Filed electronically with the Securities and Exchange Commission on January 24, 2020.
1933 Act File No. 033-05724
1940 Act File No. 811-04670
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-1A
REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 | |X| |
Pre-Effective Amendment No. | |__| |
Post-Effective Amendment No.173 | |X| |
and/or | |
REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 | |X| |
Amendment No.176 | |
Deutsche DWS Global/International Fund, Inc. (Exact name of Registrant as Specified in Charter) | |
875 Third Avenue New York, NY 10022-6225 (Address of Principal Executive Offices) | |
Registrant's Telephone Number, including Area Code:(212) 454-4500 | |
John Millette Vice President and Secretary Deutsche DWS Global/International Fund, Inc. One International Place Boston, MA 02110-2618 (Name and Address of Agent for Service) | |
Copy to: John S. Marten Vedder Price P.C. 222 N. LaSalle Street Chicago, Illinois 60601-1104 |
It is proposed that this filing will become effective immediately upon filing pursuant to Rule 462(d) under the Securities Act of 1933, as amended.
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EXPLANATORY NOTE
Post-Effective Amendment No. 171 to the Registration Statement on Form N-1A (File No. 033-05724) (the “Registration Statement”) of Deutsche DWS Global/International Fund, Inc. was filed on November 27, 2019, pursuant to Rule 485(b) under the Securities Act of 1933, as amended (the “Securities Act”). This Post-Effective Amendment No. 173 is being filed pursuant to Rule 462(d) under the Securities Act solely for the purpose of filing Exhibit (j)(2) as an additional exhibit to Post-Effective Amendment No. 171 to the Registration Statement. This Post-Effective Amendment No. 173 does not modify any other part of the Registration Statement. Pursuant to Rule 462(d) under the Securities Act, this Post-Effective Amendment No. 173 shall become effective immediately upon filing with the Securities and Exchange Commission. The contents of Part A and Part B of Post-Effective Amendment No. 171 to the Registration Statement are incorporated herein by reference.
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PART C. OTHER INFORMATION
Item 28. | Exhibits | ||
(a) | (1) | Articles of Amendment and Restatement dated June 23, 2006. (Incorporated by reference to Post-Effective Amendment No. 70 to the Registration Statement, as filed on October 2, 2006.) | |
(2) | Articles Supplementary, dated February 12, 2008. (Incorporated by reference to Post-Effective Amendment No. 77 to the Registration Statement, as filed on June 19, 2008.) | ||
(3) | Articles Supplementary, dated May 23, 2008. (Incorporated by reference to Post-Effective Amendment No. 77 to the Registration Statement, as filed on June 19, 2008.) | ||
(4) | Articles Supplementary, dated May 23, 2008. (Incorporated by reference to Post-Effective Amendment No. 77 to the Registration Statement, as filed on June 19, 2008.) | ||
(5) | Certificate of Correction, dated May 29, 2008. (Incorporated by reference to Post-Effective Amendment No. 77 to the Registration Statement, as filed on June 19, 2008.) | ||
(6) | Articles of Amendment Changing Name of Series Pursuant to Section 2-605(a)(2), dated April 21, 2010. (Incorporated by reference to Post-Effective Amendment No. 89 to the Registration Statement, as filed on October 1, 2010.) | ||
(7) | Articles of Amendment Changing Name of Series Pursuant to Section 2-605(a)(2), dated March 9, 2011. (Incorporated by reference to Post-Effective Amendment No. 95 to the Registration Statement, as filed on April 14, 2011.) | ||
(8) | Articles of Amendment Changing Name of Series Pursuant to Section 2-605(a)(2), dated January 16, 2013. (Incorporated by reference to Post-Effective Amendment No. 110 to the Registration Statement, as filed on April 29, 2013.) | ||
(9) | Articles Supplementary, dated July 17, 2013. (Incorporated by reference to Post-Effective Amendment No. 113 to the Registration Statement, as filed on November 27, 2013.) | ||
(10) | Articles of Amendment Changing Name of Series Pursuant to Section 2-605(a)(2), dated April 4, 2014. (Incorporated by reference to Post-Effective Amendment No. 118 to the Registration Statement, as filed on April 29, 2014.) | ||
(11) | Articles Supplementary, dated July 9, 2014. (Incorporated by reference to Post-Effective Amendment No. 120 to the Registration Statement, as filed on August 15, 2014.) | ||
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(12) | Articles of Amendment Changing Name of Corporation Pursuant to Section 2-605(a)(1) / Changing Name of Series Pursuant to Section 2-605(a)(2), dated July 10, 2014. (Incorporated by reference to Post-Effective Amendment No. 120 to the Registration Statement, as filed on August 15, 2014.) | ||
