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Capital Market Statistics Highlights (as of 2nd Quarter, 2016): SEC Office

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1. Approval for Equity Securities Offerings
                                                                                                                                 unit: company
Type of Offerings
Q2-2015
H1-2015
2015
Q2-2016
H1-2016
Initial public offerings (IPO) – stocks
7
12
34
5
8
Initial public offerings (IPO) – warrants
-
-
-
-
-
Public offerings (PO) – stocks
-
-
1
-
-
Public offerings (PO) – warrants
-
1
1
-
-
Total
7
13
36
5
8
Note: *primary data

2. Equity Securities Offerings classified by type of offerings
million baht
             Type of offerings
H1-2015
2015
H1-2016
Local offerings



Initial Public Offering (IPO) 
20,424
38,771
2,403
Public Offering*
88,333
111,894
87,051
Foreign offerings
-
-
-
Total
108,757
150,665
89,454
Note: *Stock Exchange of Thailand (not include stock dividend)

3. Debt Securities Offerings               
                                    million baht
Type of Offerings
Q2-2015
H1-2015
2015
Q2-2016*
H1-2016*
Domestic offerings**
420,297.25
1,061,042.96
2,680,611.25
             457,515.98
 1,197,082.14
- Short-term debt securities
    331,370.50
       858,171.21
         2,090,180.69
             337,664.59
     915,098.15
- Long-term debt securities
     88,926.75
       202,871.75
            590,430.56
             119,851.39
     281,983.99
Overseas offerings
     17,459.31
         41,089.54
              44,161.20
               10,737.00
       15,530.92
Total
    437,756.55
    1,102,132.50
         2,724,772.45
             468,252.98
1,212,613.06
Note: *As of May 31st 2016, **By both local and foreign issuers

4.  Derivative Warrants Offerings
                                                                                                                                             series

Q2-2015
H1-2015
2015
Q2-2016
H1-2016
Total
466
874
1,598
439
952

5. Asset management business

Type
As of Q2/2015
As of Q4/2015
As of Q2/2016
Mutual funds



- No. of funds
1,353
1,329
1,354***
- NAV (million baht)
3,447,208
3,469,168
3,753,365***
Property funds (Type I-IV Funds)



- No. of funds
101
79
79*
- NAV (million baht)
386,013
369,450
369,450*
Infrastructure funds



- No. of funds
4
5
5**
- NAV (million baht)
199,285
221,532
235,100**
Private funds



- No. of funds
3,433
3,546
3,666***
- NAV (million baht)
538,646
601,858
725,077***
Provident funds
- No. of funds
- NAV (million baht)

419
801,348

412
883,493

408***
924,722***
Note:    *As of the end of December 2015
    **As of the end of March 2016  
    ***As of the end of May 2016

6. Employees’ choices*

Q2-2015
H1-2015
2015
Q2-2016
Number of master fund (fund)
164
164
162
159
Number of employees’ choices (person)
5,716
5,716
6,151
6,394

7. Tender offers                                                       

Q2-2015
H1-2015
2015
Q2-2016
H1-2016
For business takeovers
Tender offer value (million baht)
Acquired share value (million baht)
No. of cases

45,646
42,196
3

45,649
42,196
4

49,847
42,507
8

91,168
82,388
2

93,331
82,855
5
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

413
321
1

3,453
2,740
2
Total
Tender offer value (million baht)
Acquired share value (million baht)
No. of cases

45,646
42,196
3

49,802
45,597
5

54,000
45,908
9

91,581
82,709
3

96,784
85,595
7

8. Tender offer waivers
                                                                       unit: case

Q2-2015
H1-2015
2015
Q2-2016
H1-2016
Granted waivers
2
5
15
4
8
  1. No changes in control
  2. Rehabilitation
  3. White wash
  4. Others
2
0
0
0
2
2
1
0
10
2
2
1
4
0
0
0
7
0
1
0
Waivers of procedures in making tender offer
1
1
1
1
1

9. Public complaints
                                                                         unit: case

Q2-2015
H1-2015
2015
Q2-2016
H1-2016
Subjects of complaints





    - Unfair activities (price manipulation, rumor release, inside trading)
7
13
18
5
11
     - Unlicensed business undertaking
20
35
55
4
9
     - Conduct of investment consultant
4
14
21
-
1
Total
31
62
94
9
21
Closed or forwarded cases
7
8
16
5
12

10. Enforcement   
• Administrative sanctions and others
                                                                   unit: person   
Type of approved persons
Suspension
Revocation

Q2-2015
H1-2015
2015
Q2-2016
H1-2016
Q2-2015
H1-2015
2015
Q2-2016
H1-2016
Investment consultants
19
31*
38*
-
1
2
2
3
9
9
Auditors
-
-
-
-
-
-
-
-
-
-
Financial advisor supervisor
-
1
-
1
1
-
-
-
-
-
FA supervisors
-
1
-
1
1
-
-
-
-
-
Fund managers
-
-
-
-
-
-
-
-
-
-
Executives of  fund management/ securities companies
2
2
4
-
-
-
-
-
1**
2**
Total
21
35
42
2
3
2
2
3
10
11
Note     *including sanctions on investment consultants who committed multiple misconducts
**There is one executive of a securities company who also held an approved investment consultant, however, his revocation is listed in this category only.
                                                                                                                                                                                                          
  • Criminal Sanctions
Settlement
No. of cases
No. of persons
Fine payment (baht)
Q2-2015
H1-2015
2015
Q2-2016
H1-2016
Q2-2015
H1-2015
2015
Q2-2016
H1-2016
Q2-2015
H1-2015
2015
Q2-2016
H1-2016
47
106
151
16
35
20
51
89
15
31
24,903,269.62
34,170,344.62
91,441,038.06
463,638,324.95
492,544,079.34

Criminal complaints
No. of cases
No. of persons
Q2-2015
H1-2015
2015
Q2-2016
H1-2016
Q2-2015
H1-2015
2015
Q2-2016
H1-2016
2
14
36
2
16
5
40
81
6
44
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