Documents and information

This section brings together the regulatory documents and client information relating to our services.

Client information

General terms and conditions, the schedule of fees and charges, and information on the risks involved in trading financial instruments are available for download below.

Financial services act

Information on our services, client segmentation, the handling of conflicts of interest and our affiliation with Finanzombudsstelle Schweiz (FINOS) is set out in the FinSA client brochure. Ombudsman reference FINOS-111.708.730; Freigutstrasse 8, 8002 Zürich, Switzerland; ; info@finos.ch; https://www.finos.ch.

Company information

Helfenstein Asset Management AG (trading as Helfenstein Group) publishes regulatory and client information on this website. The company is an independent, fee-only adviser and FINMA-authorised portfolio manager (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); it does not hold client assets.

Commercial Register Extract available upon request | Registry Court: Luzern | UID: CHE-111.708.730

Company identity CH-100.3.028.191-4. View the current record on Zefix (https://www.zefix.ch/en/search/entity/list?name=Helfenstein%20Asset%20Management%20AG) or request a certified extract from us or the Handelsregisteramt des Kantons Luzern.

Commercial register

Commercial Register Extract available upon request | Registry Court: Luzern | UID: CHE-111.708.730

Official extract (Handelsregisterauszug) from the Handelsregisteramt des Kantons Luzern. Company identity CH-100.3.028.191-4. The current public record is on Zefix, the federal commercial-register portal. A certified extract can be ordered there or requested from us.

View current record on ZefixUID register CHE-111.708.730Request official extract

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
Email
info@finos.ch
Website
www.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.

How we are regulated

Documents

  • 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.

    Download