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Goldman Sachs International
Legal entity: Goldman Sachs International
FCA register status: Authorised — the FCA’s own status for this firm reference, not our finding. See the FCA’s own record on the Financial Services Register.
Companies House 02263951
1banking decisions
—uphold rate (too few to publish)
1not upheld
Only 1 decisions carry a recorded outcome for this firm. That is too few to publish a rate, so none is shown — a percentage over a handful of cases would be noise presented as a finding.
Beyond banking
The figures above cover this firm’s banking, credit and mortgage decisions only. The Ombudsman also decided complaints about it in other sectors, which behave differently and are kept separate rather than averaged in.
| Sector | Decisions | Uphold rate |
|---|---|---|
| Banking, credit and mortgages — shown above | 1 | — |
| Investments and pensions | 1 | — |
What the regulator did
FCA final notices naming this firm. This is a separate record from the Ombudsman decisions above: the Ombudsman resolves individual complaints, the FCA penalises the firm for rule breaches.
| Date | Penalty | Breach |
|---|---|---|
| 22 Oct 2020 | £48,308,400 | This Final Notice refers to breaches of PRIN 2 and PRIN 3 related to wholesale conduct in the investment bank sector. We imposed a fine. |
| 28 Mar 2019 | £34,344,700 | This final notice refers to breaches of SUP 17, SUP 15 and PRIN 3 related to transaction reporting failures in the investment bank sector. We imposed a fine. |
Decisions are attributed to a firm only where the decision text names it unambiguously. Where a name could refer to more than one firm, the decision is left unattributed rather than guessed, so these counts are a floor, not a total. Method.