327479
99050091005000
326285

Financial investment broker - permit at the location Ordnungsamt - Gewerbeangelegenheiten Fröbelstraße Haus 6

Berlin.de map
 Larger map

Current information on this location

Ab 24.06.2019 ist am Standort Prenzlauer Berg für mehrere Monate keine Bargeldzahlung mehr möglich. Zahlungen sind dann nur noch mittels EC Karte durchzuführen.

Opening hours

Monday
09:00-13:00 Uhr Annahmeschluss 12.30 Uhr
Tuesday
09:00-13:00 Uhr Annahmeschluss 12.30 Uhr
Wednesday
geschlossen
Thursday
13:00-18:00 Uhr Annahmeschluss 17.30 Uhr
Friday
geschlossen

Changes in opening hours

Wegen umfangreicher Arbeiten am Bewacherregister entfallen die Sprechzeiten im Pankower Ordnungsamt, Bereich Gewerbeangelegenheiten, Fröbelstraße 17, 10405 Berlin, vom 2. bis 6. September 2019.

Payment options

Girocard
Payment only by debit card (Girocard) (with PIN) at this location.

Financial investment broker - permit

Anyone who intends to arrange for brokerage of financial investment products such as

  • shares or stocks of domestic open-end investment funds, open-end EU investment products or foreign open-end investment products that are approved for sales pursuant to capital investment legislation,
  • shares or stocks of domestic closed-end investment funds, closed-end EU investment products or foreign closed-end investment products that are approved for sales pursuant to capital investment legislation,
  • asset investments within the scope of the Asset Investment Act
  • investment brokerage in the sense of the Banking Act (including participation loans, subordinated loans and crowd funding),

on a commercial basis, requires permission from the competent authority (financial investment broker).

Staff members of financial investment brokers, who perform tasks in the area of financial investment brokerage and consultation, must also be registered in the Register of Financial Investment Brokers.
The CCI Berlin is in charge of registrations for companies based in Berlin.

Intermediaries, who perform financial brokering activities solely as a service for providers or issuers of asset investments in the sense of the Asset Investment Act or of closed-end alternative investment funds in the sense of capital investment legislation are exempt from the licensing obligation. They are registered in a public register kept by the Federal Financial Supervisory Authority (BaFin) (register of contractually bound brokers).

In the case of business partnerships (e. g. GbR, OHG, KG), each managing partners is considered a business person. In the case of legal entities (GmbH, UG or AG) permission is granted to the company.

Online processing

Service provided online

Prerequisites

  • Personal reliability
    Reliability is verified based on various documents. The applicant must submit an excerpt from the Federal Central Criminal Register (certificate of good conduct) and an excerpt from the Commercial Central Register.
  • Orderly financial circumstances
    It is verified whether the applicant is in debt (of a private or public nature) or if there are any known insolvency proceedings.
  • Sufficient insurance cover
    Proof of professional insurance cover for the business.
  • Expertise
    Proof of successfully passed examination of competence before a CCI or a similar approved professional qualification.

Documents required

  • Personal document
    Identity card or other official identification document containing a photograph (not required for electronic applications).
    Residence permit, if the applicant is not an EU national
  • Certificate of good conduct
    Certificate of good conduct from the German Federal Central Criminal Register for presentation to an authority (certificate type 0).
    The certificate must be applied for in the municipality of residence (in the case of Berlin at any Citizens’ Office) for presentation to an authority. This means that it will be sent directly to the competent Public Order Office for the place of business. The certificates must be no older than three months.
    They can also be applied for with the Federal Office of Justice.
  • Excerpt from the Commercial Central Register, regarding a natural entity
    Statement from the Commercial Central Register for natural entities, for presentation to an authority (certificate type 9).
    The certificate must be applied for in the municipality of residence (in the case of Berlin at any Citizens’ Office) for presentation to an authority. This means that it will be sent directly to the competent Public Order Office for the place of business. The certificates must be no older than three months.
    They can also be applied for with the Federal Office of Justice.
  • Excerpt from the Commercial Central Register, regarding a legal entity
    Statement from the Commercial Central Register for legal entities, for presentation to an authority (certificate type 9).
    The statement must be applied for with the competent Public Order Office for the place of business.
    They can also be applied for with the Federal Office of Justice.
  • Information from the record of debtors (central enforcement centre)
    Information regarding entries must be requested online from the central enforcement centre for the respective federal state.
  • Information from the insolvency register
    • Two certificates are required for initiating insolvency proceedings for natural persons who are residents of Berlin. The first certificate for consumer insolvency proceedings must be applied for with the local court responsible for your place of residence, and the second one for regular insolvency proceedings is available from the District Court Charlottenburg Amtsgerichtsplatz 1, 14057 Berlin.
    • The District Court Charlottenburg, Amtsgerichtsplatz 1, 14057 Berlin is responsible for insolvency proceedings for legal entities and private trade companies based in Berlin.
    • Applicants residing / operating outside of Berlin please inform themselves about the respective responsibilities of the insolvency courts via the central place and court directory.
  • Up to date excerpt from the Trade Register
    Registered companies are required to submit an up to date excerpt from the Trade Register when applying. Legal entities that are in the process of being established (GmbH, AG) are required to submit their partnership agreement or statutes.
  • Third-party financial loss insurance
    Confirmation from an insurance company that the financial investment broker has professional liability insurance cover.
    The confirmation must be no older than three months.
  • Proof of expertise
    Proof of CCI examination of competence or similar recognised professional qualification

Fees

  • EUR 500.00 for the first permission
  • EUR 250.00 for each additional permission applied for
  • EUR 1,000.00 is the maximum administrative charge

Average time to process request

1 month

Responsible authority

The application for approval must be submitted to the Public Order Office that is responsible for the place of business. If the place of business is not yet known, approval can also be applied for with the Public Order Office that is responsible for the applicant’s place of residence.