34
IR Presentation Financial Summary & Business Strategy Supplementary Material November 2017
IR Presentation
Financial Summary & Business Strategy
Supplementary Material
November 2017
1
Overview of Tokai Tokyo Financial Holdings
Financial Reporting Summary
Characteristics of Business and Performance
Focus Areas / Business Plans
Contents
* Unless otherwise specified, the numerical data we quote here were all compiled as consolidated figures of the Tokai Tokyo Financial Holdings, Inc.
Overview of Tokai Tokyo Financial Holdings
3
0
1,000
2,000
3,000
4,000
5,000
6,000
7,000
JV SecuritiesTotal
TakagiSecurities
Tokai TokyoSecurities
• Tokai Tokyo Securities: 68 outlets
• JV Securities: 69 outlets
• Takagi Securities: 14 outlets
Tokai
44 outlets
(34 in Aichi Pref.)
Kyushu
1 outlets Chugoku
/ Shikoku
4 outlets
Koushin’etsu
/ Hokuriku
2 outlets
Tohoku
1 outlets
Kanto
13 outlets
(8 in Tokyo)
Utsunomiya Securities
(6 operating outlets)
(7 operating outlets)
YM Securities
Nishi-Nippon City TT
(18 operating outlets)
(19 operating outlets)
Hamagin TT
(16 operating outlets)
Senshu Ikeda TT
Nationwide Network
(As of September 30, 2017)
(3 operating outlets)
Hokuhoku TT
Overview of Tokai Tokyo Financial Holdings
Nationwide Network
Kinki
3 outlets
Assets under Custody (¥bn)
ETERNAL
(Insurance Terrace 72 outlets)
4
Headquarters
Overseas Subsidiary
Business Partnership
Daewoo Securities Guotai Junan Securities
First Metro Investment Corporation
Stifel Financial Corp.
Bualuang Securities
K&N Kenanga Holdings
Overseas Affiliate
Phillip Tokai Tokyo
Investment Management
Phillip Securities
Tokai Tokyo Financial Holdings
Tokai Tokyo Securities (Asia)
Tokai Tokyo Securities Europe
Tokai Tokyo Securities (USA)
Saigon Securities
Bank of East Asia
Business Partnership with Capital Contribution
Tokai Tokyo Global Investments
Tokai Tokyo Investment
Management Singapore
Overview of Tokai Tokyo Financial Holdings
Overseas Network
(As of September 30, 2017)
Bao Viet Securities
5
K&
N K
enanga H
old
ings (M
ala
ysia
)
Bualu
ang S
ecuritie
s (T
haila
nd)
Stife
l Fin
ancia
l Corp
. (US
A)
The B
ank o
f East A
sia
(Hong K
ong)
Firs
t Metro
Investm
ent C
orp
ora
tion
(Philip
pin
es)
Philip
Securitie
s (S
ingapore
)
Saig
on S
ecuritie
s (V
ietn
am
)
Mira
e A
sset D
aew
oo S
ecuritie
s (K
ore
a)
Takagi S
ecuritie
s
Tokai T
okyo
Asset M
anagem
ent
Tokai T
okyo In
vestm
ent
Tokai T
okyo W
ealth
Consultin
g
Tokai T
okyo R
esearc
h In
stitu
te
Tokai T
okyo A
cadem
y
Tokai T
okyo
Serv
ice
Tokai T
okyo B
usin
ess S
erv
ice
Tokai T
okyo S
ecuritie
s (A
sia
)
Tokai T
okyo
Securitie
s E
uro
pe
Tokai T
okyo S
ecuritie
s (U
SA
)
Tokai T
okyo In
vestm
ent M
anagem
ent S
ingapore
YM
Securitie
s
Ham
agin
Tokai T
okyo
Securitie
s
Nis
hi-N
ippon C
ity Tokai T
okyo S
ecuritie
s
Senshu Ik
eda T
okai T
okyo S
ecuritie
s
Hokuhoku T
okai T
okyo S
ecuritie
s
Uts
unom
iya S
ecuritie
s
AC
E S
ecuritie
s
All N
ippon A
sset M
anagem
ent
Philip
Tokai T
okyo In
vestm
ent M
anagem
ent
Effective April 1st 2009, the Group moved into holding company structure with the following purposes. Separation of the daily routine of running security house operation from the group management duty to expedite the decision
making process
Holding company structure intended to secure mobility and flexibility in order to implement expeditiously regional strategy and alliance strategy
Overview of Tokai Tokyo Financial Holdings
Group Structure
Tokai T
okyo G
lobal In
vestm
ents
Overseas Business Alliance
Group Structure
Consolidated Subsidiaries Equity Method Affiliates
ET
ER
NA
L
Tokai T
okyo S
ecuritie
s*
Tokai Tokyo Financial Holdings, Inc. a holding company listed on Tokyo Stock Exchange
* In April 2010, Tokai Tokyo Securities Co., Ltd. and Toyota Financial Services Securities Co., Ltd. merged.
