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Monex Group, Inc. — Investor Relations & Filings

Ticker · 8698 ISIN · JP3869970008 LEI · 353800SGXKLYGPUJ4648 T Financial and insurance activities
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Filings indexed 89 across all filing types
Latest filing 2025-11-14 Regulatory Filings
Country JP Japan
Listing T 8698

About Monex Group, Inc.

https://www.monexgroup.jp/en.html

Monex Group, Inc. is a global, technology-based financial services holding company. The group's core business involves operating online brokerage firms that provide securities trading and investment services primarily to individual investors. Its diverse portfolio also encompasses asset management and investment advisory services. Expanding beyond traditional finance, Monex Group is actively engaged in the digital asset sector, managing crypto-asset exchanges and offering services related to blockchain technology. The company is dedicated to leveraging innovation to provide a comprehensive suite of financial solutions to a global retail client base.

Recent filings

Filing Released Lang Actions
確認書
Regulatory Filings Classification · 100% confidence The document is titled '確認書' (Confirmation Letter) and explicitly cites '金融商品取引法第24条の５の２第１項' (Article 24-5-2, Paragraph 1 of the Financial Instruments and Exchange Act). It serves as an officer certification confirming the accuracy of a semi-annual report. According to the 'CERTIFICATION RULE', documents that are primarily officer certifications or attestations should be classified as Regulatory Filings (RNS), even if they reference a specific report type. H1 2025
2025-11-14 Japanese
半期報告書－第22期(2025/04/01－2026/03/31)
Interim / Quarterly Report Classification · 100% confidence The document is a '半期報告書' (Semi-Annual Report) for Monex Group, Inc., covering the period from April 1, 2025, to September 30, 2025. It contains detailed financial statements, segment information, and management analysis, which aligns with the definition of an Interim/Quarterly Report (IR). H1 2025
2025-11-14 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（法24条の６第１項に基づくもの）" which translates to "Report on the Status of Treasury Stock Acquisition (Based on Article 24-6, Paragraph 1 of the Act)". This is a specific regulatory filing in Japan concerning the company's treasury stock repurchase program. The content details the acquisition status, board resolutions for acquisition, and the current holding status of treasury shares for the period of June 1 to June 30, 2025. This type of report, detailing transactions in own shares, directly corresponds to the definition of 'Transaction in Own Shares' (POS). Although it is a regulatory report, POS is more specific than the general 'RNS' fallback.
2025-07-10 Japanese
有価証券届出書（参照方式）
Share Issue/Capital Change Classification · 98% confidence The document explicitly identifies itself on the cover page as "【提出書類】有価証券届出書" (Filing Document: Securities Registration Statement). The content details the offering of new shares (213,000 common shares) to executives and directors as part of a restricted stock compensation plan (譲渡制限付株式報酬制度), involving non-cash contribution (現物出資) of claims for compensation. This type of filing, related to the issuance or offering of securities, corresponds to the regulatory filing category for registration statements in Japan, which is best mapped to the general 'Capital/Financing Update' (CAP) or potentially a specific regulatory filing type if available. Given the context of a formal securities offering registration, 'CAP' (Capital/Financing Update) is the most appropriate fit among the provided options, as it directly concerns the issuance of capital/shares. It is not a 10-K (Annual Report), ER (Earnings Release), or IR (Interim Report).
2025-07-07 Japanese
臨時報告書
AGM Information Classification · 100% 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. The submission reason explicitly states that it is 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 28, 2025. Section 2 details the resolutions, specifically the election of 11 directors, and provides the vote counts (For, Against, Abstain) and the resulting approval status for each director nominee. This content perfectly matches the definition of reporting the official results from a shareholder vote at a general meeting. Therefore, the appropriate classification is Declaration of Voting Results & Voting Rights Announcements (DVA). The document is short and reports the results, not the proxy materials themselves.
2025-06-30 Japanese
内部統制報告書－第21期(2024/04/01－2025/03/31)
Governance Information Classification · 100% confidence The document is titled "内部統制報告書" (Internal Control Report) and explicitly states its legal basis as 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). It details the framework, scope, criteria (based on the end of the fiscal year, March 31, 2025), and procedures for evaluating internal controls over financial reporting, concluding that the internal controls are effective. This content perfectly matches the description of a formal internal control report required under Japanese regulations, which is a specific type of regulatory filing related to financial reporting integrity. While it is a comprehensive report, it is not the full Annual Report (10-K) or a Quarterly Report (IR). In the provided schema, there is no direct code for an 'Internal Control Report' (which is often filed alongside the 10-K equivalent in Japan, the Yuka Shoken Hokokusho). However, given its nature as a formal, required regulatory document detailing financial control assurance, it is closest in function and formality to the comprehensive reports or a specific regulatory filing. Since it is a detailed report on internal controls, it is distinct from a simple Audit Report (AR) or a general Regulatory Filing (RNS). Given the options, and recognizing that this is a formal, required report on internal controls, it is best classified as a specific regulatory document. Since 'AR' is defined as 'Standalone audit reports, applied accounting principles, and results of internal or regulatory stress tests (excluding full Annual Reports)', and this document is specifically about internal control assessment, it is a strong candidate for AR if we interpret 'internal' tests broadly, or RNS as a fallback. However, in many contexts, the Japanese 'Internal Control Report' is a distinct, mandatory filing. Given the strict definitions, and the lack of a specific code for 'Internal Control Report', I will evaluate the closest fit. It is not an Audit Report (AR) in the sense of an external auditor's opinion, but a management assertion. It is a comprehensive report, not an announcement (ruling 2 does not apply). Since it is a mandatory, specific regulatory document concerning financial integrity, and 'AR' covers internal tests, I will lean towards 'AR' as the most functionally similar category among the specific choices, although 'RNS' is a possibility if we strictly adhere to the definitions and assume no better fit exists. Re-evaluating: The document is a formal report on internal controls, which is a key component of financial reporting assurance, often linked to the audit process. 'AR' (Audit Report / Information) is the closest category dealing with assurance/testing results. I will assign AR with high confidence due to its formal, assurance-related nature.
2025-06-27 Japanese

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