SBSE-A/A 0001866894 XXXXXXXX false false 518258 Goldman Sachs Bank Europe SE 00-0000000 518258 0001866894 8IBZUGJ7JPLH368JE346 MARIENTURM TAUNUSANLAGE 9-10, AM MAIN FRANKFURT 2M 60329 49 69 7532 1000 ALEXA MARIA SCHROD 49 (69) 7532-1720 Alexa.Schrod@gs.com ALEXA MARIA SCHROD 49 (69) 7532-1720 Alexa.Schrod@gs.com Goldman Sachs Bank Europe SE 518258 Y N N Y Bundesanstalt fur Finanzdienstleistungsaufsicht (Bafin) Based on the SEC's Amended and Restated Order dated October 22, 2021("the German Sub Com Order") Granting Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-US Security Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Federal Republic of Germany and the conditions set out therein, the applicant has reviewed its existing policies, procedures and controls and believes its policies, procedures and controls are reasonably designed to comply with the conditions set out in the German Sub Com Order. Y Swap Dealer N Goldman Sachs Bank Europe SE (GSBE or the bank) provides a wide range of financial services to a diversified client base that includes corporations, financial institutions, and ultra-high-net-worth individuals, from its registered office in Frankfurt am Main and branches in Amsterdam, Copenhagen, Dublin, London, Luxembourg, Madrid, Milan, Paris, Stockholm and Warsaw. The company generates revenues from the following business activities: Investment Banking; Fixed Income, Currency and Commodities (FICC); Equities; and Investment Management, which includes Asset Management and Wealth Management. Y The Federal Reserve Board N N Y Y Goldman Sachs Bank Europe SE 518258 Y Y N N N Y 6 N Goldman Sachs Bank Europe SE 518258 WOLFGANG FINK CHIEF EXECUTIVE OFFICER 11/2020 08/1993 N 518619 MICHAEL HOLMES CHIEF FINANCIAL OFFICER 05/2022 06/2001 N 513176 ALEXA MARIA SCHROD CHIEF COMPLIANCE OFFICER 07/2026 01/2018 N 579120 LEAR E JANIV DIRECTOR 10/2023 07/2007 N 395323 005167119 JONATHAN PETER CHARLES BURY CHIEF OPERATING OFFICER 08/2024 08/1996 N 566132 MICHAEL TROKOUDES HEAD OF A BUSINESS UNIT, DIVISION, OR FUNCTION 08/2024 05/2007 N 574237 Goldman Sachs Bank Europe SE 518258 AMENDED COMMODITY FUTURES TRADING COMMISSION AND NATIONAL FUTURES ASSOCIATION SWAP DEALER/BROKER OR DEALER ENGAGING IN FOREIGN EXCHANGE AND NON-SECURITIES INTEREST RATE OR CREDIT PRODUCTS. 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 IRON MOUNTAIN INFORMATION MANAGEMENT LLC 1 FEDERAL STREET BOSTON MA 02110 12-01-2000 IRON MOUNTAIN PROVIDES RECORDS MANAGEMENT/ ARCHIVING SERVICES FOR THE APPLICANT. THIS INCLUDES THE ARCHIVING/STORAGE OF ANY HARDCOPY DOCUMENTS FOR RETENTION PURPOSES. Item 13A PRICEWATERHOUSECOOPERS GMBH WIRTSCHAFTSPRUFUNGSGESELLSCHAFT FRIEDRICH-EBERT-ANLAGE 35-37 FRANKFURT AM MAIN 2M 60327 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 BACKGROUNDS 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 LCH SA, PARIS (BANQUE CENTRALE DE COMPENSATION) 18 RUE DU QUATRE SEPTEMBRE PARIS I0 75002 11-11-2018 THE APPLICANT HAS A CLEARING ARRANGEMENT WITH THE ABOVE-REFERENCED ORGANIZATION FOR SECURITY-BASED SWAPS. Goldman Sachs Bank Europe SE 518258 Individual CECILIA PEREZ 200 West Street New York NY 10282 /s/ Alexa Schrod Alexa Schrod Chief Compliance Officer 07-30-2026 GERMAN FEDERAL FINANCIAL SUPERVISORY AUTHORITY 2M GERMAN FEDERAL BANK 2M EUROPEAN CENTRAL BANK 2M 07-30-2026 Goldman Sachs Bank Europe SE /s/ Alexa Schrod Alexa Schrod Chief Compliance Officer