-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OyM+dv9TIx3wr9tA8jId9H4FnJRntE0cfnBm2DcloslmsQpck66B/9Y7++mlSAk6 Uw9M02aOyVf5Ttd9SF7w/Q== 0000088053-03-000547.txt : 20030514 0000088053-03-000547.hdr.sgml : 20030514 20030514162504 ACCESSION NUMBER: 0000088053-03-000547 CONFORMED SUBMISSION TYPE: NSAR-A PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20030228 FILED AS OF DATE: 20030514 EFFECTIVENESS DATE: 20030514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SCUDDER FLOATING RATE FUND /MA/ CENTRAL INDEX KEY: 0001082300 STATE OF INCORPORATION: MA FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: NSAR-A SEC ACT: 1940 Act SEC FILE NUMBER: 811-09269 FILM NUMBER: 03699424 BUSINESS ADDRESS: STREET 1: 222 S RIVERSIDE PLAZA CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 3135377000 MAIL ADDRESS: STREET 1: 222 S RIVERSIDE PLAZA CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: KEMPER FLOATING RATE FUND DATE OF NAME CHANGE: 19990323 FORMER COMPANY: FORMER CONFORMED NAME: SCUDDER FLOATING RATE FUND DATE OF NAME CHANGE: 19990322 NSAR-A 1 answer.fil PAGE 1 000 A000000 02/28/2003 000 C000000 0001082300 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 SCUDDER FLOATING RATE FUND 001 B000000 811-09269 001 C000000 6172952588 002 A000000 222 SOUTH RIVERSIDE PLAZA 002 B000000 CHICAGO 002 C000000 IL 002 D010000 60606 003 000000 N 004 000000 Y 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A000001 DEUTSCHE INVESTMENT MANAGEMENT AMERICAS INC. 008 B000001 A 008 C000001 801-252 008 D010001 NEW YORK 008 D020001 NY 008 D030001 10154 010 A000001 SCUDDER FUND ACCOUNTING CORPORATION 010 C010001 BOSTON 010 C020001 MA 010 C030001 02110 011 A000001 SCUDDER DISTRIBUTORS, INC. 011 B000001 8-47765 011 C010001 CHICAGO 011 C020001 IL 011 C030001 60606 011 C040001 5808 012 A000001 SCUDDER INVESTMENTS SERVICE COMPANY 012 B000001 84-1713 012 C010001 KANSAS CITY PAGE 2 012 C020001 MO 012 C030001 64105 012 A000002 DST SYSTEMS, INC. 012 B000002 84-00448 012 C010002 KANSAS CITY 012 C020002 MO 012 C030002 64105 013 A000001 ERNST & YOUNG LLP 013 B010001 BOSTON 013 B020001 MA 013 B030001 02116 014 A000001 SCUDDER INVESTOR SERVICES INC. 014 B000001 8-000298 014 A000002 SCUDDER DISTRIBUTORS INC. 014 B000002 8-047765 014 A000003 SCUDDER FINANCIAL SERVICES INC. 014 B000003 8-049521 014 A000004 AMERITRADE 014 B000004 8-016335 014 A000005 DEUTSCHE SECURITIES AUSTRALIA INC. 014 B000005 8-031670 014 A000006 BT BROKERAGE CORPORATION 014 B000006 8-034120 014 A000007 DEUTSCHE BANC ALEX. 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C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE JOHN MILLETTE TITLE SECRETARY EX-99.77Q3 3 cert-frf.txt CERTIFICATIONS Chief Executive Officer Form N-SAR Certification under Sarbanes-Oxley Act I, Richard T. Hale, certify that: 1. I have reviewed this report on Form N-SAR of Scudder Floating Rate Fund; 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 information included in this report, and the financial statements on which the financial information is based, 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 officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2 (c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures 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) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report (the "Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of directors (or person performing the equivalent functions): a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officers and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. April 21, 2003 /s/Richard T. Hale --------------------------- Richard T. Hale Chief Executive Officer Scudder Floating Rate Fund Chief Financial Officer Form N-SAR Certification under Sarbanes-Oxley Act I, Charles A. Rizzo, certify that: 1. I have reviewed this report on Form N-SAR of Scudder Floating Rate Fund; 