GOLDMAN SACHS ASSET MANAGEMENT CO., LTD. of MINATO-KU, TOKYO is an SEC-registered investment adviser (CRD 283221). Regulatory assets under management: $71.8B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance, Other.
Clients served: High net worth, Pooled vehicles, Pensions, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Judith Leah Shandling | CHIEF COMPLIANCE OFFICER - US MATTERS | — |
| Gareth William Bater | DIRECTOR | — |
| Kenro Tsutsumi | REPRESENTATIVE DIRECTOR AND PRESIDENT | — |
| Takashi Kuwano | DIRECTOR | — |
| SHANDLING JUDITH L | CHIEF COMPLIANCE OFFICER - US MATTERS | — |
| SHANDLING JUDITH LEAH | CHIEF COMPLIANCE OFFICER - US MATTERS | — |
| KIRITANI SHIGEKI | REPRESENTATIVE DIRECTOR AND PRESIDENT | — |
| KANAYAMA ETSUKO | DIRECTOR; REPRESENTATIVE DIRECTOR AND CHAIRPERSON | — |
| Bater Gareth William | DIRECTOR | — |
| YAMADA SHUNICHI | DIRECTOR | — |
| Watanuki Haruko | DIRECTOR | — |
| KIRITANI SHIGEKI NMN | REPRESENTATIVE DIRECTOR AND CHAIRMAN; REPRESENTATIVE DIRECTOR AND PRESIDENT | — |
| KANAYAMA ETSUKO NMN | DIRECTOR; REPRESENTATIVE DIRECTOR AND PRESIDENT | — |
| YAMADA SHUNICHI NMN | DIRECTOR | — |
| LEE HUNG KE | DIRECTOR | — |
| Tsutsumi Kenro | REPRESENTATIVE DIRECTOR AND PRESIDENT | — |
| KUWANO TAKASHI | DIRECTOR | — |
Showing 10 of 18 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-05-09 | regulatory | EFFECTIVE AS OF MAY 4, 2026, SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") ISSUED A FINE, EQUIVALENT TO APPROXIMATELY US $162,600.00, AGAINST THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") BASED ON A FINDING THAT, DURING THE PERIOD BETWEEN MARCH 20, 2024 AND APRIL 9, 2025, GS GROUP FAILED TO TIMELY REPORT CH… | Final | $163K |
| 2024-09-25 | regulatory | ON SEPTEMBER 25, 2024, THE GOLDMAN SACHS GROUPS, INC. ("GS GROUP") ENTERED INTO AN ORDER INSTITUTING CEASE AND DESIST PROCEEDINGS WITH THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC" AND THE ORDER, THE "SEC ORDER"), WHICH ALLEGED THAT GS GROUP AND CERTAIN OF ITS AFFILIATES FAILED TO TIMELY FILE RE… | Final | $300K |
| 2022-11-14 | regulatory | ON MAY 19, 2023, MS. SHANDLING WAS MADE AWARE OF AN ORDER BY THE SUPREME COURT OF THE STATE OF NEW YORK APPELLATE DIVISION, FIRST JUDICIAL DEPARTMENT (THE "COURT"), DATED NOVEMBER 14, 2022, SUSPENDING MS. SHANDLING FOR FAILURE TO FILE A BIENNIAL REGISTRATION AS A RETIRED ATTORNEY PER JUDICIARY LAW §… | Final | — |
| 2021-02-24 | regulatory | ON FEBRUARY 24, 2021, FINANSTILSYNET, THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY CONCLUDED THAT GOLDMAN SACHS GROUP, INC., GOLDMAN SACHS INTERNATIONAL, AND GOLDMAN SACHS & CO. LLC VIOLATED THE NOTIFICATION REQUIREMENT UNDER SECTION 3-14 OF THE NORWEGIAN SECURITIES TRADING ACT, CF. REGULATION (EU)… | Final | $42K |
| 2020-10-22 | criminal | AS DESCRIBED IN THE INFORMATION, FROM 2009 TO 2014, GS GROUP AND ITS AFFILIATES, THROUGH CERTAIN OF ITS EMPLOYEES AND AGENTS, KNOWINGLY AND WILLFULLY CONSPIRED AND AGREED WITH OTHERS TO CORRUPTLY PROVIDE PAYMENTS AND THINGS OF VALUE IN EXCHANGE FOR OBTAINING AND RETAINING BUSINESS. PURSUANT TO THE D… | Pending | — |
| 2020-10-22 | regulatory | ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO AN ORDER INSTITUTING CEASE AND DESIST PROCEEDINGS WITH THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC" AND THE ORDER, THE "SEC ORDER"), WHICH ALLEGED GS GROUP FAILED TO REASONABLY MAINTAIN A SUFFICIENT SYSTEM OF INTERNAL… | Final | $400.0M |
| 2020-10-22 | regulatory | ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (THE "FEDERAL RESERVE", AND THE ORDER, THE "FEDERAL RESERVE ORDER"), WHICH ALLEGED GS G… | Final | $154.0M |
| 2020-10-22 | regulatory | ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO A CONSENT ORDER FOR A CIVIL MONEY PENALTY WITH THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (THE "DFS", AND THE CONSENT ORDER, THE "DFS ORDER"), WHICH ALLEGED VIOLATIONS OF THE NEW YORK BANKING LAW ("BANKING LAW") AR… | Final | $150.0M |
| 2019-09-20 | regulatory | ON SEPTEMBER 20, 2019 THE SWEDISH FINANCIAL SUPERVISORY AUTHORITY (FINANSINSPEKTIONEN - "SFSA") IMPOSED AN ADMINISTRATIVE FINE ON THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") IN THE AMOUNT OF 70,000 SWEDISH KRONA (SEK) (APPROXIMATELY USD 7,200). SFSA ALLEGES A VIOLATION BY GS GROUP OF CHAPTER 6, SECTI… | Final | $7K |
| 2018-05-01 | regulatory | THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (THE "DFS") HAS ALLEGED THAT: (A) CERTAIN FOREIGN EXCHANGE ("FX") TRADERS AT CERTAIN AFFILIATES OF THE GOLDMAN SACHS GROUP, INC. AND GOLDMAN SACHS BANK USA (TOGETHER, "GOLDMAN SACHS") ENGAGED IN IMPROPER CONDUCT OVER THE PERIOD 2008 THROUGH EARLY 2… | Final | $54.8M |