Regulation
Supervised by FINMA since 2016
Helvetia Markets AG is authorised as a securities firm by the Swiss Financial Market Supervisory Authority.
- Legal entity
- Helvetia Markets AG
- Licence number
- CH-020.3.041.882-6
- Category
- Securities firm
- Authorised since
- 11 March 2016
What supervision means
A licence is not a badge, it is a set of continuing obligations
Swiss supervision covers capital, conduct, client asset handling and reporting. It is reviewed continuously, not once at launch.
The six obligations opposite are the ones that change what you experience as a client: how your money is held, how orders are handled and who checks our work.
Capital adequacy
Regulatory capital held above the required minimum, with the position reported to FINMA quarterly.
Client asset segregation
Client money sits in segregated accounts at Swiss custodian banks, reconciled every business day.
Best execution
A documented execution policy, reviewed annually, with statistics published every month.
Conduct and suitability
Appropriateness testing at onboarding and ongoing monitoring of leverage usage.
AML and KYC
Identity verification, source-of-funds checks and continuous transaction monitoring.
Independent audit
Annual audit by a FINMA-recognised firm covering financial and regulatory compliance.
Client protection
What actually protects your balance
Four mechanics that apply to every account, from CHF 500 to institutional mandates.
- Your cash is not our cash
- Client balances are held in segregated accounts in the name of clients, outside the firm's balance sheet, and cannot be used for our own funding.
- Daily reconciliation
- Positions and balances are reconciled against custodian and venue records every business day, with breaks escalated the same day.
- Defined complaints path
- Unresolved complaints can be escalated free of charge to a recognised Swiss ombudsman scheme after our internal process.
- Orderly wind-down plan
- A documented resolution plan sets out how client assets would be returned if the firm ceased operations.
Verify us
Never take a broker's word for its licence
The register is public, free and takes about a minute to check.
Open the FINMA register01
Open the register
Go to the FINMA public authorisation register for institutions.
02
Search the entity
Search for “Helvetia Markets AG”, domiciled in Zurich.
03
Check the entry
Confirm the category reads “Securities firm” and the status is active.
Regulatory notice
Authorisation by FINMA does not guarantee investment outcomes. Trading leveraged products carries a risk of loss that can exceed your initial deposit.
Full licence conditions, our execution policy and the complaints procedure are available on request from our compliance team.