# EDGAR Filing Document

**Accession Number:** 0000908777
**File Stem:** 0000908777-23-000016
**Filing Date:** 2023-2
**Character Count:** 293874
**Document Hash:** df9476d4dc429b89b9ad90454b1311cc
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0000908777-23-000016.hdr.sgml**: 20230308

**ACCESSION NUMBER**: 0000908777-23-000016

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

**PUBLIC DOCUMENT COUNT**: 5

**FILED AS OF DATE**: 20230224

**DATE AS OF CHANGE**: 20230308

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** GOLDMAN SACHS INTERNATIONAL
- **CENTRAL INDEX KEY:** 0000908777
- **IRS NUMBER:** 521920124
- **STATE OF INCORPORATION:** X0
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SBSE-A/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 026-00133
- **FILM NUMBER:** 23714912

**BUSINESS ADDRESS:**
- **STREET 1:** PLUMTREE COURT
- **STREET 2:** 25 SHOE LANE
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** EC4A 4AU
- **BUSINESS PHONE:** 44 20 7774 1000

**MAIL ADDRESS:**
- **STREET 1:** PLUMTREE COURT
- **STREET 2:** 25 SHOE LANE
- **CITY:** LONDON
- **STATE:** X0
- **ZIP:** EC4A 4AU

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** GOLDMAN SACHS INTERNATIONAL LTD
- **DATE OF NAME CHANGE:** 19940315

### Attached PDF Documents

**Attachment 1:** `foreignregulatoryauthorities.pdf`

## Section II Registration with Foreign Financial Regulatory Authorities

*Complete this Section for Registration with Foreign Financial Regulatory Authorities relating to ITEM

17.* Each security based swap dealer and major security-based swap participant that is registered with a foreign financial regulatory authority must list on Section II of this Schedule F, for each foreign financial regulatory authority with which it is registered, the following information:

| Name of Foreign Financial Regulatory Authority | Name of Country |
| --- | --- |
| Agence France Tresor | France |
| Alberta Securities Commission | Canada |
| Autorite Marche Financiers - Quebec | Canada |
| BATS Chi-X Europe | United Kingdom |
| Borsa Italiana | Italy |
| British Columbia Securities Commission | Canada |
| Bundesbank | Germany |
| Comision National del Mercado de Valores | Spain |
| Commissione Nazionale per le Societa e la Borsa | Italy |
| Deutsche Borse AG | Germany |
| Dubai Financial Services Authority | United Arab Emirates |
| EUREX | Germany |
| European Energy Exchange | Germany |
| Euwax (Boerse Stuttgart AG) | Germany |
| Federal Financial Supervisory Authority (BaFin) | Germany |
| Financial and Consumer Affairs Authority of Saskatchewan | Canada |
| Financial Supervisory Authority (Finansinspektionen) | Sweden |
| Iberian Energy Exchange (OMIP) | Portugal |
| ICE Futures Europe | United Kingdom |
| Italian Derivatives Exchange Market | Italy |
| LCH. Clearnet Group | United Kingdom |
| LMAX | United Kingdom |
| London Equity Derivatives Exchange | United Kingdom |
| London Metal Exchange | United Kingdom |
| London Stock Exchange | United Kingdom |
| Manitoba Securities Commission | Canada |
| MEFF | Spain |
| NASDAQ Dubai | United Arab Emirates |
| NASDAQ OMX Copenhagen | Denmark |

1

| NASDAQ OMX Helsinki | Finland |
| --- | --- |
| NASDAQ OMX Stockholm | Sweden |
| National Bank of Belgium | Belgium |
| Netherlands Authority for the Financial Markets (Autoriteit Financiële Markten) | Netherlands |
| New Brunswick Securities Commission | Canada |
| Nova Scotia Securities Commission | Canada |
| NYSE Euronext Amsterdam | Netherlands |
| NYSE Euronext Brussels | Belgium |
| NYSE Euronext Lisbon | Portugal |
| NYSE Euronext Paris | France |
| Ontario Securities Commission | Canada |
| Oslo Bors | Norway |
| OTE | Czech Republic |
| Polish Financial Supervisory Authority (KNF) | Poland |
| Prince Edward Island Office of the Superintendent of Securities | Canada |
| Qatar Financial Centre Regulatory Authority | Qatar |
| Service NL (Newfoundland and Labrador) | Canada |
| Sigma X | United Kingdom |
| SIX Swiss Exchange | Switzerland |
| Smartpool | United Kingdom |
| South African Financial Services Board | South Africa |
| Swiss Financial Market Supervisory Authority | Switzerland |
| The Irish Panel on Takeover and Mergers (ITP) | Ireland |
| Turquoise | United Kingdom |
| Warsaw Stock Exchange | Poland |
| Wiener Borse | Austria |

2

**Attachment 2:** `nfa7r.pdf`

# National Futures Association

Firm Application (7R) Filed December 14, 2012

OMB Number 3038-0072

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted By AUSTINF FEMI AUSTIN

Page 1

# Instructions

READ THESE INSTRUCTIONS CAREFULLY BEFORE COMPLETING OR REVIEWING THE APPLICATION. THE FAILURE TO ANSWER ALL QUESTIONS COMPLETELY AND ACCURATELY OR THE OMISSION OF REQUIRED INFORMATION MAY RESULT IN THE DENIAL OR REVOCATION OF REGISTRATION.

# DEFINED TERMS

Words that are underlined in this form are defined terms and have the meanings contained in the Definition of Terms section.

# GENERAL

Read the Instructions and Questions Carefully

A question that is answered incorrectly because it was misread or misinterpreted can result in severe consequences, including denial or revocation of registration. Although this applies to all questions in the application, it is particularly important to the questions in the Disciplinary Information Section.

Rely Only on Advice from NFA Staff

A question that is answered incorrectly because of advice received from a lawyer, employer, a judge or anyone else (other than a member of NFA's Registration, Compliance, Legal or Information Center ("RCLI") departments) can result in severe consequences, including denial or revocation of registration. This also applies to all questions in the form, but is particularly important regarding the Disciplinary Information Section. If the language of a question in the Disciplinary Information Section requires disclosure of a matter, a "Yes" answer to the question is required no matter what other advice has been received from anyone other than NFA's RCLI staff. Additionally, the applicant or registrant remains responsible for failures to disclose even if someone completes the form on the applicant's or registrant's behalf.

Update the Information on the Application

If information provided on the application changes or a matter that would have required disclosure on the application occurs after the application is filed, the new information must be promptly filed. APs and Principals should advise their Sponsors of the new information, and the Sponsor must file the update on their behalf. The failure to promptly update information can result in severe consequences, including denial or revocation of registration.

Compliance with Disclosure Requirements of Another Regulatory Body is not Sufficient

# National Futures Association

Firm Application (7R) Filed December 14, 2012

OMB Number 3038-0072

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted By AUSTINF FEMI AUSTIN

Page 2

With some exceptions, which are described below in the Regulatory and Financial Questions sections, if any question requires the provision of information, that information must be provided. In particular, if a question in the Disciplinary Information Section requires disclosure of a matter, the question must be answered "Yes" and additional documents must be provided even if the matter has been disclosed to another regulatory body such as FINRA, an exchange or a state regulator. Similarly, disclosure is required even if another regulatory body does NOT require disclosure of the same matter.

Call NFA with Questions

If there is any question about whether particular information must be provided, whether a particular matter must be disclosed or whether a particular question requires a "Yes" answer, call the NFA Information Center at (312) 781-1410. Representatives are available from 8:00 a.m. to 5:00 p.m., Central Time, Monday through Friday. If the advice of NFA staff is sought, a written record containing the date of the conversation, the name of the NFA staff person giving the advice and a description of the advice should be made during the conversation and kept in the event an issue concerning disclosure of the matter arises later.

# DISCIPLINARY INFORMATION SECTION

Criminal Disclosures

Some common mistakes in answering the criminal disclosure questions involve expungements, diversion programs and similar processes. The Commodity Futures Trading Commission requires a "Yes" answer even if the matter has been expunged or the records sealed, there was no adjudication or finding of guilt, the guilty plea was vacated or set aside or the matter was dismissed upon completion of the diversion program.

Another common error regarding criminal matters concerns matters that do not involve the futures industry. All criminal matters must be disclosed, even if a matter is unrelated to the futures industry, unless the case was decided in a juvenile court or under a Youth Offender law.

Regulatory Disclosures

Regulatory actions taken by the Commodity Futures Trading Commission, NFA or domestic futures exchanges do not need to be disclosed since NFA is already aware of them once they are entered into NFA's BASIC system.

Financial Disclosures

It is not necessary to disclose arbitration or CFTC reparations matters unless the applicant or registrant has failed to pay an award issued in a futures-related arbitration or an order entered in a

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 3

OMB Number 3038-0072

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted By AUSTINF FEMI AUSTIN

reparations matter.

Only adversary actions that a bankruptcy trustee or a trustee's attorney files must be disclosed. Adversary actions that creditors file are not disclosable. A person named as a party to an adversary action in a bankruptcy proceeding must disclose the action, even if the person is not the bankrupt person.

## ADDITIONAL DOCUMENTS

For any matter that caused a "Yes" answer, a written explanation detailing the events and conduct must be provided. That explanation can be entered on the Matter pages by giving it a name, e.g., the docket number of the case, and describing it in the text box. Alternatively, the explanation can be sent in hard copy format to NFA.

In addition to the required explanation, other documents about the matter must be sent to NFA. If court documents are unavailable, a letter from the court verifying that must be sent to NFA. If documents other than court documents are unavailable, the person must provide a written explanation for their unavailability.

Like answering the questions correctly, providing all documents to NFA is important. Failure to do so will delay the registration process and may result in a denial of the application.

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 4

**OMB Number** 3038-0072

**NFA ID** 0250788 GOLDMAN SACHS INTERNATIONAL

**Submitted By** AUSTINF FEMI AUSTIN

## Definition of Terms

(The following terms are defined solely for the purpose of using NFA's Online Registration System.)

**10% OR MORE INTEREST:** direct or indirect ownership of 10% or more of an applicant's or registrant's stock; entitlement to vote or empowered to sell 10% or more of an applicant's or registrant's voting securities; contribution of 10% or more of an applicant's or registrant's capital; or entitlement to 10% or more of an applicant's or registrant's net profits.

**ADJUDICATION:** in a criminal case, a determination by the court that the defendant is guilty or not guilty.

**ADVERSARY ACTION:** a lawsuit arising in or related to a bankruptcy case commenced by a creditor or bankruptcy trustee by filing a complaint with the bankruptcy court.

**ALIAS:** another name utilized by an individual or previously used by an entity.

**CHARGE:** a formal complaint, information, indictment or equivalent instrument containing an accusation of a crime.

**DBA:** abbreviation for Doing Business As. The firm is doing its futures, retail off-exchange forex or swaps business by this name.

### DESIGNATED SUPERVISOR:

Solely for the purpose of determining whether the Branch Manager Examination (Series 30) is required, Designated Supervisor means a person who is registered with FINRA (formerly known as NASD) as a General Securities Representative and has been designated to act as the supervisor of an office that is not an Office of Supervisory Jurisdiction ("non-OSJ"), provided that:

- either the futures activity conducted in the non-OSJ that is subject to the Designated Supervisor's supervision is limited to activity not requiring the Series 3 Examination and both the Designated Supervisor and the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports have otherwise satisfied NFA's Proficiency Requirements appropriate to their supervisory activities; or
- the activity that is conducted in the non-OSJ that requires the Series 3 Examination is supervised by the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports and both the Designated Supervisor and Branch Office Manager have passed the Series 3 Examination.

**ENJOINED:** subject to an injunction.

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 5

**OMB Number** 3038-0072

**NFA ID** 0250788 GOLDMAN SACHS INTERNATIONAL

**Submitted By** AUSTINF FEMI AUSTIN

**ENTITY:** any person other than an individual.

**FELONY:** any crime classified as a felony and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of more than one year. The term also includes a general court martial.

**FINANCIAL SERVICES INDUSTRY:** the commodities, securities, accounting, banking, finance, insurance, law or real estate industries.

**FOUND:** subject to a determination that conduct or a rule violation has occurred. The term applies to dispositions of any type, including but not limited to consent decrees or settlements in which the findings are neither admitted nor denied or in which the findings are for settlement or record purposes only.

## INTERNAL REVENUE CODE:

Section 7203: Willful Failure to File Return, Supply Information or Pay Tax

Section 7204: Fraudulent Statement or Failure to Make Statement

Section 7205: Fraudulent Withholding Exemption Certificate or Failure to Supply Information

Section 7207: Fraudulent Returns, Statements or Other Documents

## INVESTMENT RELATED STATUTES:

- • The Commodity Exchange Act
- • The Securities Act of 1933
- • The Securities Exchange Act of 1934
- • The Public Utility Holding Company Act of 1935
- • The Trust Indenture Act of 1939
- • The Investment Advisers Act of 1940
- • The Investment Company Act of 1940
- • The Securities Investors Protection Act of 1970
- • The Foreign Corrupt Practices Act of 1977
- • Chapter 96 of Title 18 of the United States Code
- • Any similar statute of a State or foreign jurisdiction
- • Any rule, regulation or order under any such statutes; and
- • The rules of the Municipal Securities Rulemaking Board

**MISDEMEANOR:** any crime classified as a misdemeanor and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of at least six days but not more than one year. By way of example, an offense for which the maximum period of imprisonment is 60 days would be considered a misdemeanor. The term also includes a special court martial.

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 6

**OMB Number** 3038-0072

**NFA ID** 0250788 GOLDMAN SACHS INTERNATIONAL

**Submitted By** AUSTINF FEMI AUSTIN

**OTHER NAME:** For firms or sole proprietors, any other name that the applicant uses or has used in the past for its futures, retail off-exchange forex or swaps business but not the name of any other legal entity that the applicant has an affiliation or association with (see DBA). For individuals, this is any name the person is or has been known by. For example, a maiden name, an alias name that you use or are known by, or a previous name if you have changed your legal name.

**PERSON:** an individual, association, partnership, corporation, limited liability company, limited liability partnership, trust, or other form of business organization.

**PRINCIPAL:** an individual who is:

- a sole proprietor of a sole proprietorship; or
- a general partner of a partnership; or
- a director, president, chief executive officer, chief operating officer or chief financial officer of a corporation, limited liability company or limited partnership; or
- in charge of a business unit, division or function of a corporation, limited liability company or limited partnership if the unit, division or function is subject to regulation by the Commission; or
- a manager, managing member or a member vested with the management authority for a limited liability company or limited liability partnership; or

an individual who directly or indirectly, through agreement, holding companies, nominees, trusts or otherwise:

- is the owner of 10% or more of the outstanding shares of any class of a registrant's stock; or
- is entitled to vote 10% or more of any class of a registrant's voting securities; or
- has the power to sell or direct the sale of 10% or more of any class of a registrant's voting securities; or
- has contributed 10% or more of a registrant's capital; or
- is entitled to receive 10% or more of a registrant's net profits; or
- has the power to exercise a controlling influence over a registrant's activities that are subject to regulation by the Commission; or

an entity that:

- is a general partner of a registrant; or
- is the direct owner of 10% or more of any class of a registrant's securities; or
- has directly contributed 10% or more of a registrant's capital unless such capital contribution consists of subordinated debt contributed by:
  - an unaffiliated bank insured by the Federal Deposit Insurance Corporation; or

# National Futures Association

Firm Application (7R) Filed December 14, 2012

Page 7

OMB Number 3038-0072

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted By AUSTINF FEMI AUSTIN

- a United States branch or agency of an unaffiliated foreign bank that is licensed under the laws of the United States and regulated, supervised and examined by United States government authorities having regulatory responsibility for such financial institutions; or

- an insurance company subject to regulation by any State.

SELF-REGULATORY ORGANIZATION (SRO): a private, non-governmental organization authorized to set and enforce standards or conduct for an industry. NFA, FINRA (formerly known as NASD), and the securities and futures exchanges in the U.S. are examples of domestic SROs.

UNITED STATES CRIMINAL CODE:

| Section 152: | Concealment of assets, making false claims or bribery in connection with a bankruptcy |
| --- | --- |
| Section 1341, 1342 or 1343: | Mail fraud |
| Chapter 25: | Counterfeiting and forgery |
| Chapter 47: | Fraud or false statements in a matter within the jurisdiction of a United States department or agency |
| Chapter 95 or 96: | Racketeering and Racketeering Influence |

# National Futures Association

Firm Application (7R) Filed December 14, 2012

OMB Number 3038-0072

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted By AUSTINF FEMI AUSTIN

Page 8

# Privacy Act and Paperwork Reduction Act Notice

The information in Forms 7-R, 7-W, 8-R and 8-T and on the fingerprint card is being collected pursuant to authority granted in Sections 2c, 4f, 4k, 4n, 4s, 8a and 19 of the Commodity Exchange Act [7 U.S.C. §§ 6f, 6k, 6n, 6s, 12a and 23]. Under Section 2c, it is unlawful for anyone to engage in off-exchange foreign currency futures transactions or off-exchange foreign currency leveraged, margined or financed transactions with persons who are not eligible contract participants without registration, or exemption from registration, as a retail foreign exchange dealer, futures commission merchant, introducing broker, commodity pool operator or commodity trading advisor, as appropriate. Under Section 4d of the Commodity Exchange Act [7 U.S.C. §6d], it is unlawful for anyone to act as a futures commission merchant or introducing broker without being registered in that capacity under the Act. Under Section 4m of the Commodity Exchange Act [7 U.S.C. §6m], it is unlawful for a commodity trading advisor or commodity pool operator to make use of the mails or any means or instrumentality of interstate commerce in connection with his business as a commodity trading advisor or commodity pool operator without being registered in the appropriate capacity under the Act, except that a commodity trading advisor who, during the course of the preceding 12 months, has not furnished commodity trading advice to more than 15 persons and does not hold himself out generally to the public as a commodity trading advisor, need not register. Under Section 4s of the Commodity Exchange Act [7 U.S.C. §6s], it is unlawful for anyone to act as a swap dealer or major swap participant without being registered in that capacity under the Act. Under Section 19 of the Commodity Exchange Act [7 U.S.C. §23] and Section 31.5 of the CFTC's regulations, it is unlawful for anyone to act as a leverage transaction merchant without being registered in that capacity under the Act.

The information requested in Form 7-R is designed to assist NFA and the CFTC, as appropriate, in determining whether the application for registration should be granted or denied and to maintain the accuracy of registration files. The information in Form 7-W is designed to assist NFA and the CFTC in determining whether it would be contrary to the requirements of the Commodity Exchange Act, or any rule, regulation or order thereunder, or the public interest to permit withdrawal from registration.

The information requested in Form 8-R and on the fingerprint card will be used by the CFTC or NFA, as appropriate, as a basis for initiating an inquiry into the individual's fitness to be an associated person, floor broker or floor trader or to be a principal of a futures commission merchant, swap dealer, major swap participant, retail foreign exchange dealer, introducing broker, commodity trading advisor, commodity pool operator, leverage transaction merchant or non-natural person floor trader. Portions of the information requested in Form 8-R will be used by the CFTC and, in appropriate cases, by NFA, to confirm the registration of certain associated persons. The information requested in Form 8-T will be used by the CFTC, and, in appropriate cases, by NFA, to record the registration status of the individual and, in appropriate cases, as a basis for further inquiry into the individual's fitness to remain in business subject to the CFTC's jurisdiction.

# National Futures Association

Firm Application (7R) Filed December 14, 2012

OMB Number 3038-0072

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted By AUSTINF FEMI AUSTIN

Page 9

With the exception of the social security number, all information in Forms 8-R and 8-T must be furnished. Disclosure of the social security number is voluntary. Disclosure of the Federal employer identification number is voluntary. The social security number and the Federal employer identification number are sought pursuant to the Debt Collection Improvement Act of 1996. Under the Debt Collection Improvement Act, a social security number or a taxpayer identifying number furnished to the CFTC as part of the registration process can be used for purposes of collecting and reporting on any debt owed to the U.S. Government, including civil monetary penalties. The furnishing of a social security number or Federal employer identification number, however, assists the CFTC and NFA in identifying individuals and firms and therefore expedites the processing of those forms.

The failure by an applicant, registrant or principal to timely file a properly completed Form 7-R and all other related required filings may result in the denial of an application for registration or withdrawal thereof or, in the case of an annual records maintenance fee, treating the registrant as having petitioned for withdrawal. Failure by an applicant, registrant or principal to timely file or cause to be filed a properly completed Form 8-R or 8-T, any other required related filings, or a fingerprint card may result in the lapse, denial, suspension or revocation of registration, withdrawal of the application or other enforcement or disciplinary action by the CFTC or NFA

With the exception of the fingerprint card, any information contained in the Personal Information Section and any information contained in Matter Information pages related to the Disciplinary Information Sections on Form 8-R and on Form 8-T or Item 7 on Form 8-W, the Forms 7-R, 7-W, 8-R and 8-T are considered by the CFTC to be public records and will be available for inspection by any person. Copies will be maintained by National Futures Association, Registration Department, Suite 1800, 300 S. Riverside Plaza, Chicago, IL 60606-6615. Further, the CFTC or NFA may disclose the fingerprint card and any other information described above to third parties pursuant to routine uses which the CFTC has published in the Federal Register or as otherwise authorized under the Privacy Act, [5 U.S.C. §552a], and the Commodity Exchange Act. Disclosure of such information may be made by the CFTC as follows: (1) in connection with administrative proceedings or matters in litigation; (2) in connection with investigations; (3) where the information is furnished to regulatory, self-regulatory and law enforcement or other governmental agencies to assist them in meeting responsibilities assigned to them by law or made available to any member of Congress who is acting in his or her capacity as a member of Congress; (4) where disclosure is required under the Freedom of Information Act [5 U.S.C. §552]; (5) in connection with an employer's hiring or retention of an employee; (6) in connection with the verification of information submitted for sponsorship purposes; (7) in other circumstances in which the withholding of such information appears unwarranted; and (8) in connection with legally required or authorized reports. Disclosure may be made by NFA in accordance with rules approved by the CFTC.

