Employment Application

Riddhi Shah
ID: 00200654 True N
Application Submission Date: 04/01/2020
Personal Information
Name

Prefix: Ms
Legal Name: Riddhi Rakesh Shah
Preferred Name: Riddhi Shah
Former Name:
Suffix:

Have you ever been known by any other name? NO

Date of Birth: 30/09/1996
Do you have a US Green Card? No

Father's Name
First Name: Rakesh
Middle Name: Champaklal
Last Name: Shah
Gender: Male
Date of Birth: 10/09/1964
Relationship: Father
Living/Deceased: Living

NATIONAL ID
Country: India
Type: PAN
Description: Permanent Account Number
ID/Number: GOPPS8983P
Primary ID: Yes

PERSONAL PHONE
Phone Type: Primary 1
Country Code: 91 (India)
Phone Number: 9022418525
Extension:

PERSONAL EMAIL
Email Type: Personal Email 1
Email Address: pg19riddhi_s@mdi.ac.in

Current Addresses

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Employment Application
Riddhi Shah
ID: 00200654 True N
Address Type: Primary
From: 30/09/1996
Address 1: Plot no. 77, Nava Faliya Road
Address 2: Besides RiddhiSiddhi Appartment
Apt #/Flat: Naroli
City: Silvassa
State: Dadra and Nagar Haveli (UT)
Postal: 396235
Country: India

Address Type: Campus

From: 13/06/2019
Address 1: Kaveri girls hotel, Management
Address 2: Development Institute
Apt #/Flat:
City: E-6/3
State: Gurgaon
Postal: Haryana
Country: 122007
India

Address History
From: 02/01/2017
To: 31/12/2018
Address Type: Secondary
Address 1: D wing, Flowerqueen society, Andheri west
Address 2:
Apt #/Flat: 63
City: Mumbai
State: Maharashtra
Postal : 400058
Country: India

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Employment Application
Riddhi Shah
ID: 00200654 True N
Education
High School/Secondary School/Equivalent
Attended From: 01/06/2004
Attended To: 30/04/2014
Country: India
School Type: High School
Name of High School/Secondary Lions English School
School/Equivalent:
State: Dadra and Nagar Haveli (UT)
City: Silvassa
Does School Calculate Grade/GPA? Yes
Grade/GPA: 94.4 out of 100
Did You Complete? Yes
null

College/University
Attended From: 12/06/2019
Attended To: 31/03/2021
Country: India
Name of College: Management Development Institute
Student ID: 19P038
University Not Applicable: No
Name of University: Management Development Institute
Registration ID: NA
State: Haryana
City: Gurgaon
Major 1: Finance
Major 2/Minor:
Does School Calculate Grade/GPA? Yes
Grade/GPA: 6.2 out of 10
Degree/Diploma: Diploma
Full Time: Yes
Degree/Diploma awarded? No
Expected Award Date: 30/04/2021
Attended From: 02/06/2014
Attended To: 30/04/2017
Country: India
Name of College: Mithibai College of Arts, Chauhan Institute of Sci
Student ID: NA
University Not Applicable: No
Name of University: Mumbai University Kalina
Registration ID: NA
State: Maharashtra
City: Mumbai

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Employment Application
Riddhi Shah
ID: 00200654 True N
Major 1: Finance
Major 2/Minor:
Does School Calculate Grade/GPA? Yes
Grade/GPA: 6.8 out of 7
Degree/Diploma: Bachelors
Full Time: Yes
Degree/Diploma awarded? Yes
Date Awarded: 22/02/2018

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Employment Application
Riddhi Shah
ID: 00200654 True N

Employment History
If you have a current employer, may we contact them? No OTHER

Employment Type: IND Employee

Employer Details
Start Date: 12/06/2017
End Date: 08/06/2018
Employer: 00000056
Name: Morgan Stanley
Employee ID:
Out Of Business? No
Country: India
Type of Business: Finance
Address 1:
Address 2:
Apt #/Flat:
City: Mumbai
State: Maharashtra
Postal: 400063
Job and Pay Details

Ending Functional Job Title: Operations Analyst

Corporate Officer Title:
Is this an 'Unpaid' Position? No
Last Salary: 350000.00 INR
Last Bonus:
Reason for Leaving: Voluntarily Resigned
Duties:
Contacts
Manager Name: Rashida Devraj
Phone Number: (91) 9987539591

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Employment Application
Riddhi Shah
ID: 00200654 True N

