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Daiwa Securities Group Inc. — Investor Relations & Filings

Ticker · 8601 ISIN · JP3502200003 LEI · 353800WRC7Y23PWFJG38 SGX Financial and insurance activities
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Filings indexed 148 across all filing types
Latest filing 2025-05-30 Major Shareholding Noti…
Country JP Japan
Listing SGX 8601

About Daiwa Securities Group Inc.

https://www.daiwa-grp.jp/english/

Daiwa Securities Group Inc. is a comprehensive financial services holding company. The group's core operations are structured around several key segments: Retail, Wholesale, Asset Management, and Investment. The Retail division offers a wide range of financial products and consulting services to individual and corporate clients. The Wholesale division encompasses global markets and investment banking activities, providing services such as sales and trading of securities and derivatives, underwriting of stocks and bonds, and M&A advisory. The Asset Management segment focuses on the development and management of investment trusts and provides investment advisory services to pension funds and other institutional investors. The Investment division engages in principal investments. Supporting these operations are specialized subsidiaries, including a research institute and a banking entity, which contribute to the group's integrated service model.

Recent filings

Filing Released Lang Actions
変更報告書
Major Shareholding Notification Classification · 100% confidence The document is titled '株券等の大量保有の状況の開示に関する内閣府令 第一号様式 大量保有報告書' (Large Shareholding Report, Cabinet Office Ordinance Form No. 1 concerning Disclosure of Status of Large Volume Shareholding). It explicitly states it is a '変更報告書 No.2' (Change Report No. 2) submitted to the Kanto Local Finance Bureau. The content details the holdings of Daiwa Securities Group Inc. in another company (Astromax Corporation, stock code 7162), including the number of shares held and a critical section detailing a '株式譲渡契約' (Share Transfer Agreement) which constitutes a change in holding status. This structure is characteristic of a Japanese regulatory filing related to changes in major share ownership, which corresponds to the 'Major Shareholding Notification' category.
2025-05-30 Japanese
発行登録追補書類（株券､社債券等）
Capital/Financing Update Classification · 98% confidence The document is titled "発行登録追補書類" (Shelf Registration Supplement) and is submitted to the "関東財務局長" (Kanto Local Finance Bureau Director). It details the issuance of new corporate bonds ("社債") amounting to 64,000 million yen ("今回の募集金額"). Key sections include "【発行登録書の内容】" (Contents of Shelf Registration), details of the specific bond issue (interest rate, maturity date, redemption method), underwriting information ("社債の引受け"), and the intended use of proceeds ("新規発行による手取金の使途"). This structure is characteristic of a Japanese regulatory filing related to debt issuance under the Financial Instruments and Exchange Act, specifically a supplement to a shelf registration for corporate bonds. This aligns best with the 'Capital/Financing Update' category (CAP), as it is a direct document detailing a specific financing activity (issuance of bonds), rather than a general announcement (RPA/RNS) or a comprehensive annual/interim report (10-K/IR).
2025-05-16 Japanese
発行登録追補書類（株券､社債券等）
Capital/Financing Update Classification · 98% confidence The document is titled "発行登録追補書類" (Shelf Registration Supplement) and is submitted to the "関東財務局長" (Kanto Local Finance Bureau Director) on May 16, 2025. It details the issuance of new corporate bonds ("社債") totaling 40,000 million yen (two tranches: 3-year and 5-year). The content includes specific terms for the bonds (interest rates, maturity dates, underwriters, financial covenants) and details about the use of proceeds. This structure is characteristic of a Japanese regulatory filing related to debt issuance, specifically a supplement to a shelf registration for bonds. This falls under the category of financing activities or capital structure changes, which aligns best with the definition for Capital/Financing Update (CAP). It is not a general Annual Report (10-K), an Earnings Release (ER), or a simple announcement of a report (RPA/RNS), as it contains the substantive details of the financing terms.
2025-05-16 Japanese
自己株券買付状況報告書（法２４条の６第１項に基づくもの）
Transaction in Own Shares Classification · 100% confidence The document title is "自己株券買付状況報告書" (Report on the Status of Treasury Stock Acquisition) and it explicitly cites the legal basis as "金融商品取引法第24条の６第１項" (Financial Instruments and Exchange Act Article 24-6, Paragraph 1). This specific filing reports on the acquisition and disposal of the company's own shares (treasury stock) over a defined period (April 1, 2025, to April 30, 2025). This directly corresponds to the definition of a report detailing the company buying back or selling its own shares, which is classified as 'Transaction in Own Shares' (POS). The document is a detailed report, not an announcement of a report, so RPA/RNS is not appropriate.
2025-05-13 Japanese
訂正発行登録書
Capital/Financing Update Classification · 98% confidence The document is titled "訂正発行登録書" (Correction Registration Statement) and is submitted to the Kanto Local Finance Bureau (関東財務局長). It explicitly mentions the filing date (2025年５月８日) and refers to a previously filed "発行登録書" (Registration Statement) from 2024年７月12日. The content details the planned issuance of corporate bonds ("社債") and includes sections on the offering terms, credit ratings (JCR, R&I), and underwriting arrangements. This structure is characteristic of Japanese securities registration filings related to debt issuance, which often fall under the broader category of Capital/Financing Updates (CAP) or, given the specific nature of a registration statement for debt, can sometimes be classified as a general financing document. Since the document is a formal, detailed registration statement correcting terms for a planned bond issuance, it directly relates to capital structure changes and fundraising activities. Therefore, 'Capital/Financing Update' (CAP) is the most appropriate classification, as it is more specific than the general 'Regulatory Filing' (RNS). The document length (3607 chars) is substantial enough to be the filing itself, not just an announcement of a filing.
2025-05-08 Japanese
変更報告書
Major Shareholding Notification Classification · 100% confidence The document is titled "株券等の大量保有の状況の開示に関する内閣府令 第一号様式 大量保有報告書" (Cabinet Office Ordinance on Disclosure of Large Volume Shareholdings Form No. 1 Large Volume Holding Report) and is explicitly labeled as a "変更報告書 No.11" (Change Report No. 11). This structure, referencing Japanese financial regulations (Article 27-25, Paragraph 1 of the Act) and detailing changes in share ownership percentages (e.g., '単体株券等保有割合の１％以上の増加及び減少'), clearly identifies it as a filing related to significant changes in major shareholdings. In the provided classification scheme, the closest match for reports detailing changes in significant share ownership levels (crossing thresholds) is 'Major Shareholding Notification' (MRQ). The document is a full report, not an announcement of a report (RPA/RNS).
2025-03-21 Japanese

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