If an individual believes that the placing in the CFTC's or NFA's public files of any of the information contained in the Personal Information Section or in Matter Information pages related

# National Futures Association

Firm Application (7R) Filed December 14, 2012

OMB Number 3038-0072

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted By AUSTINF FEMI AUSTIN

Page 10

to Disciplinary Information on Form 8-R and on Form 8-T or Item 7 on Form 8-W, or on the fingerprint card would constitute an unwarranted invasion of his personal privacy, the individual may petition the CFTC, pursuant to 17 CFR 145.9, to treat such information as confidential in response to requests under the Freedom of Information Act (FOIA) [5 U.S.C. §552]. The CFTC will make no determination as to confidential treatment of information submitted unless and until the information is the subject of an FOIA request. The filing of a petition for confidential treatment, however, does not guarantee that the information will be treated confidentially in response to an FOIA request.

Forms which have not been prepared and executed in compliance with applicable requirements may not be acceptable for filing. Acceptance of this form shall not constitute any finding that the information is true, current or complete. Misstatements or omissions of fact may constitute federal criminal violations [7 U.S.C. §13 and 18 U.S.C. §1001] or grounds for disqualification from registration.

This notice is provided in accordance with the requirements of the Privacy Act [5 U.S.C. §552a(e)(3)] and summarizes some of an individual's rights under the Privacy Act [5 U.S.C. §552a] and the Freedom of Information Act [5 U.S.C. §552]. Individuals desiring further information should consult the CFTC's regulations under the Privacy Act, 17 CFR Part 146, and under the Freedom of Information Act, 17 CFR Part 145, and the CFTC's annual notice, published in the Federal Register, pursuant to the Privacy Act, of the existence and character of each system of records maintained by the CFTC.

You are not required to provide the information requested on a form subject to the Paperwork Reduction Act unless the form displays a valid OMB Control Number.

The time needed to complete and file Form 7-R, Form 3-R, Form 7-W, Form 8-R and Form 8-T and Form 8-W may vary depending upon individual circumstances. The estimated average times are:

Form 7-R

FCM 0.5 hours

SD 1.0 hours

MSP 1.0 hours

RFED 0.5 hours

IB 0.4 hours

CPO 0.4 hours

CTA 0.4 hours

FT 0.5 hours

Form 3-R 0.1 hours

Form 7-W 0.1 hours

Form 8-R 0.8 hours

Form 8-T 0.2 hours

Online Registration System - Registration Information Change

Page 1 of 2

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

NON-U.S. REGULATOR INFORMATION UPDATED

NON-U.S. REGULATOR
(S) DURING THE
PAST FIVE YEARS:

FINANCIAL CONDUCT AUTHORITY (UNITED KINGDOM)
PRUDENTIAL REGULATION AUTHORITY (UNITED KINGDOM)
BANK OF ENGLAND AUSTRALIAN SECURITIES & INVESTMENTS
COMMISSION NATIONAL BANK OF BELGIUM MONTREAL FUTURES
EXCHANGE ONTARIO SECURITIES COMMISSION NASDAQ OMX
COPENHAGEN NASDAQ OMX HELSINKI NOREX (HELSINKI) NYSE
EURONEXT PARIS DEUTSCHE BORSE AG NYSE EURONEXT
BRUSSELS EUREX EURONEXT EUROPEAN ENERGY EXCHANGE
BUNDESANSTALT FÜR FINANZDIENSTLEISTUNGSAUFSICHT
(BAFIN)= FEDERAL FINANCIAL SUPERVISORY AUTHORITY
FEDERAL FINANCIAL SUPERVISORY AUTHORITY (BAFIN) THE
IRISH PANEL ON TAKEOVER AND MERGERS (ITP) BORSA
ITALIANA ITALIAN DERIVATIVES EXCHANGE MARKET
COMMISSIONE NAZIONALE PER LE SOCIETÀ E LA BORSA NYSE
EURONEXT AMSTERDAM NETHERLANDS AUTHORITY FOR THE
FINANCIAL MARKETS (AUTORITEIT FINANCIËLE MARKTEN)
NASDAQ OMX OSLO ASA WARSAW STOCK EXCHANGE POLISH
FINANCIAL SUPERVISORY AUTHORITY (KNF) IBERIAN ENERGY
EXCHANGE (OMIP) NYSE EURONEXT LISBON QATAR FINANCIAL
CENTRE REGULATORY AUTHORITY SOUTH AFRICAN FINANCIAL
SERVICES BOARD MEFF COMISION NATIONAL DEL MERCADO DE
VALORES NASDAQ OMX STOCKHOLM NOREX (STOCKHOLM)
FINANCIAL SUPERVISORY AUTHORITY (FINANSINSPEKTIONEN)
FINANSINSPEKTIONEN SIX SWISS EXCHANGE SWISS FINANCIAL
MARKET SUPERVISORY AUTHORITY SWISS NATIONAL BANK
NASDAQ DUBAI DUBAI FINANCIAL SERVICES AUTHORITY THE
LONDON CLEARING HOUSE BATS CHI-X EUROPE ICE FUTURES
ICE FUTURES EUROPE LCH.CLEARNET GROUP LMAX LONDON
METAL EXCHANGE LONDON STOCK EXCHANGE NYSE EURONEXT
LIFFE NODAL SIGMA X SMARTPOOL TURQUOISE WIENER BORSE
THE PANEL ON TAKEOVER AND MERGERS (LTP) BRITISH
COLUMBIA SECURITIES COMMISSION SASKATCHEWAN
FINANCIAL SERVICES COMMISSION MANITOBA SECURITIES
COMMISSION ALBERTA SECURITIES COMMISSION AUTORITÉ
DES MARCHÉS FINANCIERS (QUÉBEC) NOVA SCOTIA
SECURITIES COMMISSION NEW BRUNSWICK SECURITIES
COMMISSION PRINCE EDWARD ISLAND OFFICE OF
SUPERINTENDENT OF SECURITIES SERVICES NL,
NEWFOUNDLAND AND LABRADOR

FILED BY:

WILLIAMSK8

FILED ON:

4/26/2013 10:49:27 AM

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1074&formSeq... 10/27/2021

Online Registration System - Registration Information Change

Page 2 of 2

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

ENFORCEMENT/COMPLIANCE COMMUNICATION CONTACT INFORMATION DELETED

| FIRST NAME: | JOANNA |
| --- | --- |
| LAST NAME: | LANE |
| TITLE: | VICE PRESIDENT |
| STREET ADDRESS 1: | 200 WEST STREET |
| STREET ADDRESS 2: |  |
| STREET ADDRESS 3: |  |
| CITY: | NEW YORK |
| STATE: | NEW YORK |
| PROVINCE: |  |
| COUNTRY: | UNITED STATES |
| ZIP CODE: | 10282 |
| PHONE NUMBER: | (212)902-5748 |
| FAX NUMBER: |  |
| E-MAIL ADDRESS: | JOANNA.LANE@GS.COM |
| FILED BY: | TREANORK2 |
| FILED ON: | 1/24/2014 11:46:46 AM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# National Futures Association

| Business Locations (3R) |  | Page 1 |  |
| --- | --- | --- | --- |
| Filed | January 24, 2014 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Business Information

| Business Address | PETERBOROUGH COURT 133 FLEET STREET LONDON EC4A 2BB UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations (3R) |  | Page 2 |  |
| --- | --- | --- | --- |
| Filed | January 24, 2014 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Location of Business Records

Business Records Address

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

U.S. Address for Production of Business Records

GOLDMAN, SACHS & CO.

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations (3R) |  |  | Page 3 |
| --- | --- | --- | --- |
| Filed | January 24, 2014 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Contact Information

Registration Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 902-4525

E-mail: KEVIN.TREANOR@GS.COM

Membership Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 902-4525

E-mail: KEVIN.TREANOR@GS.COM

Accounting Contact

ROB WATTS

VICE PRESIDENT

CHRISTCHURCH COURT

10-15 NEWGATE STREET

LONDON EC1A 7HD

UNITED KINGDOM

Phone: 44 (20)7552-5969

E-mail: ROB.WATTS@GS.COM

# National Futures Association

| Business Locations (3R) |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | January 24, 2014 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

ANIL KARPAL

MANAGING DIRECTOR

RIVER COURT

120 FLEET STREET

LONDON EC4A 2BE

UNITED KINGDOM

Phone: 44(20)7552-5980

E-mail: ANIL.KARPAL@GS.COM

### Exempt Foreign Firm Contact

LEGAL DEPARTMENT

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44-207-774-1000

# National Futures Association

| Business Locations (3R) |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | January 24, 2014 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

Chief Compliance Officer

ANIL KARPAL

MANAGING DIRECTOR

RIVER COURT

120 FLEET STREET

LONDON EC4A 2BE

UNITED KINGDOM

Phone: 44(20)7552-5980

E-mail: ANIL.KARPAL@GS.COM

Enforcement/Compliance Communication Contact

CHARLES EVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7552-2253

E-mail: GS-GSI-CFTC-COMPLAINTS@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212)357-5299

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations (3R) |  | Page 6 |  |
| --- | --- | --- | --- |
| Filed | January 24, 2014 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-9842

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212)902-7724

E-mail: JOANNE.COOK@GS.COM

# National Futures Association

| Business Locations (3R) |  | Page 7 |  |
| --- | --- | --- | --- |
| Filed | January 24, 2014 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the Form 3-R.

# National Futures Association

Holding Company (3R)

Page 1

Filed October 01, 2014

Filed By KEVIN TREANOR

OMB No. 3038-0023

User ID TREANORK2

Sponsor Name GOLDMAN SACHS INTERNATIONAL

Sponsor ID 0250788

Holding Company GOLDMAN SACHS GROUP UK LIMITED

Ownership 10% or more interest? YES

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the Form 3-R.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

HOLDING COMPANY DELETED FOR ID 0294072

NFA ID: 0294072 GOLDMAN SACHS HOLDINGS UK

10% OR MORE INTEREST: YES

FILED BY: TREANORK2

FILED ON: 10/1/2014 4:00:52 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: SWISS FEDERAL DEPARTMENT OF FINANCE, FILE NO. 442.2-126

MATTER DETAIL: THE FEDERAL DEPARTMENT OF FINANCE ("FDF") OF THE SWISS CONFEDERATION ALLEGED THAT GOLDMAN SACHS INTERNATIONAL ("GSI") WAS LATE IN PUBLISHING A DROP BELOW A NOTIFIABLE THRESHOLD IN THE FIRM'S HOLDINGS IN A QUALIFIED INTEREST IN CERTAIN SECURITIES IN THE PERIOD BETWEEN SEPTEMBER 25, 2012, AND DECEMBER 20, 2012, IN ALLEGED INFRINGEMENT OF ARTICLE 41 OF THE SWISS FEDERAL ACT ON STOCK EXCHANGES AND SECURITIES TRADING ("SESTA"). WITHOUT ADMITTING ANY INTENTIONAL INFRINGEMENT OF SESTA ARTICLES OR WRONGDOING, GSI ENTERED INTO A SETTLEMENT AGREEMENT WITH FDF ON OCTOBER 27, 2014, AND CONSENTED TO A PAYMENT TO THE SWISS CONFEDERATION IN THE AMOUNT OF CHF20,000, WHICH AMOUNT WAS PAID ON NOVEMBER 4, 2014.

FILED BY: TREANORK2

FILED ON: 11/27/2014 7:42:51 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY DISCLOSURE QUESTION E CHANGED

**QUESTION:** In any case brought by a domestic or foreign governmental body (other than the CFTC), has the firm or sole proprietor ever been found after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person?

**ANSWER:** YES

**FILED BY:** TREANORK2

**FILED ON:** 11/27/2014 7:44:30 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED YES

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | YES |
| FILED BY: | TREANORK2 |
| FILED ON: | 11/27/2014 7:44:30 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# National Futures Association

| Business Locations (3R) |  | Page 1 |  |
| --- | --- | --- | --- |
| Filed | January 08, 2015 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KIMBERLY WILLIAMS | User ID | WILLIAMSK8 |

## Business Information

| Business Address | PETERBOROUGH COURT 133 FLEET STREET LONDON EC4A 2BB UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations (3R) |  | Page 2 |  |
| --- | --- | --- | --- |
| Filed | January 08, 2015 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KIMBERLY WILLIAMS | User ID | WILLIAMSK8 |

## Location of Business Records

Business Records Address

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

U.S. Address for Production of Business Records

GOLDMAN, SACHS & CO.

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations (3R) |  |  | Page 3 |
| --- | --- | --- | --- |
| Filed | January 08, 2015 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KIMBERLY WILLIAMS | User ID | WILLIAMSK8 |

## Contact Information

Registration Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 902-4525

E-mail: KEVIN.TREANOR@GS.COM

Membership Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 902-4525

E-mail: KEVIN.TREANOR@GS.COM

Accounting Contact

ROB WATTS

VICE PRESIDENT

CHRISTCHURCH COURT

10-15 NEWGATE STREET

LONDON EC1A 7HD

UNITED KINGDOM

Phone: 44 (20)7552-5969

E-mail: ROB.WATTS@GS.COM

# National Futures Association

| Business Locations (3R) |  |  | Page 4 |
| --- | --- | --- | --- |
| Filed | January 08, 2015 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KIMBERLY WILLIAMS | User ID | WILLIAMSK8 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

MICHAEL WEISS

VICE PRESIDENT

RIVER COURT

120 FLEET STREET

LONDON EC4A 2BE

UNITED KINGDOM

Phone: 44(20)7552-2186

E-mail: MICHAEL.WEISS@GS.COM

### Exempt Foreign Firm Contact

LEGAL DEPARTMENT

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44-207-774-1000

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: AKK - ÁLLAMADÓSSÁG KEZELŐ KÖZPONT ZÁRTKÖRŰEN MŰKÖDŐ RÉSZVÉNYTÁRSASÁG MONETARY FINE

MATTER DETAIL: AKK - ÁLLAMADÓSSÁG KEZELŐ KÖZPONT ZÁRTKÖRŰEN MŰKÖDŐ RÉSZVÉNYTÁRSASÁG ALLEGED THAT DURING THE MONTH OF JUNE 2015, GOLDMAN SACHS INTERNATIONAL (“GSI”) FAILED TO MEET PRIMARY DEALER QUOTING OBLIGATIONS IN ACCORDANCE WITH THE AGENCY CONTRACT BETWEEN GSI AND AKK AND THE RELEVANT MARKET MAKING RULES. THE AKK IMPOSED A FINE ON GSI IN THE AMOUNT OF HUF$500,000, WHICH WAS PAID BY SUBMISSION OF A WIRE ON AUGUST 13, 2015.

FILED BY: WILLIAMSK8

FILED ON: 8/19/2015 3:05:05 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT’S, REGISTRANT’S OR SPONSOR’S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: FEDERAL FINANCIAL SUPERVISORY AUTHORITY OF GERMANY (BAFIN) MATTER

MATTER DETAIL: THE FEDERAL FINANCIAL SUPERVISORY AUTHORITY OF GERMANY (BUNDESANSTALT FÜR FINANZDIENSTLEISTUNGSAUFSICHT - "BAFIN") ALLEGED CERTAIN BREACHES BY GOLDMAN SACHS INTERNATIONAL ("GSI") OF THE OWNERSHIP THRESHOLD NOTIFICATION REQUIREMENTS OF SECTIONS 21, 25 AND 25A OF THE GERMAN SECURITIES TRADING ACT (WERTPAPIERHANDELSGESETZ - "WPHG"). GSI IS REVIEWING, AND WILL PROVIDE A WRITTEN RESPONSE TO BAFIN.

FILED BY: TREANORK2

FILED ON: 9/9/2015 2:29:20 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY DISCLOSURE QUESTION I CHANGED

**QUESTION:** Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

**ANSWER:** YES

**FILED BY:** TREANORK2

**FILED ON:** 9/9/2015 2:31:01 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED YES

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | YES |
| FILED BY: | TREANORK2 |
| FILED ON: | 9/9/2015 2:31:01 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# National Futures Association

| Business Locations (3R) |  | Page 1 |  |
| --- | --- | --- | --- |
| Filed | December 21, 2015 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KIMBERLY WILLIAMS | User ID | WILLIAMSK8 |

## Business Information

| Business Address | PETERBOROUGH COURT 133 FLEET STREET LONDON EC4A 2BB UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations (3R) |  | Page 2 |  |
| --- | --- | --- | --- |
| Filed | December 21, 2015 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KIMBERLY WILLIAMS | User ID | WILLIAMSK8 |

## Location of Business Records

Business Records Address

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

U.S. Address for Production of Business Records

GOLDMAN, SACHS & CO.

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations (3R) |  |  | Page 3 |
| --- | --- | --- | --- |
| Filed | December 21, 2015 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KIMBERLY WILLIAMS | User ID | WILLIAMSK8 |

## Contact Information

Registration Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 902-4525

E-mail: KEVIN.TREANOR@GS.COM

Membership Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 902-4525

E-mail: KEVIN.TREANOR@GS.COM

Accounting Contact

KIMBERLY WILLIAMS

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 934-0239

E-mail: KIMBERLY.WILLIAMS@GS.COM

# National Futures Association

| Business Locations (3R) |  |  | Page 4 |
| --- | --- | --- | --- |
| Filed | December 21, 2015 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KIMBERLY WILLIAMS | User ID | WILLIAMSK8 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

ANIL KARPAL

MANAGING DIRECTOR

RIVER COURT

120 FLEET STREET

LONDON EC4A 2BE

UNITED KINGDOM

Phone: 44(20)7552-5980

E-mail: ANIL.KARPAL@GS.COM

### Exempt Foreign Firm Contact

LEGAL DEPARTMENT

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44-207-774-1000

# National Futures Association

| Business Locations (3R) |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | December 21, 2015 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KIMBERLY WILLIAMS | User ID | WILLIAMSK8 |

Chief Compliance Officer

ANIL KARPAL

MANAGING DIRECTOR

RIVER COURT

120 FLEET STREET

LONDON EC4A 2BE

UNITED KINGDOM

Phone: 44(20)7552-5980

E-mail: ANIL.KARPAL@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212)357-5299

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-9842

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations (3R) |  | Page 6 |  |
| --- | --- | --- | --- |
| Filed | December 21, 2015 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KIMBERLY WILLIAMS | User ID | WILLIAMSK8 |

Enforcement/Compliance Communication Contact

CHARLES EVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7552-2253

E-mail: GS-GSI-CFTC-COMPLAINTS@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212)902-7724

E-mail: JOANNE.COOK@GS.COM

# National Futures Association

| Business Locations (3R) |  |  | Page 7 |
| --- | --- | --- | --- |
| Filed | December 21, 2015 | OMB Number | 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KIMBERLY WILLIAMS | User ID | WILLIAMSK8 |

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the Form 3-R.

Online Registration System - Registration Information Change

Page 1 of 1

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: FEDERAL FINANCIAL SUPERVISORY AUTHORITY OF GERMANY SETTLEMENT

MATTER DETAIL: THE FEDERAL FINANCIAL SUPERVISORY AUTHORITY OF GERMANY (BUNDESANSTALT FÜR FINANZDIENSTLEISTUNGSAUFSICHT - "BAFIN") ALLEGED CERTAIN BREACHES BY GOLDMAN SACHS INTERNATIONAL ("GSI") OF THE OWNERSHIP THRESHOLD NOTIFICATION REQUIREMENTS OF SECTIONS 21, 25 AND 25A OF THE GERMAN SECURITIES TRADING ACT (WERTPAPIERHANDELSGESETZ - "WPHG"). BAFIN IMPOSED A MONETARY PENALTY ON GSI OF 1,107,503.50 EUROS IN THE AGGREGATE, REPRESENTING AN ADMINISTRATIVE FINE OF 1,100,000 EUROS AND PROCEDURAL EXPENSES OF 7,503.50 EUROS, WHICH AMOUNT WAS PAID ON DECEMBER 18, 2015.

