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