| Form TA-1 Filer Information | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM TA-1/A | OMB APPROVAL |
| OMB Number: 3235-0084 Estimated average burden hours per response: 1.5 |
TA-1/A : Filer Information
Form Version
X0405 |
| 1(a). Filer CIK: | 0000735286 |
| 1(b). Filer CCC: |
********
|
| 1(c). Is this a LIVE or TEST submission? | 
Live
Test
|
| 1(d). Would you like a Return Copy? | 
Yes
|
Submission Contact Information
The registrant may provide a single e-mail address for contact purposes.| 1(f)(i). Contact Name: | |
| 1(f)(ii). Contact Phone Number: | |
| 1(f)(iii). Contact E-Mail Address: |
Notification Information
The registrant may provide additional e-mail addresses for those persons the filer would like to receive notification e-mails regarding the filing.| 1(g). Notification E-mail Address: |
TA-1/A : Registrant Information
| 2. Appropriate regulatory agency (check one): |
Securities and Exchange Commission
Federal Deposit Insurance Corporation
Comptroller of the Currency
|
| 3(a). Full Name of Registrant: | VANGUARD GROUP INC |
| 3(a)(i). Previous name, if being amended: | |
| 3(b). Financial Industry Number (FINS) number: | 385385 |
3(c). Address of principal office where transfer agent activities are, or will be, performed:
| 3(c)(i). Address 1 | 100 Vanguard Boulevard |
| 3(c)(ii). Address 2 | M39 |
| 3(c)(iii). City | Malvern |
| 3(c)(iv). State or Country |
PENNSYLVANIA
|
| 3(c)(v). Postal Code | 19355-2900 |
| 3(d). Is Mailing address different from response to Question 3c? If "yes" provide address(es): |
Yes
No
|
| 3(e). Telephone Number (Include Area Code) | 610-669-1000 |
| 4. Does Registrant conduct, or will it conduct, transfer agent activities at any location other than that given in Questions 3(c) above? If "Yes" provide address (es): |
Yes
No
|
| Other Business Location Record: 1 | |
| 4(a)(i). Address 1 | 2525 Water Ridge Parkway |
| 4(a)(ii). Address 2 | 1 North Falls Plaza |
| 4(a)(iii). City | Charlotte |
| 4(a)(iv). State or Country |
NORTH CAROLINA
|
| 4(a)(v). Postal Code | 28217 |
| Other Business Location Record: 2 | |
| 4(a)(i). Address 1 | 14321 North Northsight Blvd |
| 4(a)(ii). Address 2 | |
| 4(a)(iii). City | Scottsdale |
| 4(a)(iv). State or Country |
ARIZONA
|
| 4(a)(v). Postal Code | 85260 |
| Other Business Location Record: 3 | |
| 4(a)(i). Address 1 | 7900 Windrose Avenue |
| 4(a)(ii). Address 2 | |
| 4(a)(iii). City | Plano |
| 4(a)(iv). State or Country |
TEXAS
|
| 4(a)(v). Postal Code | 75024 |
| 5. Does registrant act, or will it act, as a transfer agent solely for its own securities, and/or securities of an affiliate(s)? |
Yes
No
|
| 6. Has registrant, as a named transfer agent, engaged, or will it engage, a service company to perform any transfer agent functions? |
Yes
No
|
| 6(a). Name | Bank of New York Mellon /TA |
| 6(b). File Number | |
| 6(c)(i). Address 1 | 101 BARCLAY ST |
| 6(c)(ii). Address 2 | |
| 6(c)(iii). City | NEW YORK |
| 6(c)(iv). State or Country |
NEW YORK
|
| 6(c)(v). Postal Code | 10286 |
| 6(a). Name | JP Morgan Chase Bank NA |
| 6(b). File Number | |
| 6(c)(i). Address 1 | 4 NEW YORK PLAZA |
| 6(c)(ii). Address 2 | |
| 6(c)(iii). City | NEW YORK |
| 6(c)(iv). State or Country |
TEXAS
|
| 6(c)(v). Postal Code | 10004 |
| 6(a). Name | State Street Bank & Trust Co /TA |
| 6(b). File Number | |
| 6(c)(i). Address 1 | 1776 HERITAGE DRIVE |
| 6(c)(ii). Address 2 | JOHN ADAMS BUILDING |
| 6(c)(iii). City | NORTH QUINCY |
| 6(c)(iv). State or Country |
MASSACHUSETTS
|
| 6(c)(v). Postal Code | 02171 |
| 7. Has registrant been engaged, or will it be engaged as a service company by a named transfer agent to perform transfer agent functions? |
Yes
No
|
TA-1/A : Independent, Non-Issuer Registrant Information
Completion of Question 8 on this form is required by all independent, non-issuer registrants whose appropriate regulatory authority is the Securities and Exchange Commission. Those registrants who are not required to complete Question 8 should select "Not Applicable".