FILED BY: TREANORK2

FILED ON: 12/22/2015 10:58:42 AM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY DISCLOSURE QUESTION I CHANGED

**QUESTION:** Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

**ANSWER:** NO

**FILED BY:** TREANORK2

**FILED ON:** 12/22/2015 10:59:44 AM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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Online Registration System - Registration Information Change

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED YES

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | YES |
| FILED BY: | TREANORK2 |
| FILED ON: | 12/22/2015 10:59:44 AM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

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# National Futures Association

| Business Locations (3R) |  | Page 1 |  |
| --- | --- | --- | --- |
| Filed | May 26, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Business Information

| Business Address | PETERBOROUGH COURT 133 FLEET STREET LONDON EC4A 2BB UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations (3R) |  | Page 2 |  |
| --- | --- | --- | --- |
| Filed | May 26, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Location of Business Records

Business Records Address

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

U.S. Address for Production of Business Records

GOLDMAN SACHS & CO. LLC

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations (3R) |  | Page 3 |  |
| --- | --- | --- | --- |
| Filed | May 26, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Contact Information

Registration Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 902-4525

E-mail: KEVIN.TREANOR@GS.COM

Membership Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 902-4525

E-mail: KEVIN.TREANOR@GS.COM

Accounting Contact

DAVID MONSIVAIS

ASSOCIATE

222 SOUTH MAIN STREET

SALT LAKE CITY, UT 84101

UNITED STATES

Phone: (801) 741-6038

E-mail: DAVID.MONSIVAIS@GS.COM

# National Futures Association

| Business Locations (3R) |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | May 26, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

ANIL KARPAL

MANAGING DIRECTOR

RIVER COURT

120 FLEET STREET

LONDON EC4A 2BE

UNITED KINGDOM

Phone: 44(20)7552-5980

E-mail: ANIL.KARPAL@GS.COM

### Exempt Foreign Firm Contact

LEGAL DEPARTMENT

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44-207-774-1000

# National Futures Association

| Business Locations (3R) |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | May 26, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

Chief Compliance Officer

ANIL KARPAL

MANAGING DIRECTOR

RIVER COURT

120 FLEET STREET

LONDON EC4A 2BE

UNITED KINGDOM

Phone: 44(20)7552-5980

E-mail: ANIL.KARPAL@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212)357-5299

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212)902-7724

E-mail: JOANNE.COOK@GS.COM

# National Futures Association

| Business Locations (3R) |  | Page 6 |  |
| --- | --- | --- | --- |
| Filed | May 26, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-9842

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

CHARLES EVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7552-2253

E-mail: GS-GSI-CFTC-COMPLAINTS@GS.COM

# National Futures Association

| Business Locations (3R) |  | Page 7 |  |
| --- | --- | --- | --- |
| Filed | May 26, 2017 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Registrant Certification Statement

BY FILING THIS FORM 3-R, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the Form 3-R are true, complete and accurate and that in the light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the Form 3-R are not misleading in any material respect; certification that the person who electronically files the Form 3-R on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the Form 3-R on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the Form 3-R.

Online Registration System - Registration Information Change

Page 1 of 1

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: FEDERAL FINANCIAL SUPERVISORY AUTHORITY OF GERMANY (BAFIN) MATTER

MATTER DETAIL: BAFIN HAS ALLEGED CERTAIN BREACHES BY GOLDMAN SACHS INTERNATIONAL ("GSI") IN MAY 2016 OF SECTIONS 21(1) AND 25(1) OF THE GERMAN SECURITIES TRADING ACT (WERTPAPIERHANDELSGESETZ - "WPHG") AS A RESULT OF GSI'S LATE SUBMISSION OF A SHAREHOLDER VOTING RIGHTS NOTIFICATION. GSI IS REVIEWING, AND PROVIDED A WRITTEN RESPONSE TO BAFIN ON MAY 30, 2017.

FILED BY: MONSIVAISD3

FILED ON: 6/1/2017 10:49:39 AM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY DISCLOSURE QUESTION I CHANGED

**QUESTION:** Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

**ANSWER:** YES

**FILED BY:** MONSIVAISD3

**FILED ON:** 6/1/2017 10:50:36 AM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2021 National Futures Association

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Online Registration System - Registration Information Change

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED YES

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | YES |
| FILED BY: | MONSIVAISD3 |
| FILED ON: | 6/1/2017 10:50:36 AM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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Online Registration System - Registration Information Change

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: BAFIN - THE FEDERAL FINANCIAL SUPERVISORY AUTHORITY OF GERMANY, FILE NO. GZ: WA 17-WP 3121-2017/0003

MATTER DETAIL: FEDERAL FINANCIAL SUPERVISORY AUTHORITY OF GERMANY (BUNDESANSTALT FÜR FINANZDIENSTLEISTUNGSAUFSICHT - "BAFIN") HAS ALLEGED CERTAIN BREACHES BY GOLDMAN SACHS INTERNATIONAL ("GSI") IN MARCH 2017 OF SECTIONS 21(1) AND 25 (1) OF THE GERMAN SECURITIES TRADING ACT (WERTPAPIERHANDELSGESETZ - "WPHG") AS A RESULT OF GSI'S LATE SUBMISSION OF A SHAREHOLDER VOTING RIGHTS NOTIFICATION. GSI IS REVIEWING, AND RESPONDING TO BAFIN.

FILED BY: TREANORK2

FILED ON: 10/16/2017 2:06:57 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# National Futures Association

| Business Locations |  | Page 1 |  |
| --- | --- | --- | --- |
| Filed | February 08, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Business Information

| Business Address | PETERBOROUGH COURT 133 FLEET STREET LONDON EC4A 2BB UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations |  | Page 2 |  |
| --- | --- | --- | --- |
| Filed | February 08, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Location of Business Records

Business Records Address

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

U.S. Address for Production of Business Records

GOLDMAN SACHS & CO. LLC

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations |  | Page 3 |  |
| --- | --- | --- | --- |
| Filed | February 08, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Contact Information

Registration Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 902-4525

E-mail: KEVIN.TREANOR@GS.COM

Membership Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 902-4525

E-mail: KEVIN.TREANOR@GS.COM

Accounting Contact

DAVID MONSIVAIS

ASSOCIATE

222 SOUTH MAIN STREET

SALT LAKE CITY, UT 84101

UNITED STATES

Phone: (801) 741-6038

E-mail: DAVID.MONSIVAIS@GS.COM

# National Futures Association

| Business Locations |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | February 08, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

JOANNA REDGRAVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7774-5901

E-mail: JOANNA.REDGRAVE@GS.COM

### Exempt Foreign Firm Contact

LEGAL DEPARTMENT

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44-207-774-1000

# National Futures Association

| Business Locations |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | February 08, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

Chief Compliance Officer

JOANNA REDGRAVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7774-5901

E-mail: JOANNA.REDGRAVE@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212)357-5299

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-9842

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations |  | Page 6 |  |
| --- | --- | --- | --- |
| Filed | February 08, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

Enforcement/Compliance Communication Contact

CHARLES EVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7552-2253

E-mail: GS-GSI-CFTC-COMPLAINTS@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212)902-7724

E-mail: JOANNE.COOK@GS.COM

# National Futures Association

| Business Locations | Page 7 |
| --- | --- |
| Filed | February 08, 2018 |
| Registrant | GOLDMAN SACHS INTERNATIONAL |
| Submitted By | KEVIN TREANOR |
| OMB Numbers | 3038-0023 and 3038-0072 |
| NFA ID | 0250788 |
| User ID | TREANORK2 |

## Registrant Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

# National Futures Association

| Business Locations |  | Page 1 |  |
| --- | --- | --- | --- |
| Filed | March 23, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Business Information

| Business Address | PETERBOROUGH COURT 133 FLEET STREET LONDON EC4A 2BB UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations |  | Page 2 |  |
| --- | --- | --- | --- |
| Filed | March 23, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Location of Business Records

Business Records Address

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

U.S. Address for Production of Business Records

GOLDMAN SACHS & CO. LLC

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations |  | Page 3 |  |
| --- | --- | --- | --- |
| Filed | March 23, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Contact Information

Registration Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 902-4525

E-mail: KEVIN.TREANOR@GS.COM

Membership Contact

KEVIN TREANOR

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 902-4525

E-mail: KEVIN.TREANOR@GS.COM

Accounting Contact

DAVID BRAUN

VICE PRESIDENT

30 HUDSON STREET

JERSEY CITY, NJ 07302

UNITED STATES

Phone: (212) 902-1450

E-mail: DAVID.BRAUN@GS.COM

# National Futures Association

| Business Locations |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | March 23, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

JOANNA REDGRAVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7774-5901

E-mail: JOANNA.REDGRAVE@GS.COM

### Exempt Foreign Firm Contact

LEGAL DEPARTMENT

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44-207-774-1000

# National Futures Association

| Business Locations |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | March 23, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

Chief Compliance Officer

JOANNA REDGRAVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7774-5901

E-mail: JOANNA.REDGRAVE@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-5299

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations |  | Page 6 |  |
| --- | --- | --- | --- |
| Filed | March 23, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

Enforcement/Compliance Communication Contact

CHARLES EVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7552-2253

E-mail: GS-GSI-CFTC-COMPLAINTS@GS.COM

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-9842

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations |  | Page 7 |  |
| --- | --- | --- | --- |
| Filed | March 23, 2018 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | KEVIN TREANOR | User ID | TREANORK2 |

## Registrant Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM CRIMINAL DISCLOSURE QUESTION C CHANGED

**QUESTION:** Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

**ANSWER:** YES

**FILED BY:** TREANORK2

**FILED ON:** 12/21/2018 12:56:56 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM CRIMINAL SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED NO

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | CRIMINAL DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | NO |
| FILED BY: | TREANORK2 |
| FILED ON: | 12/21/2018 12:56:56 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM CRIMINAL MATTER INFORMATION FILED

MATTER NAME: MALAYSIA PUBLIC PROSECUTOR V. GOLDMAN SACHS INTERNATIONAL

MATTER DETAIL: ON DECEMBER 17, 2018, THE MALAYSIAN ATTORNEY GENERAL ("ATTORNEY GENERAL") CHARGED GOLDMAN SACHS INTERNATIONAL, AS THE BOOKRUNNER AND ARRANGER OF THREE OFFERINGS OF DEBT SECURITIES OF 1MALAYSIA DEVELOPMENT BERHAD, AGGREGATING APPROXIMATELY $6.5 BILLION IN PRINCIPAL AMOUNT, FOR ALLEGED DISCLOSURE DEFICIENCIES IN THE OFFERING DOCUMENTS RELATING TO, AMONG OTHER THINGS, THE USE OF PROCEEDS FOR THE DEBT SECURITIES. GOLDMAN SACHS (ASIA) L.L.C., GOLDMAN SACHS (SINGAPORE) PTE., TIM LEISSNER, A FORMER PARTICIPATING MANAGING DIRECTOR OF GOLDMAN SACHS (ASIA) L.L.C. AND GOLDMAN SACHS (SINGAPORE) PTE., LOW TAEK JHO AND LOO AI SWAN WERE ALSO CHARGED, AND ON DECEMBER 19, 2018, ROGER NG CHONG HWA, A FORMER MANAGING DIRECTOR OF GOLDMAN SACHS (SINGAPORE) PTE., ALSO WAS ARRESTED AND CHARGED. THE ATTORNEY GENERAL HAS STATED THAT PROSECUTORS WILL SEEK CRIMINAL FINES IN EXCESS OF $2.7 BILLION AND THE $600 MILLION IN FEES GOLDMAN SACHS RECEIVED AS FEES IN THE DEBT OFFERINGS.

FILED BY: TREANORK2

FILED ON: 12/21/2018 1:01:17 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# National Futures Association

| Business Locations |  | Page 1 |  |
| --- | --- | --- | --- |
| Filed | May 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | DIVYA DON BOSCO | User ID | DONBOSCOD3 |

## Business Information

| Business Address | PETERBOROUGH COURT 133 FLEET STREET LONDON EC4A 2BB UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations |  | Page 2 |  |
| --- | --- | --- | --- |
| Filed | May 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | DIVYA DON BOSCO | User ID | DONBOSCOD3 |

## Location of Business Records

Business Records Address

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

U.S. Address for Production of Business Records

GOLDMAN SACHS & CO. LLC

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations |  | Page 3 |  |
| --- | --- | --- | --- |
| Filed | May 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | DIVYA DON BOSCO | User ID | DONBOSCOD3 |

## Contact Information

Registration Contact

JENNIFER LEE

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7779

E-mail: JENNIFER.GL.LEE@GS.COM

Membership Contact

JENNIFER LEE

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7779

E-mail: JENNIFER.GL.LEE@GS.COM

Accounting Contact

JENNIFER LEE

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7779

E-mail: JENNIFER.GL.LEE@GS.COM

# National Futures Association

| Business Locations |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | May 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | DIVYA DON BOSCO | User ID | DONBOSCOD3 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

JOANNA REDGRAVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7774-5901

E-mail: JOANNA.REDGRAVE@GS.COM

### Exempt Foreign Firm Contact

LEGAL DEPARTMENT

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44-207-774-1000

# National Futures Association

| Business Locations |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | May 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | DIVYA DON BOSCO | User ID | DONBOSCOD3 |

Chief Compliance Officer

JOANNA REDGRAVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7774-5901

E-mail: JOANNA.REDGRAVE@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-9842

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations |  | Page 6 |  |
| --- | --- | --- | --- |
| Filed | May 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | DIVYA DON BOSCO | User ID | DONBOSCOD3 |

Enforcement/Compliance Communication Contact

CHARLES EVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7552-2253

E-mail: GS-GSI-CFTC-COMPLAINTS@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-5299

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations |  | Page 7 |  |
| --- | --- | --- | --- |
| Filed | May 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | DIVYA DON BOSCO | User ID | DONBOSCOD3 |

## Registrant Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

U.S. REGULATOR INFORMATION DELETED

U.S REGULATOR(S): THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM

FILED BY: ORGILLC3

FILED ON: 8/9/2019 4:04:29 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

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# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: PORTUGUESE SECURITIES MARKET COMMISSION V. GOLDMAN SACHS INTERNATIONAL

MATTER DETAIL: THE PORTUGUESE SECURITIES MARKET COMMISSION ("CMVM") HAS ALLEGED THAT GOLDMAN SACHS INTERNATIONAL ("GSI") WILLFULLY VIOLATED ITS DUTY TO PROTECT THE MARKET IN ALLEGED VIOLATION OF ARTICLES 311 AND 407 OF THE PORTUGUESE SECURITIES CODE. THE CMVM NOTIFIED GSI THAT IT WAS PROPOSING TO IMPOSE A FINE IN THE AMOUNT OF EURO 50,000 (WITH AN ADDITIONAL EURO 50,000 SUSPENDED FOR 2 YEARS). GSI HAS DECIDED TO CONTEST THE FINE.

FILED BY: ORGILLC3

FILED ON: 8/26/2019 6:08:02 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1032&formSeq... 10/27/2021

# National Futures Association

| Business Locations |  | Page 1 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

## Business Information

| Business Address | PLUMTREE COURT 25 SHOE LANE LONDON EC4A 4AJ UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations |  | Page 2 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

## Location of Business Records

Business Records Address

PLUMTREE COURT

25 SHOE LANE

LONDON EC4A 4AU

UNITED KINGDOM

U.S. Address for Production of Business Records

GOLDMAN SACHS & CO. LLC

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations |  | Page 3 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

## Contact Information

Registration Contact

JENNIFER LEE

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7779

E-mail: JENNIFER.GL.LEE@GS.COM

Membership Contact

JENNIFER LEE

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7779

E-mail: JENNIFER.GL.LEE@GS.COM

Accounting Contact

JENNIFER LEE

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7779

E-mail: JENNIFER.GL.LEE@GS.COM

# National Futures Association

| Business Locations |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

JOANNA REDGRAVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7774-5901

E-mail: JOANNA.REDGRAVE@GS.COM

### Exempt Foreign Firm Contact

LEGAL DEPARTMENT

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44-207-774-1000

# National Futures Association

| Business Locations |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

Chief Compliance Officer

JOANNA REDGRAVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7774-5901

E-mail: JOANNA.REDGRAVE@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-5299

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

CHARLES EVE

MANAGING DIRECTOR

PETERBOROUGH COURT

133 FLEET STREET

LONDON EC4A 2BB

UNITED KINGDOM

Phone: 44(20)7552-2253

E-mail: GS-GSI-CFTC-COMPLAINTS@GS.COM

# National Futures Association

| Business Locations |  | Page 6 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-9842

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations |  | Page 7 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

## Registrant Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

# National Futures Association

| Business Locations |  | Page 1 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

## Business Information

| Business Address | PLUMTREE COURT 25 SHOE LANE LONDON EC4A 4AJ UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations |  | Page 2 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

## Location of Business Records

Business Records Address

PLUMTREE COURT

25 SHOE LANE

LONDON EC4A 4AU

UNITED KINGDOM

U.S. Address for Production of Business Records

GOLDMAN SACHS & CO. LLC

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations |  | Page 3 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

## Contact Information

Registration Contact

JENNIFER LEE

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7779

E-mail: JENNIFER.GL.LEE@GS.COM

Membership Contact

JENNIFER LEE

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7779

E-mail: JENNIFER.GL.LEE@GS.COM

Accounting Contact

JENNIFER LEE

VICE PRESIDENT

PLUMTREE COURT

25 SHOE LANE

EC4A 4AU

UNITED KINGDOM

Phone: 801 212 7779

E-mail: JENNIFER.GL.LEE@GS.COM

# National Futures Association

| Business Locations |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

JOANNA REDGRAVE

MANAGING DIRECTOR

PLUMTREE COURT

25 SHOE LANE

LONDON EC4A 4AU

UNITED KINGDOM

Phone: 44(20)7774-5901

E-mail: JOANNA.REDGRAVE@GS.COM

### Exempt Foreign Firm Contact

LEGAL DEPARTMENT

PLUMTREE COURT

25 SHOE LANE

LONDON EC4A 4AU

UNITED KINGDOM

Phone: 44-207-774-1000

# National Futures Association

| Business Locations |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

Chief Compliance Officer

JOANNA REDGRAVE

MANAGING DIRECTOR

PLUMTREE COURT

25 SHOE LANE

LONDON EC4A 4AU

UNITED KINGDOM

Phone: 44(20)7774-5901

E-mail: JOANNA.REDGRAVE@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-5299

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations |  | Page 6 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

Enforcement/Compliance Communication Contact

CHARLES EVE

MANAGING DIRECTOR

PLUMTREE COURT

25 SHOE LANE

LONDON EC4A 4AU

UNITED KINGDOM

Phone: 44(20)7552-2253

E-mail: GS-GSI-CFTC-COMPLAINTS@GS.COM

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-9842

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations |  | Page 7 |  |
| --- | --- | --- | --- |
| Filed | September 09, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

## Registrant Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Online Registration System - Registration Information Change

Page 1 of 1

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: BAFIN - THE FEDERAL FINANCIAL SUPERVISORY AUTHORITY OF GERMANY, REF.: WA 17-WP 3120-2016/0060 & WA 1

MATTER DETAIL: FEDERAL FINANCIAL SUPERVISORY AUTHORITY OF GERMANY (BUNDESANSTALT FÜR FINANZDIENSTLEISTUNGSAUFSICHT - "BAFIN") HAS IMPOSED AN ADMINISTRATIVE FINE AMOUNTING TO 800,000 EUROS AGAINST GOLDMAN SACHS INTERNATIONAL ("GSI"), FOR ALLEGED VOLATIONS OF SECTION 130(1) OF THE GERMAN ACT OF BREACHES OF ADMINISTRATIVE REGULATIONS (ORDNUNGSWIDRIGKEITENGESETZ - OWIG) IN CONJUNCTION WITH SECTION 25(1) SENTENCE 1 OF THE GERMAN SECURITIES TRADING ACT (WERTPAPIERHANDELSGESETZ - WPHG), AS A REUSULT OF GSI'S LATE SUBMISSION OF A SHAREHOLDER VOTING RIGHTS NOTIFICATION

FILED BY: ORGILLC3

FILED ON: 9/10/2019 6:12:25 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2021 National Futures Association

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Online Registration System - Registration Information Change

Page 1 of 1

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY DISCLOSURE QUESTION I CHANGED

**QUESTION:** Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

**ANSWER:** NO

**FILED BY:** ORGILLC3

**FILED ON:** 9/20/2019 6:12:45 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1019&formSeq... 10/27/2021

Online Registration System - Registration Information Change

Page 1 of 1

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED YES

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | YES |
| FILED BY: | ORGILLC3 |
| FILED ON: | 9/20/2019 6:12:45 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1078&formSeq... 10/27/2021

Online Registration System - Registration Information Change

Page 1 of 1

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY MATTER INFORMATION FILED

MATTER NAME: AKK - ÁLLAMADÓSSÁG KEZELŐ KÖZPONT ZÁRTKÖRŰEN MŰKÖDŐ RÉSZVÉNYTÁRSASÁG MONETARY FINE

MATTER DETAIL: AKK - ÁLLAMADÓSSÁG KEZELŐ KÖZPONT ZÁRTKÖRŰEN MŰKÖDŐ RÉSZVÉNYTÁRSASÁG ALLEGED THAT DURING THE FIRST HALF OF THE CALENDAR YEAR 2019, GOLDMAN SACHS INTERNATIONAL (“GSI”) FAILED TO MEET PRIMARY DEALER QUOTING OBLIGATIONS IN ACCORDANCE WITH THE AGENCY CONTRACT BETWEEN GSI AND AKK AND THE RELEVANT MARKET MAKING RULES. THE AKK IMPOSED A FINE ON GSI IN THE AMOUNT OF HUF 500,000, WHICH WAS PAID BY SUBMISSION OF A WIRE.

