Granting of permission as a commercial fee-based financial investment advisor

Permission shall be granted by the competent authority.

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

Related Links

  • § 34h Industrial Code (GewO)
  • § 34f Gewerbeordnung (GewO)

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

Last update or date of publication
06.02.2020