Regulatory Disclosures

 

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, 125 KB]

GS&Co. Allocation Procedures for Callable Securities [PDF, 103 KB]

GS&Co. Limit-Up Limit Down Disclosure [PDF, 114 KB]

New Rules Regarding Transactions in Canadian Securities in the Canadian Marketplace [PDF, 300 KB]

Notice Relating to Fails to Deliver Arising from Customer Sale Transactions in U.S. Equity Securities [PDF, 183 KB]

CFTC Swaps-Related Disclosures

Statement on Option Position Limits/Exercise Procedures and Other Disclosures for U.S. Listed Options [PDF, 116 KB]

Goldman Sachs (Asia) L.L.C. - Private Wealth Management Best Execution Policy [PDF, 204 KB]

Business Continuity Disclosure
The Goldman Sachs Business Continuity Program For Disaster Recovery [PDF, 221 KB]

Client Security Disclosure
The Goldman Sachs Client Security Statement [PDF, 796 KB]

Regulation NMS - Goldman Sachs & Co. LLC
Policy Statement Regarding Compliance with Regulation NMS’s Order Protection Rule [PDF, 90 KB]

Special Notice - Goldman Sachs & Co. LLC
GS&Co. Disclosure Regarding FINRA Rule 5270 [PDF, 73KB]
A Special Notice Regarding Order Handling Practices for Listed and Over-the-Counter Derivatives [PDF, 73 KB]
Order Handling Policies and Procedures Relating to Equities Products [PDF, 131KB]
A Special Notice Regarding the S.E.C.’s Large Trader Rule [PDF, 96 KB]
GS&Co. Large Trader ID Questionnaire [PDF, 71 KB]
US Listed Options Expiration Friday Migration Overview & FAQ [PDF, 119 KB]
US Treasury Auction Information Disclosure [PDF, 149 KB]

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.  
[VIEW ARCHIVE]

Disclosures Required by SEC Settlement - Auction Rate Securities
Important Disclosures and Considerations for Investors in Auction Rate Securities [PDF, 81 KB]

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, 114 KB]

APAC Disclosures
SIGMA X HK User Guidelines (clean version) – October 2018 [PDF, 258 KB]
SIGMA X HK User Guidelines (markup version) – October 2018 [PDF, 300 KB]
Goldman Sachs (Asia) L.L.C. - Material Conflicts of Interest Disclosure [PDF, 222 KB]
Goldman Sachs (Asia) L.L.C. - Indications of Interest Disclosure [PDF, 153 KB]
Goldman Sachs Asia Pacific Securities Best Execution Policy [PDF, 97 KB]
Cash Equities Order Handling Procedures of Goldman Sachs (Asia) L.L.C. [PDF, 303 KB]

Australian and New Zealand Disclosures

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

European Disclosures (including the UK)

European Disclosures ARCHIVE

Privacy Notice for Institutional Clients  [PDF, 73 KB]

Goldman Sachs International — Regulatory Ratios as of 31 August 2019 [PDF, 174 KB]

Goldman Sachs International CSD Participant Risk Disclosures  [PDF, 147 KB]

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, 149 KB]

Goldman Sachs Japan Co., Ltd CSDR Article 38 General Disclosure Statement–(ISAs/OSAs) (English) [PDF, 145 KB]

Goldman Sachs Japan Co., Ltd CSDR Article 38 General Disclosure Statement–(ISAs/OSAs) (Japanese) [PDF, 155 KB]

Goldman Sachs Bank USA CSDR Article 38 General Disclosure Statement–(ISAs/OSAs) [PDF, 109 KB]

Goldman Sachs Bank Europe SE CSD Participant Risk Disclosures [PDF, 166 KB]

Goldman Sachs International, Goldman Sachs Bank Europe SE, Goldman Sachs & Co. LLC CSD Participant Cost Disclosure Statement [PDF, 373 KB]

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, 90 KB]

Markets in Financial Instruments Directive

Guidelines for Disclosure and Transparency in Private Equity - United Kingdom [PDF, 82 KB]

Corporate Governance Disclosures for Goldman Sachs International and Goldman Sachs International Bank  [PDF, 308KB]

Goldman Sachs’ United Kingdom Tax Strategy [PDF, 118 KB]

Goldman Sachs Group UK Limited – Third Quarter 2019 Pillar 3 Disclosures [PDF, 813 KB]

Goldman Sachs Group UK Limited – Third Quarter 2019 Pillar 3 - Liquidity Coverage Ratio Disclosure [PDF, 424 KB]

Goldman Sachs Group UK Limited – Fourth Quarter 2018 Pillar 3 Disclosures [PDF, 2.9 MB]

Goldman Sachs Group UK Limited – Fourth Quarter 2018 Pillar 3 - Liquidity Coverage Ratio Disclosure [PDF, 735 KB]

Goldman Sachs Group UK Limited – Fourth Quarter 2018 Pillar 3 - Remuneration Disclosures [PDF, 812 KB]

Goldman Sachs Group UK Limited – Fourth Quarter 2018 Pillar 3 Disclosures – Asset Encumbrance [PDF 646 KB]

Goldman Sachs Group UK Limited – Consolidated Financial Information for the period ended 30 November 2018  [PDF, 620 KB]

Goldman Sachs Group UK Limited Country-by-Country Reporting disclosure for the period ended 30 November 2018  [PDF, 432 KB]

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, 358 KB]

Goldman Sachs International and Goldman Sachs Bank Europe SE Cost Disclosure Statement (Direct Clearing)  [PDF, 243 KB]

Goldman Sachs Bank Europe SE Clearing Member Risk Disclosures (Direct and Indirect Clearing) [PDF, 344 KB]

EMIR: Public Disclosure of Intragroup Exemptions from Initial Margin Requirements [PDF, 233 KB]

Goldman Sachs International - FMSB Adherence Statement

Goldman Sachs International – Private Wealth Management:  Statement on Compliance with the Financial Reporting Council’s Stewardship Code [PDF, 288 KB]

Goldman Sachs International Bank - FMSB Adherence Statement

Goldman Sachs International - Private Wealth Management: Statement on the Revised Shareholder Rights Directive [PDF, 102 KB]

AFME IOI Disclosure [PDF, 266 KB]

Entity Information

Goldman Sachs Bank Europe SE

Goldman Sachs International Paris Branch 

 

 

Goldman Sachs Asia Bank Limited Disclosures