0001752724-19-011806.txt : 20190318 0001752724-19-011806.hdr.sgml : 20190318 20190318102545 ACCESSION NUMBER: 0001752724-19-011806 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190318 DATE AS OF CHANGE: 20190318 EFFECTIVENESS DATE: 20190318 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LAZARD GLOBAL TOTAL RETURN & INCOME FUND INC CENTRAL INDEX KEY: 0001278211 IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-21511 FILM NUMBER: 19687154 BUSINESS ADDRESS: STREET 1: 30 ROCKEFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10112 BUSINESS PHONE: 2126326000 MAIL ADDRESS: STREET 1: 30 ROCKEFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10112 FORMER COMPANY: FORMER CONFORMED NAME: GLOBAL EQUITY CURRENCY FUND INC DATE OF NAME CHANGE: 20040130 N-CEN 1 primary_doc.xml X0201 N-CEN LIVE 0001278211 XXXXXXXX 811-21511 false false false N-2 LAZARD GLOBAL TOTAL RETURN & INCOME FUND INC 811-21511 0001278211 MZRC4RJENF0LPRIWFB85 30 ROCKEFELLER PLAZA NEW YORK 10112 US-NY US 212-632-6000 State Street Bank and Trust Company One Iron Street Boston 02210 617-786-3000 Custody and accounting records. Y N N-2 Y Trevor W. Morrison 000000000 N Nathan A. Paul 004314144 Y Ashish Bhutani 001506496 Y Kenneth S. Davidson 000000000 N Franci J. Blassberg 000000000 N Richard Reiss, Jr. 000000000 N Robert M. Solmson 000000000 N Nancy A. Eckl 000000000 N Mark R. Anderson 004769151 30 Rockefeller Plaza New York 10112 XXXXXX N N N N N N Mesirow Financial, Inc. 8-28816 000002764 549300BIV46SUHPOFE54 N Ferris, Baker Watts, LLC 8-16427 000000285 00000000000000000000 N Legg Mason Wood Walker, Incorporated 8-15939 000006555 00000000000000000000 N Merrill Lynch, Pierce, Fenner & Smith Incorporated 8-7221 000007691 8NAV47T0Y26Q87Y0QP81 N Wedbush Securities Inc. 8-12987 000000877 549300CSX55MXZ47EI78 N J. J. B. Hilliard, W. L. Lyons, LLC 8-33133 000000453 254900HZY78ZQW2G2X35 N Ladenburg Thalmann & Co. Inc. 8-17230 000000505 2549000V3L2KK4L76W91 N Brookstreet Securities Corporation 8-31032 000014667 00000000000000000000 N Quick & Reilly, Inc 8-17986 000011217 00000000000000000000 N M. L. Stern & Co., LLC 8-25028 000008327 00000000000000000000 N National Securities Corporation 8-164 000007569 254900QUIGJ7E9W0Y853 N SunTrust Robinson Humphrey, Inc. 008-17212 000006271 CSVTK36R0PNGXEM7NS14 N Crowell, Weedon & Co., Inc. 8-3710 000000193 00000000000000000000 N Southwest Securities, Inc. 8-32458 000015637 00000000000000000000 N TD Ameritrade, Inc. 8-23395 000007870 CWQYQU0TV2NLMLZKNB44 N Piper Jaffray & Co. 8-15204 000000665 549300GRQCWQ3XGH0H10 N Morgan Keegan & Company, LLC 8-15001 000004161 00000000000000000000 N William Blair & Company, L.L.C. 8-2698 000001252 549300J0P7XYE8BMZ775 N Raymond James & Associates, Inc. 8-10999 000000705 U4ONQX15J3RO8XCKE979 N D.A. Davidson & Co. 8-2399 000000199 549300094RQ5A7DYLF51 N ROBERT W. BAIRD & CO., INCORPORATED 8-00497 000008158 549300772UJAHRD6LO53 N David A. Noyes & Company 8-22752 000000205 00000000000000000000 N Oppenheimer & Co. Inc. 8-4077 000000249 254900VH02JQR2L8XD64 N Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 N Advest, Inc 8-21409 000000010 00000000000000000000 N STIFEL NICOLAUS & CO INC. 8-1447 000000793 5WUVMA08EYG4KEUPW589 N RBC Capital Markets Corporation 8-1672 000006579 00000000000000000000 N N Deloitte & Touche LLP 34 00000000000000000000 N N N N N N LAZARD GLOBAL TOTAL RETURN AND INCOME FUND, INC. MZRC4RJENF0LPRIWFB85 Y 0 0 0 N/A N N N N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 17a-6 (17 CFR 270.17a-6) Rule 17a-8 (17 CFR 270.17a-8) Rule 10f-3 (17 CFR 270.10f-3) Rule 12d1-1 (17 CFR 270.12d1-1) Rule 17e-1 (17 CFR 270.17e-1) Rule 17a-7 (17 CFR 270.17a-7) N N N N Lazard Asset Management LLC 801-61701 000122836 P1IBQ1I6K7EXV2Q96E20 N Computershare Trust Company, National Association 85-11340 2549001YYB62BVMSAO13 N N N ICE Data Services, Inc. 5493000NQ9LYLDBCTL34 N Bloomberg L.P. 549300B56MD0ZC402L06 N Thomson Reuters Corporation 549300561UZND4C7B569 CA N PricingDirect Inc. 549300WIC0TOJ7N7GD54 N IHS Markit Ltd. 549300HLPTRASHS0E726 GB N N Stanbic IBTC Bank PLC 549300NIVXF92ZIOVW61 NG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Hong Kong) Limited X5AV1MBDXGRPX5UGMX13 HK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) BNP Paribas Securities Services (Athens, Attica, GR, Branch) 549300WCGB70D06XZS54 GR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Standard Bank of South Africa Limited QFC8ZCW3Q5PRXU1XTM60 ZA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Itau Uruguay S.A. 