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

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
No changes in control Rehabilitation White wash 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