FILED BY: ORGILLC3

FILED ON: 9/25/2019 9:50:35 AM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1032&formSeq... 10/27/2021

Online Registration System - Registration Information Change

Page 1 of 1

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY DISCLOSURE QUESTION I CHANGED

**QUESTION:** Is the firm or sole proprietor a party to any action, or is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

**ANSWER:** YES

**FILED BY:** ORGILLC3

**FILED ON:** 10/10/2019 5:59:12 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1019&formSeq... 10/27/2021

Online Registration System - Registration Information Change

Page 1 of 1

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

FIRM REGULATORY SUPPLEMENTAL DOCUMENTATION QUESTION ANSWERED YES

| SDDI PROCESS: | FIRMWEB |
| --- | --- |
| SDDI SECTION: | REGULATORY DISCLOSURES |
| SUPPLEMENTAL DOCUMENTATION: | YES |
| FILED BY: | ORGILLC3 |
| FILED ON: | 10/10/2019 5:59:12 PM |

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2021 National Futures Association

https://www.nfa.futures.org/ereg/view/PrintDetail.asp?changeTypeCode=1078&formSeq... 10/27/2021

# National Futures Association

| Business Locations |  | Page 1 |  |
| --- | --- | --- | --- |
| Filed | October 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

## Business Information

| Business Address | PLUMTREE COURT 25 SHOE LANE LONDON EC4A 4AU UNITED KINGDOM |
| --- | --- |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| E-mail Address | Not provided. |

# National Futures Association

| Business Locations |  | Page 2 |  |
| --- | --- | --- | --- |
| Filed | October 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

## Location of Business Records

Business Records Address

PLUMTREE COURT

25 SHOE LANE

LONDON EC4A 4AU

UNITED KINGDOM

U.S. Address for Production of Business Records

GOLDMAN SACHS & CO. LLC

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

# National Futures Association

| Business Locations |  | Page 3 |  |
| --- | --- | --- | --- |
| Filed | October 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

## Contact Information

Registration Contact

NATHAN BURBY

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7092

E-mail: NATHAN.BURBY@NY.EMAIL.GS.COM

Membership Contact

NATHAN BURBY

VICE PRESIDENT

111 SOUTH MAIN STREET

SALT LAKE CITY, UT 84111

UNITED STATES

Phone: 801 212 7092

E-mail: NATHAN.BURBY@NY.EMAIL.GS.COM

Accounting Contact

NATHAN BURBY

VICE PRESIDENT

PLUMTREE COURT

25 SHOE LANE

EC4A 4AU

UNITED KINGDOM

Phone: 801 212 7092

E-mail: NATHAN.BURBY@NY.EMAIL.GS.COM

# National Futures Association

| Business Locations |  | Page 4 |  |
| --- | --- | --- | --- |
| Filed | October 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

### Arbitration Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

### Compliance Contact

JOANNA REDGRAVE

MANAGING DIRECTOR

PLUMTREE COURT

25 SHOE LANE

LONDON EC4A 4AU

UNITED KINGDOM

Phone: 44(20)7774-5901

E-mail: JOANNA.REDGRAVE@GS.COM

### Exempt Foreign Firm Contact

LEGAL DEPARTMENT

PLUMTREE COURT

25 SHOE LANE

LONDON EC4A 4AU

UNITED KINGDOM

Phone: 44-207-774-1000

# National Futures Association

| Business Locations |  | Page 5 |  |
| --- | --- | --- | --- |
| Filed | October 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

Chief Compliance Officer

JOANNA REDGRAVE

MANAGING DIRECTOR

PLUMTREE COURT

25 SHOE LANE

LONDON EC4A 4AU

UNITED KINGDOM

Phone: 44(20)7774-5901

E-mail: JOANNA.REDGRAVE@GS.COM

Enforcement/Compliance Communication Contact

RYAN LESTER

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-5299

E-mail: US-REG-INQUIRIES@GS.COM

Enforcement/Compliance Communication Contact

ROBBY MANGROO

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 357-9842

E-mail: US-REG-INQUIRIES@GS.COM

# National Futures Association

| Business Locations |  | Page 6 |  |
| --- | --- | --- | --- |
| Filed | October 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

Enforcement/Compliance Communication Contact

CHARLES EVE

MANAGING DIRECTOR

PLUMTREE COURT

25 SHOE LANE

LONDON EC4A 4AU

UNITED KINGDOM

Phone: 44(20)7552-2253

E-mail: GS-GSI-CFTC-COMPLAINTS@GS.COM

Enforcement/Compliance Communication Contact

JOANNE COOK

VICE PRESIDENT

200 WEST STREET

NEW YORK, NY 10282

UNITED STATES

Phone: (212) 902-7724

E-mail: JOANNE.COOK@GS.COM

# National Futures Association

| Business Locations |  | Page 7 |  |
| --- | --- | --- | --- |
| Filed | October 15, 2019 | OMB Numbers | 3038-0023 and 3038-0072 |
| Registrant | GOLDMAN SACHS INTERNATIONAL | NFA ID | 0250788 |
| Submitted By | CRYSTAL ORGILL | User ID | ORGILLC3 |

## Registrant Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

# Firm Regulatory Disclosure Matter Page
## NATIONAL FUTURES ASSOCIATION

Filed on June 17, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by CRYSTAL ORGILL (ORGILLC3)

The question(s) you are disclosing the regulatory action under:

☑ I.

Is the firm a party to any action, the resolution of which could result in a "Yes" answer to the above questions?

Regulatory Case Information

Regulatory Information

Regulatory/Civil Action initiated by NON-U.S. REGULATOR: PORTUGUESE SECURITIES MARKET COMMISSION ("CMVM")

Case Information

Case Number SUMMARY PROCEEDING NO. 06/2016

Case Status FINAL

Date Resolved June 2020

Sanctions imposed

OTHER: NO SANCTIONS IMPOSED - MATTER DISMISSED

Comments

THE PORTUGUESE SECURITIES MARKET COMMISSION ("CMVM") ALLEGED THAT GOLDMAN SACHS INTERNATIONAL ("GSI") WILLFULLY VIOLATED ITS DUTY TO PROTECT THE MARKET IN ALLEGED VIOLATION OF ARTICLES 311 AND 407 OF THE PORTUGUESE SECURITIES CODE. THE CMVM NOTIFIED GSI THAT IT WAS PROPOSING TO IMPOSE A FINE IN THE AMOUNT OF EURO 50,000 (WITH AN ADDITIONAL EURO 50,000 SUSPENDED FOR 2 YEARS). GSI CONTESTED THE FINE. ON JUNE 2, 2020, THE CMVM CLOSED THEIR INVESTIGATION INTO GSI WITHOUT ISSUING ANY FORMAL CHARGES FOR ANY VIOLATIONS OF THE PORTUGUESE SECURITIES CODE.

Supporting Documentation

Not provided

Page 1 of 1

# Firm Regulatory Disclosure Matter Page

## NATIONAL FUTURES ASSOCIATION

Filed on June 18, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by CRYSTAL ORGILL (ORGILLC3)

The question(s) you are disclosing the regulatory action under:

☑ I.

Is the firm a party to any action, the resolution of which could result in a "Yes" answer to the above questions?

Regulatory Case Information

Regulatory Information

Regulatory/Civil Action initiated by NON-U.S. REGULATOR: PORTUGUESE SECURITIES MARKET COMMISSION ("CMVM")

Case Information

Case Number SUMMARY PROCEEDING NO. 06/2016

Case Status FINAL

Date Resolved June 2020

Sanctions imposed

OTHER: NO SANCTIONS IMPOSED - MATTER DISMISSED

Comments

THE PORTUGUESE SECURITIES MARKET COMMISSION ("CMVM") ALLEGED THAT GOLDMAN SACHS INTERNATIONAL ("GSI") WILLFULLY VIOLATED ITS DUTY TO PROTECT THE MARKET IN ALLEGED VIOLATION OF ARTICLES 311 AND 407 OF THE PORTUGUESE SECURITIES CODE. THE CMVM NOTIFIED GSI THAT IT WAS PROPOSING TO IMPOSE A FINE IN THE AMOUNT OF EURO 50,000 (WITH AN ADDITIONAL EURO 50,000 SUSPENDED FOR 2 YEARS). GSI CONTESTED THE FINE. ON JUNE 2, 2020, THE CMVM CLOSED THEIR INVESTIGATION INTO GSI WITHOUT ISSUING ANY FORMAL CHARGES FOR ANY VIOLATIONS OF THE PORTUGUESE SECURITIES CODE.

Supporting Documentation

Description CMVM NOTICE 06.02.2020

File Name 02062020 Ofcio 62016.pdf

Description CMVM NOTICE 06.02.2020 - ENGLISH TRANSLATION

Page 1 of 2

File Name

06022020 CMVM Decision GSI.pdf

Page 2 of 2

# Firm Business Locations

## COMMODITY FUTURES TRADING COMMISSION
## NATIONAL FUTURES ASSOCIATION

Filed on August 28, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by CRYSTAL ORGILL (ORGILLC3)

Business Information

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 1 of 10

Business Locations Filed on August 28, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Exempt Foreign Firm Contact Information

Exempt Foreign Firm Contact Address

| First Name | LEGAL |
| --- | --- |
| Last Name | DEPARTMENT |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44-207-774-1000 |
| Email | GSLDN-COSEC@LN.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 2 of 10

Business Locations Filed on August 28, 2020
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Location of Business Records

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 3 of 10

Business Locations Filed on August 28, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Registration Contact Information

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 4 of 10

Business Locations Filed on August 28, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Enforcement/Compliance Communication Contact Information

| First Name | JOANNE |
| --- | --- |
| Last Name | COOK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-7724 |
| Email | JOANNE.COOK@GS.COM |
| First Name | CHARLES |
| Last Name | EVE |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7552-2253 |
| Email | GS-GSI-CFTC-COMPLAINTS@GS.COM |
| First Name | RYAN |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |
| First Name | ROBBY |
| Last Name | MANGROO |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |

---

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 5 of 10

Business Locations Filed on August 28, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

| Zip/Postal Code | 10282 |
| --- | --- |
| Country | UNITED STATES |
| Phone | (212) 357-9842 |
| Email | US-REG-INQUIRIES@GS.COM |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 6 of 10

Business Locations Filed on August 28, 2020  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Membership Contact Information

### Membership Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

### Accounting Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 7 of 10

Business Locations Filed on August 28, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Arbitration Contact

| First Name | JOANNE |
| --- | --- |
| Last Name | COOK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-7724 |
| Email | JOANNE.COOK@GS.COM |

Compliance Contact

| First Name | JOANNA |
| --- | --- |
| Last Name | REDGRAVE |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7774-5901 |
| Email | JOANNA.REDGRAVE@GS.COM |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 8 of 10

Business Locations Filed on August 28, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Chief Compliance Officer Contact

| First Name | JOANNA |
| --- | --- |
| Last Name | REDGRAVE |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7774-5901 |
| Email | JOANNA.REDGRAVE@GS.COM |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 9 of 10

Business Locations Filed on August 28, 2020  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 10 of 10

# Firm Criminal Disclosure Matter Page

# NATIONAL FUTURES ASSOCIATION

Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by CRYSTAL ORGILL (ORGILLC3)

The question(s) you are disclosing the criminal action under:

Is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

# Criminal Case Information

# Formal Charge(s) Information

| Filing Location | NON-U.S. COURT |
| --- | --- |
| Date Filed | December 2018 |

# Court Information

| Name of Court | KUALA LUMPUR MAGISTRATES COURT |
| --- | --- |
| City or County | KUALA LUMPUR |
| State | Not provided |
| Country | MALAYSIA |

# Case Information

| Case Number | WA-85-12-12/2018 |
| --- | --- |
| Case Status | FINAL |

# Charge Details

| Formal Charge Description | ALLEGED VIOLATIONS OF SECTION 179 OF THE MALAYSIAN CAPITAL MARKETS AND SERVICES ACT |
| --- | --- |
| Classification | FELONY |
| Plea Entered | NOT GUILTY |
| Disposition | ACQUITTAL AND THE CHARGES WERE DISCHARGED |

# Comments

ON DECEMBER 17, 2018, THE MALAYSIAN ATTORNEY GENERAL ("ATTORNEY GENERAL") CHARGED GOLDMAN SACHS INTERNATIONAL, AS THE BOOKRUNNER AND ARRANGER OF THREE OFFERINGS OF DEBT SECURITIES OF 1MALAYSIA DEVELOPMENT BERHAD ("1MDB"), AGGREGATING APPROXIMATELY $6.5 BILLION IN PRINCIPAL AMOUNT, FOR ALLEGED DISCLOSURE DEFICIENCIES IN THE OFFERING DOCUMENTS RELATING TO, AMONG OTHER THINGS, THE USE OF PROCEEDS FOR THE DEBT SECURITIES. GOLDMAN SACHS (ASIA) L.L.C., GOLDMAN SACHS (SINGAPORE) PTE., TIM LEISSNER, A FORMER PARTICIPATING MANAGING DIRECTOR OF GOLDMAN SACHS (ASIA) L.L.C. AND GOLDMAN

Page 1 of 2

SACHS (SINGAPORE) PTE., LOW TAEK JHO AND LOO AI SWAN WERE ALSO CHARGED, AND ON DECEMBER 19, 2018, ROGER NG CHONG HWA, A FORMER MANAGING DIRECTOR OF GOLDMAN SACHS (SINGAPORE) PTE., ALSO WAS ARRESTED AND CHARGED. ON JULY 24, 2020, THE GOLDMAN SACHS GROUP, INC. (TOGETHER WITH ITS CONSOLIDATED SUBSIDIARIES, THE "FIRM") REACHED AN AGREEMENT IN PRINCIPLE WITH THE GOVERNMENT OF MALAYSIA TO RESOLVE ALL CRIMINAL AND REGULATORY PROCEEDINGS IN MALAYSIA INVOLVING THE FIRM, INCLUDING PENDING CRIMINAL PROCEEDINGS AGAINST GOLDMAN SACHS SUBSIDIARIES AND CERTAIN CURRENT AND FORMER DIRECTORS, RELATING TO THIS MATTER. IN PRINCIPLE, THE AGREEMENT INVOLVED A SETTLEMENT PAYMENT TO THE GOVERNMENT OF MALAYSIA, AND A PORTION OF THE PROCEEDS FROM ASSETS SEIZED IN RELATION TO THIS MATTER. A SETTLEMENT AGREEMENT WAS ENTERED ON AUGUST 18, 2020, IMPLEMENTING THE PRIOR AGREEMENT IN PRINCIPLE. ON SEPTEMBER 4, 2020, GOLDMAN SACHS INTERNATIONAL, GOLDMAN SACHS (ASIA) LLP, AND GOLDMAN SACHS (SINGAPORE) PTE. WERE ACQUITTED AND THE CHARGES AGAINST THEM WERE DISCHARGED, AND THE PROCEEDINGS AGAINST THE CURRENT AND FORMER DIRECTORS WERE DISCONTINUED.

Supporting Documentation

Description

ORDER

File Name

20200904 Court Order acquitting GSI in Eng.pdf

Page 2 of 2

# **Disciplinary Information (Firm)**
**COMMODITY FUTURES TRADING COMMISSION**
**NATIONAL FUTURES ASSOCIATION**

Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by CRYSTAL ORGILL (ORGILLC3)

# Instructions

READ THESE INSTRUCTIONS CAREFULLY BEFORE COMPLETING OR REVIEWING THE APPLICATION. THE FAILURE TO ANSWER ALL QUESTIONS COMPLETELY AND ACCURATELY OR THE OMISSION OF REQUIRED INFORMATION MAY RESULT IN THE DENIAL OR REVOCATION OF REGISTRATION.

THE FAILURE TO DISCLOSE A DISCIPLINARY MATTER EITHER IN AN APPLICATION OR AN UPDATE WILL RESULT IN THE IMPOSITION OF A LATE DISCLOSURE FEE IN ACCORDANCE WITH NFA REGISTRATION RULE 210(c).

Not every section applies to every applicant. Certain sections apply depending on the registration category or categories being applied for. The text above these sections explains who must complete the section.

# DEFINED TERMS

Words that are underlined in this form are either defined terms and have the meanings contained in the Definition of Terms section or links to the text of Commodity Exchange Act provisions, CFTC Regulations or NFA Rules.

# GENERAL

Read the Instructions and Questions Carefully

A question that is answered incorrectly because it was misread or misinterpreted can result in severe consequences, including denial or revocation of registration. Although this applies to all questions in the application, it is particularly important to the questions in the Disciplinary Information Section.

# Rely Only on Advice from NFA Staff

A question that is answered incorrectly because of advice received from a lawyer, employer, a judge or anyone else (other than a member of NFA's Registration Investigations or Legal (RIL) staff) can result in severe consequences, including denial or revocation of registration. This also applies to all questions in the form, but is particularly important regarding the Disciplinary Information Section. If the language of a question in the Disciplinary Information Section requires disclosure of a matter, a "Yes" answer to the question is required no matter what other advice has been received from anyone other than NFA's RIL staff. Additionally, the applicant or registrant remains responsible for failures to disclose even if someone completes the form on the applicant's or registrant's behalf.

# Update the Information on the Application

If information provided on the application changes or a matter that would have required disclosure on the application occurs after the application is filed, the new information must be promptly filed. APs and Principals should advise their Sponsors of the new information, and the Sponsor must file the update on their behalf. The failure to promptly update information can result in severe consequences, including denial or revocation of registration.

# Compliance with Disclosure Requirements of Another Regulatory Body is not Sufficient

With some exceptions, which are described below in the Regulatory and Financial Disclosures sections, if any

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 1 of 14

Disciplinary Information (Individual) Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

question requires the provision of information, that information must be provided. In particular, if a question in the Disciplinary Information Section requires disclosure of a matter, the question must be answered "Yes" and additional documents must be provided even if the matter has been disclosed to another regulatory body such as FINRA, an exchange or a state regulator. Similarly, disclosure is required even if another regulatory body does NOT require disclosure of the same matter.

## Call NFA with Questions

If there is any question about whether particular information must be provided, whether a particular matter must be disclosed or whether a particular question requires a "Yes" answer, call the NFA Information Center at (800) 621-3570 or (312) 701-1410. Representatives are available from 8:00 a.m. to 5:00 p.m., Central Time, Monday through Friday. If the advice of NFA staff is sought, a written record containing the date of the conversation, the name of the NFA staff person giving the advice and a description of the advice should be made during the conversation and kept in the event an issue concerning disclosure of the matter arises later.

## DISCIPLINARY INFORMATION SECTION

### Criminal Disclosures

Some common mistakes in answering the criminal disclosure questions involve expungements, diversion programs and similar processes. The Commodity Futures Trading Commission requires a "Yes" answer even if the matter has been expunged or the records sealed, there was no adjudication or finding of guilt, the guilty plea was vacated or set aside or the matter was dismissed upon completion of the diversion program.

Another common error regarding criminal matters concerns matters that do not involve the derivatives industry. All criminal matters must be disclosed, even if a matter is unrelated to the derivatives industry, unless the case was decided in a juvenile court or under a Youth Offender law.

### Regulatory Disclosures

Regulatory actions taken by the Commodity Futures Trading Commission, NFA or U.S. futures exchanges do not need to be disclosed since NFA is already aware of them once they are entered into NFA's BASIC system.

### Financial Disclosures

It is not necessary to disclose arbitration awards or CFTC reparations matters unless the applicant or registrant has failed to pay an award related to a CFTC-related product or an order entered in a reparations matter.

Only adversary actions that a U.S. bankruptcy trustee files must be disclosed. Adversary actions that creditors file are not disclosable. A person named as a party to an adversary action in a bankruptcy proceeding must disclose the action, even if the person is not the bankrupt person.

## ADDITIONAL DOCUMENTS

For each matter that caused a "Yes" answer, a Disclosure Matter Page (DMP), which is accessible using NFA's DMP Filing System, must be filed. In addition to the required DMP, other documents about the matter must be provided to NFA. If court documents are unavailable, a certified letter from the court verifying that must be sent to NFA. If documents other than court documents are unavailable, a written explanation for their unavailability must be provided. Electronic copies of the documents can be uploaded using NFA's DMP Filing System or documents may be sent to NFA by email to registration@nfa.futures.org, fax to (312) 559-3411 or mail to NFA Registration Department, 300 S. Riverside Plaza, Suite 1800, Chicago, IL 60606.

Providing all documents to NFA is important. Failure to do so will delay the registration process and may result in a denial of the application.

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 2 of 14

Disciplinary Information (Individual) Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

## Definition of Terms

(The following terms are defined solely for the purpose of using NFA's Online Registration System.)

**10% OR MORE INTEREST**: direct or indirect ownership of 10% or more of an entity's stock; entitlement to vote or empowered to sell 10% or more of an entity's voting securities; contribution of 10% or more of an entity's capital; or entitlement to 10% or more of an entity's net profits.

**ADJUDICATION**: in a criminal case, a determination by the court that the defendant is guilty or not guilty.

**ADVERSARY ACTION**: a lawsuit arising in or related to a bankruptcy case commenced by a creditor or bankruptcy trustee by filing a complaint with the bankruptcy court.

**ALIAS**: another name utilized by an individual or previously used by an entity.

**CHARGE**: a formal complaint, information, indictment or equivalent instrument containing an accusation of a crime.

**DBA**: abbreviation for Doing Business As. The firm is doing its futures, retail off-exchange forex or swaps business by this name.

