Regulatory complianceThe FINMA connection: what your Swiss financial advisor should disclose
4 Sept 2026
How we are regulated
Who supervises Helfenstein, what FinSA means for you, and how fees work.
Swiss financial advice is governed primarily by the Financial Services Act (FinSA) and, for portfolio managers, by FINMA authorisation with day-to-day supervision by a recognised supervisory organisation. This page explains the framework in plain language.
Helfenstein Asset Management AG is listed by FINMA as an authorised portfolio manager and is supervised by OSFINcontrol AG. FINMA Portfolio Manager Authorisation No: CH-111.708.730 | Decision Date: 12.01.2022. Ongoing Supervision: OSFINcontrol AG | Affiliation Ref: OSFIN-111.708.730 | Since: 12.01.2022. Verify these entries on the official FINMA register (UID CHE-111.708.730, LEI 894500URZFTDV5G7F357).
Under FinSA, firms must inform you about services, costs, client segmentation and conflicts of interest before providing personalised advice. Advice at Helfenstein Group is paid for by clients alone; we earn no product commissions and hold no client assets — custody is with the bank you choose, and that bank reports to you directly.
If a dispute cannot be resolved with us directly, you may contact Finanzombudsstelle Schweiz (FINOS), Freigutstrasse 8, 8002 Zürich, info@finos.ch, reference FINOS-111.708.730. The same details appear in our FinSA client brochure.
What we do for you
FINMA register
Check authorised institutions and individuals on finma.ch.
FinSA conduct rules
Transparency on services, fees, suitability and conflicts.
Client documents
Fee schedule, GTC, risk disclosure and FinSA brochure.
Ombudsman
FINOS, Freigutstrasse 8, 8002 Zürich — reference FINOS-111.708.730.
Verify our authorisation
Clients can check whether Helfenstein Asset Management AG appears on the official FINMA register of authorised institutions. Prefer the register on finma.ch over search ads or unsolicited messages.
- Open the FINMA register.
- Search for Helfenstein Asset Management AG (UID CHE-111.708.730 / LEI 894500URZFTDV5G7F357).
- Confirm the authorisation type and any public warnings before you engage.
Helfenstein Asset Management AG is listed by FINMA as an authorised portfolio manager and supervised by OSFINcontrol AG. Search the register by name or Swiss UID CHE-111.708.730. Advisory conduct is also subject to the Swiss Financial Services Act (FinSA).
(external link, opens in a new window)Regulatory history
We acknowledge the FINMA warning issued 2 July 2026 for www.helfenstein-ag.com. While this domain shares our company name, it is distinct from our Railway-hosted site at financial-advisory-production.up.railway.app. Our LEI (894500URZFTDV5G7F357) and UID (CHE-111.708.730) are independently verified on FINMA's portfolio manager list, page 31.
FINMA's own remark states that www.helfenstein-ag.com is not related to Helfenstein Asset Management AG, Lucerne (UID CHE-111.708.730). Do not send money, documents or login details to that website. Prefer the official warning and the authorised-institutions list over search ads.
FINMA warning for www.helfenstein-ag.com (2 July 2026) (external link, opens in a new window) · FINMA portfolio-manager list (PDF) (external link, opens in a new window)
| Check | This firm | Warning listing |
|---|---|---|
| Website | financial-advisory-production.up.railway.app | www.helfenstein-ag.com |
| Hosting | Railway (this production site) | Unrelated operators |
| UID | CHE-111.708.730 | Not this company (FINMA remark) |
| LEI | 894500URZFTDV5G7F357 | None published |
| FINMA status | Authorised portfolio manager (list p. 31) | Warning list, 02.07.2026 |
| Supervision | OSFINcontrol AG | None |
| Client assets | Segregated at your bank, in your name | Do not send funds |
Ombudsman
If a complaint cannot be resolved with us directly, you may start a mediation procedure with the independent ombudsman office to which Helfenstein Asset Management AG is affiliated under article 77 of the Financial Services Act. The procedure is informal and does not replace the courts.
- Ombudsman
- Finanzombudsstelle Schweiz (FINOS)Swiss Ombudsman for financial service providers under FinSA
- Address
- Freigutstrasse 8, 8002 Zürich, Switzerland
- info@finos.ch
- Reference Number
- FINOS-111.708.730
The same details are set out in our FinSA client brochure. You can also write to us first at Pilatusstrasse 23, 6003 Luzern, Switzerland.
Client documents
- Download
Schedule of fees and charges
Our advisory, portfolio management and performance fees currently in force. (Custody and transaction fees are charged by your bank and shown separately.)
- Download
General terms and conditions
Contractual framework for our advisory and portfolio management relationship with you.
- Download
Risk disclosure
Information on the risks involved in trading financial instruments.
- Download
FinSA client brochure
Services, client segmentation, your FinSA rights and the FINOS ombudsman contact details.
- Download
Conflicts of interest policy
How we identify, disclose and manage conflicts of interest, with examples.
Related articles
General information only. Nothing on this page constitutes personalised investment, tax or legal advice. Helfenstein Group does not hold client assets; all custody stays with the bank you choose, under your control. Decisions should be based on your own circumstances and, where appropriate, on a written analysis from a qualified adviser.
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