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Vermittlung und Beratung von Finanzanlagen Erlaubnis

Niedersachsen 99050091001000, 99050091001000 Typ 2/3

Inhalt

Leistungsschlüssel

99050091001000, 99050091001000

Leistungsbezeichnung

Brokerage and advice on financial investments Authorisation

Leistungsbezeichnung II

nicht vorhanden

Leistungstypisierung

Typ 2/3

Begriffe im Kontext

nicht vorhanden

Leistungstyp

Leistungsobjekt mit Verrichtung

Leistungsgruppierung

Gewerbe (050)

Verrichtungskennung

Erlaubnis (005)

SDG Informationsbereiche

  • Gründung, Führung und Schließung eines Unternehmens

Lagen Portalverbund

  • Anmeldepflichten (2010100)
  • Erlaubnisse und Genehmigungen (2010400)

Einheitlicher Ansprechpartner

Nein

Fachlich freigegeben am

24.02.2021

Fachlich freigegeben durch

Lower Saxony Ministry of Economic Affairs, Labour, Transport and Digitalisation

Teaser

nicht vorhanden

Volltext

  • If youwant to workas a financial investment broker or financial investment advisor, you needa licence
  • Authorisation may be granted to a natural or legal person
  • Responsible: depending on the federal state, the Chamber of Industry and Commerce, trade authoritiesor districts / independent cities

Erforderliche Unterlagen

  • Proof of personalreliability:
    • Certificate of good conductand information from the Central Trade Register
  • Proof of ordered assets:
  • Information from the insolvency court as to whether the proceedingshave been opened (so-called negative certificate)
  • Extract from the list of debtors of the Central Enforcement Court
  • Proof of an existing financiallossLiability insurance (certificate in sample wording)
  • Certificate of competence (Chamber of Industry and Commerce) certificate of proficiency orproof of equivalent professional qualification, see also furtherinformation)
  • In the case of legal entities and commercial partnerships: extract from the commercial register from the country in which the company's main registered office is located
  • If necessary. Translationof the (foreign-language) excerpt from the commercial register

Voraussetzungen

  • Thereliability required for the business, i.e. You have not been convicted of fraud or other crimes in the last 5 years
  • orderly assetrelations, i.e. You are not in personal insolvency or are registered in the register of debtors
  • Professional indemnity insurance with a minimum coverage of 1,130,000.00 euros foreach insured event and 1,700,000.00 euros forall insurance casesin a total year.
  • Expertise through a passed IHK examor equivalent training qualificationsand possiblycorresponding professional experience

Verfahrensablauf

You send the application for permission with all supporting documents to the relevantauthority.

  • On the basis of your information and documents, the authoritywill check whether the legal requirements for granting a licence have been met
  • If you meet the requirements, you will receive permission in writing by mail

If you have not already applied for entry in the register of intermediaries together with the licence, you muststill be entered in the register of intermediaries before youtake action.

Bearbeitungsdauer

As soon as all documentsare complete, the processing takes place within several weeks.

Frist

None

Weiterführende Informationen

nicht vorhanden

Hinweise

Intermediaries within the meaning of Section 2 (1) No. 10 of the German Banking Act (KWG) are exempt from the authorisation requirement. They are entered in a publicregister maintained by the Federal Financial Supervisory Authority (BaFin).

Rechtsbehelf

If the addressee (usually the applicant) has legal doubts or concerns about the decision on the permit or the details of it, these can be reviewed by way of an action for commitment or rescission before the competent administrative court, depending on their legal nature.

In Lower Saxony, a preliminary procedure is not provided for by § 80 of the Lower Saxony Justice Act. Therefore, no objection is admissible, but rather an administrative court action must be brought directly.

Kurztext

If you want to work commercially as a financial investment broker or financial investment advisor, you need a permit

Ansprechpunkt

The responsibility lies with the Chamber of Industry and Commerce (IHK), in whose territory the business is located.

This procedure can also be carried out through a "Point of Single Contact". The "Point of Single Contact" is a special service offered by the municipalities and the state for service providers.

Zuständige Stelle

The chambers are responsible.

Formulare

  • Forms:
    Application for a licence as a financial investment intermediary (use is recommended)
  • Online procedure possible if necessary
  • Written form required: no
  • Personal appearance required: no