**DESIGNATED SUPERVISOR**: solely for the purpose of determining whether the Branch Manager Examination (Series 30) is required, Designated Supervisor means a person who is registered with FINRA (formerly known as NASD) as a General Securities Representative and has been designated to act as the supervisor of an office that is not an Office of Supervisory Jurisdiction ("non-OSJ"), provided that:

- either the futures activity conducted in the non-OSJ that is subject to the Designated Supervisor's supervision is limited to activity not requiring the Series 3 Examination and both the Designated Supervisor and the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports have otherwise satisfied NFA's Proficiency Requirements appropriate to their supervisory activities; or
- the activity that is conducted in the non-OSJ that requires the Series 3 Examination is supervised by the Branch Manager of the Office of Supervisory Jurisdiction to which the non-OSJ reports and both the Designated Supervisor and Branch Office Manager have passed the Series 3 Examination.

**ENJOINED**: subject to an injunction.

**ENTITY**: any person other than an individual.

**ENTITY FLOOR TRADER**: an applicant that files or registrant that filed a Form 7-R to apply for registration as a floor trader.

**FELONY**: any crime classified as a felony and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of more than one year. The term also includes a general court martial.

**FINANCIAL SERVICES INDUSTRY**: the commodities, securities, accounting, banking, finance, insurance, law or real estate industries.

**FLOOR TRADER ORDER ENTERER**: an individual responsible for entry of orders from an Entity Floor Trader's own account.

**FOUND**: subject to a determination that conduct or a rule violation has occurred. The term applies to dispositions

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 3 of 14

Disciplinary Information (Individual) Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

of any type, including but not limited to consent decrees or settlements in which the findings are neither admitted nor denied or in which the findings are for settlement or record purposes only.

**INDIRECT OWNER:** an individual who through agreement, holding companies, nominees, trusts or otherwise:

- is the owner of 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities;
- is entitled to vote 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities;
- has the power to sell or direct the sale of 10% or more of the outstanding shares of any class of an entity's equity securities, other than non-voting securities;
- is entitled to receive 10% or more of an entity's net profits; or
- has the power to exercise a controlling influence over an entity's activities that are subject to regulation by the Commission.

# **INTERNAL REVENUE CODE:**

Section 7203: Willful Failure to File Return, Supply Information or Pay Tax

Section 7204: Fraudulent Statement or Failure to Make Statement

Section 7205: Fraudulent Withholding Exemption Certificate or Failure to Supply Information

Section 7207: Fraudulent Returns, Statements or Other Documents

# **INVESTMENT RELATED STATUTES:**

- The Commodity Exchange Act
- The Securities Act of 1933
- The Securities Exchange Act of 1934
- The Public Utility Holding Company Act of 1935
- The Trust Indenture Act of 1939
- The Investment Advisers Act of 1940
- The Investment Company Act of 1940
- The Securities Investors Protection Act of 1970
- The Foreign Corrupt Practices Act of 1977
- Chapter 96 of Title 18 of the United States Code
- Any similar statute of a State or foreign jurisdiction
- Any rule, regulation or order under any such statutes; and
- The rules of the Municipal Securities Rulemaking Board

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 4 of 14

Disciplinary Information (Individual) Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

MISDEMEANOR: any crime classified as a misdemeanor and for states and countries that do not differentiate between a felony or misdemeanor, an offense that could result in imprisonment for any period of at least six days but not more than one year. By way of example, an offense for which the maximum period of imprisonment is 60 days would be considered a misdemeanor. The term also includes a special court martial.

NON-U.S. NATURAL PERSON: an individual who has not resided in the U.S. since reaching the age of 18 years.

OTHER NAME: For firms, including sole proprietors, any other name that the firm uses or has used in the past but not the name of any other legal entity that the firm has an affiliation or association with (see DBA). For individuals, this is any name the person is or has been known by. For example, a maiden name, an alias name that you use or are known by, or a previous name if you have changed your legal name.

OUTSIDE DIRECTOR: an individual who is director of an applicant or registrant and who:

is not an officer or employee of the applicant or registrant;
is not engaged in or have direct supervisory responsibility over persons engaged in the solicitation of

- or acceptance of customers' orders or retail forex customers' orders;
- funds, securities or property for participation in a commodity pool;
- a client's or prospective client's discretionary account;
- leverage customers' orders for leverage transactions;
- or acceptance of a swap agreement; or

• does not regularly have access to the keeping, handling or processing of:

- transactions involving "commodity interests", as that term is defined in CFTC Regulation 1.3;
- customer funds, retail forex customer funds, leverage customer funds, foreign futures or foreign options secured amount, or adjusted net capital.

PERSON: an individual, association, partnership, corporation, limited liability company, limited liability partnership, trust, or other form of business organization.

PRINCIPAL - means, with respect to an applicant, a registrant, or a person required to be registered under the Act:

(1) an individual who is:

a sole proprietor of a sole proprietorship;
a general partner of a partnership;
a director, president, chief executive officer, chief operating officer, chief financial officer, or a person

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 5 of 14

Disciplinary Information (Individual) Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

in charge of a business unit, division or function subject to regulation by the Commission of a corporation, limited liability company or limited liability partnership;

- a manager, managing member or a member vested with the management authority for a limited liability company or limited liability partnership; or
- a chief compliance officer; or

(2) an individual who directly or indirectly, through agreement, holding companies, nominees, trusts or otherwise:

- is the owner of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities;
- is entitled to vote 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities;
- has the power to sell or direct the sale of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities;
- is entitled to receive 10% or more of an applicant or registrant's net profits; or
- has the power to exercise a controlling influence over an applicant or registrant's activities that are subject to regulation by the Commission; or

(3) an entity that:

- is a general partner of a partnership; or
- is the direct owner of 10% or more of the outstanding shares of any class of an applicant or registrant's equity securities, other than non-voting securities; or

(4) an individual who or an entity that:

- has contributed 10% or more of an applicant or registrant's capital unless such capital contribution consists of subordinated debt contributed by:

- an unaffiliated bank insured by the Federal Deposit Insurance Corporation;
- an unaffiliated "foreign bank," as defined in 12 CFR 211.21(n) that currently operates an "office of a foreign bank," as defined in 12 CFR 211.21(t), which is licensed under 12 CFR 211.24(a);
- such office of an unaffiliated, licensed foreign bank; or
- an insurance company subject to regulation by any State,
provided such debt is not guaranteed by an individual who or entity that is not a principal of the applicant or registrant.

For the purpose of answering Questions A, B, C, D, E, F, G, I and K of the Disciplinary Information sections in the Form 8-R, PRINCIPAL also means an individual described in (1), (2) or (4) above with respect to any entity whether or not the entity is an applicant, registrant, or a person required to be registered under the Act.

SELF-REGULATORY ORGANIZATION (SRO): a private, non-governmental organization authorized to set and enforce standards of conduct for an industry. NFA, FINRA (formerly known as NASD), and the securities and futures exchanges in the U.S. are examples of domestic SROs.

UNITED STATES CRIMINAL CODE:

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 6 of 14

Disciplinary Information (Individual) Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

| Section 152: | Concealment of assets, making false claims or bribery in connection with a bankruptcy |
| --- | --- |
| Section 1341, 1342 or 1343: | Mail fraud |
| Chapter 25: | Counterfeiting and forgery |
| Chapter 47: | Fraud or false statements in a matter within the jurisdiction of a United States department or agency |
| Chapter 95 or 96: | Racketeering and Racketeering Influence |

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 7 of 14

Disciplinary Information (Individual) Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Disciplinary Information - Criminal Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

THE QUESTIONS ON THIS PAGE MUST BE ANSWERED "YES" EVEN IF:

- ADJUDICATION OF GUILT WAS WITHHELD OR THERE WAS NO CONVICTION; OR
- THERE WAS A CONDITIONAL DISCHARGE OR POST-CONVICTION DISMISSAL AFTER SUCCESSFUL COMPLETION OF A SENTENCE; OR
- A STATE CERTIFICATE OF RELIEF FROM DISABILITIES OR SIMILAR DOCUMENT WAS ISSUED RELIEVING THE HOLDER OF FORFEITURES, DISABILITIES OR BARS RESULTING FROM A CONVICTION; OR
- THE RECORD WAS EXPUNGED OR SEALED; OR
- A PARDON WAS GRANTED.

THE QUESTIONS MAY BE ANSWERED "NO" IF THE CASE WAS DECIDED IN A JUVENILE COURT OR UNDER A YOUTH OFFENDER LAW.

For each matter that requires a "Yes" answer to Questions A, B or C below, a Criminal Disclosure Matter Page (DMP) must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any; and
- the date of the determination.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the charges;
- the classification of the offense, i.e., felony or misdemeanor;
- the plea, sentencing and probation information, as applicable;
- the final disposition; and
- a summary of the circumstances surrounding the criminal matter.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 8 of 14

Disciplinary Information (Individual) Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Question A

Has the firm ever pled guilty or nolo contendere ("no contest") to or been convicted or found guilty of any felony in any U.S., non-U.S. or military court?

No

# Question B

Has the firm ever pled guilty to or been convicted or found guilty of any misdemeanor in any U.S., non-U.S. or military court which involves:

- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering, or misappropriation of funds, securities or property; or
- violation of sections 7203, 7204, 7205 or 7207 of the Internal Revenue Code of 1986; or
- violation of sections 152, 1341, 1342 or 1343 or chapters 25, 47, 95 or 96 of the U.S. Criminal Code; or
- any transaction in or advice concerning futures, options, leverage transactions or securities?

No

# Question C

Is there a charge pending, the resolution of which could result in a "Yes" answer to the above questions?

No

Will you be filing a Criminal DMP with respect to a new matter? No

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 9 of 14

Disciplinary Information (Individual) Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Disciplinary Information - Regulatory Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

For each matter that requires a "Yes" answer to Questions D, E, F, G, H or I below, a Regulatory DMP must be filed using NFA's DMP Filing System that requests:

who was involved;
when it occurred;
- what the allegations were;
- what the final determination was, if any;
the date of the determination; and
- a summary of the circumstances surrounding the regulatory matter.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

the allegations; and
the final disposition.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 10 of 14

Disciplinary Information (Individual) Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Question D

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has a court ever permanently or temporarily enjoined the firm after a hearing or default or as the result of a settlement, consent decree or other agreement, from engaging in or continuing any activity involving:

- any transaction in or advice concerning futures, options, leverage transactions or securities; or
- embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property?

No

# Question E

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

Yes

# Question F

Has the firm ever been debarred by any agency of the U.S. from contracting with the U.S.?

No

# Question G

Has the firm ever been the subject of any order issued by or a party to any agreement with a U.S. or non-U.S. regulatory authority (other than the CFTC), including but not limited to a licensing authority, or self-regulatory organization (other than NFA or a U.S. futures exchange) that prevented or restricted the firm's ability to engage in any business in the financial services industry?

No

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 11 of 14

Disciplinary Information (Individual) Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

# Question H

Are any of the orders or other agreements described in Question G currently in effect against the firm?

**No**

# Question I

Is the firm a party to any action, the resolution of which could result in a 'Yes' answer to the above questions?

**Yes**

Will you be filing a Regulatory DMP with respect to a new matter?**No**

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 12 of 14

Disciplinary Information (Individual) Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

## Disciplinary Information - Financial Disclosures

For additional assistance and information on completing this page, refer to the Instructions and Definition of Terms at the beginning of this document.

For each matter that requires a "Yes" answer to Question J below, a Financial DMP must be filed using NFA's DMP Filing System that requests:

- who was involved;
- when it occurred;
- what the allegations were;
- what the final determination was, if any;
- the date of the determination; and
- a summary of the circumstances surrounding the financial matter.

In addition, documents must be provided for each matter requiring a "Yes" answer that show:

- the allegations; and
- the final disposition.

The documents may be provided electronically using the upload function in the DMP Filing System or sending them to NFA (See Instructions).

Question J

Has the firm ever been the subject of an adversary action brought by a U.S. bankruptcy trustee?

No

Even though you answered "No" to the above question, would you like to provide a Financial DMP? No

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 13 of 14

Disciplinary Information (Individual) Filed on September 30, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

---

OMB Numbers 3038-0023 (exp. August 31, 2022) & 3038-0072 (exp. August 31, 2022)

Page 14 of 14

# Firm Regulatory Disclosure Matter Page
## NATIONAL FUTURES ASSOCIATION

Filed on November 18, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by DIVYA DON BOSCO (DONBOSCOD3)

The question(s) you are disclosing the regulatory action under:

☑ E.

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

Regulatory Case Information

Regulatory Information

Regulatory/Civil Action initiated by NON-U.S. REGULATOR: FINANCIAL CONDUCT AUTHORITY

Case Information

Case Number

NONE

Case Status

FINAL

Date Resolved

October 2020

Sanctions imposed

OTHER: WARNING NOTICE

Comments

Goldman Sachs International ("GSI"), an indirect wholly owned subsidiary of The Goldman Sachs Group,

Page 1 of 2

Inc., received on October 22, 2020 a warning notice from the UK Financial Conduct Authority (the "FCA Notice"), which cites GSI's failure to (i) assess and manage the risks associated with the 1Malaysia Development Berhad transactions; (ii) properly record how GSI committees assessed and managed those risks and; (iii) respond appropriately to allegations of bribery and misconduct. GSI paid a financial penalty in the amount of $63,000,000 in connection with the FCA Notice.

# Supporting Documentation

Description

File Name

FINANCIAL CONDUCT AUTHORITY NOTICE

FCA.pdf

Page 2 of 2

# Firm Regulatory Disclosure Matter Page
## NATIONAL FUTURES ASSOCIATION

Filed on November 18, 2020

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by DIVYA DON BOSCO (DONBOSCOD3)

The question(s) you are disclosing the regulatory action under:

☑ E.

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

Regulatory Case Information

Regulatory Information

Regulatory/Civil Action initiated by NON-U.S. REGULATOR: PRUDENTIAL REGULATION AUTHORITY

Case Information

Case Number NONE

Case Status FINAL

Date Resolved October 2020

Sanctions imposed

OTHER: WARNING NOTICE

Comments

Goldman Sachs International ("GSI"), an Indirect wholly owned subsidiary of The Goldman Sachs Group,

Page 1 of 2

Inc., received on October 22, 2020 a warning notice from the Bank of England Prudential Regulation Authority (the "PRA Notice"), which cites GSI's failure to (i) assess and manage the risks associated with the 1Malaysia Development Berhad transactions; (ii) properly record how GSI committees assessed and managed those risks; and (iii) respond appropriately to allegations of bribery and misconduct. GSI paid a financial penalty in the amount of $63,000,000 in connection with the PRA Notice.

# Supporting Documentation

Description

File Name

PRUDENTIAL REGULATION AUTHORITY NOTICE

PRA.pdf

Page 2 of 2

# Firm Business Locations

## COMMODITY FUTURES TRADING COMMISSION
## NATIONAL FUTURES ASSOCIATION

Filed on February 26, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by DIVYA DON BOSCO (DONBOSCOD3)

Business Information

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 10

Business Locations Filed on February 26, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Exempt Foreign Firm Contact Information

Exempt Foreign Firm Contact Address

| First Name | LEGAL |
| --- | --- |
| Last Name | DEPARTMENT |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44-207-774-1000 |
| Email | GSLDN-COSEC@LN.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 10

Business Locations Filed on February 26, 2021
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Location of Business Records

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 10

Business Locations Filed on February 26, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Registration Contact Information

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 10

Business Locations Filed on February 26, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Enforcement/Compliance Communication Contact Information

| First Name | JOANNE |
| --- | --- |
| Last Name | COOK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-7724 |
| Email | JOANNE.COOK@GS.COM |

| First Name | CHARLES |
| --- | --- |
| Last Name | EVE |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7552-2253 |
| Email | GS-GSI-CFTC-COMPLAINTS@GS.COM |

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | ERICA |
| --- | --- |
| Last Name | MALIN |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 10

Business Locations Filed on February 26, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

| Zip/Postal Code | 10282 |
| --- | --- |
| Country | UNITED STATES |
| Phone | 917-343-5107 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | KAREN |
| --- | --- |
| Last Name | PARK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-6775 |
| Email | US-REG-INQUIRIES@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 10

Business Locations Filed on February 26, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Membership Contact Information

Membership Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

Accounting Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 7 of 10

Business Locations Filed on February 26, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Arbitration Contact

| First Name | JOANNE |
| --- | --- |
| Last Name | COOK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-7724 |
| Email | JOANNE.COOK@GS.COM |

# Compliance Contact

| First Name | JOANNA |
| --- | --- |
| Last Name | REDGRAVE |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7774-5901 |
| Email | JOANNA.REDGRAVE@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 8 of 10

Business Locations Filed on February 26, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Chief Compliance Officer Contact

| First Name | JOANNA |
| --- | --- |
| Last Name | REDGRAVE |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7774-5901 |
| Email | JOANNA.REDGRAVE@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 9 of 10

Business Locations Filed on February 26, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 10 of 10

# Firm Business Locations

## COMMODITY FUTURES TRADING COMMISSION
## NATIONAL FUTURES ASSOCIATION

Filed on February 27, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by JAMISON YARDLEY (YARDLEYJ16)

Business Information

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 10

Business Locations Filed on February 27, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Exempt Foreign Firm Contact Information

Exempt Foreign Firm Contact Address

| First Name | LEGAL |
| --- | --- |
| Last Name | DEPARTMENT |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44-207-774-1000 |
| Email | GSLDN-COSEC@LN.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 10

Business Locations Filed on February 27, 2021
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Location of Business Records

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 10

Business Locations Filed on February 27, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Registration Contact Information

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 10

Business Locations Filed on February 27, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Enforcement/Compliance Communication Contact Information

| First Name | CHARLES |
| --- | --- |
| Last Name | EVE |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7552-2253 |
| Email | GS-GSI-CFTC-COMPLAINTS@GS.COM |

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | ERICA |
| --- | --- |
| Last Name | MALIN |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-5107 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | KAREN |
| --- | --- |
| Last Name | PARK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |

---

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 10

Business Locations Filed on February 27, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

| Zip/Postal Code | 10282 |
| --- | --- |
| Country | UNITED STATES |
| Phone | 917-343-6775 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 10

Business Locations Filed on February 27, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Membership Contact Information

Membership Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

Accounting Contact

| First Name | NATHAN |
| --- | --- |
| Last Name | BURBY |
| Title | VICE PRESIDENT |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 801 212 7092 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 7 of 10

Business Locations Filed on February 27, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Arbitration Contact

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

Compliance Contact

| First Name | JOANNA |
| --- | --- |
| Last Name | REDGRAVE |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7774-5901 |
| Email | JOANNA.REDGRAVE@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 8 of 10

Business Locations Filed on February 27, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Chief Compliance Officer Contact

| First Name | JOANNA |
| --- | --- |
| Last Name | REDGRAVE |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7774-5901 |
| Email | JOANNA.REDGRAVE@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 9 of 10

Business Locations Filed on February 27, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 10 of 10

# Firm Regulatory Disclosure Matter Page

# NATIONAL FUTURES ASSOCIATION

Filed on March 01, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by DIVYA DON BOSCO (DONBOSCOD3)

The question(s) you are disclosing the regulatory action under:

☑ E.

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

Regulatory Case Information

# Regulatory Information

Regulatory/Civil Action initiated by NON-U.S. REGULATOR: AKK - ÁLLAMADÓSSÁG KEZELŐ KÖZPONT ZÁRTKÖRŰEN MŰKÖDŐ RÉSZVÉNYTÁRSASÁG

# Case Information

Case Number

N/A

Case Status

FINAL

Date Resolved

October 2020

Sanctions imposed

OTHER: FINE

Comments

Page 1 of 2

**AKK - ÁLLAMADÓSSÁG KEZELŐ KÖZPONT ZÁRTKÖRŰEN MŰKÖDŐ RÉSZVÉNYTÁRSASÁG ALLEGED THAT DURING THE SECOND HALF OF THE CALENDAR YEAR 2020, GOLDMAN SACHS INTERNATIONAL ('GSI') FAILED TO MEET PRIMARY DEALER QUOTING OBLIGATIONS IN ACCORDANCE WITH THE AGENCY CONTRACT BETWEEN GSI AND AKK AND THE RELEVANT MARKET MAKING RULES. THE AKK IMPOSED A FINE ON GSI IN THE AMOUNT OF HUF 500,000, WHICH WAS PAID BY SUBMISSION OF A WIRE.**

#### Supporting Documentation---

| Description | AKK FINE (HUNGARIAN) |
| --- | --- |
| File Name | Goldman September 2020.pdf |
| Description | AKK FINE 2020 GOLDMAN SACHS |
| File Name | AKK Fine 2020.pdf |

---

Page 2 of 2

# Firm Business Locations

## COMMODITY FUTURES TRADING COMMISSION
## NATIONAL FUTURES ASSOCIATION

Filed on March 22, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by JAMISON YARDLEY (YARDLEYJ16)

Business Information

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 10

Business Locations Filed on March 22, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Exempt Foreign Firm Contact Information

Exempt Foreign Firm Contact Address

| First Name | LEGAL |
| --- | --- |
| Last Name | DEPARTMENT |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44-207-774-1000 |
| Email | GSLDN-COSEC@LN.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 10

Business Locations Filed on March 22, 2021
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Location of Business Records

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 10

Business Locations Filed on March 22, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Registration Contact Information

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 10

Business Locations Filed on March 22, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Enforcement/Compliance Communication Contact Information

| First Name | CHARLES |
| --- | --- |
| Last Name | EVE |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7552-2253 |
| Email | GS-GSI-CFTC-COMPLAINTS@GS.COM |

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | ERICA |
| --- | --- |
| Last Name | MALIN |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-5107 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | KAREN |
| --- | --- |
| Last Name | PARK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |

---

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 10

Business Locations Filed on March 22, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

| Zip/Postal Code | 10282 |
| --- | --- |
| Country | UNITED STATES |
| Phone | 917-343-6775 |
| Email | US-REG-INQUIRIES@GS.COM |
| First Name | CECILIA |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 10

Business Locations Filed on March 22, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Membership Contact Information

### Membership Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

### Accounting Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 7 of 10

Business Locations Filed on March 22, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Arbitration Contact

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

Compliance Contact

| First Name | JOANNA |
| --- | --- |
| Last Name | REDGRAVE |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7774-5901 |
| Email | JOANNA.REDGRAVE@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 8 of 10

Business Locations Filed on March 22, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Chief Compliance Officer Contact

| First Name | JOANNA |
| --- | --- |
| Last Name | REDGRAVE |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7774-5901 |
| Email | JOANNA.REDGRAVE@GS.COM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 9 of 10

Business Locations Filed on March 22, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 10 of 10

# Firm Regulatory Disclosure Matter Page

## NATIONAL FUTURES ASSOCIATION

Filed on March 23, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by JAMISON YARDLEY (YARDLEYJ16)

The question(s) you are disclosing the regulatory action under:

☑ E.

