Disclosures
Regulatory Disclosures
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.
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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)
Privacy Notice for Institutional Clients [PDF, 73 KB]
Goldman Sachs International — Regulatory Ratios as of 28 February 2019 [PDF, 174 KB]
Goldman Sachs International CSD Participant Risk Disclosures [PDF, 147 KB]
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 2018 Pillar 3 Disclosures [PDF 662 KB]
Goldman Sachs Group UK Limited – Pillar 3 Disclosures for 2017 [PDF, 1.1 MB]
Goldman Sachs Group UK Limited – Second Quarter 2018 Pillar 3 Disclosures [PDF, 1 MB]
Goldman Sachs Group UK Limited – First Quarter 2018 Pillar 3 Disclosures [PDF, 585 KB]
Goldman Sachs Group UK Limited – Third Quarter 2017 Pillar 3 Disclosures [PDF 421 KB]
Goldman Sachs Group UK Limited – Second Quarter 2017 Pillar 3 Disclosures [PDF, 551 KB]
Goldman Sachs Group UK Limited – First Quarter 2017 Pillar 3 Disclosures [PDF, 480 KB]
Goldman Sachs Group UK Limited – Consolidated Financial Information for the year ended 31 December 2017 [PDF, 598 KB]
Goldman Sachs Group UK Limited Country-by-Country Reporting disclosure for the year ended 31 December 2017 [PDF, 368 KB]
Goldman Sachs AG – Pillar 3 Disclosure for 2017 (German) [PDF, 715 KB]
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, 271 KB]
Goldman Sachs International - FMSB Adherence Statement
Goldman Sachs International Bank - FMSB Adherence Statement
AFME IOI Disclosure [PDF, 266 KB]
Entity Information
Goldman Sachs International Paris Branch
Goldman Sachs Asia Bank Limited Disclosures