New York Archives | Legal Innovation Forum

New York city skyline as seen from a bridge with the sun rising in the background

in partnership with

OVERVIEW

Used in everything from consumer electronics to clean tech to advanced military hardware, critical minerals and rare earths are building blocks of the modern economy—and are essential to the global energy transition and national security. But with China’s established processing dominance and recent export curbs, the precarity of the Western world’s supply of these fundamental inputs has finally struck home.

In response, Western nations have embarked on a major push to secure their critical minerals and rare earths supply chains. Yet their complexity, and the advanced processing capabilities involved, pose significant challenges for even the largest, most advanced economies. At this critical junction, coordinated cross‑sectoral efforts and collaboration between like‑minded countries are essential.

This live, in-person event in New York City on October 16th will examine the critical role North America is playing in enabling a robust critical minerals and rare earths supply chain for Western nations as part of an integrated energy security and resource strategy.

Structure + Audience

3/4 day event followed by a networking reception hosted at Clifford Chance
100 attendees, including leaders from mining companies, financial services, government, professional services firms.
A program comprised of panel discussions, fireside chats and presentations on the themes outlined above.

Our Sponsors

Program

11:30 – 12:00: Registration + Arrival

12:00 – 12:45: Panel 1 | The State of Affairs: North America’s Critical Minerals Ecosystem in 2025

The geopolitics highlighting the need for a secure, reliable supply chain, and how the U.S. can work with partner nations to achieve that goal.
How AI and new technologies are placing further stress on the supply chain while creating opportunities for growth.
Sources of capital and how that capital is being allocated to address the critical minerals challenge.

Chair

National Client Relationship Ambassador and Group Head, ESG and Sustainability, McMillan

Founder, Cedrus Arbor

12:50 – 1:35: Panel 2 | The New Strategic Imperative: Securing a Strong, Reliable Supply Chain

Supply and demand: A look at North America’s known and projected reserves.
Friendly trading partnerships and their role in mitigating reliance on strategic competitors such as China.
Supply chain vulnerabilities and the need to ensure that raw materials and finished goods meet demand.
China’s national strategy: Risks and lessons from the world’s dominant player.

Executive Chairman, AlphaSierra One

Partner, Clifford Chance

1:40 – 2:30: Networking Lunch

2:30 – 3:15: Panel 3 | The Role of Innovation in the New World Order

The technologies being used to:
- Identify and harvest unconventional deposits
- Optimize supply chains
- Predict prices
- Improve circularity

Commercial Director, United States Strategic Metals

CEO + Founder, Impossible Metals

3:20 – 3:45: Fireside Chat | The Case for Patient, Strategic Capital

Accounting for local and sectoral specificities and reframing risk around mining investments.

Chair

Partner, McMillan

Partner, Mokwateh

3:45 - 4:00: Break

4:00 – 4:45: Panel 4 | Matching Capital with Opportunity: How Free-Market Economies Can Support National Strategic Priorities

Drivers + trends in financing resource extraction and the broader supply chain in North America’s critical minerals ecosystem.
Tax credits and government investment: The policies and programs shaping the sector now and in the future.
The nascent market context: How investors and manufacturers can make sound investment decisions in a context of price opacity and ongoing uncertainty on the direction of the sector.

Partner, Clifford Chance

Asset Management Founder & Managing Partner, Ospraie

Consul and Head of Investment at Consulate General, Canadian Consulate General in New York

President, Critical Minerals Forum

4:50 – 5:00: Closing Remarks

5:00 – 6:00: Networking Reception

This event is under consideration for CLE credits from NYS CLE Board

OVERVIEW

A series of small forums to be held in New York, Toronto and London will bring together financial services (banks, funds) and insurance firms’ legal teams, LegalTech companies and other legal sector service providers focused on the FS space.

Each forum will cover the specific, unique challenges facing legal practitioners in the financial services industry. It will also outline the role of the legal department in the wider organization and market and how it is evolving, and help participants to define, develop and implement strategies to ensure they are innovating and delivering value for their organizations in the face of rapid change.