(13) | Articles Supplementary, dated September 10, 2014. (Incorporated by reference to Post-Effective Amendment No. 123 to the Registration Statement, as filed on October 29, 2014.) | ||
(14) | Articles Supplementary, dated November 17, 2014. (Incorporated by reference to Post-Effective Amendment No. 126 to the Registration Statement, as filed on November 26, 2014.) | ||
(15) | Articles Supplementary, dated March 9, 2015. (Incorporated by reference to Post-Effective Amendment No. 131 to the Registration Statement, as filed on April 29, 2015.) | ||
(16) | Articles Supplementary, dated February 12, 2016. (Incorporated by reference to Post-Effective Amendment No. 140 to the Registration Statement, as filed on April 28, 2016.) | ||
(17) | Articles Supplementary, dated February 12, 2016. (Incorporated by reference to Post-Effective Amendment No. 140 to the Registration Statement, as filed on April 28, 2016.) | ||
(18) | Articles Supplementary, dated December 2, 2016. (Incorporated by reference to Post-Effective Amendment No. 147 to the Registration Statement, as filed on January 31, 2017.) | ||
(19) | Articles of Amendment Changing Name of Series Pursuant to Section 2-605(a)(2), dated September 6, 2017. (Incorporated by reference to Post-Effective Amendment No. 153 to the Registration Statement, as filed on October 2, 2017.) | ||
(20) | Articles of Amendment Changing Name of Series Pursuant to Section 2-605(a)(2), dated September 6, 2017. (Incorporated by reference to Post-Effective Amendment No. 153 to the Registration Statement, as filed on October 2, 2017.) | ||
(21) | Certificate of Correction, dated October 31, 2017. (Incorporated by reference to Post-Effective Amendment No. 154 to the Registration Statement, as filed on November 30, 2017.) | ||
(22) | Articles of Amendment Changing Name of Corporation Pursuant to Section 2-605(a)(1) / Changing Name of Series Pursuant to Section 2-605(a)(2), dated May 16, 2018. (Incorporated by reference to Post-Effective Amendment No. 161 to the Registration Statement, as filed on November 30, 2018.) | ||
(23) | Articles of Amendment Changing Name of Series Pursuant to Section 2-605(a)(2), dated February 8, 2019. (Incorporated by reference to Post-Effective Amendment No. 166 to the Registration Statement, as filed on April 29, 2019.) | ||
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(24) | Articles of Amendment Changing Name of Series Pursuant to Section 2-605(a)(2), dated July 10, 2019. (Incorporated by reference to Post-Effective Amendment No. 169 to the Registration Statement, as filed on September 30, 2019.) | ||
(b) | Amended and Restated Bylaws dated December 1, 2015. (Incorporated by reference to Post-Effective Amendment No. 134 to the Registration Statement, as filed on November 30, 2015.) | ||
(c) | (1) | Instruments defining the rights of shareholders, including the relevant portions of: the Articles of Amendment and Restatement, dated June 23, 2006, as amended through July 10, 2019 (see Section 5.2), and the Amended and Restated Bylaws, dated December 1, 2015 (see Article 9). (Incorporated by reference to exhibits (a)(1) through (a)(24) and exhibit (b) to this Registration Statement.) | |
(2) | Specimen Share Certificate representing shares of capital stock of $0.01 par value of Scudder Global Fund (now known as DWS International Growth Fund) (Incorporated by reference to Post-Effective Amendment No. 6 to the Registration Statement.) | ||
(d) | (1) | Amended and Restated Investment Management Agreement between the Registrant, on behalf of Deutsche Enhanced Emerging Markets Fixed Income Fund (now known as DWS Emerging Markets Fixed Income Fund) (dated June 1, 2006, as amended December 1, 2008) and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.); and between the Registrant, on behalf of Deutsche Enhanced Global Bond Fund (now known as DWS ESG Global Bond Fund) (dated June 1, 2006, as amended October 1, 2007, December 1, 2008, and July 1, 2017) and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.); and between the Registrant, on behalf of Deutsche Global Small Cap Fund (now known as DWS Global Small Cap Fund) (dated June 1, 2006, as amended October 1, 2007, October 1, 2008, and July 1, 2017) and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.); and between the Registrant, on behalf of Deutsche International Growth Fund (now known as DWS International Growth Fund) (dated June 1, 2006, as amended October 1, 2017) and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.); and between the Registrant, on behalf of Deutsche Global Infrastructure Fund (now known as DWS RREEF Global Infrastructure Fund) (dated June 23, 2008, as amended October 1, 2013, October 1, 2014, and October 1, 2015) and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.); and between the Registrant, on behalf of Deutsche European Equity Fund (now known as DWS ESG International Core Equity Fund) (dated November 3, 2014, as amended July 1, 2017) and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.). (Incorporated by reference to Post-Effective Amendment No. 153 to the Registration Statement, as filed on October 2, 2017.) | |
