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]

CTFC Swaps and SEC Security-Based 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/ Goldman Sachs (Singapore) Pte. (GSSP) Execution Policy [PDF]

PWM Social Media 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.  
[VIEW ARCHIVE]

 

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
Hong Kong Severe Weather Trading Disclosure Statement [PDF]
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]
Complaints Handling – Goldman Sachs (Asia) L.L.C. / Goldman Sachs (Asia) Securities Limited
Complaints Handling – Goldman Sachs Asset Management (Hong Kong) Limited – 高盛資產管理（香港）有限公司投訴處理

 

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

Summary of the European Market Infrastructure Regulation (EMIR) and Counterparty Categories Under EMIR [PDF]

Definitions for the Purposes of the Common Reporting Standard (CRS) Tax Residence and Classification Information [PDF]

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 & 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 Private Wealth Management Publication of PSD2 Quarterly Statistics

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

Goldman Sachs Bank Europe SE Clearing Member Risk Disclosures (Direct and Indirect Clearing) [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 International IFPR-MIFIDPRU Disclosures for 2023 [PDF]

Goldman Sachs Asset Management International IFPR-MIFIDPRU Disclosures for 2022 [PDF]

Goldman Sachs Asset Management Global Services Limited

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

Goldman Sachs Asset Management – Information on the Integration of Sustainability Risk into Remuneration Policies [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 – Second Quarter 2024 Pillar 3 Disclosures [PDF]

Goldman Sachs Group UK Limited – First Quarter 2024 Pillar 3 Disclosures [PDF]

Goldman Sachs Group UK Limited – Fourth Quarter 2023 Pillar 3 Disclosures [PDF]

Goldman Sachs Group UK Limited – Third Quarter 2023 Pillar 3 Disclosures [PDF]

Goldman Sachs Group UK Limited – Second Quarter 2023 Pillar 3 Disclosures [PDF]

Goldman Sachs Group UK Limited – First Quarter 2023 Pillar 3 Disclosures [PDF]

Goldman Sachs Group UK Limited – Fourth Quarter 2022 Pillar 3 Disclosures [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 Zweigniederlassung Frankfurt - Pillar 3 Disclosures for 2023 [PDF]

Goldman Sachs International Bank Zweigniederlassung Frankfurt - Pillar 3 Disclosures for 2022 [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 Group UK Limited Country-by-Country Reporting disclosure for the period ended 31 December 2023 [PDF]

Goldman Sachs Group UK Limited – Consolidated Financial Information for the period ended 31 December 2023 [PDF]

Goldman Sachs Group UK Limited Country-by-Country Reporting disclosure for the period ended 31 December 2022  [PDF]

Goldman Sachs Group UK Limited – Consolidated Financial Information for the period ended 31 December 2022 [PDF]

Goldman Sachs Group UK Limited Country-by-Country Reporting disclosure for the period ended 31 December 2021  [PDF]

Goldman Sachs Group UK Limited – Consolidated Financial Information for the period ended 31 December 2021 [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, Goldman Sachs Bank Europe SE and Goldman Sachs Paris Inc. et Cie Cost Disclosure Statement (Direct 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 and Goldman Sachs Bank Europe SE - Private Wealth Management: Statement on the Revised Shareholder Rights Directive  [PDF]

Goldman Sachs International and Goldman Sachs Bank Europe SE - Private Wealth Management: Reporting to Institutional Investors [PDF]

AFME IOI Disclosure [PDF]

Goldman Sachs Paris Inc. et Cie Pillar 3 Disclosures for 2023 [PDF]

Goldman Sachs Paris Inc. et Cie Pillar 3 Disclosures for 2022 (English) [PDF]

Goldman Sachs Paris Inc. et Cie Pillar 3 Disclosures for 2022 (French) [PDF]

Goldman Sachs Paris Inc. et Cie Goldman Sachs FICC and Equities Article 3 Sustainable Finance Disclosure Regulation Disclosures [PDF]

Goldman Sachs Paris Inc. et Cie Goldman Sachs FICC and Equities Article 4 Sustainable Finance Disclosure Regulation Disclosures [PDF]

Goldman Sachs Paris Inc. et Cie 2023 Remuneration Disclosure - Article 450 of CRR Disclosure [PDF]

Goldman Sachs International and Goldman Sachs Bank Europe EU CCP Recovery and Resolution Regulation Clearing Member Disclosure Statement [PDF]

Asset & Wealth Management TCFD Report 2022 [PDF]

Asset & Wealth Management TCFD Report 2023 [PDF]

 

South Africa Disclosures

Goldman Sachs International Bank Johannesburg Bank – South African Reserve Bank Corporation for Deposit Insurance.

 

Entity Information

Goldman Sachs Bank AG 

Goldman Sachs Bank Europe SE

Goldman Sachs International Bank Johannesburg Branch 

Goldman Sachs International Paris Branch 

Goldman Sachs L.L.C. Seoul Branch

 

 

US Transparency in Coverage Rule

Aetna Machine-Readable File

Cigna Machine-Readable File

UnitedHealthcare Machine Readable File

 

 

Goldman Sachs Asia Bank Limited Disclosures

 

 

Other Documents and Announcements

FX Last Look Disclosure | Commodities Last Look Disclosure

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