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Hokkoku Financial Holdings, Inc. — Investor Relations & Filings

Ticker · 7381 ISIN · JP3851600001 T Financial and insurance activities
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Filings indexed 60 across all filing types
Latest filing 2024-06-18 Governance Information
Country JP Japan
Listing T 7381

About Hokkoku Financial Holdings, Inc.

https://www.hfhd.co.jp/english/

Hokkoku Financial Holdings, Inc. is a financial holding company that operates primarily through its core subsidiary, The Hokkoku Bank, Ltd. The group provides a comprehensive range of financial services centered on its banking business, serving both individual and corporate clients. As a leading financial institution in the Hokuriku region, it is committed to regional revitalization and community development. The company actively addresses environmental, social, and governance (ESG) issues as part of its business strategy to foster a sustainable society. It also supports the business growth and international expansion of its clients.

Recent filings

Filing Released Lang Actions
内部統制報告書－第3期(2023/04/01－2024/03/31)
Governance Information Classification · 1% confidence The document explicitly states in the header table ("【提出書類】") that it is an "内部統制報告書" (Internal Control Report). The legal basis cited is Article 24-4-4, Paragraph 1 of the Financial Instruments and Exchange Act (金融商品取引法第24条の４の４第１項). The content discusses the framework, scope, criteria, and conclusion regarding the assessment of internal controls over financial reporting as of March 31, 2024. This type of report, focusing on internal controls over financial reporting, is a specific regulatory filing in Japan. While there isn't a direct one-to-one mapping for the Japanese 'Internal Control Report' in the provided English definitions, it is most closely related to the comprehensive annual reporting structure, but specifically targets internal controls rather than the full financial statements (10-K) or a general audit report (AR). Given the options, and recognizing that this is a formal, required report on internal controls, it falls under the scope of comprehensive regulatory reporting. Since 'AR' (Audit Report / Information) is defined as including applied accounting principles and results of internal/regulatory stress tests, and this document is the formal internal control assessment required alongside financial statements, 'AR' is the closest fit among the provided codes for a formal, non-annual-report financial assurance document. However, if we strictly interpret the definitions, it is a specific regulatory document. Since it is a formal report on internal controls, and not a general announcement, it is not RPA or RNS. It is a formal report on internal controls, which is often bundled with or closely related to the audit process. I will classify it as AR, as it deals with the structure and effectiveness of controls, similar to an audit finding, but I acknowledge it is a specific Japanese filing type.
2024-06-18 Japanese
確認書
Regulatory Filings Classification · 1% confidence The document is titled '確認書' (Confirmation Letter) and explicitly references Article 24-4-2, Paragraph 1 of the Financial Instruments and Exchange Act. It is a formal certification by the company president regarding the accuracy of the Annual Securities Report (有価証券報告書). According to the 'CERTIFICATION RULE', documents that are primarily officer certifications or attestations, even if they reference a report, should be classified as Regulatory Filings (RNS) rather than the report itself. FY 2023
2024-06-18 Japanese
有価証券報告書－第3期(2023/04/01－2024/03/31)
Annual Report Classification · 1% confidence The document is a Japanese 'Yuka Shoken Hokokusho' (Securities Report), which is the Japanese equivalent of a 10-K. It contains comprehensive financial statements, business information, and management analysis for the fiscal year ending March 31, 2024. The document header explicitly identifies it as a 'Securities Report' (有価証券報告書) submitted under the Financial Instruments and Exchange Act. FY 2024
2024-06-18 Japanese
臨時報告書
AGM Information Classification · 1% confidence The document is titled "臨時報告書" (Extraordinary Report/Timely Disclosure Report) and explicitly states in Section 1 that it is being filed pursuant to Article 24-5, Paragraph 4 of the Financial Instruments and Exchange Act because resolutions were passed at the Annual General Meeting (AGM) held on June 14, 2024. Section 2 details the resolutions, including the election of directors and the results of shareholder voting (approvals, rejections, abstentions). This content directly relates to the official results of a shareholder vote following a general meeting. Therefore, the most appropriate classification is Declaration of Voting Results & Voting Rights Announcements (DVA).
2024-06-18 Japanese
有価証券届出書（参照方式）
Share Issue/Capital Change Classification · 1% confidence The document explicitly states in the cover page ("【提出書類】") that it is an "有価証券届出書" (Securities Registration Statement). This type of filing in Japan is used to register securities offerings with the Financial Services Agency (Kanto Local Finance Bureau in this case). While it details a capital change (issuance of shares to executives/employees as compensation), the primary document type is the registration statement itself, which is a mandatory disclosure document for public offerings/private placements of securities. Among the provided codes, there is no direct match for a general Securities Registration Statement (like an S-1 or F-1 in the US context). However, the content heavily revolves around a 'Capital/Financing Update' (CAP) as it details the issuance of 42,534 shares via stock compensation (a form of capital structure change/financing). Given the options, 'CAP' (Capital/Financing Update) is the most functionally relevant classification, as the core purpose described is the allocation of new shares related to compensation, which falls under financing activities. If a more specific regulatory filing code existed for 'Securities Registration Statement', that would be preferred, but 'CAP' captures the substance of the transaction being registered.
2024-06-14 Japanese
臨時報告書
Major Shareholding Notification Classification · 1% confidence The document is titled "臨時報告書" (Extraordinary Report/Timely Disclosure Report) and is submitted to the Kanto Local Finance Bureau Director. Section 1 explicitly states the reason for filing: "当社の主要株主に異動がありましたので...本臨時報告書を提出するものであります" (Because there has been a change in our major shareholders, we are submitting this Extraordinary Report...). Section 2 details the change in ownership percentage (crossing thresholds) for a major shareholder, Mitsui Sumitomo DS Asset Management Co., Ltd., referencing previous large shareholding reports (大量保有報告書). This content directly corresponds to notifications regarding changes in significant share ownership levels, which maps to the Major Shareholding Notification (MRQ) definition. Although it is an 'Extraordinary Report' (a general Japanese regulatory filing term), the specific content dictates the classification.
2024-05-20 Japanese

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