License Roof

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WpIG Licenses for Tied Agents:
  • Investment Broking
  • Investment Advice
  • Placement Business
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Transparent Compensation Model
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Free of Back-Office Work
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No Sales Specifications or Targets
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More Time for Customer Services & Acquisitions
5
Legal Protection

Teresa Pirkl | Managing Director

Why do you need a license roof?

Anyone wishing to conduct banking business or provide financial services in Germany requires a licence from the Federal Financial Supervisory Authority (BaFin) in accordance with §15 Wertpapierinstitutsgesetz (WpIG).

The cost of acquiring and obtaining a licence is high and involves an equally high administrative effort.

However, those who provide financial services under a license roof do not need to have their own licence.

How does it work?

Under the liability umbrella of CM-Equity AG, you may provide financial services in the form of investment brokerage, investment advice and placement business without your own WpIG licence.

You work under our licence and do not need your own licence according to § 15 WpIG.

You work independently on your own account and offer your customers products tailored to their needs and a bank-independent service.

We offer you a legal framework with your own compliance and liability umbrella.

You are thus optimally protected in all regulatory matters.

We take over your administrative tasks

CM-Equity AG takes over all administrative tasks. From contractual processing to customer reporting, registration with BaFin and entry in the public register.

This frees you from administrative tasks and gives you more time to look after your customers.

Legal protection for you and your clients

We provide you with a MiFid II-compliant, legally secure and stable platform for processing all your transactions.

We check compliance with supervisory requirements and legal obligations and inform you continuously and in good time about changes in the law.

In addition, you will receive regular training on legal requirements (e.g. GWG, WpHg, DSGVO, MiFid II) and courses on investment topics.

This minimizes your effort for the fulfillment of legal obligations and you meet all legal requirements.

Your personal insurance cover

The CM-Equity AG offers a liability insurance for financial loss under which you can be included on request.

Transparent remuneration models

We offer a transparent fee and commission model as well as individual solutions according to your requirements.

Additionally

If desired, you can use a workplace in the heart of Munich at Marienplatz, our modern offices for customer meetings or presentations as well as brochures, business cards, doorplates, stamps or logos.

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