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(2) | Sub-Advisory Agreement between Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.) and RREEF America L.L.C., relating to DWS RREEF Global Infrastructure Fund, dated June 23, 2008. (Incorporated by reference to Post-Effective Amendment No. 77 to the Registration Statement, as filed on June 19, 2008.) | ||
(3) | Amended and Restated Investment Sub-Advisory Agreement between Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.) and Deutsche Asset Management International GmbH (now known as DWS International GmbH), relating to Deutsche Emerging Markets Fixed Income Fund (now known as DWS Emerging Markets Fixed Income Fund), dated December 31, 2017. (Incorporated by reference to Post-Effective Amendment No. 157 to the Registration Statement, as filed on January 31, 2018.) | ||
(4) | First Amendment, dated May 25, 2018, to the Amended and Restated Investment Sub-Advisory Agreement between Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.) and Deutsche Asset Management International GmbH (now known as DWS International GmbH), relating to Deutsche Emerging Markets Fixed Income Fund (now known as DWS Emerging Markets Fixed Income Fund), dated December 31, 2017. (Incorporated by reference to Post-Effective Amendment No. 161 to the Registration Statement, as filed on November 30, 2018.) | ||
(e) | (1) | Master Distribution Agreement between the Registrant and DWS Investments Distributors, Inc. (now known as DWS Distributors, Inc.), dated January 13, 2010. (Incorporated by reference to Post-Effective Amendment No. 86 to the Registration Statement, as filed on February 26, 2010.) | |
(2) | Appendix A, as amended July 2, 2018, to Master Distribution Agreement dated January 13, 2010. (Incorporated by reference to Post-Effective Amendment No. 161 to the Registration Statement, as filed on November 30, 2018.) | ||
(3) | Form of Selling Group Agreement. (Incorporated by reference to Post-Effective Amendment No. 161 to the Registration Statement, as filed on November 30, 2018.) | ||
(f) | Not applicable. | ||
(g) | (1) | Amended and Restated Master Custodian Agreement between the Registrant and Brown Brothers Harriman & Co. dated October 17, 2008. (Incorporated by reference to Post-Effective Amendment No. 80 to the Registration Statement, as filed on December 30, 2008.) | |
(2) | Amendment, dated February 17, 2009, to the Amended and Restated Master Custodian Agreement between the Registrant and Brown Brothers Harriman & Co. dated October 17, 2008. (Incorporated by reference to Post-Effective Amendment No. 82 to the Registration Statement, as filed on April 30, 2009.) | ||
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(3) | Amendment, dated as of June 12, 2012, to the Amended and Restated Master Custodian Agreement between the Registrant and Brown Brothers Harriman & Co. dated October 17, 2008. (Incorporated by reference to Post-Effective Amendment No. 113 to the Registration Statement, as filed on November 27, 2013.) | ||
(4) | Appendix I, effective November 1, 2012, to the Amendment dated June 12, 2012 to the Amended and Restated Master Custodian Agreement between the Registrant and Brown Brothers Harriman & Co. dated October 17, 2008. (Incorporated by reference to Post-Effective Amendment No. 106 to the Registration Statement, as filed on November 30, 2012.) | ||
(5) | Third Amendment, dated January 6, 2015, to the Amended and Restated Master Custodian Agreement between the Registrant and Brown Brothers Harriman & Co. dated October 17, 2008. (Incorporated by reference to Post-Effective Amendment No. 129 to the Registration Statement, as filed on January 30, 2015.) | ||
(6) | Fourth Amendment, dated September 11, 2015, to the Amended and Restated Master Custodian Agreement between the Registrant and Brown Brothers Harriman & Co. dated October 17, 2008. (Incorporated by reference to Post-Effective Amendment No. 133 to the Registration Statement, as filed on October 30, 2015.) | ||
(7) | Amendment, effective August 27, 2018, to the Amended and Restated Master Custodian Agreement between the Registrant and Brown Brothers Harriman & Co. dated October 17, 2008. (Incorporated by reference to Post-Effective Amendment No. 161 to the Registration Statement, as filed on November 30, 2018.) | ||
(8) | Appendix A, dated as of October 1, 2019, to the Amended and Restated Master Custodian Agreement between the Registrant and Brown Brothers Harriman & Co. dated October 17, 2008. (Incorporated by reference to Post-Effective Amendment No. 169 to the Registration Statement, as filed on September 30, 2019.) | ||
