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
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§ 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