Compliance frameworks, security audits, and quality certifications this company maintains.
Regulatory
SEC Registered Investment Adviser
CertifiedGoldman Sachs Asset Management is registered with the SEC as an investment adviser, subject to the Investment Advisers Act of 1940, providing clients with fiduciary-level disclosure and conflict of interest management across its $3T+ advisory mandates.
Goldman Sachs & Co. LLC is a FINRA member broker-dealer, authorizing Goldman Sachs to execute securities transactions, underwrite public offerings, and provide investment banking services in U.S. regulated markets.
Regulatory
Basel III / CRD V
CompliantGoldman Sachs complies with Basel III capital adequacy requirements as a U.S. bank holding company regulated by the Federal Reserve, maintaining Common Equity Tier 1 ratios above regulatory minimums to support its trading and lending activities.
Goldman Sachs Technology undergoes SOC 2 Type II audits for its cloud-based platforms including Transaction Banking and Marcus, providing corporate treasury and consumer customers with independent verification of data security and availability controls.
Goldman Sachs maintains ISO 27001 certification for its core technology infrastructure, supporting the firm's information security management system across its global data centers and cloud environments used by investment banking and trading operations.
Goldman Sachs operates comprehensive GDPR compliance programs across its European entities covering client data processing in investment banking, Marcus EU savings, and GSAM fund administration, with a designated EU Data Protection Officer.
Goldman Sachs achieves PCI DSS Level 1 compliance for its Apple Card payment processing infrastructure, the highest certification tier required for institutions processing over 6 million card transactions annually.
Regulatory
UK FCA Authorised
CertifiedGoldman Sachs International is authorised and regulated by the UK Financial Conduct Authority, enabling Goldman Sachs to conduct investment banking, trading, and asset management activities across the UK and European markets post-Brexit.
Environmental
TCFD Reporting
CompliantGoldman Sachs publishes annual TCFD-aligned climate disclosures covering its own operational emissions, financed emissions across its loan and investment portfolio, and climate risk integration into Goldman Sachs investment processes and risk management frameworks.
Regulatory
CFTC Registered Swap Dealer
CertifiedGoldman Sachs Bank USA is registered with the CFTC as a Swap Dealer, subject to Dodd-Frank margin, reporting, and business conduct requirements for its global derivatives trading operations serving institutional clients in rates, credit, and commodity markets.