SEC Statistic Highlights (as of April 19

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
No changes in control Rehabilitation White wash 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