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HOUSE_OVERSIGHT_014618

House Oversight Committee
insert_drive_file IMAGES-003-HOUSE_OVERSIGHT_014618.txt description DOCUMENT text_fields 1,763 words · 11.2k chars

offer or solicitation. This material is a solicitation of derivatives business generally, only for the purposes of, and 0 the extent it would otherwise be subject to, 88 1.71 and 23.605 of U.S. Commodity Exchange Act.

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Argentina: [he information has been rovided at your request.

Australia: This material is being disseminated in Australia by Goldman Sachs & Co(”GSCo"}; Goldman Sachs nternational (”GSI"}; Goldman Sachs Singapore} Pte ("GSSP"} and/or Goldman Sachs (Asia) LLC ("GSALLC”). n Australia, this document, and any access to it, is intended only fora erson that has first satisfied Goldman Sachs that: © The person is a Sophisticated or Professional Investor for the purposes of section 708 of the Corporations Act 2001 (Cth} ("Corporations Act”); or

© The person is a wholesale client for he purposes of section 761G of the Corporations Act.

o offer to acquire any financial product or interest in any securities or interests of any kind is being made to you in

his document. If financial products or interests in any securities or interests of any kind do become available in the uture, the offer may be arranged by an appropriately licensed Goldman Sachs entity in Australia in accordance with section 911A(2}(b} of the Corporations Act. Any offer will only be made in circumstances where disclosures and/or disclosure statements are not required under Part 6D.2 or Part 7.9 of the Corporations Act (as relevant).

To the extent that any financial service is provided in Australia by GSCo, GSI, GSSP and/or GSALLC, those services are provided on the basis that they are provided only to “wholesale clients”, as defined for the purposes of the Corporations Act. GSCo, GSI, GSSP and GSALLC are exempt from he requirement to hold an Australian Financial Services Licence under the Corporations Act and do not therefore old an Australian Financial Services Licence. GSCo is regulated by the Securities and Exchange Commission under US laws; GSI is regulated by the Financial Conduct Authority and the Prudential Regulation Authority under jaws in the United Kingdom; GSSP is regulated by the Monetary Authority of Singapore under Singaporean laws; and GSALLC is regulated by the Securities and Futures Commission under Hong ong laws; all of which differ from Australian laws. Any financial services given to any person by GSCo, GSI, and/or GSSP in Australia are provided ursuant to ASIC Class Orders 03/1100; 03/1099; and 03/1102 respectively.

Bahrain: GSI represents and warrants hat it has not made and will not make any invitation to the public in the ingdom of Bahrain to subscribe for he fund. This presentation has not een reviewed by the Central Bank of Bahrain (CBB) and the CBB takes no

responsibility for the accuracy of the statements or the information contained herein, or for the performance of the securities or related investment, nor shall the CBB have any liability to any person for damage or loss resulting from reliance on any statement or information contained herein. This presentation

will not be issued, passed to, or made available to the public generally.

Chile: Fecha de inicio de la oferta:

(i} La presente oferta se acoge ala Norma de Caracter General N° 336 de la Superintendencia de Valores y Seguros de Chile; (ii) La presente oferta versa sobre valores no inscritos en el Registro

de Valores o en el Registro de

Valores Extranjeros que lleva la Superintendencia de Valores y Seguros, por lo que los valores sobre los cuales ésta versa, no estan sujetos a su fiscalizacién;

(iii) Que por tratarse de valores no inscritos, no existe la obligacién por parte del emisor de entregar en Chile informacién publica respecto de estos valores; y

(iv) Estos valores no podran ser objeto de oferta publica mientras no sean inscritos en el Registro de Valores correspondiente.

Dubai: Goldman Sachs International ("GSI"} is authorised and regulated by the Dubai Financial Services Authority ("DFSA’} in the DIFC and the Financial Services Authority ("FSA") authorised by the Prudential Regulation Authority and regulated by the Financial Conduct Authority and Prudential Regulation Authority in the UK. Registered address of the DIFC branch is Level 5, Gate Precinct Building 1, Dubai International Financial Centre, PO Box 506588, Dubai, UAE and registered office of GSI in the UK is Peterborough Court, 133 Fleet Street, London EC4A 2BB, United ingdom. This material is only intended or use by market counterparties and professional clients, and not retail clients, as defined by the DFSA Rulebook. Any products that are referred o in this material will only be made available to those clients falling within he definition of market counterparties and professional clients.

Israel: Goldman Sachs is not licensed to rovide investment advice or investment management services under Israeli law.

