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Source: BUS Sachsen-Anhalt (Linie6PLus)

Foreign Financial Investment Intermediaries and Financial Investment Advisors Advertisement

Description

As a financial investment intermediary and advisor, you need a permit in Germany. If you only want to work temporarily as a financial investment intermediary, a prior written notification to the competent authority is sufficient. However, this only applies to EU or EEA citizens.

The granting of the permit is automatically entered in the register of intermediaries. After you have received the permit, you must register your business before starting your activity.

County or county-level city

  • You are a citizen of a member state of the EU or a state party to the Agreement on the European Economic Area
  • You have a lawful establishment for the purpose of carrying out the activity of financial investment intermediary in one of those States
  • Proof of nationality (e.B. by identity card or passport)
  • Proof of lawful establishment for the exercise of financial investment intermediary activity in a Member State of the EU or a State Party to the Agreement on the European Economic Area
  • Proof that the exercise of these activities is not prohibited, even temporarily
  • Proof that there is no criminal record
  • documents from the State of establishment proving that there is good repute for the pursuit of the financial investment intermediary business,
  • proof of your professional qualification, if the activity of financial investment intermediary is also linked to the possession of certain professional qualifications in the State of establishment,
  • otherwise, proof that you have exercised a financial investment intermediary business in the State of establishment for at least two years in the previous ten years,
  • Proof of insurance cover or any other type of individual or collective protection in relation to professional liability.

If you are a trader from a member state of the EU or an EEA member state, you can use documents from your country of origin that prove that you meet the requirements for the reliability and orderly financial circumstances of a trader.

Fees apply. These result from the fee rate of the competent authority and are determined by it. Please contact the competent authority.

The permit is valid throughout Germany. It can be limited to one or more categories. Under certain conditions, the competent authority may revoke a permit.

The text was automatically translated based on the German content.

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