Full text of UOB KAY HIAN (U.S.) INC.'s X-17A-5/A filed 2022-02-24 (period 2021-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # **ANNUAL AUDITED REPORT FORM X-17A-5 PART III** #### **SEC FILE NO. 8-65981** # **YEAR ENDED DECEMBER 31, 2021 AND** # **REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM** {1}------------------------------------------------ | SECURITIES AND EXCHANGE COMMISSION<br>Washington, D.C. 20549 | OMB Number: 3235-0123<br>Expires: Oct. 31, 2023<br>Estimated average burden | |--------------------------------------------------------------------------------------------------------------------------|-----------------------------------------------------------------------------| | | | | | | | | hours per response: | | ANNUAL REPORTS | SEC FILE NUMBER | | FORM X-17A-5 | 8-65981 | | PART III | | | | | | FACING PAGE<br>Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 | | | 1/1/2021<br>AND ENDING<br>FILING FOR THE PERIOD BEGINNING | 12/31/2021 | | MM/DD/YY | MM/DD/YY | | A. REGISTRANT IDENTIFICATION | | | | | | UOB KAY HIAN (U.S.) INC.<br>NAME OF FIRM: | | | | | | TYPE OF REGISTRANT (check all applicable boxes): | | | പ Security-based swap dealer<br>L& Broker-dealer | | | □ Check here if respondent is also an OTC derivatives dealer | | | ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) | | | 3207 DOVETAIL MEWS | | | (No. and Street) | | | MISSISSAUGA, ONTARIO | 151 5K4 | | (State)<br>(City) | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | 973-313-2400<br>Athena Kwai | athena.kwai@uobkayhian.com | | (Area Code - Telephone Number)<br>(Name) | (Email Address) | | B. ACCOUNTANT IDENTIFICATION | | | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | Friedman LLP | | | (Name - if individual, state last, first, and middle name) | | | 100 Eagle Rock Avenue Suite 200<br>East Hanover<br>NJ | 07936 | | (Address)<br>(City) | (Zip Code)<br>(State) | | October 22.2003 | 711 | | (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 | | T accountant must be supported by a statement of facts and circumstances relied on as the basis 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 respond unless the form displays a…Read the full text as markdown