Full text of KOTAK MAHINDRA, INC.'s X-17A-5 filed 2021-05-10 (period 2021-03-31). 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 AUDITED REPORT FORM X-17A-5 PART III | | UNID THE NOVAL | | |--------------------------|----------------|---------------------------| | OMB Number: | | 3285-0123 | | Expires: | | October 31, 2023 | | Estimated average burden | | | | | | hours per response 12.00 | Conner and | | SEC FILE NUMBER | |---------|-----------------| | 8-51740 | | ### FACING PAGE Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder | REPORT FOR THE PERIOD BEGINNING | 04/01/2020 | AND ENDENC | 03/81/2021 | | | |----------------------------------------------------------------------------------------|--------------------------------------------------------|------------|--------------------------------|--|--| | | MM/DD/YY | | MM/DD/YY | | | | | A. RECEISTRANT IDENTIELCATION | | | | | | NAME OF BROKER-DEALER: KOTAK MAHINDRA, INC. | | | OFFCAL USE ONLY | | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | FRMILD. NO. | | | | 369 LEXINGTON AVENUE. 28th FLOOR | | | | | | | | (No. and Street) | | | | | | NEW YORK | NY | | 10017 | | | | (City) | (State) | | (Zip Code) | | | | NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>GIJO JOSEPH | | | | | | | | | | (Area Code - Telephone Number) | | | | | B. ACCOUNTANT IDENTIL CATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report* | | | | | | | CITRIN COOPERMAN & COMPANY, LLP | | | | | | | | (Name - if individual, state last, first. middle name) | | | | | | 290 WEST MT. PLEASANT AVENUE LIVINGSTON | | NJ | 07639 | | | | (Address) | (City) | (State) | (Zip Code) | | | | CHECK ONE: | | | | | | | Certified Public Accountant | | | | | | | Public Accountant | | | | | | | Accountant not resident in United States or any of its possessions. | | | | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | | | | | | | | | | | | | | | \*Clains for exemption from the reguirement that the annual report be covered by the opinion of an independent public accountant nust be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.170-5(e)(2) > Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number…Read the full text as markdown