VANGUARD INVESTMENTS UK, LIMITED of LONDON is an SEC exempt reporting adviser (CRD 283775).
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| Name | Role | Location |
|---|---|---|
| James Mark | DIRECTOR | Vancouver, A1 |
| John Wesley Bendl | NON-EXECUTIVE DIRECTOR | — |
| Robyn Leigh Laidlaw | EXECUTIVE DIRECTOR | — |
| Jonathan Guy Cleborne | CHIEF EXECUTIVE OFFICER | — |
| Daniel Flynn Waters | INDEPENDENT NON-EXECUTIVE DIRECTOR | — |
| Maureen Anne Erasmus | INDEPENDENT NON-EXECUTIVE DIRECTOR | — |
| Paul Michael Jakubowski | NON-EXECUTIVE DIRECTOR | — |
| Kim Leanne Petersen | NON-EXECUTIVE DIRECTOR | — |
| Michael David Craston | CHAIRMAN AND INDEPENDENT NON-EXECUTIVE DIRECTOR | — |
| Ricky Vassell | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & GENERAL COUNSEL | — |
| Blair John Fanning | CHIEF FINANCE OFFICER | — |
| Robyn Laidlaw | EXECUTIVE DIRECTOR | — |
| John Bendl | NON-EXECUTIVE DIRECTOR | — |
| Paul Jakubowski | NON-EXECUTIVE DIRECTOR | — |
| BLAKE NICHOLAS | EXECUTIVE DIRECTOR | — |
| NORRIS JAMES MAURICE | DIRECTOR; EXECUTIVE DIRECTOR; EXECUTIVE DIRECTOR AND CHAIRMAN | — |
| CRASTON MICHAEL DAVID | CHAIRMAN AND INDEPENDENT NON-EXECUTIVE DIRECTOR | — |
| SATTERTHWAITE FRANK LORD | DIRECTOR | — |
| SMITH KATIE JANE | EXECUTIVE DIRECTOR | — |
| VOLPERT KENNETH EDWIN | DIRECTOR; EXECUTIVE DIRECTOR | — |
| BLAKE NICK NMN | DIRECTOR | — |
| GOTTS ALEXANDRA JANE | DIRECTOR | — |
| WITHERS RICHARD JOHN | CHIEF COMPLIANCE OFFICER | — |
| HAGERTY SEAN PATRICK | EXECUTIVE DIRECTOR; EXECUTIVE DIRECTOR AND CHAIRMAN | — |
| LUI CYNTHIA | DIRECTOR | — |
| 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 |
| 2021-02-03 | 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 |
| 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 |
| 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 |
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