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Granting of permission as a commercial fee-based financial investment advisor

Permission shall be granted by the competent authority.

Who should I contact?

Responsibility lies with the Chamber of Commerce and Industry.

Find your Point of Single Contact here

Which documents are required?

For the audit to obtain 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 debtor register of the central enforcement court,
  • if applicable, information from the insolvency court on the 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 charged according to the fee statutes of the competent authority.

What deadlines do I have to pay attention to?

Deadlines may have to be observed. Please contact the competent authority.

Author

List ID 848 (whitelist; Status: 06.02.2020)

The text was automatically translated based on the German content.

Technically approved by

Lower Saxony Ministry of Economic Affairs, Labour and Transport

Professionally released on

06.02.2020

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

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.