0001041062-13-000786.txt : 20131129 0001041062-13-000786.hdr.sgml : 20131128 20131129100817 ACCESSION NUMBER: 0001041062-13-000786 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131129 DATE AS OF CHANGE: 20131129 EFFECTIVENESS DATE: 20131129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SEI INSTITUTIONAL INTERNATIONAL TRUST CENTRAL INDEX KEY: 0000835597 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-05601 FILM NUMBER: 131249324 BUSINESS ADDRESS: STREET 1: SEI INVESTMENTS ATTN: CAREN ROSCH STREET 2: 1FREEDOM CIRCLE DRIVE CITY: OAKS STATE: PA ZIP: 19456 BUSINESS PHONE: 610 676-3097 MAIL ADDRESS: STREET 1: SEI INVESTMENTS ATTN: CAREN ROSCH STREET 2: 1FREEDOM CIRCLE DRIVE CITY: OAKS STATE: PA ZIP: 19456 FORMER COMPANY: FORMER CONFORMED NAME: SEI INTERNATIONAL TRUST DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED 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050 000200 N 050 000500 N 050 000600 N 051 000100 N 051 000200 N 051 000500 N 051 000600 N 052 000100 N 052 000200 N 052 000500 N 052 000600 N 053 A000100 Y 053 B000100 Y 053 C000100 N 053 A000200 Y 053 B000200 Y 053 C000200 N 053 A000500 Y 053 B000500 Y 053 C000500 N 053 A000600 Y 053 B000600 Y 053 C000600 N 054 A00AA00 N 054 B00AA00 N 054 C00AA00 N 054 D00AA00 N 054 E00AA00 N 054 F00AA00 N 054 G00AA00 N 054 H00AA00 Y 054 I00AA00 N 054 J00AA00 Y 054 K00AA00 N 054 L00AA00 N 054 M00AA00 N 054 N00AA00 N 054 O00AA00 Y 055 A00AA00 Y PAGE 14 055 B00AA00 N 056 00AA00 Y 057 00AA00 N 058 A00AA00 N 059 00AA00 Y 060 A00AA00 Y 060 B00AA00 Y 061 00AA00 100000 062 A000100 N 062 B000100 0.0 062 C000100 0.0 062 D000100 0.0 062 E000100 0.0 062 F000100 0.0 062 G000100 0.0 062 H000100 0.0 062 I000100 0.0 062 J000100 0.0 062 K000100 0.0 062 L000100 0.0 062 M000100 0.0 062 N000100 0.0 062 O000100 0.0 062 P000100 0.0 062 Q000100 0.0 062 R000100 0.0 062 A000200 Y 062 B000200 0.0 062 C000200 0.0 062 D000200 0.0 062 E000200 0.0 062 F000200 0.0 062 G000200 0.0 062 H000200 0.0 062 I000200 0.0 062 J000200 1.9 062 K000200 0.0 062 L000200 2.6 062 M000200 0.6 062 N000200 0.0 062 O000200 0.0 062 P000200 2.0 062 Q000200 92.9 062 R000200 0.0 062 A000500 N 062 B000500 0.0 062 C000500 0.0 062 D000500 0.0 062 E000500 0.0 062 F000500 0.0 062 G000500 0.0 PAGE 15 062 H000500 0.0 062 I000500 0.0 062 J000500 0.0 062 K000500 0.0 062 L000500 0.0 062 M000500 0.0 062 N000500 0.0 062 O000500 0.0 062 P000500 0.0 062 Q000500 0.0 062 R000500 0.0 062 A000600 Y 062 B000600 0.0 062 C000600 0.0 062 D000600 0.0 062 E000600 0.0 062 F000600 0.0 062 G000600 0.0 062 H000600 0.0 062 I000600 0.0 062 J000600 3.1 062 K000600 0.0 062 L000600 1.6 062 M000600 93.0 062 N000600 0.0 062 O000600 0.0 062 P000600 0.0 062 Q000600 0.0 062 R000600 0.0 063 A000100 0 063 B000100 0.0 063 A000200 0 063 B000200 8.5 063 A000500 0 063 B000500 0.0 063 A000600 0 063 B000600 9.1 064 A000200 N 064 B000200 N 064 A000600 N 064 B000600 Y 065 000600 N 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A020600 N 070 B010600 N 070 B020600 N 070 C010600 Y 070 C020600 N 070 D010600 Y 070 D020600 N 070 E010600 Y 070 E020600 Y 070 F010600 Y 070 F020600 N 070 G010600 Y 070 G020600 N 070 H010600 Y 070 H020600 Y 070 I010600 Y 070 I020600 N 070 J010600 Y 070 J020600 Y 070 K010600 Y 070 K020600 Y PAGE 19 070 L010600 Y 070 L020600 Y 070 M010600 Y 070 M020600 Y 070 N010600 Y 070 N020600 Y 070 O010600 Y 070 O020600 N 070 P010600 Y 070 P020600 N 070 Q010600 Y 070 Q020600 N 070 R010600 Y 070 R020600 N 071 A000100 1049649 071 B000100 904145 071 C000100 1914954 071 D000100 47 071 A000200 417234 071 B000200 381124 071 C000200 442504 071 D000200 86 071 A000500 1236758 071 B000500 776448 071 C000500 993812 071 D000500 78 071 A000600 1182513 071 B000600 935957 071 C000600 1035511 071 D000600 90 072 A000100 12 072 B000100 15 072 C000100 54013 072 D000100 0 072 E000100 2008 072 F000100 10313 072 G000100 9190 072 H000100 13 072 I000100 5120 072 J000100 318 072 K000100 