close

Вход

Забыли?

вход по аккаунту

?

How to Invest.pdf - GSQuartix

код для вставки
Goldman Sachs Structured Investments SICAV
Goldman Sachs Specialized Investments
How to Invest
This document must be read in conjunction with the Prospectus of Goldman Sachs Structured Investments SICAV and the Prospectus of Goldman Sachs
Specialized Investments and with the Supplement and (where issued) the Key Investor Information Document (or “KIID”) for the relevant Portfolio.
Terms not defined herein shall have the same meaning as they do in the Prospectus.
This material and its content are not for distribution to retail clients, as that term is defined in the Markets in Financial Instruments Directive (2004/39/EC)
Information current as of September 2013
Contents
Opening an Account
3
General Fund Information
3
Dealing
4
Transfers
4
Confirmations and Statements
5
Bank Account Details and Settlement
5
Fund Payment Details
6
Contacts & Goldman Sachs Structured Investments SICAV Disclaimer
7
Goldman Sachs Specialized Investments Disclaimer
8
2
Goldman Sachs Structured Investments SICAV
and Goldman Sachs Specialized Investments
(each “Fund”)
Opening an Account
п‚—
In order to subscribe into a Fund, you must open an account with that Fund by submitting a fully completed
application form. If you do not have a copy of the relevant Fund application form or Fund Prospectus please contact
your Sales Representative or European Shareholder Services.
п‚— The application form together with payment instructions, and for institutional clients a list of authorised signatories on
the account, must be sent to the following address:
European Shareholder Services
Goldman Sachs International
River Court
120 Fleet Street
London EC4A 2BE
United Kingdom
п‚—
п‚—
A copy of the application form may also be faxed in advance to +(44) 20 7774 6367 with the original mailed
immediately after. Please note further documentation may be required for anti-money laundering (“AML”) purposes. If
further documentation is required, one of our team members or a representative of European Shareholder Services
will contact you. Please ensure that your contact details are provided on the application form.
N.B. European Shareholder Services carry out pre-vetting on all investors which means that the original application
form as well as all original AML documentation must be received by European Shareholder Services before the
account can be opened.
General Fund Information
п‚—
п‚—
п‚—
The Goldman Sachs Structured Investments Fund is an Undertaking for Collective Investment organised as an
investment company domiciled in Luxembourg with variable capital (“Société d’Investissement à Capital Variable” or
“SICAV”) of the open-ended type with multiple portfolios and share classes.
The Goldman Sachs Specialized Investments Fund is an Undertaking for Collective Investment in the form of a
Specialized Investment Fund (“SIF”) organised as an investment company domiciled in Luxembourg with variable
capital (“Société d’Investissement à Capital Variable” or a SICAV) of the open-ended type with multiple portfolios and
share classes.
Please consult the relevant Supplement to each Fund Prospectus for the correct settlement cycle of the relevant
portfolio. Please note, the settlement cycle shown below is an example and for illustration purposes only.
Daily Portfolio Characteristics
Valuation Day
Settlement Period
Dealing Cut-Off Time
Maximum number of decimals for share trades
Every Business Day1
Valuation Day + 3 Local Business Days1
4pm (CET) every Luxembourg & London business day
prior to any Valuation Day
3 decimals
1Business
Day and Local Business Day shall have the same meanings as defined under the section “General Portfolio Characteristics” in the relevant Supplement to
the Fund Prospectus.
Fund Holidays: In accordance with the Fund Prospectus, the Fund Holiday calendar is available upon request from European Shareholder Services.
3
Goldman Sachs Structured Investments SICAV
and Goldman Sachs Specialized Investments
(each “Fund”)
Dealing
п‚—
п‚—
п‚—
Once your account has been confirmed as open, you will be allocated an account number which must be quoted on
all trade instructions and correspondence. Please note that subscriptions will only be processed if the application
form has been completed and an account number has been provided to you. Other methods of subscription can be
discussed upon request to European Shareholder Services.
Subsequent trade instructions may be placed via fax directly to RBC Investor Services Bank S.A providing you have
completed the fax indemnity section in the application form1. We can accept a free format fax.
Faxes for subscription, redemption, transfer or conversion must be sent to +(352) 2460 5238 before the relevant
portfolio Dealing Cut-Off Time so that your order may be considered for the next valid Valuation Day.
