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City National Rochdale Funds – ‘N-CSR’ for 9/30/16 – ‘EX-99.CERT’

On:  Friday, 12/9/16, at 12:35pm ET   ·   Effective:  12/9/16   ·   For:  9/30/16   ·   Accession #:  1398344-16-21556   ·   File #:  811-07923

Previous ‘N-CSR’:  ‘N-CSR’ on 12/9/15 for 9/30/15   ·   Next:  ‘N-CSR’ on 12/8/17 for 9/30/17   ·   Latest:  ‘N-CSR’ on 12/8/23 for 9/30/23

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

12/09/16  City National Rochdale Funds      N-CSR       9/30/16    3:14M                                    FilePoint/FACity National Rochdale California Tax – Exempt Bond Fund 2 Classes/ContractsCity National Rochdale Corporate Bond Fund 2 Classes/ContractsCity National Rochdale Emerging Markets Fund Class N (RIMIX) — Class Y (CNRYX)City National Rochdale Equity Income Fund Class N (RIMHX)City National Rochdale Fixed Income Opportunities Fund Class N (RIMOX)City National Rochdale Government Bond Fund 3 Classes/ContractsCity National Rochdale Government Money Market Fund 3 Classes/ContractsCity National Rochdale High Yield Bond Fund 3 Classes/ContractsCity National Rochdale Intermediate Fixed Income Fund Class N (RIMCX) — Institutional Class (CNRIX)City National Rochdale Municipal High Income Fund Class N (CNRNX) — Servicing Class (CNRMX)City National Rochdale U.S. Core Equity Fund 3 Classes/Contracts

Certified Annual Shareholder Report by a Management Investment Company   —   Form N-CSR
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: N-CSR       Certified Annual Shareholder Report by a            HTML   4.28M 
                          Management Investment Company                          
 3: EX-99.906 CERT  Miscellaneous Exhibit                           HTML     10K 
 2: EX-99.CERT  Miscellaneous Exhibit                               HTML     13K 


EX-99.CERT   —   Miscellaneous Exhibit


This exhibit is an HTML Document rendered as filed.  [ Alternative Formats ]




CERTIFICATION
Pursuant to Section 302
of the Sarbanes-Oxley Act of 2002
 
I, Garrett R. D’Alessandro, certify that:
 
1. I have reviewed this report on Form N-CSR of City National Rochdale Funds;
 
2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
 
3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report;
 
4. The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:
 
(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
 
(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, 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;
 
(c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report based on such evaluation; and
 
(d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the second fiscal quarter of the period covered by this report that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and
 
5. The registrant's other certifying officer(s) and I have disclosed to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
 
(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and
 
(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
 
 
 
 
President & Chief Executive Officer
 
 

 
CERTIFICATION
Pursuant to Section 302
of the Sarbanes-Oxley Act of 2002
 
I, Eric Kleinschmidt, certify that:
 
1. I have reviewed this report on Form N-CSR of City National Rochdale Funds;
 
2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
 
3. Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations, changes in net assets, and cash flows (if the financial statements are required to include a statement of cash flows) of the registrant as of, and for, the periods presented in this report;
 
4. The registrant's other certifying officer(s) and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in Rule 30a-3(c) under the Investment Company Act of 1940) and internal control over financial reporting (as defined in Rule 30a-3(d) under the Investment Company Act of 1940) for the registrant and have:
 
(a) Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
 
(b) Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, 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;
 
(c) Evaluated the effectiveness of the registrant's disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of a date within 90 days prior to the filing date of this report based on such evaluation; and
 
(d) Disclosed in this report any change in the registrant's internal control over financial reporting that occurred during the second fiscal quarter of the period by this report that has materially affected, or is reasonably likely to materially affect, the registrant's internal control over financial reporting; and
 
5. The registrant's other certifying officer(s) and I have disclosed to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions):
 
(a) All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant's ability to record, process, summarize, and report financial information; and
 
(b) Any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal control over financial reporting.
 
 
 
 
Treasurer
 

Dates Referenced Herein   and   Documents Incorporated by Reference

This ‘N-CSR’ Filing    Date    Other Filings
Filed on / Effective on:12/9/16
For Period End:9/30/16N-MFP1,  NSAR-B
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Filing Submission 0001398344-16-021556   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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