Guota
i Junan S
ecuritie
s (C
hin
a)
Pin
nacle
Bao V
iet S
ecuritie
s (V
ietn
am
)
(As of September 30, 2017)
Financial Reporting Summary
7
8,000
10,000
12,000
14,000
16,000
18,000
20,000
22,000
0
2,500
5,000
7,500
10,000
12,500
15,000
17,500
0
5,000
10,000
15,000
20,000
25,000
30,000
35,000
1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
Operating Revenue Ordinary Income Net Income
（
Recorded Positive Ordinary Income Non Stop for 28 Consecutive Quarters
Financial Reporting Summary
Trend Analysis (Consolidated)
■ Financial Results (Quarterly) Nikkei Stock Average (Yen)
Net Income
(Million Yen)
Operating Revenue,
Ordinary Income
(Million Yen)
8
Q on Q
1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q1Q FY2017
=100
Retail Sales 13,069 13,399 15,334 13,493 13,243 9,635 10,051 8,666 8,659 8,089 10,328 10,334 10,300 10,085 98
Stocks 4,899 6,873 7,092 6,697 6,550 4,774 5,163 3,780 4,555 3,721 5,154 5,243 6,085 6,082 100
Domestic Stocks 3,713 4,580 4,136 3,946 4,314 3,365 3,529 2,674 3,145 1,857 2,919 2,450 2,999 2,619 87
Foreign Stocks 1,186 2,293 2,956 2,751 2,236 1,410 1,634 1,106 1,410 1,864 2,244 2,793 3,085 3,463 112
Bond 1,220 866 905 817 776 758 800 459 759 1,490 1,854 1,440 1,201 1,081 90
Foreign Bonds 441 383 402 378 292 393 275 142 178 349 356 348 294 209 71
Structured Bonds 743 442 485 418 472 354 496 276 542 1,105 1,496 1,038 888 844 95
Investment Trusts 5,745 4,593 6,151 4,938 5,133 2,999 2,880 2,783 2,575 2,037 2,424 2,692 2,199 2,127 97
Corporate Sales 769 845 1,008 1,003 1,025 950 847 1,070 989 962 1,076 1,029 941 884 94
Stocks 280 302 330 323 346 325 355 344 323 314 404 344 382 398 104
Domestic Stocks 280 302 330 323 346 325 355 343 322 314 404 344 377 394 104
Bond 375 386 480 458 541 469 422 569 525 512 495 479 456 372 81
Foreign Bonds 6 18 58 10 18 40 31 78 37 30 85 41 11 5 47
Structured Bonds 181 172 195 269 282 244 220 193 166 235 200 296 217 193 89
Domestic Bonds 188 197 227 179 240 185 171 297 322 247 211 141 229 174 76
Investment Trusts 83 84 104 125 115 102 80 70 66 65 62 64 65 67 102
Market ＆ Product 3,702 4,075 5,594 4,341 4,481 4,509 3,960 4,068 3,722 4,187 5,267 6,018 5,126 6,070 118
Revenue from Customers 3,093 3,624 5,007 4,522 4,215 3,375 3,528 3,008 2,673 3,158 3,874 4,449 4,409 4,851 110
Domestic Stocks 102 138 140 141 157 133 171 159 151 130 184 172 192 186 97
Domestic Bonds 54 74 70 81 81 69 61 107 127 84 127 129 84 66 79
Foreign Stocks 644 1,294 1,681 1,633 1,362 1,057 1,167 639 811 1,004 1,223 1,480 1,811 2,049 113
Foreign Bonds & Others 2,294 2,117 3,116 2,667 2,615 2,116 2,127 2,104 1,585 1,940 2,341 2,668 2,322 2,550 110
Position Revenue 609 450 586 -181 266 1,134 433 1,060 1,049 1,029 1,393 1,569 725 1,203 166
Corporate Finance 272 228 285 395 154 162 291 333 236 210 397 359 249 285 115
Underwriting 174 172 209 246 93 110 253 270 188 128 317 197 175 173 99
Bonds 145 136 119 104 85 68 94 103 168 106 204 116 121 93 77
Stocks 29 36 90 142 8 42 158 167 20 21 112 81 54 79 146
Others 98 56 76 150 61 52 39 63 48 82 80 161 74 111 150
FY2017
(Million Yen)
FY2014 FY2015 FY2016
■ Revenue Breakdown by Business Segment (Quarterly)
Financial Reporting Summary
Trend Analysis (Consolidated)
9
-5,000
0
5,000
10,000
15,000
20,000
25,000
30,000
35,000
