-----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, G/Fq64gK3ii6MyizWmtITXwP/qxdr29g7TTpAwlKVdQbTTuOdSC5ve5KfWalrkdc CtZHBTVfWep0FMVQ/xlxRQ== 0000950137-08-009881.txt : 20080730 0000950137-08-009881.hdr.sgml : 20080730 20080730123856 ACCESSION NUMBER: 0000950137-08-009881 CONFORMED SUBMISSION TYPE: 40-17F2 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080730 DATE AS OF CHANGE: 20080730 EFFECTIVENESS DATE: 20080730 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE GLOBAL SERIES INC CENTRAL INDEX KEY: 0000842918 IRS NUMBER: 411850486 STATE OF INCORPORATION: MN FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 40-17F2 SEC ACT: 1940 Act SEC FILE NUMBER: 811-05696 FILM NUMBER: 08978182 BUSINESS ADDRESS: STREET 1: 50606 AMERIPRSE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 6126714321 MAIL ADDRESS: STREET 1: 50606 AMERIPRSE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: RIVERSOURCE GLOBAL SERIES, INC. DATE OF NAME CHANGE: 20060504 FORMER COMPANY: FORMER CONFORMED NAME: AXP GLOBAL SERIES INC DATE OF NAME CHANGE: 19991228 FORMER COMPANY: FORMER CONFORMED NAME: IDS GLOBAL SERIES INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RIVERSOURCE GLOBAL SERIES INC CENTRAL INDEX KEY: 0000842918 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 411850486 STATE OF INCORPORATION: MN FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 40-17F2 BUSINESS ADDRESS: STREET 1: 50606 AMERIPRSE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 BUSINESS PHONE: 6126714321 MAIL ADDRESS: STREET 1: 50606 AMERIPRSE FINANCIAL CENTER STREET 2: H27/5228 CITY: MINNEAPOLIS STATE: MN ZIP: 55474 FORMER COMPANY: FORMER CONFORMED NAME: RIVERSOURCE GLOBAL SERIES, INC. DATE OF NAME CHANGE: 20060504 FORMER COMPANY: FORMER CONFORMED NAME: AXP GLOBAL SERIES INC DATE OF NAME CHANGE: 19991228 FORMER COMPANY: FORMER CONFORMED NAME: IDS GLOBAL SERIES INC DATE OF NAME CHANGE: 19920703 40-17F2 1 c33721de40v17f2.txt CERTIFICATE OF ACCOUNTING OF SECURITIES AND SIMILAR INVESTMENTS ------------------------ OMB APPROVAL ------------------------ OMB Number: 3235-0360 Expires: July 31, 2009 Estimated average burden hours per response...2.1 ------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-17f-2 Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies Pursuant to Rule 17f-2[17 CFR 270.17f-2] - -------------------------------------------------------------------------------- 1. Investment Company Act File Number: Date examination completed: 811-5696 JULY 28, 2008 - -------------------------------------------------------------------------------- 2. State identification Number: AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA RI SC SD TN TX UT VT VA WA WV WI WY PUERTO RICO Other (specify): - -------------------------------------------------------------------------------- 3. Exact name of investment company as specified in registration statement: RiverSource Global Series, Inc. - -------------------------------------------------------------------------------- 4. Address of principal executive office (number, street, city, state, zip code): 50606 Ameriprise Financial Center, Minneapolis, MN 55474 - -------------------------------------------------------------------------------- INSTRUCTIONS This Form must be completed by investment companies that have custody of securities or similar investments. INVESTMENT COMPANY 1. All items must be completed by the investment company. 2. Give this Form to the independent public accountant who, in compliance with Rule 17f-2 under the Act and applicable state law, examines securities and similar investments in the custody of the investment company. ACCOUNTANT 3. Submit this Form to the Securities and Exchange Commission and appropriate state securities administrators when filing the certificate of accounting required by Rule 17f-2 under the Act and applicable state law. File the original and one copy with the Securities and Exchange Commission's principal office in Washington, D.C., one copy with the regional office for the region in which the investment company's principal business operations are conducted, and one copy with the appropriate state administrator(s), if applicable. THIS FORM MUST BE GIVEN TO YOUR INDEPENDENT PUBLIC ACCOUNTANT Report of Independent Registered Public Accounting Firm To the Board of Directors of RiverSource Funds We have examined management's assertion, included