Business Ethics & Professional Integrity

At Piper Sandler, all employees share the responsibility to conduct ourselves with integrity and place our clients' interests first by making decisions that follow our Guiding Principles. The firm’s Code of Ethics & Business Conduct outlines policies and practices related to the appropriate behaviors, internal compliance programs, whistleblower reporting, and other relevant information. All officers, employees, consultants, and contractors providing services to Piper Sandler and our subsidiaries are required to comply with this code of ethics. Annual training and certification is required by all employees. Specific policies are broken out in more detail for employees to enforce professional integrity standards, including:

  • Anti-Bribery Policy
  • Anti-Money Laundering Policy
  • Compliance and Regulatory Manuals
  • Electronic Communications Policy
  • Employee Trading Policy
  • Gift and Entertainment Policy
  • Information Barriers Policy
  • Information Security Policy
  • Social Media Guidelines
  • Vendor Management Policy

Piper Sandler also has established policies and practices that support strong corporate governance and transparency in financial reporting including:

  • Complaint Procedures Regarding Accounting and Auditing Matters
  • Code of Ethics for Directors
  • Director Independence Standards