Complaint Procedures
Piper Sandler is committed to providing the highest quality service to all its clients, but we recognize that there will be circumstances that present an opportunity for improvement. If we do not meet your expectations or fulfill our promises, you may wish to make a complaint. Our complaints procedure is set out below.
Definition of a complaint
For the purpose of MiFID requirements on complaints procedures, a complaint is any expression of dissatisfaction, whether oral or written, and whether justified or not, that a client or a potential client address to Piper Sandler Europe in relation to an investment service or an ancillary investment service provided by it.
How to make a complaint
Please note requests for information, advice or clarification should be directed to the employee that you are in contact with.
If you are dissatisfied and wish to complain about the service provided by Piper Sandler Europe please contact us by e-mail, phone or letter using the details below:
- Mail: Compliance Officer, Piper Sandler Europe SAS, 10 place Vendôme, 75001 Paris
- Phone: +33 1 85 65 27 42
- Email: PJL Complaint Handling
All complaints should contain sufficient detail such as dates, names, circumstances, amounts, etc., required to allow the complaint to be fully investigated.
Please note that telephone conversations may be recorded. Copies of telephone recordings and communications are available on request for a period of five years and, where requested by the AMF and/or the ACPR, for a period of up to seven years.
What we will do once we have received your complaint
Wherever possible we will seek to investigate and resolve the complaint promptly. The compliance officer will review the complaint with appropriate members of senior management and determine how best to deal with the complaint. Any such investigation will be competently, diligently and impartially carried out.
We will provide you with an acknowledgement letter within 10 working days of receipt of your complaint. We will keep you informed of progress and may ask you to provide further information to assist us in the investigation of the complaint.
Investigating and resolving your complaint
We will try to resolve your complaint within 60 calendar days of the date of receipt of it, but, if this is not possible, we will write to you to explain the delay and when we expect to be able to complete the investigation.
Once our investigation is complete, we will send you a Final Resolution Letter. This will set out our assessment of the complaint and our response to it, including any remedial action or offer of redress, where appropriate. We will also provide you with information on your rights to appeal if you remain dissatisfied.
Closing complaints
We will regard your complaint as closed in the following circumstances:
- once we have sent you a final response; or
- where you have told us in writing that you accept an earlier response that we have sent to you; or
- if you refer your complaint to either the mediator at the Fédération Bancaire Française or to the mediator of the Autorité des Marchés Financiers, when they will inform us in writing that the complaint has been closed.
Questions
If you have any questions about our complaints process, please contact us at PJL Complaint Handling or via the mail address listed, we are always happy to assist.