A Trade Instruction must contain the following :
• Fund Name
• Portfolio Name
• Share Class name
• ISIN Code or Other Identifier
п‚—
п‚—
п‚—
п‚—
п‚—
• Account Number
• Trade Type: Subscription, Redemption, Transfer or
Conversion
• Number of shares or currency amount to be traded
• Signatures of authorised signatories on the account
Subscription and redemption trade instructions may be instructed either as a cash amount or a number of shares.
Transfer or conversion trade instructions may be placed as a number of shares only.
Please note that the portfolio can only trade in the currency of the share classes available.
A trade instruction received prior to the Dealing Cut-Off Time will be executed on the next available Valuation Day
A trade instruction received after the Dealing Cut-Off Time will be accepted for the next available Business Day,
with execution on the next available Valuation Day.
Transfers
п‚—
п‚—
п‚—
п‚—
п‚—
RBC Investor Services Bank S.A supports transfers of shares in the various portfolios of each Fund. Depending on
how the transferor holds the shares and how the transferee wishes to hold the shares, different documentation may
be required to enable RBC Investor Services Bank S.A to process the transfer.
If the transfer is to a new account to be opened with a Fund, the transferee should follow the steps outlined in the
“Opening An Account “section of this guide in order to open an account with a Fund.
To process the transfer, both transferor and transferee must sign a transfer request specifying the details of the
holding to be transferred.
The transfer to the new account will only be completed on receipt of all requested documentation.
If we have not received all necessary documents in order to process the transfer or we need further information, we
will contact the party who submitted the request, asking that they contact their counterparty in regards to any missing
documents or information.
A Transfer Request must contain the following :
• Fund Name
• Portfolio Name
• Share Class name
• ISIN Code or Other Identifier
• Number of Shares
п‚—
п‚—
1
• Transferor account number
• Transferee account number
• Change in beneficial ownership (Yes/No) – If Yes please
provide your GS Sales contact name and new beneficial
owner name
A transfer request must be signed by authorised signatories as applicable. We can accept a free format transfer
request.
In accordance with the relevant Fund Prospectus, the minimum holding in a share class must be observed at all
times. Each Fund reserves the right to reject any transfer request if the transfer is such that the transferors total
holding will fall below the minimum holding permissible.
If you do not have a copy of the application form with this document please contact your Sales Representative or European Shareholder Services
4
Goldman Sachs Structured Investments SICAV
and Goldman Sachs Specialized Investments
(each “Fund”)
Confirmations and Statements
п‚—
п‚—
п‚—
п‚—
You will normally receive a trade confirmation on Valuation Day + 2 Local Business Days after submitting an trade
instruction for a subscription, redemption, transfer or conversion. This will contain the following information:
п‚— Investor name and address
п‚— Name of the portfolio / share class in which the trade was executed
п‚— NAV per share
п‚— Value of trade
п‚— Any commissions / fees applied
Important notice: Please note that your obligation to settle subscription proceeds in accordance with the deadlines
set out in the relevant Fund Prospectus is not dependent on your receipt of a trade confirmation for your trade
instruction. Subscription monies must be settled in accordance with the relevant deadlines, regardless of any delay in
the issue of a trade confirmation to you.
Statements are sent on a monthly basis by mail to the address stated on the application form. A monthly statement
will typically contain the following details:
п‚— Investor name and address
п‚— Name of the Portfolio / share class held
п‚— Latest NAV
п‚— Holding value
For further information on these services or to make any amendments to any contact details, please contact
European Shareholder Services.
Bank Account Details and Settlement
п‚—
Please consult the relevant Supplement to the relevant Fund Prospectus for the correct settlement cycle of the
relevant portfolio. Please note, the settlement cycle of Valuation Day + 3 Local Business Days shown below is an
example and is for illustration purposes only.
п‚— Payments for subscriptions and redemptions are due in the currency of the relevant share class.
п‚— Important notice: In order to amend your bank account details, an original hard copy of the amended payment
instructions signed by an authorised signatory on the account must be couriered to European Shareholder Services.
Please allow time for these amendments to be made. Any requests should be sent well in advance so as to avoid any
possible delays in payment.
п‚— Instructions sent by fax, SWIFT or email to amend current bank details will not be accepted.
