Pass the specialist examination for financial investment brokers

Prerequisites

No special requirements

Documents required

Official photo ID for identification during the exam

Please note

no

Deadlines

Please note the registration deadlines of the Hamburg Chamber of Commerce.


Proven expertise is valid for life

Procedure

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

Processing time

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

Fees

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

Legal remedies

contradiction

Legal basis

§ 34f Paragraph 2 No. 4 Industrial Code (GewO)


§ 1 Financial Investment Mediation Ordinance (FinVermV)

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