1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
Others
Foreign & Structured Bonds
Domestic Bonds
Foreign Stocks
Domestic Stocks
Investment Trusts
(Million Yen)
■ Revenue Breakdown by Product - Consolidated
Financial Reporting Summary
Trend Analysis (Consolidated)
Characteristics of Business and Performance
11
TTSC31%
Equity Method Profit (JV 6
Companies+ Ace
Security
4%
Dividend
Income
(After Tax)
1%Gain on Sales
of Investment
Securities
(After Tax)
2%
Equity Method
Profit
(Negative
Goodwill etc.)
62%
TTSC83%
FH +
other
Subsidiaries
3%
Equity
Method
Profits(JV 6
companies
+Ace
11%
Dividend
Income
3%
Net Income Image
Source of Revenue / Profit & Loss
Characteristics of Business and Performance
■ Source of Group Revenue / Profit & Loss, including the affiliates’ figures on Pro-Rata Basis*
Ordinary Income Image
* The charts present an image of the source of Group revenue, profit &loss in
FY2017 1H, which, being different from our consolidated PL, include affiliates’
figures on pro-rata basis.
12
0
200
400
600
800
1000
1200
1400
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
Seconded Employees to Joint Ventures
Employees of Retail Sales Unit
(Number of Staff)
0102030405060708090
100
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
Tokai Tokyo Securities
Joint Ventures & Broker's Broker Business
Takagi Securities
(Billion Yen)
18.5% 19.3% 19.8% 21.4% 20.4% 22.2% 22.3% 23.0% 23.5% 24.2% 25.5%
28.9% 29.2% 29.6% 29.7% 28.3% 29.8% 30.0% 29.2% 29.6% 29.4% 30.5%
28.1% 27.7% 27.4% 26.7% 27.3% 26.0% 26.0% 26.1% 26.0% 25.5% 24.2%
13.8% 13.4% 13.1% 12.8% 13.5% 12.7% 12.8% 13.0% 12.5% 12.7% 12.3%
10.7% 10.3% 9.9% 9.4% 10.5% 9.2% 8.9% 8.7% 8.4% 8.2% 7.6%
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
Under 50 50s 60s 70s Over 80
Number of Sales Representatives Assets under Custody Breakdown by Age
Characteristics of Business and Performance
Retail Segment
Foreign Stocks Assets under Custody
Source: Data from Retail Sales Unit
13
9.4
-6.1
-23.2
2.5
16.2
10.9
5.8
45.1
37.8
3.3 3.1
-30
-20
-10
0
10
20
30
40
50
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
Net Inflow of Cash
Net Inflow of Securities
Net Inflow of Cash & Securities
40%46%
49% 49% 50% 52% 52% 52% 53% 54% 55%
2%
2%1% 1% 2%
3% 2% 2% 2% 3%3%
10%
8%7%
4%4%
3% 3% 3% 3% 3%3%
11%9% 8%
10%11% 9% 9% 8%
9% 9%9%
36% 35% 35% 35% 33% 33% 33% 33% 32% 31% 29%
0% 0% 1% 1% 1% 1% 1% 1% 1% 1% 1%
0%
10%
20%
30%
40%
50%
60%
70%
80%
90%
100%
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
Others
Investment Trusts
Foreign &Structured Bonds
Domestic Bonds
Foreign Stocks
Domestic Stocks
Assets under Custody
Breakdown by Product
Net Inflow of Cash & Securities
(Retail Customers)
Characteristics of Business and Performance
Retail Segment
(Billion Yen)
* Excluding the transfer amount to JV Securities Companies in 2Q & 4Q FY2016
0
2,000
4,000
6,000
8,000
10,000
12,000
14,000
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
(Million Yen)
0
5,000
10,000
15,000
20,000
25,000
30,000
35,000
40,000
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
(Million Yen)
0
100
200
300
400
500
600
700
800
900
1,000
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
(Billion Yen)
Characteristics of Business and Performance
Retail Segment
