Expert examination for mediating and advising financial assets Certificate

After successfully passing an examination to prove the necessary expertise of financial intermediaries and financial asset advisors before the competent body, the latter then issues a certificate.

If necessary, identity card or passport


The expert examination for financial asset intermediaries and the employees directly involved in the consultation and mediation includes a written and a practical part. The written part of the examination covers the contents: technical knowledge in the following areas, in particular with regard to legal bases and tax treatment: Advice and brokering of financial assets referred to in Section 34f paragraph 1 sentence 1 Of Trade Code (GewO) open investment assets within the meaning of Section 1 paragraph 4 of the Capital Investment Code (KAGB) and the possibilities of state support, closed investment assets within the meaning of Section 1 paragraph 5 of the German Civil Code (KAGB), Investments within the meaning of Section 1 (2) of the Asset Investment Act (VermAnlG). The written part of the examination may be limited to the individual categories of financial assets in accordance with Section 34f (1) sentence 1 No. 1, 2 or 3 GewO at the request of the investigator. The purpose of the investigator is to demonstrate, on the basis of practical tasks, that he or she has acquired the basic technical and legal knowledge and can apply it in practice. In the practical part of the test, one test specimen is tested. Here, the test subject is to prove that he or she has the skills to develop and offer customer-oriented solutions. The tasks are created in a uniform manner across the federal state and the test can be repeated as often as desired.

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Responsible for the content
Lower Saxony Ministry of Economy, Labour and Transport

Last update or date of publication
13.09.2018