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Goldman Sachs International – ‘SBSE-A/A’ on 4/26/24

On:  Friday, 4/26/24, at 12:56pm ET   ·   As of:  4/25/24   ·   Accession #:  908777-24-40   ·   File #:  26-00133

Previous ‘SBSE-A’:  ‘SBSE-A/A’ on 10/6/23   ·   Latest ‘SBSE-A’:  This Filing

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  As Of               Filer                 Filing    For·On·As Docs:Size

 4/25/24  Goldman Sachs International       SBSE-A/A    4/26/24    6:25M

Amendment to Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is Registered or Registering with the CFTC as such   —   Form SBSE-A

Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SBSE-A/A    Amendment to Application for Registration by a      HTML     18K 
                Security-Based Swap Dealer or Major Security-Based               
                Swap Participant that is Registered or Registering               
                with the CFTC as such -- primary_doc.xml                         
 4: EX-99.34 OPIN COUNSL  Opinion of Counsel re: Legality --         PDF    344K 
                swapdealeropinion                                                
 2: EX-99.35 OTHER  Other Disclosure --                              PDF    164K 
                foreignregulatoryauthorities                                     
 5: EX-99.35 OTHER  Other Disclosure -- summaryofchanges             PDF    145K 
 3: EX-99.35 OTHER  Other Disclosure --                              PDF     95K 
                supplementaldocumentationgsi                                     
 6: EX-99.36 Form 7-R  Form 7-R - Commodity Futures Trading          PDF  24.96M 
                Commission (CFTC) -- nfa7r

‘SBSE-A/A’   —   Amendment to Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is Registered or Registering with the CFTC as such — primary_doc.xml



        

This ‘SBSE-A/A’ Document is an XML Data File that may be rendered in various formats:

  Form SBSE-A    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
SEC Info℠ rendering:  Amendment to Application for Registration by a Security-Based Swap Dealer or Major Security-Based Swap Participant that is Registered or Registering with the CFTC as such
 
schema version:

SBSE-A/A: Filer Information

SBSE-A/A: Applicant Data - Page 1

WARNING: Failure to keep this form current and to file accurate supplementary information on a timely basis, or the failure to keep accurate books and records or otherwise to comply with the provisions of law applying to the conduct of business as an SBS Entity, would violate the Federal securities laws and may result in disciplinary, administrative, injunctive or criminal action.

INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACTS MAY CONSTITUTE FEDERAL CRIMINAL VIOLATIONS.

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a)

1. Exact name, principal business address, mailing address, if different, and telephone number of the applicant:

A. Full name of the applicant
GOLDMAN SACHS INTERNATIONAL
B. IRS Empl. Ident. No.:
52-1920124
C. Applicant's NFA ID #:
250788
Applicant's CIK #:
0000908777
Applicant’s UIC # (if any):
W22LROWP2IHZNBB6K528
D. Applicant's Main Address: (Do not use a P.O. Box)
Street Address 1:
PLUMTREE COURT
Street Address 2:
25 SHOE LANE
City:
LONDON
State/Province/Country:
UNITED KINGDOM
Zip/ Postal Code:
EC4A 4AU
E. Mailing Address, if different:
Street Address 1:
Street Address 2:
City:
State/Province/Country:
Zip/ Postal Code:
F. Business Telephone Number:
44 20 7774 1000
G. Website/URL:
H. Contact Employee:
Prefix:
First Name:
MITEN
Middle Name:
Last Name:
TRIVEDI
Suffix:
Title:
CHIEF COMPLIANCE OFFICER
Phone:
44-20-7552 8317
Email Address:
MITEN.TRIVEDI@GS.COM
I. Chief Compliance Officer designated by the applicant in accordance with Exchange Act Section 15F(k):
Prefix:
First Name:
MITEN
Middle Name:
Last Name:
TRIVEDI
Suffix:
Title:
CHIEF COMPLIANCE OFFICER
Phone:
44-20-7552 8317
Email Address:
MITEN.TRIVEDI@GS.COM