Open Interest on Margin Trading Trading Volume of Domestic Stocks
Domestic Stock Commission
Source: Data from Retail Sales Unit
14
15
0
50
100
150
200
250
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
(Billion Yen)
0
100
200
300
400
500
600
700
800
900
0
50
100
150
200
250
300
350
400
450
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
Sales Volume (LHS)
Investment Trust Assets underCustody (RHS)
(Billion Yen) (Billion Yen)
Investment Trust Sales Volume / Assets under Custody
Foreign Bond Assets under Custody
Characteristics of Business and Performance
Retail Segment
Source: Data from Retail Sales Unit
16
High Wealth
27%
Wealth25%
Middle37%
General11%
Under 40
2%40s
5%50s
12%
60s
24%70s
31%
Over 80
26%
Domestic Stocks55%
Foreign Stocks
3%
Domestic Bonds
3%
Foreign & Structured
Bonds9%
Investment Trusts
29%
Others1%
Eastern
Japan19.8%
Central
Japan70.9%
Western
Japan9.3%
Under 40
4%40s
8% 50s
14%
60s
29%
70s
27%
Over 80
18%
High
Wealth14%
Wealth
24%Middle
47%
General
15%
Characteristics of Business and Performance
Retail Segment
Domestic Stocks48%
Foreign Stocks
2%
Domestic Bonds
4%
Foreign & Structured
Bonds8%
Investment Trusts37%
Others1%
March 2013
Assets under Custody by Region
September 2017
Assets under Custody by Product
March 2013 September 2017
Retail Business - Assets under Custody
Assets under Custody by Age
March 2013 September 2017
Assets under Custody by Customer Segment
March 2013 September 2017
High Wealth :Holding over 100 million yen in assets under custody
Wealth :30 million to 100 million yen
Middle :5 million to 30 million yen
General :less than 5 million yen
Eastern
Japan19.8%
Central
Japan70.9%
Western
Japan9.3%
17
High Wealth
16%
Wealth31%
Middle45%
General8%
Domestic Stocks23%
Foreign Stocks29%
Domestic Bonds
5%
Foreign & Structured Bonds
22%
Investment Trusts
16%
Others5%
Eastern
Japan19.2%
Central
Japan69.0%
Western
Japan11.8%
High Wealth
7%
Wealth26%
Middle56%
General11%
Eastern Japan23.4%
Central Japan59.1%
Western Japan17.5%
Domestic Stocks15%
Foreign Stocks14%
Domestic Bonds
2%
Foreign&Structured
Bonds30%
Investment Trusts37%
Others2%
Characteristics of Business and Performance
Retail Segment
FY2012
Revenue by Region
FY2017 2Q
Revenue by Product (Consolidated)
FY2017 2Q
Retail Business - Revenue
Revenue by Customer Segment
FY2012 FY2017 2Q
FY2012
High Wealth :Holding over 100 million
yen in assets under custody
Wealth :30 million to 100 million yen
Middle :5 million to 30 million yen
General :less than 5 million yen
18
0
200
400
600
800
1,000
1,200
1H 2H 1H 2H 1H H2 1H H2 1H
FY2013 FY2014 FY2015 FY2016 FY2017
Takagi
Broker's Broker Business
JV
TTSC
(Billion Yen)
0
2,000
4,000
6,000
8,000
10,000
12,000
1H 2H 1H 2H 1H 2H 1H
FY2014 FY2015 FY2016 FY2017
Broker's Broker Business
JV
TTSC
（Million Yen）
Breakdown of Customer Revenue Flow Revenue Breakdown by Category
Assets under Custody
Characteristics of Business and Performance
Market Segment
0
2,000
4,000
6,000
8,000
10,000
12,000
14,000
1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2013 FY2014 FY2015 FY2016 FY2017
Fund RevenuePosition RevenueCustomer Revenue Flow
(Million Yen)
19
0
100
200
300
400
500
600
700
800
900
1,000
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
(Million Yen)
