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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 2024-10-18 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 · 99% confidence The document is titled '大量保有報告書' (Large Shareholding Report) and specifically mentions '変更報告書No.2' (Change Report No. 2) under the Japanese regulatory framework ('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'). This type of filing is used to report changes in ownership when an entity or group crosses specific thresholds of holding shares in a publicly listed company in Japan. This directly corresponds to the definition of a Major Shareholding Notification. Reviewing the provided definitions: - 10-K, AR, IR, ER, etc., relate to financial performance or audit reports, which this is not. - DEF 14A relates to remuneration. - The document explicitly details the shareholding status, changes, and involved parties (Daiwa Securities Group and its affiliates) concerning the issuer (Samty Holdings Co., Ltd.). The closest match is 'Major Shareholding Notification' (Code: MRQ), which covers 'Notification of changes in significant share ownership levels (crossing thresholds)'.
2024-10-18 Japanese
変更報告書
Major Shareholding Notification Classification · 100% confidence The document is titled '大量保有報告書' (Large Shareholding Report) and references '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' (Cabinet Office Ordinance on Disclosure of Status of Large Volume Shareholdings, Form No. 1). This is a specific regulatory filing in Japan required when an entity or group acquires or disposes of more than 5% of a company's outstanding shares. The filing details the holders (Daiwa Securities Group Inc. and related entities), the total number of shares held (350,977), and the resulting shareholding percentage (41.85%). This directly corresponds to the definition of a Major Shareholding Notification, which in the provided list is best matched by 'Major Shareholding Notification (Code: MRQ)'. Although it is a regulatory filing, MRQ is more specific than the general RNS fallback.
2024-09-20 Japanese
訂正発行登録書
Capital/Financing Update Classification · 95% confidence The document is titled "訂正発行登録書" (Corrected Shelf Registration Statement) and is filed with the Kanto Local Finance Bureau ("関東財務局長"). It pertains to the issuance of corporate bonds ("社債"). The filing date is August 19, 2024. The 'Reason for Filing' explicitly states that this correction relates to a previously filed Extraordinary Report (臨時報告書) and that the referenced document is the Shelf Registration Statement filed on July 12, 2024. This document is a formal regulatory filing related to financing/capital structure changes (issuance of debt securities) that requires correction. While it relates to capital (CAP), the nature of the document is a formal regulatory correction filing concerning a registration statement. Given the options, 'Capital/Financing Update' (CAP) is the most relevant substantive category, as it deals directly with the registration for issuing debt securities. However, since this is a formal correction to a registration document, and 'CAP' covers the activity, I will classify it as CAP, as it is more specific than the general 'RNS' fallback, although 'RNS' could also apply for a general regulatory correction. Since the core subject is the registration for issuing debt, CAP is the best fit for the underlying activity being corrected.
2024-08-19 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 filed with the Kanto Local Finance Bureau ("関東財務局長"). It pertains to "社債" (Corporate Bonds) and references a previous "発行登録書" (Registration Statement) from July 12, 2024. The purpose stated is to correct a previous filing (an amendment to a timely disclosure report). This type of filing, dealing with the registration of securities (bonds) and subsequent corrections, falls under capital/financing activities. Given the specific nature of registering securities for issuance, the most appropriate category is Capital/Financing Update (CAP). It is not a general earnings release (ER), an annual report (10-K), or a simple announcement of a report (RPA), as it contains substantive details about the registration status and correction.
2024-08-19 Japanese
訂正臨時報告書
Share Issue/Capital Change Classification · 100% confidence The document is titled as a '臨時報告書' (Extraordinary Report) submitted to the Kanto Local Finance Bureau ('関東財務局長') on August 1, 2024. The content details the resolution by the Board of Executive Officers to issue stock options ('新株予約権') to employees of a wholly-owned subsidiary, specifying the number of options, exercise price, and terms. This type of filing, which reports a specific corporate action like issuing stock options or significant financing events outside of regular periodic reports (like 10-K or IR), often falls under a specific capital/financing category or a general regulatory filing. Since the core subject is the decision to issue stock options (a capital structure change/fundraising activity), the most appropriate specific code is 'CAP' (Capital/Financing Update). Although it is a formal regulatory filing, 'CAP' is more descriptive than the fallback 'RNS'. The document length is moderate, but it is the primary disclosure, not just an announcement of a report.
2024-08-19 Japanese
変更報告書
Major Shareholding Notification Classification · 100% confidence The document text 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 Shareholding, Form No. 1, Large Shareholding Report). It explicitly states it is a '変更報告書 No.2' (Change Report No. 2) submitted to the Kanto Local Finance Bureau Director, concerning the change in shareholding ratio exceeding 1% or changes in important contracts related to the shares. This structure and terminology are characteristic of Japanese regulatory filings related to insider or major shareholder transactions, specifically the 'Large Shareholding Report' (often referred to as a 6.7% report or similar filings in Japan, which track ownership changes above certain thresholds). Among the provided codes, this type of filing, which reports changes in significant share ownership, aligns best with the 'Major Shareholding Notification' category. Code Mapping Check: - 10-K/IR/ER/AR: Not an annual/interim financial report or audit report. - DIRS (Director's Dealing): This is about a group of entities (Daiwa Securities Group HQ and subsidiaries) reporting their collective holding change, not just individual director trades. - MRQ (Major Shareholding Notification): This category is the closest fit for reports detailing changes in significant share ownership levels (crossing thresholds), which is exactly what a Large Shareholding Report details.
2024-08-14 Japanese

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