0001236835-13-000334.txt : 20130826
0001236835-13-000334.hdr.sgml : 20130826
20130826152455
ACCESSION NUMBER: 0001236835-13-000334
CONFORMED SUBMISSION TYPE: NSAR-B
PUBLIC DOCUMENT COUNT: 3
CONFORMED PERIOD OF REPORT: 20130630
FILED AS OF DATE: 20130826
DATE AS OF CHANGE: 20130826
EFFECTIVENESS DATE: 20130826
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: KOREA FUND INC
CENTRAL INDEX KEY: 0000748691
IRS NUMBER: 133226146
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: NSAR-B
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-04058
FILM NUMBER: 131060298
BUSINESS ADDRESS:
STREET 1: ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT
STREET 2: 1633 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10019
BUSINESS PHONE: 212-739-3000
MAIL ADDRESS:
STREET 1: ALLIANZ GLOBAL INVESTORS FUND MANAGEMENT
STREET 2: 1633 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10019
NSAR-B
1
answer.fil
KOREA FUND ANSWER FILE
PAGE 1
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PAGE 2
014 A000002 PIMCO INVESTMENTS LLC
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020 A000005 THE GOLDMAN SACHS GROUP, INC.
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020 A000006 CLSA SECURITIES KOREA, LTD.
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020 A000007 CITIGROUP GLOBAL MARKETS KOREA SECURITIES LTD
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PAGE 3
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PAGE 5
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PAGE 6
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PAGE 7
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PAGE 8
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PAGE 9
087 A010000 The Korea Fund, Inc.
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SIGNATURE LAWRENCE G. ALTADONNA
TITLE ASST TREASURER
EX-99.77B ACCT LTTR
2
koreaauditltr.txt
KOREA AUDITOR LETTER
Report of Independent Registered Public Accounting Firm
To the Board of Directors and Stockholders of The Korea Fund, Inc.:
In planning and performing our audit of the financial statements of The Korea
Fund, Inc. ("the Fund") as of and for the year ended June 30, 2013 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-SAR, but
not for the purpose of expressing an opinion on the effectiveness of the Fund's
internal control over financial reporting. Accordingly, we do not express an
opinion on the effectiveness of the Fund's internal control over financial
reporting.
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 over financial
reporting 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 material weaknesses as defined above as of June 30, 2013.
This report is intended solely for the information and use of management and the
Board of Directors of The Korea 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.
PricewaterhouseCoopers LLP
August 21, 2013
EX-99.77C VOTES
3
koreavotes.txt
KOREA VOTES
Annual Stockholder Meeting Results:
The Fund held its annual meeting of stockholders on October 31, 2012.
Stockholders voted as indicated below:
Withheld
Affirmative Against Authority
Election of Joseph T. Grause, Jr.
-Class I to serve until 2013 7,783,105 129,699 38,864
Election of Christopher B. Brader
-Class II to serve until 2014 7,786,431 126,687 38,550
Election of Marran H. Ogilvie
-Class III to serve until 2015 7,713,777 198,944 38,947
Re-election of Richard A. Silver
-Class III to serve until 2015 7,813,059 100,756 37,853
Mr. Julian Reid, continues to serve as a Director of the Fund.