Full text of UOB KAY HIAN (U.S.) INC.'s X-17A-5 filed 2026-03-30 (period 2025-12-31). 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 REPORTS FORM X-17A-5 PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-0123 Expires: Nov. 30, 2026 Estimated average burden hours per response: I:! **SEC FILE NUMBER** 8-65981 **Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING 0 1/01 /25 MM/DD/YY AND ENDING **12/31 /25** MM/DD/VY **A. REGISTRANT IDENTIFICATION** NAMEOFFIRM: UOB KAY HIAN (U.S.) INC. TYPE OF REGISTRANT (check all applicable boxes): C!J Broker-dealer □ Security-based swap dealer D Check here if respondent is also an OTC derivatives dealer □ Major security-based swap participant ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 3207 Dovetail Mews (No. and Street) Mississauga Ontario (City) (State) PERSON TO CONTACT WITH REGARD TO THIS FILING L5L 5K4 (Zip Code) Martin Poskitt 416 454 1033 mposkitt@uobkayhian.com (Name) (Area Code -Telephone Number) (Email Address) **B. ACCOUNTANT IDENTIFICATION** INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* CBIZ CPAs P.C. (Name - if individual, state last, first, and middle name) 340 Mt Kemble Ave Suite 21 ON Morristown NJ 07960 (Address) (City) (State) (Zip Code) October 22, 2003 199 l" of Reg;stcatioo w;th PCAOBl(;f ap01icable) **FOR OFFICIAL USE ONL y** (PCAOB R,g;m,tioo Nombe,, ;f applicable) I \* 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 offacts and circumstances relied on as the basis of the exemption. See 17 CFR 240.17a-S(e)(l)(il), 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. {1}------------------------------------------------ #### **OATH OR AFFIRMATION** | 1, Martin Poskitt | swear (or affirm) that, to the best of my knowledge and belief, the | |--------------------------------------------------------------------------------------|--------------------------------------------------------------------------| | financial report pertaining to the firm of uos KAY HIAN (U.S.) INC | as of | | 2~ | is true and correct. I further swear (or affirm) that neither the compan | | 12/31 | or any | | partner, officer, director, or eq…Read the full text as markdown