Licence as a professional fee-based financial investment advisor Grant
Anyone who wants to provide professional investment advice on financial investments without receiving a donation from a product provider or being dependent on him in any other way (fee-based financial investment advisor) requires permission.
Permission shall be granted by the competent authority.
Who should I contact?
The responsibility lies with the Chamber of Commerce and Industry.
Which documents are required?
For the examination to grant permission to act as a fee-based financial investment advisor, you must submit the following documents:
- Certificate of good conduct for submission to an authority,
- Extract from the Central Trade Register,
- if applicable, certificate in tax matters of the tax office,
- if applicable, clearance certificate from the municipal tax office,
- extract from the register of debtors of the central enforcement court,
- if applicable, information from the insolvency court on freedom from insolvency and on the rejection of the opening of proceedings for lack of assets,
- proof of professional indemnity insurance,
- proof of the required expertise and
- for legal entities and commercial partnerships: the extract from the commercial register
What are the fees?
Fees are payable in accordance with the fee regulations of the competent authority.
What deadlines do I have to pay attention to?
Deadlines may have to be observed. Please contact the competent authority.
Technically approved by
Lower Saxony Ministry of Economic Affairs, Labour and Transport
Professionally released on
List ID 848 (whitelist; Status: 06.02.2020)
The text was automatically translated based on the German content.