Regulatory Disclosures

 

GS&Co. Customer Relationship Summary (Form CRS)

Futures Commission Merchant (FCM) Regulatory Disclosures Pursuant to CFTC Rule 1.55(k)(1-11) - (o)(1,3,4)- Goldman Sachs & Co. LLC (GS&Co.)

Interest Rate Benchmark Transition Notice [PDF,]

GS&Co. Allocation Procedures for Callable Securities [PDF]

GS&Co. Limit-Up Limit Down Disclosure [PDF]

New Rules Regarding Transactions in Canadian Securities in the Canadian Marketplace [PDF]

Notice Relating to Fails to Deliver Arising from Customer Sale Transactions in U.S. Equity Securities [PDF]

CFTC Swaps-Related Disclosures

Statement on Option Position Limits/Exercise Procedures and Other Disclosures for U.S. Listed Options [PDF]

Goldman Sachs (Asia) L.L.C. - Private Wealth Management Best Execution Policy [PDF]

Business Continuity Disclosure
The Goldman Sachs Business Continuity Program For Disaster Recovery [PDF]

Client Security Disclosure
The Goldman Sachs Client Security Statement [PDF]

Regulation NMS - Goldman Sachs & Co. LLC
Policy Statement Regarding Compliance with Regulation NMS’s Order Protection Rule [PDF]

Special Notice - Goldman Sachs & Co. LLC
GS&Co. Disclosure Regarding FINRA Rule 5270 [PDF]
A Special Notice Regarding Order Handling Practices for Listed and Over-the-Counter Derivatives [PDF]
Order Handling Policies and Procedures Relating to Equities Products [PDF]
A Special Notice Regarding the S.E.C.’s Large Trader Rule [PDF]
GS&Co. Large Trader ID Questionnaire [PDF]
US Listed Options Expiration Friday Migration Overview & FAQ [PDF]
US Treasury Auction Information Disclosure [PDF]

SEC Required Disclosures - Goldman Sachs & Co. LLC
Disclosure of SEC-Required Order Execution Information - Goldman Sachs & Co. LLC
Disclosure of SEC-Required Order Routing Information - Goldman Sachs & Co. LLC 

Special Notice - Goldman Sachs Execution & Clearing, L.P.
As of June 12, 2017, GSEC merged with and into GS&Co.; for historical GSEC notices please view the Archive folder.  
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Disclosures Required by SEC Settlement - Auction Rate Securities
Important Disclosures and Considerations for Investors in Auction Rate Securities [PDF]

2009 Disclosure of Intent to Bid by Issuer/Conduit Borrowers with Respect to Auction Securities

2008 Disclosure of Intent to Bid by Issuer/Conduit Borrowers with Respect to Auction Securities

Goldman Sachs' Terms of Dealing Disclosure
Goldman Sachs' Terms of Dealing [PDF]

Adherence to Industry Codes of Conduct
Goldman Sachs Group, Inc. Statement of Commitment to the FX Global Code
Goldman Sachs International - FMSB Disclosure
Goldman Sachs International - Statement of Commitment to the Global Precious Metals Code
Goldman Sachs International Bank - FMSB Disclosure Statement

APAC Disclosures
SIGMA X HK User Guidelines (clean version) – October 2018 [PDF]
SIGMA X HK User Guidelines (markup version) – October 2018 [PDF,]
Goldman Sachs (Asia) L.L.C. - Material Conflicts of Interest Disclosure [PDF]
Goldman Sachs (Asia) L.L.C. - Indications of Interest Disclosure [PDF]
Goldman Sachs Asia Pacific Securities Best Execution Policy [PDF]
Cash Equities Order Handling Procedures of Goldman Sachs (Asia) L.L.C. [PDF]

Australian and New Zealand Disclosures

Latin America Disclosures
Important Disclosures for Investors in Peruvian Government Bond Auctions 
Republic of Colombia Disclosure Statement
Republic of Chile – Disclosure Statement

European Disclosures (including the UK and Switzerland)

