-----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, Uhm0IxcJ/1BF31wYF/1nWOjCbYAnJ6MblEZ1yCB2rieulp5cFZ2Q9vs1aClFrCsM N9NxbU8JVtAW7RDtDtIeGQ== 0001188327-03-000001.txt : 20030129 0001188327-03-000001.hdr.sgml : 20030129 20030129102614 ACCESSION NUMBER: 0001188327-03-000001 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 4 CONFORMED PERIOD OF REPORT: 20021130 FILED AS OF DATE: 20030129 EFFECTIVENESS DATE: 20030129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STRATEGIC GLOBAL INCOME FUND INC CENTRAL INDEX KEY: 0000880943 IRS NUMBER: 133643938 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-06475 FILM NUMBER: 03529026 BUSINESS ADDRESS: STREET 1: 51 WEST 52ND STREET STREET 2: UBS GLOBAL ASSET MANAGEMENT (US) INC. CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212 882 5575 MAIL ADDRESS: STREET 1: 51 WEST 52ND ST STREET 2: UBS GLOBAL ASSET MANAGEMENT (US) INC. 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088 A000000 N 088 B000000 N 088 C000000 N 088 D000000 N SIGNATURE PAUL SCHUBERT TITLE TREASURER EX-99.77Q1 OTHR EXHB 3 certification.txt 77Q3 CERTIFICATION LETTER Model N-SAR Exhibit 99.77Q3 EXHIBIT 99.77Q3 TO FORM N-SAR Registrant Name: Strategic Global Income Fund, Inc File Number: 811- 6475 Registrant CIK Number:0000880943 Sub-Item 77Q3 (a)(i) The registrant's principal executive officer and principal financial officer have concluded that the registrant's disclosure controls and procedures (as defined in Rule 30a-2(c) under the Investment Company Act of 1940, as amended) are effective based on their evaluation of these controls and procedures as of a date within 90 days of the filing date of this document. (a)(ii) There were no significant changes in the registrant's internal controls or in other factors that could significantly affect these controls subsequent to the date of their evaluation, including any corrective actions with regard to significant deficiencies and material weaknesses. (a)(iii) Certifications: CERTIFICATIONS I, Brian M. Storms, certify that: 1. I have reviewed this report on Form N-SAR of Strategic Global Income Fund, Inc.; 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 report, 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 registrant as of, and for, the periods presented in this report; 4. The registrant'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 registrant and have: a) designed such disclosure controls and procedures to ensure that material information relating to the registrant, 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 registrant'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 registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant'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 registrant's internal controls; and 6. The registrant'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. Date: /s/ Brian M. Storms Brian M. Storms President CERTIFICATIONS I, Paul H. Schubert, certify that: 1. I have reviewed this report on Form N-SAR of Strategic Global Income Fund, Inc.; 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 report, 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 registrant as of, and for, the periods presented in this report; 4. The registrant'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 registrant and have: a) designed such disclosure controls and procedures to ensure that material information relating to the registrant, 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 registrant'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 registrant's other certifying officers and I have disclosed, based on our most recent evaluation, to the registrant's auditors and the audit committee of the registrant's board of directors (or persons performing the equivalent functions): a) all significant deficiencies in the design or operation of internal controls which could adversely affect the registrant's ability to record, process, summarize, and report financial data and have identified for the registrant'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 registrant's internal controls; and 6. The registrant'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. Date: /s/ Paul H. Schubert Paul H. Schubert Treasurer EX-99.77Q2 ITEM 405 4 legalq.txt 77Q2 LEGAL LETTER If filing more than one Page 32, "X" box: ? For period ending November 30, 2002 File number 811-6475 77. A. Is the Registrant filing any of the following attachments with the current filing of Form N-SAR? (ANSWER FOR ALL SERIES AS A GROUP) Y Y/N NOTE: If answer is "Y" (Yes), mark those items below being filed as an attachment to this form or incorporated by reference. __ Y/N B. Accountant's report