in the accompanying Management Statement Regarding Compliance With Certain Provisions of the Investment Company Act of 1940, that the following Funds: RiverSource Floating Rate Fund; RiverSource Inflation Protected Securities Fund; RiverSource Income Opportunities Fund; RiverSource Limited Duration Bond Fund; RiverSource Disciplined Small and Mid Cap Equity Fund; RiverSource Disciplined Small Cap Value Fund; RiverSource Mid Cap Growth Fund; RiverSource Absolute Return Currency and Income Fund; RiverSource Emerging Markets Bond Fund; RiverSource Global Bond Fund; Threadneedle Emerging Markets Fund (formerly RiverSource Emerging Markets Fund); Threadneedle Global Equity Fund (formerly RiverSource Global Equity Fund); RiverSource Global Technology Fund; RiverSource U.S. Government Mortgage Fund; RiverSource Short Duration U.S. Government Fund; RiverSource Income Builder Basic Income Fund; RiverSource Income Builder Enhanced Income Fund; RiverSource Income Builder Moderate Income Fund; RiverSource Partners International Select Growth Fund (formerly RiverSource International Select Growth Fund); RiverSource Partners International Select Value Fund (formerly RiverSource International Select Value Fund); RiverSource Partners International Small Cap Fund (formerly RiverSource International Small Cap Fund); RiverSource Disciplined International Equity Fund; Threadneedle International Opportunity Fund (formerly RiverSource International Opportunity Fund); Threadneedle European Equity Fund (formerly RiverSource European Equity Fund); RiverSource Disciplined Large Cap Growth Fund; RiverSource Diversified Equity Income Fund; RiverSource Mid Cap Value Fund; RiverSource Balanced Fund; RiverSource Growth Fund; RiverSource Large Cap Equity Fund; RiverSource Large Cap Value Fund; RiverSource Disciplined Equity Fund; RiverSource Partners Aggressive Growth Fund (formerly RiverSource Aggressive Growth Fund); RiverSource Partners Fundamental Value Fund (formerly RiverSource Fundamental Value Fund); RiverSource Partners Select Value Fund (formerly RiverSource Select Value Fund); RiverSource Partners Small Cap Equity Fund (formerly RiverSource Small Cap Equity Fund); RiverSource Partners Small Cap Value Fund (formerly RiverSource Small Cap Value Fund); RiverSource Portfolio Builder Conservative Fund; RiverSource Portfolio Builder Moderate Conservative Fund; RiverSource Portfolio Builder Moderate Fund; RiverSource Portfolio Builder Moderate Aggressive Fund; RiverSource Portfolio Builder Aggressive Fund; RiverSource Portfolio Builder Total Equity Fund; RiverSource Small Company Index Fund; RiverSource S&P 500 Index Fund; RiverSource Cash Management Fund; RiverSource Retirement Plus 2010 Fund; RiverSource Retirement Plus 2015 Fund; RiverSource Retirement Plus 2020 Fund; RiverSource Retirement Plus 2025 Fund; RiverSource Retirement Plus 2030 Fund; RiverSource Retirement Plus 2035 Fund; RiverSource Retirement Plus 2040 Fund; RiverSource Retirement Plus 2045 Fund; RiverSource Dividend Opportunity Fund; RiverSource Real Estate Fund; RiverSource Precious Metals and Mining Fund; RiverSource Short Term Cash Fund; RiverSource Strategic Allocation Fund; RiverSource Strategic Income Allocation Fund; RiverSource Small Cap Advantage Fund; RiverSource Equity Value Fund; RiverSource Partners Small Cap Growth Fund (formerly RiverSource Small Cap Growth Fund); RiverSource Variable Portfolio-Diversified Bond Fund; RiverSource Variable Portfolio-Global Bond Fund; RiverSource Variable Portfolio-Global Inflation Protected Securities Fund; RiverSource Variable Portfolio-High Yield Bond Fund; RiverSource Variable Portfolio-Income Opportunities Fund; RiverSource Variable Portfolio-Short Duration U.S. Government Fund; Threadneedle Variable Portfolio-Emerging Markets Fund (formerly RiverSource Variable Portfolio-Emerging Markets Fund); RiverSource Variable Portfolio-Growth Fund; Threadneedle Variable Portfolio-International Opportunity Fund (formerly RiverSource Variable Portfolio-International Opportunity Fund); RiverSource Variable Portfolio-Large Cap Equity Fund; RiverSource Variable Portfolio-Large Cap Value Fund; RiverSource Variable Portfolio-Mid Cap Growth Fund; RiverSource Variable Portfolio-Mid Cap Value Fund; RiverSource Variable Portfolio-S&P 500 Index Fund; RiverSource Variable Portfolio-Small Cap Advantage Fund; RiverSource Variable Portfolio-Balanced Fund; RiverSource