-----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, Gor8r8fmTiMRbO14EM1CM9Yzw1HOxOE3tfusckBfHSZnIDr+kJadNlGvJi01uVHK y8N3OOdJMimQUZ2KzpelOA== 0000049975-03-000002.txt : 20030228 0000049975-03-000002.hdr.sgml : 20030228 20030228114735 ACCESSION NUMBER: 0000049975-03-000002 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030228 EFFECTIVENESS DATE: 20030228 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CIGNA INVESTMENT SECURITIES CENTRAL INDEX KEY: 0000049975 IRS NUMBER: 231886274 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-02299 FILM NUMBER: 03585212 BUSINESS ADDRESS: STREET 1: 100 FRONT STREET STREET 2: SUITE 300 CITY: WORCESTER STATE: MA ZIP: 01608 BUSINESS PHONE: 860.534.4700 MAIL ADDRESS: STREET 1: C\O TIMESSQUARE CAPITAL MANAGEMENT, INC. STREET 2: 280 TRUMBULL STREET, H16C CITY: HARTFORD STATE: CT ZIP: 06103 FORMER COMPANY: FORMER CONFORMED NAME: INA INCOME & CONVERTIBLE FUND DATE OF NAME CHANGE: 19730426 FORMER COMPANY: FORMER CONFORMED NAME: CIGNA INVESTMENT SECURITIES INC DATE OF NAME CHANGE: 19990819 NSAR-B 1 answer.fil NSAR-B PAGE 1 000 B000000 12/31/2002 000 C000000 0000049975 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 CIGNA INVESTMENT SECURITIES 001 B000000 811-2299 001 C000000 8605344700 002 A000000 100 FRONT STREET, SUITE 300 002 B000000 WORCESTER 002 C000000 MA 002 D010000 01601 003 000000 N 004 000000 N 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 TIMESSQUARE CAPITAL MANAGEMENT, INC. 008 B000001 A 008 C000001 801-18094 008 D010001 HARTFORD 008 D020001 CT 008 D030001 06152 008 D040001 2210 012 A000001 STATE STREET BANK & TRUST COMPANY 012 B000001 84-00896 012 C010001 BOSTON 012 C020001 MA 012 C030001 02266 013 A000001 PRICEWATERHOUSECOOPERS LLC 013 B010001 BOSTON 013 B020001 MA 013 B030001 02110 015 A000001 STATE STREET BANK AND TRUST COMPANY 015 B000001 C 015 C010001 BOSTON PAGE 2 015 C020001 MA 015 C030001 02266 015 E010001 X 018 000000 Y 019 A000000 N 019 B000000 0 020 C000001 0 020 C000002 0 020 C000003 0 020 C000004 0 020 C000005 0 020 C000006 0 020 C000007 0 020 C000008 0 020 C000009 0 020 C000010 0 021 000000 0 022 A000001 CHASE SECURITIES, INC. 022 B000001 13-2633612 022 C000001 179374 022 D000001 16598 022 A000002 HSBC 022 B000002 22-1093160 022 C000002 100262 022 D000002 14509 022 A000003 SALOMON BROTHERS 022 C000003 49559 022 D000003 47220 022 A000004 CIGNA FUNDS GROUP MONEY MARKET FUND 022 B000004 04-6538385 022 C000004 38760 022 D000004 47218 022 A000005 BONY COUNTRYWIDE SECURITIES 022 B000005 13-5160382 022 C000005 39087 022 D000005 31518 022 A000006 GENERAL ELECTRIC CAPITAL CORP. 022 B000006 13-1500700 022 C000006 68272 022 D000006 0 022 A000007 UBS WARBURG LLC 022 B000007 13-3873450 022 C000007 29741 022 D000007 27797 022 A000008 CREDIT SUISSE FIRST BOSTON 022 B000008 13-4097000 022 C000008 34574 022 D000008 20334 022 A000009 EXXON CORP. 022 B000009 22-2219850 022 C000009 49796 PAGE 3 022 D000009 0 022 A000010 BEAR STEARNS 022 B000010 25-1233834 022 C000010 23713 022 D000010 24295 023 C000000 625808 023 D000000 365865 024 000000 Y 025 A000001 GOLDMAN SACHS GROUP, INC. 025 B000001 13-5108880 025 C000001 D 025 D000001 453 025 A000002 MORGAN STANLEY GROUP, INC. 025 B000002 36-3145972 025 C000002 D 025 D000002 383 025 A000003 CITIGROUP, INC. 025 B000003 11-2418191 025 C000003 D 025 D000003 175 025 A000004 CREDIT SUISSE FIRST BOSTON 025 B000004 13-4097000 025 C000004 D 025 D000004 114 025 A000005 LEHMAN BROTHERS 025 B000005 13-2518466 025 C000005 D 025 D000005 225 025 A000006 J.P. 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BINGHAM, III TITLE VP & TREASURER EX-99.INDEX 3 index.txt EXHIBIT INDEX Exhibit Index EX-99.77B - Report of Independent Accountants EX-99.77Q3 - Certification EX-99.77B ACCT LTTR 4 iis.txt LETTER FROM ACCOUNTANTS 2 Report of Independent Accountants To the Board of Trustees and Shareholders of CIGNA Investment Securities In planning and performing our audit of the financial statements of CIGNA Investment Securities (the "Fund") for the year ended December 31, 2002, we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on internal control. The management of the Fund is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with generally accepted accounting principles. Those controls include the safeguarding of assets against unauthorized acquisition, use or disposition. Because of inherent limitations in internal control, errors or fraud may occur and not be detected. Also, projection of any evaluation of internal control to future periods is subject to the risk that controls may become inadequate because of changes in conditions or that the effectiveness of their design and operation may deteriorate. Our consideration of internal control would not necessarily disclose all matters in internal control that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of one or more of the