The New Relationship Transition Form must ... - Goldman Sachs
|1. INVESTMENT ADVISER/MANAGER: BACKGROUND INFO |
|Firm Name (Name in Local | |Company ID no/ Tax no/ IS | |
|Language if applicable): | |no/ Tax ID No: | |
|Primary Contact Name/Title: | |Email: | |
|Phone Number: | |Fax Number: | |
|Street Address: | |
|City: | |Country/Postcode: | |
|Investment Adviser/Manager Type : |
|Check each box applicable to the Investment Adviser/Manager: |
| Limited Company | Private Corporation | Partnership | Limited Liability Company | Other (please list) |
| | |Limited Partnership | |____________________ |
| | | | |________________ |
|Please list all exchange memberships: |
|__________________________________________________________________________________________________________________________________________________________________|
|______________________________ |
|Are you regulated? Yes : Name of Regulator: _________________________________________ |
|No |
|If no, but you have a pending application, please state: |
|Regulator’s name: _____________________________________________________ |
|Expected start date of regulation: __________________________________ |
|If you are an affiliate of a regulated entity, please state: |
|Regulated entity: __________________________________ |
|Regulator: __________________________________ |
| None of the Above. |
|Please notify your GSS representative if none of these categories seem applicable. |
|3. PRINCIPAL BACKGROUND INFO |
|Complete the following section for ALL Principals of the Investment Adviser/Manager. A Principal is generally a senior or executive officer, general partner, |
|managing member, manager, an employee in charge of a principal business unit, division or function, or an employee who performs a significant policy-making |
|function (such as the CEO, CFO, COO, CCO and CIO). |
| |First Name (Name in Local Language if applicable) | |Last Name (Name in Local Language if applicable) | |Middle Initial |
|1. | | | | | |
| |Job Title | |Date of birth | | |
| | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
| |Passport No./ Driver’s Licence No./ National ID card | |Address/City/Postcode | |Country |
| |(Include Country of Issue | | | | |
| | | | | | |
| |Job Title | |Date of birth | | |
| | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
| |Passport No./ Driver’s Licence No./ National ID card | |Address/City/Postcode | |Country |
| |(Include Country of Issue | | | | |
|4. POLITICALLY EXPOSED PERSON |
|Are any Principals of this entity or their immediate family members/close associates, a senior political figure, defined as a current or former senior official in|
|the executive, legislative, administrative, military or judicial branches of a government (whether elected or not)? Are any principals a senior official of a |
|political party, central bank, monetary authority, supra-national organization or financial institution, international sports organization or a government-owned |
|enterprise? |
| |
|Yes |
|No |
| |
|If yes, please provide details: ________________________________________________________________________ |
|________________________________________________________________________________________________ |
| |
|5. REQUIRED DOCUMENTATION |
| |A copy of the driver’s licence, passport or other valid national ID card for all Principals |
Personal data requested in this form is required in order to enter into a contract with Goldman Sachs International and/or its affiliates (“GS”). The information requested in sections 2 – 5 of this form is required to enable GS to perform processing carried out to meet its legal and regulatory obligations. If the information requested in this form is not provided, GS will not be able to determine the Investment Advisor/Manager’s eligibility for a relationship with GS and the process for establishing such a relationship will not proceed.
Certification
By signing below, the person completing this due diligence form:
1. Certifies that the information provided in this form is true and complete to the best of his or her knowledge;
2. Certifies, for and on behalf of the Investment Adviser, that he/she has authority to provide the information set out in this form for processing as described in the data protection notice, and that all persons whose personal data is provided to GS by or on behalf of the Investment Adviser have been made aware of the information contained in the data protection notice.
Signature of one principal: ________________________ _______________________
Name:
Title:
Date form completed:
Data Protection Notice
Goldman Sachs International and/or its affiliates (“GS”, “we” or “our”) process information relating to identifiable individuals (“personal data”). This notice relates to personal data provided in this due diligence form and to any other personal data processed by GS or its agents from time to time in connection with the relationship between the Investment Adviser/Manager named in this form and/or any of its affiliates (“the Investment Adviser”) and GS. This notice may be updated from time to time, and applies in conjunction with any other notices provided by or on behalf of GS relating to the processing of personal data.
Personal data
The GS entity or entities with which the Investment Adviser has a relationship will be the controller of the personal data provided in connection with such relationship.
GS will process the personal data provided in the due diligence form and any personal data subsequently provided in connection with the relationship between GS and the Investment Adviser, such as professional contact details and job titles of staff and other representatives of the Investment Adviser, and records of communications between GS and such persons. GS will also process personal data required for background checks and regulatory compliance, which may include employment history, press and media reports, and references. In addition to obtaining data from representatives of the Investment Manager, we may obtain personal data from third parties, such as our service providers and any reference providers, and public sources, such as online press and media and financial crime screening databases.