| 8. Is registrant a: | Corporation |
Section for Initial Registration and for Amendments Reporting Additional Persons.
corporation or partner information Related to item 8 Record: 1| 8(a)(i). Full Name | Amy NMN Gutmann |
| 8(a)(ii). Relationship Start Date | 06/30/2006 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date | 02/22/2022 |
| 8(a)(i). Full Name | Andre Francois Perold |
| 8(a)(ii). Relationship Start Date | 12/31/2004 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Francis Joseph Loughrey |
| 8(a)(ii). Relationship Start Date | 10/01/2009 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Michael Thomas Rollings |
| 8(a)(ii). Relationship Start Date | 06/06/2006 |
| 8(a)(iii). Title or Status | Managing Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Mark NMN Loughridge |
| 8(a)(ii). Relationship Start Date | 03/22/2012 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Scott Charles Malpass |
| 8(a)(ii). Relationship Start Date | 03/22/2012 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Peter Frederick Volanakis |
| 8(a)(ii). Relationship Start Date | 12/01/2008 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Mortimer Joseph Buckley |
| 8(a)(ii). Relationship Start Date | 01/31/2003 |
| 8(a)(iii). Title or Status | Chief Executive Officer, Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Chris Davis McIsaac |
| 8(a)(ii). Relationship Start Date | 01/07/2012 |
| 8(a)(iii). Title or Status | Managing Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | John Thomas Marcante |
| 8(a)(ii). Relationship Start Date | 03/21/2013 |
| 8(a)(iii). Title or Status | Managing Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date | 11/18/2022 |
| 8(a)(i). Full Name | Anne Elizabeth Robinson |
| 8(a)(ii). Relationship Start Date | 09/22/2016 |
| 8(a)(iii). Title or Status | General Counsel |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | John Edward Schadl |
| 8(a)(ii). Relationship Start Date | 03/18/2019 |
| 8(a)(iii). Title or Status | Chief Compliance Officer |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date | 11/30/2022 |
| 8(a)(i). Full Name | Karin Ann Risi |
| 8(a)(ii). Relationship Start Date | 05/28/2015 |
| 8(a)(iii). Title or Status | Managing Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Thomas Mark Rampulla |
| 8(a)(ii). Relationship Start Date | 05/28/2015 |
| 8(a)(iii). Title or Status | Managing Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date | 12/29/2023 |
| 8(a)(i). Full Name | John Mark James |
| 8(a)(ii). Relationship Start Date | 01/01/2017 |
| 8(a)(iii). Title or Status | Managing Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Gregory NMN Davis |
| 8(a)(ii). Relationship Start Date | 07/31/2017 |
| 8(a)(iii). Title or Status | Managing Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Sarah Bloom Raskin |
| 8(a)(ii). Relationship Start Date | 07/31/2017 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Deanna Marie Mulligan |
| 8(a)(ii). Relationship Start Date | 07/31/2017 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date | 05/03/2024 |
| 8(a)(i). Full Name | Joseph Patrick Brennan |
| 8(a)(ii). Relationship Start Date | 09/27/2018 |
| 8(a)(iii). Title or Status | Chief Risk Officer |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Lauren Marie Valente |
| 8(a)(ii). Relationship Start Date | 07/25/2020 |
| 8(a)(iii). Title or Status | Managing Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Matthew John Benchener |
| 8(a)(ii). Relationship Start Date | 12/04/2020 |
| 8(a)(iii). Title or Status | Managing Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | David Anthony Thomas |
| 8(a)(ii). Relationship Start Date | 07/22/2021 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Nitin NMN Tandon |
| 8(a)(ii). Relationship Start Date | 09/01/2021 |
| 8(a)(iii). Title or Status | Managing Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Tara Lynn Bunch |
| 8(a)(ii). Relationship Start Date | 11/18/2021 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Emerson U. Fullwood |
| 8(a)(ii). Relationship Start Date | 01/01/2008 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Jacqueline Mary Angell |
| 8(a)(ii). Relationship Start Date | 11/30/2022 |
| 8(a)(iii). Title or Status | Chief Compliance Officer |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Grant Fergus Reid |
| 8(a)(ii). Relationship Start Date | 07/20/2023 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Amma Acheampomaa Boateng |
| 8(a)(ii). Relationship Start Date | 12/30/2023 |
| 8(a)(iii). Title or Status | Managing Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