Korea: No Goldman Sachs entity, other han Goldman Sachs (Asia) L.L.C, Goldman Sachs Asset Management International and Goldman Sachs Asset Management orea Co., Ltd., is currently licensed

0 provide discretionary investmen management services and advisory services to clients in Korea and nothing

in this material should be construed as an offer to provide such services except as otherwise permitted under relevant laws and regulations. Goldman Sachs (Asia} LLC. is registered as a Cross-Border Discretionary Investment Management Company and a Cross-Border Investment Advisory Company with the Korean Financial Supervisory Commission, and as

a licensed corporation for, amongst other regulated activities, advising on securities and asset management with the Hong Kong Securities & Futures Commission. Goldman Sachs Asset Management International is licensed as a Cross-Border Discretionary Investment Management Company and a Cross-Border Investment Advisory Company with the Korean Financial Supervisory Commission, as an investment adviser with the Securities and Exchange Commission of the United States and for Managing Investments with the Financial Services Authori of the United Kingdom. Goldman Sachs Asset Management Korea Co., Ltd. is licensed as an Asset Management Company in Korea and is also registered as an Investment Advisory Company and Discretionary Investment Management Company with the Korean Financial Supervisory Commission. Details of their respective officers and major shareholders can be provided upon request.

Oman: The information contained in these materials neither constitutes

a public offer of securities in the Sultanate of Oman as contemplated

by the Commercial Companies Law

of Oman (Sultani Decree 4/74} or the Capital Market Law of Oman (Sultani Decree 80/98} nor does it constitute an offer to sell, or the solicitation of any offer to buy Non-Qmani securities in the Sultanate of Oman as contemplated by Article 6 of the Executive Regulations to the Capital Market Law (issue vide Ministerial Decision No. 4/2001}. Additionally, these materials are not intended to lead to the conclusion of any contract of whatsoever nature within he territory of the Sultanate of Qman.

Panama: [hese Securities have not een and will not be registered with the national Securities Commission of the Republic of Panama under Decree Law jo. 1 of July 8, 1999 (the “Panamanian Securities Act”) and may not be

offered or sold within Panama except

in certain limited transactions exempt rom the registration requirements of

he Panamanian Securities Act. These Securities do not benefit from the tax incentives provided by the Panamanian Securities Act and are not subject to regulation or supervision by the National Securities Commission of the Republic of Panama. This material constitutes generic information regarding Goldman Sachs and the products and services that it provides and should not be construed as an offer or provision of any specific services or products of Goldman Sachs for which a prior authorization or license is required by Panamanian regulators.

Peru: The products or securities referred to herein have not been registered before the Superintendencia del Mercado de Valores (SMV) and are being placed by means of a private offer. SMV has not reviewed the information provided to the investor.

Qatar: The investments described in this document have not been, and will not be, offered, sold or delivered, at any time, directly or indirectly in the State of

Gatar in a manner that would constitute a public offering. This document has not een, and will not be, registered with or reviewed or approved by the Qatar Financial Markets Authority, the Qatar Financial Centre Regulatory Autho|

or Qatar Central Bank and may not be ublicly distributed. This document is intended for the original recipient only and must not be provided to any other erson. It is not for general circulation in the State of Qatar and may no e reproduced or used for any other urpose.

Russia: Information contained in

hese materials does not constitute

an advertisement or offering (for

he purposes of the Federal Law On Securities Market No. 39-FZ dated 22nd April 1996 (as amended} and the Federal Law “On protection of rights and lawful interests of investors in the securities market” No. 46-FZ dated 5th March, 999 (as amended)}) of the securities, any other financial instruments or any inancial services in Russia and must not be passed on to third parties or otherwise be made publicly available

in Russia. No securities or any other inancial instruments mentioned in this document are intended for “offering”, “placement” or “circulation” in Russia as defined under the Federal Law “On Securities Market” No. 39-FZ dated 22nd April, 1996 (as amended}.

Singapore: This document has not been delivered for registration to

the relevant regulators or financial supervisory bodies in Hong Kong or Singapore, nor has its content been reviewed or approved by any financial supervisory body or regulatory authority. The information contained in this document is provided at your request and for your information only. It does not constitute an offer or invitation to subscribe for securities or interests of any kind. Accordingly, unless permitted y the securities laws of Hong Kong

or Singapore, (i} no person may issue or cause to be issued this document, directly or indirectly, other than to ersons who are professional investors, institutional investors, accredited investors or other approved recipients under the relevant laws or regulations ii} no person may issue or have in its ossession for the purposes of issue, his document, or any advertisement, invitation or document relating to it, whether in Hong Kong, Singapore or elsewhere, which is directed at, or

he contents of which are likely to be accessed by, the public in Hong Kong or Singapore and (iii) the placement of securities or interests to the public in Hong Kong and Singapore is prohibited. Before investing in securities or interests of any kind, you should consider whether the products are suitable for you.

South Africa: Goldman Sachs does

not provide tax, accounting, investment or legal advice to our clients, and all clients are advised to consult with their own advisers regarding any potential investment/transaction. This material is

HOUSE_OVERSIGHT_014618