Slide 1: Databook: Financial Results for 3Q of Fiscal Year Ending March 31, 2015
January 29, 2015 (TSE 1st Section: 8698) DATABOOK Financial Results for 3Q of Fiscal Year Ending March 31, 2015 This is an English translation of Japanese presentation material prepared in connection with the disclosure of the financial results of Monex Group, Inc. It includes information derived fr
Slide 2: Table of Contents
Table of Contents [Data Book] Table of Contents p. 1 1. Market & Transaction Data p. 2 - p.12 2. Financial Data p. 13- p.26 1
Slide 3: 1. Market & Transaction Data
1. Market & Transaction Data 2. Financial Data 2
Slide 4: Customers' Assets in Custody
Market and Transaction Data (1) – Customers’ Assets in Custody (mil yen) Japan Segment U.S. Segment China Segment 4,500,000 4,000,000 3,500,000 3,000,000 2,500,000 2,000,000 1,500,000 1,000,000 500,000 0 As of As of As of As of As of As of As of As of As of Dec.31, 2012 Mar.31, 2013 Jun.30, 2013 Sep
Slide 5: Number of Employees
Market and Transaction Data (2) – Number of Employees Japan Segment U.S. Segment China Segment (person） 1,200 800 400 0 As of As of As of As of As of As of As of As of As of Dec.31, 2012 Mar.31, 2013 Jun.30, 2013 Sep.30, 2013 Dec.31, 2013 Mar.31, 2014 Jun.30, 2014 Sep.30, 2014 Dec.31, 2014 (person）
Slide 6: Japan Segment - Monex, Inc. (Number of accounts)
Market and Transaction Data (3) – Japan Segment - Monex, Inc. (Number of accounts) ◆Number of total accounts & active accounts (account） Brokerage accounts Active accounts 1,400,000 1,200,000 1,000,000 800,000 600,000 400,000 200,000 0 As of Dec. 31, 2012 As of Mar. 31, 2013 As of Jun. 30, 2013 As o
Slide 7: Japan Segment - Monex, Inc. (Equities)
Market and Transaction Data (4) Japan Segment - Monex, Inc. (Equities) ◆Market share and value of equity trading ◆ Breakdown of DARTs and market trading value Monex’s share in retail trading value in 2 major stock exchanges and （thousand） Futures and Options DARTs (per business day） (left) (100mil y
Slide 8: Japan Segment - Monex, Inc. (Mutual Funds & Bonds)
Market and Transaction Data (5) Japan Segment - Monex, Inc. (Mutual Funds & Bonds) ◆Mutual Funds (Sales and Balance) ◆Fixed Income Businesses (Sales of non-domestic bonds) (mil yen ) Sales of Investment Trusts(no-load) (left) (mil yen ) (mil yen ) 70,000 Sales of Investment Trusts(load) (left) 450,0
Slide 9: Japan Segment - Customer distribution
Market and Transaction Data (6) Japan Segment – Monex, Inc. (Customer distribution) ◆Active accounts by gender and age ◆Active accounts by occupation Corporate Professional Corporation executive (e.g. Doctor) All accounts Accounts opened within a year 35% 35% Homemaker Civil servant Self-employed 30
Slide 10: Japan Segment - Monex, Inc. (Capital Adequacy Ratio)
Market and Transaction Data (7) Japan Segment - Monex, Inc. (Capital Adequacy Ratio) ◆Capital adequacy ratio (mil yen) 60,000 600% Risk asset amount（left） Non-fixed capital （left） Capital adequacy ratio（right） 50,000 500% 40,000 400% 30,000 300% 20,000 200% 10,000 100% 0 0% As of As of As of As of A
Slide 11: U.S. Segment - TradeStation Group
Market and Transaction Data (8) U.S. Segment – TradeStation Group ◆ DARTs and VIX(*) （thousand） 140 Futures DARTs(left) Options DARTs(left) Equities DARTs(left) Vix Close Avg. (right) 18 16 120 14 100 12 80 10 60 8 6 40 4 20 2 0 0 3Q of FYE 4Q of FYE 1Q of FYE 2Q of FYE 3Q of FYE 4Q of FYE 1Q of FYE
Slide 12: China Segment - Monex BOOM Securities
Market and Transaction Data (9) China Segment - Monex BOOM Securities ◆ Numbers of active accounts ◆ DARTs (account) 1,600 10,000 1,400 8,000 1,200 1,000 6,000 800 4,000 600 400 2,000 200 0 0 As of Dec. As of Mar. As of Jun. As of Sep. As of Dec. As of Mar. As of Jun. As of Sep. As of Dec. 3Q of FYE
Slide 13: Global FX
Market and Transaction Data (10) Global FX ◆OTC FX business in Japan (Monex, Inc. and Monex FX, Inc.) ◆OTC FX business in U.S. (TradeStation Group) （mil yen） （100mil yen） (thousand USD） （100mil USD） 2,000 200,000 10,000 1,000 Commissions(left) Trading revenue(left) Trading value(right) Tradeing reve
Slide 14: 2. Financial Data
1. Market & Transaction Data 2. Financial Data 13
Slide 15: Significant impact of difference between IFRSs and JGAAP
Significant impact of difference between IFRSs and JGAAP We have adopted IFRSs since FYE March 2013 to improve the international comparability of financial information, while we engage in business activities with a focus of 3 major locations (Japan, the U.S. and China) with a view to creating a glob