| 8(a)(i). Full Name | Lubos NMN Pastor |
| 8(a)(ii). Relationship Start Date | 01/01/2024 |
| 8(a)(iii). Title or Status | Director |
| 8(a)(iv). Ownership Code | NA |
| 8(a)(v). Control Person |
Yes
|
| 8(a)(vi). Relationship End Date |
9. Does any person or entity not named in the answer to Question 8:
| 9(a). directly or indirectly, through agreement or otherwise exercise or have the power to exercise control over the management or policies of applicant, or;…. |
Yes
No
|
| 9(b). wholly or partially finance the business of the applicant, directly or indirectly, in any manner other than by a public offering of securities made pursuant to the Securities Act of 1933 or by credit extended in the ordinary course of business by suppliers, banks and others?….. |
Yes
No
|
TA-1/A : 10. Applicant and Control Affiliate Disciplinary History
The following definitions apply for purposes of answering this Question 10
| Control Affiliate | - An individual or firm that directly or indirectly controls, is under common control with, or is controlled by applicant. Included are any employees identified in 8(a), 8(b), 8(c) of this form as exercising control. Excluded are any employees who perform solely clerical, administrative support of similar functions, or who, regardless of title, perform no executive duties or have no senior policy making authority. |
| Investment or investment related | - Pertaining to securities, commodities, banking, insurance, or real estate (including, but not limited to, acting as or being associated with a broker dealer, investment company, investment adviser, futures sponsor, bank, or savings and loan association). |
| Involved | - Doing an act of aiding, abetting, counseling, commanding, inducing, conspiring with or failing reasonably to supervise another in doing an act. |
10(a). In the past ten years has the applicant or a control affiliate been convicted of or plead guilty or nolo contendere ("no contest") to:
| 10(a)(1). a felony or misdemeanor involving: investments or an investment-related business, fraud, false statements or omissions, wrongful taking of property, or bribery, forgery, counterfeiting, or extortion? |
Yes
No
|
| 10(a)(2). any other felony? |
Yes
No
|
| 10(b). Has any court in the past ten years: | |
| 10(b)(1). enjoined the applicant or a control affiliate in connection with any investment-related activity? |
Yes
No
|
| 10(b)(2). found that the applicant or control affiliate was involved in a violation of investment-related statutes or regulations? |
Yes
No
|
| 10 (c). Has the U.S. Securities and Exchange Commission or the Commodity Futures Trading Commission ever: | |
| 10(c)(1). found the applicant or control affiliate to have made a false statement or omission? |
Yes
No
|
| 10(c)(2). found the applicant or control affiliate to have been involved in a violation of its regulation or statutes? |
Yes
No
|
| 10(c)(3). found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business denied, suspended, revoked or restricted? |
Yes
No
|
| 10(c)(4). entered an order denying, suspending or revoking the applicant’s or control affiliate’s registration or otherwise disciplined it by restricting its activities? |
Yes
No
|
| 10(d). Has any other Federal regulatory agency or any state regulatory agency : | |
| 10(d)(1). ever found the applicant or control affiliate to have made a false statement or omission or to have been dishonest, unfair, or unethical? |
Yes
No
|
| 10(d)(2). ever found the applicant or control affiliate to have been involved in a violation of investment-related regulations or statutes? |
Yes
No
|
Entity information Related to item 10(d)(2) Record: 1
| 10(d)(2)(i). The individuals named in the Action | Vanguard Advisors, Inc |
| 10(d)(2)(ii). Title of Action | Comm. of Pennsylvania, Dept. of Banking and Securities v. Vanguard Advisors, Inc |
| 10(d)(2)(iii). Date of Action | 12/20/2017 |
| 10(d)(2)(iv). The Court or body taking the Action and its location | Commonwealth of Pennsylvania Department of Banking and Securities; Pennsylvania |
| 10(d)(2)(v). Description of the Action | As a result of an administrative error, Vanguard Advisors, Inc. did not immediately update an investment advisor representative's registration to reflect Pennsylvania as the representative's new place of employment following the representative's move from Arizona to Pennsylvania. Vanguard Advisors, Inc. self-identified the issue. |
| 10(d)(2)(vi). The disposition of the proceeding | Entry of Consent Order and Agreement to pay an administrative assessment in the amount of $23,480.00. |
