0001752724-18-001816.txt : 20181114 0001752724-18-001816.hdr.sgml : 20181114 20181113185029 ACCESSION NUMBER: 0001752724-18-001816 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180831 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181113 EFFECTIVENESS DATE: 20181114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Oppenheimer Emerging Markets Innovators Fund CENTRAL INDEX KEY: 0001600584 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0831 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-22943 FILM NUMBER: 181179870 BUSINESS ADDRESS: STREET 1: 6803 SOUTH TUSCON WAY CITY: CENTENNIAL STATE: CO ZIP: 80112-3924 BUSINESS PHONE: 303-768-3200 MAIL ADDRESS: STREET 1: 6803 SOUTH TUSCON WAY CITY: CENTENNIAL STATE: CO ZIP: 80112-3924 N-CEN 1 primary_doc.xml X0101 N-CEN LIVE 0001600584 XXXXXXXX 811-22943 N-1A true Oppenheimer Emerging Markets Innovators Fund 811-22943 0001600584 5493001C66PNIZPW0K11 6803 South Tucson Way Centennial 80112 US-CO US 3037683200 OFI Global Asset Management, Inc., OppenheimerFunds, Inc. and Shareholder Services, Inc., as applicable 6803 South Tucson Way Centennial 80112 3037683200 The accounts, books and other documents required to be maintained by Registrant pursuant to Section 31(a) of the Investment Company Act of 1940 and rules promulgated thereunder Y N N-1A 1 Y Edmund P. Giambastiani, Jr. N/A N Arthur P. Steinmetz N/A Y Daniel S. Vandivort N/A N Brian F. Wruble N/A N Mary F. Miller N/A N Joel W. Motley N/A N Beth Ann Brown N/A N Elizabeth Krentzman N/A N Joanne Pace N/A N Mary Ann Picciotto 004235357 225 Liberty Street New York 10281-1008 XXXXXX N N N N N N N OPPENHEIMERFUNDS DISTRIBUTOR, INC. 8-22992 000007834 N/A Y N KPMG LLP 185 5493003PVCIGA21K0K42 N N N N N N Oppenheimer Emerging Markets Innovators Fund S000045389 5493001C66PNIZPW0K11 Y 5 0 0 N/A N N N N N/A N/A N/A Rule 22d-1 (17 CFR 270.22d-1) Y Y N N OFI Global Asset Management, Inc. 801-76771 000161556 549300LIDDYHF0BY6S79 N OPPENHEIMERFUNDS, INC. 801-08253 000104983 PDOAIGLBY74951MQ1C36 Y N OFI Global Asset Management, Inc. 84-06477 549300LIDDYHF0BY6S79 Y N N Thomson Reuters Markets, LLC 20-4530702 Federal Tax ID Number N N JP Morgan Chase Bank 7H6GLXDRUGQFU57RNE97 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Shareholder Services, Inc. 84-00907 SEC File number Y Y N Brown Brothers Harriman & Co. 5493006KMX1VFTPYPW14 N N N AUERBACH GRAYSON & COMPANY LLC 008-45136 000030761 254900THN5ANAH8X1V30 27589.42000000 J.P. MORGAN SECURITIES LLC 008-35008 000000079 ZBUT11V806EZRVTWT807 158666.45000000 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 008-07221 000007691 8NAV47T0Y26Q87Y0QP81 73589.98999999 GOLDMAN, SACHS & CO. 008-00129 000000361 FOR8UP27PHTHYVLBNG30 26116.17000000 CITIGROUP GLOBAL MARKETS INC. 008-08177 000007059 MBNUM2BPBDO7JBLYG310 15767.06000000 NOMURA SECURITIES INTERNATIONAL, INC. 008-15255 000004297 OXTKY6Q8X53C9ILVV871 20710.80000000 DAIWA CAPITAL MARKETS AMERICA INC. 008-12242 000001576 M67H5PRC0NQKM73ZAS82 25963.96000000 CLSA AMERICAS, LLC 008-69166 000165533 213800M2DXATWY7JMS07 16400.62000000 HSBC SECURITIES (USA) INC. 008-41562 000019585 CYYGQCGNHMHPSMRL3R97 12697.54000000 MORGAN STANLEY & CO. LLC 008-15869 000008209 9R7GPTSO7KV3UQJZQ078 12505.63000000 487070.60000000 HSBC SECURITIES (USA) INC. 008-41562 000019585 CYYGQCGNHMHPSMRL3R97 547637.53000000 CITIGROUP GLOBAL MARKETS INC. 008-08177 000007059 MBNUM2BPBDO7JBLYG310 3782460.40000000 BARCLAYS CAPITAL INC. 008-41342 000019714 AC28XWWI3WIBK2824319 3182740.18000000 UBS SECURITIES LLC 008-22651 000007654 T6FIZBDPKLYJKFCRVK44 646800.89489999 J.P. MORGAN SECURITIES LLC 008-35008 000000079 ZBUT11V806EZRVTWT807 2843749.97000000 MORGAN STANLEY & CO. LLC 008-15869 000008209 9R7GPTSO7KV3UQJZQ078 1716357.04000000 DEUTSCHE BANK SECURITIES INC. 008-17822 000002525 DL6FFRRLF74S01HE2M14 9169878.40999999 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED 008-07221 000007691 8NAV47T0Y26Q87Y0QP81 4290136.51999999 GOLDMAN, SACHS & CO. 008-00129 000000361 FOR8UP27PHTHYVLBNG30 8065828.55000000 CREDIT SUISSE SECURITIES (USA) LLC 008-00422 000000816 1V8Y6QCX6YMJ2OELII46 2970944.19969999 37765172.00580000 Y 460424286.17123306 Committed 1950000000.00000000 N N N N false false true false false false INTERNAL CONTROL RPT 2 wrlg5725ncen-emrgmktsinnovat.htm wrlg5725ncen-emrgmktsinnovat.htm - Generated by SEC Publisher for SEC Filing

Report of Independent Registered Public Accounting Firm

The Board of Trustees and Shareholders
Oppenheimer Emerging Markets Innovators Fund:

In planning and performing our audit of the financial statements of Oppenheimer Emerging Markets Innovators Fund(the “Fund”) as of and for the year ended August 31, 2018, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Fund’s internal control over financial reporting, including controls 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.

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 company’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 company’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 company; (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 company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use, or disposition of the company’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 tothe 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 Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Fund’s internal control over financial reporting and its operation, including controls over safeguarding securities that we consider to be a material weakness as defined above as of August 31, 2018.

This report is intended solely for the information and use of management and the Board of Trustees of Oppenheimer Emerging Markets Innovators Fundand the Securities and Exchange Commission, and is not intended to be and should not be used by anyone other than these specified parties.

KPMG LLP

Denver, Colorado
October 25, 2018