Peter Chan

Peter Chan brings more than two decades of experience at the US Securities and Exchange Commission (SEC) to his litigation, enforcement defense, and regulatory counseling practice. He represents corporations, financial services firms, investment advisers, broker- dealers, pension funds, audit firms, and senior executives in investigations, examinations, and enforcement actions by the SEC and other regulators, and advises clients on compliance, governance, and risk assessment matters.

Peter began his legal career as a corporate and securities associate at Baker McKenzie, where he worked under his Northwestern Law professor and mentor, former SEC Chair David Ruder, on complex securities law matters. He subsequently served for nearly 20 years in the SEC’s Division of Enforcement in the Chicago Regional Office, ultimately as Assistant Regional Director.

At the SEC, Peter led and supervised high-profile investigations and litigation involving public company disclosure and reporting, accounting and audit matters, insider trading, broker-dealer misconduct, investment fund fraud, pay-to-play schemes, and other violations of the federal securities laws. He served as Head of the SEC Chicago Office's Municipal Securities and Public Pensions Unit, overseeing enforcement matters involving municipal issuers, underwriters, and public pension funds throughout the Midwest.

Peter also held several national leadership roles within the SEC, including serving as the original architect and national leader of the Municipalities Continuing Disclosure Cooperation Initiative and as National Co-Chair of the Enforcement Priorities and Resources Subcommittee. He contributed to initiatives that led to the creation of the SEC’s Financial Reporting and Audit Task Force.

Peter was detailed as a Special Assistant United States Attorney in the Northern District of Illinois, working with criminal authorities on a securities fraud investigation that resulted in guilty pleas by senior executives of a Chicago broker-dealer.

In recognition of his service at the SEC, he received the SEC’s Paul R. Carey Award for exceptional personal commitment and effectiveness.

After leaving government service, Peter returned to private practice as a partner at another large firm before rejoining Baker McKenzie in 2019. He is a Trustee of the SEC Historical Society and serves on its Board of Trustees.