SBSE-A/A: EXECUTION

EXECUTION:

The applicant consents that service of any civil action brought by or notice of any proceeding before the Securities and Exchange Commission in connection with the applicant's security-based swap activities, unless the applicant is a nonresident SBS Entity, may be given by registered or certified mail or confirmed telegram to the applicant's contact employee at the main address, or mailing address if different, given in Items 1E and 1F. If the applicant is a nonresident SBS Entity, it must complete Schedule F to designate a U.S. agent for service of process.

The undersigned certifies that he/she has executed this form on behalf of, and with the authority of, said applicant. The undersigned and applicant represent that the information and statements contained herein, including schedules attached hereto, and other information filed herewith are current, true and complete. The undersigned and applicant further represent that to the extent any information previously submitted is not amended such information is currently accurate and complete.

Date
4/23/24
Name of Applicant
GOLDMAN SACHS INTERNATIONAL
By: Signature
/s/ MITEN TRIVEDI
Name of Person Signing on Applicant's behalf
MITEN TRIVEDI
Title of Person Signing on Applicant's behalf
CHIEF COMPLIANCE OFFICER OF GOLDMAN SACHS INTERNATIONAL SWAP DEALER

SBSE-A/A: Applicant Data - Page 2

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  GOLDMAN SACHS INTERNATIONAL
Date:     Applicant NFA No.:  250788

2.

A. The applicant is registering as a security-based swap dealer: Radio button checked Yes Radio button not checked No
B. The applicant is registering as a major security-based swap participant: Radio button not checked Yes Radio button checked No

3.

A. Is the applicant a foreign security-based swap dealer that intends to:
  • work with the Commission and its primary regulator to have the Commission determine whether the requirements of its primary regulator's regulatory system are comparable to the Commission's
Radio button not checked Yes Radio button checked No
  • avail itself of a previously granted substituted compliance determination
Radio button checked Yes Radio button not checked No
with respect to the requirements of Section 15F of the Exchange Act of 1934 and the rules and regulations thereunder?
B. If "yes" to either of the questions in Item 3.A. above, identify the foreign financial regulatory authority that serves as the applicant's primary regulator and for which the Commission has made, or may make, a substituted compliance determination:
FINANCIAL CONDUCT AUTHORITY
C. If the applicant is relying on a previously granted substituted compliance determination, please describe how the applicant satisfies any conditions the Commission may have placed on such substituted compliance determination:
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.

4.

Does the applicant intend to compute capital or margin, or price customer or proprietary positions, using mathematical models? Radio button checked Yes Radio button not checked No

5.

A. The applicant is currently registered with the Commodity Futures Trading Commission as a: Radio button checked Swap Dealer  Radio button not checked Major Swap Participant
B. The applicant is registering with the Commodity Futures Trading Commission as a: Radio button not checked Swap Dealer  Radio button not checked Major Swap Participant

6.

Is the applicant a U.S. branch of a non-resident entity? Radio button not checked Yes Radio button checked No

7.

Briefly describe the applicant's 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.

8.

Is the applicant subject to regulation by a prudential regulator, as defined in Section 1a(39) of the Commodity Exchange Act. Radio button not checked Yes Radio button checked No

9.

Is the applicant registered with the Commission as an investment adviser? Radio button not checked Yes Radio button checked No

10.

A. Is the applicant registered with the Commodity Futures Trading Commission in any capacity other than as a swap dealer or major swap participant? Radio button not checked Yes Radio button checked No

11.

Does applicant engage in any other non-securities, financial services industry-related business? Radio button checked Yes Radio button not checked No

If "yes," describe each other business briefly on Schedule B, Section I.

12.

Does the applicant hold or maintain any funds or securities to collateralize counterparty transactions? Radio button checked Yes Radio button not checked No

SBSE-A/A: Applicant Data - Page 3

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  GOLDMAN SACHS INTERNATIONAL
Date:     Applicant NFA No.:  250788

13.

