# VANGUARD INVESTMENTS CANADA INC.

VANGUARD INVESTMENTS CANADA INC. of TORONTO, ONTARIO is an SEC exempt reporting adviser.

## Registration

- CRD: 283519
- Type: SEC exempt reporting adviser
- SEC file number: 802-107926
- Location: 22 ADELAIDE STREET WEST, SUITE 2500, TORONTO, ONTARIO, M5H 4E3
- Phone: 416-263-7100
- Latest filing: 2025-07-01

## Officers, owners & control persons (20)

| Name | Role | Location |
| --- | --- | --- |
| [Michael Finnegan](https://search.stillhousedata.com/person/303699) | CHIEF FINANCIAL OFFICER | West Palm Beach, FL |
| [Kathleen Celeste Bock](https://search.stillhousedata.com/person/691445) | DIRECTOR, CHAIR, MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRINCIPAL | — |
| [Christine Madonna Buchanan](https://search.stillhousedata.com/person/691446) | DIRECTOR | — |
| [Teresa Vanessa Tropea](https://search.stillhousedata.com/person/691447) | CHIEF COMPLIANCE OFFICER AND HEAD OF COMPLIANCE | — |
| [Catherine Margaret Chamberlain](https://search.stillhousedata.com/person/691448) | DIRECTOR, HEAD OF LEGAL & COMPLIANCE FOR THE AMERICAS | — |
| [Michael Joseph Finnegan](https://search.stillhousedata.com/person/691449) | CHIEF FINANCIAL OFFICER | — |
| [Angela Nikolakakos](https://search.stillhousedata.com/person/691450) | CORPORATE SECRETARY AND HEAD OF LEGAL FOR CANADA | — |
| [Kathleen C Bock](https://search.stillhousedata.com/person/724198) | DIRECTOR, CHAIR, MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRINCIPAL | — |
| [Christine M Buchanan](https://search.stillhousedata.com/person/725831) | DIRECTOR | — |
| [Catherine M Chamberlain](https://search.stillhousedata.com/person/725832) | DIRECTOR, CORPORATE SECRETARY AND HEAD OF LEGAL & COMPLIANCE | — |
| [STAM HEIDI](https://search.stillhousedata.com/person/738230) | DIRECTOR | — |
| [TIWARI ATUL](https://search.stillhousedata.com/person/741577) | DIRECTOR AND MANAGING DIRECTOR | — |
| [HIGGINS THOMAS JOSEPH](https://search.stillhousedata.com/person/778364) | DIRECTOR AND CHIEF FINANCIAL OFFICER | — |
| [NORRIS JAMES MAURICE](https://search.stillhousedata.com/person/790524) | CHIEF FINANCIAL OFFICER; DIRECTOR | — |
| [BOCK KATHLEEN C](https://search.stillhousedata.com/person/860374) | DIRECTOR AND PRINCIPAL; DIRECTOR, CHAIR, MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRINCIPAL; DIRECTOR, PRINCIPAL AND MANAGING DIRECTOR (+1 more) | — |
| [CHAMBERLAIN CATHERINE M](https://search.stillhousedata.com/person/894505) | CHIEF COMPLIANCE OFFICER, AML & PRIVACY OFFICER, DIRECTOR; CHIEF COMPLIANCE OFFICER, DIRECTOR; CHIEF COMPLIANCE OFFICER, SECRETARY, & AML & PRIVACY OFFICER (+3 more) | — |
| [Stern Jessica Cara](https://search.stillhousedata.com/person/899399) | SECRETARY | — |
| [BUCHANAN CHRISTINE M](https://search.stillhousedata.com/person/900648) | DIRECTOR; DIRECTOR, CHIEF FINANCIAL OFFICER | — |
| [TROPEA TERESA VANESSA](https://search.stillhousedata.com/person/904281) | CHIEF COMPLIANCE OFFICER AND HEAD OF COMPLIANCE; CHIEF COMPLIANCE OFFICER, DIRECTOR | — |
| [FINNEGAN MICHAEL](https://search.stillhousedata.com/person/906824) | CHIEF FINANCIAL OFFICER | — |


## Disclosures (154)

_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 |
| 2021-02-02 | 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 |
| 2021-02-02 | 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 |
| 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 | — | — | — |


## Private funds (2)

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| VIC 500 VANGUARD GLOBAL CREDIT BOND FUND | Other Private Fund | Canada | 503 | $32.9M | $500 |
| VIC 600 VANGUARD GLOBAL EQUITY FUND | Other Private Fund | Canada | 1,631 | $32.1M | $500 |


## Fund service providers (1)

- administrator: CIBC MELLON TRUST COMPANY — 2 funds

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/283519/brochure
- Similar advisers: https://search.stillhousedata.com/firm/283519/similar
- Related entities: https://search.stillhousedata.com/firm/283519/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/283519

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.