Full text of BAILLIE GIFFORD FUNDS SERVICES LLC's X-17A-5 filed 2019-05-28 (period 2019-03-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ UNITEDSTATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT FORM X-17A-5 SEC FILE NUMBER PART III 8-69448 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 April 1, 2018 AND ENDING March 31, 2019 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION NAME OF BROKER-DEALER: BAILLIE GIFFORD FUNDS SERVICES LLC OFFICIAL USE ONLY ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) FIRM I.D. NO. CALTON SQUARE, 1 GREENSIDE ROW (No. and Street) EDINBURGH UK EH1 3AN (City) (Zip Code) (State) NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT Janice Parise (212) 751-4422 (Area Code - Telephone Number) B. ACCOUNTANT IDENTIEICATION INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report\* COHNREZNICK LLP (Name - if individual, state last, first, middle name) 1301 AVENUE OF THE AMERICAS NEW YORK NY 10019 (Address) (City) (State) (Zip Code) CHECK ONE: Certified Public Accountant Public Accountant Accountant not resident in United States or any of its possessions. FOR OFFICIAL USE ONLY \*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2) > Potential 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. SEC 1410 (06-02) | OMB APPROVAL | | | | | |---------------------------|-----------------|--|--|--| | OMB Number: | 3235-0123 | | | | | Expires: | August 31, 2020 | | | | | Estimated average burden | | | | | | hours per response 12.00 | | | | | {1}------------------------------------------------ #### OATH OR AFFIRMATION | DAVID SALTER | | the best of the best of swear (or affirm) that, to the best of | |-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------|-----------------------------------------------------------------------------------------------------------------| | BAILLIE GIFFORD FUNDS SERVICES LLC | | my knowledge and belief the accompanying financial…Read the full text as markdown