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Sachkundeprüfung für Finanzanlagenvermittler Bescheinigung

Hamburg • 99050100022000 • Typ 2/3

Leistungsschlüssel

99050100022000

Leistungsbezeichnung

<div lang="en-x-mtfrom-de">Competence test for financial investment brokers certificate</div>

Leistungsbezeichnung II

<div lang="en-x-mtfrom-de">Pass the specialist examination for financial investment brokers</div>

Leistungstypisierung

Typ 2/3

Begriffe im Kontext

<div lang="en-x-mtfrom-de">closed funds</div> (Synonym), <div lang="en-x-mtfrom-de">Investment</div> (Synonym), <div lang="en-x-mtfrom-de">Sell financial assets</div> (Synonym), <div lang="en-x-mtfrom-de">Capital investments</div> (Synonym), <div lang="en-x-mtfrom-de">Broker capital investments</div> (Synonym), <div lang="en-x-mtfrom-de">Open funds</div> (Synonym)

Leistungstyp

nicht vorhanden

SDG Informationsbereiche

nicht vorhanden

Lagen Portalverbund

nicht vorhanden

Einheitlicher Ansprechpartner

Nein

Fachlich freigegeben am

30.11.2021

Fachlich freigegeben durch

nicht vorhanden

Handlungsgrundlage


§ 34f Paragraph 2 No. 4 Industrial Code (GewO)
§ 1 Financial Investment Mediation Ordinance (FinVermV)

Teaser

In order to obtain permission as a fee-based financial investment advisor, you must provide evidence of the required expertise.

Volltext

If you want to broker financial investments on a commercial basis for a commission from the issuer, you must provide evidence of your expertise in order to obtain permission. You can do this by taking the exam at the IHK.
Depending on the product category, the test is divided into three areas:
  • Open financial investments
  • Closed financial investments
  • investment
The exam consists of a written and a practical part. They must be placed one after the other. In the written part of the exam, you must demonstrate the necessary legal and technical knowledge, for example with regard to consumer rights and technical terms. In the practical part you have to carry out a simulated customer consultation.
You do not have to meet any formal requirements in order to register for the exam, but you should prepare yourself intensively in terms of content for successful participation.
The content of the proficiency test for financial investment brokers corresponds to that of the proficiency test for fee-based financial investment advisors. If you have completed vocational training or a degree in banking and finance, this may be recognized instead of the proficiency test

Erforderliche Unterlagen

Official photo ID for identification during the exam

Voraussetzungen

No special requirements

Kosten

There will be charges. Please call to inquire about the fee.

Verfahrensablauf

You can only take part in an exam after registering in advance.
  • The Chamber of Industry and Commerce will inform you in good time before the exam about the details of the exam procedure, place and time
  • First you take the written exam
  • If you have passed the written test, you will take the practical test
After a successful examination, you will receive a certificate of your expertise

Bearbeitungsdauer

You will normally receive the certificate within a few days of passing the exam.

Frist

Please note the registration deadlines of the Hamburg Chamber of Commerce.
Proven expertise is valid for life

Weiterführende Informationen

Hinweise

no

Rechtsbehelf

contradiction

Kurztext

  • Competence test for financial investment brokers certificate
  • Required exam for license as a financial investment broker
  • Oral and written exam
  • Exemption from the practical part of the examination is possible under certain conditions
  • If you fail, you can repeat the exam
  • Responsible: Chamber of Industry and Commerce (IHK)

Ansprechpunkt

nicht vorhanden

Zuständige Stelle

Authority for Economy and Innovation

Formulare

nicht vorhanden

Ursprungsportal