549300HU8OQS1VTVXN55 UY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank del Peru S.A. MYTK5NHHP1G8TVFGT193 PE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch) 7LTWFZYICNSX8D621K86 PH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Ceskoslovenska obchodni banka, a. s. Q5BP2UEQ48R75BOTCB92 CZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Colombo, Western, LK, Branch) 2HI3YI5320L3RW6NJ957 LK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Polska Kasa Opieki - Spolka Akcyjna 5493000LKS7B3UTF7H35 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank (Malaysia) Berhad 529900DLWFR8HK7DR278 MY N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Nordea Bank Danmark A/S 549300LX0YIEPRTY0Z32 DK N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe Public Limited Company (Budapest, HU, Branch) N1FBEDJ5J41VKZLO2475 HU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch) 7LTWFZYICNSX8D621K86 ID N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco BCT Sociedad Anonima 25490061PVFNGN0YMO97 CR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UniCredit Bank Srbija a.d. Beograd 52990001O0THU00TYK59 RS N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Nordea Bank AB (publ) (Stockholm, Stockholm, SE, Branch) 6SCPQ280AIY8EP3XFW53 SE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Europe Public Limited Company (Bucharest, Bucharest, RO, Branch) N1FBEDJ5J41VKZLO2475 RO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Sisli, Istanbul, TR, Branch) 0000000000 TR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank Uganda Limited 549300W7CNYGJ68XGD27 UG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch) RB0PEZSDGCO3JS6CEU02 JP N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch) 2HI3YI5320L3RW6NJ957 NZ N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company 571474TGEMMWANRLN572 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) Deutsche Bank Aktiengesellschaft (Vienna, Vienna, AT, Branch) 0000000000 AT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Cititrust Colombia S A Sociedad Fiduciaria 549300242J3IJCOSGI49 CO N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Ebene, Plaines Wilhems, MU, Branch) 2HI3YI5320L3RW6NJ957 MU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Hapoalim B.M. B6ARUI4946ST4S7WOU88 IL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex 2SFFM4FUIE05S37WFU55 MX N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Clearstream Banking S.A. 549300OL514RA0SXJJ44 LU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch) 2HI3YI5320L3RW6NJ957 AU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Euroclear Limited 54930045L3MXWBD27H71 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank International GmbH ZMHGNT7ZPKZ3UFZ8EO46 DE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) UBS Switzerland AG 549300WOIFUSNYH0FL22 CH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Joint Stock Company Commercial Bank Citibank CHSQDSVI1UI96Y2SW097 RU N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Bank Handlowy w Warszawie Spolka Akcyjna XLEZHWWOI4HFQDGL4793 PL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Privredna Banka Zagreb - Dionicko Drustvo 549300ZHFZ4CSK7VS460 HR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Societa per Azioni 529900SS7ZWCX82U3W60 IT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank Kenya Limited 549300RBHWW5EJIRG629 KE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank Maghreb S.A 5493003FVWLMBFTISI11 MA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank Zambia PLC 549300247QDZHDI30A83 ZM N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Bank and Trust Company (London, GB, Branch) 0000000000 GB N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch) 579100KKDGKCFFKKF005 BR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Bank Namibia Limited 254900K6TJFDYKSQWV49 NA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Ciudad Autonoma de Buenos Aires, Ciudad Autonoma de Buenos Aires, AR, Branch) E57ODZWZ7FF32TWEFA76 AR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Madrid, Madrid, ES, Branch) 529900SICIK5OVMVY186 ES N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) State Street Trust Company Canada 549300L71XG2CTQ2V827 CA N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) AB SEB bankas 549300SBPFE9JX7N8J82 LT N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) AS SEB Pank 549300ND1MQ8SNNYMJ22 EE N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) HSBC Bank Egypt S.A.E 2138001Q77JDLESS4Y50 