Full text of SPROTT GLOBAL RESOURCE INVESTMENTS LTD's X-17A-5 filed 2023-03-29 (period 2022-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ #### UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 # ANNUAL REPORTS FORM X-17A-5 PART III OMB APPROVAL OMB Number: 3235-0123 Expires: Oct. 31, 2023 Estimated average burden hours per response: 12 sec file number FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | FILING FOR THE PERIOD BEGINNING 01/01/22 | | AND ENDING 12/31/22 | | | |----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|------------------------------------------------------------|-----------------------------------------|-----------------------|--------------------------------------------| | | MM/DD/YY | | | MM/DD/YY | | | A. REGISTRANT IDENTIFICATION | | | | | NAME OF FIRM: Sprott Global Resource Investments, Ltd. | | | | | | TYPE OF REGISTRANT (check all applicable boxes):<br>X Broker-dealer<br>[ Check here if respondent is also an OTC derivatives dealer | | _ Major security-based swap participant | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | | | | 1910 Palomar Point Way, Suite 200 | | | | | | | (No. and Street) | | | | | Carlsbad | CA | | | 92008 | | (City) | (State) | | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | Natalia Yermolina | 416-945-3276 | | | nyermolina@sprott.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | | B. Accountant Identification | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filling*<br>KPMG LLP | | | | | | | (Name - if individual, state last, first, and middle name) | | | | | | | | | | | Bay Adelaide Centre, 333 Bay Street, Suite 4600<br>(Address) | Toronto<br>(City) | | On, Canada<br>(State) | M5H 255<br>(Zip Code) | | | | | 85 | | | (Date of Registration with PCAOB)(if applicable) | | | | (PCAOB Registration Number, if applicable) | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | * Claims for exemption from the requirement that the annual reports of an independent public<br>accountant must he supported by a statement of facts and rirrumstances relied on as the pass of the exemption See 17 | | | | | CFR 240.17a-5(e)(1)(ii), if applicable. Persons who are to respond to the collection of information contained in this form are not required to respon…Read the full text as markdown