(h) | (1) | Agency Agreement between the Registrant and DWS Scudder Investments Service Company (now known as DWS Service Company), dated April 1, 2007. (Incorporated by reference to Post-Effective Amendment No. 73 to the Registration Statement, as filed on November 30, 2007.) | |
(2) | Amendment No. 1, made as of July 13, 2016, to the Agency Agreement dated April 1, 2007. (Incorporated by reference to Post-Effective Amendment No. 144 to the Registration Statement, as filed on November 30, 2016.) | ||
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(3) | Amended and Restated Administrative Services Agreement between the Registrant, on behalf of Deutsche Emerging Markets Fixed Income Fund (now known as DWS Emerging Markets Fixed Income Fund), Deutsche High Conviction Global Bond Fund (now known as DWS ESG Global Bond Fund), Deutsche European Equity Fund (now known as DWS ESG International Core Equity Fund), Deutsche Global Infrastructure Fund (now known as DWS RREEF Global Infrastructure Fund), Deutsche Global Small Cap Fund (now known as DWS Global Small Cap Fund), and Deutsche International Growth Fund (now known as DWS International Growth Fund), and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.), dated May 16, 2018. (Incorporated by reference to Post-Effective Amendment No. 161 to the Registration Statement, as filed on November 30, 2018.) | ||
(4) | Sub-Administration and Sub-Accounting Agreement among State Street Bank and Trust Company and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.), Scudder Fund Accounting Corporation, and Investment Company Capital Corp. dated April 1, 2003. (Incorporated by reference to Post-Effective Amendment No. 131 to the Registration Statement, as filed on April 29, 2015.) | ||
(5) | Amendment, effective as of January 20, 2017, to the Sub-Administration and Sub-Accounting Agreement dated April 1, 2003. (Incorporated by reference to Post-Effective Amendment No. 154 to the Registration Statement, as filed on November 30, 2017.) | ||
(6) | Amendment, effective as of June 29, 2018, to the Sub-Administration and Sub-Accounting Agreement dated April 1, 2003. (Incorporated by reference to Post-Effective Amendment No. 161 to the Registration Statement, as filed on November 30, 2018). | ||
(7) | Schedule A, dated as of October 1, 2019, to the Sub-Administration and Sub-Accounting Agreement dated April 1, 2003. (Incorporated by reference to Post-Effective Amendment No. 171 to the Registration Statement, as filed on November 27, 2019.) | ||
(8) | Amended & Restated Shareholder Services Agreement for Class A, Class C and Class R Shares, between the Registrant and DeAWM Distributors, Inc. (now known as DWS Distributors, Inc.), dated February 12, 2016. (Incorporated by reference to Post-Effective Amendment No. 140 to the Registration Statement, as filed on April 28, 2016.) | ||
(9) | Form of Mutual Fund Rule 22c-2 Information Sharing Agreement among Registrant, DWS Distributors, Inc. and certain financial intermediaries. (Incorporated by reference to Post-Effective Amendment No. 171 to the Registration Statement, as filed on November 27, 2019.) | ||
(10) | Form of Expense Limitation Agreement, dated October 1, 2007 between the Registrant and Deutsche Investment Management Americas Inc. (now known as DWS Investment Management Americas, Inc.). (Incorporated by reference to Post-Effective Amendment No. 171 to the Registration Statement, as filed on November 27, 2019.) | ||
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(i) | (1) | Legal Opinion and Consent of Counsel with respect to Scudder Emerging Markets Income Fund (now known as DWS Emerging Markets Fixed Income Fund); Scudder Global Bond Fund (now known as DWS ESG Global Bond Fund); and Scudder Global Discovery Fund (now known as DWS Global Small Cap Fund). (Incorporated by reference to Post-Effective Amendment No. 51 to the Registration Statement, as filed on March 1, 2002.) | |
(2) | Legal Opinion and Consent of Counsel with respect to Scudder Global Fund (now known as DWS International Growth Fund). (Incorporated by reference to Post-Effective Amendment No. 60 to the Registration Statement, as filed on December 29, 2003.) | ||
(3) | Legal Opinion and Consent of Counsel, with respect to DWS RREEF Global Infrastructure Fund. (Incorporated by reference to Post-Effective Amendment No. 77 to the Registration Statement, as filed on June 19, 2008.) | ||
(4) | Legal Opinion and Consent of Counsel, with respect to Institutional Class Shares of DWS Global Thematic Fund (now known as DWS International Growth Fund) and DWS Global Opportunities Fund (now known as DWS Global Small Cap Fund). (Incorporated by reference to Post-Effective Amendment No. 78 to the Registration Statement, as filed on August 22, 2008.) | ||