In response to these drivers and trends covered, we will review core legal technology solutions available to address these challenges specifically. We will also cover areas of ways that legal departments are aligning with the business and how they are managing the triumvirate of people, process and tech to deliver results.

Partner Curation

What’s different about LIFInFocus events is that we aim to create a market of focused sellers and buyers of legal technology and services. In effect, a buyers club matching best in class technology and services targeted specifically for problem sets faced by legal departments in financial services firms.
The outcome is of equal value for both sides: buyers will be presented with solutions that are specific to their needs and pre-vetted. Sellers will be able to connect with focused buyers, decreasing the cost of sale and increasing connections with genuine, targeted leads.
To be accepted as a seller we will apply our methodology of cross checking technology + service based solutions with our expert panel of thought leaders to ensure their value to end users in FS firms. We will also cross check seller’s solution sets through our LIF specific frameworks, ensuring they are uniquely placed to support solutions to challenges faced by financial services firms’ legal departments.

STRUCTURE + AGENDA

Full-day event held in New York City
50 high level decision makers from financial service sector legal departments (GC, AGC, senior legal operations leaders) speaking at and attending each event.
Content will be thematically focused on key challenges facing FS legal departments.
Format will be composed of fireside chats, group work and multiple networking opportunities.
Location: Sidley Austin LLP : 787 7th Ave, New York, NY 10019

WHY ATTEND?

Practical, problem-focused content for today’s legal department

We explore the most pressing current issues and emerging threats facing legal departments (and their leaders) at financial institutions, and the role of technology in addressing these challenges
Learn from real-world use cases – such as dealing with regulatory challenges and black swan events – with practical insights to inform future strategies
Leave with an understanding of how to leverage technology – not just for efficiency – but for minimizing and managing legal risks effectively

The right people in the room

The forum is specifically tailored for those tasked with strategizing about risk – including GCs and tech/process experts looking for a collaborative, holistic approach to risk management
Engage with peers from the buy and sell sides of financial services, and gain insights into new tech that will help your legal department evolve and stay ahead of the curve
Explore how to integrate risk analysis (the strength of law firms) with technology and process improvements for greater scalability and speed

The ideal environment for productive conversations

With a limited number of attendees (no more than 50, including vendors and experts), the workshop format ensures meaningful interactions and direct engagement with speakers and experts
Enjoy a safe, collaborative environment under Chatham House Rule, promoting open and honest discussions about shared challenges and solutions
By avoiding the typical pay-to-play format, we ensure speakers and vendors are chosen for their expertise and quality – not their marketing budgets

Program

REGISTRATION + NETWORKING BREAKFAST 9:00-9:30 AM

9.30 - 9.50 AM | INTRODUCTION TO THE FORUM

Why we are running the series
What’s the purpose of the legal department? By structuring your department in a specific, thoughtful manner you will get better outcomes
Outline of our approach to financial institutions + the overall financial ecosystem

Founder & CEO, The Legal Innovation Forum

The functional tensions encountered by legal departments:

Cost center vs Lifesaver
Proactive vs reactive
Generalizable vs idiosyncratic
Law vs tech/LSP budget

9.50 - 10.40 AM | FIRESIDE CHAT: Evolution of the legal ecosystem: an inflection point

In conversation with:

Co-Founder, Catylex

Associate dean for research + intellectual life, Albany Law School

Partner, Sidley Austin

Associate dean for research + intellectual life, Albany Law School

10.40 - 11.40 AM | GoAL Setting For Today’s Legal Department

Cover the objective and goals of the breakout sessions
Review of the contemporary challenges
Working groups of 7: in-house lawyers + sponsors
Overview of the 5 step process

VP, Innovation, Elevate

Founder, The Legal Innovation Forum

11.40 AM - 12.00 PM | THE 5-STEP PROCESS

The 5-Step process – inspired Bridgewater’s founder, Ray Dalio’s Principles – is our organizing narrative for the structure of the day’s forum- link to learn more is here.