internal control components does not reduce to a relatively low level the risk that misstatements caused by error or fraud in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving internal control and its operation, including controls for safeguarding securities, that we consider to be material weaknesses as defined above as of December 31, 2002. This report is intended solely for the information and use of the Board of Trustees and management of CIGNA Investment Securities and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. February 14, 2003 EX-99.77Q3 CERT 5 cis303.txt NSAR CERTIFICATION Ex. 99.77Q3 to Form N-SAR Form N-SAR Certification Registrant Name: CIGNA Investment Securities File Number: 811-2299 Registrant CIK Number: 0000049975 (a)(i) The President and the Treasurer have concluded that CIGNA Investment Securities' disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) provide reasonable assurances that material information relating to CIGNA Investment Securities is made known to them by the appropriate persons, based on their evaluation of these controls and procedures as of a date within 90 days of the filing date of this report. (a)(ii) There were no significant changes in CIGNA Investment Securities' internal controls or in other factors that could significantly affect these controls subsequent to the date of the evaluation referenced in (a)(i) above. (a)(iii) Certifications: I, Alfred A. Bingham III, certify that: 1. I have reviewed this report on Form N-SAR of CIGNA Investment Securities; 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 reports, 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 Trust as of, and for, the periods presented in this report; 4. The Trust'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 Trust and have: a) designed such disclosure controls and procedures to ensure that material information relating to the Trust, 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 Trust'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 Trust's other certifying officers and I have disclosed, based on our most recent evaluation, to the Trust's auditors and the audit committee of the Trust's Board of Trustees: a) all significant deficiencies in the design or operation of internal controls which could adversely affect the Trust's ability to record, process, summarize, and report financial data and have identified for the Trust'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 Trust's internal controls; and 6. The Trust'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. /s/ Alfred A. Bingham III Date: February 27, 2003 _____________________________________ Alfred A. Bingham III Vice President and Treasurer Form N-SAR Certification Registrant Name: CIGNA Investment Securities File Number: 811-2299 Registrant CIK Number: 0000049975 (a)(i) The President and the Treasurer have concluded that CIGNA Investment Securities' disclosure controls and procedures (as defined in rule 30a-2(c) under the Investment Company Act) provide reasonable assurances that material information relating to CIGNA Investment Securities is made known to them by the appropriate persons, based on their evaluation of these controls and procedures as of a date within 90 days of the filing date of this report. (a)(ii) There were no significant changes in CIGNA Investment Securities' internal controls or in other factors that could significantly affect these controls subsequent to the date of the evaluation referenced in (a)(i) above. (a)(iii) Certifications: I, Richard H. Forde, certify that: 1. I have reviewed this report on Form N-SAR of CIGNA Investment Securities; 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 reports, 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 Trust as of, and for, the periods presented in this report; 4. The Trust'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 Trust and have: a) designed such disclosure controls and procedures to ensure that material information relating to the Trust, 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 Trust'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 Trust's other certifying officers and I have disclosed, based on our most recent evaluation, to the Trust's auditors and the audit committee of the Trust's Board of Trustees: a) all significant deficiencies in the design or operation of internal controls which could adversely affect the Trust's ability to record, process, summarize, and report financial data and have identified for the Trust'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 Trust's internal controls; and 6. The Trust'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. /s/ Richard H. Forde Date: February 27, 2003 ______________________________________ Richard H. Forde Chairman of the Board and President -----END PRIVACY-ENHANCED MESSAGE-----