Variable Portfolio-Diversified Equity Income Fund; RiverSource Partners Variable Portfolio-Fundamental Value Fund (formerly RiverSource Variable Portfolio-Fundamental Value Fund); RiverSource Partners Variable Portfolio-Select Value Fund (formerly RiverSource Variable Portfolio-Select Value Fund); RiverSource Partners Variable Portfolio-Small Cap Value Fund (formerly RiverSource Variable Portfolio-Small Cap Value Fund); RiverSource Variable Portfolio-Cash Management Fund; RiverSource Variable Portfolio-Core Equity Fund; of the RiverSource Funds (referred to collectively as the Funds) complied with the requirements of subsections (b) and (c) of rule 17f-2 under the Investment Company Act of 1940 (the Act) as of April 30, 2008. Management is responsible for the Funds' compliance with those requirements. Our responsibility is to express an opinion on management's assertion about the Funds' compliance based on our examination. Our examination was conducted in accordance with the standards of the Public Company Accounting Oversight Board (United States) and, accordingly, included examining, on a test basis, evidence about the Funds' compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. Included among our procedures were the following tests performed as of April 30, 2008, and with respect to agreement of security purchases and sales, for the period from February 29, 2008 (the date of the last examination) through April 30, 2008: - - Count and inspection of all securities located in the vault of Ameriprise Trust Company (the Custodian) in Minneapolis, Minnesota; - - Confirmation of all securities held by institutions in book entry form (Wells Fargo and Depository Trust Company); - - Confirmation of all securities hypothecated, pledged, placed in escrow, or out for transfer with brokers, pledgees, or transfer agents; - - Review of reconciliation of all such securities to the books and records of the Funds and the Custodian; - - Agreement of 10 security purchases and 15 security sales or maturities from the books and records of the Funds to broker confirmations. We believe that our examination provides a reasonable basis for our opinion. Our examination does not provide a legal determination on the Funds' compliance with specified requirements. In our opinion, management's assertion that the Funds complied with the requirements of subsections (b) and (c) of rule 17f-2 of the Act as of April 30, 2008, with respect to securities reflected in the investment accounts of the Funds is fairly stated, in all material respects. This report is intended solely for the information and use of management and the Board of Directors of the Funds 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/ Ernst & Young LLP ---------------------------------------- Minneapolis, Minnesota July 28, 2008 Management Statement Regarding Compliance With Certain Provisions of the Investment Company Act of 1940 July 28, 2008 I, as a member of management of the RiverSource Floating Rate Fund, RiverSource Inflation Protected Securities Fund, RiverSource Income Opportunities Fund, RiverSource Limited Duration Bond Fund, RiverSource Disciplined Small and Mid Cap Equity Fund, RiverSource Disciplined Small Cap Value Fund, RiverSource Mid Cap Growth Fund, RiverSource Absolute Return Currency and Income Fund, RiverSource Emerging Markets Bond Fund, RiverSource Global Bond Fund, Threadneedle Emerging Markets Fund (formerly RiverSource Emerging Markets Fund), Threadneedle Global Equity Fund (formerly RiverSource Global Equity Fund), RiverSource Global Technology Fund, RiverSource U.S. Government Mortgage Fund, RiverSource Short Duration U.S. Government Fund, RiverSource Income Builder Basic Income Fund, RiverSource Income Builder Enhanced Income Fund, RiverSource Income Builder Moderate Income Fund, RiverSource Partners International Select Growth Fund (formerly RiverSource International Select Growth Fund), RiverSource Partners International Select Value Fund (formerly RiverSource International Select Value Fund), RiverSource Partners International Small Cap Fund (formerly RiverSource International Small Cap Fund), RiverSource Disciplined International Equity Fund, Threadneedle International Opportunity Fund (formerly RiverSource International Opportunity Fund), Threadneedle European Equity Fund (formerly RiverSource European Equity Fund), RiverSource Disciplined