Faculty: W. Hardy Callcott

Hardy CallcottHardy Callcott is a partner in Sidley Austin LLP’s San Francisco office. His practice concentrates on enforcement defense and regulatory counseling concerning securities market and regulatory issues for broker-dealers, investment advisers, mutual funds and others in the financial services industry. He provides securities enforcement defense before the SEC, Department of Justice, FINRA and other SRO and state regulators for members of financial services industry, public companies and officers and directors. He also conducts internal investigations.

Hardy was ranked nationally in Chambers USA for Securities Financial Services Regulation 2008–2017 and included in The Best Lawyers in America 2007–2012 and 2014–2016 lists, chosen based on peer-reviewed surveys of U.S. lawyers. He was with Charles Schwab & Co. Inc., as senior vice president and general counsel. He served in the General Counsel’s Office of the SEC as assistant general counsel for Market Regulation (now Trading and Markets), and taught in the Securities LLM program at Georgetown University Law Center. After law school, Hardy clerked for the Hon. Mariana Pfaelzer in the U.S. District Court for the Central District of California. Additionally, Hardy is the Chairman of the SEC Historical Society.

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Details

When: Thursday, May 9, 2019
7:00 am - 8:15 am (breakfast & check-in)
8:15 am - 5:00 pm (followed by cocktail party)
Where: Four Seasons Hotel Silicon Valley (details, map)
2050 University Avenue
East Palo Alto, California 94303
CLE Credit: 6.25 hours (approved in CA)

Materials

Links to materials available here.

CLE Information and Forms

SEF2014 CLE -sm6.25 hrs CLE credit approved in CA. Forms available here.

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