(5) | Legal Opinion and Consent of Counsel, with respect to Class R6 shares of Deutsche Global Small Cap Fund (now known as DWS Global Small Cap Fund) and Deutsche Global Infrastructure Fund (now known as DWS RREEF Global Infrastructure Fund). (Incorporated by reference to Post-Effective Amendment No. 121 to the Registration Statement, as filed on August 22, 2014.) | ||
(6) | Legal Opinion and Consent of Counsel, with respect to Deutsche European Equity Fund (now known as DWS ESG International Core Equity Fund). (Incorporated by reference to Post-Effective Amendment No. 124 to the Registration Statement, as filed on October 31, 2014.) | ||
(7) | Legal Opinion and Consent of Counsel, with respect to Class R6 shares of Deutsche Global Growth Fund (now known as DWS International Growth Fund). (Incorporated by reference to Post-Effective Amendment No. 142 to the Registration Statement, as filed on May 27, 2016.) | ||
(8) | Legal Opinion and Consent of Counsel, with respect to Class T shares of Deutsche Enhanced Emerging Markets Fixed Income Fund (now known as DWS Emerging Markets Fixed Income Fund), Deutsche Enhanced Global Bond Fund (now known as DWS ESG Global Bond Fund), and Deutsche Global Small Cap Fund (now known as DWS Global Small Cap Fund). (Incorporated by reference to Post-Effective Amendment No. 147 to the Registration Statement, as filed on January 31, 2017.) | ||
(9) | Legal Opinion and Consent of Counsel, with respect to Class T shares of Deutsche European Equity Fund (now known as DWS ESG International Core Equity Fund) and Deutsche Global Growth Fund (now known as DWS International Growth Fund). (Incorporated by reference to Post-Effective No. 149 to the Registration Statement, as filed on March 15, 2017.) | ||
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(10) | Legal Opinion and Consent of Counsel, with respect to Class T shares of Deutsche Global Infrastructure Fund (now known as DWS RREEF Global Infrastructure Fund). (Incorporated by reference to Post-Effective No. 150 to the Registration Statement, as filed on March 30, 2017.) | ||
(j) | (1) | Consent of Independent Registered Public Accounting Firm. (Incorporated by reference to Post-Effective Amendment No. 171 to the Registration Statement, as filed on November 27, 2019.) | |
(2) | Consent of Independent Registered Public Accounting Firm. (Filed herein.) | ||
(k) | Not applicable. | ||
(l) | Not applicable. | ||
(m) | (1) | Rule 12b-1 Plan for DWS Global Discovery Fund (now known as DWS Global Small Cap Fund) – Class A shares, dated January 1, 2001. (Incorporated by reference to Post-Effective Amendment No. 104 to the Registration Statement, as filed on April 27, 2012.) | |
(2) | Rule 12b-1 Plan for Deutsche Global Small Cap Fund (now known as DWS Global Small Cap Fund) – Class T shares, dated December 2, 2016. (Incorporated by reference to Post-Effective Amendment No. 147 to the Registration Statement, as filed on January 31, 2017.) | ||
(3) | Amended and Restated Rule 12b-1 Plan for Deutsche Global Small Cap Fund (now known as DWS Global Small Cap Fund) – Class C shares, dated February 10, 2017. (Incorporated by reference to Post-Effective No. 149 to the Registration Statement, as filed on March 15, 2017.) | ||
(4) | Rule 12b-1 Plan for Scudder Emerging Markets Income Fund (now known as DWS Emerging Markets Fixed Income Fund) - Class A shares, dated December 29, 2000. (Incorporated by reference to Post-Effective Amendment No. 49 to the Registration Statement, as filed on March 1, 2001.) | ||
(5) | Rule 12b-1 Plan for Deutsche Enhanced Emerging Market Fixed Income Fund (now known as DWS Emerging Markets Fixed Income Fund) – Class T shares, dated December 2, 2016. (Incorporated by reference to Post-Effective Amendment No. 147 to the Registration Statement, as filed on January 31, 2017.) | ||
(6) | Amended and Restated Rule 12b-1 Plan for Deutsche Enhanced Emerging Market Fixed Income Fund (now known as DWS Emerging Markets Fixed Income Fund) – Class C shares, dated February 10, 2017. (Incorporated by reference to Post-Effective No. 149 to the Registration Statement, as filed on March 15, 2017.) | ||
(7) | Rule 12b-1 Plan for Scudder Global Bond Fund (now known as DWS ESG Global Bond Fund) - Class A shares, dated December 29, 2000. (Incorporated by reference to Post-Effective Amendment No. 49 to the Registration Statement, as filed on March 1, 2001.) | ||
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(8) | Rule 12b-1 Plan for Deutsche Enhanced Global Bond Fund (now known as DWS ESG Global Bond Fund) – Class T shares, dated December 2, 2016. (Incorporated by reference to Post-Effective Amendment No. 147 to the Registration Statement, as filed on January 31, 2017.) | ||
(9) | Amended and Restated Rule 12b-1 Plan for Deutsche Enhanced Global Bond Fund (now known as DWS ESG Global Bond Fund) – Class C shares, dated February 10, 2017. (Incorporated by reference to Post-Effective No. 149 to the Registration Statement, as filed on March 15, 2017.) | ||
