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
unit: case
Q2-2015
|
H1-2015
|
2015
|
Q2-2016
|
H1-2016
| |
Granted waivers
|
2
|
5
|
15
|
4
|
8
|
|
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
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
|