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

Regulatory Case Information

Regulatory Information

Regulatory/Civil Action initiated by NON-U.S. REGULATOR: FINANSTILSYNET, THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY

Case Information

Case Number

20/4962

Case Status

FINAL

Date Resolved

February 2021

Sanctions imposed

OTHER: FINE

Comments

Page 1 of 2

ON FEBRUARY 24, 2021, FINANSTILSYNET, THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY CONCLUDED THAT GOLDMAN SACHS GROUP, INC., GOLDMAN SACHS INTERNATIONAL, AND GOLDMAN SACHS & CO. LLC VIOLATED THE NOTIFICATION REQUIREMENT UNDER SECTION 3-14 OF THE NORWEGIAN SECURITIES TRADING ACT, CF. REGULATION (EU) NO 236/2012 ("SSR") ARTICLE 5, CF. ARTICLE 9, BY NOT NOTIFYING FINANSTILSYNET OF NET SHORT POSITIONS WITHIN THE TIME LIMIT LAID IN ACCORDANCE WITH SSR. FINANSTILSYNET IMPOSED A VIOLATION PENALTY OF NOK 350,000.

Supporting Documentation

Description

File Name

FINANSTILSYNET NOTIFICATION

Finanstilsynet Notification.pdf

Page 2 of 2

# Firm Regulatory Disclosure Matter Page

## NATIONAL FUTURES ASSOCIATION

Filed on April 14, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by JAMISON YARDLEY (YARDLEYJ16)

The question(s) you are disclosing the regulatory action under:

☑ E.

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

Regulatory Case Information

### Regulatory Information

Regulatory/Civil Action initiated by NON-U.S. REGULATOR: SWISS FEDERAL DEPARTMENT OF FINANCE

Case Information

Case Number 442.2-591

Case Status FINAL

Date Resolved March 2021

Sanctions imposed

OTHER: FINE

Comments

ON MARCH 18, 2021, THE SWISS FEDERAL DEPARTMENT OF FINANCE DETERMINED THAT GOLDMAN

Page 1 of 2

SACHS INTERNATIONAL ("GSI") VIOLATED THE DISCLOSURE REQUIREMENTS OF ARTICLE 151 AND ARTICLE 120 OF THE FINANCIAL MARKET INFRASTRUCTURES ACT, BY NEGLIGENTLY NOT REPORTING THE CONSOLIDATED POSITION FOR GOLDMAN SACHS IN CASTLE PRIVATE EQUITY LTD, A SWISS COMPANY LISTED ON THE SWISS STOCK EXCHANGE, WITHIN THE TIME LIMIT REQUIRED. THE SWISS FEDERAL DEPARTMENT OF FINANCE IMPOSED A VIOLATION PENALTY OF CHF 1500 (PLUS ADMINISTRATIVE COST OF CHF 60) AGAINST GOLDMAN SACHS INTERNATIONAL.

Supporting Documentation

Description

File Name

SWISS FEDERAL DEPARTMENT OF FINANCE

GS Response to the Swiss Federal Department of Finance.pdf

Page 2 of 2

# Firm Regulatory Disclosure Matter Page

## NATIONAL FUTURES ASSOCIATION

Filed on May 05, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by JAIME DUPRATT (DUPRATTJ1)

The question(s) you are disclosing the regulatory action under:

☑ E.

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

Regulatory Case Information

### Regulatory Information

Regulatory/Civil Action initiated by OTHER SELF-REGULATORY ORGANIZATION: ICE CLEAR CREDIT LLC

Case Information

Case Number 2021-404B-005

Case Status FINAL

Date Resolved April 2021

Sanctions imposed

OTHER: FINE

Comments

ON APRIL 5, 2021, ICE CLEAR CREDIT LLC ALLEGED THAT DURING MARCH 2021, IN ONE INSTANCE,

Page 1 of 2

GOLDMAN SACHS INTERNATIONAL VIOLATED ICE CLEAR CREDIT RULE 404(B), BY FAILING TO SUBMIT EIGHTY-ONE SINGLE NAME PRICES ON A TIMELY BASIS. ICE CLEAR CREDIT LLC IMPOSED A FINE OF $40,000.

Supporting Documentation

Description

File Name

ICE CLEAR CREDIT NOTIFICATION

ICE Clear Credit Notification.pdf

Page 2 of 2

# Firm Regulatory Disclosure Matter Page

## NATIONAL FUTURES ASSOCIATION

Filed on June 24, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by JAIME DUPRATT (DUPRATTJ1)

The question(s) you are disclosing the regulatory action under:

☑ I.

Is the firm a party to any action, the resolution of which could result in a "Yes" answer to the above questions?

Regulatory Case Information

Regulatory Information

Regulatory/Civil Action initiated by NON-U.S. REGULATOR: COMISSAO DE VALORES MOBILIARIOS (CVM)

Case Information

Case Number 19957.000791/2020-59

Case Status PENDING

Date Initiated June 2021

Sanctions imposed

OTHER: FINE

Comments

GOLDMAN SACHS DO BRASIL BANCO MULTIPLO S.A. ("GS BRAZIL"), GOLDMAN SACHS INTERNATIONAL ("GSI"), AND DANIEL MOTTA CAMARGO SILVA, A DIRECTOR OF THE TRADING DESK (FICC) OF GS BRAZIL, SUBMITTED A SETTLEMENT PROPOSAL THAT WAS ACCEPTED BY THE COMISSAO DE VALORES MOBILIARIOS ("CVM") BOARD OF COMMISSIONERS. THE SETTLEMENT RESOLVED ALLEGATIONS THAT BETWEEN JANUARY 1, 2018 AND DECEMBER 31, 2019. GSI AND GS BRAZIL CREATED ARTIFICAL CONDITIONS OF DEMAND, OFFER, OR PRICE BY CROSSING IN THE BRAZILIAN EXCHANGE DI X US DOLLAR SPREAD FUTURES IN VIOLATION OF CVM INSTRUCTION N. 08/79. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, GS BRAZIL, GSI, AND MR. SILVA EXPECT TO ENTER INTO A SETTLEMENT AGREEMENT WITH THE CVM BY THE END OF JULY FOR A TOTAL AMOUNT OF BRAZILIAN REAIS 7,480,000.

Supporting Documentation

Description

File Name

GSI CVM DOCUMENTATION

GSI CVM Documentation.docx

Page 1 of 1

# Firm Regulatory Disclosure Matter Page
## NATIONAL FUTURES ASSOCIATION

Filed on July 15, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by DIVYA DON BOSCO (DONBOSCOD3)

The question(s) you are disclosing the regulatory action under:

☑ I.

Is the firm a party to any action, the resolution of which could result in a "Yes" answer to the above questions?

Regulatory Case Information

Regulatory Information

Regulatory/Civil Action initiated by NON-U.S. REGULATOR: SWISS FEDERAL DEPARTMENT OF FINANCE

Case Information

| Case Number | 44 2-629 |
| --- | --- |
| Case Status | PENDING |
| Date Initiated | June 2021 |
| Sanctions imposed |  |
| OTHER: EXPECTED FINE |  |

Comments

ON JUNE 16, 2021, THE SWISS FEDERAL DEPARTMENT OF FINANCE CONCLUDED THEIR ADMINISTRATIVE CRIMINAL INVESTIGATION AND DETERMINED THAT GOLDMAN SACHS INTERNATIONAL ("GSI") VIOLATED THE DISCLOSURE REQUIREMENTS OF ARTICLE 151 AND ARTICLE 134 OF THE FINANCIAL MARKET INFRASTRUCTURES ACT, BY SUBMITTING LATE NOTICES FOR TWELVE TRANSACTIONS EXECUTED DURING AN ONGOING TENDER OFFER OF A SWISS ISSUER.

THE SWISS FEDERAL DEPARTMENT OF FINANCE IS EXPECTED TO ISSUE A FINE AGAINST GSI IN AN AMOUNT NOT TO EXCEED CHF 50,000.

Supporting Documentation

Description

File Name

SWISS FEDERAL DEPARTMENT OF FINANCE FINE

202106156 SchlussprotokollENG.pdf

Page 1 of 1

# Firm Regulatory Disclosure Matter Page
## NATIONAL FUTURES ASSOCIATION

Filed on August 09, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by JAIME DUPRATT (DUPRATTJ1)

The question(s) you are disclosing the regulatory action under:

☑ E.

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

Regulatory Case Information

Regulatory Information

Regulatory/Civil Action initiated by NON-U.S. REGULATOR: COMISSAO DE VALORES MOBILIARIOS (CVM)

Case Information

Case Number 19957.000791/2020-59

Case Status FINAL

Date Resolved June 2021

Sanctions imposed

OTHER: FINE

Comments

GOLDMAN SACHS DO BRASIL BANCO MULTIPLO S.A. ("GS BRAZIL"), GOLDMAN SACHS INTERNATIONAL

Page 1 of 2

("GSI"), AND DANIEL MOTTA CAMARGO SILVA, A DIRECTOR OF THE TRADING DESK (FICC) OF GS BRAZIL, SUBMITTED A SETTLEMENT PROPOSAL THAT WAS ACCEPTED BY THE COMISSAO DE VALORES MOBILIARIOS ("CVM") BOARD OF COMMISSIONERS. THE SETTLEMENT RESOLVED ALLEGATIONS THAT BETWEEN JANUARY 1, 2018 AND DECEMBER 31, 2019. GSI AND GS BRAZIL CREATED ARTIFICIAL CONDITIONS OF DEMAND, OFFER, OR PRICE BY CROSSING IN THE BRAZILIAN EXCHANGE DI X US DOLLAR SPREAD FUTURES IN VIOLATION OF CVM INSTRUCTION N. 08/79. WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, GS BRAZIL, GSI, AND MR. SILVA ENTERED INTO A SETTLEMENT AGREEMENT ON JULY 22, 2021 WITH THE CVM FOR A TOTAL AMOUNT OF BRAZILIAN REAIS 7,480,000 (APPROXIMATELY USD 1,454,941.55), WHICH WAS PAID BY A WIRE SUBMISSION ON AUGUST 5, 2021.

Supporting Documentation

Description

GSI CVM DOCUMENTATION

File Name

GSI CVM Documentation.docx

Page 2 of 2

# Firm Business Locations

### COMMODITY FUTURES TRADING COMMISSION NATIONAL FUTURES ASSOCIATION---

Filed on December 02, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by DIVYA DON BOSCO (DONBOSCOD3)

## Business Information

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 10

Business Locations Filed on December 02, 2021  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Exempt Foreign Firm Contact Information

### Exempt Foreign Firm Contact Address

| First Name | LEGAL |
| --- | --- |
| Last Name | DEPARTMENT |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44-207-774-1000 |
| Email | GSLDN-COSEC@LN.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 10

Business Locations Filed on December 02, 2021
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Location of Business Records

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 10

Business Locations Filed on December 02, 2021  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Registration Contact Information

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 10

Business Locations Filed on December 02, 2021  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Enforcement/Compliance Communication Contact Information

| First Name | CHARLES |
| --- | --- |
| Last Name | EVE |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7552-2253 |
| Email | GS-GSI-CFTC-COMPLAINTS@GS.COM |

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | ERICA |
| --- | --- |
| Last Name | MALIN |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-5107 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | KAREN |
| --- | --- |
| Last Name | PARK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 10

Business Locations Filed on December 02, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

| Zip/Postal Code | 10282 |
| --- | --- |
| Country | UNITED STATES |
| Phone | 917-343-6775 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 10

Business Locations Filed on December 02, 2021  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Membership Contact Information

### Membership Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

### Accounting Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 7 of 10

Business Locations Filed on December 02, 2021  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

# **Arbitration Contact**

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

# **Compliance Contact**

| First Name | MITEN |
| --- | --- |
| Last Name | TRIVEDI |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7552-8317 |
| Email | MITEN.TRIVEDI@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 8 of 10

Business Locations Filed on December 02, 2021  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

# **Chief Compliance Officer Contact**

| First Name | MITEN |
| --- | --- |
| Last Name | TRIVEDI |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7552-8317 |
| Email | MITEN.TRIVEDI@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 9 of 10

Business Locations Filed on December 02, 2021

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 10 of 10

# Firm Regulatory Disclosure Matter Page

# NATIONAL FUTURES ASSOCIATION

Filed on January 06, 2022

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

Submitted by DIVYA DON BOSCO (DONBOSCOD3)

The question(s) you are disclosing the regulatory action under:

In any case brought by a U.S. or non-U.S. governmental body (other than the CFTC), has the firm ever been found, after a hearing or default or as the result of a settlement, consent decree or other agreement, to:

- have violated any provision of any investment-related statute or regulation thereunder; or
- have violated any statute, rule, regulation or order which involves embezzlement, theft, extortion, fraud, fraudulent conversion, forgery, counterfeiting, false pretenses, bribery, gambling, racketeering or misappropriation of funds, securities or property; or
- have willfully aided, abetted, counseled, commanded, induced or procured such violation by any other person; or
- have failed to supervise another person's activities under any investment-related statute or regulation thereunder?

# Regulatory Case Information

# Regulatory Information

Regulatory/Civil Action initiated by NON-U.S. REGULATOR: SWISS FEDERAL DEPARTMENT OF FINANCE

# Case Information

Case Number 44 2-629
Case Status FINAL
Date Resolved November 2021
Sanctions imposed
OTHER: MONETARY FINE

# Comments

THE SWISS FEDERAL DEPARTMENT OF FINANCE ISSUED A FINE OF CHF 3640 (APPROXIMATELY USD

Page 1 of 2

3997.76) WHICH WAS PAID BY A SUBMISSION OF A WIRE ON NOVEMBER 10, 2021.

Supporting Documentation

Description

File Name

SWISS FEDERAL DEPARTMENT OF FINANCE FINE

202106156 SchlussprotokollENG.pdf

Page 2 of 2

2/18/22, 1:37 PM

Online Registration System - Registration Information Change

OMB Numbers 3038-0023 and 3038-0072

# Registration Information Change

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

U.S. REGULATOR INFORMATION ADDED

U.S REGULATOR(S): THE SECURITIES AND EXCHANGE COMMISSION

FILED BY: CRYSTAL ORGILL - ORGILLC3

FILED ON: 2/4/2022 5:56:31 PM

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S

certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

Paperwork Reduction Act Notice and Privacy Act Notice | Disclaimer and Privacy Policy

© 2002-2022 National Futures Association

https://www.nfa.futures.org/eReg/View/PrintDetail.asp?changeTypeCode=1099&formSeqNum=1384697&appendChangeText=ADDED&changeTypeD... 1/1

# Firm Business Locations

COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION

Filed on February 04, 2022

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL
Submitted by CRYSTAL ORGILL (ORGILLC3)

# Business Information

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 10

Business Locations Filed on February 04, 2022  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Exempt Foreign Firm Contact Information

### Exempt Foreign Firm Contact Address

| First Name | LEGAL |
| --- | --- |
| Last Name | DEPARTMENT |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44-207-774-1000 |
| Email | GSLDN-COSEC@LN.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 10

Business Locations Filed on February 04, 2022
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Location of Business Records

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 10

Business Locations Filed on February 04, 2022  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Registration Contact Information

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 10

Business Locations Filed on February 04, 2022  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

### Enforcement/Compliance Communication Contact Information

| First Name | LEE |
| --- | --- |
| Last Name | HUGHES |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7552-0223 |
| Email | GS-GSI-CFTC-COMPLAINTS@GS.COM |

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 2001 ROSS AVENUE |
| Street Address 2 | SUITE 2800 |
| City | DALLAS |
| State (United States only) | TEXAS |
| Zip/Postal Code | 75201 |
| Country | UNITED STATES |
| Phone | (212) 357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | ERICA |
| --- | --- |
| Last Name | MALIN |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-5107 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | KAREN |
| --- | --- |
| Last Name | PARK |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 10

Business Locations Filed on February 04, 2022

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

| State (United States only) | NEW YORK |
| --- | --- |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | 917-343-6775 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 10

Business Locations Filed on February 04, 2022  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Membership Contact Information

### Membership Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

### Accounting Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 7 of 10

Business Locations Filed on February 04, 2022

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

# Arbitration Contact

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

# Compliance Contact

| First Name | MITEN |
| --- | --- |
| Last Name | TRIVEDI |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7552-8317 |
| Email | MITEN.TRIVEDI@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 8 of 10

Business Locations Filed on February 04, 2022

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

# Chief Compliance Officer Contact

| First Name | MITEN |
| --- | --- |
| Last Name | TRIVEDI |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7552-8317 |
| Email | MITEN.TRIVEDI@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 9 of 10

Business Locations Filed on February 04, 2022

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 10 of 10

# Firm Business Locations

COMMODITY FUTURES TRADING COMMISSION
NATIONAL FUTURES ASSOCIATION

Filed on June 24, 2022

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL
Submitted by DIVYA DON BOSCO (DONBOSCOD3)

# Business Information

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone Number | 44 (20) 7774-1000 |
| Fax Number | 44 (20) 7051-3117 |
| Email | Not provided |
| Website/URL | Not provided |
| CRD/IARD ID | Not provided |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 1 of 10

Business Locations Filed on June 24, 2022  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Exempt Foreign Firm Contact Information

### Exempt Foreign Firm Contact Address

| First Name | LEGAL |
| --- | --- |
| Last Name | DEPARTMENT |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44-207-774-1000 |
| Email | GSLDN-COSEC@LN.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 2 of 10

Business Locations Filed on June 24, 2022
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL

# Location of Business Records

| Street Address 1 | PLUMTREE COURT |
| --- | --- |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 3 of 10

Business Locations Filed on June 24, 2022

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Registration Contact Information

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 4 of 10

Business Locations Filed on June 24, 2022

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Enforcement/Compliance Communication Contact Information

| First Name | JOSEPH |
| --- | --- |
| Last Name | BURKE |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 357-3164 |
| Email | GS-FUTURESINQUIRES-US@NY.EMAIL.GS.COM |

| First Name | G SUNIL |
| --- | --- |
| Last Name | CHOWDARY |
| Title | VICE PRESIDENT |
| Street Address 1 | 2001 ROSS AVENUE |
| Street Address 2 | SUITE 2800 |
| City | DALLAS |
| State (United States only) | TEXAS |
| Zip/Postal Code | 75201 |
| Country | UNITED STATES |
| Phone | (972) 368-4068 |
| Email | GS-FUTURESINQUIRES-US@NY.EMAIL.GS.COM |

| First Name | LEE |
| --- | --- |
| Last Name | HUGHES |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7552-0223 |
| Email | GS-GSI-CFTC-COMPLAINTS@GS.COM |

| First Name | RYAN |
| --- | --- |
| Last Name | LESTER |
| Title | MANAGING DIRECTOR |
| Street Address 1 | 2001 ROSS AVENUE |
| Street Address 2 | SUITE 2800 |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 5 of 10

Business Locations Filed on June 24, 2022

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

| City | DALLAS |
| --- | --- |
| State (United States only) | TEXAS |
| Zip/Postal Code | 75201 |
| Country | UNITED STATES |
| Phone | (212) 357-5299 |
| Email | US-REG-INQUIRIES@GS.COM |

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 6 of 10

Business Locations Filed on June 24, 2022  
NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Membership Contact Information

### Membership Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN STREET |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801-884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

### Accounting Contact

| First Name | CRYSTAL |
| --- | --- |
| Last Name | ORGILL |
| Title | VICE PRESIDENT |
| Street Address 1 | 111 SOUTH MAIN |
| City | SALT LAKE CITY |
| State (United States only) | UTAH |
| Zip/Postal Code | 84111 |
| Country | UNITED STATES |
| Phone | 801 884-1533 |
| Email | GS-REG-REPORTING-SLC@NY.EMAIL.GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 7 of 10

Business Locations Filed on June 24, 2022

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

# Arbitration Contact

| First Name | CECILIA |
| --- | --- |
| Last Name | PEREZ |
| Title | VICE PRESIDENT |
| Street Address 1 | 200 WEST STREET |
| City | NEW YORK |
| State (United States only) | NEW YORK |
| Zip/Postal Code | 10282 |
| Country | UNITED STATES |
| Phone | (212) 902-2116 |
| Email | CECILIA.PEREZ@GS.COM |

# Compliance Contact

| First Name | MITEN |
| --- | --- |
| Last Name | TRIVEDI |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7552-8317 |
| Email | MITEN.TRIVEDI@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 8 of 10

Business Locations Filed on June 24, 2022

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

# Chief Compliance Officer Contact

| First Name | MITEN |
| --- | --- |
| Last Name | TRIVEDI |
| Title | MANAGING DIRECTOR |
| Street Address 1 | PLUMTREE COURT |
| Street Address 2 | 25 SHOE LANE |
| City | LONDON |
| Zip/Postal Code | EC4A 4AU |
| Country | UNITED KINGDOM |
| Phone | 44(20)7552-8317 |
| Email | MITEN.TRIVEDI@GS.COM |

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 9 of 10

Business Locations Filed on June 24, 2022

NFA ID 0250788 GOLDMAN SACHS INTERNATIONAL---

## Registration Certification Statement

BY FILING THIS UPDATE, THE APPLICANT, REGISTRANT OR SPONSOR AGREES THAT SUCH FILING CONSTITUTES THE APPLICANT'S, REGISTRANT'S OR SPONSOR'S certification that the answers and the information provided in the update are true, complete and accurate and that in light of the circumstances under which the applicant, registrant or sponsor has given them, the answers and statements in the update are not misleading in any material respect; certification that the person who electronically files the update on behalf of the applicant, registrant or sponsor is authorized by the applicant, registrant or sponsor to file the update on behalf of the applicant, registrant or sponsor and to make all required certifications and acknowledgements; and acknowledgement that the applicant, registrant or sponsor is subject to the imposition of criminal penalties under Section 9(a) of the Act and 18 U.S.C. §1001 for any false statements or omissions made in the update.

