Australian Securities and Investments Commission
1. ASIC’s letter to Vanguard Investments Australia Ltd (VIA) dated 3 June 2025 (ref: CAS-181711-R4P5F7) in relation to the Compliance Plan of Vanguard Diversified Bond Index Fund. 2. All…
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1. ASIC’s letter to Vanguard Investments Australia Ltd (VIA) dated 3 June 2025 (ref: CAS-181711-R4P5F7) in relation to the Compliance Plan of Vanguard Diversified Bond Index Fund. 2. All correspondence, emails, memoranda, briefing notes, reports, file notes, meeting minutes, submissions, and other documents created, received, or held by ASIC concerning ASIC’s letter to VIA (ref: CAS-181711-R4P5F7)
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The release comprises a Vanguard Investments Australia Ltd (VIA) compliance plan submission, an ASIC letter dated 3 June 2025 (ref CAS-181711-R4P5F7) concerning the Compliance Plan of the Vanguard Diversified Bond Index Fund, and related internal ASIC and VIA correspondence, meeting minutes and a compliance plan auditor's assurance report from PwC. The replacement compliance plan covers 44 registered schemes and is effective from 1 July 2024. ASIC's letter raises concerns about deficiencies in the plan across three areas under review and asks VIA to modify it, referring to ASIC's public statement 25-090MR and RG 132, and to consider reporting obligations. Much of the material is redacted under sections 22, 37 and 47E(d). The release does not disclose any penalty, enforcement action or fixed remediation deadline.
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