OTC Derivative
Bond Front System
Stock Dealing / Trading
Information Terminal
0
20
40
60
80
100
120
140
160
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
(Number of Staff)
System Cost (Market Segment)
Number of Staff (Market Segment)
Characteristics of Business and Performance
Market Segment
20
0
500
1,000
1,500
2,000
2,500
1H 2H 1H 2H 1H 2H 1H
FY2014 FY2015 FY2016 FY2017
Retail Investors
Unlisted Companies
Listed Companies
Public Institutions
Non-Profit Corporations
Small and Medium-SizedFinancial Institutions
Institutional Investors
(Million Yen)
0
500
1,000
1,500
2,000
2,500
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
Others
Investment Trusts
Foreign & StructuredBondsDomestic Bonds
Domestic Stocks
(Million Yen)
0
500
1,000
1,500
2,000
2,500
3,000
3,500
4,000
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
Other Fees & Commissions
Underwriting
Corporate Sales
(Mill ion Yen)
Revenue Breakdown by Customer Segment
(Corporate Sales)
Corporate Sales
Revenue Breakdown by Product
(Corporate Sales)
Characteristics of Business and Performance
Corporate Sales Unit / Corporate Finance Unit
Revenue of Corporate Sales & Corporate Finance Unit
21
0
500
1,000
1,500
2,000
2,500
1H 2H 1H 2H 1H 2H 1H
FY2014 FY2015 FY2016 FY2017
Others
InvestmentTrustsForeign Bonds
DomesticBondsForeign Stocks
DomesticStocks
(Billion Yen)
0
5
10
15
20
25
0
50
100
150
200
250
300
350
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
CB
PO
IPO
Number of Underwritings (PO)
Number of Underwritings (IPO)
(MIllion Yen)(Number of Underwritings)
0
5
10
15
20
25
30
0
50
100
150
200
250
300
350
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
Municipal Bonds
Other Bonds
Number of Underwritings (Lead Manager of Municipal Bonds)
Number of Underwritings (Lead Manager of Other Bonds)
(Million Yen) (Number of Underwritings)
Corporate Assets under Custody
Bond Underwriting Fees Stock Underwriting Fees
Characteristics of Business and Performance
Corporate Sales Unit / Corporate Finance Unit
22
Municipal Bond Underwriting
(Lead Manager)
Amount Share Amount Share Amount Share
(Million Yen) (%) (Million Yen) (%) (Million Yen) (%)
1 Mizuho 1,937,351 22.10 330 1 Daiwa 283,295 22.5 53 1 Nomura 37,844 44.61 12
2 Mitsubishi UFJ Morgan Stanley 1,802,802 20.57 339 2 Nomura 232,450 18.4 44 2 SMBC Nikko 16,779 19.78 22
3 Nomura 1,682,202 19.19 322 3 SMBC Nikko 230,381 18.3 47 3 Mizuho 9,680 11.41 20
4 Nomura 1,495,151 17.06 323 4 Mitsubishi UFJ Morgan Stanley 209,258 16.6 41 4 Daiwa 6,301 7.43 11
5 SMBC Nikko 1,316,651 15.02 324 5 Mizuho 172,853 13.7 35 5 Mitsubishi UFJ Morgan Stanley 5,939 7 8
6 Tokai Tokyo 147,520 1.68 87 6 Tokai Tokyo 64,039 5.1 14 6 SBI 3,104 3.66 27
7 Goldman Sachs 111,500 1.27 40 7 Goldman Sachs 28,100 2.2 6 7 Monex 1,322 1.56 12
8 Shinkin 103,700 1.18 56 8 Shinkin 18,400 1.5 6 8 Ichiyoshi 1,099 1.3 12
9 Okasan 57,550 0.66 53 9 Okasan 11,829 0.9 4 9 Tokai Tokyo 734 0.86 3
10 Merrill Lynch Japan 28,500 0.33 19 10 Barclays 5,000 0.4 1 10 Ace 633 0.75 14
Company NameNumber
of DealsRank Company Name
Number
of DealsRank Company Name
Number
of DealsRank
Total Straight Bond Underwriting IPO Underwriting
Sources: Thomson Reuters, Capital Eye News
Characteristics of Business and Performance