0 072 L000100 189 072 M000100 33 072 N000100 51 072 O000100 0 072 P000100 0 072 Q000100 0 072 R000100 67 072 S000100 67 072 T000100 0 072 U000100 0 PAGE 20 072 V000100 0 072 W000100 139 072 X000100 25500 072 Y000100 0 072 Z000100 30536 072AA000100 79260 072BB000100 0 072CC010100 273871 072CC020100 0 072DD010100 29890 072DD020100 72 072EE000100 0 072 A000200 12 072 B000200 11873 072 C000200 0 072 D000200 0 072 E000200 0 072 F000200 1490 072 G000200 2980 072 H000200 3 072 I000200 1242 072 J000200 72 072 K000200 0 072 L000200 42 072 M000200 8 072 N000200 14 072 O000200 0 072 P000200 0 072 Q000200 0 072 R000200 13 072 S000200 16 072 T000200 0 072 U000200 0 072 V000200 0 072 W000200 70 072 X000200 5950 072 Y000200 866 072 Z000200 6789 072AA000200 23429 072BB000200 0 072CC010200 0 072CC020200 26458 072DD010200 21926 072DD020200 0 072EE000200 0 072 A000500 12 072 B000500 27 072 C000500 24349 072 D000500 0 072 E000500 702 072 F000500 10582 PAGE 21 072 G000500 6551 072 H000500 7 072 I000500 2520 072 J000500 557 072 K000500 0 072 L000500 100 072 M000500 16 072 N000500 25 072 O000500 0 072 P000500 0 072 Q000500 0 072 R000500 113 072 S000500 34 072 T000500 0 072 U000500 0 072 V000500 0 072 W000500 85 072 X000500 20590 072 Y000500 799 072 Z000500 5287 072AA000500 7548 072BB000500 0 072CC010500 28893 072CC020500 0 072DD010500 4998 072DD020500 0 072EE000500 0 072 A000600 12 072 B000600 67281 072 C000600 0 072 D000600 0 072 E000600 6 072 F000600 10266 072 G000600 7851 072 H000600 7 072 I000600 3020 072 J000600 377 072 K000600 0 072 L000600 104 072 M000600 20 072 N000600 32 072 O000600 0 072 P000600 0 072 Q000600 0 072 R000600 57 072 S000600 38 072 T000600 0 072 U000600 0 072 V000600 0 072 W000600 122 072 X000600 21894 PAGE 22 072 Y000600 5413 072 Z000600 50806 072AA000600 14753 072BB000600 0 072CC010600 0 072CC020600 129685 072DD010600 70620 072DD020600 0 072EE000600 45779 073 A010100 0.1365 073 A020100 0.1148 073 B000100 0.0000 073 C000100 0.0000 073 A010200 0.3946 073 A020200 0.0000 073 B000200 0.0000 073 C000200 0.0900 073 A010500 0.0578 073 A020500 0.0000 073 B000500 0.0000 073 C000500 0.0000 073 A010600 0.6816 073 A020600 0.0000 073 B000600 0.4636 073 C000600 0.0000 074 A000100 0 074 B000100 0 074 C000100 59105 074 D000100 0 074 E000100 19060 074 F000100 2204958 074 G000100 0 074 H000100 0 074 I000100 170299 074 J000100 8801 074 K000100 0 074 L000100 9253 074 M000100 27 074 N000100 2471503 074 O000100 11769 074 P000100 2312 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 101268 074 S000100 0 074 T000100 2356154 074 U010100 241920 074 U020100 614 074 V010100 9.71 PAGE 23 074 V020100 9.70 074 W000100 0.0000 074 X000100 752 074 Y000100 0 074 A000200 980 074 B000200 0 074 C000200 21196 074 D000200 452059 074 E000200 0 074 F000200 0 074 G000200 0 074 H000200 0 074 I000200 0 074 J000200 6901 074 K000200 0 074 L000200 5075 074 M000200 1991 074 N000200 488202 074 O000200 2386 074 P000200 395 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 12039 074 S000200 0 074 T000200 473382 074 U010200 45437 074 U020200 0 074 V010200 10.42 074 V020200 0.00 074 W000200 0.0000 074 X000200 352 074 Y000200 0 074 A000500 6128 074 B000500 0 074 C000500 13857 074 D000500 0 074 E000500 57090 074 F000500 1280101 074 G000500 0 074 H000500 0 074 I000500 130664 074 J000500 21577 074 K000500 0 074 L000500 117330 074 M000500 58 074 N000500 1626805 074 O000500 130478 074 P000500 2055 074 Q000500 0 PAGE 24 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 80589 074 S000500 0 074 T000500 1413683 074 U010500 134258 074 U020500 0 074 V010500 10.53 074 V020500 0.00 074 W000500 0.0000 074 X000500 660 074 Y000500 0 074 A000600 10124 074 B000600 0 074 C000600 48693 074 D000600 1091393 074 E000600 0 074 F000600 0 074 G000600 0 074 H000600 0 074 I000600 15098 074 J000600 5758 074 K000600 0 074 L000600 20259 074 M000600 14448 074 N000600 1205773 074 O000600 9126 074 P000600 