Full text of UOB KAY HIAN (U.S.) INC.'s X-17A-5 filed 2024-02-29 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## UOB KAY HIAN (U.S.) INC. ANNUAL AUDITED REPORT FORM X-17A-5 # PART III SEC FILE NO. 8-65981 YEAR ENDED DECEMBER 31, 2023 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 OMB APPROVAL OMB Number: 3235-0123 Expires: Nov. 30. 2026 Estimated average burden hours per response: 12 sec file number 8-65981 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 01/01/23 MM/DD/YY MM/DD/YY 12/31/23 A. REGISTRANT IDENTIFICATION # NAME OF FIRM: UOB KAY HIAN (U.S.) INC. TYPE OF REGISTRANT (check all applicable boxes): ම 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 | | 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, and 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 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 currently valid OMB control number. {2}------------------------------------------------ #### OATH OR AFFIRMATION | Athena Kwai | sw…Read the full text as markdown