12/18/2025 | Press release | Distributed by Public on 12/18/2025 08:34
| Form X-17A-5 Filer Information |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL AUDITED REPORT Form X-17A-5 Part III FACING PAGE
Information Required of Brokers and Dealers Pursuant to Section 17 of the
Securities Exchange Act of 1934 and Rule 17a-5 Thereunder |
OMB APPROVAL |
|
FORM X-17A-5 |
OMB Number: 3235-0123 Estimated average burden hours per response: 12.00 |
| Filer CIK |
0001175033
|
| Filer CCC |
XXXXXXXX
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| Is this a LIVE or TEST Filing? | LIVE TEST |
| Would you like a Return Copy? | |
| Is this an electronic copy of an official filing submitted in paper format? | |
| Confirming Copy File Number | |
Submission Contact Information |
|
| Name | |
| Phone | |
| E-Mail Address | |
| Notify via Filing Website only? |
| Report for the Period Beginning |
11-01-2024
|
| and Ending |
10-31-2025
|
| Type of Registrant | Broker-dealer |
| OTC derivatives dealer |
Material Weakness |
|
| Does this submission include an accountant's report covering the compliance report that indentifies one or more material weaknesses? | Yes No |
| Name of Broker-dealer |
RBC CMA LTD
|
| Address 1 |
3 WORLD FINANCIAL CENTER, 200 VESEY STRE
|
| City |
New York
|
| State/Country |
NEW YORK
|
| Mailing Zip/ Portal Code |
10281
|
| Name |
River Jian
|
| Telephone Number |
212-437-1926
|
| Name - if individual, state last, first, and middle name |
Pricewaterhouse Coopers LLP
|
| Address 1 |
300 Madison Avenue
|
| City |
New York City
|
| State/Country |
NEW YORK
|
| Mailing Zip/ Postal Code |
10017
|
| Check One |
Certified Public Accountant Certified Public Accountant not resident in United States or any of its possessions |
| Signature |
Lidia Podyma
|
| Title |
Chief Financial Officer
|
| Checking this box acknowledges that this oath or affirmation has been notarized. |