1263 074 Q000600 0 074 R010600 0 074 R020600 0 074 R030600 0 074 R040600 13088 074 S000600 0 074 T000600 1182296 074 U010600 113952 074 U020600 0 074 V010600 10.38 074 V020600 0.00 074 W000600 0.0000 074 X000600 1232 074 Y000600 0 075 A000100 0 075 B000100 2043526 075 A000200 0 075 B000200 497059 075 A000500 0 075 B000500 1008467 075 A000600 0 075 B000600 1208548 PAGE 25 076 000100 0.00 076 000200 0.00 076 000500 0.00 076 000600 0.00 077 A000000 Y 077 B000000 Y 078 000000 N 080 A00AA00 Continental, Everest, AXIS, Federal Ins 080 B00AA00 N/A 080 C00AA00 40000 081 A00AA00 Y 081 B00AA00 194 082 A00AA00 Y 082 B00AA00 150 083 A00AA00 N 083 B00AA00 0 084 A00AA00 N 084 B00AA00 0 085 A00AA00 Y 085 B00AA00 N 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 SIGNATURE ROBERT A NESHER TITLE PRESIDENT & CEO EX-99.77Q1 OTHR EXHB 2 COE.txt SEI LIQUID ASSET TRUST SEI TAX EXEMPT TRUST SEI DAILY INCOME TRUST SEI INSTITUTIONAL MANAGED TRUST SEI INSTITUTIONAL INTERNATIONAL TRUST SEI ASSET ALLOCATION TRUST SEI INSTITUTIONAL INVESTMENTS TRUST SEI ALPHA STRATEGY PORTFOLIOS, L.P. ADVISER MANAGED TRUST NEW COVENANT FUNDS Financial Officer Code of Ethics 1. Introduction The reputation and integrity of SEI Liquid Asset Trust, SEI Tax Exempt Trust, SEI Daily Income Trust, SEI Institutional Managed Trust, SEI Institutional International Trust, SEI Asset Allocation Trust, SEI Institutional Investments Trust, SEI Alpha Strategy Portfolios, L.P., Adviser Managed Trust and New Covenant Funds (each a Trust and, collectively, the Trusts) are valuable assets that are vital to the each Trusts success. The Trusts senior financial officers (SFOs) are responsible for conducting the Trusts business in a manner that demonstrates a commitment to the highest standards of integrity. The Trusts SFOs include the principal executive officer, the principal financial officer, comptroller or principal accounting officer, and any person who performs a similar function. The Sarbanes-Oxley Act of 2002 (the Act) effected sweeping corporate disclosure and financial reporting reform on public companies, including mutual funds, to address corporate malfeasance and assure investors that the companies in which they invest are accurately and completely disclosing financial information. Under the Act, all public companies (including the Trusts) must either have a code of ethics for their SFOs, or disclose why they do not. The Act was intended to foster corporate environments which encourage employees to question and report unethical and potentially illegal business practices. Each Trust has chosen to adopt this Financial Officer Code of Ethics (the Code) to encourage its SFOs to act in a manner consistent with the highest principles of ethical conduct. 2. Purposes of the Code The purposes of this Code are: To promote honest and ethical conduct by each Trusts SFOs, including the ethical handling of actual or apparent conflicts of interest between personal and professional relationships; To assist each Trusts SFOs in recognizing and avoiding conflicts of interest, including disclosing to an appropriate person any material transaction or relationship that reasonably could be expected to give rise to such a conflict; To promote full, fair, accurate, timely, and understandable disclosure in reports and documents that the Trusts file with, or submit to, the SEC and in other public communications made by the Trusts; To promote compliance with applicable laws, rules and regulations; To encourage the prompt internal reporting to an appropriate person of violations of this Code; and To establish accountability for adherence to this Code. 3. Questions about this Code Each Trusts compliance officer designated to oversee compliance with the Trusts Code of Ethics adopted pursuant to Rule 17j-1 shall serve as Compliance Officer for the implementation and administration of this Code. You should direct your questions about this Code to the Compliance Officer. 