Full text of UOB KAY HIAN (U.S.) INC.'s X-17A-5 filed 2023-03-01 (period 2022-12-31). 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, 2022 AND ## REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM {1}------------------------------------------------ ## UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL REPORTS FORM X-17A-5 PART III FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 REPORT FOR THE PERIOD BEGINNING 01/01/2022 AND ENDING 12/31/2022 MM/DD/YY #### A. REGISTRANT IDENTIFICATION NAME OF FIRM: UOB KAY HIAN (U.S.) INC. TYPE OF REGISTRANT (check all applicable boxes): ØBroker-dealer □ Check here if respondent is also an OTC derivatives dealer MM/DD/YY ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) #### 3207 DOVETAIL MEWS | | (No. and Street) | | | |---------------------------------------------------------------------------|--------------------------------------------------------|---------|--------------------------------------------| | MISSISSAUGA, | ONTARIO | | LSL 5K4 | | (City) | (State) | | (Zip Code) | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | Athena Kwai | 973-313-2400 | | athena.kwai@uobkayhian.com | | (Name) | (Area Code - Telephone Number) | | (Email Address) | | | B. ACCOUNTANT IDENTIFICATION | | | | INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing* | | | | | MARCUM LLP | | | | | | (Name - if individual, state last, first, middle name) | | | | 100 Eagle Rock Avenue Suite 200 | East Hanover | NJ | 07936 | | (Address) | (City) | (State) | (Zip Code) | | 10/16/2003 | | | 688 | | (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 accountant must be supported by a statement of facts and clrcumstances relled 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 internation this form are not required to respond unless the form displays a currently valid OMB control number. | OMB APPROVAL | |--------------------------| | OMB Number: 3235-0123 | | Expires: Oct. 31, 2023 | | Estimated average burden | | hours per response: 12 | SEC FILE NUMBER 8-65981 {2}------------------------------------------------ #### OA…Read the full text as markdown