• Chip Lunde
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Chip Lunde

Chip Lunde



Chip Lunde counsels life insurance companies, investment companies, investment advisers, and broker-dealers on a wide variety of federal and state securities and insurance compliance and regulatory matters.

Chip focuses his practice on securities and insurance regulations governing the development, registration, distribution, and marketing of insurance, annuity, mutual fund, and other financial products. His experience includes advising issuers with respect to the creation of novel financial products and the status of insurance products as securities. He also advises financial services clients regarding the development and regulation of other pooled investment vehicles, including exchange-traded funds and stable value funds.

Chip's experience includes advising investment company boards, drafting and negotiating contracts between financial product issuers and their service providers, and preparing registration statements, proxy statements, no-action letters, and SEC exemptive applications. His experience also includes advising mutual funds with respect to credit agreements and derivatives regulatory matters.

Chip also advises on issues pertaining to the sales practices, market conduct, and other compliance issues affecting issuers and distributors of financial products. This includes advising financial services clients regarding suitability, best interest, fiduciary duty, and other standard of conduct obligations with respect to the distribution of securities and insurance products.

Chip also provides litigation and regulatory risk counseling on federal and state securities issues and state insurance issues as well as assisting on regulatory exams, investigations, and proceedings. This includes advising on issuer and distributor practices with respect to disclosure, suitability, replacements, marketing materials, claims practices, and unclaimed property.

Chip is the co-chair of the firm's Securities and Investment Companies Industry Group.

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Professional & Community Involvement

  • American Bar Association
  • Association of Life Insurance Counsel
  • Federal Bar Association
  • Insured Retirement Institute
    • Regulatory Affairs Committee

Speaking Engagements

  • "Compliance With New SEC Regulation Best Interest, Form CRS, and Investment Adviser Fiduciary Duty and 'Solely Incidental' Interpretations," ALI CLE Conference on Life Insurance Company Products, Washington, D.C. (November 6–8, 2019)
  • “The Evolving Variable Annuity Market,” IRI ACTION18 Conference, Washington, D.C. (May 9, 2018)
  • "SEC Registered Insurance Products: Recent Disclosure, Regulatory and Accounting Issues," ALI CLE Conference on Life Insurance Company Products, Washington, D.C. (November 2, 2017)
  • “Federal Regulatory Update,” Client Focus Forum, Baltimore, MD (October 2016)
  • “Federal Regulatory Update,” Client Focus Forum, Minneapolis, MN (February 2016)
  • “Federal Regulatory Update,” Client Focus Forum, Newport Beach, CA (October 2015)
  • “Cutting-Edge Insurance Product Designs and Regulatory Developments,” ALI CLE Conference on Life Insurance Company Products, Washington, D.C. (November 2014)
  • "The Evolving Variable Annuity Market," IRI Government, Legal & Regulatory Conference, Washington, D.C. (July 2014)
  • “Variable Insurance Products in an Era of De-Risking,” ALI CLE Conference on Life Insurance Company Products, Washington, D.C. (November 2012)
  • “Chutes & Ladders: The Continuing Quest for Suitability Guidance,” NAVA Compliance and Regulatory Affairs Conference (June 2008)


  • University of Texas at Austin School of Law (J.D., 1998)
  • University of North Carolina at Chapel Hill (B.A., with honors, 1993)
Bar Admissions
  • District of Columbia


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