4. Conduct Guidelines Each Trust has adopted the following guidelines under which the Trusts SFOs must perform their official duties and conduct the business affairs of the Trust. a) Ethical and honest conduct is of paramount importance. Each Trusts SFOs must act with honesty and integrity and avoid violations of this Code, including the avoidance of actual or apparent conflicts of interest with the Trust in personal and professional relationships. b) SFOs must disclose material transactions or relationships. Each Trusts SFOs must disclose to the Compliance Officer any actual or apparent conflicts of interest the SFO may have with the Trust that reasonably could be expected to give rise to any violations of this Code. Such conflicts of interest may arise as a result of material transactions or business or personal relationships to which the SFO may be a party. If it is not possible to disclose the matter to the Compliance Officer, it should be disclosed to the Trusts Chief Financial Officer, Chief Executive Officer or another appropriate person. In addition to disclosing any actual or apparent conflicts of interest in which an SFO is personally involved, the Trusts SFOs have an obligation to report any other actual or apparent conflicts which they discover or of which they otherwise become aware. If you are unsure whether a particular fact pattern gives rise to a conflict of interest, or whether a particular transaction or relationship is material, you should bring the matter to the attention of the Compliance Officer. c) Standards for quality of information shared with service providers of the Trusts. Each Trusts SFOs must at all times seek to provide information to the Trusts service providers (adviser, administrator, outside auditor, outside counsel, custodian, etc.) that is accurate, complete, objective, relevant, timely, and understandable. d) Standards for quality of information included in periodic reports. Each Trusts SFOs must at all times endeavor to ensure full, fair, timely, accurate, and understandable disclosure in the Trusts periodic reports. e) Compliance with laws. Each Trusts SFOs must comply with the federal securities laws and other laws and rules applicable to the Trusts, such as the Internal Revenue Code. f) Standard of care. Each Trusts SFOs must at all times act in good faith and with due care, competence and diligence, without misrepresenting material facts or allowing your independent judgment to be subordinated. Each Trusts SFOs must conduct the affairs of the Trust in a responsible manner, consistent with this Code. g) Confidentiality of information. Each Trusts SFOs must respect and protect the confidentiality of information acquired in the course of their professional duties, except when authorized by the Trust to disclose it or where disclosure is otherwise legally mandated. You may not use confidential information acquired in the course of your work for personal advantage. h) Sharing of information and educational standards. Each Trusts SFOs should share information with relevant parties to keep them informed of the business affairs of the Trust, as appropriate, and maintain skills important and relevant to the Trusts needs. i) Promote ethical conduct. Each Trusts SFOs should at all times proactively promote ethical behavior among peers in your work environment. j) Standards for recordkeeping. Each Trusts SFOs must at all times endeavor to ensure that the Trusts financial books and records are thoroughly and accurately maintained to the best of their knowledge in a manner consistent with applicable laws and this Code. 5. Waivers of this Code You may request a waiver of a provision of this Code by submitting your request in writing to the Compliance Officer for appropriate review. For example, if a family member works for a service provider that prepares a Trusts financial statements, you may have a potential conflict of interest in reviewing those statements and should seek a waiver of this Code to review the work. An executive officer of each Trust, or another appropriate person (such as a designated Board or Audit Committee member), will decide whether to grant a waiver. All waivers of this code must be disclosed to the applicable Trusts shareholders to the extent required by SEC rules. 