Large Cap Growth Fund, RiverSource Diversified Equity Income Fund, RiverSource Mid Cap Value Fund, RiverSource Balanced Fund, RiverSource Growth Fund, RiverSource Large Cap Equity Fund, RiverSource Large Cap Value Fund, RiverSource Disciplined Equity Fund, RiverSource Partners Aggressive Growth Fund (formerly RiverSource Aggressive Growth Fund), RiverSource Partners Fundamental Value Fund (formerly RiverSource Fundamental Value Fund), RiverSource Partners Select Value Fund (formerly RiverSource Select Value Fund), RiverSource Partners Small Cap Equity Fund (formerly RiverSource Small Cap Equity Fund), RiverSource Partners Small Cap Value Fund (formerly RiverSource Small Cap Value Fund), RiverSource Portfolio Builder Conservative Fund, RiverSource Portfolio Builder Moderate Conservative Fund, RiverSource Portfolio Builder Moderate Fund, RiverSource Portfolio Builder Moderate Aggressive Fund, RiverSource Portfolio Builder Aggressive Fund, RiverSource Portfolio Builder Total Equity Fund, RiverSource Small Company Index Fund, RiverSource S&P 500 Index Fund, RiverSource Cash Management Fund, RiverSource Retirement Plus 2010 Fund, RiverSource Retirement Plus 2015 Fund, RiverSource Retirement Plus 2020 Fund, RiverSource Retirement Plus 2025 Fund, RiverSource Retirement Plus 2030 Fund, RiverSource Retirement Plus 2035 Fund, RiverSource Retirement Plus 2040 Fund, RiverSource Retirement Plus 2045 Fund, RiverSource Dividend Opportunity Fund, RiverSource Real Estate Fund, RiverSource Precious Metals and Mining Fund, RiverSource Short Term Cash Fund, RiverSource Strategic Allocation Fund, RiverSource Strategic Income Allocation Fund, RiverSource Small Cap Advantage Fund, RiverSource Equity Value Fund, RiverSource Partners Small Cap Growth Fund (formerly RiverSource Small Cap Growth Fund), RiverSource Variable Portfolio-Diversified Bond Fund, RiverSource Variable Portfolio-Global Bond Fund, RiverSource Variable Portfolio-Global Inflation Protected Securities Fund, RiverSource Variable Portfolio-High Yield Bond Fund, RiverSource Variable Portfolio-Income Opportunities Fund, RiverSource Variable Portfolio-Short Duration U.S. Government Fund, Threadneedle Variable Portfolio-Emerging Markets Fund (formerly RiverSource Variable Portfolio-Emerging Markets Fund), RiverSource Variable Portfolio-Growth Fund, Threadneedle Variable Portfolio-International Opportunity Fund (formerly RiverSource Variable Portfolio-International Opportunity Fund), RiverSource Variable Portfolio-Large Cap Equity Fund, RiverSource Variable Portfolio-Large Cap Value Fund, RiverSource Variable Portfolio-Mid Cap Growth Fund, RiverSource Variable Portfolio-Mid Cap Value Fund, RiverSource Variable Portfolio-S&P 500 Index Fund, RiverSource Variable Portfolio-Small Cap Advantage Fund, RiverSource Variable Portfolio-Balanced Fund, RiverSource Variable Portfolio-Diversified Equity Income Fund, RiverSource Partners Variable Portfolio-Fundamental Value Fund (formerly RiverSource Variable Portfolio-Fundamental Value Fund), RiverSource Partners Variable Portfolio-Select Value Fund (formerly RiverSource Variable Portfolio-Select Value Fund), RiverSource Partners Variable Portfolio-Small Cap Value Fund (formerly RiverSource Variable Portfolio-Small Cap Value Fund), RiverSource Variable Portfolio-Cash Management Fund, RiverSource Variable Portfolio-Core Equity Fund, (referred to collectively as the Funds), am responsible for complying with the requirements of subsections (b) and (c) of rule 17f-2, "Custody of Investments by Registered Management Investment Companies," of the Investment Company Act of 1940 (the Act). I am also responsible for establishing and maintaining effective internal controls over compliance with those requirements. I have performed an evaluation of the Funds' compliance with the requirements of subsections (b) and (c) of rule 17f-2 as of April 30, 2008, and from the date of the last examination of each fund through April 30, 2008. Based on this evaluation, I assert that the Funds were in compliance with the requirements of subsections (b) and (c) of rule 17f-2 of the Act as of April 30, 2008, and from the date of the last examination of each fund through April 30, 2008, with respect to securities reflected in the investment accounts of the Funds. By: /s/ Jeffrey P. Fox ----------------- Jeffrey P. Fox Treasurer RiverSource Funds -----END PRIVACY-ENHANCED MESSAGE-----