Natalie K. Abbott, Principal
Willow Tree Consultancy, LLC
June 2014 to present
Natalie Abbott currently serves as principal of Willow Tree Consultancy, LLC (Willow Tree) where
she assists clients manage the compliance and regulatory demands facing their businesses.
Prior to working with Willow Tree, Ms. Abbott held a senior role in Pine River Capital
Management's legal department. Among other things, Ms. Abbott oversaw the day-to-day
aspects of Pine River's compliance program. Upon joining Pine River in 2004 as the firm's
first in-house attorney, Ms. Abbott took on a wide array of responsibilities, including significant
areas of importance to the firm's growth and success, such as fund launches, trading relationship
documentation, corporate structuring and expansion activities and regulatory and compliance
oversight. From April to July 2003, Ms. Abbott worked was a law clerk for Walsten and TeSlaa.
During September to Dec of 2002, Ms. Abbott took on a temporary CCO role at Washington
Square Securities, Inc. covering during a leave of absence. Ms. Abbott was a Compliance Officer
in the Dispute Resolution Group of RBC Dain Rauscher from 2000 to 2002, and was a
Regulatory/Underwriting Specialist for American Investors Group from 1996 to 2000. She
received a BA in Psychology from Augsburg College in 1998 and a JD from William Mitchell
College of Law in 2004.
A detailed overview of Ms. Abbott's credentials follows:
PRIOR EXPERIENCE
Deputy General Counsel – Compliance
Pine River Capital Management L.P.
June 2004 to May 2014
• Provided legal analysis and guidance regarding rules and regulations applicable to the firm's business, including the Securities Act of 1933, Securities Act of 1934, Investment Advisers Act of 1940, Investment Company Act of 1940, Bank Secrecy Act, USA PATRIOT Act and Commodities Exchange Act.
• Monitored industry and regulatory developments impacting the firm’s global business, including changes as a result of the Dodd-Frank Wall Street Reform and Consumer Protection Act and the EU Alternative Investment Fund Managers Directive.
• Directed the firm’s compliance efforts related to trading and marketing activities relevant to its offices globally.
• Counseled management and staff of various departments on developing and modifying practices, procedures and policies to meet applicable legal and regulatory requirements.
• Wrote, implemented and trained staff with respect to the firm's policies and procedures.
• Conducted internal investigations relating to potential violations of firm policies and of applicable laws, including Federal securities and commodities laws.
• Oversaw the process and content of the firm’s regulatory filings and reports, including Form PF, Form CPO-PQR, Forms 4, 5, D, 13D, 13F, 13G and 13H, global short sale reporting, Forms TIC S, SLT and B.
• Directly supervised the compliance team and oversaw day-to-day work of paralegal group and junior attorneys.
• Served as the Chief Compliance Officer for the firm’s securities-trading foreign offices.
• Participated as a founding member of the firm’s Compliance Committee.
• Managed outside counsel in an effective and cost-efficient manner.
• Reviewed, negotiated and drafted a variety of agreements, including brokerage (i.e., executing broker, prime broker, master securities lending, master repurchase and margin lock agreements), transactional (i.e., swaps and ISDA-related documentation), leases, licenses (i.e., software and technology contracts), employment and services.
• Led the firm’s process and response for all global regulatory and governmental examinations, inspections, inquiries and claims.
• Drafted documentation (specifically offering memoranda, articles of incorporation and investment management agreements) and conducted legal analysis (including with respect to Regulation D and Regulation S) in relation to private fund and alternative investment vehicle formation, maintenance and dissolution.
• Provided corporate secretarial support for entities within the firm’s corporate structure by drafting and reviewing meeting minutes, resolutions and other documents related to board operations under applicable corporate laws, developing and maintaining corporate governance-related policies and procedures, researching and advising on relevant laws, regulations and requirements, overseeing proper maintenance of the firm’s books and records, and filing annual returns and renewals with governmental departments and agencies.
Law Clerk
Walsten & Te Slaa
April 2003 to July 2003
• Conducted research and prepared interoffice materials for a case relating to broker misconduct, specifically in regards to alleged misappropriation of firm materials and non-compete agreement violations.
Regulatory Compliance Consultant
ING Advisors Network, Inc./Washington Square Securities, Inc.
September 2002 to November 2002
• Assessed and responded to securities-related customer complaints.
• Oversaw the firm’s responses to inquiries originating from various regulatory and self-regulatory agencies, including state securities and insurance departments, FINRA and the SEC.
• Coordinated work with outside counsel to ensure effective and cost-efficient case management.
Compliance Officer – Dispute Resolution
RBC Dain Rauscher, Inc.
December 2000 to July 2002
• Managed a caseload in excess of 40 cases simultaneously relating to client allegations of failure to follow instructions, misrepresentation, poor performance, unauthorized trading, suitability, negligence and fraud.
• Conducted file intake and analysis of claims.
• Presented research results and recommended course of action to management.
• Worked as liaison with firm personnel and legal counsel to resolve complaints, either prior to or during arbitration and civil litigation.
• In litigation and arbitration, managed and prepared court documents and undertook hearing preparation, including coordinating discovery and selecting arbitration panel participants.
• Responded to inquiries originating from FINRA, CBOE and governing federal and state agencies.
• Worked with management to conduct internal investigations and, if warranted, implemented disciplinary action for improper conduct by investment professionals.
Research Assistant
William Mitchell College of Law
Fall 2000
• Conducted legal research and writing for corporate law and securities regulation-related research projects involving issues of piercing the corporate veil and stock certificate registration.
Compliance Examiner
Kinnard Investments, Inc.
May 2000 to November 2000
• Responded to compliance inquiries from management and staff related to firm policy, best practices and regulatory and legal requirements.
• Monitored firm-wide daily trading activity for evidence of front-running, insider trading, cross trading and other potentially problematic activities.
• Coordinated restricted stock transactions in accordance with applicable securities regulations.
• Conducted on-site audits of the firm’s branch offices and prepared reports of any findings for senior management.
• Reviewed advertising and sales literature for compliance with industry requirements and standards.
Regulatory/Underwriting Specialist
American Investors Group, Inc.
June 1996 to May 2000
• Fully managed the firm’s broker-dealer registration and registered representative licenses.
• Assisted with drafting documents for bond offerings, including offering circulars, deeds of trust, trust indentures and advertising literature.
• Assisted in evaluating bond offering proposals for compliance with regulations and for financial feasibility.
• Coordinated the Blue Sky filing process for all bond offerings underwritten by the firm.
EDUCATION
William Mitchell College of Law
Juris Doctor received January 2004
Augsburg College
Bachelor of Arts, magna cum laude, Psychology, July 1998
Honors: Member, Psi Chi National Psychology Honor Society; Dean’s List
BAR ADMISSION
State Bar of Minnesota, May 2004
CERTIFICATIONS AND LICENSES
• Previously licensed with the UK Financial Conduct Authority, CF10 – Compliance Oversight
• Previously held Series 7 (General Securities representative License), Series 66 (Combined Registered Agent/Investment Adviser License), Series 24 (General Principal License), Series 9 and Series 10 licenses through the FINRA