Conflicts of interest


Conflicts of interest present a challenge in the financial services industry in which Piper Sandler participates. Financial services firms frequently act as intermediaries whether as a financial advisor, investment banker or in another capacity, and must manage competing interests in these situations. At Piper Sandler, we continually strive to avoid conflicts of interest where possible and otherwise to manage them as effectively as we can, first by identifying the conflict and then by eliminating it, disclosing it or mitigating it in some other way.

The variety of actual and potential conflicts of interest we face is significant, and changes as the markets and the industry evolve. Further, there is no "one-size-fits-all" approach to identifying or managing conflicts of interest. Each actual and potential conflict must be identified and then analyzed individually. This is on ongoing challenge, but one that we believe is essential to earning our clients’ trust.

From time to time, we may identify actual or potential conflicts of interest that we believe could benefit from some form of disclosure, including disclosure on this Web site. These disclosures and the discussions of particular issues may be updated, supplemented or modified from time to time, and we reserve the right to change our approach to any particular issue described and/or any related policies or procedures in our discretion and without prior notice.

Current conflicts of interest topics: