# EDGAR Filing Document

**Accession Number:** 0001866894
**File Stem:** 0001866894-26-000002
**Filing Date:** 2026-2
**Character Count:** 7457
**Document Hash:** 6a4ba689e340f9418c3c933e30831451
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001866894-26-000002.hdr.sgml**: 20260323

**ACCESSION NUMBER**: 0001866894-26-000002

**CONFORMED SUBMISSION TYPE**: SBSE-A/A

**PUBLIC DOCUMENT COUNT**: 4

**FILED AS OF DATE**: 20260204

**DATE AS OF CHANGE**: 20260323

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Goldman Sachs Bank Europe SE
- **CENTRAL INDEX KEY:** 0001866894

**ORGANIZATION NAME:**
- **EIN:** 000000000
- **STATE OF INCORPORATION:** 2M
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00132
- **FILM NUMBER:** 26780643

**BUSINESS ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** MARIENTURM
- **STREET 2:** TAUNUSANLAGE 9-10, AM MAIN
- **CITY:** FRANKFURT
- **PROVINCE COUNTRY:** 2M
- **BUSINESS PHONE:** 49 69 7532 1000

**MAIL ADDRESS:**
- **ADDRESS IS A NON US LOCATION:** YES
- **STREET 1:** MARIENTURM
- **STREET 2:** TAUNUSANLAGE 9-10, AM MAIN
- **CITY:** FRANKFURT
- **PROVINCE COUNTRY:** 2M

### Attached PDF Documents

**Attachment 1:** `summaryofchanges.pdf`

_No text found in this document._

**Attachment 2:** `swapdealeropinion.PDF`

_No text found in this document._

**Attachment 3:** `nfa7r.pdf`

_No text found in this document._

## Form SBSE-A: Registration for Security-Based Swap Dealers

### Applicant Information

**Full Applicant Name:** Goldman Sachs Bank Europe SE

**NFA Number:** 518258

**IRS Employer ID No.:** 00-0000000

**CIK:** 0001866894

**UIC:** 8IBZUGJ7JPLH368JE346

**Main Address:** MARIENTUM, TAUNUSANLAGE 9-10, AM MAIN, FRANKFURT, 2M, 60329

**Business Telephone:** 49 69 7532 2200

**Contact Employee:**

- **Name:** THEODORE ALLAN KIEM

- **Title:** CHIEF COMPLIANCE OFFICER

- **Phone:** 49-69-75321336

- **Email:** Ted.Kiem@gs.com

**Chief Compliance Officer:**

- **Name:** THEODORE ALLAN KIEM

- **Title:** CHIEF COMPLIANCE OFFICER

- **Phone:** 49-69-75321336

- **Email:** Ted.Kiem@gs.com

### Business and Activities

**Registered as Swap Dealer?:** Yes

**Registered as Swap Participant?:** No

**Uses Mathematical Models?:** Yes

**Is a Non-Resident Entity?:** No

**Subject to Prudential Regulator?:** Yes

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Prudential Regulators:** The Federal Reserve Board

**Description of Business:**
Goldman Sachs Bank Europe SE (GSBE or the bank) provides a wide range of financial services to a diversified client base that includes corporations, financial institutions, and ultra-high-net-worth individuals, from its registered office in Frankfurt am Main and branches in Amsterdam, Copenhagen, Dublin, London, Luxembourg, Madrid, Milan, Paris, Stockholm and Warsaw. The company generates revenues from the following business activities: Investment Banking; Fixed Income, Currency and Commodities (FICC); Equities; and Investment Management, which includes Asset Management and Wealth Management.

### Control and History

**Are records kept by another entity?:** Yes

**Does another entity hold funds on behalf of applicant?:** Yes

**Is control exercised through an agreement?:** No

**Is applicant financed by another entity?:** No

**Is applicant succeeding a prior entity?:** No

**Subject to foreign regulation?:** Yes

**Number of Principals:** 6

### Schedule A: Principals

| Name                        | Title or Status                                | Date Acquired   | Date Began Working   | Ownership   |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| WOLFGANG FINK               | CHIEF EXECUTIVE OFFICER                        | 11/2020         | 08/1993              |  |       518619 |
| MICHAEL HOLMES              | CONTROLLERS-MANAGING DIRECTOR                  | 05/2022         | 06/2001              |  |       513176 |
| THEODORE ALLAN KIEM         | CHIEF COMPLIANCE OFFICER                       | 10/2023         | 05/2011              |  |       559465 |
| LEAR E JANIV                | DIRECTOR                                       | 10/2023         | 07/2007              |  |       395323 |
| JONATHAN PETER CHARLES BURY | CHIEF OPERATING OFFICER                        | 08/2024         | 08/1996              |  |       566132 |
| MICHAEL TROKOUDES           | HEAD OF A BUSINESS UNIT, DIVISION, OR FUNCTION | 08/2024         | 05/2007              |  |       574237 |

### Schedule B: Explanations

**Description:**
SWAP DEALER/BROKER OR DEALER ENGAGING IN FOREIGN EXCHANGE AND NON-SECURITIES INTEREST RATE OR CREDIT PRODUCTS.