Employment Type: IND Employee

Employer Details
Start Date: 01/05/2015
End Date: 30/06/2015
Employer: Others
Name: Khushi Ambient Media
Employee ID:
Out Of Business? No
Country: India
Type of Business: Service
Address 1:
Address 2:
Apt #/Flat:
City: Mumbai
State: Maharashtra
Job and Pay Details

Ending Functional Job Title: Marketing intern

Military Specialty:
Is this an 'Unpaid' Position? No
Last Salary: 14000.00 INR
Last Bonus:
Reason for Leaving: Contract / Assignment Ended
Duties:
Contacts
Manager Name: Vikas
Phone Number: (91) 9527426323

Unemployment Details
Start date: 09/06/2018
End date: 12/06/2019
Reason: Personal

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Employment Application
Riddhi Shah
ID: 00200654 True N
Compliance

QUESTIONS RELATING TO REGULATED BROKER-DEALERS

Have you ever:

1. Been expelled, suspended, or barred from membership or trading privileges in any

U.S. or non-U.S. self-regulatory organization (e.g., FINRA), securities exchange, or
commodities or futures exchange?

No

2. Been subject to an order of the U.S. SEC, U.S. CFTC or non-U.S. financial regulator
denying, suspending or revoking your registration or authority as a broker or dealer in
securities, commodities or futures by a U.S. or non-U.S. financial regulator?

No

3. Been found to be the cause of any organization or other natural person being
suspended from the securities, commodities or futures business?

No

4. Been found to have willfully violated any provision of the Securities Act of 1933, the
Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment
Company Act of 1940, the Commodity Exchange Act, or any rule or regulation under
any of such acts, or any of the rules of the Municipal Securities Rulemaking Board
(collectively, the "U.S. Financial Industry Laws") or found you to have been unable to
comply with any provision of the U.S. Financial Industry Laws?

No

5. Been found to have willfully aided, abetted, counseled, commanded, induced, or

procured the violation by any person of any provision of the U.S. Financial Industry
Laws?

No

6. Been found to have failed reasonably to supervise another person subject to your
supervision, with a view to preventing the violation of any provision of the U.S.
Financial Industry Laws?

No

7. Been barred by a U.S. state securities, banking or insurance regulator or a federal

banking regulator from engaging in the securities, insurance, banking, savings
association or credit union business, or had a final order issued by any such agency
against you based on fraudulent, manipulative or deceptive conduct?
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Employment Application
Riddhi Shah
ID: 00200654 True N
No

8. Been found by a non-U.S. financial regulator to have

8.1. misstated or omitted to state a material fact in any application to it or proceeding

before it?

No

8.2. violated any statute or regulation regarding transactions in securities or commodity

futures?

No

8.3. aided, abetted, counseled, commanded, induced, or procured the violation of any
such statue or regulation?

No

8.4. failed reasonably to supervise another person subject to your supervision, with a view
to preventing violations of any such statue or regulation?

No

9. Been convicted of, or pled guilty or nolo contendere to, any of the following in the last
10 years in a U.S. or non-U.S. court:

9.1. any felony (or equivalent non-U.S. crime)?

No

9.2. a misdemeanor (or equivalent non-U.S. crime) involving:

9.2.1. false statements, bribery, perjury or burglary?

No

9.2.2. the conduct of a business of a broker, dealer, investment adviser, bank,

insurance company, fiduciary, transfer agent or securities ratings agency?

No

9.2.3. larceny, theft, robbery, extortion, forgery, counterfeiting, fraudulent

concealment, embezzlement, conversion or misappropriation of funds or
securities?

No

9.2.4. concealment of assets, mail fraud, counterfeiting, forgery, fraud or false

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Employment Application
Riddhi Shah
ID: 00200654 True N
statements under Title 18 of the U.S. Code?

No

10. Been enjoined by a U.S. or non-U.S. court from

10.1. acting as an investment adviser, underwriter, broker or dealer in securities, transfer

agent, securities ratings agency or commodities or futures broker or dealer?

No

10.2. acting as an affiliated person or employee of any investment company, bank,

insurance company?

No

10.3. engaging in or continuing any conduct or practice in connection with the above or in
connection with the purchase or sale of any security?

No

11. Misstated or omitted to state a material fact in any application or report to, or
proceeding before, a U.S. self-regulatory organization?

No

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Employment Application
Riddhi Shah
ID: 00200654 True N
QUESTIONS RELATING TO REGULATED BANKS

Have you ever:

1. Been convicted of any criminal offense involving dishonesty or a breach of trust or

money laundering, or have you agreed to enter into a pretrial diversion or similar
program in connection with the prosecution for such an offense?

