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Apply for a permit for financial service providers

The Federal Financial Supervisory Authority (BaFin) may grant permission subject to conditions. The authorisation may also be limited to individual financial services and entails ongoing supervision by the authority of the financial service provider.

You need permission for the following financial services:

  • investment brokerage,
  • investment advice,
  • the operation of a multilateral trading facility,
  • the placement business,
  • the operation of an organised trading system,
  • the placement of degrees,
  • Financial portfolio management
  • proprietary trading,
  • the brokerage of deposits in third countries,
  • the crypto custody business,
  • the variety business,
  • factoring,
  • finance leasing,
  • investment management and
  • limited custody business.

You also need the written permission of BaFin if you

  • in addition to banking transactions or financial services, they also want to conduct their own business, i.e. they want to purchase or sell financial instruments for their own account.

Note: All securities trading companies are obliged to secure their liabilities from securities transactions by belonging to the Compensation Scheme of Securities Trading Companies (EdW). The contribution depends on the scope of the business activity.

For other financial services, a permit according to the Trade Code may be required. Please check which permit is required for your business before applying.

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

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