(10) | Rule 12b-1 Plan for Scudder Global Fund (now known as DWS International Growth Fund) - Class A shares, dated December 29, 2000. (Incorporated by reference to Post-Effective Amendment No. 49 to the Registration Statement, as filed on March 1, 2001.) | ||
(11) | Rule 12b-1 Plan for Deutsche Global Growth Fund (now known as DWS International Growth Fund) – Class T shares, dated December 2, 2016. (Incorporated by reference to Post-Effective No. 149 to the Registration Statement, as filed on March 15, 2017.) | ||
(12) | Amended and Restated Rule 12b-1 Plan for Deutsche Global Growth Fund (now known as DWS International Growth Fund) – Class C shares, dated February 10, 2017. (Incorporated by reference to Post-Effective Amendment No. 153 to the Registration Statement, as filed on October 2, 2017.) | ||
(13) | Amended and Restated Rule 12b-1 Plan for Deutsche Global Growth Fund (now known as DWS International Growth Fund) – Class R shares, dated February 10, 2017. (Incorporated by reference to Post-Effective No. 149 to the Registration Statement, as filed on March 15, 2017.) | ||
(14) | Rule 12b-1 Plan for DWS RREEF Global Infrastructure Fund - Class A shares, dated June 24, 2008. (Incorporated by reference to Post-Effective Amendment No. 77 to the Registration Statement, as filed on June 19, 2008.) | ||
(15) | Rule 12b-1 Plan for Deutsche Global Infrastructure Fund (now known as DWS RREEF Global Infrastructure Fund) – Class T shares, dated December 2, 2016. (Incorporated by reference to Post-Effective No. 150 to the Registration Statement, as filed on March 30, 2017.) | ||
(16) | Amended and Restated Rule 12b-1 Plan for Deutsche Global Infrastructure Fund (now known as DWS RREEF Global Infrastructure Fund) – Class C shares, dated February 10, 2017. (Incorporated by reference to Post-Effective No. 149 to the Registration Statement, as filed on March 15, 2017.) | ||
(17) | Rule 12b-1 Plan for Deutsche European Equity Fund (now known as DWS ESG International Core Equity Fund) - Class A shares, dated November 3, 2014. (Incorporated by reference to Post-Effective Amendment No. 126 to the Registration Statement, as filed on November 26, 2014.) | ||
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(18) | Rule 12b-1 Plan for Deutsche European Equity Fund (now known as DWS ESG International Core Equity Fund) – Class T shares, dated December 2, 2016. (Incorporated by reference to Post-Effective No. 149 to the Registration Statement, as filed on March 15, 2017.) | ||
(19) | Amended and Restated Rule 12b-1 Plan for Deutsche European Equity Fund (now known as DWS ESG International Core Equity Fund) - Class C shares, dated February 10, 2017. (Incorporated by reference to Post-Effective No. 149 to the Registration Statement, as filed on March 15, 2017.) | ||
(n) | Amended and Restated Multi-Distribution System Plan, pursuant to Rule 18f-3, dated August 10, 2018. (Incorporated by reference to Post-Effective Amendment No. 161 to the Registration Statement, as filed on November 30, 2018.) | ||
(o) | Reserved. | ||
(p) | (1) | Code of Ethics - DWS – U.S., dated September 10, 2019. (Incorporated by reference to Post-Effective Amendment No. 169 to the Registration Statement, as filed on September 30, 2019.) | |
(2) | DWS Funds and Germany Funds Code of Ethics, dated June 19, 2019. (Incorporated by reference to Post-Effective Amendment No. 169 to the Registration Statement, as filed on September 30, 2019.) | ||
(3) | Code of Ethics – DWS – (ex U.S.), dated September 10, 2019. (Incorporated by reference to Post-Effective Amendment No. 169 to the Registration Statement, as filed on September 30, 2019.) |
Item 29. | Persons Controlled by or under Common Control with the Fund |
None.
Item 30. | Indemnification |
Sections 4.1, 4.2 and 4.3 of Article Fourth of Registrant’s Articles of Amendment and Restatement, included as Exhibit (a)(1) to this Registration Statement and filed herein by reference, provide as follows:
Section 4.1.Limitation of Liability. To the fullest extent permitted by the 1940 Act and the Maryland General Corporation Law, no director or former director and no officer or former officer of the Corporation shall be personally liable to the Corporation or its Shareholders for money damages. No amendment to the Charter or repeal of any of its provisions shall limit or eliminate the benefits provided by this Section 4.1 to directors or former directors or officers or former officers with respect to any act or omission that occurred prior to such amendment or repeal.
Section 4.2.Indemnification.
(a) Any word or words used in this Section 4.2 that are defined in Section 2-418 of the Maryland General Corporation Law (the “Indemnification Section”) shall have the same meaning as defined in the Indemnification Section.
