0001752724-20-135185.txt : 20200710
0001752724-20-135185.hdr.sgml : 20200710
20200710132949
ACCESSION NUMBER: 0001752724-20-135185
CONFORMED SUBMISSION TYPE: N-CEN
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200430
FILED AS OF DATE: 20200710
DATE AS OF CHANGE: 20200710
EFFECTIVENESS DATE: 20200710
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: iShares, Inc.
CENTRAL INDEX KEY: 0000930667
IRS NUMBER: 510396525
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0831
FILING VALUES:
FORM TYPE: N-CEN
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-09102
FILM NUMBER: 201022704
BUSINESS ADDRESS:
STREET 1: 400 HOWARD STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94105
BUSINESS PHONE: (415) 670-2000
MAIL ADDRESS:
STREET 1: 400 HOWARD STREET
CITY: SAN FRANCISCO
STATE: CA
ZIP: 94105
FORMER COMPANY:
FORMER CONFORMED NAME: iSHARES INC
DATE OF NAME CHANGE: 20070126
FORMER COMPANY:
FORMER CONFORMED NAME: ISHARES INC
DATE OF NAME CHANGE: 20000516
FORMER COMPANY:
FORMER CONFORMED NAME: WEBS INDEX FUND INC
DATE OF NAME CHANGE: 19970211
0000930667
S000035998
iShares Asia/Pacific Dividend ETF
C000110325
iShares Asia/Pacific Dividend ETF
DVYA
0000930667
S000036004
iShares Emerging Markets Dividend ETF
C000110341
iShares Emerging Markets Dividend ETF
DVYE
N-CEN
1
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iShares, Inc.
811-09102
0000930667
549300MGJZCNMJLBAJ67
400 HOWARD STREET
SAN FRANCISCO
94105
US-CA
US
800-474-2737
State Street Bank and Trust Company
1 Lincoln Street
Boston
02111
617-786-3000
Records related to its functions as administrator, accounting agent, transfer agent and custodian
BlackRock Fund Advisors
400 Howard Street
San Francisco
94105
415-670-2000
Records related to its functions as advisor
BlackRock Investments, LLC
40 East 52nd St
New York
10022
609-282-3046
Records related to its functions as distributor
N
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Robert S. Kapito
000000000
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Salim Ramji
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Cecilia H. Herbert
000000000
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Madhav V. Rajan
000000000
N
Richard L. Fagnani
000000000
N
Jane D. Carlin
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N
John E. Martinez
000000000
N
John E. Kerrigan
000000000
N
Drew E. Lawton
001173631
N
Charles Park
000000000
55 East 52nd Street
New York
10055
XXXXXX
N
N
N
N
N
N
BlackRock Investments, LLC
8-48436
000038642
54930061FBHCKXL2G714
Y
N
PricewaterhouseCoopers LLP
238
5493002GVO7EO8RNNS37
N
N
N
N
N
N
iShares Emerging Markets Dividend ETF
S000036004
549300ZYN7MB8GTUQI40
N
0
0
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Exchange-Traded Fund
N
N
-0.01650000
-0.50650000
0.62730000
0.62650000
N
N
Y
N
N
BlackRock Institutional Trust Company, National Association
549300RK1FB0VMTPD087
Y
N
Revenue sharing split
Cash collateral reinvestment fee
Other
Rebates paid to borrowers
6389951.00000000
101590.00000000
Rule 17a-7 (17 CFR 270.17a-7)
Rule 32a-4 (17 CFR 270.32a-4)
Rule 12d1-1 (17 CFR 270.12d1-1)
Y
N
N
N
BlackRock Fund Advisors
801-22609
000105247
549300YOOGP0Y1M95C20
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
IHS Markit Ltd.
549300HLPTRASHS0E726
GB
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
N
HSBC Saudi Arabia, a Saudi Closed Joint Stock Company
558600MV09XWUB38H245
SA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
FirstRand Bank Limited
ZAYQDKTCATIXF9OQY690
ZA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
Citibank, National Association (Mumbai, Maharashtra, IN, Branch)
E57ODZWZ7FF32TWEFA76
IN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Thai) Public Company Limited
549300O1LQYCQ7G1IM57
TH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Sao Paulo, Sao Paulo, BR, Branch)
E57ODZWZ7FF32TWEFA76
BR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Czech Republic and Slovakia, a.s.
