Financial investment brokerage - Application for entry in the register of intermediaries
Service description
Traders pursuant to Section 34f (1) GewO are obliged to have themselves entered in the register pursuant to Section 11 (1) GewO immediately after commencing their activities via the authority responsible for granting the licence in accordance with the scope of the licence; the register authority must also be informed immediately of any changes to the information stored in the register.
Traders pursuant to Section 34f (1) GewO must also notify the persons directly involved in the provision of advice and brokerage within the meaning of Section 34f (4) GewO to the register authority immediately after commencing their activities and have them entered in the register. The register authority must be notified immediately of any changes to the information stored in the register.
Prerequisites
- Existence of the licence certificate according to § 34f GewO
Which documents are required?
- Licence certificate according to § 34f GewO
What fees are charged?
The licensing authority does not charge any additional fees for processing and forwarding applications to the register authority (IHK).
However, the register authority charges a fee for the registration process.
Applications / Forms
- Application: Entry in the register of intermediaries - legal entity (pdf)
- Application: Entry in the register of intermediaries - natural person (pdf)
- Application: Grant of a licence pursuant to Section 34f (1) of the Trade, Commerce and Industry Regulation Act - legal entity (pdf)
- Application: Grant of a licence pursuant to Section 34f (1) of the Trade, Commerce and Industry Regulation Act - natural person (pdf)
- Negative declaration in accordance with Section 24 of the Financial Investment Brokerage Ordinance (pdf)