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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 92 across all filing types
Latest filing 2024-07-08 Share Issue/Capital Cha…
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
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). This document details the offering of new shares (321,200 shares of common stock) to executives and directors as part of a restricted stock compensation plan, involving the disposal of treasury stock via in-kind contribution of claims for compensation. A Securities Registration Statement in Japan, which details the terms of a securities offering, corresponds most closely to the US SEC's Form S-1 or a similar registration filing for a public offering, which is a type of capital/financing activity. Given the provided codes, 'CAP' (Capital/Financing Update) is the most appropriate classification for a document detailing the issuance and terms of new securities for compensation purposes, as it directly relates to capital structure changes and fundraising/issuance activities, even if the 'funds' are non-cash contributions from employees. It is a primary filing document, not an announcement of a filing (RPA/RNS).
2024-07-08 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 on June 24, 2024. Section 1 explicitly states the reason for filing: decisions were made at the Annual General Meeting (AGM) held on June 22, 2024, necessitating the submission of this report under the Financial Instruments and Exchange Act. Section 2 details the resolutions passed, including amendments to the Articles of Association and the election of 11 directors, along with the voting results (votes for, against, abstentions). This structure—reporting the results of a shareholder meeting (specifically the AGM) immediately after it occurs—is characteristic of a filing announcing the outcome of shareholder votes. The most specific category for official results from shareholder votes is 'Declaration of Voting Results & Voting Rights Announcements' (DVA). Although it relates to the AGM, the core content is the voting outcome declaration, not the AGM presentation materials (AGM-R). Given the content is the official result declaration, DVA is the best fit.
2024-06-24 Japanese
臨時報告書
Regulatory Filings Classification · 100% confidence The document is explicitly titled "臨時報告書" (Extraordinary Report/Timely Disclosure Report) and is filed with the Kanto Local Finance Bureau. The content details the reason for filing, which is the planned transfer (sale) of all shares of a specific subsidiary, Monex Boom Securities (H.K.) Limited, resulting in the loss of its status as a 'specific subsidiary' (特定子会社). This type of disclosure regarding significant corporate events, such as the divestiture of a subsidiary, is typically classified as a general regulatory filing or a timely disclosure that doesn't fit the specific categories like 10-K, ER, or DIV. Given the options, 'Regulatory Filings' (RNS) is the most appropriate general category for mandatory, non-standardized regulatory disclosures in this context, especially since it is a Japanese 'Timely Disclosure' filing that isn't a standard SEC form.
2024-06-24 Japanese
内部統制報告書－第20期(2023/04/01－2024/03/31)
Governance Information Classification · 100% confidence The document is explicitly titled "内部統制報告書" (Internal Control Report) in the header and within the table structure. It references the 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), which mandates the filing of an Internal Control Report in Japan. The content discusses the framework, scope, criteria, and conclusion regarding the effectiveness of internal controls over financial reporting as of the fiscal year-end (March 31, 2024). This directly corresponds to the definition of an Audit Report / Information (AR), as it deals with internal control assessment, which is often closely related to the audit process, although it is a specific Japanese regulatory filing type. Comparing with the provided codes: - 10-K is the Annual Report, which includes this, but this document is specifically the Internal Control Report. - AR (Audit Report / Information) is the closest fit for reports detailing internal control assessments and stress tests, distinct from the full 10-K. - Given the specific nature of the content (Internal Control Report based on Japanese law), AR is the most appropriate classification among the choices provided, as it covers reports on internal/regulatory stress tests and applied accounting principles/assessments.
2024-06-24 Japanese
確認書
Audit Report / Information Classification · 98% confidence The document text contains Japanese characters and includes terms like '有価証券報告書' (Securities Report), '提出書類' (Filing Document), '関東財務局長' (Kanto Local Finance Bureau Director), and references the fiscal period '2023年４月１日 至2024年３月31日'. The core content is a confirmation statement ('確認書') by the Representative Executive Officer and President regarding the appropriateness of the contents of the Annual Securities Report ('有価証券報告書'). In the US context, the comprehensive annual report filed with the SEC is the 10-K. Since this document is a confirmation related to the annual filing (Securities Report) and not the report itself, and given the options, the closest equivalent for a comprehensive annual report filing is '10-K'. However, the document is a confirmation *about* the annual report, not the report itself. Given the short length (563 chars) and the nature of the content (a confirmation/attestation related to the annual filing), it strongly suggests a regulatory filing related to the annual cycle. Since '10-K' is defined as the 'Official yearly report covering company activity and full financial performance,' and this is an attestation *for* that report, it is closely tied to the annual reporting cycle. If a specific 'Attestation' or 'Confirmation' code were available, it would be preferred. Given the available codes, and recognizing this is a mandatory filing accompanying the annual disclosure cycle, '10-K' is the most contextually relevant classification for the underlying report being attested to, although 'RNS' (Regulatory Filings) could also apply if interpreted strictly as a confirmation document. Given the explicit reference to the annual period and the Securities Report, '10-K' is chosen as the primary classification for the annual reporting context. FY 2024
2024-06-24 Japanese
有価証券報告書－第20期(2023/04/01－2024/03/31)
Annual Report Classification · 100% confidence The document is a Japanese 'Yuka Shoken Hokokusho' (Securities Report), which is the Japanese equivalent of a 10-K annual report. It contains the standard cover page with the filing date (2024-06-24), the fiscal period (2023-04-01 to 2024-03-31), and the company name (Monex Group, Inc.). The document includes extensive XBRL-like metadata tags and financial reporting structures, confirming it is the full annual financial report rather than an announcement or summary. FY 2024
2024-06-24 Japanese

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