KR6LSKV3BTSJRD41IF75
CZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank Malaysia Berhad
549300JTJBG2QBI8KD48
MY
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Itau CorpBanca
549300DDPTTIZ06NIV06
CL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Jakarta, Jakarta, ID, Branch)
7LTWFZYICNSX8D621K86
ID
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Cititrust Colombia S A Sociedad Fiduciaria
549300242J3IJCOSGI49
CO
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Middle East Limited (Doha, Ad Dawhah, QA, Branch)
549300F99IL9YJDWH369
QA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Makati City, Metro Manila, PH, Branch)
7LTWFZYICNSX8D621K86
PH
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
Citibank, National Association (Cairo, Cairo, EG, Branch)
E57ODZWZ7FF32TWEFA76
EG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Middle East Limited
549300F99IL9YJDWH369
AE
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank Middle East Limited (Kuwait City, Al Asimah, KW, Branch)
549300F99IL9YJDWH369
KW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Banco Nacional de Mexico, S.A., Integrante del Grupo Financiero Banamex
2SFFM4FUIE05S37WFU55
MX
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank Maghreb S.A
5493003FVWLMBFTISI11
MA
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, Anonim Sirketi
CWZ8NZDH5SKY12Q4US31
TR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
UniCredit Bank Hungary Zrt.
Y28RT6GGYJ696PMW8T44
HU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Deutsche Bank Aktiengesellschaft (Karachi, Sindh, PK, Branch)
7LTWFZYICNSX8D621K86
PK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Bank Handlowy w Warszawie Spolka Akcyjna
XLEZHWWOI4HFQDGL4793
PL
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
J.P. Morgan Securities LLC
ZBUT11V806EZRVTWT807
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Joint Stock Company Commercial Bank Citibank
CHSQDSVI1UI96Y2SW097
RU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Jung-gu, Seoul, KR, Branch)
2HI3YI5320L3RW6NJ957
KR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
BNP Paribas Securities Services (Athens, Attica, GR, Branch)
549300WCGB70D06XZS54
GR
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Standard Chartered Bank (Taiwan) Limited
549300QJEO1B92LSHZ06
TW
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
HSBC Bank (China) Company Limited
2CZOJRADNJXBLT55G526
CN
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
BlackRock Execution Services
8-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
BlackRock Investments, LLC
8-48436
000038642
54930061FBHCKXL2G714
0.00000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
22591.51000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
95454.16000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
4039.52000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
15167.66000000
CLSA Americas, LLC
8-69166
000165533
213800M2DXATWY7JMS07
3424.52000000
Citigroup Global Markets Inc.
8-8177
000007059
MBNUM2BPBDO7JBLYG310
4958.57000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
10670.01000000
HSBC Securities (USA) Inc.
8-41562
000019585
CYYGQCGNHMHPSMRL3R97
22687.85000000
Macquarie Capital (USA) Inc.
8-47198
000036368
549300670K07JRB5UQ40
1726.35000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
2145.51000000
186750.12000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
116324694.57000000
BlackRock Funds III - BlackRock Cash Funds: Treasury
N/A
000000000
5493005PQV5UQG4OSI49
173037090.38000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
770740.83000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
2786271.69000000
294572227.42000000
N
612638094.49000000
Committed
300000000.00000000
N
N
N
iShares Asia/Pacific Dividend ETF
S000035998
549300N95BUB668QTS61
N
0
0
0
Exchange-Traded Fund
N
N
-0.14300000
-0.63300000
0.68580000
0.68480000
N
N
Y
N
N
BlackRock Institutional Trust Company, National Association
549300RK1FB0VMTPD087
Y
N
Revenue sharing split
Other
Cash collateral reinvestment fee
Rebates paid to borrowers
412567.00000000
2863.00000000
Rule 12d1-1 (17 CFR 270.12d1-1)
Rule 32a-4 (17 CFR 270.32a-4)
N
N
N
N
BlackRock Fund Advisors
801-22609
000105247
549300YOOGP0Y1M95C20
N
State Street Bank and Trust Company
85-05003
571474TGEMMWANRLN572
N
N
N
ICE Data Services, Inc.
13-3668779
Tax ID
N
IHS Markit Ltd.
549300HLPTRASHS0E726
GB
N
Bloomberg L.P.
549300B56MD0ZC402L06
N
Refinitiv US Holdings Inc.