Does the applicant have any arrangement:
A. With any other person, firm, or organization under which any books or records of the applicant are kept, maintained, or audited by such other person, firm or organization? Radio button checked Yes Radio button not checked No
B. Under which such other person, firm or organization executes, trades, custodies, clears or settles on behalf of the applicant (including any SRO in which the applicant is a member)? Radio button checked Yes Radio button not checked No

If "yes" to any part of Item 13, complete appropriate items on Schedule B, Section II.

14.

Does any person directly or indirectly control the management or policies of the applicant through agreement or otherwise? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section II.

15.

Does any person directly or indirectly finance (wholly or partially) the business of the applicant? Do not answer "Yes" to Item 15 if the person finances the business of the applicant through: 1) a public offering of securities made pursuant to the Securities Act of 1933; or 2) credit extended in the ordinary course of business by suppliers, banks, and others.Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section II.

16.

Is the applicant at the time of this filing succeeding to the business of a currently registered SBS Entity? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate items on Schedule B, Section Ill.

17.

Is the applicant registered with a foreign financial regulatory authority? Radio button checked Yes Radio button not checked No

If "yes," list all such registrations on Schedule F, Page 1, Section II.

18.

The applicant has ___ principals who are individuals.
8

Please list all principals who are individuals on Schedule A.

19.

Does any principal not identified in Item 18 and Schedule A effect, or is any principal not identified in Item 18 and Schedule A involved in effecting security-based swaps on behalf of the applicant, or will such principals effect or be involved in effecting such business on the applicant's behalf? Radio button not checked Yes Radio button checked No

If "yes," complete appropriate item on Schedule B, Section IV.

SBSE-A/A: Schedule A of FORM SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  GOLDMAN SACHS INTERNATIONAL
Date:     Applicant NFA No.:  250788

PRINCIPALS THAT ARE INDIVIDUALS (Answer for Form SBSE-A Item 18)

Use Schedule A to identify all principals of the applicant who are individuals.

Complete the "Title or Status" column by entering board/management titles; status as partner, trustee, sole proprietor, or shareholder; and for shareholders, the class of securities owned (if more than one is issued).

Ownership Codes are:

NA - less than 5%
A - 5% but less than 10%
B - 10% but less than 25%
C - 25% but less than 50%
D - 50% but less than 75%
E - 75% or more

FULL LEGAL NAME

Prefix
Individuals: Last Name
TRIVEDI
Individuals: First Name
MITEN
Individuals: Middle Name
Suffix
Title or Status
Chief Compliance Officer
Date Title or Status Acquired(MM/YYYY)
10/2021
Date Individual began working for applicant (MM/YYYY)
12/2018
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
507911
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
GNODDE
Individuals: First Name
RICHARD
Individuals: Middle Name
Suffix
Title or Status
Chief Executive Officer
Date Title or Status Acquired(MM/YYYY)
03/2016
Date Individual began working for applicant (MM/YYYY)
06/1987
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
453789
CRD No.
001874064
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
TAYLOR
Individuals: First Name
RICHARD
Individuals: Middle Name
JOHN
Suffix
Title or Status
CHIEF FINANCIAL OFFICER
Date Title or Status Acquired(MM/YYYY)
10/2021
Date Individual began working for applicant (MM/YYYY)
09/1997
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
543440
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
GYIMAH
Individuals: First Name
SAMUEL
Individuals: Middle Name
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
10/2021
Date Individual began working for applicant (MM/YYYY)
07/1999
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
534545
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
CHIMA
Individuals: First Name
VIKRAMJIT
Individuals: Middle Name
SINGH
Suffix
Title or Status
CONTROLLERS-MANAGING DIRECTOR
Date Title or Status Acquired(MM/YYYY)
05/2022
Date Individual began working for applicant (MM/YYYY)
05/2000
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
548380
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
PATHMANABHAN
Individuals: First Name
NIRBHAN
Individuals: Middle Name
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
05/2022
Date Individual began working for applicant (MM/YYYY)
07/1999
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
550678
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
DONNELLY
Individuals: First Name
LISA
Individuals: Middle Name
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
09/2022
Date Individual began working for applicant (MM/YYYY)
05/2000
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
551940
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