6. Affirmation of the Code Upon adoption of the Code, each Trusts SFOs must affirm in writing that they have received, read and understand the Code, and annually thereafter must affirm that they have complied with the requirements of the Code. To the extent necessary, each Trusts Compliance Officer will provide guidance on the conduct required by this Code and the manner in which violations or suspected violations must be reported and waivers must be requested. 7. Reporting Violations In the event that an SFO discovers or, in good faith, suspects a violation of this Code, the SFO must immediately report the violation or suspected violation to the Compliance Officer. The Compliance Officer may, in his discretion, consult with another member of the Trusts senior management or the Board in determining how to address the suspected violation. For example, a Code violation may occur when a periodic report or financial statement of a Trust omits a material fact, or is technically accurate but, in the view of the SFO, is written in a way that obscures its meaning. SFOs who report violations or suspected violations in good faith will not be subject to retaliation of any kind. Reported violations will be investigated and addressed promptly and will be treated as confidential to the extent possible. 8. Violations of the Code Dishonest or unethical conduct or conduct that is illegal will constitute a violation of this Code, regardless of whether this Code specifically refers to such particular conduct. A violation of this Code may result in disciplinary action, up to and including removal as an SFO of the Trust. A variety of laws apply to the Trusts and their operations, including the Securities Act of 1933, the Investment Company Act of 1940, state laws relating to duties owed by Trust officers, and criminal laws. The Trusts will report any suspected criminal violations to the appropriate authorities, and will investigate, address and report, as appropriate, non- criminal violations. EX-99.77B ACCT LTTR 3 icl.txt Report of Independent Registered Public Accounting Firm The Board of Trustees and Shareholders SEI Institutional International Trust: In planning and performing our audits of the financial statements of SEI Institutional International Trust, comprised of the International Equity Fund, Emerging Markets Equity Fund, International Fixed Income Fund and Emerging Markets Debt Fund (collectively, the Funds), as of and for the year ended September 30, 2013, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Funds 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 Funds internal control over financial reporting. Accordingly, we express no such opinion. Management of the Funds 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 companys 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 companys 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 companys 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 Funds annual or interim financial statements will not be prevented or detected on a timely basis. Our consideration of the Funds 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 Funds 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 September 30, 2013. This report is intended solely for the information and use of management and the Board of Trustees of SEI Institutional International Trust 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/ KPMG LLP Philadelphia, Pennsylvania November 27, 2013