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 |