**Records Keeper:**

- **Name:** DELL INC.

  - **Address:** ONE DELL WAY RR1-61, ROUND ROCK, TX, 78682

  - **Effective Date:** 10-01-2008

  - **Arrangement:** DELL PROVIDES SOLUTIONS FOR ARCHIVING INFORMATION AND E-MAILS.

- **Name:** NICE LTD.

  - **Address:** 8 HAPNINA ST, RA'ANANA, L3, 43107

  - **Effective Date:** 02-28-2010

  - **Arrangement:** NICE PROVIDES TRADE AND VOICE RECORDING SERVICES TO THE APPLICANT.

- **Name:** THE DEPOSITORY TRUST & CLEARING CORPORATION

  - **Address:** 55 WATER STREET, NEW YORK, NY, 10041

  - **Effective Date:** 09-03-2003

  - **Arrangement:** DTCC PROVIDES AFFIRMATION/CONFIRMATION SERVICES TO THE APPLICANT FOR CREDIT DERIVATIVES WHICH INCLUDES MAINTAINING THE APPLICANT'S CONFIRMATION RELATED RECORDS VERSUS OUR COUNTERPARTIES.

- **Name:** IRON MOUNTAIN INFORMATION MANAGEMENT LLC

  - **Address:** 1 FEDERAL STREET, BOSTON, MA, 02110

  - **Effective Date:** 12-01-2000

  - **Arrangement:** IRON MOUNTAIN PROVIDES RECORDS MANAGEMENT/ ARCHIVING SERVICES FOR THE APPLICANT. THIS INCLUDES THE ARCHIVING/STORAGE OF ANY HARDCOPY DOCUMENTS FOR RETENTION PURPOSES.

- **Name:** PRICEWATERHOUSECOOPERS LLP (PWC)

  - **Address:** 300 MADISON AVENUE, NEW YORK, NY, 10017

  - **Effective Date:** 01-01-1922

  - **Arrangement:** PWC AUDITS THE APPLICANT'S FINANCIAL INFORMATION PRESENTED ON THE ANNUAL FINANCIAL STATEMENTS SUBMITTED TO REGULATORS TO SUPPORT PWC'S ANNUAL AUDIT OPINION. PWC MAKES SURE THAT THIS AUDITED FINANCIAL INFORMATION AGREES BACK TO THE BOOKS AND RECORDS OF THE APPLICANT.

- **Name:** CISIVE, FORMERLY CARCO GROUP, INC.

  - **Address:** 5000 CORPORATE COURT, SUITE 203, HOLTSVILLE, NY, 11742

  - **Effective Date:** 08-12-2013

  - **Arrangement:** CISIVE CONDUCTS BACKGROUNDS CHECKS OF POTENTIAL AND CURRENT EMPLOYEES, AND MAINTAINS THE RECORDS OF ALL SUCH INVESTIGATIONS IT CONDUCTS.

- **Name:** IHS MARKIT LTD.

  - **Address:** 15 INVERNESS WAY E, ENGLEWOOD, CO, 80112

  - **Effective Date:** 03-17-2021

  - **Arrangement:** FOR SECURITY-BASED SWAP TRANSACTIONS THAT ARE VERIFIED ON MARKITWIRE, IHS MARKIT RETAINS COPIES OF VERIFICATIONS ON BEHALF OF THE APPLICANT.

**Onbehalf:**

- **Name:** ICE CLEAR EUROPE

  - **Address:** 60 CHISWELL STREET, 5TH FLOOR, MILTON GATE, LONDON, X0, EC1Y 4SA

  - **Effective Date:** 03-15-2019

  - **Arrangement:** THE APPLICANT HAS A CLEARING AGREEMENT WITH THE ABOVE-REFERENCED ORGANIZATION FOR SECURITY-BASED SWAPS.

- **Name:** LCH SA, PARIS (BANQUE CENTRALE DE COMPENSATION)

  - **Address:** 18 RUE DU QUATRE SEPTEMBRE, PARIS, I0, 75002

  - **Effective Date:** 11-11-2018

  - **Arrangement:** THE APPLICANT HAS A CLEARING ARRANGEMENT WITH THE ABOVE-REFERENCED ORGANIZATION FOR SECURITY-BASED SWAPS.

### Execution

**Date:** 01-29-2026

**Name of Applicant:** Goldman Sachs Bank Europe SE

**Signature:** /s/ Theodore Kiem

**Printed Name:** Theodore Kiem

**Title:** Chief Compliance Officer