---

OMB Numbers 3038-0023 (exp. September 30, 2023) & 3038-0072 (exp. September 30, 2023)

Page 10 of 10

**Attachment 3:** `supplementaldocumentationgsi.pdf`

Goldman Sachs

**VIA EDGAR SUBMISSION**

**FORM SBSE-A - SUPPLEMENTAL INFORMATION**

Applicant: GOLDMAN SACHS INTERNATIONAL

**Schedule B: Form SBSE-A**

Section II. Record Maintenance Arrangements / Business Arrangements / Control Persons / Financings

**Item 13A.**

Firm or Organization Name:

**IRON MOUNTAIN INFORMATION MANAGEMENT LLC.**

**1 FEDERAL STREET**

**BOSTON, MA 02110**

Effective Date:

**12-1-2000**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

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

Firm or Organization Name:

**DELL INC.**

**ONE DELL WAY RR1-61**

**ROUND ROCK, TX 78682**

Effective Date:

**10-1-2008**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

1

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

Firm or Organization Name:

**NICE LTD**

**8 HAPNINA ST**

**ISRAEL, RA'ANANA 43107**

Effective Date:

**2-28-2010**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

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

Firm or Organization Name:

**THE DEPOSITORY TRUST & CLEARING CORPORATION (DTCC)**

**55 WATER STREET**

**NEW YORK CITY, NY 10041**

Effective Date:

**9-3-2003**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

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

Firm or Organization Name:

**PRICEWATERHOUSECOOPERS LLP (PWC)**

**300 MADISON AVENUE**

**NEW YORK, NY 10017**

Effective Date:

**1-1-1922**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

**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**

2

# **APPLICANT.**

Firm or Organization Name:

**CISIVE, FORMERLY CARCO GROUP, INC.**

**5000 CORPORATE COURT**

**SUITE 203**

**HOLTSVILLE, NY 11742**

Effective Date:

**8-12-2013**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

**CISIVE CONDUCTS BACKGROUND CHECKS OF POTENTIAL AND CURRENT EMPLOYEES, AND MAINTAINS THE RECORDS OF ALL SUCH INVESTIGATIONS IT CONDUCTS.**

Firm or Organization Name:

**IHS MARKIT LTD.**

**15 INVERNESS WAY E**

**ENGLEWOOD, COLORADO, 80112**

Effective Date:

**03/17/2021**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

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

# **13B.**

Firm or Organization Name:

**ICE CLEAR EUROPE**

**60 CHISWELL STREET**

**5$^{TH}$ FLOOR, MILTON GATE**

**LONDON, UK EC1Y 4SA**

Effective Date:

**07-07-2009**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement

3

arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

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

Firm or Organization Name:

**ICE CLEAR CREDIT LLC**
**353 NORTH CLARK STREET**
**SUITE 3100**
**CHICAGO, IL 60654**

Effective Date:

**7-13-2011**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

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

Firm or Organization Name:

**JAPAN SECURITIES CLEARING CORPORATION**
**2-1, NIHOMBASHI-KABUTO-CHO**

**CHUO-KU**
**TOKYO, JAPAN**

**103-0026**

Effective Date:

**11-09-2018**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

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

Firm or Organization Name:

**LCH SA, PARIS (BANQUE CENTRAL DE COMPENSATION)**
**18 RUE DU QUATRE SEPTEMBRE**

**PARIS, FRANCE 75002**

Effective Date:

**12-14-2009**

Briefly describe the nature of the arrangement with respect to books or records (ITEM 13A); the nature of the execution, trading, custody, clearing or settlement

4

arrangement (ITEM 13B); the nature of the control or agreement (ITEM 14); or the method and amount of financing (ITEM 15). Use reverse side of this sheet for additional comments if necessary.

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

5

**Attachment 4:** `swapdealeropinion.pdf`

# CLEARY GOTTLIEB STEEN & HAMILTON LLP

NEW YORK
WASHINGTON, D.C.
PARIS
BRUSSELS
FRANKFURT
COLOGNE
MOSCOW

2 London Wall Place
London EC2Y 5AU
T: +44 20 7614 2200
F: +44 20 7600 1698
clearygottlieb.com

ROME
MILAN
HONG KONG
BEIJING
BUENOS AIRES
SÃO PAULO
ABU DHABI
SEOUL

October 21, 2021

To:

Goldman Sachs International
Plumtree Court,
25 Shoe Ln,
London, EC4A 4AU,
United Kingdom

With a copy to:

United States Securities and Exchange Commission
SEC Headquarters
100 F Street
NE Washington, DC 20549-1090
United States of America

Re: SEC Registration as a Non-resident Security-based Swap Dealer

We have acted as special English counsel to Goldman Sachs International (the “Firm”), an investment firm regulated by the United Kingdom (“UK”) Financial Conduct Authority (“FCA”) and the UK Prudential Regulation Authority (“PRA”), in connection with the Firm’s application to register with the United States (“U.S.”) Securities and Exchange Commission (“SEC” or the “Commission”) as a non-resident security-based swap (“SBS”) dealer (“SBSD”). In connection with such registration, we have been asked to analyze the following questions:

- (a) whether the Firm can, as a matter of English law, provide the SEC with prompt access to its UK Books and Records (as defined below);
- (b) whether the Firm can, as a matter of English law, submit to on-site inspection and examination by the SEC of its UK Books and Records in the UK; and
- (c) whether the Firm would be in breach of English law by submitting to on-site inspections and examination of its U.S. Books and Records (as defined below) by the SEC in the U.S.

This legal opinion is provided in order to satisfy the requirement in 17 C.F.R. § 15Fb2-4(c)(1)(ii).

Cleary Gottlieb Steen & Hamilton LLP is a Limited Liability Partnership registered in England and Wales Number OC310280. It is authorised and regulated by the Solicitors Regulation Authority. A list of the members and their professional qualifications is open to inspection at the registered office, 2 London Wall Place, London EC2Y 5AU. Cleary Gottlieb Steen & Hamilton LLP or an affiliated entity has an office in each of the cities listed above.

For the purposes of this opinion letter:

“Covered Books and Records” are only those books and records that:

(a) relate to the “U.S. business” (as defined in 17 C.F.R. § 240.3a71-3(a)(8)) of the Firm when acting as a non-resident SBSD, i.e., records that relate to an SBS transaction that is either:

(i) entered into, or offered to be entered into, by or on behalf of the Firm with a U.S. person (other than an SBS conducted through a foreign branch of such U.S. person); or

(ii) arranged, negotiated, or executed by personnel of the Firm located in a U.S. branch or office, or by personnel of an agent of the Firm located in a U.S. branch or office; or

(b) constitute financial records necessary for the SEC to assess the Firm’s compliance with the SEC’s margin and capital requirements, if applicable.

Additionally, books and records pertaining to SBS transactions entered into prior to the date that the Firm submits an application for registration are not Covered Books and Records.

“Relevant Books and Records” means the UK Books and Records and the U.S. Books and Records.

“UK Books and Records” are only those Covered Books and Records that are physically held or electronically stored in the UK.

“U.S. Books and Records” are only those Covered Books and Records that are physically held or electronically stored in the United States.

In arriving at our opinions below, we have reviewed:

(a) the Memorandum of Understanding signed between the FCA, the PRA and the SEC on July 30, 2021 (the “MoU”);1

(b) the administrative arrangement for the transfer of personal data between the SEC and the FCA signed on 29 April 2020 (the “Administrative Arrangement”);2

(c) the letter from the UK Information Commissioner’s Office (the “ICO”) to the SEC dated September 11, 2020 (the “ICO Letter”);3 and

(d) the SEC order granting conditional substituted compliance in connection with certain requirements applicable to non-U.S. security-based swap dealers and major

1 Memorandum of Understanding Concerning Consultation, Cooperation and the Exchange of Information Related to the Supervision and Oversight of Certain Cross-Border Over-the-Counter Derivatives Entities In Connection with the Use of Substituted Compliance by Such Entities, signed on 30 July 2021, available at https://www.fca.org.uk/publication/mou/sec-fca-boe-mou-2021.pdf.

2 Available at: https://www.sec.gov/files/FCA-SEC-AA-FINAL.pdf.

3 Available at: https://ico.org.uk/media/for-organisations/documents/2619110/sec-letter-20200911.pdf.

2

security-based swap participants subject to regulation in the United Kingdom, dated July 30, 20214.

In addition, we have made such investigations of law as we have deemed appropriate as a basis for the opinions expressed below.

# I. ASSUMPTIONS

In rendering our opinion statements below, we have assumed and not independently verified:

(a) the SEC’s requests for the Relevant Books and Records (as defined below) and on-site inspection and examination will be intra vires;

(b) the SEC will restrict its requests for, and use of, any information in the Relevant Books and Records or obtained in the course of its on-site inspection and examination, to only such information that it may lawfully request and process for (and that is strictly necessary for) its own legitimate regulatory purposes in respect of the Firm’s activities as a non-resident SBSD;

(c) the SEC will limit its requests in respect of personal data (as defined in Article 4(1) UK GDPR, “personal data”) included in the Relevant Books and Records to targeted requests based upon a risk-based assessment in respect of specific customers, employees and accounts5;

(d) the SEC will maintain any information, data and documents obtained from the Firm in a secure manner and in compliance with all applicable U.S. laws of confidentiality and not share onwards any personal data obtained from the Firm other than in accordance with a lawful request of the U.S. Congress or a properly issued subpoena, or to other regulators who have demonstrated a need for the information and provided assurances of confidentiality;

(e) the Relevant Books and Records have been collected and maintained, and are and will be held, in accordance with the Data Protection Laws (as defined below) and English employment law relating to the processing of personal data of employees; in particular, the Firm and any relevant affiliates, as the case may be, have complied with all transparency requirements in respect of its processing of personal data by means of providing sufficiently detailed notices and information to its customers and employees and is otherwise complying with Data Protection Laws and employment law requirements relating to the processing of personal data of employees;

(f) the Firm or its relevant associated persons (including affiliates), as the case may be, have obtained all required consents and approvals of any affected persons required for the disclosure of the respective information in the UK Books and Records or the U.S. Books and Records, as the case may be, to, or to allow on-site inspection and examination by, the

4 Available at: https://www.sec.gov/rules/other/2021/34-92529.pdf

5 The ICO Letter states that the SEC has informed the ICO that: “it is the SEC’s practice to limit the type and amount of personal data it requests during examinations to targeted requests based on risk and related to specific clients and accounts, and employees. The requested information may include some limited criminal records data and ‘special category data’ under the GDPR”.

3

SEC, in each case to the extent, as considered in this opinion letter, such consent or approval, as the case may be, is able to be validly given and such consent or approval has not been revoked;

(g) where the Firm is acting as controller (as defined in Article 4(7) UK GDPR, “controller”) with respect to any element of the Relevant Books and Records that constitutes personal data, the Firm will comply in all respects with all provisions of the Data Protection Laws and the Guidelines that are relevant in order for at least one of the conditions for transfer of data to a third country pursuant to Article 49 UK GDPR to be available to it; and where transfers of personal data are made to the SEC in the absence of an adequacy decision pursuant to Article 45(3) UK GDPR$^{6}$, such disclosure will be necessary for important reasons of public interest (under Article 49(1)(d) UK GDPR) in accordance with the ICO Letter;$^{7}$

(h) the Firm has neither permitted the private use of the Firm’s business e-mail accounts nor the use of private email accounts for business purposes by its employees, or the Firm has policies in place that regulate such use with sufficient separation;

(i) the Firm does not include the information described in 17 C.F.R. §§ 240.18a-5(b)(8)(i)(A) through (H) or 240.18a-5(a)(10)(i)(A) through (H), as the case may be, in questionnaires or applications for employment executed by an associated person who is not a U.S. person (as defined in 17 C.F.R. §240.3a71-3(a)(4)(i)(A)), unless the Firm is required to obtain such information under applicable law in the jurisdiction in which the associated person is employed or located or obtains such information in conducting a background check that is customary for the Firm in that jurisdiction and the creation or maintenance of records reflecting that information would not result in a violation of applicable law in the jurisdiction in which the associated person is employed or located; provided that the Firm does not know, or in the exercise of reasonable care should have known, of the statutory disqualification of such associated person;

(j) the Firm will keep the U.S. Books and Records in accordance with any applicable SEC requirements;

(k) the MoU is in full force and effect and no notice of termination has been sent pursuant to Article XI thereof;

$^{6}$ As supplemented by Section 17A UK DPA 2018.

$^{7}$ The ICO Letter provides support for the view that the Firm’s compliance with an SEC disclosure request might, on a case-by-case basis and subject to the qualifications in the ICO Letter, be considered by the ICO to be in the UK public interest since such disclosure helps to: (i) prevent UK financial crimes from being committed and (ii) prevent the commission in the U.S. of conduct that would amount to a UK financial crime. In the ICO’s assessment in the ICO Letter, the Financial Services and Markets Act 2000 (the “FSMA”) further demonstrates that there is a “UK public interest in UK-based firms not being used for the purposes of conduct overseas that would constitute a financial crime if committed in the UK.” In addition, compliance with the SEC’s request for disclosure and examination helps the Firm comply with Principle 11 of the FCA Handbook and the PRA’s Fundamental Rule 7, which require FCA- and PRA-regulated firms to deal with regulators worldwide in an open and cooperative way. The ICO Letter therefore supports the view that the relevant data transfers could be considered necessary for important reasons of public interest. However, the ICO Letter also makes clear the importance of complying with other UK GDPR obligations. In addition to relying on Article 49(1)(d) (if it can do so), the Firm also has to demonstrate a lawful basis under Article 6 UK GDPR for every instance it makes a disclosure or permits examination of the Relevant Books and Records by the SEC.

4

(l) the FCA, the PRA and the SEC (as applicable) will comply in all respects with all provisions of the UK MOU and Administrative Arrangement; and

(m) neither the contractual arrangements with its customers or within its own organisation (including any standard contractual clauses or other intragroup data transfer mechanism or protocol) nor any orders by, or other arrangements with, its regulators or other supervisory authorities (including the FCA or the PRA) prohibit the Firm from providing the SEC with prompt access to the UK Books and Records or to submit to on-site inspection and examination of the Relevant Books and Records by the SEC.

## II. OPINION STATEMENTS

Based upon the foregoing and subject to the assumptions in this letter and the following discussion and qualifications, it is our opinion that:

(a) the Firm can, as a matter of English law, provide the SEC with prompt access to its UK Books and Records;

(b) the Firm can, as a matter of English law, submit to on-site inspection and examination by the SEC of its UK Books and Records in the UK; and

(c) the Firm can, as a matter of English law, submit to on-site inspection and examination by the SEC of its U.S. Books and Records in the United States.

## III. DISCUSSION

### 1. Data Protection Law

The UK data protection regime is largely derived from European Union (“EU”) privacy and data protection laws retained in successor UK legislation after the UK’s withdrawal from the EU.

The primary law regulating the processing of personal data in the EU is the General Data Protection Regulation 2016/679 (the “GDPR”). The GDPR forms part of the UK’s “retained EU law” under (and as defined in) the European Union (Withdrawal) Act 2018 (“EUWA”). The UK version of the GDPR operates under the EUWA as amended by Schedule 1 to the Data Protection, Privacy and Electronic Communications (Amendments etc.) (EU Exit) Regulations 2019 (SI 2019/419) (“UK GDPR”), and sits alongside the UK Data Protection Act 2018 (“DPA 2018”), which contains provisions that serve to supplement (and in some cases, derogate from) the UK GDPR.

The UK GDPR and the DPA 2018 (together, the “Data Protection Laws”) will apply to the Firm’s disclosure of the Relevant Books and Records to the SEC to the extent that these comprise or contain personal data. Personal data is any data relating to an identified or identifiable living individual and may include information concerning the Firm’s employees, counterparties and customers.

As described in the ICO Letter, the UK GDPR “*provides a range of transfer tools and gateways*”$^{8}$ that permit in certain circumstances the transfer of personal data

$^{8}$ ICO Letter, page 3.

5

from entities, acting as controller or processor, in the UK such as the Firm to public authorities such as the SEC in the absence of an adequacy decision pursuant to Article 45(3) UK GDPR.9 For instance, Article 46(1) UK GDPR provides that a UK-based entity may transfer personal data to a third country if the entity has provided “appropriate safeguards, and on condition that enforceable data subject rights and effective legal remedies for data subjects are available”. Furthermore, Article 49 UK GDPR provides that in the absence of an adequacy decision pursuant to Article 45(3) UK GDPR, or of appropriate safeguards pursuant to Article 46, a transfer or a set of transfers of personal data to a third country may take place based on one of the derogations enumerated in Article 49 UK GDPR, provided that all the conditions of such a derogation are met. Such conditions include:

(a) the data subject has explicitly consented to the proposed transfer, after having been informed of the possible risks of such transfers for the data subject due to the absence of an adequacy decision and appropriate safeguards;

(b) the transfer is necessary for the performance of a contract between the data subject and the controller or the implementation of pre-contractual measures taken at the data subject's request;

(c) the transfer is necessary for the conclusion or performance of a contract concluded in the interest of the data subject between the controller and another natural or legal person;

(d) the transfer is necessary for important reasons of public interest; and

(e) in case none of the above conditions are applicable, if the transfer is not repetitive, concerns only a limited number of data subjects, is necessary for the purposes of compelling legitimate interests pursued by the controller which are not overridden by the interests or rights and freedoms of the data subject, and the controller has assessed all the circumstances surrounding the data transfer and has on the basis of that assessment provided suitable safeguards with regard to the protection of personal data. The controller shall, in addition to providing the information referred to in Articles 13 and 14 UK GDPR, inform the data subject of the transfer and of the compelling legitimate interests pursued.

In addition, the European Data Protection Board (“EDPB”) has issued guidelines as to the scope and interpretation of Article 49 GDPR on derogations in the context of transfers of personal data to third countries (the “Guidelines”).10

Given the absence as of the date hereof of an adequacy decision pursuant to Article 45(3) UK GDPR with respect to the United States, the Firm can provide access to the SEC to, and submit to onsite inspection by the SEC with respect to, elements of Relevant Books and Records that constitute personal data only if the conditions of Article 46(1) UK GDPR or Article 49 UK GDPR (as interpreted by the Guidelines) are satisfied.

9 According to Article 44 UK GDPR, any transfer of personal data to third countries or international organizations must, in addition to complying with Chapter V UK GDPR, also meet the conditions of the other provisions of the UK GDPR

10 EDPB’s Guidelines 2/2018 on derogations of Article 49 under Regulation 2016/679, adopted on 25 May 25 2018, available at: https://edpb.europa.eu/sites/edpb/files/files/file1/edpb_guidelines_2_2018_derogations_en.pdf.

