Tokai Tokyo Financial : Financial Highlights for 3rd Quarter of Fiscal Year Ending March 2022

Financial Highlights for 3rd Quarter of Fiscal Year Ending March 2022

January 28, 2022

Table of contents

• Overview of Consolidated Financial Results
• Financial Summary
• Operating Revenue
• Commission Received
• Net Trading Income
• Selling, General and Administrative Expenses
• Non‐Operating Income and Expenses, Extraordinary Income and Loss
• Assets under Custody
• Performance Indicators
• Balance Sheet

(Note) The Company has made changes in presentation methods of "Real estate expenses" and "Other in the Non‐operating income" since Fiscal 2021. The quarterly consolidated financial statements for Fiscal 2020 reflect these changes.

•  Overview of Tokai Tokyo Securities

• Financial Summary

•  Operating Revenue

•  Selling, General and Administrative Expenses

5  Stock Trading Volume and Amount

•  Foreign Stocks

•  Sales of Foreign Bonds and Structured Bonds

•  Investment Trusts

• Net Inflow of Cash and Securities

• (Individuals)

1.  Overview by Business Segment
2.  Revenue, Number of Accounts, and Assets under Custody Attained by Each Region
3. • Capital Adequacy Ratio
   • (Reference) ACE Securities
   • (Reference) Maruhachi Securities

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Overview of Consolidated Financial Results

Financial Summary (Consolidated)

													(Million yen)
		FYE Mar 2020			FYE Mar 2021		FYE Mar 2022	FYE Mar	FYE Mar	QoQ	YoY
												FYE Mar	FYE Mar
	1Q	2Q	3Q	4Q	1Q	2Q	3Q	4Q	1Q	2Q	3Q	2021	2022
	2022	2021
	Apr-Jun	Jul-Sep	Oct-Dec	Jan ‐ Mar	Apr-Jun	Jul-Sep	Oct-Dec	Jan ‐ Mar	Apr ‐ Jun	Jul ‐ Sep	Oct ‐ Dec	Apr-Dec	Apr-Dec
	2Q=100	9M=100
	2019	2019	2019	2020	2020	2020	2020	2021	2021	2021	2021
Operating Revenue
13,482	15,156	17,665	15,389	15,365	16,933	17,705	19,358	19,973	20,569	21,528	50,004	62,071	105	124
Net Operating Revenue	12,992	14,703	17,213	14,858	14,696	16,224	17,190	18,929	19,447	19,980	20,936	48,111	60,364	105	125
SG&A Expenses	15,762	14,726	14,929	14,713	13,563	14,176	14,640	14,974	16,966	16,806	17,296	42,381	51,069	103	120
(Operating Revenue=100)	117	97	85	96	88	84	83	77	85	82	80	85	82	‐	‐
Operating Income (Loss)	‐2,770	‐22	2,283	144	1,132	2,047	2,549	3,955	2,480	3,174	3,640	5,730	9,294	115	162
Non‐Operating Income	288	402	99	721	176	826	589	1,641	605	1,009	441	1,592	2,055	44	129
Non‐Operating Expenses	184	246	‐142	158	26	131	42	170	23	132	3	200	159	2	80
Ordinary Income (Loss)	‐2,666	133	2,525	707	1,283	2,742	3,096	5,426	3,061	4,051	4,077	7,121	11,190	101	157
(Operating Revenue=100)	‐	1	14	5	8	16	17	28	15	20	19	14	18	‐	‐
Extraordinary Income	2,236	69	166	64	124	‐	103	89	8,409	86	‐	228	8,495	0	3,726
Extraordinary Loss	50	16	98	22	213	9	48	‐232	2,827	26	343	271	3,197	1,319	1,180
Income (Loss)	‐480	186	2,594	749	1,194	2,733	3,151	5,748	8,644	4,110	3,733	7,078	16,488	91	233
Before Income Taxes
‐	1	15	5	8	16	18	30	43	20	17	14	27	‐	‐
(Operating Revenue=100)
Income Taxes ‐ Current &	‐731	‐241	633	626	‐4	778	572	1,418	1,471	986	1,146	1,345	3,604	116	268
Profit (Loss) Attributable	256	388	1,862	256	849	1,849	2,388	4,007	7,007	2,902	2,348	5,087	12,259	81	241
to Owners of Parent
2	3	11	2	6	11	13	21	35	14	11	10	20	‐	‐
(Operating Revenue =100)

(Million yen) 25,000

20,000

15,000

10,000

5,000

0

-5,000

1Q	2Q	3Q	4Q	1Q	2Q	3Q	4Q	1Q	2Q	3Q
	FYE Mar 2020			FYE Mar 2021		FYE Mar 2022

Operating Revenue Ordinary Income (Loss) Profit (Loss) Attributable to Owners of Parent

[Quarter on Quarter]

• Operating Revenue: JPY21,528M, up 5% from the preceding quarter (QoQ)
• Profit Attributable to Owners of Parent: JPY2,348M,

down 19% QoQ

[Year on Year]

• Operating Revenue: up 24% from the preceding fiscal year (YoY)
• Profit Attributable to Owners of Parent: up 141% YoY

(Note) The Company has made changes in presentation methods of "Real estate
expenses" and "Other in the Non‐operating income" since Fiscal 2021. The	3
quarterly consolidated financial statements for Fiscal 2020 reflect these changes.

Operating Revenue (Consolidated)

[Quarter on Quarter]

• Commission Received: JPY9,675M, virtually flat QoQ; Net Trading Income: JPY10,419M, up 30% QoQ

[Year on Year]

• Commission Received: up 27% YoY; Net Trading Income: up 11% YoY

																								(Million yen)
			FYE Mar 2020						FYE Mar 2021				FYE Mar 2022			FYE Mar		FYE Mar		QoQ		YoY
															FYE Mar		FYE Mar
																							2021	2022
	1Q		2Q		3Q		4Q		1Q		2Q		3Q		4Q		1Q		2Q	3Q	2022	2021
											Apr-Dec		Apr-Dec
													2Q=100		9M=100
Commission Received
6,352		6,922		8,609		7,287		7,344		7,327		8,012		8,489		9,504		9,642			9,675		22,684		28,823		100		127
Net Trading Income	6,564	7,306	8,400	7,239	7,234	8,778	9,104	8,891	9,587	7,995			10,419	25,117	28,001	130	111
Financial Revenue	565	927	656	862	785	828	588	1,977	881	2,931			1,433	2,202	5,246	49	238
Total Operating Revenue	13,482	15,156	17,665	15,389	15,365	16,933	17,705	19,358	19,973	20,569			21,528	50,004	62,071	105	124

(MIllion yen)

25,000																									Breakdown
																		100%		4		6	4	4	5	5	3	10	4	14	7
20,000
																		80%
15,000																				49		48	48	48	47	52	51	46	48	39	48
																		60%
10,000
																		40%		47		46		49
5,000																					49	48	43	45	44	48	47	45
																		20%
0																			0%
	1Q	2Q	3Q	4Q	1Q	2Q	3Q		4Q		1Q	2Q	3Q			1Q	2Q	3Q	4Q	1Q	2Q	3Q	4Q	1Q	2Q	3Q
			FYE Mar 2020	FYE Mar 2021		FYE Mar 2022					FYE Mar 2020	FYE Mar 2021	FYE Mar 2022
	Commission Received		Net Trading Income				Financial Revenue

Commission Received Net Trading Income Financial Revenue

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