No

2. Been convicted of any criminal offense involving the illegal manufacture, sale,
distribution of or trafficking in controlled substances, or agreed to enter into a pretrial
diversion or similar program in connection with the prosecution for such an offense?

No

3. Been assessed a civil monetary penalty (CMP) or been temporarily or permanently

removed and/or prohibited from engaging in banking activities by a U.S. federal
banking regulatory agency?

No

4. Been employed by a financial institution that was subject to a Cease and Desist order
issued by a U.S. federal banking regulatory agency?

No

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Employment Application
Riddhi Shah
ID: 00200654 True N
OTHER RELATED QUESTIONS

1. At this time, are you subject to any pending inquiry, investigation, or proceeding
related in any way to investments or an investment-related business?

No

NOTE: For purposes of this question and the next question, the terms "investments" or
"investment-related" mean anything pertaining to securities, commodities, banking,
insurance or real estate, and include, without limitation, matters relating to your acting as,
or being associated with, such entities as a broker/dealer, investment company,
investment adviser, futures sponsor, bank, or savings and loan association.

2. Have you ever been the subject of an investment-related inquiry, investigation or

proceeding that was resolved adversely to you and is not otherwise disclosed in
response to all of the above questions?

No

3. At this time, do you have any open arrest record or pending criminal accusation
against you?

No

Other Information

1. Other than as disclosed on the Compliance tab of this questionnaire, have you ever been
convicted of, or plead guilty or nolo contendere ('no contest') to, a crime (felony,
misdemeanor or equivalent) in a domestic or foreign court? You should provide full
details below of any criminal history subject to any applicable laws limiting the extent of
the information you may be required to disclose. If applicable laws permit you not to
provide any such information click on "no."
No

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Employment Application
Riddhi Shah
ID: 00200654 True N
2. The firm's policy is to honor the legal obligations that a new employee may have to a
current or former employer -- obligations such as an enforceable non-compete or a non-
solicitation agreement, a notice period, or a confidentiality agreement. To facilitate our
hiring process and ensure we understand any limitations to which you may be subject,
are you aware of any such obligations with your current or a former employer?
No

3. Will you be involved in any outside business activity, including serving on a board of a
charitable or other organization, while you are employed at Goldman Sachs?
No

4. In the last five years, have you been suspended or expelled from an undergraduate or
graduate education program or rusticated from in-campus accommodations, for any
reason?
No

Registration

Failure to list all registrations / licences held may result in your registration being delayed or
not transferred to the firm

1. Do you hold any of the following Industry Exams? No

2. Do you hold or have you ever held a previous registration / license in the securities market? No

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Employment Application
Riddhi Shah
ID: 00200654 True N

Professional Status and Relationship Questions

Have you ever held a position with a Governmental Entity (and/or served as a fiduciary to a
Governmental Entity) within the past five (5) years in which you were responsible for or had
influence over (a) investment decisions for the entity, and/or (b) the selection or
remuneration of investment advisors for the entity? (c) decisions relating to regulatory
approvals or enforcement actions; and/or (d) decisions relating to the award of business?

No

Do you have an Immediate Family Member who, within the past five (5) years, has held a
position with a Governmental Entity (and/or served as a fiduciary to a Governmental Entity)
in which he or she was responsible for or had influence over: (a) investment decisions for
the entity; (b) the selection or remuneration of investment advisors for the entity; (c)
decisions relating to regulatory approvals or enforcement actions; and/or (d) decisions
relating to the award of business?

No

Other than as disclosed in response to the above 2 questions, in the last 12 months have
you or a Family Member held any position with a Government Entity?

No

Do you have a Family Member who is a Goldman Sachs employee or member of the Board of
Directors of The Goldman Sachs Group, Inc. ("GS Inc.")?

No

Do you reside in the same household as a Goldman Sachs employee or member of the
Board of Directors of GS Inc.?

No

Do you have any other relationship with a Goldman Sachs employee or member of the Board
of Directors of GS Inc. that could give rise to an actual or perceived conflict of interest?
Examples include a romantic relationship with anyone in your reporting line, or a business
relationship with a member of the Board of Directors or with an employee with whom you
may have business interaction in your Goldman Sachs role.

No

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Employment Application
Riddhi Shah
ID: 00200654 True N

Do you or an Immediate Family Member have any other relationship that could give rise to
an actual or perceived conflict of interest? Examples might include being (or being related
to) a Goldman Sachs client or prospective client, being in a position to influence
investments by a Goldman Sachs client or prospective client, being romantically involved
with a Goldman Sachs vendor or regulator, or being an intermediary of Goldman Sachs or
one of its clients.

No

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