European Disclosures ARCHIVE

Privacy Notice for Institutional Clients  [PDF]

Goldman Sachs International — Regulatory Ratios as of 31 December 2019 [PDF]

Goldman Sachs International CSD Participant Risk Disclosures  [PDF]

European Benchmark Regulation and IOSCO Principles for Financial Benchmarks

Goldman Sachs & Co. LLC CSDR Article 38 and FMIA Article 73 General Disclosure Statement – (ISAs/OSAs) [PDF]

Goldman Sachs Japan Co., Ltd CSDR Article 38 General Disclosure Statement–(ISAs/OSAs) (English) [PDF]

Goldman Sachs Japan Co., Ltd CSDR Article 38 General Disclosure Statement–(ISAs/OSAs) (Japanese) [PDF]

Goldman Sachs Bank USA CSDR Article 38 General Disclosure Statement–(ISAs/OSAs) [PDF]

Goldman Sachs Bank Europe SE CSD Participant Risk Disclosures [PDF]

Goldman Sachs International, Goldman Sachs Bank Europe SE, Goldman Sachs & Co. LLC CSD Participant Cost Disclosure Statement [PDF]

Goldman Sachs Bank USA London Branch Disclosure

Goldman Sachs International Bank Disclosure

Goldman Sachs Asset Management International Disclosure

Goldman Sachs Asset Management Global Services Limited

Goldman Sachs Asset Management Global Services Limited – Order Execution Policy [PDF]

Swiss Financial Services Act – FIDLEG

Markets in Financial Instruments Directive

Guidelines for Disclosure and Transparency in Private Equity - United Kingdom [PDF]

Corporate Governance Disclosures for Goldman Sachs International and Goldman Sachs International Bank  [PDF]

Goldman Sachs’ United Kingdom Tax Strategy [PDF]

Goldman Sachs Group UK Limited – First Quarter 2020 Pillar 3 Disclosures [PDF]

Goldman Sachs Group UK Limited – First Quarter 2020 Pillar 3 - Liquidity Coverage Ratio Disclosure [PDF]

Goldman Sachs Group UK Limited – Fourth Quarter 2019 Pillar 3 Disclosures [PDF]

Goldman Sachs Group UK Limited – Fourth Quarter 2019 Pillar 3 - Liquidity Coverage Ratio Disclosure [PDF]

Goldman Sachs Group UK Limited – Fourth Quarter 2019 Pillar 3 - Remuneration Disclosures [PDF]

Goldman Sachs Group UK Limited – Fourth Quarter 2019 Pillar 3 Disclosures – Asset Encumbrance [PDF]

Goldman Sachs Group UK Limited – Consolidated Financial Information for the period ended 30 November 2019  [PDF]

Goldman Sachs Group UK Limited Country-by-Country Reporting disclosure for the period ended 30 November 2019  [PDF]

Goldman Sachs Europe - European Policy for Managing Conflicts of Interest in Connection with Investment Research

Goldman Sachs International Clearing Member Risk Disclosures (Direct and Indirect Clearing) [PDF]

Goldman Sachs International and Goldman Sachs Bank Europe SE Cost Disclosure Statement (Direct Clearing)  [PDF]

Goldman Sachs Bank Europe SE Clearing Member Risk Disclosures (Direct and Indirect Clearing) [PDF]

EMIR: Public Disclosure of Intragroup Exemptions from Initial Margin Requirements [PDF]

Goldman Sachs International - FMSB Adherence Statement

Goldman Sachs International – Private Wealth Management:  Statement on Compliance with the Financial Reporting Council’s Stewardship Code [PDF]

Goldman Sachs International Bank - FMSB Adherence Statement

Goldman Sachs International - Private Wealth Management: Statement on the Revised Shareholder Rights Directive [PDF]

AFME IOI Disclosure [PDF]

Entity Information

Goldman Sachs Bank Europe SE

Goldman Sachs International Bank Johannesburg Branch 

Goldman Sachs International Paris Branch 

Goldman Sachs Bank AG 

 

 

Goldman Sachs Asia Bank Limited Disclosures