IR Presentation Supplementary Material August 2018 Contents Overview - PowerPoint PPT Presentation

IR Presentation Supplementary Material August 2018

Contents Overview of Tokai Tokyo Financial Holdings 2 Business Characteristics 4 Financial Overview 6 Consolidated 7 (TTSC) Business Foundation 9 Retail Segment 12 Market Segment 20 Joint Ventures with Regional Banks / Broker’s Broker Business 23 Corporate Sales / Corporate Finance 25 Wealth Management Segment (Premier VIP / Orque d’or) 28 One Stop Channel Segment (MONEQUE) 30 Capital Policy (Shareholder Info.) 32 Business Theme (New Age’s Flag Bearer 5) 34 * Unless otherwise specified, the numerical data we quote here were all compiled as consolidated figures of the Tokai Tokyo Financial Holdings, Inc. 1

Overview of Tokai Tokyo Financial Holdings

as of March 31, 2018 Philip Tokai Tokyo Investment Management All Nippon Asset Management Holding company structure intended to secure mobility and flexibility in order to implement expeditiously regional strategy and Separation of the daily routine of running security house operation from the group management duty to expedite the decision Equity Method Affiliates Ace Securities Effective April 1st 2009, the Group moved into holding company structure with the following purposes. Utsunomiya Securities Hokuhoku Tokai Tokyo Securities Senshu Ikeda Tokai Tokyo Securities Nishi-Nippon City Tokai Tokyo Securities Hamagin Tokai Tokyo Securities Tokai Tokyo Financial Holdings, Inc. a holding company listed on TSE and NSE YM Securities * In April 2010, Tokai Tokyo Securities Co., Ltd. and Toyota Financial Services Securities Co., Ltd. merged. Tokai Tokyo Global Investments Tokai Tokyo Investment Management Singapore Group Structure Tokai Tokyo Securities (USA) Tokai Tokyo Securities Europe Tokai Tokyo Securities (Asia) Consolidated Subsidiaries Pinnacle Mebius Overview of Tokai Tokyo Financial Holdings Eternal 3 Tokai Tokyo Business Service Tokai Tokyo Service Tokai Tokyo Academy Tokai Tokyo Research Institute Tokai Tokyo Wealth Consulting Tokai Tokyo Investment Tokai Tokyo Asset Management Takagi Securities Tokai Tokyo Securities* Group Structure Guotai Junan Securities (China) Overseas Business Alliance Mirae Asset Daewoo Securities (Korea) alliance strategy making process Phillip Securities (Singapore) First Metro Investment Corporation (Philippines) The Bank of East Asia (Hong Kong) Stifel Financial Corp. (USA) Bualuang Securities (Thailand)   Kenanga Investment Bank (Malaysia) Bao Viet Securities (Vietnam)

Business Characteristics

Business Characteristics Solid Business Base in Tokai Area “Tokai Area” consists of four prefectures, Aichi, Mie, Gifu and Shizuoka. Value of Shipments of Block GDP Population Manufactured Goods Chubu Area Aichi 25% 14% Chubu Chubu Tokyo Area Gifu Area Tokyo Area 12% 13% 2% Tokyo Area 17% Osaka Area Osaka Mie 28% Area 32% Area 4% 14% 14% 2014 2014 2014 Shizuoka 5% Osaka Area 12% Others Others Others 46% 41% 46% “Tokyo Area” consists of Tokyo, Kanagawa, Saitama and Chiba. “Osaka Area” consists of Osaka, Kyoto, Hyogo and Nara. Ongoing 3 Big Projects in Chubu Area Aichi has been No.1 Since 1977 Aichi has No.1 share in the 10 (out of 24) industries ・ Transportation Equipment MRJ (39% － Toyota, Suzuki, Yamaha Motor, Denso, Aishin, Mitsubishi Heavy Industry ) ・ Production Machinery (11 % － YAMAZAKI MAZAK, Okuma ) Chuo Hydrogen fuel ・ Business oriented Machinery Shinkansen* cell vehicle (16% － Brother Industries ) * operated by Superconducting Maglev System 5

Financial Overview

Financial Overview Consolidated Revenue Breakdown by Product ‐ Consolidated Total 35 Other Foreign & Structured Bonds 30 30 0 Domestic Bonds Foreign Equities 6 25 23 23 Japan Equities 21 1 0 20 1 20 19 Mutual Funds 19 19 3 19 19 0 18 18 20 18 5 0 0 2 17 0 1 17 0 6 4 1 1 0 0 (Billion Yen) 16 4 1 5 15 4 4 1 4 0 14 1 14 5 0 0 13 4 5 5 15 8 0 1 6 1 6 3 4 3 1 2 1 1 4 0 5 1 4 1 0 5 4 1 2 0 3 2 5 1 2 4 1 3 4 1 6 10 2 5 6 3 3 7 5 2 6 5 4 5 2 6 1 4 5 4 2 1 6 3 4 4 6 11 5 5 4 4 3 3 3 3 2 7 6 6 6 5 5 5 5 4 4 3 3 3 3 3 3 3 3 3 2 0 0 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q -5 FYE FYE FYE FYE FYE FYE Mar 2014 Mar 2015 Mar 2016 Mar 2017 Mar 2018 Mar 2019 7

