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Taking the competence test for financial investment intermediaries

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

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

  • Open financial investments
  • Closed financial assets
  • Investing assets

The exam consists of a written and a practical part. They must be filed one after the other. In the written part of the examination, you must prove the necessary legal and technical knowledge, for example with regard to consumer rights and technical terms. In the practical part, you need to conduct a simulated customer consultation.

You do not have to meet any formal requirements to register for the exam, but for a successful participation you should prepare yourself intensively in terms of content.

The competence test for financial investment intermediaries corresponds in content to the competence test for fee-based financial investment advisors. If you have completed vocational training or a degree in banking and finance, this may be recognised instead of the proficiency test

Process flow

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

  • The Chamber of Industry and Commerce informs in good time before the examination about the details of the examination procedure, place and time
  • You first take part in the written examination
  • If you have passed the written exam, the practical exam will take place

After successful examination, you will receive a certificate of your expertise

Requirements

No special requirements

Which documents are required?

Official photo ID for identification during the examination

What are the fees?

There are costs. The exact amount can be found in the fee schedule of the local IHK.

What deadlines do I have to pay attention to?

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

Processing duration

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

Applications / forms

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

Appeal

- Objection

Technically approved by

Association of German Chambers of Industry and Commerce

Source: Serviceportal Niedersachsen (Linie6PLus)

Further Links

Single points of contact of the state of Lower Saxony, Single points of contact of the countries of Europe, advice and assistance for EU citizens and their families.