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Take the examination for financial investment intermediaries


If you wish to broker financial investments on a commercial basis in return for a commission from the issuer, you must prove your expertise in order to obtain the permit. You can do this by taking the examination at the IHK.

Depending on the product category, the examination is divided into three areas:

  • Open financial investments
  • Closed financial investments
  • Asset investments

The examination consists of a written and a practical part. They must be taken one after the other. In the written part of the examination, you must demonstrate the necessary legal and technical knowledge, for example with regard to consumer rights and technical terms. In the practical part you have to conduct a simulated customer advisory discussion.

You do not have to fulfil any formal requirements in order to register for the examination, but you should prepare yourself intensively in terms of content in order to participate successfully.

The content of the examination for financial investment brokers corresponds to that of the examination for fee-based financial investment advisors.If you have completed vocational training or a degree in banking and finance, this may be recognised in lieu of the examination.

You can only take part in an examination after prior registration.

  • The IHK will inform you in good time before the examination about the details of the examination procedure, place and time.
  • You first take the written examination
  • If you have passed the written examination, the practical examination takes place.

After successful completion of the examination, you will be issued with a certificate of competence.

No special requirements

Official photo ID for identification during the examination

Costs will be incurred. The exact amount can be found in the fee schedule of the local IHK.

  • Please note the registration deadlines of your local IHK.
  • Proven expertise is valid for life

You will normally receive the certificate within a few days of passing the exam.

  • Registration form according to the requirements of the IHK
  • Online procedure: no
  • Written form requirement: no
  • Personal appearance required: yes, for the examination

- discrepancy

Association of German Chambers of Commerce and Industry

22.10.2020

Source: Serviceportal Niedersachsen (Portalverbund des Bundes und der Länder)