V= Valuation Day
Transaction Timeline for a Daily Portfolio
LBD = Local Business Day
V-1 LBD
Trade
Instruction
received prior
to 4pm CET
V
Trade
Instruction
executed by
the Fund
V+1 LBD
NAV for V is
calculated
V+2 LBD
Trade
confirmation
sent
V+3 LBD
Settlement
5
Fund Payment Details
ELECTRONIC BANK TRANSFERS FOR THE PURCHASE OF SHARES SHOULD BE TRANSMITTED FROM A BANK ACCOUNT IN THE NAME
OF THE INVESTOR AND RECEIVED BY THE FUND WITHIN THE TIME SPECIFIED IN THE RELEVANT SUPPLEMENT TO THE FUND
PROSPECTUS
Payment must be made in EUR to:
Pay to:
Swift Code:
For the account of:
Account No:
Ref.:
Bank of America N.A
BOFAGB22
Goldman Sachs Structured Investments SICAV
GB24BOFA16505048351035
Goldman Sachs Deal Reference
Payment must be made in GBP to:
Pay to:
Swift Code:
Sort Code:
For the account of:
Account No:
Ref.:
Bank of America N/A
BOFAGB22
16 50 50
Goldman Sachs Structured Investments SICAV
GB68BOFA16505048351019
Goldman Sachs Deal Reference
Payment must be made in CHF to:
Pay to:
Swift Code:
For the account of:
Account No:
Ref.:
Bank of America N.A London - Switzerland Branch
BOFAGB3SSWI
Goldman Sachs Structured Investments SICAV
CH9008726000030810017
Goldman Sachs Deal Reference
Payment must be made in USD to:
Pay to:
Swift Code:
ABA No.:
For the account of:
Account No:
Ref.:
Bank of America N.A
BOFAUS3N
026 009 593
Goldman Sachs Structured Investments SICAV
6550667804
Goldman Sachs Deal Reference
Payment must be made in JPY to:
Pay to:
Swift Code:
For the account of:
Account No:
Ref.:
Bank of America N.A
BOFAJPJX
Goldman Sachs Structured Investments SICAV
606422421012
Goldman Sachs Deal Reference
6
Contacts & Disclaimers
Contacts
Shareholder Services Agent
European Shareholder Services
Goldman Sachs International
River Court
120 Fleet Street
London EC4A 2BE
United Kingdom
For account openings & queries, please contact:
Email: ess@gs.com
Phone: + 44 20 7774 6366
Fax: + 44 20 7774 6367
Registrar and Transfer Agent
RBC Investor Services Bank S.A
14 Porte de France
L-4360 Esch sur Alzette
Luxembourg
For all Trade Instructions, please contact:
Fax: + 352 2460 5238
Goldman Sachs Structured Investments SICAV Disclaimer
Goldman Sachs Structured Investments SICAV is a Luxembourg Société d'Investissement à Capital Variable composed of several separate sub-funds (each a “Portfolio”), incorporated
under the law of 20 December 2002, relating to undertakings for collective investment and governed by the law of 17 December 2010 relating to undertakings for collective investments,
and listed on the official list of UCITS subject to the supervision of the CSSF in accordance with the law of 20 December 2002.
This document must always be read in conjunction with the Prospectus of Goldman Sachs Structured Investments SICAV and with the Supplement and KIID issued for the relevant
Portfolio of Goldman Sachs Structured Investments SICAV. In particular, prospective investors must read and pay special attention to investment risks and related disclosures and conflicts
and related disclosures in the Prospectus and Supplements. This material is not a product of the Global Investment Research Department or Fixed Income Research. It is not a research
report and is not intended as such.
Goldman Sachs Structured Investments SICAV is available to both retail or natural persons and Institutional Investors as set out in the Prospectus and Supplements. The profile of the
typical investor for each Portfolio is described in each Prospectus and in the description of each relevant Portfolio.
This document has not been approved or reviewed by the Luxembourg regulator.
Subscriptions cannot be received on the basis of this document and they are valid only if made on the basis of the current Prospectus and each relevant KIID, supplemented by the most
recent annual report and, if later, the half-yearly report. The Prospectus, each relevant KIID and the reports shall be available at the SICAV's registered office or the relevant administrative
office or from the Global Distributor, as defined in the Prospectus.
This document does not constitute an offer or solicitation to any person in any jurisdiction in which such offer or solicitation is not authorized or to any person to whom it would be unlawful
to make such offer or solicitation. This document has been delivered to you upon your express request.
Goldman Sachs performs several roles in connection with Goldman Sachs Structured Investments SICAV and its Portfolios. Although Goldman Sachs will perform its obligations in good
faith and a commercially reasonable manner, Goldman Sachs may face conflicts between those roles and its own interests. In particular in its other businesses, Goldman Sachs may have
an economic interest in the underlying assets of the relevant Portfolio and may take other action with respect to its interests as it deems appropriate.