Purposes for processing
Personal data may be processed for one or more of the following purposes and for compatible purposes:
A. to establish a relationship with the Investment Adviser, to open and service client accounts and/or to provide services to clients, including identity verification, creating an account or relationship record, transaction-related processing and understanding client needs and suitability for products and services;
B. to manage and develop our relationships with clients, prospective clients and with the Investment Adviser, including communicating with their agents and other representatives, marketing and business development, conducting due diligence and other risk reviews, keeping appropriate records, and managing any agreement in place with GS. To the extent permitted by law, this may include recording telephone conversations;
C. to establish and meet legal, regulatory and compliance obligations, and prevent financial crime, including performing prudential and regulatory compliance checks on an ongoing basis, identifying any conflicts of interest, reporting or making disclosures to, and complying with requests from, public authorities, regulators, tax authorities, governmental bodies or law enforcement agencies, and investigating and preventing financial crime;
D. to manage and improve products, services and operations, including testing and upgrading systems, conducing market research, analysis of client and prospective client preferences, transactions and market trends, evaluating potential new products and services, evaluating the effectiveness of our marketing and services;
E. to carry out operational and administrative functions, including billing-related and payments administration, operating information technology systems, data archiving, back-up and transfer, and record management;
F. to prudently manage our business, and protect and enforce our rights, including assessing, monitoring and managing financial, reputational and other risk, liaising with regulators, protecting our business, clients, staff, systems and the data we use, determining suitability for a GS relationship on an ongoing basis, and establishing and enforcing our legal rights and defending against legal claims.
The personal data processing described in this notice is necessary for one or more of the following reasons:
i) in order to comply with our legal obligations (in particular the processing described in C and F above);
ii) for the legitimate interest of GS or others – such interest being meeting and complying with our accountability requirements and regulatory obligations globally, the processing purposes described in A to F above, and exercising our fundamental rights and freedoms, including our freedom to conduct a business, in each case where not overridden by the interests or fundamental rights and freedoms of the individual to whom personal data relates (“data subject”); and/or
iii) to the extent we process data revealing political opinions as part of our anti-money laundering checks and monitoring, we process this on the basis that the data subject has (a) manifestly made such data public (to the extent this applies) or otherwise (b) on the basis that this processing is necessary for reasons of the substantial public interest in preventing financial crime.
In limited circumstances and to the extent the reasons (or ‘legal bases’) for processing set out above do not apply, personal data may processed with the consent of the data subject separately obtained from time to time.
Personal data sharing and security
The personal data we process may be shared with (i) the Investment Adviser and its agents, representatives, and others acting on its behalf, or to whom the Investment Adviser or its representatives or agents instruct us to disclose data; (ii) GS affiliates; (iii) relevant governmental, judicial, regulatory, supervisory, law enforcement, prosecuting, tax or similar authority or industry body under applicable laws of any relevant jurisdiction, (iv) stock exchanges, clearing houses and settlement systems; (v) GS’ lawyers, auditors, accountants and others providing professional services; (vi) prospective purchasers and assignees in the event our business, or any part thereof, is sold or re-organised, or in the event that a product is sold, transferred or assigned in whole or in part; (vii) any other person or entity GS reasonably thinks customary, necessary or advisable for the processing purposes described in this notice or to whom GS is obliged by applicable law or regulation to make the disclosure; and (viii) to any other party where we have first obtained the consent of the data subject.
Such data sharing may involve the transfer of personal data to any country in which GS conducts business or has a service provider, or to other countries for law enforcement purposes (including, without limitation, the United States of America and other countries whose data privacy laws are not as stringent as those in effect in the United Kingdom, Switzerland or the European Union). GS will ensure that appropriate safeguards are in place to protect personal data, that transfer of personal data is in compliance with applicable data protection laws, and that GS service providers sign standard contractual clauses as approved by the European Commission (or other supervisory authority with jurisdiction over the relevant data exporter) where these are required by applicable data protection laws. Where applicable, a copy of the relevant safeguard for data transfer can be obtained by data subjects through the contact details below.
Retaining personal data
GS retains personal data for varying time periods in order to assist us in complying with legal and regulatory obligations, to enable compliance with any requests made by regulators or other relevant authorities and agencies, to enable us to establish, exercise and defend legal rights and claims, and for other legitimate business reasons. GS retains personal data for the period of time required for the purposes for which it was collected, any compatible purposes which we subsequently establish, any new purposes to which the data subject subsequently consents, or to comply with legal, regulatory and GS policy requirements.