Corporate Sales Unit / Corporate Finance Unit
■ League Table (FY2017: April 1, 2017 to September 30, 2017)
23
1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q
Net Inflow of Cash & Securities 13.3 2.9 -6.9 17.8 -10.6 16.4 7.3 37.9 22.1 15.7 3.4 -0.1 -0.5 3.5
Domestic Stocks -18.4 -26.2 -34.0 -26.2 -46.4 8.1 -21.4 27.0 -4.7 -12.9 -49.9 -20.0 -36.5 -17.6
Foreign Stocks 3.6 9.9 9.7 11.2 -3.8 -4.4 4.2 -0.3 1.7 7.0 2.7 11.7 7.1 14.6
Domestic Bonds -0.2 6.6 3.1 1.2 -0.0 -1.7 3.0 4.3 6.3 4.9 -0.5 9.3 1.4 3.2
Foreign & Structured Bonds 33.6 23.1 14.7 30.0 32.7 26.7 12.7 -3.1 27.7 50.0 60.1 45.7 37.9 41.1
Investment Trusts -12.5 -5.1 -9.3 9.0 14.4 21.0 7.0 11.6 5.5 -2.7 0.5 12.1 -1.9 4.2※ Net trading volume
FY2017FY2016 (Billion Yen)
FY2014 FY2015
Buy -
Sell※
■ Net Inflow of Cash & Securities Breakdown by Product
Characteristics of Business and Performance
Business Foundation
Note: Excluding the transfer amount to Nishi-Nippon City Tokai Tokyo Securities in 2Q FY2016,
and the transfer amount to Hokuhoku Tokai Tokyo Securities in 4Q FY2016
24
Mar 2013
=100
Mar 2017
=100
Total 113 107
132 110
Domestic Stocks 130 109
Foreign Stocks 180 121
71 95
124 109
89 101
192 109
Investment Trusts
Others
Stocks
Domestic Bonds
Foreign & Structured Bonds
0
500
1,000
1,500
2,000
2,500
3,000
FY2012 FY2013 FY2014 FY2015 FY2016 FY20172Q
Others
InvestmentTrusts
Foreign &Structured Bonds
Domestic Bonds
Foreign Stocks
Domestic Stocks
Mar 2013
=100
Mar 2017
=100
Total 116 109
145 111
Domestic Stocks 144 110
Foreign Stocks 178 121
113 103
102 112
80 106
221 112Others
Domestic Bonds
Foreign & Structured Bonds
Investment Trusts
Stocks
0
1,000
2,000
3,000
4,000
5,000
6,000
FY2012 FY2013 FY2014 FY2015 FY2016 FY20172Q
Others
InvestmentTrusts
Foreign &Structured Bonds
Domestic Bonds
Foreign Stocks
Domestic Stocks
Characteristics of Business and Performance
Business Base
Assets under Custody of Whole Company (Tokai Tokyo Securities)
Retail Assets under Custody (Tokai Tokyo Securities)
Year to Year Comparison: Assets under Custody
of Whole Company (Tokai Tokyo Securities)
Year to Year Comparison: Retail Assets
under Custody (Tokai Tokyo Securities)
(Billion Yen)
(Billion Yen)
Trend in Assets under Custody
25
(Billion Yen)
QoQ
1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q1Q FY2017
= 100
Retail Customers 2,534.9 2,574.8 2,681.4 2,752.5 2,798.2 2,492.6 2,628.1 2,441.4 2,298.3 2,339.7 2,577.0 2,512.4 2,591.8 2,678.0 103
Domestic Stocks 1,255.3 1,282.6 1,333.9 1,426.5 1,449.8 1,290.4 1,388.7 1,283.2 1,204.7 1,242.5 1,371.2 1,343.6 1,400.4 1,471.0 105
Foreign Stocks 37.9 49.6 60.3 69.6 64.3 48.3 53.1 47.1 42.2 48.7 58.4 68.0 73.1 82.0 112
Domestic Bonds 89.2 87.9 85.9 83.0 79.4 74.4 74.0 75.5 78.8 78.6 74.5 77.7 74.7 74.0 99
Foreign & Structured Bonds 271.8 272.1 259.6 240.1 245.7 220.0 223.0 197.3 191.5 205.8 230.1 223.6 239.9 242.0 101
Investment Trusts 676.5 671.7 698.0 685.9 690.8 623.2 647.0 614.7 565.8 550.2 593.3 564.3 551.7 558.0 101
Others 204.2 211.0 243.6 247.4 268.2 236.4 242.2 223.7 215.3 213.9 249.4 235.2 252.0 249.0 99
Corporate Customers 1,949.4 1,932.7 2,010.2 2,091.5 2,195.0 2,009.9 2,017.7 1,652.8 1,634.7 1,666.7 1,756.2 1,764.0 1,861.3 1,968.0 106
Domestic Stocks 842.9 808.9 844.4 913.1 939.8 817.7 861.3 797.3 781.2 808.8 889.9 913.9 955.4 1,018.0 107