FULL LEGAL NAME

Prefix
Individuals: Last Name
BURNS
Individuals: First Name
MARTHA
Individuals: Middle Name
MICHELE
Suffix
Title or Status
DIRECTOR
Date Title or Status Acquired(MM/YYYY)
03/2023
Date Individual began working for applicant (MM/YYYY)
01/2023
Does person have an ownership interest in the applicant Radio button not checked Yes Radio button checked No

NFA Identification No., CRD No. and/or IARD No.

NFA Identification No.
555102
CRD No.
IARD No.
For individuals not presently registered through NFA, CRD or lARD, describe prior investment-related experience (e.g., for each prior position- employer, job title, and dates of service):

SBSE-A/A: Schedule B of FORM SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  GOLDMAN SACHS INTERNATIONAL
Date:     Applicant NFA No.:  250788

Use this Schedule B to report details for items listed below. Report only new information or changes/updates to previously submitted details. Do not repeat previously submitted information.

This is an INITIAL / AMENDED detail filing for the Form SBSE-A items checked below: Radio button not checked Initial   Radio button checked Amended

Section I

Other Business

Item 11: Does applicant engage in any other non-securities, financial services industry-related business?

UIC (if any), or other Unique Identification Number(s):
Assigning Regulator(s)/Entity(s):
Commodity Futures Commission and National Futures Association
Briefly describe any other financial services industry-related, non-securities business in which the applicant is engaged:
SWAP DEALER/BROKER OR DEALER ENGAGING IN FOREIGN EXCHANGE AND NON-SECURITIES INTEREST RATE OR CREDIT PRODUCTS.

Section II

Record Maintenance Arrangements I Business Arrangements I Control Persons I Financings

(Check one)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm   Radio button not checked Individual
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).
IRON MOUNTAIN PROVIDES RECORDS MANAGEMENT/ ARCHIVING SERVICES FOR THE APPLICANT. THIS INCLUDES THE ARCHIVING/STORAGE OF ANY HARDCOPY DOCUMENTS FOR RETENTION PURPOSES.
(Check one)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm   Radio button not checked Individual
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).
DELL PROVIDES SOLUTIONS FOR ARCHIVING INFORMATION AND E-MAILS.
(Check one)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm   Radio button not checked Individual
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).
NICE PROVIDES TRADE AND VOICE RECORDING SERVICES TO THE APPLICANT.
(Check one)Radio button checked Item 13A   Radio button not checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm   Radio button not checked Individual
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).
DTCC PROVIDES AFFIRMATION/CONFIRMATION SERVICES TO THE APPLICANT FOR CREDIT DERIVATIVES WHICH INCLUDES MAINTAINING THE APPLICANT'S CONFIRMATION RELATED RECORDS VERSUS OUR COUNTERPARTIES.
(Check one)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm   Radio button not checked Individual
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).
THE APPLICANT HAS A CLEARING ARRANGEMENT WITH THE ABOVE-REFERENCED ORGANIZATION FOR SECURITY-BASED SWAPS.
(Check one)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm   Radio button not checked Individual
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).
THE APPLICANT HAS A CLEARING ARRANGEMENT WITH THE ABOVE-REFERENCED ORGANIZATION FOR SECURITY-BASED SWAPS.
(Check one)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm   Radio button not checked Individual
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).
THE APPLICANT HAS A CLEARING ARRANGEMENT WITH THE ABOVE-REFERENCED ORGANIZATION FOR SECURITY-BASED SWAPS.
(Check one)Radio button not checked Item 13A   Radio button checked Item 13B   Radio button not checked Item 14   Radio button not checked Item 15

Applicant must complete a separate Schedule B Page 1 for each affirmative response in this section including any multiple responses to any item. Complete the "Effective Date" box with the Month, Day and Year that the arrangement or agreement became effective. When reporting a change or termination of an arrangement, enter the effective date of the change.

