SEC Statistic Highlights (as of April 19_2016) - PostupnewsEN

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วันอังคารที่ 19 เมษายน พ.ศ. 2559

SEC Statistic Highlights (as of April 19_2016)

1. Approval for Equity Securities Offerings
                                                                                                                unit: company
Type of Offerings
Q1-2015
2015
Q1-2016
Initial public offerings (IPO) – stocks
5
34
3
Initial public offerings (IPO) – warrants
-
-
-
Public offerings (PO) – stocks
-
1
-
Public offerings (PO) – warrants
1
1
-
Total
6
36
3

2. Equity Securities Offerings classified by type of offerings
million baht
             Type of offerings
Q1-2015
2015
Q1-2016
Local offerings



Initial Public Offering (IPO) 
9,075
38,771
1,356
Public Offering*
38,758
111,894
12,769
Foreign offerings
-
-
-
Total
47,833
150,665
14,125
*  Stock Exchange of Thailand (not include Stock Dividend)
3. Debt Securities Offerings               
                      million baht
Type of Offerings
Q1-2015
2015
Q1-2016
Domestic offerings*



- Short-term debt securities
                   527,300.71
         2,090,180.69
350,109.16
- Long-term debt securities
                      113,945.00
            590,430.56
81,634.41
Overseas offerings
                        23,630.23
              44,161.20
-
Total
                   664,875.95
         2,724,772.45
431,743.56
* By both local and foreign issuers  
**As of February 29, 2016

4.  Derivative Warrants Offerings             
                                                                                                                                                                   series

Q1-2015
2015
Q1-2016
Total
408
1,598
513





5. Asset management business


As of Q1/2015
As of Q4/2015
As of Q1/2016
Mutual funds



- No. of funds
1,424
1,329
1,341***
- NAV (million baht)
3,275,952
3,469,168
3,548,944***
Property funds (Type I-IV Funds)



- No. of funds
105*
79
79**
- NAV (million baht)
396,006*
368,954
368,954**
Infrastructure funds



- No. of funds
4
5
5**
- NAV (million baht)
198,711
221,532
221,532**
Private funds



- No. of funds
3,199
3,602
3,588***
- NAV (million baht)
542,579
630,084
652,316***
Provident funds
- No. of funds
- NAV (million baht)

414
851,456

412
883,493

409***
890,873***
*As of December 2014 / **As of December 2015 / ***As of February 2016
6. Employees’ choices*


Q1-2015
2015
Q1-2016*
Number of master fund (fund)
163
162
162
Number of employees’ choices (person)
5,641
6,151
6,151
*Latest data is as of Q4/2015
7. Tender offers                                                       

Q1-2015
2015
Q1-2016*
For business takeovers
Tender offer value (million baht)
Acquired share value (million baht)
No. of cases

3
0
1

49,847
42,507
8

2,163
467
3
For delisting
Tender offer value (million baht)
Acquired share value (million baht)
No. of cases

4,153
3,401
1

4,153
3,401
1

3,041
2,419
1
Total
Tender offer value (million baht)
Acquired share value (million baht)
No. of cases

4,156
3,401
2

54,000
45,908
9

5,204
2,886
4
* Data of the companies whose tender offer period ended in the first quarter.  There are additional 3 companies whose tender offer period have started and will end in the second quarter.  
They are (1) Samaggi Insurance Pcl., (2) Thai Carbon Black Pcl., (3) Big C Supercenter Pcl.
8. Tender offer waivers
                                                unit: case

Q1-2015
2015
Q1-2016
Granted waivers
3
15
4
  1. No changes in control
  2. Rehabilitation
  3. White wash
  4. Others
0
2
1
0
10
2
2
1
3
0
1
0
Waivers of procedures in making tender offer
0
1
0

9. Public complaints
                                                          unit: case

Q1-2015
2015
Q1-2016
Subjects of complaints



    - Unfair activities (price manipulation, rumor release, inside trading)
5
18
8
     - Unlicensed business undertaking
18
58
5
     - Conduct of investment consultant
6
15
1
Total
29
91
14
Closed or forwarded cases
14
84
10

10. Enforcement   
• Administrative sanctions and others
                                                                                     unit: case   
Type of approved persons
Probation/Publicizing
Suspension
Revocation

Q1-2015
2016
Q1-2016
Q1-2015
2015
Q1-2016
Q1-2015
2015
Q1-2016
Investor consultants
-
-
-
12
38*
-
-
3
-
Auditors
-


-


-


FA supervisors



1





Financial advisor supervisor
-


1


1


Fund managers
-


-


-


Directors and Executives of securities companies
-
-
-
-
4
-
-
-
-
Total
-


14


1


* Within this number, there are two cases that were committed by the same investment consultant.                
                                                                                                                                                                                                                      
  • Criminal Sanctions
Settlement
No. of cases
No. of persons
Fine payment (baht)
Q1-2014
2014
Q1-2015
Q1-2014
2014
Q1-2015
Q1-2014
2014
Q1-2015
59
151
19
31
89
16
9,267,075.00
91,441,038.06
28,899,454.39

Criminal complaint
No. of cases
No. of persons
Q1-2015
2015
Q1-2016
Q1-2015
2015
Q1-2016
12
36
14
35
81
38


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