Full text of ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION's X-17A-5 filed 2021-09-03 (period 2021-06-30). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ # ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION # FINANCIAL STATEMENTS, SUPPLEMENTAL SCHEDULES AND REPORTS OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM JUNE 30, 2021 Filed as a Public Document Pursuant to Rule 17a-5(e)(3) under the Securities and Exchange Act of 1934 {1}------------------------------------------------ # ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION # C O N T E N T S | | Pages | |---------------------------------------------------------------------------------------------------------------------------------------------------------|-------| | Facing Page to Form X-17A-5 | 1 | | Affirmation of Principal Officer | 2 | | Report of Independent Registered Public Accounting Firm<br>on the Financial Statements | 34 | | Statement of<br>Financial Condition | 5 | | Statement of<br>Income | 6 | | Statement of<br>Changes in<br>Stockholder's<br>Equity | 7 | | Statement of<br>Cash<br>Flows | 8 | | Notes to<br>Financial<br>Statements | 9-19 | | Supplementary<br>Information: | | | Schedule<br>I:<br>Computation<br>of<br>Net Capital<br>Pursuant<br>to<br>the<br>Uniform<br>Net<br>Capital Rule<br>15c3-1 | 21-22 | | Schedule<br>II:<br>Computation<br>for<br>Determination<br>of<br>Customer<br>Account Reserve &<br>PAB Reserve<br>Requirements<br>Under<br>Rule<br>15c3-3 | 23 | | Schedule<br>III:<br>Information<br>Relating<br>to<br>Possession<br>or<br>Control<br>Requirements<br>Under<br>Rule<br>15c3-3 | 24 | | Exemption<br>Report | 25 | | Report<br>of<br>Independent Registered<br>Public<br>Accounting<br>Firm<br>on<br>management's<br>statements | 26 | {2}------------------------------------------------ UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549 # hours per response.. . . . . 12.00 ANNUAL AUDITED REPORT FORM X-17A-5 PART III SEC FILE NUMBER 8**-** **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | | | REPORT FOR THE PERIOD BEGINNING______________________________ AND ENDING______________________________ | | | | |-------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|---------------------------------------------------------------------…Read the full text as markdown