SBSE-A/A 0000908777 XXXXXXXX false false 250788 GOLDMAN SACHS INTERNATIONAL 52-1920124 250788 0000908777 W22LROWP2IHZNBB6K528 PLUMTREE COURT 25 SHOE LANE LONDON X0 EC4A 4AU 44 20 7774 1000 MITEN TRIVEDI 44-20-7552 8317 MITEN.TRIVEDI@GS.COM MITEN TRIVEDI 44-20-7552 8317 MITEN.TRIVEDI@GS.COM GOLDMAN SACHS INTERNATIONAL 250788 Y N N Y FINANCIAL CONDUCT AUTHORITY Based on the SEC's Order dated July 30, 2021 (the "UK Sub Com Order") Granting Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security Based Swap Participants Subject to Regulation in the United Kingdom, as amended by the Order dated October 22, 2021 addressing Non-U.S. Security-Based Swap Entities Subject to Regulation in the United Kingdom and the conditions set out therein, the applicant has reviewed its existing policies, procedures and controls and believes that its policies, procedures and controls are reasonably designed to comply with the conditions set out in the UK Sub Com Order, as amended. Y Swap Dealer N 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. N N N Y Y GOLDMAN SACHS INTERNATIONAL 250788 Y Y N N N Y 10 N GOLDMAN SACHS INTERNATIONAL 250788 MITEN TRIVEDI Chief Compliance Officer 10/2021 12/2018 N 507911 SAMUEL GYIMAH DIRECTOR 10/2021 07/1999 N NA 534545 VIKRAMJIT SINGH CHIMA CONTROLLERS-MANAGING DIRECTOR 05/2022 05/2000 N 548380 LISA DONNELLY DIRECTOR 09/2022 05/2000 N 551940 MARTHA MICHELE BURNS DIRECTOR 03/2023 01/2023 N 555102 LORD PAUL CLIVE DEIGHTON DIRECTOR 05/2024 05/2024 N 564316 KUNAL KISHORE SHAH CHIEF EXECUTIVE OFFICER 06/2025 07/2004 N 572003 ANTHONY JOHN CHARLES GUTMAN CHIEF EXECUTIVE OFFICER 06/2025 06/2007 N 572007 LESLEY STEELE HEAD OF A BUSINESS UNIT, DIVISION, OR FUNCTION 04/2021 09/1997 N 574210 008124076 PETRA LOMA LEVETON CHIEF FINANCIAL OFFICER 05/2026 07/2000 N NA 514405 GOLDMAN SACHS INTERNATIONAL 250788 AMENDED Commodity Futures Commission and National Futures Association SWAP DEALER/BROKER OR DEALER ENGAGING IN FOREIGN EXCHANGE AND NON-SECURITIES INTEREST RATE OR CREDIT PRODUCTS. Item 13A IRON MOUNTAIN INFORMATION MANAGEMENT LLC. 1 FEDERAL STREET BOSTON MA 02110 12-01-2007 IRON MOUNTAIN PROVIDES RECORDS MANAGEMENT/ ARCHIVING SERVICES FOR THE APPLICANT. THIS INCLUDES THE ARCHIVING/STORAGE OF ANY HARDCOPY DOCUMENTS FOR RETENTION PURPOSES. Item 13A DELL INC. ONE DELL WAY, RR1-61 ROUND ROCK TX 78682 10-01-2008 DELL PROVIDES SOLUTIONS FOR ARCHIVING INFORMATION AND E-MAILS. Item 13A NICE LTD. 8 HAPNINA ST RA'ANANA L3 43107 02-28-2010 NICE PROVIDES TRADE AND VOICE RECORDING SERVICES TO THE APPLICANT. Item 13A THE DEPOSITORY TRUST & CLEARING CORPORATION 55 WATER STREET NEW YORK NY 10041 09-03-2003 DTCC PROVIDES AFFIRMATION/CONFIRMATION SERVICES TO THE APPLICANT FOR CREDIT DERIVATIVES WHICH INCLUDES MAINTAINING THE APPLICANT'S CONFIRMATION RELATED RECORDS VERSUS OUR COUNTERPARTIES. Item 13A PRICEWATERHOUSECOOPERS LLP (PWC) 300 MADISON AVENUE NEW YORK NY 10017 01-01-1922 PWC AUDITS THE APPLICANT'S FINANCIAL INFORMATION PRESENTED ON THE ANNUAL FINANCIAL STATEMENTS SUBMITTED TO REGULATORS TO SUPPORT PWC'S ANNUAL AUDIT OPINION. PWC MAKES SURE THAT THIS AUDITED FINANCIAL INFORMATION AGREES BACK TO THE BOOKS AND RECORDS OF THE APPLICANT. Item 13A CISIVE, FORMERLY CARCO GROUP, INC. 5000 CORPORATE COURT SUITE 203 HOLTSVILLE NY 11742 08-12-2013 CISIVE CONDUCTS BACKGROUND CHECKS OF POTENTIAL AND CURRENT EMPLOYEES, AND MAINTAINS THE RECORDS OF ALL SUCH INVESTIGATIONS IT CONDUCTS. Item 13A IHS MARKIT LTD. 15 INVERNESS WAY E ENGLEWOOD CO 80112 03-17-2021 FOR SECURITY-BASED SWAP TRANSACTIONS THAT ARE VERIFIED ON MARKITWIRE, IHS MARKIT RETAINS COPIES OF VERIFICATIONS ON BEHALF OF THE APPLICANT. Item 13B ICE CLEAR EUROPE 5TH FLOOR, MILTON GATE 60 CHISWELL STREET LONDON X0 EC1Y 4SA 07-07-2009 THE APPLICANT HAS A CLEARING ARRANGEMENT WITH THE ABOVE-REFERENCED ORGANIZATION FOR SECURITY-BASED SWAPS. Item 13B ICE CLEAR CREDIT 353 NORTH CLARK STREET SUITE 3100 CHICAGO IL 60654 07-13-2011 THE APPLICANT HAS A CLEARING ARRANGEMENT WITH THE ABOVE-REFERENCED ORGANIZATION FOR SECURITY-BASED SWAPS. Item 13B JAPAN SECURITIES CLEARING CORPORATION 2-1, NIHOMBASHI-KABUTO-CHO CHUO-KU TOKYO M0 103-0026 11-09-2018 THE APPLICANT HAS A CLEARING ARRANGEMENT WITH THE ABOVE-REFERENCED ORGANIZATION FOR SECURITY-BASED SWAPS. Item 13B LCH SA, PARIS (BANQUE CENTRALE DE COMPENSATION) 18 RUE DU QUATRE SEPTEMBRE PARIS I0 75002 12-14-2009 THE APPLICANT HAS A CLEARING ARRANGEMENT WITH THE ABOVE-REFERENCED ORGANIZATION FOR SECURITY-BASED SWAPS. GOLDMAN SACHS INTERNATIONAL 250788 Individual CECILIA PEREZ 200 WEST STREET NEW YORK NY 10282 /s/ Miten Trivedi MITEN TRIVEDI CHIEF COMPLIANCE OFFICER OF GSI SWAP DEALER 06-10-2026 FINANCIAL CONDUCT AUTHORITY X0 THE PANEL ON TAKEOVER AND MERGERS (LTP) X0 PRUDENTIAL REGULATION AUTHORITY (PRA) (BANK OF ENGLAND) X0 06-10-2026 GOLDMAN SACHS INTERNATIONAL /s/ Miten Trivedi MITEN TRIVEDI CHIEF COMPLIANCE OFFICER OF GOLDMAN SACHS INTERNATIONAL SWAP DEALER