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As Of Filer Filing For·On·As Docs:Size Issuer Agent 3/30/17 Valued Advisers Trust 40-17F1 3/30/17 1:38K Valued Advisers Trust Donnelley … Solutions/FA |
Document/Exhibit Description Pages Size 1: 40-17F1 Valued Advisers Trust HTML 23K
| VALUED ADVISERS TRUST |
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| OMB Number: | 3235-0359 | |||
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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: | |||||||||||
| 811-22208 | November 30, 2016 | |||||||||||
| 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):
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3. Exact name of investment company as specified in registration statement: | ||||||||||||
| Cloud Capital Strategic All Cap Fund, a series of the Valued Advisers Trust | ||||||||||||
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4. Address of principal executive office (number, street, city, state, zip code): | ||||||||||||
| 225 Pictoria Drive, Suite 450, Cincinnati, OH 45246 | ||||||||||||
MANAGEMENT STATEMENT REGARDING COMPLIANCE WITH CERTAIN
PROVISIONS OF THE INVESTMENT COMPANY ACT OF 1940
We, as members of management of Cloud Capital Strategic All Cap Fund (the “Fund”), a series of Valued Advisers 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 November 30, 2016, and from May 31, 2016 (last examination date) through November 30, 2016.
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 November 30, 2016, and from May 31, 2016 (last examination date) through November 30, 2016, with respect to securities reflected in the investment account of the Fund.
| Valued Advisers Trust |
| /s/ Bo. J. Howell |
| Bo J. Howell, Principal Executive Officer & President |
| /s/ Bryan W. Ashmus |
| Bryan W. Ashmus, Principal Financial Officer & Treasurer |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM
To the Board of Trustees of
Valued Advisers 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 Cloud Capital Strategic All Cap Fund (the “Fund”), a series of Valued Advisers 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 November 30, 2016. 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 November 30, 2016, and with respect to agreement of security purchases and sales, for the period from May 31, 2016 (the date of our last examination) through November 30, 2016:
| • | Confirmation of all securities held by institutions in book entry form at FOLIOfn Investments, Inc. (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 five security purchases and five security sales or maturities for the Fund since May 31, 2016 (the date of our last examination) through November 30, 2016, 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 November 30, 2016, 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 and the Board of Trustees of Valued Advisers 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 & COMPANY, LTD.
Cleveland, Ohio
| This ‘40-17F1’ Filing | Date | Other Filings | ||
|---|---|---|---|---|
 | ||||
| 3/31/18 | ||||
| Filed on / Effective on: | 3/30/17 | |||
| 3/29/17 | ||||
| 11/30/16 | N-CSRS, NSAR-A | |||
| 5/31/16 | 24F-2NT, 485BPOS, N-CSR, NSAR-B | |||
| List all Filings | ||||