Firm or Individual? Radio button not checked Firm   Radio button not checked Individual
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).
THE APPLICANT HAS A CLEARING ARRANGEMENT WITH THE ABOVE-REFERENCED ORGANIZATION FOR SECURITY-BASED SWAPS.

SBSE-A/A: SCHEDULE F of Form SBSE-A

FORM SBSE-A

Application for Registration as a Security-based Swap Dealer
and Major Security-based Swap Participant that is Registered
or Registering with the CFTC as a Swap Dealer or Major Swap Participant

Applicant Name:  GOLDMAN SACHS INTERNATIONAL
Date:     Applicant NFA No.:  250788

Section I

Service of Process and Certification Regarding Access to Records

Each nonresident security-based swap dealer and non-resident security-based swap participant shall use Schedule F to identify its United States agent for service of process and the certify that it can as a matter of law, and will -

(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.

1. Service of Process:

A. Name of United States person applicant designates and appoints as agent for service of process

Prefix
First Name
CECILIA
Middle Name
Last Name
PEREZ
Suffix

B. Address of United States person applicant designates and appoints as agent for service of process

Street Address 1
200 WEST STREET
Street Address 2
City
NEW YORK
State
NEW YORK
Zip/Postal Code
10282

The above identified agent for service of process may be served any process, pleadings, subpoenas, or other papers in
(a) any investigation or administrative proceeding conducted by the Commission that relates to the applicant or about which the applicant may have information; and
(b) any civil or criminal suit or action or proceeding brought against the applicant or to which the applicant has been joined as defendant or respondent, in any appropriate court in any place subject to the jurisdiction of any state or of the United States or of any of its territories or possessions or of the District of Columbia, to enforce the Exchange Act. The applicant has stipulated and agreed that any such suit, action or administrative proceeding may be commenced by the service of process upon, and that service of an administrative subpoena shall be effected by service upon the above-named Agent for Service of Process, and that service as aforesaid shall be taken and held in all courts and administrative tribunals to be valid and binding as if personal service thereof had been made.

2. Certification regarding access to records:

Applicant can as a matter of law, and will;
(3) provide the Commission with prompt access to its books and records, and
(4) submit to onsite inspection and examination by the Commission.

Applicant must attach to this Form SBSE a copy of the opinion of counsel it is required to obtain in accordance with paragraph (c)(2) or (c)(3) of Exchange Act Rule 15Fb2-4, as appropriate [paragraphs (c)(2) or (c)(3) of 17 CFR 240. 15Fb2-4].

Signature:
/s/ MITEN TRIVEDI
Name:
MITEN TRIVEDI
Title:
CHIEF COMPLIANCE OFFICER OF GSI SWAP DEALER
Date:
4/23/24

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:

English Name of Foreign Financial Regulatory Authority
FINANCIAL CONDUCT AUTHORITY
Foreign Registration No. (if any)
English Name of Country:
UNITED KINGDOM
English Name of Foreign Financial Regulatory Authority
THE PANEL ON TAKEOVER AND MERGERS (LTP)
Foreign Registration No. (if any)
English Name of Country:
UNITED KINGDOM
English Name of Foreign Financial Regulatory Authority
PRUDENTIAL REGULATION AUTHORITY (PRA) (BANK OF ENGLAND)
Foreign Registration No. (if any)
English Name of Country:
UNITED KINGDOM

If applicant has more than 3 Foreign Financial Regulatory Authorities to report, complete additional Schedule F Page 1s.


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