Entity information Related to item 10(d)(2) Record: 2
| 10(d)(2)(i). The individuals named in the Action | Vanguard Marketing Corporation (VMC) |
| 10(d)(2)(ii). Title of Action | ACCEPTANCE, WAIVER, AND CONSENT (AWC) NO. 2020066956001 |
| 10(d)(2)(iii). Date of Action | 11/04/2022 |
| 10(d)(2)(iv). The Court or body taking the Action and its location | Financial Industry Regulatory Authority (FINRA) |
| 10(d)(2)(v). Description of the Action | FINRA alleges that Vanguard Marketing Corporation violated FINRA Rules 2360(b)(23)(A) and 2010 by accepting a client' 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, including written supervisory procedures, reasonably designed to achieve compliance with the requirements for handling option exercise instructions after the exercise cut-off time. |
| 10(d)(2)(vi). The disposition of the proceeding | Without admitting or denying FINRA's allegations, Vanguard Marketing Corporation agreed to the imposition of a censure fine in the amount of $50,000.00. |
Entity information Related to item 10(d)(2) Record: 3
| 10(d)(2)(i). The individuals named in the Action | Vanguard Marketing Corporation (VMC) |
| 10(d)(2)(ii). Title of Action | ACCEPTANCE, WAIVER, AND CONSENT (AWC) No. 2020068469601 |
| 10(d)(2)(iii). Date of Action | 05/25/2023 |
| 10(d)(2)(iv). The Court or body taking the Action and its location | Financial Industry Regulatory Authority (FINRA) |
| 10(d)(2)(v). Description of the Action | FINRA found that from Nov. 2019 to Sept. 2020, VMC overstated projected yield and projected annual income for nine money market funds on certain brokerage account statements. FINRA also found that from at least Oct. 2019 to June 2021, certain account statements inaccurately presented market appreciation/depreciation and investment returns. The aforementioned errors did not affect the actual market yield paid to customers or holdings information displayed on customer statements a have been resolved. FINRA also found that the firm failed to reasonably supervise its account statements by failing to time address customer reports of inaccuracies. FINRA found that VMC violated FINRA rules 2210, 3110, 4511 and 2010. |
| 10(d)(2)(vi). The disposition of the proceeding | Without admitting or denying the allegations or findings, VMC agreed to the imposition of a censure and a fine in the amount of $800,000, VMC's Letter of Acceptance, Waiver, and Consent was accepted by FINRA on May 25, 2023. |
| 10(d)(3). ever found the applicant or control affiliate to have been a cause of an investment-related business having its authorization to do business Denied, suspended, revoked or restricted? |
Yes
No
|
| 10(d)(4). in the past ten years entered an order against the applicant or control affiliate in connection with investment-related activity? |
Yes
No
|
| 10(d)(5). ever denied, suspended, or revoked applicant’s or control affiliate’s registration or license, or prevented it from associating with an investment-related business, or otherwise disciplined it by restricting its activities? |
Yes
No
|
| 10(d)(6). ever revoked or suspended the applicant’s or a control affiliate’s license as an attorney or accountant? |
Yes
No
|
| 10(e)(1). found the applicant or a control affiliate to have made a false statement or omission? |
Yes
No
|
| 10(e)(2). found the applicant or a control affiliate to have been involved in a violation of its rules? |
Yes
No
|
Entity information Related to item 10(e)(2) Record: 1
| 10(e)(2)(i). The individuals named in the Action | Vanguard Marketing Corporation (VMC) |
| 10(e)(2)(ii). Title of Action | ACCEPTANCE, WAIVER, AND CONSENT (AWC) No. C05040058 |
| 10(e)(2)(iii). Date of Action | 07/20/2004 |
| 10(e)(2)(iv). The Court or body taking the Action and its location | National Association of Securities Dealers (NASD) |
| 10(e)(2)(v). Description of the Action | NASD alleges in two instances, prices paid to customers to liquidate municipal securities positions were below fair market value. By relying on broker's bids to determine FMV, VMC failed to ensure transactions were executed at fair and reasonable prices. |
| 10(e)(2)(vi). The disposition of the proceeding | NASD accepted VMC's Letter of Acceptance, Waiver and Consent. Firm agreed to imposition of censure and fine in the amount of $10,000, and restitution to two customers in the amount of $9443, plus interest. |
Entity information Related to item 10(e)(2) Record: 2
| 10(e)(2)(i). The individuals named in the Action | Vanguard Marketing Corporation (VMC) |
| 10(e)(2)(ii). Title of Action | ACCEPTANCE, WAIVER, AND CONSENT (AWC) No. 2013038325801 |
| 10(e)(2)(iii). Date of Action | 03/06/2015 |