The information contained in this document should be treated as highly confidential. No disclosure may be made to third parties (including potential co-investors) regarding any information
disclosed in this document without the prior permission of Goldman Sachs. By accepting this document you agree not to use the information contained in this document or in any other
materials you are provided with, for any purpose other than for considering a participation in the proposed transactions.
This document has been delivered to you on the basis that you are a person to whom this document may be lawfully delivered in accordance with the laws of the jurisdiction in which you
are located. You agree that by furnishing this document to you Goldman Sachs is not acting as your advisor in relation to any legal, accounting or tax matter associated or related to the
transactions. In particular, Goldman Sachs is not giving any regulatory, legal, accounting or tax advice in relation to the feasibility of the proposed transactions in your jurisdiction.
Therefore, you are strongly advised to consult your own independent advisors in relation to any legal, tax or accounting advice should you wish to proceed with a transaction.
No representation or warranty, expressed or implied, is made as to the quality, accuracy, timeliness, continued availability or completeness of the information contained in the document,
and nothing contained herein is, or shall be relied upon as, a promise or representation. This document does not purport to contain all the information that may be required to evaluate the
proposed transactions. Goldman Sachs has not independently verified any third party information included in this document and assumes no responsibility for its accuracy, timeliness,
continued availability or completeness. Furthermore, you agree that Goldman Sachs will not have any liability to you relating to or resulting from the use of this document, nor for any
special, indirect, incidental or consequential damages which may be incurred or experienced because of the use of the data made available herein, even if Goldman Sachs has been
advised of the possibility of such damages.
Past performance is not a guide to future performance and the value of investments and the income derived from them can go down as well as up. Future returns are not guaranteed and a
loss of principal may occur.
Unless more restrictive rules are provided for in the investment policy, as described in the relevant Prospectus, Supplements and the KIID, Goldman Sachs Structured Investments SICAV
shall comply with the rules and restrictions detailed in the "Investment Restrictions" section in the Prospectus and investments of Goldman Sachs Structured Investments SICAV shall
consist only of those assets included in the "Authorized Investments" subsection under the "Investment Restrictions" section in the Prospectus.
SHARES IN GOLDMAN SACHS STRUCTURED INVESTMENTS SICAV OR ANY OF ITS PORTFOLIOS MAY NOT BE OFFERED OR SOLD WITHIN THE UNITED STATES OR TO, OR
FOR THE BENEFIT OF, UNITED STATES PERSONS (AS DEFINED IN REGULATIONS UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED). THIS DOCUMENT MAY NOT BE
DISTRIBUTED IN THE UNITED STATES.
SHARES IN GOLDMAN SACHS STRUCTURED INVESTMENTS SICAV OR ANY OF ITS PORTFOLIOS MAY NOT BE OFFERED OR SOLD IN OR FROM ANY JURISDICTION WHERE
THE OFFER OR SALE IS PROHIBITED BY LAW OR TO ANY PERSON WHO IS NOT QUALIFIED TO PARTICIPATE IN THE PURCHASE OF SHARES. ACCORDINGLY, THIS
MATERIAL RELATING TO THE SHARES MAY NOT BE DISTRIBUTED IN CONNECTION WITH ANY SUCH OFFER OR DISTRIBUTION.
В© Copyright 2013 Goldman Sachs. All rights reserved.
7
Contacts & Disclaimers
Goldman Sachs Specialized Investments Disclaimer
Goldman Sachs Specialized Investments is a Luxembourg SIF under the form of a SociГ©tГ© d'Investissement Г Capital Variable composed of several separate sub-funds (each a
“Portfolio”), incorporated under the law of 13 February 2007 and listed on the official list of SIFs subject to the supervision of the CSSF in accordance with the law of 13 February 2007,
relating to specialised investment funds.
This document constitutes marketing material and it must always be read in conjunction with the Prospectus of Goldman Sachs Specialized Investments and with the Supplement and
KIID issued for the relevant Portfolio of Goldman Sachs Specialized Investments. In particular, prospective investors must read and pay special attention to investment risks and related
disclosures and conflicts and related disclosures in the Prospectus and Supplement.
This material is not a product of the Global Investment Research Department or Fixed Income Research. It is not a research report and is not intended as such.
Goldman Sachs Specialized Investments is available only to professional and institutional investors. This document should not be relied upon by any person other than professional or
institutional investors.
This document has not been approved or reviewed by the Luxembourg regulator.