Slide 16: Quarterly consolidated financial results
Quarterly consolidated financial results (million yen) FYE March 2014 FYE March 2015 1Q 2Q 3Q 4Q 1Q 2Q 3Q Commission received 10,763 7,518 7,937 7,324 6,314 7,205 8,319 Net trading income 2,821 1,832 1,723 1,634 1,244 1,175 1,968 Financial revenue 3,126 2,918 3,579 2,960 3,115 3,471 3,673 Other oper
Slide 17: Quarterly consolidated financial results (Reclassified)
Quarterly consolidated financial results (Reclassified) Reclassified consolidated statement of income (million yen) FYE Mar. 2014 FYE Mar. 2015 1Q 2Q 3Q 4Q 1Q 2Q 3Q Brokerage commissions 9,174 6,123 6,463 5,812 4,906 5,710 6,679 Stocks and ETFs 7,533 4,848 5,195 4,436 3,627 4,352 4,917 Options and F
Slide 18: Quarterly consolidated financial results (SG&A)
Quarterly consolidated financial results (SG&A) The details of SG&A in consolidated statement of income (million yen) FYE March 2014 FYE March 2015 1Q 2Q 3Q 4Q 1Q 2Q 3Q Transaction-related expenses 3,320 2,939 2,953 3,023 3,006 3,220 3,520 Commissions paid 1,332 1,152 1,118 1,110 1,124 1,198 1,375 E
Slide 19: Quarterly consolidated financial results (Other revenue and other expenses)
Quarterly consolidated financial results (Other revenue and other expenses) (million yen) FYE March 2014 FYE March 2015 1Q 2Q 3Q 4Q 1Q 2Q 3Q Other financial revenue 2,296 4 116 -111 20 35 20 Gain on sales of investment securities 2,288 - - - - - 1 Dividends income 3 - - - 16 34 11 Gain or loss on Fi
Slide 20: Quarterly financial results by segment
Quarterly financial results by segment (million yen) FYE March 2014 FYE March 2015 2Q 3Q 4Q 1Q 2Q 3Q JPN U.S. CHN JPN U.S. CHN JPN U.S. CHN JPN U.S. CHN JPN U.S. CHN JPN U.S. CHN Commission received 5,284 2,165 80 5,574 2,288 95 4,759 2,485 99 3,922 2,337 73 4,696 2,448 84 5,304 2,949 96 Net trading
Slide 21: Quarterly financial results by segment (Reclassified)
Quarterly financial results by segment (Reclassified) Reclassified consolidated statement of income (million yen) FYE March 2014 FYE March 2015 2Q 3Q 4Q 1Q 2Q 3Q JPN U.S. CHN JPN U.S. CHN JPN U.S. CHN JPN U.S. CHN JPN U.S. CHN JPN U.S. CHN Brokerage commissions 4,490 1,565 80 4,756 1,632 94 3,963 1,
Slide 22: Quarterly financial results by segment (SG&A)
Quarterly financial results by segment (SG&A) The details of SG&A in consolidated statement of income (million yen) FYE March 2014 FYE March 2015 2Q 3Q 4Q 1Q 2Q 3Q JPN U.S. CHN JPN U.S. CHN JPN U.S. CHN JPN U.S. CHN JPN U.S. CHN JPN U.S. CHN Transaction-related 1,448 1,457 45 1,495 1,441 38 1,465 1,
Slide 23: U.S. Segment: Quarterly financial results (in USD)
U.S. Segment :Quarterly financial results (in USD) Reclassified consolidated statement of income (thousand USD) FYE March 2014 FYE March 2015 1Q 2Q 3Q 4Q 1Q 2Q 3Q Brokerage commissions 17,923 15,972 16,051 17,338 15,954 16,552 19,051 Stocks and ETFs 5,102 4,883 5,112 5,365 4,624 4,699 5,198 Options
Slide 24: U.S. Segment: Quarterly financial results (SG&A) (in USD)
U.S. Segment :Quarterly financial results (SG&A) (in USD) The details of SG&A in consolidated statement of income (thousand USD) FYE March 2014 FYE March 2015 1Q 2Q 3Q 4Q 1Q 2Q 3Q Transaction-related expenses 15,910 14,868 14,164 15,051 14,970 16,397 16,816 Commissions paid 9,935 8,717 7,878 8,839 8
Slide 25: Consolidated statement of financial position (1)
Consolidated statement of financial position (1) ■Assets (million yen) As of As of As of As of March 31, 2014 December 31, 2014 March 31, 2014 December 31, 2014 Cash and cash equivalents 85,442 69,506 Property and equipment 1,579 2,475 Cash segregated as deposits 426,719 512,422 Intangible assets 41
Slide 26: Consolidated statement of financial position (2)
Consolidated statement of financial position (2) ■Liabilities ■Equity (million yen) As of As of As of As of March 31, 2014 December 31, 2014 March 31, 2014 December 31, 2014 Derivative liabilities 9,047 14,684 Common stock 10,394 10,394 Margin transaction liabilities 36,308 37,952 Additional-paid in
Slide 27: Consolidated statement of financial position (3)
Consolidated statement of financial position (3) ■Investments in securities (million yen) As of Mar. As of Dec. measurement method Description 31, 2014 31, 2014 Investments in securities 8,390 9,229 Fair Value Through Profit or Loss Quoted prices (unadjusted) in active markets for identical 579 537