(b) The Corporation shall indemnify and advance expenses to a director or officer (which includes, with respect to any such person, any person who is or was an officer of the
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Corporation and any person who, while an officer of the Corporation, is or was serving at the request of the Corporation as a director, officer, partner, trustee, employee, or agent of another foreign or domestic corporation, partnership, joint venture, trust, other enterprise, or employee benefit plan) of the Corporation in connection with a proceeding to the fullest extent permitted by and in accordance with the Indemnification Section and the 1940 Act. The foregoing rights of indemnification and advancement of expenses shall not be exclusive of any other rights to which those seeking indemnification or advancement of expenses may be entitled.
(c) No amendment to this Charter or repeal of any of its provisions shall limit or eliminate the protection afforded by this Section 4.2 to a director or officer (as that term is described in subsection (b) above) with respect to any act or omission that occurred prior to such amendment or repeal.
Section 4.3.Reliance on Experts. Subject to any requirements of the 1940 Act and the Maryland General Corporation Law, the appointment, designation or identification of a director as the chairperson of the Board of Directors, as a member or chairperson of a committee of the Board of Directors, an expert on any topic or in any area (including an audit committee financial expert), or the lead independent director, or any other special appointment, designation or identification of a director, shall not impose on that person any standard of care or liability that is greater than that imposed on that person as a director in the absence of the appointment, designation or identification, and no director who has special skills or expertise, or is appointed, designated or identified as aforesaid, shall be held to a higher standard of care by virtue thereof. In addition, and subject to any contrary requirements of the 1940 Act and the Maryland General Corporation Law, no appointment, designation or identification of a director as aforesaid shall affect in any way that director's rights or entitlement to indemnification.
Sections 11.1, 11.2, and 11.3 of Article 11 of Registrant’s Bylaws, included as Exhibit (b) to this Registration Statement and filed herein by reference, provide as follows:
11.1 Indemnification of Directors and Officers. The Corporation shall indemnify and advance expenses to its current and former Directors and officers to the extent provided by the Charter.
11.2 Indemnification of Employees and Agents.With respect to employees and agents who are not officers or Directors of the Corporation, the Corporation may, as determined by the Board of Directors, indemnify and advance expenses to such persons to the extent permissible under the Maryland General Corporation Law, the Securities Act of 1933, as amended, and the 1940 Act, as such statutes are now or hereafter in force.
11.3 Other Rights. The indemnification and advancement of expenses provided by this Article 11 or provided by the Charter shall not be deemed exclusive of any other right, in respect of indemnification, advancement of expenses or otherwise, to which those seeking such indemnification or advancement of expenses may be entitled under any insurance, contract or other agreement, vote of shareholders or Directors or otherwise. Neither the amendment nor repeal of this Article, nor the adoption or amendment of any other provision of the Bylaws or Charter inconsistent with this Article, shall apply to or affect in any respect the applicability of the provisions of this Article with respect to any act or failure to act which occurred prior to such amendment, repeal or adoption.
Each of the directors who is not an “interested person” (as defined under the Investment Company Act of 1940, as amended (the “1940 Act”)) of the Registrant (a “Non-interested Director”) has entered into an indemnification agreement with the Registrant, which agreement provides that the Registrant shall indemnify the Non-interested Director against certain liabilities which such Non-interested Director may incur while acting in the capacity as a director, officer or employee of the Registrant to the fullest extent permitted by law, now or in the future, and requires indemnification and advancement of expenses unless prohibited by law. The indemnification agreement cannot be
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altered without the consent of the Non-interested Director and is not affected by amendment of the Articles of Amendment and Restatement. In addition, the indemnification agreement adopts certain presumptions and procedures which may make the process of indemnification and advancement of expenses, more timely, efficient and certain. In accordance with Section 17(h) of the 1940 Act, the indemnification agreement does not protect a Non-interested Director against any liability to the Registrant or its shareholders to which such Non-interested Director would otherwise be subject by reason of willful misfeasance, bad faith, gross negligence, or reckless disregard of the duties involved in the conduct of his or her office.
The Registrant has purchased insurance policies insuring its officers and directors against certain liabilities which such officers and directors may incur while acting in such capacities and providing reimbursement to the Registrant for sums which it may be permitted or required to pay to its officers and directors by way of indemnification against such liabilities, subject to certain deductibles.
Item 31. | Business and Other Connections of Investment Advisor |
During the last two fiscal years, no director or officer of DWS Investment Management Americas, Inc., the investment advisor, has engaged in any other business, profession, vocation or employment of a substantial nature other than that of the business of investment management and, through affiliates, investment banking.
Item 32. | Principal Underwriters |
(a)
DWS Distributors, Inc. acts as principal underwriter of the Registrant’s shares and acts as principal underwriter for registered open-end management investment companies and other funds managed by DWS Investment Management Americas, Inc.
(b)
Information on the officers and directors of DWS Distributors, Inc., principal underwriter for the Registrant, is set forth below. The principal business address is 222 South Riverside Plaza, Chicago, Illinois 60606-5808.
