Full text of UOB KAY HIAN (U.S.) INC.'s X-17A-5 filed 2025-04-09 (period 2024-12-31). 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, 2024 AND # REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM {1}------------------------------------------------ ### **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: 12 # **ANNUAL REPORTS FORM X-17A-5 PART** Ill 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 /24** AND ENDING **12/3 <sup>1</sup>**<sup>f</sup> 24 MM/DD/VY MM/DD/VY **A. REGISTRANT IDENTIFICATION** # NAME OF FIRM: UOB KAY HIAN (U.S.) INC. TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer □ Security-based swap dealer □ Major security-based swap participant D 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 | | L5L 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 | | | | | | MARCUM LLP | | | | | | | 340 Mt Kemble Ave Suite 210N | (Name - if individual, state last, first, and middle name)<br>Morristown | NJ | 07960 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 10/16/2003 | | 688 | | | | | | | | (PCAOB Reg;su,uoo N"mbec, ;f appUcable)I | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports be covered by the 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)(l)(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 0MB control number.** {2}----------------------------------------------…Read the full text as markdown