Co-Founder, Catylex

Director: product marketing, Catylex

12.00 pM - 1.00 PM | GROUP BREAKOUT SESSION 1 - IDENTIFY THE PROBLEM

Here we will focus on two areas: optimal operating structures for FI legal departments (goals) + the areas that are holding them back from these optimal states (problems).

We will look at problems in the context of contemporary challenges faced by financial institutions outlined below. Groups will select two challenges to address and identify goals to solve them and problems holding them from these goals.

Contemporary challenges faced by Financial Institutions (Each group will have two assigned)

Managing emerging regulations
Regulatory inquiry
Black Swan events
Credit crisis + counterparty default
Payment or trade error
Significant corporate event

Key principles to consider (Goals):

Prioritize: While you can have virtually anything you want, you can’t have everything you want
Never rule out a goal because you think it’s unattainable
Remember that great expectations create great capabilities

Key principles to consider (Problems):

Be specific in identifying your problems
Don’t mistake a cause of a problem with the real problem
Distinguish big problems from small ones
Once you identify a problem, don’t tolerate it

1.00 - 1.50 | NETWORKING LUNCH

1.50 - 2.05 PM| RECAP OF BREAKOUT 1 + OVERALL GROUP DISCUSSION

Here we will prompt a group discussion of the outcome of the mornings sessions. We will identify key problems faced by financial institutions in the face of the contemporary challenges the groups have focused on.

Defining the core problems: What was learned, key themes across group, interesting patterns and outliers

2.05 - 3.05 PM | GROUP breakout session 2 : DiAGNOSE THE PROBLEMS

Building on our work in the morning assessing goals and identifying problems for their two challenges facing FIs they’ve selected, our groups will then move on to diagnosing them.

We will aim to dig into the the root causes of these challenges and how they relate to risk mitigation for the broader organization and sector.

Key principles to consider (diagnosis):

Focus on the “what is” before deciding “what to do about it.”
Distinguish proximate causes from root causes
Recognize that knowing what someone (including you) is like will tell you what you can expect from them

3.20 - 3.40 |NETWORKING BREAK

3.25 - 3.40 PM | RECAP OF BREAKOUT 2

Here we will prompt a group discussion of the outcome of the afternoon session.

Defining the core problems: What was learned, key themes across group, interesting patterns and outliers

3:40 - 4:40PM | OPEN DESIGN DISCUSSION + WORKSHOP CLOSE

6:00 - 7:30 | DRINKS RECEPTION @ THE BRITISH RESIDENCE

themes of the forum

CONTRACTS THROUGH THE BUSINESS CYCLE LENS:

Deal acceleration (Boom economy)

Deal acceleration is a prime business focus for legal departments in financial services firms during an economic upturn. In order to meet accelerated targets, successful practitioners will be those who focus on leveraging advanced processes and technology to support swift reviews of third-party paper, rapid scanning of negotiation drafts, and the data analysis to support the business.

Risk analysis (Bust economy)

In a downturn: crisis management requires understanding rapidly and well how to deal with counterparty risk, force majeure events and other problems correlated with crashing markets. FS legal departments must assess contracts diligently to uncover key risks to the business – including reputational risk, regulatory compliance, and cyber risk. Legal and compliance may also need to scramble to remediate contract issues.

Portfolio optimization (Recovery economy)

A recovering economy is the one time where a legal department is not under boom or crisis pressure, and presents an opportunity for legal departments to catch their breath. This is the time to reflect on lessons learned and improve and optimize processes and technology in preparation for the next deluge. Focus here becomes better interoperability and integration with

processes and systems outside of the legal department, as well as . a thorough examination of negotiation systems and playbooks. This is also an opportunity to replace legacy systems with new technology and emerging ones.

