Compliance and Approvals

Our Government Relations Group offers clients regulatory experience and thought leadership on regulatory developments, helping clients with advocacy, planning for and implementation of changes as they occur.

Operating from our New York, Los Angeles and Washington D.C. offices, our national practice advises clients in their dealings with government agencies at both the federal and state level.  We provide clients with thoughtful business planning in predicting and managing potential compliance issues, and help them obtain required approvals from government agencies for their projects.

We have specific experience in areas such as:

Dodd-Frank Act/Volker Rule Compliance.  Stroock advises financial services clients on regulatory matters, including before banking and commodities regulatory agencies and exchanges on acquisitions, regulatory audit, registration, risk management and compliance matters.

We specifically advise clients on issues raised by the Dodd-Frank Act and related commodities, securities and banking regulations.  

Financial Services.  We represent financial institutions on compliance with federal and state regulations applicable to transactions and activities such as mergers and acquisitions, branch sales and purchases, public securities offerings and enforcement proceedings.

"Green" Development, Environmental and Tax Certiorari Issues.  We work closely with real estate and industrial developers on traditional environmental and land use matters, as well as community outreach, green design and socially responsible investment. 

Insurance and Reinsurance.  We have been instrumental in the development and enactment of numerous state statutes and regulations on behalf of our insurance and reinsurance clients.  We participate in the work of the National Association of Insurance Commissioners in developing model laws and regulations and white papers, and serve as counsel to the Society of Financial Examiners and the International Association of Insurance Receivers.  We have assisted numerous clients with regulatory issues and investigations before the New York State Department of Finance.

National Security/CFIUS/Compliance. Our National Security team has substantial experience representing clients before the United States government, including the Department of Defense, the Department of Energy, the Committee on Foreign Investment in the United States (CFIUS), the Department of State, the Department of Commerce and the intelligence community.  Our team has represented foreign and foreign-owned companies and their U.S. affiliates on regulatory, legislative and compliance matters, including the Foreign Corrupt Practices Act and US export control laws (including the International Traffic in Arms Regulations (ITAR) and the Export Administration Regulations (EAR), as well as trade sanctions administered by the Office of Foreign Assets Control (OFAC).

Real Estate Development, Land Use and Tax Certiorari. Through strategic planning, we help clients create public/private real estate partnerships to encourage economic development. Representations include:

  • the New York Mets and their affiliates in negotiations with New York City and New York State regarding the team’s proposed new stadium;
  • a real estate entity in its negotiations with the New York City Economic Development Corporation and Health and Hospitals Corporation to develop a life science research campus; and
  • successful litigation allowing our client to construct a new law center in the face of challenges to attorney general review and approval and claims of landmark status.

We also represent commercial, retail, hotel and residential property owners in administrative and judicial proceedings protesting real property assessments in New York City and throughout the nation and serve as general counsel to the Real Estate Board of New York (REBNY).