Foreign Stocks 2.0 2.1 2.1 2.5 3.3 2.5 2.4 2.3 2.0 2.2 2.3 2.6 2.9 3.0 105
Domestic Bonds 540.7 552.8 548.4 539.6 574.4 560.8 564.0 573.2 576.4 575.1 575.6 552.6 568.4 576.0 101
Foreign & Structured Bonds 213.5 218.8 238.9 240.2 239.9 219.9 237.3 127.5 134.6 143.5 145.9 154.6 177.6 181.0 102
Investment Trusts 94.8 95.2 140.8 148.2 149.5 142.5 124.5 135.0 130.4 128.1 131.8 129.2 145.3 176.0 121
Others 255.4 254.9 235.6 248.0 288.0 266.6 228.2 17.6 10.0 9.1 10.8 11.0 11.7 12.0 103
Whole Company 4,484.3 4,507.5 4,691.6 4,844.0 4,993.2 4,502.5 4,645.8 4,094.2 3,933.0 4,006.4 4,333.2 4,276.3 4,453.1 4,646.0 104
Domestic Stocks 2,098.2 2,091.5 2,178.3 2,339.5 2,389.6 2,108.0 2,250.0 2,080.5 1,986.0 2,051.3 2,261.1 2,257.5 2,355.9 2,489.0 106
Foreign Stocks 39.9 51.7 62.4 72.1 67.6 50.8 55.6 49.4 44.2 50.8 60.7 70.7 75.9 85.0 112
Domestic Bonds 629.9 640.7 634.3 622.6 653.8 635.2 638.0 648.6 655.2 653.7 650.2 630.3 643.1 650.0 101
Foreign & Structured Bonds 485.3 490.9 498.5 480.3 485.6 439.9 460.3 324.7 326.1 349.4 376.0 378.3 417.5 423.0 101
Investment Trusts 771.3 766.9 838.9 834.1 840.3 765.6 771.5 749.6 696.2 678.2 725.1 693.4 697.0 734.0 105
Others 459.6 465.9 479.3 495.4 556.2 503.0 470.4 241.3 225.3 223.0 260.2 246.2 263.7 261.0 99
FY2017FY2014 FY2015 FY2016
Characteristics of Business and Performance
Business Base
Trend in Assets under Custody
Focus Areas / Business Plans
27
0
5
10
15
20
25
30
35
40
45
50
-1,000
0
1,000
2,000
3,000
4,000
5,000
6,000
7,000
FY2008 FY2009 FY2010 FY2011 FY2012 FY2013 FY2014 FY2015 FY2016 FY20171H
Income and Other Benefits Realized from Transactions with JVs
Gain on Investments in Partnership
Proportion to Consolidated Ordinary Income
(%)（Million Yen）
0
10,000
20,000
30,000
40,000
50,000
60,000
70,000
80,000
90,000
1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
(Million Yen) JV Affiliates
0
100
200
300
400
1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q
FY2014 FY2015 FY2016 FY2017
Others
InvestmentTrusts
Foreign &StructuredBondsDomesticBonds
ForeignStocks
DomesticStocks
(Billion Yen)
0
1,000
2,000
3,000
4,000
5,000
6,000
7,000
1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q
FY2014 FY2015 FY2016 FY2017
Others
InvestmentTrusts
Foreign &Structured
BondsDomesticBonds
ForeignStocks
DomesticStocks
Product Revenue - from JVs (5 Entities) Income Contribution from JV Affiliates
Sales of Foreign & Structured Bonds Sales Volume - from JVs (5 Entities)
■ Joint Ventures
Focus Areas / Business Plans
Joint Ventures / Broker’s Broker Business
（Million Yen）
28
0
200
400
600
800
1,000
1,200
1,400
1,600
1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q
FY2014 FY2015 FY2016 FY2017
Others
Investment Trusts
Foreign &Structured Bonds
Domestic Bonds
Foreign Stocks
Domestic Stocks
(Billion Yen)
536
245
305
371
450
540538
642668
780841
884
963
1,0471,009
998
1,024
1,244
1,444
0
200
400
600
800
1,000
1,200
1,400
1,600
Mar
-08
Sep
-08
Mar
-09
Sep
-09
Mar
-10
Sep
-10
Mar
-11
Sep
-11
Mar
-12
Sep
-12
Mar
-13
Sep
-13
Mar
-14
Sep
-14
Mar
-15
Sep
-15
Mar
-16
Sep
-16
Mar
-17
Sep
-17
(Billion Yen)
Assets under Custody by Product
Focus Areas / Business Plans
Joint Ventures / Broker’s Broker Business
■ Joint Ventures