| 10(e)(2)(iv). The Court or body taking the Action and its location | Financial Industry Regulatory Authority (FINRA) |
| 10(e)(2)(v). Description of the Action | FINRA alleges that VMC violated article V, section 2(c) of the FINRA by-laws, FINRA rule 2010 and NASD rule 3010(a) by failing to file form U4 amendments for 60 reportable events, and by failing to timely file form U4 amendments for 20 report events. |
| 10(e)(2)(vi). The disposition of the proceeding | FINRA accepted VMC's AWC. VMC agreed to the imposition of a censure, a $350,000 fine, production of a VMC retained independent consultant's report, and certification of VMC's implementation of improvements outlined in the independent consultant's report. |
| 10(e)(3). found the applicant or a control affiliate to have been the cause of an investment-related business losing its authorization to do business? |
Yes
No
|
| 10(e)(4). disciplined the applicant or a control affiliate by expelling or suspending it from membership, by barring or suspending its association with other members, or by otherwise restricting its activities? |
Yes
No
|
| 10(f). Has any foreign government, court, regulatory agency or exchange ever entered an order against the applicant or a control affiliate related to investments or fraud? |
Yes
No
|
Entity information Related to item 10(f) Record: 1
| 10(f)(i). The individuals named in the Action | N/A |
| 10(f)(ii). Title of Action | Capital Market Investigation Department, Investigation Team 3-1076 |
| 10(f)(iii). Date of Action | 09/24/2020 |
| 10(f)(iv). The Court or body taking the Action and its location | South Korean Financial Services Commission, South Korea |
| 10(f)(v). Description of the Action | 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. |
| 10(f)(vi). The disposition of the proceeding | On September 24, 2020, the South Korean Financial Services Commission imposed an administrative fine in the amount $104,575 (KRW 120 Million) on VGI, related to the above. |
Entity information Related to item 10(f) Record: 2
| 10(f)(i). The individuals named in the Action | Vanguard Investments Australia Ltd (VIA) |
| 10(f)(ii). Title of Action | ASIC Infringement Notices Section 12GX |
| 10(f)(iii). Date of Action | 11/11/2022 |
| 10(f)(iv). The Court or body taking the Action and its location | Australian Securities and Investments Commission (ASIC) Act 2001 |
| 10(f)(v). Description of the Action | VIA self-identified an error in the product disclosure statements (PDS) to the Australian Securities and Investments Commission for the Vanguard International Shares Select Exclusions Index Funds and issued a supplementary PDS for e of the affected funds, correcting the error, and communicating the update to investors. |
| 10(f)(vi). The disposition of the proceeding | The notices resulted in a total fine of $27,116 USD ($39,960 AUD). The notices were paid in full on 12/1/2022. |
Entity information Related to item 10(f) Record: 3
| 10(f)(i). The individuals named in the Action | Vanguard Investments Australia Ltd (VIA) |
| 10(f)(ii). Title of Action | Financial Markets Authority (FMA), New Zealand, Formal Warning |
| 10(f)(iii). Date of Action | 03/27/2023 |
| 10(f)(iv). The Court or body taking the Action and its location | FMA, New Zealand |
| 10(f)(v). Description of the Action | The FMA issued a formal warning to VIA for failing to lodge the required notice on the New Zealand Companies Office Disclose Register within the required five-day timeframe regarding the three infringement notices issued by Australian Securities and Investments Commission (ASIC). |
| 10(f)(vi). The disposition of the proceeding | A formal warning was issued by FMA. |
| 10(g). Is the applicant or a control affiliate now the subject of a proceeding that could result in a yes answer for questions 10(a) – 10(f) ? |
Yes
No
|
| 10(h). Has a bonding company denied, paid out on, or revoked a bond for the applicant or a control affiliate? |
Yes
No
|
| 10(i). Does the applicant or a control affiliate have any unsatisfied judgments or liens against it? |
Yes
No
|
TA-1/A : Signature
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) SIGNATURE: The registrant submitting this form, and as required, the SEC supplement and Schedules A-D, And the executing official hereby represent that all the information contained herein is true, correct and complete.| 11(a). Signature of Official responsible for Form: | Jacqueline Angell |
| 11(b). Telephone Number: | 610-503-3877 |
| 11(c). Title of Signing Officer: | Chief Compliance Officer |
| 11(d). Date Signed (Month/Day/Year): | 05/22/2024 |