CONTRACTS THROUGH THE EVENT LENS:

Black Swan events

Black swan events, such as the COVID 19 pandemic, Russia’s war on the Ukraine, or financial crises, such as Lehman – and more recently smaller events like SVB and Credit Suisse’s demise following the collapse of Archegos Capital – can have immediate and long-term effects on financial services firms, causing business disruption, risk and supply chain challenges. Defining, developing and implementing a strategy to prepare and address such events is a core responsibility for legal departments to protect against franchise risk.

Regulatory efforts

Major regulatory changes are often implemented in the wake of a black swans, such as the Dodd-Frank, and the Great Recession. Additional regulatory efforts can continue to generate work that stretches across years: for example, margin rules implementation, LIBOR remediation, and recently the Private Funds Rule.

Other regulatory efforts emerge over time from long evolving problems:

Cybersecurity standards are ramping up in addition to growing work for security and technology departments and have substantial implications for legal contracting and event response.
Climate change response generates legal work in supply chain and disclosure review

M&A Activity

Contract diligence has not gone away, with cost and time pressure only getting worse over time.

OUR partners

HOST PARTNER

STRATEGIC PARTNER

Partners

Academic Partner

Information Regarding CLE Accreditation

Albany Law School’s Center for Continuing Legal Education has been certified by the New York State Continuing Legal Education Board as an accredited provider of Continuing Legal Education in the State of New York. This program has been accredited as a source of 1 continuing legal education credit for both transitional and non-transitional attorneys in New York State. (1 Ethics). For financial hardship guidelines, please call the Center for Continuing Legal Education at (518) 472-5888.

Accommodation

We welcome requests for accommodation due to a disability. Please contact Albany Law School’s Center for Continuing Legal Education at (518) 472-5888 at least a week prior to the course to discuss your requirements.

Note

New York State Continuing Legal Education Board regulations state that credit shall be awarded only for attendance at an entire course or program, or for attendance at an entire session of a course or program. No credit shall be awarded for attending a portion of a course or a portion of a session.

in partnership with

OVERVIEW

Structure + Audience

Our Sponsors

Program

Chair

Chair

OVERVIEW

Partner Curation

STRUCTURE + AGENDA

WHY ATTEND?

Practical, problem-focused content for today’s legal department

The right people in the room

The ideal environment for productive conversations

Program

REGISTRATION + NETWORKING BREAKFAST 9:00-9:30 AM

9.30 - 9.50 AM | INTRODUCTION TO THE FORUM

9.50 - 10.40 AM | FIRESIDE CHAT: Evolution of the legal ecosystem: an inflection point

10.40 - 11.40 AM | GoAL Setting For Today’s Legal Department

11.40 AM - 12.00 PM | THE 5-STEP PROCESS

12.00 pM - 1.00 PM | GROUP BREAKOUT SESSION 1 - IDENTIFY THE PROBLEM

Contemporary challenges faced by Financial Institutions (Each group will have two assigned)

Key principles to consider (Goals):

Key principles to consider (Problems):

1.00 - 1.50 | NETWORKING LUNCH

1.50 - 2.05 PM| RECAP OF BREAKOUT 1 + OVERALL GROUP DISCUSSION

2.05 - 3.05 PM | GROUP breakout session 2 : DiAGNOSE THE PROBLEMS

Key principles to consider (diagnosis):

3.20 - 3.40 |NETWORKING BREAK

3.25 - 3.40 PM | RECAP OF BREAKOUT 2

3:40 - 4:40PM | OPEN DESIGN DISCUSSION + WORKSHOP CLOSE

themes of the forum

CONTRACTS THROUGH THE BUSINESS CYCLE LENS:

Deal acceleration (Boom economy)

Risk analysis (Bust economy)

Portfolio optimization (Recovery economy)

CONTRACTS THROUGH THE EVENT LENS:

Black Swan events

Regulatory efforts

M&A Activity

OUR partners

HOST PARTNER

STRATEGIC PARTNER

Partners

Academic Partner

Information Regarding CLE Accreditation

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