6

It will be the responsibility of the Firm as data controller to assess, on a case-by-case basis (as and when the SEC requires disclosure of or access to Relevant Books and Records that may contain personal data), which of the provisions of the Data Protection Laws may be relied on for the lawful disclosure to the SEC of personal data comprising or contained in the Relevant Books and Records. On the basis of and in reliance on the ICO’s position set out in the ICO Letter, in accordance with which the Firm may be able to rely on the derogation under Article 49(1)(d) UK GDPR to justify the transfer to the SEC of Relevant Books and Records containing personal data, we are of the view that, subject to our assumption in item (g) and the other assumptions and qualifications in this opinion letter, the provision of prompt access to and the submission to on-site inspection and examination of, the Relevant Books and Records, as the case may be, do not conflict with the applicable Data Protection Laws.

## 2. Duty of Confidentiality

Over the years, the English courts have recognized that confidential information may be subject to certain duties of confidentiality, including a general duty of confidentiality, and specific duties applying to banks and employers.$^{11}$

### a. Scope of duties

According to the case, *Coco v AN Clark (Engineers) Ltd* [1968] F.S.R. 415, two requirements are needed for the information to be protected under the general duty of confidentiality. Firstly, the information must have the “*necessary quality of confidence*”.$^{12}$ Secondly, the information must have been given in a situation which imposed an obligation of confidence.

(i) The necessary quality of confidence is defined as information which is not “*public property and public knowledge*”.$^{13}$ Given the information contained in the Relevant Books and Records is not publically available, it is likely to possess the requisite quality of confidence to the extent that the information relates to the Firm’s customers or employees and is not information owned by or relating to the Firm itself.

(ii) The information must have been communicated in a situation where an obligation of confidence was either expressly or impliedly imposed.$^{14}$ The court will consider whether the recipient of the information knew, or ought to have known, that there was a duty of confidentiality in relation to that information. Such duty confidentiality can be imposed by contract, implied by the circumstances of the disclosure, or implied by a special relationship between the parties.

If aspects of the information contained in the Relevant Books and Records relate to either customers or employees, this would likely imply that the Firm, as the recipient, either knew or ought to have known that the information was to be treated confidentially.

$^{11}$ The following discussion is without prejudice to the discussion of the Data Protection Laws above.

$^{12}$ Megarry J in the *Coco v AN Clark (Engineers) Ltd* at 419 used the formulation first used by Lord Greene, M.R. in *Saltman Engineering Co Ltd v Campbell Engineering Co Ltd* [1948] 65 RPC 203, [1963] 3 All ER 413.

$^{13}$ *Saltman Engineering Co Ltd v Campbell Engineering Co Ltd* at 415.

$^{14}$ Megarry J in *Coco v AN Clark (Engineers) Ltd* at 420.

7

Under the banker's duty of confidence established by *Tournier v National Provincial and Union Bank of England* [1924] 1 KB 461 ("*Tournier*"), banks, such as the Firm, must keep its customer's affairs private. The scope of the banker's duty of confidentiality is wide, and extends "*at least to all the transactions that go through the account, and to the securities, if any, given in respect of the account*", "*beyond the point when the account is closed, or cease[s] to be an active account*",15 and encompasses intra-bank disclosures within the same corporate group.16

In contrast, an employer's duty of confidence17 is limited: the Firm will only be restricted in its use of information held in relation to its employees "*where there is no reasonable and proper cause for the employer[']s conduct and only then if the conduct is calculated to destroy or seriously damage the relationship of trust and confidence.*"18

**b. Exceptions**

To bring a successful claim for breach of confidentiality, the legal or natural person to whom the duty of confidentiality is owed (the "*Rights Holder*") must demonstrate that there has been an unauthorized use of confidential information to their detriment.19

Where Relevant Books and Records contain customer information, the Firm will only be able to disclose Relevant Books and Records containing confidential information in un-redacted form via one of the following exceptions established in *Tournier*:

- (a) where the disclosure is made by the express or implied consent of the customer;
- (b) under compulsion of law;
- (c) where the disclosure is in the public interest; or
- (d) where it is in the interests of the bank to make disclosure.

The general and employer's duties of confidentiality are also subject to the exceptions in (a)20 to (c) above.

*i. Consent*

Disclosure of confidential information is permissible where the Rights Holder has given their consent to the disclosure of their confidential information.

There is likely to be a high bar to meet when relying on implied consent. In *Turner v Royal Bank of Scotland Plc* [1999] 2 All E.R, it was decided that established market

15 *Tournier* at 485.

16 *Bank of Tokyo Ltd v Karoon* [1987] 1 AC 45 at 54.

17 *Prout v British Gas Plc and Another* [1992] F.S.R. 478 at 482.

18 *Malik v Bank of Credit and Commerce International SA* [1998] A.C 20 at 53.

19 Megarry J in *Coco v AN Clark (Engineers) Ltd* at 421.

20 The availability of the exception in (a) in relation to the general duty of confidentiality was confirmed by *Arnold J in Primary Group (UK) Ltd v The Royal Bank of Scotland Plc* [2014] R.P.C. 26 at 246.

8

practice of sharing of customer information between banks did not amount to implied consent of the customer as the customer was not aware of this practice. To amount to implied consent, the practice under which disclosure is made must be “*notorious, certain and reasonable*”.$^{21}$

The ability to rely on implied consent in relation to customers will partly depend on what information is provided to customers when the Firm provides services in SBSs. If no information about the jurisdiction or regulators involved is provided, then the Firm would be placing reliance on the customer’s own understanding of regulatory obligations on banks, the U.S. nexus and the SEC’s role in these services, which may not necessarily be present. However, if customers are provided detailed information, such as the Firm’s cross-border activity in SBSs with the United States and oversight by the SEC, then the Firm is more likely to be able to rely on implied consent.

# ii. *Compulsion of law*

Disclosure of confidential information may be permitted when required by statutory law or court order.

However, this exception, as it relates to statutory obligations, is likely only available where the compulsion stems from UK statute$^{22}$ and, despite the existence of UK statutory provisions requiring the disclosure of information that would otherwise be confidential,$^{23}$ none are directly applicable to this situation.

Likewise, a U.S. court order is unlikely to be sufficient for this exception. *X AG and others v A bank* [1983] 2 All ER at 475 held that a subpoena requiring disclosure issued by a foreign court did not qualify as compulsion by law on the basis that “[t]he fact is that confidentiality is not rendered illegal by a subpoena requiring disclosure, which is to be contrasted with some form of legislation to that end.”

Finally, given that the MoU between the FCA, the PRA and the SEC lacks the authority of statute, it should not be relied upon by the Firm for the purpose of this exception.

# iii. *Public interest*

The public interest exception requires a balance to be struck between the rights of the Rights Holders and the public interest in the SEC obtaining that confidential

$^{21}$ Sir Richard Scott VC at 670 quoting from *Chitty on Contracts* (27th edn, 1994), vol I, para 13-014.

$^{22}$ In *A and Others v B Bank (Governor and Company of the Bank of England intervening)* [1992] 3 WLR 705 it was held that there would be no breach of confidentiality where disclosure was ordered by a United Kingdom regulator (the Bank of England) who would then pass the information over to a foreign regulator (the U.S. Federal Reserve Board). However, it was the United Kingdom regulator’s compelling power under the Banking Act 1987, not that of the U.S. Federal Reserve Board, which was decisive.

$^{23}$ For example, under certain circumstances, a person may be required to produce documents or otherwise disclose information in accordance with the FCA’s and PRA’s powers under Part XI of the FSMA. In addition, under s.330 of the Proceeds of Crime Act 2002 it is an offence for someone in the regulated sector not to disclose knowledge or suspicion of money laundering activities as required by the legislation.

9

information.$^{24}$ The test to be applied involves considering whether in all the circumstances, it is in the public interest that the duty of confidence should be overridden.$^{25}$

Disclosure in the public interest has been narrowly construed by the English courts, and the burden is for the Firm to justify disclosure of confidential information.$^{26}$ In *Tournier*, it was suggested that national security concerns,$^{27}$ and disclosure in the interest of preventing fraud or crime would meet this criterion.$^{28}$

However, it has been held that public interest in effective regulation and supervision of banking institutions$^{29}$ outweighs the public interest in maintaining confidentiality, even without statutory compulsion.$^{30}$ In such instances, the weight of the claim for disclosure is greater when considering limited disclosure, such as to a relevant authority acting under its own duties of confidence, as opposed to public dissemination of information.$^{31}$

Disclosure to the SEC may aid the SEC’s supervisory mandate. This would likely be sufficient to establish a public interest in disclosure, as compliance with SEC Rules (i) helps to prevent UK financial crimes from being committed; and (ii) helps to prevent the commission in the U.S. of conduct that would amount to a UK financial crime. In addition, compliance with a request from the SEC for disclosure or examination helps the Firm comply with its obligations under the FCA’s Principle 11 and the PRA’s Fundamental Rule 7, as applicable, which require the Firm to “deal with its regulators$^{32}$ in an open and cooperative way...”.

For these reasons, it is likely that the Firm would be able to rely on this exception to the duties of confidence in permitting the SEC to access and examine its Relevant Books and Records.

# iv. *In the bank's interest*

In certain cases, confidential information that is subject to the banker’s duty of confidentiality may be disclosed where it is in the interests of the bank. This exception is not available for information that is subject to the general duty of confidentiality alone. However, we consider that this exception is available to information that is subject to both such duties,

$^{24}$ *AG v Guardian Newspapers (No 2) and Others* [1990] 1 A.C. 109 (known as *Spycatcher*) at 268.

$^{25}$ *Prince of Wales v Associated Newspapers Ltd (CA)* [2007] 3 WLR at 68.

$^{26}$ *Price Waterhouse v BCCI Holdings (Luxembourg) SA* [1992] BCLC 583 at 597.

$^{27}$ *Tournier* at 481 and 486.

$^{28}$ *Tournier* at 486.

$^{29}$ In *Pharaon v Bank of Credit and Commerce International SA* [1998] 4 All E.R. 455, it was held that a bank could comply with a foreign subpoena without breaching the duty of confidentiality on the basis of the public interest exception (this contrasts with the exception for compulsion of law, as discussed above).

$^{30}$ *Price Waterhouse v BCCI Holdings (Luxembourg) SA* [1992] BCLC 583 at 596 and 601. Although this case concerned disclosure by accountants, the court’s analysis applies equally to the duty of confidentiality owed by a bank.

$^{31}$ *AG v Guardian Newspapers (No 2) and Others* at 268.

$^{32}$ This is considered to include non-UK regulators (see the FCA’s Principles for Businesses (PRIN) 1.1.6G, which sets out that “Principle 11 (Relations with regulators) applies to world-wide activities; in considering whether to take regulatory action under Principle 11 in relation to cooperation with an overseas regulator, the FCA will have regard to the extent of, and limits to, the duties owed by the firm or other person to that regulator.”)

10

leaving only information that does not relate to customers (*e.g.*, information relating to employees) beyond the scope of this exception.

Although it is in the Firm’s interest to comply with the SEC’s requests, the case law indicates that a high bar exists to satisfy this exception. The qualification will most obviously cover the situation where a bank commences proceedings against its customer to recover an unpaid loan or overdraft facility and the bank has to disclose the extent of the customer’s liabilities in its claim.$^{33}$ However, in *XAG and others v A Bank*, Leggatt J held that it was not clearly in the defendant bank’s own interests to comply with a subpoena from New York, as the bank could not establish as a matter of fact that it would face any serious detriment for its failure to comply.$^{34}$ Accordingly, the bank’s own interest exception will be construed narrowly and the court will assess whether the bank’s own interests are genuinely threatened by non-disclosure.

In relation to the SEC’s requests, failure to comply may result in enforcement action and potentially the Firm’s inability to conduct SBS business in U.S. markets. Therefore, it is arguable that the Firm may face serious detriment for a failure to comply with the SEC’s requests.

However, to rely on this exception, the Firm must also balance its interests in complying with the SEC’s disclosure request against the competing interest of its customers in the banker’s duty of confidence being maintained, and the Firm must satisfy itself that those interests do not outweigh its own. This would require an assessment on a case-by-case basis. As each customer’s circumstances differ, this exception may not provide a consistent basis on which to provide information to the SEC in comparison to the public interest exception above.

In conclusion, as explored above, it is unlikely that the compulsion of law exception will be applicable. In relation to the banker’s duty of confidentiality, it may not be possible to rely on disclosure in the bank’s interest in all cases. However, the Firm should be able to rely on the public interest and, where available, consent exceptions to the duties of confidence in permitting the SEC to access and examine its Relevant Books and Records.

#### **IV. QUALIFICATIONS**

The opinion statements above are subject to the qualifications set out below:

(a) This opinion letter relates exclusively to (i) the access provided to the SEC to the UK Books and Records in respect of which, for purposes of the Data Protection Laws, the Firm is a data controller, and that are subject to English law; and (ii) on-site inspection and examination by the SEC of the UK Books and Records on the premises of the Firm in the UK and the U.S. Books and Records on the premises of the Firm in the United States, as the case may be.

(b) This opinion letter is confined to legal matters, and we express no opinion as to any factual matters.

(c) This opinion letter may therefore only be relied upon under the condition that this opinion letter shall be governed by English law and construed in accordance with

$^{33}$ See *Tournier* at 473.

$^{34}$ *XAG and others v A bank* at 475.

11

English rules of construction and that issues of interpretation of this opinion must be brought before an English court.

(d) The opinion statements set out above are limited to English law. We do not express any opinion as to, and have not made any investigation of, any law other than English law in force as at the date hereof and as applied according to published case law.

(e) The opinion statements set out above are based upon the ICO Letter and our understanding that the SEC, in its preliminary view, has been provided “*with adequate assurances*” by the FCA and the PRA that “*no law or policy would impede the ability of any entity that is directly supervised by the authority and that may register with the Commission to provide prompt access to the Commission to such entity’s books and records or to submit to onsite inspection or examination by the Commission*”$^{35}$. The opinion statements set out above are predicated on the ICO not significantly changing its proposed regulatory approach to the matters set out in the ICO Letter following the end of the transition period after the UK’s withdrawal from the EU.$^{36}$

(f) The opinion statements to the effect that the Firm “can”, as a matter of English law, take certain actions is not an expression of any opinion or a confirmation that it may (lawfully) do so in any given instance where the opportunity, or request, or requirement to do so arises. It is a fundamental part of this opinion that the Data Protection Laws stipulate certain legal bases on which such action *may* be taken, but the lawfulness of actually taking such action is subject to the scope and qualifications of the relevant legal basis (such as, in the case of processing on the bases of Articles 6(1)(e) and 6(1)(f) UK GDPR, a right of data subjects to object to the relevant processing$^{37}$) and other applicable provisions of the Data Protection Laws,$^{38}$ as set out in this opinion letter. Whether the requirements of (and qualifications to) the legal basis to be relied upon in a specific case are actually fulfilled, must be determined on a case-by-case basis by the Firm (as and when the SEC requires disclosure of or access to Relevant Books and Records that may contain personal data) after due and careful consideration.

(g) The opinions expressed herein are rendered on and as of the date hereof, and we assume no obligation to advise you (or any other person who may rely on this opinion letter in accordance with the paragraph above), or undertake any investigations, as to any legal developments or factual matters arising subsequent to the date hereof that might affect the opinions expressed herein. We acknowledge that SEC rules require a non-resident SBSD to re-certify within ninety days after any changes in the legal or regulatory framework that would impact the ability of the SBSD to provide, or the manner in which it would provide, prompt

$^{35}$ See Federal Register / Vol. 86, No. 149 / Friday, August 6, 2021 / Notices, p. 6 available at https://www.govinfo.gov/content/pkg/FR-2021-08-06/pdf/2021-16657.pdf.

$^{36}$ The ICO states to the SEC in the ICO Letter: “*The UK has left the European Union and is currently in a transition period when EU laws, including GDPR, continue to apply. At the end of this transition period on 1 January 2021 the UK GDPR will apply, which will contain very similar provisions. We do not anticipate any significant change to our approach to the application of the UK GDPR to the transfers of personal data by SEC regulated UK firms to you.*”

$^{37}$ UK GDPR Article 21(1).

$^{38}$ For instance, in the ICO Letter, the ICO states that: “*We would not find there to be a breach of the GDPR transfer rules if the firm provided evidence that it had carefully considered and appropriately applied the Art. 49.1(d) ‘public interest’ derogation.*” (emphasis added). The opinions expressed in this letter regarding Article 49(1)(d) are accordingly subject to the Firm’s compliance with these ICO requirements.

12

access to its books and records, or would impact the ability of the SEC to inspect and examine the SBSD. Upon such change of law, the SBSD will be required to submit a revised opinion describing how, as a matter of English law, the SBSD will continue to meet its obligations.

(h) The MoU is not a legally binding agreement and therefore that the SEC, the FCA and the PRA are not under a legal obligation to comply with its provisions.

## V. RELIANCE

This opinion letter is being furnished solely for the benefit of the Firm and is not to be relied on by, or furnished to, any other person or used, circulated, quoted or otherwise referred to for any other purpose, except that the Firm may submit this opinion letter to the SEC as part of its application to register as a non-resident SBSD. In authorizing the Firm to make this opinion letter available to the SEC for such purposes, we are not undertaking or assuming any duty or obligation to the SEC or establishing any lawyer-client relationship with it.

This opinion letter is limited to the matters expressly stated herein and does not extend to, and is not to be read as extended by implication to, any other matters.

Very truly yours,

CLEARY GOTTLIEB STEEN & HAMILTON LLP

By:

Sunil Gadhia, a Partner

13

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

### Applicant Information

**Full Applicant Name:** GOLDMAN SACHS INTERNATIONAL

**NFA Number:** 250788

**IRS Employer ID No.:** 52-1920124

**CIK:** 0000908777

**UIC:** W22LROWP2IHZNBB6K528

**Main Address:** PLUMTREE COURT, 25 SHOE LANE, LONDON, X0, EC4A 4AU

**Business Telephone:** 44 20 7774 1000

**Contact Employee:**

- **Name:** MITEN TRIVEDI

- **Title:** CHIEF COMPLIANCE OFFICER

- **Phone:** 44-20-7552 8317

- **Email:** MITEN.TRIVEDI@GS.COM

**Chief Compliance Officer:**

- **Name:** MITEN TRIVEDI

- **Title:** CHIEF COMPLIANCE OFFICER

- **Phone:** 44-20-7552 8317

- **Email:** MITEN.TRIVEDI@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?:** No

**Is an Investment Advisor?:** No

**Engaged in Other Business?:** Yes

**Holds Customer Funds?:** Yes

**Description of Business:**
Goldman Sachs International (GSI or the company) delivers a broad range of financial services to clients located worldwide. The company also operates a number of branches and representative offices across Europe, the Middle East and Africa (EMEA) to provide financial services to clients in those regions. GSI 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:** 9

### Schedule A: Principals

| Name                      | Title or Status          | Date Acquired   | Date Began Working   | Ownership         |   NFA ID No. |
|:---|:---|:---|:---|:---|---:|
| MITEN TRIVEDI             | Chief Compliance Officer | 10/2021         | 12/2018              |  |       507911 |
| RICHARD GNODDE            | Chief Executive Officer  | 03/2016         | 06/1987              |  |       453789 |
| RICHARD JOHN TAYLOR       | CHIEF FINANCIAL OFFICER  | 10/2021         | 09/1997              | NA - less than 5% |       543440 |
| SAMUEL GYIMAH             | DIRECTOR                 | 10/2021         | 07/1999              | NA - less than 5% |       534545 |
| VIKRAMJIT SINGH CHIMA     | NO LISTED TITLE          | 05/2022         | 05/2000              |  |       548380 |
| NIRBHAN PATHMANABHAN      | DIRECTOR                 | 05/2022         | 07/1999              |  |       550678 |
| LISA DONNELLY             | DIRECTOR                 | 09/2022         | 05/2000              |  |       551940 |
| BRADLEY FRIED             | DIRECTOR                 | 02/2023         | 02/2023              |  |       554333 |
| JOSE MANUEL DURAO BARROSO | DIRECTOR                 | 10/2021         | 04/2021              | NA - less than 5% |       511824 |

### Schedule B: Explanations

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

**Records Keeper:**

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

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

  - **Effective Date:** 12-01-2007

  - **Arrangement:** —

- **Name:** DELL INC.

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

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

  - **Arrangement:** —

- **Name:** NICE LTD.

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

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

  - **Arrangement:** —

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

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

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

  - **Arrangement:** —

**Onbehalf:**

- **Name:** ICE CLEAR EUROPE

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

  - **Effective Date:** 07-07-2009

  - **Arrangement:** —

- **Name:** ICE CLEAR CREDIT

  - **Address:** 353 NORTH CLARK STREET, SUITE 3100, CHICAGO, IL, 60654

  - **Effective Date:** 07-13-2011

  - **Arrangement:** —

- **Name:** JAPAN SECURITIES CLEARING CORPORATION

  - **Address:** 2-1, NIHOMBASHI-KABUTO-CHO, CHUO-KU, TOKYO, M0, 103-0026

  - **Effective Date:** 11-09-2018

  - **Arrangement:** —

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

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

  - **Effective Date:** 12-14-2009

  - **Arrangement:** —

### Execution

**Date:** 02-23-2023

**Name of Applicant:** GOLDMAN SACHS INTERNATIONAL

**Signature:** /s/MITEN TRIVEDI

**Printed Name:** MITEN TRIVEDI

**Title:** CHIEF COMPLIANCE OFFICER OF GOLDMAN SACHS INTERNATIONAL SWAP DEALER