Full text of ASHMORE INVESTMENT MANAGEMENT (US) CORPORATION's X-17A-5 filed 2023-11-09 (period 2023-06-30). 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, 2023 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 # CONTENTS | | Pages | |------------------------------------------------------------------------------------------------------------------------|-------| | Facing Page to Form X-17 A-5 | 1 | | Affirmation of Principal Officer | 2 | | Report oflndependent Registered Public Accounting Firm<br>on the Financial Statements | 3 | | Statement of Financial Condition | 4 | | Statement oflncome | 5 | | Statement of Changes in Stockholder's Equity | 6 | | Statement of Cash Flows | 7 | | Notes to Financial Statements | 8-20 | | Supplementary Information: | | | Schedule I: Computation of Net Capital Pursuant to the Uniform<br>Net Capital Rule 15c3-1 | 22-23 | | Schedule II: Computation for Determination of<br>Customer Account Reserve & PAB Reserve Requirements Under Rule 15c3-3 | 24 | | Schedule III: Information Relating to Possession or Control Requirements<br>Under Rule 15c3-3 | 25 | | Exemption Report | 26 | | Report oflndependent Registered Public Accounting Firm<br>on management's statements | 27 | {2}------------------------------------------------ **UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL REPORTS FORM X-17A-S PART** Ill **FACING PAGE** 0MB APPROVAL 0MB Number: 3235-01 23 Expires: Oct. 31, 2023 Estimated average burden hours per response : 12 SEC FILE NUMBER 8-68490 **Information Required Pursuant to Rules 17a-S, 17a-12, and 18a-7 under the Securities Exchange Act of 1934** FILING FOR THE PERIOD BEGINNING **07 /01 /22** MM/DD/YY AND ENDING **<sup>0</sup> <sup>6</sup> / <sup>3</sup> 0f23** MM/DD/YY **A. REGISTRANT IDENTIFICATION** NAM E oF FIRM : Ashmore Investment Management (US) Corporation TYPE OF REGISTRANT (check all applicable boxes) : 0 Broker-dealer D Security-based swap dealer D 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.) 4 75 Fifth Avenue, 15th Floor (No. and Street) New York New York 10026 ' (City) (State) (Zip Code) PERSON TO CONTACT WITH REGARD TO THIS FILING Gareth…Read the full text as markdown