549300NF240HXJO7N016
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1))
SG Americas Securities, LLC
549300F35UE0BOM1WJ55
N
Y
Futures commission merchants and commodity clearing organizations - rule 17f-6 (17 CFR 270.17f-6)
Euroclear Bank
549300OZ46BRLZ8Y6F65
BE
N
Y
Foreign securities depository - rule 17f-7 (17 CFR 270.17f-7)
The Hongkong and Shanghai Banking Corporation Limited
2HI3YI5320L3RW6NJ957
HK
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Auckland, Auckland, NZ, Branch)
2HI3YI5320L3RW6NJ957
NZ
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Citibank, National Association (Singapore, SG, Branch)
E57ODZWZ7FF32TWEFA76
SG
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
Mizuho Bank, Ltd. (Minato ku, Tokyo, JP, Branch)
RB0PEZSDGCO3JS6CEU02
JP
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
State Street Bank and Trust Company (Edinburgh, GB, Branch)
571474TGEMMWANRLN572
GB
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
The Hongkong and Shanghai Banking Corporation Limited (Sydney, NSW, AU, Branch)
2HI3YI5320L3RW6NJ957
AU
N
Y
Foreign custodian - rule 17f-5 (17 CFR 270.17f-5)
N
N
State Street Bank and Trust Company
571474TGEMMWANRLN572
N
N
N
BlackRock Investments, LLC
8-48436
000038642
54930061FBHCKXL2G714
0.00000000
BlackRock Execution Services
8-48719
000039438
549300HFCRQ0NT5KY652
0.00000000
Virtu Itg LLC
8-44218
000029299
549300S41SMIODVIT266
36.52000000
Morgan Stanley & Co. LLC
8-15869
000008209
9R7GPTSO7KV3UQJZQ078
103.68000000
Macquarie Capital (USA) Inc.
8-47198
000036368
549300670K07JRB5UQ40
22.47000000
Goldman Sachs & Co. LLC
8-129
000000361
FOR8UP27PHTHYVLBNG30
35.53000000
Instinet, LLC
8-23669
000007897
549300MGMN3RKMU8FT57
135.47000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
76.24000000
CLSA Americas, LLC
8-69166
000165533
213800M2DXATWY7JMS07
72.68000000
J.P. Morgan Securities LLC
8-35008
000000079
ZBUT11V806EZRVTWT807
45.11000000
UBS Securities LLC
8-22651
000007654
T6FIZBDPKLYJKFCRVK44
98.43000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
74.43000000
720.16000000
Bofa Securities, Inc.
8-69787
000283942
549300HN4UKV1E2R3U73
1556631.43000000
Credit Suisse Securities (USA) LLC
8-422
000000816
1V8Y6QCX6YMJ2OELII46
2172521.51000000
BlackRock Funds III - BlackRock Cash Funds: Treasury
N/A
000000000
5493005PQV5UQG4OSI49
3975172.42000000
7704325.36000000
N
31255461.60000000
N
N
N
iShares Emerging Markets Dividend ETF
S000036004
Y
50000.00000000
11.96045454
19.67381737
88.03954545
19.67381737
8.69500000
0.66314905
91.30500000
0.66314905
0.00000000
4000.00000000
0.00000000
0.00000000
4000.00000000
0.00000000
0.00000000
3000.00000000
0.00000000
0.00000000
3000.00000000
0.00000000
N
iShares Asia/Pacific Dividend ETF
S000035998
Y
50000.00000000
0.81000000
0.00000000
99.19000000
0.00000000
0.86000000
0.00000000
99.14000000
0.00000000
0.00000000
800.00000000
0.00000000
0.00000000
800.00000000
0.00000000
0.00000000
800.00000000
0.00000000
0.00000000
800.00000000
0.00000000
N
true
INTERNAL CONTROL RPT
2
NCEN_8601702565293241.txt
Report of Independent Registered Public
Accounting Firm
To the Board of Directors of iShares, Inc. and
Shareholders of
iShares Asia/Pacific Dividend ETF and iShares
Emerging Markets Dividend ETF
In planning and performing our audits of the financial
statements of the funds listed in Appendix A, (hereafter
referred to as the "Funds") as of and for the year ended
April 30, 2020, in accordance with the standards of the
Public Company Accounting Oversight Board (United
States) (PCAOB), 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-CEN, but not for the
purpose of expressing an opinion on the effectiveness of
the Funds' internal control over financial reporting.
Accordingly, we do not express an opinion on the
effectiveness of the Funds' internal control over financial
reporting.
The 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 company'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 company'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 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 a company'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 company's 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 over financial
reporting that might be material weaknesses under
standards established by the PCAOB. 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
material weaknesses as defined above as of April 30,
2020.
This report is intended solely for the information and use
of the Board of Directors of iShares, 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.
/s/PricewaterhouseCoopers LLP
Philadelphia, Pennsylvania
June 19, 2020
Appendix A
iShares, Inc.
iShares Asia/Pacific Dividend ETF
iShares Emerging Markets Dividend ETF