VANGUARD INVESTMENTS AUSTRALIA LIMITED of MELBOURNE VIC is an SEC-registered investment adviser (CRD 282933). Regulatory assets under management: $92.4B.
Compensation: % of AUM, Fixed.
Clients served: Pensions, Investment cos.
Showing 25 of 33 people.
| Name | Role | Location |
|---|---|---|
| Brian Wayne Dvorak | DIRECTOR | — |
| Kim Leanne Petersen | DIRECTOR | — |
| Daniel Raymond Shrimski | CHAIRMAN, DIRECTOR; CHAIRMAN, DIRECTOR, CHIEF EXECUTIVE OFFICER | — |
| Curtis Alan Jacques | DIRECTOR | — |
| John Joseph Oberlies | CHIEF FINANCIAL OFFICER | — |
| Tasha Jane Manktelow | CHIEF COMPLIANCE OFFICER | — |
| Nicolas Pesciarelli | DIRECTOR | — |
| Sean Bernard Hughes | GENERAL COUNSEL | — |
| REED PHILIP JAMES WILLIAM | DIRECTOR | — |
| NORRIS JAMES MAURICE | DIRECTOR | — |
| MCISAAC CHRISTOPHER DAVIS | DIRECTOR | — |
| LAZAR ANDREW | CHIEF COMPLIANCE OFFICER | — |
| COMEGYS CARL RODNEY | DIRECTOR | — |
| KELTON COLIN MICHAEL | MANAGING DIRECTOR | — |
| SHRIMSKI DANIEL RAYMOND | CHAIRMAN, DIRECTOR; CHIEF FINANCIAL OFFICER | — |
| LOVETT MICHAEL ASHLEY | DIRECTOR | — |
| CARR LUCY | DIRECTOR; DIRECTOR AND PRINCIPAL | — |
| DVORAK BRIAN WAYNE | DIRECTOR | — |
| LUI CYNTHIA | DIRECTOR | — |
| BENDL JOHN | DIRECTOR | — |
| PLATT JOHANNA | CHIEF FINANCIAL OFFICER; DIRECTOR | — |
| DENT IAN EDGAR | CHIEF COMPLIANCE OFFICER | — |
| Warmbrand Ashley | CHIEF COMPLIANCE OFFICER; HEAD OF LEGAL AND COMPLIANCE, CHIEF COMPLIANCE OFFICER | — |
| KOLIMAGO FRANCIS ALOYSIUS | DIRECTOR, PRINCIPAL | — |
| Luppino Josephine Maria | COMPLIANCE MANAGER | — |
Showing 10 of 11 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-07-24 | civil | ON 25 JULY 2023, ASIC LODGED CIVIL PENALTY PROCEEDINGS IN THE FEDERAL COURT OF AUSTRALIA AGAINST VANGUARD INVESTMENTS AUSTRALIA LTD (VIA), ALLEGING MISREPRESENTATIONS IN RELATION TO CLAIMS ABOUT CERTAIN ENVIRONMENTAL, SOCIAL AND GOVERNANCE (ESG) EXCLUSIONARY SCREENS APPLIED TO INVESTMENTS IN THE VAN… | Final | $8.8M |
| 2023-03-03 | regulatory | THE FMA ISSUED A WARNING TO VANGUARD INVESTMENTS AUSTRALIA LIMITED (VIA) FOR FAILING TO COMPLY WITH ITS FINANCIAL MARKETS CONDUCT REGULATIONS 2014 REQUIRING DISCLOSURE OF THREE ASIC INFRINGEMENT NOTICES "AS SOON AS PRACTICABLE AFTER THE ACTION IS TAKEN OR THE POWER IS EXERCISED AND NO LATER THAN 5 W… | Final | — |
| 2022-11-11 | regulatory | ASIC ALLEGED THAT VIA ISSUED A PRODUCT DISCLOSURE STATEMENT (PDS) FOR THREE FUNDS THAT STATED THAT THE INDEX TRACKED BY THE FUNDS EXCLUDED CERTAIN SECURITIES WHICH WERE NOT IN FACT EXCLUDED BY THE INDEX METHODOLOGY. ASIC HAS ACKNOWLEDGED THAT THE MISSTATEMENTS WERE AN INADVERTENT ERROR AND NOT INTEN… | Final | $27K |
| 2022-11-04 | regulatory | FINRA ALLEGES THAT VANGUARD MARKETING CORPORATION ("VMC") VIOLATED FINRA RULES 2360(B)(23)(A) AND 2010 BY ACCEPTING A CLIENT'S OPTIONS EXERCISE INSTRUCTIONS ON MAY 22, 2020, AFTER THE 5:30 PM CUTOFF TIME, AND FINRA RULES 3110 AND 2010 BY FAILING TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, INCLUD… | Final | $50K |
| 2022-02-24 | regulatory | THE SOUTH KOREAN FINANCIAL SUPERVISORY SERVICE CLAIMED THAT ON MARCH 31, 2020 VANGUARD INVESTMENTS AUSTRALIA LIMITED ("VIA"), ENGAGED IN THE SALE OF TWO KOREAN-LISTED SECURITIES WITHOUT CORRESPONDING OWNERSHIP OF THE POSITIONS, A PRACTICE WHICH IS PROHIBITED UNDER SOUTH KOREAN LAW. | Final | $20K |
| 2021-05-11 | regulatory | BAFIN CLAIMED THAT THE VANGUARD GROUP, INC. ("VGI") ERRED IN PERFORMING A TECHNICAL FROM 2017 TO 2019, WHICH LED TO UNTIMELY VOTING RIGHTS NOTIFICATIONS FOR THREE POSITIONS IN CONNECTION WITH SECURITIES LENDING ARRANGEMENTS. | Final | $377K |
| 2021-02-03 | regulatory | THE SOUTH KOREAN FINANCIAL SUPERVISORY SERVICE (FSS) CLAIMED THAT ON SEPTEMBER 27, 2019 THE VANGUARD GROUP, INC. ("VGI"), ENGAGED IN THE SALE OF ONE KOREAN-LISTED SECURITY WITHOUT CORRESPONDING OWNERSHIP OF THE POSITION, A PRACTICE WHICH IS PROHIBITED UNDER SOUTH KOREAN LAW. | Final | $15K |
| 2021-02-03 | regulatory | THE SOUTH KOREAN FINANCIAL SUPERVISORY SERVICE CLAIMED THAT ON MARCH 18, 2020 VANGUARD GLOBAL ADVISERS, LLC ("VGA"), ENGAGED IN THE SALE OF ONE KOREAN-LISTED SECURITY WITHOUT CORRESPONDING OWNERSHIP OF THE POSITION, A PRACTICE WHICH IS PROHIBITED UNDER SOUTH KOREAN LAW. | Final | $19K |
| 2020-06-18 | regulatory | THE SOUTH KOREAN FINANCIAL SUPERVISORY SERVICE CLAIMED THAT ON THREE OCCASIONS FROM 2018 TO 2019 THE VANGUARD GROUP, INC. ("VGI"), ENGAGED IN THE SALE OF TWO KOREAN-LISTED SECURITIES WITHOUT CORRESPONDING OWNERSHIP OF THE POSITIONS, A PRACTICE WHICH IS PROHIBITED UNDER SOUTH KOREAN LAW. | Final | $105K |
| — | regulatory | — | — | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| VANGUARD ACTIVE POSITIVE IMPACT FUND | Other Private Fund | Australia | 3 | $7.6M | $310K |