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
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.
They are (1) Samaggi Insurance Pcl., (2) Thai Carbon Black Pcl., (3) Big C Supercenter Pcl.
8. Tender offer waivers
unit: case
unit: case
Q1-2015
|
2015
|
Q1-2016
| |
Granted waivers
|
3
|
15
|
4
|
|
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
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
|