Institution record
Vanguard
Vanguard Asset Management, Ltd
- Source score
- —
- Warnings
- 0
- Comments
- 0
Licence records
Licences within our coverage (stock brokers, investment platforms and wealth managers) are listed first. Check each one on the regulator's own register.
Peer regulatory & risk comparison
Side-by-side supervisory and risk benchmark comparing Vanguard against peer institutions in our stock brokers, investment platforms and wealth managers dataset.
| Institution | Primary regulators | Regulated / total | Risk classification | Source score | Warnings |
|---|---|---|---|---|---|
| Vanguard (this record) | FCA | 1 / 1 | Risk level not supplied | — | 0 |
| Swissquote | FCASFCCYSEC+3 | 5 / 6 | Risk level not supplied | — | 0 |
| EC Markets | FMAFCAASIC+2 | 3 / 5 | Risk level not supplied | — | 0 |
| MUFG Bank | FCAPRAOCC+4 | 7 / 7 | Risk level not supplied | — | 0 |
| Bank of Scotland | FCAPRA | 2 / 2 | Risk level not supplied | — | 0 |
| CXM Direct | FCAFSC | 2 / 2 | Risk level not supplied | — | 0 |
Vanguard: institutional due diligence FAQ
Key supervisory, licensing, and counterparty verification questions generated from the dataset.
What is Vanguard's regulatory licence status and supervisory authorisation?
In our imported dataset, Vanguard (legal entity reference: Vanguard Asset Management, Ltd) holds 1 recorded licence entry, of which 1 carries a "regulated" status and 1 are marked regulated or registered: FCA (Financial Conduct Authority (UK)) — licence 527839, status: regulated, Tier-1. Institutional due diligence requires verifying that the exact legal entity on your counterparty agreement matches the licensed entity name and registration number on the official FCA public register.
Which of Vanguard's jurisdictions and licences fall within this site's regulatory coverage?
Vanguard is registered at Vanguard Asset Management, Limited 4th Floor The Walbrook Building 25 Walbrook London EC4N 8AF United Kingdom and tracked under our stock brokers, investment platforms and wealth managers scope based on its institutional service profile (CFDs, Precious metals, Stock indices, Forex) rather than a domestic focus licence. Its 1 recorded licence (FCA) should be evaluated for cross-border passporting and local solicitation rules.
What is Vanguard's institutional risk classification, enforcement exposure, and score profile?
Vanguard carries a "risk level not supplied" classification in the source dataset (composite numeric scores are not supplied for this record). The record flags 0 regulatory warning or complaint counts. Because these figures reflect imported source fields rather than primary audit findings, compliance teams should review primary enforcement bulletins directly.
What operational due diligence steps apply to Vanguard's platforms, entity structure, and complaints?
Before allocating capital or executing trades with Vanguard, institutional and retail allocators should: (1) confirm the domain (not supplied in source) against regulator-approved domains to guard against clone firms; (2) verify whether any of the 0 recorded warning/complaint entries or 0 user comments involve withdrawal restrictions or scope violations; and (3) confirm the dispute-resolution ombudsman tied to FCA.
Related institutional research & regulatory analysis
Editorial briefings and compliance research from ETFYield Lab relevant to Vanguard's supervisory scope.
Corporate & Municipal Bond ETFs
Vanguard Short-Term Inflation-Protected Securities ETF (VTIP): 30-Day SEC Yield vs. Trailing 12-Month Distribution Yield Audit (1.78% Real Yield (2.42Y Duration) Benchmark)
Vanguard Short-Term Inflation-Protected Securities ETF (VTIP) (VTIP-SHORT-TIPS) stands at 1.78% (Real Yield (2.42Y Duration)) (Source: U.S. Treasury Real Yield Curve, 2026-10-20), governing Form N-1A Item 26 accrual acco
Treasury Ladders & Yield Math
Vanguard Short-Term Inflation-Protected Securities ETF (VTIP): 10-Year Expense Ratio Fee Drag & Compounding Simulation ($100k) (1.78% Real Yield (2.42Y Duration) Benchmark)
Vanguard Short-Term Inflation-Protected Securities ETF (VTIP) (VTIP-SHORT-TIPS) stands at 1.78% (Real Yield (2.42Y Duration)) (Source: U.S. Treasury Real Yield Curve, 2026-10-20), governing basis-point fee differentials,
TIPS & Inflation Breakevens
Vanguard Short-Term Inflation-Protected Securities ETF (VTIP): Modified Duration, DV01 & +/-100 bps Parallel Yield Shock Table (1.78% Real Yield (2.42Y Duration) Benchmark)
Vanguard Short-Term Inflation-Protected Securities ETF (VTIP) (VTIP-SHORT-TIPS) stands at 1.78% (Real Yield (2.42Y Duration)) (Source: U.S. Treasury Real Yield Curve, 2026-10-20), governing second-order Taylor series con
ETF Fee Drag & SEC Yield Audits
Vanguard Short-Term Inflation-Protected Securities ETF (VTIP): State Income Tax Exemption & After-Tax Yield Equivalence Matrix (1.78% Real Yield (2.42Y Duration) Benchmark)
Vanguard Short-Term Inflation-Protected Securities ETF (VTIP) (VTIP-SHORT-TIPS) stands at 1.78% (Real Yield (2.42Y Duration)) (Source: U.S. Treasury Real Yield Curve, 2026-10-20), governing U.S. government obligation per