SEC Info  
    Home      Search      My Interests      Help      Sign In      Please Sign In

ASA Gold & Precious Metals Ltd – ‘N-CSRS’ for 5/31/14 – EX-99.CERT

On:  Tuesday, 7/22/14, at 10:57am ET   ·   Effective:  7/22/14   ·   For:  5/31/14   ·   Accession #:  930413-14-3266   ·   File #:  811-21650

Previous ‘N-CSRS’:  ‘N-CSRS’ on 7/23/13 for 5/31/13   ·   Next:  ‘N-CSRS’ on 7/22/15 for 5/31/15   ·   Latest:  ‘N-CSRS’ on 7/27/23 for 5/31/23

Find Words in Filings emoji
 
  in    Show  and   Hints

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

 7/22/14  ASA Gold & Precious Metals Ltd    N-CSRS      5/31/14    3:722K                                   Command Financial

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

Document/Exhibit                   Description                      Pages   Size 

 1: N-CSRS      Certified Semi-Annual Shareholder Report of a       HTML    242K 
                          Management Investment Company                          
 3: EX-99.906 CERT  Miscellaneous Exhibit                           HTML      9K 
 2: EX-99.CERT  Miscellaneous Exhibit                               HTML     28K 


EX-99.CERT   —   Miscellaneous Exhibit

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

EX-99.CERT1st “Page” of 4TOCTopPreviousNextBottomJust 1st
 

Exhibit 99.Cert

Form N-CSR Certifications

I, David Christensen, certify that:

 

 

 

 

 

1.

I have reviewed this report on Form N-CSR of ASA Gold and Precious Metals Limited for the period ended May 31, 2014;

 

 

 

 

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 the 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 the 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 1940 Act 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, 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



EX-99.CERT2nd “Page” of 4TOC1stPreviousNextBottomJust 2nd

 

 

 

 

 

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.


 

 

Date: July 22, 2014

/s/ David Christensen

 


 

David Christensen

 

 

 

CEO, President, and Chief Investment Officer

 

Principal Executive Officer



EX-99.CERT3rd “Page” of 4TOC1stPreviousNextBottomJust 3rd

Form N-CSR Certifications

I, Rodney Yee, certify that:

 

 

 

 

 

1.

I have reviewed this report on Form N-CSR of ASA Gold and Precious Metals Limited for the period ended May 31, 2014;

 

 

 

 

 

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 the 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 the 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 1940 Act 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, 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



EX-99.CERTLast “Page” of 4TOC1stPreviousNextBottomJust 4th

 

 

 

 

 

 

 

 

 

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.

 

 

 

 


 

 

Date: July 22, 2014

/s/ Rodney Yee

 


 

Rodney Yee

 

 

 

COO, CFO, and Treasurer

 

Principal Financial Officer




Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘N-CSRS’ Filing    Date First  Last      Other Filings
Filed on / Effective on:7/22/1424NSAR-A
For Period End:5/31/1413NSAR-A
 List all Filings
Top
Filing Submission 0000930413-14-003266   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

Copyright © 2024 Fran Finnegan & Company LLC – All Rights Reserved.
AboutPrivacyRedactionsHelp — Sun., Apr. 28, 1:37:56.1am ET