Subscriptions cannot be received on the basis of this document and they are valid only if made on the basis of the current Prospectus and each relevant KIID, where issued,
supplemented by the most recent annual report and, if later, the half-yearly report. The Prospectus, each relevant KIID, where issued, and the reports shall be available at the Goldman
Sachs Specialized Investments registered office or the relevant administrative office or from the Distributor, as defined in the Prospectus.
This document does not constitute an offer or solicitation to any person in any jurisdiction in which such offer or solicitation is not authorized or to any person to whom it would be unlawful
to make such offer or solicitation. This document has been delivered to you upon your express request.
Goldman Sachs performs several roles in connection with Goldman Sachs Specialized Investments and its Portfolios. Although Goldman Sachs will perform its obligations in good faith
and a commercially reasonable manner, it may face conflicts between those roles and its own interests. In particular in its other businesses, Goldman Sachs may have an economic
interest in the underlying assets of the relevant Portfolio and may take other action with respect to its interests as it deems appropriate.
The information contained in this document should be treated as highly confidential. No disclosure may be made to third parties (including potential co-investors) regarding any
information disclosed in this document without the prior permission of Goldman Sachs. By accepting this document you agree not to use the information contained in this document or in
any other materials you are provided with, for any purpose other than for considering a participation in the proposed transactions.
This document has been delivered to you on the basis that you are a person to whom this document may be lawfully delivered in accordance with the laws of the jurisdiction in which you
are located. You agree that by furnishing this document to you Goldman Sachs is not acting as your advisor in relation to any legal, accounting or tax matter associated or related to the
transactions. In particular, Goldman Sachs is not giving any regulatory, legal, accounting or tax advice in relation to the feasibility of the proposed transactions in your jurisdiction.
Therefore, you are strongly advised to consult your own independent advisors in relation to any legal, tax or accounting advice should you wish to proceed with a transaction.
No representation or warranty, expressed or implied, is made as to the quality, accuracy, timeliness, continued availability or completeness of the information contained in the document,
and nothing contained herein is, or shall be relied upon as, a promise or representation. This document does not purport to contain all the information that may be required to evaluate the
proposed transactions. Goldman Sachs has not independently verified any third party information included in this document and assumes no responsibility for its accuracy, timeliness,
continued availability or completeness. Furthermore, you agree that Goldman Sachs will not have any liability to you relating to or resulting from the use of this document, nor for any
special, indirect, incidental or consequential damages which may be incurred or experienced because of the use of the data made available herein, even if Goldman Sachs has been
advised of the possibility of such damages.
Past performance is not a guide to future performance and the value of investments and the income derived from them can go down as well as up. Future returns are not guaranteed and
a loss of principal may occur.
Unless more restrictive rules are provided for in the investment policy, as described in the relevant Prospectus, Supplements and the KIID, where issued, Goldman Sachs Specialized
Investments shall comply with the rules and restrictions detailed in the "Investment Restrictions" section in the Prospectus and investments of the Fund shall consist only of those assets
included in the "Authorized Investments" subsection under the "Investment Restrictions" section in the Prospectus..
SHARES IN GOLDMAN SACHS SPECIALIZED INVESTMENTS OR ANY OF ITS PORTFOLIOS MAY NOT BE OFFERED OR SOLD WITHIN THE UNITED STATES OR TO, OR FOR
THE BENEFIT OF, UNITED STATES PERSONS (AS DEFINED IN REGULATIONS UNDER THE U.S. SECURITIES ACT OF 1933, AS AMENDED). THIS DOCUMENT MAY NOT BE
DISTRIBUTED IN THE UNITED STATES.
SHARES IN GOLDMAN SACHS SPECIALIZED INVESTMENTS OR ANY OF ITS PORTFOLIOS MAY NOT BE OFFERED OR SOLD IN OR FROM ANY JURISDICTION WHERE THE
OFFER OR SALE IS PROHIBITED BY LAW OR TO ANY PERSON WHO IS NOT QUALIFIED TO PARTICIPATE IN THE PURCHASE OF SHARES. ACCORDINGLY, THIS MARKETING
MATERIAL RELATING TO THE SHARES MAY NOT BE DISTRIBUTED IN CONNECTION WITH ANY SUCH OFFER OR DISTRIBUTION.
В© Copyright 2013 Goldman Sachs. All rights reserved.
8
Документ
Категория
Без категории
Просмотров
17
Размер файла
168 Кб
Теги
1/--страниц
Пожаловаться на содержимое документа