NISM Series 12 Securities Markets Foundation Certification Exam Notes
Page 4 Of 93
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Asset Management Companies: AMCs manage pooled investments, such as mutual funds, for a fee.
Portfolio Managers: Portfolio managers manage individual portfolios without pooling funds, charging fees for tailored investment services.
Merchant Bankers: Merchant bankers manage issue processes, including structuring, pricing, and listing securities.
Underwriters: Underwriters guarantee to buy unsold securities in an issue, reducing issuer risk.
Stock Brokers: Brokers execute buy/sell transactions on stock exchanges, earning commissions.
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