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goldman sachs Reporting of Concerns

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The document outlines Goldman Sachs' policy for reporting concerns regarding accounting, auditing matters, and other issues. It provides channels for employees to anonymously or confidentially communicate such concerns to an external contact, Sheldon Raab, or an internal reporting hotline. Mr. Raab will refer accounting and auditing concerns to the Board's Audit Committee and other issues to the appropriate personnel or directors depending on the nature of the matter. The policy prohibits any retaliation for reporting potential violations.

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Policy on Reporting of Concerns Regarding Accounting and Other Matters Our Board of Directors has adopted a policy on reporting of concerns regarding accounting and other matters. This policy is designed to provide a channel of communication for employees and others who have concerns about the conduct of Goldman Sachs or any of its people, including with respect to the firm's accounting controls or auditing matters. Such concerns may be communicated, in a confidential or anonymous manner, to (i) Sheldon Raab of the law firm of Fried, Frank, Harris, Shriver & Jacobson LLP, who has been the firm's designated external contact with respect to legal, ethical and firm policy issues since 1993, or (ii) the firms reporting hotline, which will refer the matter to Mr. Raab. Mr. Raab will communicate concerns regarding accounting, internal accounting controls and other auditing matters (including confidential, anonymous submissions by the people of Goldman Sachs) to the Board's Audit Committee. Mr. Raab will communicate other concerns, depending on the nature of the matter, to the firm's non-management directors or to appropriate personnel within the firm. Such non-accounting concerns expressed by the people of Goldman Sachs will be communicated in accordance with the firms policies and procedures. The firm strictly prohibits any retaliation for reporting a possible violation of law, ethics or firm policy, no matter whom the report concerns. Mr. Raab may be contacted at: Sheldon Raab Fried, Frank, Harris, Shriver & Jacobson LLP One New York Plaza New York, NY 10004 212-859-8090 sheldon.raab@friedfrank.com The firms reporting hotline is: 1 (866) 520-4056, from any phone in the U.S. 3-8026, from Goldman Sachs phones in New York (8) 343-8026, from Goldman Sachs phones outside of New York 1 (917) 343-8026, from non-Goldman Sachs phones, globally

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goldman sachs Reporting of Concerns

  • 1. Policy on Reporting of Concerns Regarding Accounting and Other Matters Our Board of Directors has adopted a policy on reporting of concerns regarding accounting and other matters. This policy is designed to provide a channel of communication for employees and others who have concerns about the conduct of Goldman Sachs or any of its people, including with respect to the firm's accounting controls or auditing matters. Such concerns may be communicated, in a confidential or anonymous manner, to (i) Sheldon Raab of the law firm of Fried, Frank, Harris, Shriver & Jacobson LLP, who has been the firm's designated external contact with respect to legal, ethical and firm policy issues since 1993, or (ii) the firms reporting hotline, which will refer the matter to Mr. Raab. Mr. Raab will communicate concerns regarding accounting, internal accounting controls and other auditing matters (including confidential, anonymous submissions by the people of Goldman Sachs) to the Board's Audit Committee. Mr. Raab will communicate other concerns, depending on the nature of the matter, to the firm's non-management directors or to appropriate personnel within the firm. Such non-accounting concerns expressed by the people of Goldman Sachs will be communicated in accordance with the firms policies and procedures. The firm strictly prohibits any retaliation for reporting a possible violation of law, ethics or firm policy, no matter whom the report concerns. Mr. Raab may be contacted at: Sheldon Raab Fried, Frank, Harris, Shriver & Jacobson LLP One New York Plaza New York, NY 10004 212-859-8090 sheldon.raab@friedfrank.com The firms reporting hotline is: 1 (866) 520-4056, from any phone in the U.S. 3-8026, from Goldman Sachs phones in New York (8) 343-8026, from Goldman Sachs phones outside of New York 1 (917) 343-8026, from non-Goldman Sachs phones, globally