Data subject rights
Each individual to whom personal data relates has the right to: (i) be provided with certain information about our processing of the personal data and access to that data (subject to exceptions); (ii) require inaccurate or incomplete personal data to be updated or corrected; (iii) require the personal data be erased in certain circumstances, including where it is no longer necessary for us to process this data or where any consent we are relying upon for data processing is withdrawn; (iv) have the data transferred to him/her or to another controller in a structured, commonly used and machine-readable format, where technically feasible; (v) restrict our processing of the personal data in certain circumstances; and (vi) lodge a complaint with a supervisory authority in respect of the processing of the personal data. To the extent that GS is relying upon consent to process personal data, the individual to whom such personal data relates has the right to withdraw such consent at any time.
Contact details
To exercise these rights or to contact us regarding the processing of personal data, please contact our data protection officer at gs-privacy@ or at the following address: The Office of the Data Protection Officer, Peterborough Court, 133 Fleet Street, London EC4A 2BB, United Kingdom.
APPENDIX 1: ADDITIONAL PRINCIPAL INFORMATION
| |First Name (Name in Local Language if applicable) | |Last Name (Name in Local Language if applicable) | |Middle Initial |
|1. | | | | | |
| |Job Title | |Date of birth | | |
| | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
| |Passport No./ Driver’s Licence No./ National ID card | |Address/City/Postcode | |Country |
| |(Include Country of Issue | | | | |
| | | | | | |
| |Job Title | |Date of birth | | |
| | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
| |Passport No./ Driver’s Licence No./ National ID card | |Address/City/Postcode | |Country |
| |(Include Country of Issue | | | | |
| | | | | | |
| |Job Title | |Date of birth | | |
| | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
| |Passport No./ Driver’s Licence No./ National ID card | |Address/City/Postcode | |Country |
| |(Include Country of Issue | | | | |
| | | | | | |
| |Job Title | |Date of birth | | |
| | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
| |Passport No./ Driver’s Licence No./ National ID card | |Address/City/Postcode | |Country |
| |(Include Country of Issue | | | | |
| | | | | | |
| |Job Title | |Date of birth | | |
| | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
| |Passport No./ Driver’s Licence No./ National ID card | |Address/City/Postcode | |Country |
| |(Include Country of Issue | | | | |
| | | | | | |
| |Job Title | |Date of birth | | |
| | | | | | |
| | | | | | |
| | | | | | |
| | | | | | |
| |Passport No./ Driver’s Licence No./ National ID card | |Address/City/Postcode | |Country |
| |(Include Country of Issue | | | | |
APPENDIX 2: TO BE COMPLETED FOR CLIENT RELATIONSHIPS INITIATED IN ASIA
|1. BENEFICIAL OWNER INFORMATION |
|Complete the following section for ALL Beneficial Owners of the Investment Adviser/Manager. A Beneficial Owner is generally an individual who has 10% or more |
|ownership in the Investment Adviser/Manager. |
| |First Name (Name in Local Language if applicable) | |Last Name (Name in Local Language if applicable) | |Middle Initial |
|1. | | | | | |
| |Key decision making role(s) held by the individual, if any | |Date of birth | |Nationality |
| |Passport No./ Driver’s Licence No./ National ID card | |Address/City/Postcode | |Country |
| |(Include Country of Issue) | | | | |
| |Source of Wealth | |Capital contribution into the IA and the amount investment into| | |
| | | |the fund, if any | | |
| | | | | | |
| |Key decision making role(s) held by the individual, if any | |Date of birth | |Nationality |
| | | | | | |
| | | | | | |
| |Passport No./ Driver’s Licence No./ National ID card | |Address/City/Postcode | |Country |
| |(Include Country of Issue) | | | | |
| |Source of Wealth | |Capital contribution into the IA and the amount investment into| | |
| | | |the fund, if any | | |
| |First Name (Name in Local Language if applicable) | |Last Name (Name in Local Language if applicable) | |Middle Initial |
|3. | | | | | |
| |Key decision making role(s) held by the individual, if any | |Date of birth | |Nationality |
| | | | | | |
| | | | | | |
| |Passport No./ Driver’s Licence No./ National ID card | |Address/City/Postcode | |Country |
| |(Include Country of Issue) | | | | |
| |Source of Wealth | |Capital contribution into the IA and the amount investment into| | |
| | | |the fund, if any | | |
| |First Name (Name in Local Language if applicable) | |Last Name (Name in Local Language if applicable) | |Middle Initial |
|4. | | | | | |
| |Key decision making role(s) held by the individual, if any | |Date of birth | |Nationality |
| | | | | | |
| | | | | | |
| |Passport No./ Driver’s Licence No./ National ID card | |Address/City/Postcode | |Country |
| |(Include Country of Issue) | | | | |
| |Source of Wealth | |Capital contribution into the IA and the amount investment into| | |
| | | |the fund, if any | | |
|2. REQUIRED DOCUMENTATION |
| |A copy of the Driver’s Licence, Passport or other valid National ID card for each Beneficial Owner. |
| |Biographies of each principal of the investment manager/adviser and each Beneficial Owner. |
| |A prospectus or offering memorandum of the underlying fund of the IA. |
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