88 | NC | 52726 | ND |
Investor Class: N/A Advisor Class: BV747 |
OH |
Investor Class: 86584 Advisor Class: 13497342 | |
OK |
Investor Class: IC 2212299 Advisor Class: IC 2214397 |
OR | 2013-1759 | PA |
2013-02-070MF
|
RI | SC | MF20045 | SD |
Investor Class: 61143 Advisor Class: 59808 | ||
TN |
Investor Class: M13-0635 Advisor Class: M13-2213 |
TX |
Investor Class: C 103170 Advisor Class: C 105075 |
UT |
Investor Class: 007-2803-42 Advisor Class: 007-2803-55 |
VT |
Investor Class: 4/09/13-13 Advisor Class: 07/31/13-01 |
VA | 183038 | WA |
Investor Class: 60063839 Advisor Class: 60065672 | |
WV |
Investor Class: 81150 Advisor Class: N/A |
WI |
Investor Class: 00675871 Advisor Class: 00679648 |
WY | 27623 | PUERTO RICO | N/A | |||||
Other (specify): | ||||||||||||
3. Exact name of investment company as specified in registration statement: OnTrack Core Fund, a series of the Advisors Preferred Trust | ||||||||||||
4. Address of principal executive office (number, street, city, state, zip code): 1445 Research Boulevard, Suite 530, Rockville, MD 20850 |
MANAGEMENT STATEMENT REGARDING COMPLIANCE WITH CERTAIN PROVISIONS OF THE INVESTMENT COMPANY ACT OF 1940
We, as members of management of the OnTrack Core Fund (the “Fund”), a series of Advisors Preferred Trust, are responsible for complying with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1, “Custody of Securities with Members of National Securities Exchanges,” 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 Fund’s compliance with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1 as of December 31, 2014, and from October 31, 2014, through December 31, 2014.
Based on this evaluation, we assert that the Fund was in compliance with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1 for the Investment Company Act of 1940 as of December 31, 2014, and from October 31, 2014, through December 31, 2014, with respect to securities reflected in the investment accounts of the Fund.
OnTrack Core Fund
/s/ Catherine Ayers-Rigsby _
President
/s/ Kevin Wolf
Treasurer
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Board of Trustees of
Advisors Preferred
Trust
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 OnTrack Core Fund (the “Fund”), a series of Advisors Preferred Trust, complied with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1 under the Investment Company Act of 1940 as of December 31, 2014. Management is responsible for the Fund’s compliance with those requirements. Our responsibility is to express an opinion on management’s assertion about the Fund’s 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 Fund’s 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 December 31, 2014, and with respect to agreement of security purchases and sales, for the period from October 31, 2014 (the date of our last examination), through December 31, 2014.
· | Confirmation of all securities held by institutions in book entry form at National Financial Services, LLC and U.S. Bank, N.A (the “Custodian”). |
· | Confirmation of all securities hypothecated, pledged, placed in escrow, or out for transfer with brokers, pledgees, or transfer agents. |
· | Reconciliation of all such securities to the books and records of the Fund and the Custodian. |
· | Agreement of one security purchase and one security sale or maturity for the Fund since our last report from the books and records of the Fund 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 Fund’s compliance with specified requirements.
In our opinion, management’s assertion that the Fund complied with the requirements of subsections (b)(1) and (b)(6) of Rule 17f-1 of the Investment Company Act of 1940 as of December 31, 2014, with respect to securities reflected in the investment account of the Fund is fairly stated, in all material respects.
This report is intended solely for the information and use of management of the Fund and the Board of Trustees of Advisors Preferred 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.
COHEN FUND AUDIT SERVICES, LTD.
Cleveland, Ohio
May 6, 2015
COHEN FUND AUDIT SERVICES, LTD. | CLEVELAND | MILWAUKEE | 216.649.1700
Registered with the Public Company Accounting Oversight Board.
cohenfund.com
This ‘40-17F1’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on / Effective on: | 5/7/15 | 497K | ||
5/6/15 | 497K | |||
12/31/14 | 24F-2NT, 485BPOS, N-CSR, N-CSRS, N-Q, NSAR-A, NSAR-B, NSAR-B/A | |||
10/31/14 | 485BPOS | |||
List all Filings |