Regulatory Disclosures
GS&Co. Customer Relationship Summary (Form CRS)
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]
CTFC Swaps and SEC Security-Based Swaps Related Disclosures
Business Resilience Disclosure
The Goldman Sachs Business Resilience Program (Including 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
FX Global Code Liquidity Provider Disclosure Cover Sheet
FX Global Code Algo Due Diligence Template
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) [PDF]
SIGMA X HK User Guidelines (markup version) [PDF]
Goldman Sachs (Asia) L.L.C. - Summary of the Goldman Sachs Allocation Policy [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 GBM FICC and Equities Best Execution Policy [PDF]
Cash Equities Order Handling Procedures of Goldman Sachs (Asia) L.L.C. [PDF]
Singapore Short Selling Disclosure Statement [PDF]
Hong Kong Short Selling Disclosure Statement [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)
Goldman Sachs Poland Services sp. z o.o.’s information on the implementation of the tax strategy [PDF]
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 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 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]
Goldman Sachs’ United Kingdom Tax Strategy [PDF]
Goldman Sachs Group UK Limited – Third Quarter 2022 Pillar 3 Disclosures [PDF]
Goldman Sachs Group UK Limited – Second Quarter 2022 Pillar 3 Disclosures [PDF]
Goldman Sachs Group UK Limited – First Quarter 2022 Pillar 3 Disclosures [PDF]
Goldman Sachs Group UK Limited – Fourth Quarter 2021 Pillar 3 Disclosures [PDF]
Goldman Sachs Group UK Limited – Third Quarter 2021 Pillar 3 Disclosures [PDF]
Goldman Sachs Group UK Limited – Second Quarter 2021 Pillar 3 Disclosures [PDF]
Goldman Sachs Group UK Limited – First Quarter 2021 Pillar 3 Disclosures [PDF]
Goldman Sachs Group UK Limited – Fourth Quarter 2020 Pillar 3 Disclosures [PDF]
Goldman Sachs International Bank, Frankfurt Branch - Pillar 3 Disclosures for 2021 (German) [PDF]
Goldman Sachs International Bank, Frankfurt Branch - Pillar 3 Disclosures for 2020 (German) [PDF]
Goldman Sachs International Clearing Member Risk Disclosures (Direct and Indirect 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 Bank - FMSB Adherence Statement
AFME IOI Disclosure [PDF]
Goldman Sachs Paris Inc et Cie 2022 Remuneration Disclosure - Article 450 of CRR Disclosure [PDF]
Entity Information
Goldman Sachs International Bank Johannesburg Branch
Goldman Sachs International Paris Branch
US Transparency in Coverage Rule
UnitedHealthcare Machine Readable File
Goldman Sachs Asia Bank Limited Disclosures
Other Documents and Announcements
GreenSky Acquisition IRS Form 8937