Financial Overview Consolidated Cost Analysis 40,000 Total 33,562 31,909 35,000 Operational expenses (Variable) 0 30,644 590 Variable cost 0 29,350 System expenses (Variable) 79 2,402 571 27,789 27,588 28,117 0 465 1,962 30,000 26,951 Trading-related expenses (Variable -JV) 26,111 26,044 2,426 164 79 586 0 2,781 0 2,469 590 499 2,726 613 0 149 Trading-related expenses (Variable-others) 469 2,086 2,014 4,184 2,399 2,273 1,660 680 592 25,000 3,208 2,251 1,292 1,541 2,011 Personnel expenses (Variable) 1,846 (Million yen) 2,214 2,123 1,880 1,776 1,915 1,972 6,636 1,013 3,230 4,605 1,786 929 Other 2,831 3,866 3,584 2,162 20,000 2,327 1,357 2,238 1,289 1,096 1,284 15,765 1,095 884 1,108 Depreciation 1,165 886 1,183 928 918 909 948 982 1,946 3,362 957 0 1,967 3,433 2,013 1,925 1,880 1,825 1,902 Trading-related expenses (Fixed) 1,808 236 Fixed cost 15,000 998 1,406 3,129 2,941 1,404 2,972 3,064 1,002 2,988 2,968 2,893 3,017 2,080 1,298 Occupancy and rental 894 1,987 820 883 847 769 731 808 915 664 1,950 2,052 532 1,790 1,865 1,741 1,785 1,740 10,000 1,801 1,182 Operational expenses (Fixed) 1,766 718 System expenses (Fixed) 991 11,987 11,727 5,000 10,244 10,074 9,759 9,767 9,967 9,923 9,516 9,231 Personnel expenses (Fixed) 6,124 Fixed cost 0 1H 2H 1H 2H 1H 2H 1H 2H 1H 2H 1Q FYE FYE FYE FYE FYE FYE Mar 2014 Mar 2015 Mar 2016 Mar 2017 Mar 2018 Mar 2019 Personnel expenses increased due to consolidation of group companies 8

Financial Overview (TTSC) Business Foundation Revenue Breakdown by Business Segment (Quarterly) FYE FYE FYE FYE Mar QoQ Mar 2016 Mar 2017 Mar 2018 2019 (Million Yen) 4Q FYE Mar 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2Q 3Q 4Q 1Q 2018 =100 Retail Sales 13,243 9,635 10,051 8,666 8,659 8,089 10,328 10,334 10,300 10,085 11,890 10,721 8,943 83 Equities 6,550 4,774 5,163 3,780 4,555 3,721 5,154 5,243 6,085 6,082 6,729 6,162 5,410 88 Japan Equities 4,314 3,365 3,529 2,674 3,145 1,857 2,919 2,450 2,999 2,619 3,576 2,894 2,125 73 Foreign Equities 2,236 1,410 1,634 1,106 1,410 1,864 2,244 2,793 3,085 3,463 3,151 3,268 3,285 101 Bonds 776 758 800 459 759 1,490 1,854 1,440 1,201 1,081 1,940 1,253 849 68 Foreign Bonds 292 393 275 142 178 349 356 348 294 209 148 93 140 151 Structured Bonds 472 354 496 276 542 1,105 1,496 1,038 888 844 1,766 1,137 665 58 Mutual Funds 5,133 2,999 2,880 2,783 2,575 2,037 2,424 2,692 2,199 2,127 2,436 2,503 2,089 83 Corporate Sales 1,025 950 847 1,070 989 962 1,076 1,029 941 884 1,059 967 880 91 Equities 346 325 355 344 323 314 404 344 382 398 448 435 379 87 Japan Equities 346 325 355 343 322 314 404 344 377 394 441 432 365 84 Bonds 541 469 422 569 525 512 495 479 456 372 475 345 354 103 Foreign Bonds 18 40 31 78 37 30 85 41 11 5 31 31 14 45 Structured Bonds 282 244 220 193 166 235 200 296 217 193 250 165 140 85 Japan Bonds 240 185 171 297 322 247 211 141 229 174 192 146 198 136 Mutual Funds 115 102 80 70 66 65 62 64 65 67 78 102 102 100 Market ＆ Product 4,481 4,509 3,960 4,068 3,722 4,187 5,267 6,018 5,126 6,070 6,774 6,235 5,070 81 Revenue from Customers 4,215 3,375 3,528 3,008 2,673 3,158 3,874 4,449 4,409 4,851 5,652 4,996 4,726 95 Japan Equities 157 133 171 159 151 130 184 172 192 186 245 214 190 89 Japan Bonds 81 69 61 107 127 84 127 129 84 66 70 71 95 134 Foreign Equities 1,362 1,057 1,167 639 811 1,004 1,223 1,480 1,811 2,049 1,988 2,130 2,200 103 Foreign Bonds & Other 2,615 2,116 2,127 2,104 1,585 1,940 2,341 2,668 2,322 2,550 3,349 2,581 2,240 87 Position Revenue 266 1,134 433 1,060 1,049 1,029 1,393 1,569 725 1,203 1,119 1,236 345 28 Corporate Finance 154 162 291 333 236 210 397 359 249 285 348 288 355 123 Underwriting 93 110 253 270 188 128 317 197 175 173 256 156 270 173 Bonds 85 68 94 103 168 106 204 116 121 93 164 115 164 142 Equities 8 42 158 167 20 21 112 81 54 79 92 41 106 258 Other 61 52 39 63 48 82 80 161 74 111 92 132 84 64 9