on internal control ___ C. Matters submitted to a vote of security holders N D. Policies with respect to security investments N E. Legal proceedings N F. Changes in security for debt N G. Defaults and arrears on senior securities N H. Changes in control of Registrant N I. Terms of new or amended securities N J. Revaluation of assets or restatement of capital share account __ K. Changes in Registrant's certifying accountant N L. Changes in accounting principles and practices __ M. Mergers N N. Actions required to be reported pursuant to Rule 2a-7 N O. Transactions effected pursuant to Rule 10f-3 N P. Information required to be filed pursuant to existing exemptive orders N Attachment Information (Cont. On Screen 39) If filing more than one Page 32, "X" box: ? For period ending November 30, 2002 File number 811-6475 Attachment Information (Cont. from Screen 38) 77. Q. 1. Exhibits N Y/N 2. Any information called for by instructions to sub-item 77Q2 Y Y/N 3. Any information called for by instructions to sub-item 77Q3 Y Y/N SCREEN NUMBER: 39 __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ __ 79. ? List the "811" numbers and names of Registrant's wholly-owned investment company subsidiariesconsolidated in this report. 811 Number Subsidiary Name For period ending November 30, 2002 File Number 811-6475 Exhibit 99.77Q2 Section 16(a) Beneficial Ownership Reporting Compliance An initial report under Section 16(a) of the Securities Exchange Act of 1934 was not timely filed for Mr. Penicook. This delayed report did not involve any transactions in the Fund's common stock but rather related to his election as an officer. If filing more than one Page 46, "X" box: ? For period ending November 30, 2002 File number 811-6475 ANNUAL SUPPLEMENT Page 53 is to be filed only once each year at the end of Registrant's fiscal year. 80. Fidelity bond(s) in effect at the end of the period: A. ? Insurer Name: ICI Mutual Insurance Co. B. ? Second Insurer: C. ? Aggregate face amount of coverage for Registrant on all bonds on which it is named as an insured ($000's omitted) $60,000 81. A. ? Is the bond part of a joint fidelity bond(s) shared with other investment companies or other entities? Y Y/N B. ? If the answer to 81A is "Y" (Yes), how many other investment companies or other entities are covered by the bond? 86 NOTE: Count each series as a separate investment company. 82. A. ? Does the mandatory coverage of the fidelity bond have a deductible? N Y/N B. ? If the answer to 82A is "Y" (Yes), what is the amount of the deductible? $__ 83. A. ? Were any claims with respect to this Registrant filed under the bond during the period? N Y/N B. ? If the answer to 83A is "Y" (Yes), what was the total amount of such claim(s)? $_____ 84. A. ? Were any losses incurred with respect to this Registrant that could have been filed as a claim under the fidelity bond but were not? N Y/N B. ? If the answer to sub-item 84A is "Y" (Yes), what was the total amount of such losses? ($000's omitted) $_____ 85. A. ? Are Registrant's officers and directors covered as officers and directors of Registrant under any errors and omissions insurance policy owned by the Registrant or anyone else? Y Y/N B. ? Were any claims filed under such policy during the period with respect to Registrant? N Y/N Strategic Global Income Fund EX-99.77B ACCT LTTR 5 auditletter.txt EY AUDIT LETTER Report of Independent Auditors To the Shareholders and Board of Directors of Strategic Global Income Fund Inc. In planning and performing our audit of the financial statements of the Strategic Global Income Fund Inc. for the year ended November 30, 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 the internal control. The management of the Strategic Global Income Fund Inc. 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 accounting principles generally accepted in the United States. Those controls include the safeguarding of assets against unauthorized acquisition, use or disposition. Because of inherent limitations in internal control, error or fraud may occur and not be detected. Also, projections of any evaluation of internal control to future periods is subject to the risk that it may become inadequate because of changes in conditions or that the effectiveness of the 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 mistakes 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 at November 30, 2002. This report is intended solely for the information and use of the shareholders, Board of Directors and management of the Strategic Global Income 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. ERNST & YOUNG LLP January 14, 2003 -----END PRIVACY-ENHANCED MESSAGE-----