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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 deposits
  • Closed financial assets
  • Investment of 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

Source: Serviceportal Niedersachsen (Linie6PLus)

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