Charles Ha

Charles Ha

Orrick, Herrington & Sutcliffe LLP

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Latest Publications


Investment Firms and Compliance Professionals Beware: SEC Finds Risks Associated with Outsourcing Compliance Function

On Monday, November 9, 2015, the Office of Compliance Inspections and Examinations (“OCIE”) of the U.S. Securities and Exchange Commission (“SEC”) released results from its evaluation of investment adviser firms’ use of third...more

11/17/2015 - Compliance Investment Adviser Risk Alert SEC Third-Party Risk

HIPAA Security Requirements Aren't Cloudy, Especially to Whistleblowers

Earlier this month, the U.S. Department of Health and Human Services Office for Civil Rights (HHS OCR) announced that it had entered into a settlement agreement with St. Elizabeth's Medical Center (SEMC) in Brighton,...more

7/31/2015 - Compliance Corporate Counsel Corporate Governance Corrective Actions Cybersecurity Data Security De-Identified Protected Health Information DOJ EHR Enforcement Actions HHS HIPAA OCR Personally Identifiable Information Security Rule Settlement

Don’t touch that remote (tippee)? Salman reflects Ninth Circuit’s view on Newman

In United States v. Salman, the Ninth Circuit recently held that a remote tippee could be liable for insider trading in the absence of any “personal benefit” to the insider/tipper where the insider had a close personal...more

7/22/2015 - Breach of Duty Confidential Information Financial Markets Insider Trading Portfolio Managers SCOTUS SEC Tippees US v Newman

Striking the Balance: Mary Jo White Says the SEC’s Process for “Well-Known Seasoned Issuer” Waivers Is Fair, But Signals a...

In a speech last Thursday, SEC Chair Mary Jo White publicly addressed the issue of whether the SEC has been too lax in granting waivers to large corporations that are subject to certain restrictions under the Well-Known...more

3/17/2015 - Accredited Investors Bad Actors Private Offerings SEC Securities Act of 1933 WKSIs

How Far Does Section 10(b) Reach? The Second Circuit Says That A Domestic Transaction Is Necessary, But Not Sufficient, To Invoke...

In a long-awaited opinion issued on August 15 in Parkcentral v. Porsche, the Second Circuit limited the extraterritorial reach of the U.S. securities laws, affirming the dismissal of securities claims brought by parties to...more

8/27/2014 - Extraterritoriality Rules Morrison v National Australia Bank Section 10(b) Securities Securities Exchange Act Security-Based Swaps Swaps Volkswagen

Swimming in the Deep End: A Primer on Dark Pools

“Dark pools of liquidity” have recently become the focus of increased regulatory scrutiny, including a number of high-profile enforcement actions related to these alternative trading systems. This increased scrutiny follows...more

7/17/2014 - Alternative Trading Systems Broker-Dealer Dark Pool Enforcement Enforcement Actions Flash Boys High Frequency Trading Nasdaq NYSE SEC Securities Transparency

Halliburton’s Brief Asks The U.S. Supreme Court To Overturn The Not So Brief 25-Year-Old Fraud-On-The-Market Presumption

As discussed in a previous December 3, 2013 post, the U.S. Supreme Court has agreed to hear Halliburton’s pitch to overrule or modify the decades old fraud-on-the-market presumption established in Basic Inc. v. Levinson, 485...more

1/9/2014 - Class Action Fraud Fraud-on-the-Market Halliburton SCOTUS Securities Exchange Act

The Meaning Of Life Settlements: Are They Securities Or Not?

“Life settlements” are financial transactions in which the original owner of a life insurance policy sells it to a third party for an up front, lump sum payment. The amount paid for the policy is less than the death benefit...more

9/26/2013 - Death Benefits Life Insurance Settlement

Texas Court Rules that Regardless of Fault, CEOs and CFOs Will Have to Pay Up Under Sarbanes-Oxley Section 304

A Texas federal judge denied defendants ArthoCare CEO Michael A. Baker and CFO Michael T. Gluk’s motion to dismiss the SEC’s claim against them under Sarbanes-Oxley (“SOX”) Section 304’s clawback provision. Section 304...more

11/21/2012 - Clawbacks Sarbanes-Oxley SEC Section 304

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