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 information included in this report, and the financial statements on which the financial information is based, 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 officers and I are responsible for establishing and maintaining disclosure controls and procedures (as defined in rule 30a-2 (c) under the Investment Company Act) for the registrant and have: a) designed such disclosure controls and procedures 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) evaluated the effectiveness of the registrant's disclosure controls and procedures as of a date within 90 days prior to the filing date of this report (the "Evaluation Date"); and c) presented in this report our conclusions about the effectiveness of the disclosure controls and procedures based on our evaluation as of the Evaluation Date; 5. The registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of directors (or person performing the equivalent functions): a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant's auditors any material weaknesses in internal controls; and b) any fraud, whether or not material, that involves management or other employees who have a significant role in the registrant's internal controls; and 6. The registrant's other certifying officers and I have indicated in this report whether or not there were significant changes in internal controls or in other factors that could significantly affect internal controls subsequent to the date of our most recent evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. April 21, 2003 /s/Charles A. Rizzo ----------------------------- Charles A. Rizzo Chief Financial Officer Scudder Floating Rate Fund EX-99.77Q3.A 4 ex77q3a.txt Sub-item 77Q3 (a)(i) The Chief Executive and Financial Officers concluded that the Registrant's Disclosure Controls and Procedures are effective based on the evaluation of the Disclosure Controls and Procedures as of a date within 90 days of the filing date of this report. (a)(ii) Management, in response to an issue it identified in connection with a report concerning a different registrant in the Scudder complex, has discussed with the Audit Committee and the Fund's auditors that management is instituting additional procedures to enhance its internal controls including procedures to provide additional assistance that the internal controls operate as designed. EX-99.77Q3.14 5 ex77q3-14.txt Sub-item 77Q3 - Item 14: Additional Affiliated Broker/Dealers - ------------------------------------------------------------- Execution Ltd. IBOXX Ltd. K & N Kenanga Bhd K&N Kenanga Holdings Bhd Kenanga Deutsche Futures Kenanga Deutsche Futures Sdn Bhd MaxBlue Investimentos Distribuidora de Titulos e Valores Mobiliarios S. A. Morgan Grenfell & Co Limited Morgan Grenfell Private Equity Limited Morgan Grenfell Securities MTS Japan Securities Co. Ltd. National Discount Brokers Group, Inc. Nissay Deutsche Asset Management Europe Limited (33%) OTC Deriv Limited Pro Capital Spolka Akcyjna PT Bina Tatalaksana Pasifik PT BT Prima Securities Indonesia PT Deutsche Securities Indonesia Regis Partners Inc. Scudder Kemper Investors SOCX LLC Tasfiye Halinde Bankers Trust Menkul Degerler A.S. TheMarkets.com Tokai Deutsche Asset Management Limited (40%) Yieldbroker Pty Ltd. *AsiaBondPortal *BondsinAsia *BT Opera Trading S.A. (dormant) *DB Securities S. A. *DBS Finance S. A. *LoanX *Mortgage Ramp *Swapsclear *Swapswire Limited *Volbroker.com Limited *Yensai Banca Carime S.p.A. Bank Inicjatyw Spoleczno-Ekonomicznych SA Dr. Jung & Partner GmbH EDORA Funding GmbH EuroPace IPD Ltd. eXtrahyp.de Aktiengesellschaft Millennium Clearing Company, L.L.C. Minex Corporation Osaka Stock Exchange Co., Ltd. Scudder Weisel Capital, L.L.C. SLB Funding GmbH TISCO Securities Hong Kong Limited WERDA Betelligungsgesellschaft mbG -----END PRIVACY-ENHANCED MESSAGE-----