Assets under Custody - from JVs (6 Entities)
0
2,000
4,000
6,000
8,000
10,000
12,000
14,000
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
(Million Yen)
Operating Revenue
29
0
10,000
20,000
30,000
40,000
500
700
900
1,100
1,300
1,500
3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q
FY2013 FY2014 FY2015 FY2016 FY2017
Asset under Custody(Right Axis)
Number of Accounts (Left Axis)(Million Yen)
382
623
865
1,079
1,2501,356
312
451
644
865982
1043
0
200
400
600
800
1000
1200
1400
1600
FY2012 FY2013 FY2014 FY2015 FY2016 FY20172Q
Premier Vip Club Members
Premier Club Members
（Accounts）
Premier Medical Department Assets under Custody
& Number of Accounts
Focus Areas / Business Plans
Wealth Management Unit
Premier VIP Club / Premier Club
Members
30
0
50
100
150
200
250
300
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
Direct Channel New Business
(Billion Yen)
0
10,000
20,000
30,000
40,000
50,000
60,000
3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q
FY2014 FY2015 FY2016 FY2017
Others
Online dealings on credit
(Thousand Yen)
0
50
100
150
200
250
300
350
1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q
FY2014 FY2015 FY2016 FY2017
Others
InvestmentTrusts
ForeignBonds
DomesticBonds
ForeignStocks
DomesticStocks
(Million Yen)
Focus Areas / Business Plans
One Stop Channel Unit
Product Revenue Assets under Custody
Revenue Trend of “New Business”
0
1,000
2,000
3,000
4,000
5,000
6,000
7,000
8,000
9,000
10,000
0
200
400
600
800
1000
1200
1400
2H 1H 2H 1H 2H 1H
FY2014 FY2015 FY2016 FY2017
Open Interest on Margin Trading
Number of Direct Margin Trading Accounts
(Milliion Yen)(Accounts)
Direct Margin Trading
31
0
1,000
2,000
3,000
4,000
5,000
6,000
7,000
8,000
9,000
1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2012 FY2013 FY2014 FY2015 FY2016 FY2017
Assets under Custody (Million Yen)
Number of Accounts32.6
18.3
26.0
23.5
26.2
20.0
25.2
14.9
0
5
10
15
20
25
30
35
40
1H 2H 1H 2H 1H 2H 1H 2H 1H
FY2013 FY2014 FY2015 FY2016 FY2017
Yen Denominated Bonds
Foreign Currency Denominated Bonds
(Billion Yen)
29.8
Underwriting Bonds Issued by Toyota Group
for Retail Customers
Personal Accumulation Plans for Investment Trusts
(Toyota Business Unit)
Focus Areas / Business Plans
Toyota Business Unit
32
MEMO
33
Inquiries to be directed to:
Effective April 1, 2009, the Company spun off its financial instrument operation and Tokai Tokyo Security Co.,
Ltd. (former Tokai Tokyo Securities Spin-off Preparation Co., Ltd.) took it over. The Group (Tokai Tokyo
Financial Group) at the same time shifted to a holding company system.
Effective the same date, the Company and Tokai Tokyo Securities Spin-off Preparation Co., Ltd. changed their
corporate names to Tokai Tokyo Financial Holdings, Inc., and Tokai Tokyo Securities Co., Ltd. respectively.
The result for the fiscal year ended on March 31, 2009 or any earlier date account for the operation of the
former Tokai Tokyo Securities Co., Ltd. under then existing organizational structure.
Corporate Communications Department
TEL: +81-3-3517-8618 FAX: +81-3-3517-8314
E-mail: [email protected]
This material is intended to provide information regarding the Company’s most recent operational result
and NOT to solicit investment in securities issued by the Company.
