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.
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.
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