EG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Nordea Bank AB (publ) (Helsinki, Uusimaa, FI, Branch) 6SCPQ280AIY8EP3XFW53 FI N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Amsterdam, Noord Holland, NL, Branch) 7LTWFZYICNSX8D621K86 NL N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Deutsche Bank Aktiengesellschaft (Jongno-gu, Seoul, KR, Branch) 0000000000 KR N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank (Thai) Public Company Limited 549300O1LQYCQ7G1IM57 TH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Citibank, National Association (Singapore, SG, Branch) E57ODZWZ7FF32TWEFA76 SG N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) Standard Chartered Bank Ghana Limited 549300WFGKTC3MGDCX95 GH N Y Foreign custodian - rule 17f-5 (17 CFR 270.17f-5) N Computershare Trust Company, National Association 2549001YYB62BVMSAO13 N N N State Street Bank and Trust Company 571474TGEMMWANRLN572 N N N Merrill Lynch, Pierce, Fenner & Smith Incorporated 8-7221 000007691 8NAV47T0Y26Q87Y0QP81 4579.15000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 8147.22000000 UBS AG N/A 000000000 BFM8T61CT2L1QCEMIK50 CH 5259.17000000 JPMorgan Chase & Co. 8-35008 000000079 8I5DZWZKVSZI1NUHU748 7053.27000000 Credit Suisse Securities (USA) LLC 8-422 000000816 1V8Y6QCX6YMJ2OELII46 13092.82000000 HSBC Holdings PLC 8-80518 000172486 MLU0ZO3ML4LN2LL2TL39 GB 2759.73000000 Deutsche Bank Securities Inc. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 10773.83000000 ROBERT W. BAIRD & CO., INCORPORATED 8-00497 000008158 549300772UJAHRD6LO53 2737.50000000 Barclays Bank PLC N/A 000000000 G5GSEF7VJP5I7OUK5573 GB 8626.55000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 7735.61000000 83249.67000000 Deutsche Bank Securities Inc. 8-17822 000002525 9J6MBOOO7BECTDTUZW19 658453.77000000 HSBC Holdings PLC 8-80518 000172486 MLU0ZO3ML4LN2LL2TL39 GB 11223565.68000000 State Street Global Markets, LLC 8-69862 000285852 549300FDEDF5ORXCMQ56 112246998.10000000 Goldman Sachs & Co. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 168000.00000000 Standard Chartered Securities (North America) LLC 008-66397 000130847 5493003GCX71N8988W38 717510.24000000 BNP Paribas Securities Corp. 8-32682 000015794 RCNB6OTYUAMMP879YW96 998505.97000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 11735147.73000000 JPMorgan Chase & Co. 8-35008 000000079 8I5DZWZKVSZI1NUHU748 8672273.70000000 146420455.19000000 Y 182330870.00000000 Common stock Common Stock N N N N N N 0.85000000 1.82000000 13.62000000 15.22000000 true INTERNAL CONTROL RPT 2 NCEN_9919468672247372.txt REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Shareholders and the Board of Directors of Lazard Global Total Return and Income Fund, Inc. In planning and performing our audit of the financial statements of Lazard Global Total Return and Income Fund, Inc. (the "Fund") as of and for the year ended December 31, 2018, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Fund's internal control over financial reporting, including control over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N- CEN, but not for the purpose of expressing an opinion on the effectiveness of the Fund's internal control over financial reporting. Accordingly, we express no such opinion. The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A fund's internal control over financial reporting is a process designed 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. A fund's internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the fund; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the fund are being made only in accordance with authorizations of management and directors of the fund; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of a fund's assets that could have a material effect on the financial statements. Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate. A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the fund's annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Fund's internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Fund's internal control over financial reporting and its operation, including controls for safeguarding securities that we consider to be a material weakness, as defined above, as of December 31, 2018. This report is intended solely for the information and use of management and the Board of Directors of Lazard Global Total Return and Income Fund, Inc. and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ DELOITTE & TOUCHE LLP New York, New York February 26, 2019