(1) | (2) | (3) | ||
DWS Distributors, Inc. Name and Principal Business Address | Positions and Offices with DWS Distributors, Inc. | Positions and Offices with Registrant | ||
JJ Wilczewski 222 South Riverside Plaza Chicago, IL 60606-5808 | Director, President, CEO and Chairman of the Board | None | ||
Bobby Brooks One International Place Boston, MA 02110-2618 | Director and Vice President | None | ||
Kristin Kulik-Peters 222 South Riverside Plaza Chicago, IL 60606-5808 | Director and Vice President | None | ||
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(1) | (2) | (3) |
DWS Distributors, Inc. Name and Principal Business Address | Positions and Offices with DWS Distributors, Inc. | Positions and Offices with Registrant |
Michael Hughes 222 South Riverside Plaza Chicago, IL 60606-5808 | Director and Vice President | None |
Nicole Grogan 875 Third Avenue New York, NY 10022-6225 | Director and Vice President | None |
Cynthia P. Nestle 875 Third Avenue New York, NY 10022-6225 | Chief Operating Officer | None |
Nancy Tanzil 875 Third Avenue New York, NY 10022-6225 | Chief Financial Officer and Treasurer | None |
Frank Gecsedi 875 Third Avenue New York, NY 10022-6225 | Chief Compliance Officer | None |
Anjie LaRocca 875 Third Avenue New York, NY 10022-6225 | Secretary
| None
|
Hepsen Uzcan 875 Third Avenue New York, NY 10022-6225
| Assistant Secretary | President and Chief Executive Officer |
(c) Not applicable.
Item 33. | Location of Accounts and Records |
The accounts and records of the Registrant are located, in whole or in part, at the office of the Registrant and the following locations:
Advisor and Administrator (Accounting Agent, as applicable) | DWS Investment Management Americas, Inc. 875 Third Avenue New York, NY 10022-6225 |
DWS Investment Management Americas, Inc. One International Place Boston, MA 02110-2618 | |
DWS Investment Management Americas, Inc. 5022 Gate Parkway Jacksonville, FL 32256-7019 | |
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Sub-Advisor | DWS International GmbH Mainzer Landstrasse 11-17, Frankfurt am Main Germany 60329 |
Sub-Advisor | RREEF America L.L.C. 222 South Riverside Plaza Chicago, IL 60606-5808 |
Sub-Administrator (Sub-Accounting Agent, as applicable) | State Street Bank and Trust Company State Street Financial Center One Lincoln Street Boston, MA 02111-2900 |
Custodian | Brown Brothers Harriman & Co. 50 Post Office Square Boston, MA 02110-1543 |
Sub-Transfer Agent | DST Systems, Inc. 333 West 11th Street Kansas City, MO 64105-1628 |
Distributor | DWS Distributors, Inc. 222 South Riverside Plaza Chicago, IL 60606-5808 |
Storage Vendor | Iron Mountain Incorporated 12646 NW 115th Avenue Medley, FL 33178-3179 |
Item 34. | Management Services |
Not applicable.
Item 35. | Undertakings |
Not applicable.
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SIGNATURES
As required by the Securities Act of 1933, this Registration Statement has been signed on behalf of the registrant, in the City of New York and the State of New York on the 17th day of January 2020.
DEUTSCHE DWS GLOBAL/INTERNATIONAL FUND, INC.
By:/s/Hepsen Uzcan
Hepsen Uzcan*
President
As required by the Securities Act of 1933, the Registration Statement has been signed below by the following persons in the capacities indicated on January 17, 2020:
SIGNATURE | TITLE | DATE |
/s/Hepsen Uzcan | ||
Hepsen Uzcan* | President | January 17, 2020 |
/s/Diane Kenneally | ||
Diane Kenneally | Chief Financial Officer and Treasurer | January 17, 2020 |
/s/John W. Ballantine | ||
John W. Ballantine* | Director | January 17, 2020 |
/s/Dawn-Marie Driscoll | ||
Dawn-Marie Driscoll* | Director | January 17, 2020 |
/s/Keith R. Fox | ||
Keith R. Fox* | Chairperson and Director | January 17, 2020 |
/s/Richard J. Herring | ||
Richard J. Herring* | Director | January 17, 2020 |
/s/William McClayton | ||
William McClayton* | Director | January 17, 2020 |
/s/Rebecca W. Rimel | ||
Rebecca W. Rimel* | Director | January 17, 2020 |
/s/William N. Searcy, Jr. | ||
William N. Searcy, Jr.* | Director | January 17, 2020 |
*By:
/s/ Caroline Pearson
Caroline Pearson **
Chief Legal Officer
** | Attorney-in-fact pursuant to the powers of attorney previously filed. |
DEUTSCHE DWS GLOBAL/INTERNATIONAL FUND, INC.
EXHIBIT INDEX
(j)(2)
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