University of Hong Kong, Faculty of Law, LLM, 1998
The College of Law, LPC, 1996
The University of Westminster, CPE, 1995
University of Central Texas, MBA, 1994
University of Texas at Austin, BBA, 1992
Kristi L Swartz, the managing partner of our Hong Kong office, concentrates her practice in corporate finance and securities including SFC matters. Ms. Swartz also represents clients in strategic commercial transactions including mergers and acquisitions, private equity, alternative financing and other such corporate matters.
Ms. Swartz has experience with SFC and HKEx Listing and compliance issues. She has acted for, and successfully defended, both companies and Directors (to include INEDS) on enquiries and investigations of market manipulation and insider dealing.
Ms. Swartz advises Fortune 500 companies and high profile net-worth individuals worldwide, as well as emerging growth companies and start-ups. She represents clients in Hong Kong, China, Asia and Europe, in a broad range of industries, such as finance, venture capital, and telecommunications. She has served as counsel to East Asia Tax Service Limited, the Lithuanian Consulate, the Indian Chamber of Commerce, the Overseas Indian Organization (Hong Kong), and the Consulate of Uruguay, to name a few.
Ms. Swartz’s other professional achievements of note also include:
Acted as a Director of three main board listed companies
Served as General Counsel to Henderson (China) Investment and Mr. Peter Lee Ka Kit
One of the founding members of Hong Kong 30% Club
Named to Women Foundation Hong Kong's "Women to Watch" List
Ms. Swartz was rated in Asia Pacific Legal 500 (2000), the International Who's Who of Professionals from Chambers & Partners (2003, 2004), and was a finalist for "In House Team of the Year" by Asia Legal Business (2002).
Euromoney Asia Women in Business Law, Corporate Governance Award, 2013 and 2015
Assisted and guided a SFC licensed intermediary in a Series B round of funding by the creation of two new classes of preferred shares for subscription. Restructured the company by way of capitalization of various loans, exercise of warrants and call options.
Represented and successfully defended a licensed representative in providing expert opinion to FINRA hearing with respect to insider information and industry misconduct. Advised on the potential license suspension by Securities and Future Commission.
Assisted a foreign listed bank to restructure their group and apply for authorization as a deposit-taking company in Hong Kong in preparation for listing on the Main Board of the Hong Kong Stock Exchange.
Advised a large PRC incorporated financial institution on the proposed listing of H shares on the Hong Kong Stock Exchange. The financial institution’s core businesses is in life insurance, property and casualty insurance, trust and investment, securities and banking in the PRC.
Advised a Hong Kong listed fashion garment group engaged in the retailing and trading business with retail stores in China and throughout Southeast Asia, on its financial restructuring. Negotiated standstill arrangements with bank creditors and the granting of a security facility by a wholly-owned subsidiary of another Hong Kong listed company.
Advised a Hong Kong listed company that provides services on warehouse, storage, transportation and distribution, on its financial restructuring involving negotiations of standstill arrangements with bank creditors, a restructuring of the indebtedness of the group and disposal of non-core businesses of the group.
Advised the direct investment arm of a major US financial services group on an investment in the convertible preference shares of a long-established global consumer electronic, interactive product and toy manufacturer who is incorporated in the Cayman Islands, and listed on the Main Board of the Hong Kong Stock Exchange.
Advised a Hong Kong listed company that provides services on warehouse, storage, transportation and distribution, on its very substantial disposal of its investment properties to and a leaseback arrangement with an investor in an aggregate consideration of HK$2.2 billion.
Advised a Hong Kong listed investment company on a share transaction involving the acquisition of effective interest in a PRC enterprise. Further advised on a connected transaction involving the acquisition of the effective interest in a US company, including the making of a submission to the Stock Exchange. Successfully negotiated to obtain the waiver from the requirement to obtain shareholders' approval at a general meeting.
Advised on a reorganization of Chinese and Hong Kong entities of a U.S. cable-manufacturing company. Assisted in reverse takeover transaction, representing the Hong Kong entity involving a bullion investment.
Successfully advised company to restructure its five listed companies with a view to delist from HKEx, winning clients’ confidence to further assist with multi-jurisdictional merger activities.
"Cross Border Transfers of Data," The Journal of The Hong Kong Institute of Chartered Secretaries, Sept. 13, 2016
"Future of Asset Management with Fintech and Blockchain," Asia Asset Management Seminar, March 23, 2018
"Regulatory Developments in Asia," Immutable Blockchain Summit, March 19, 2018
"Other Major Regulatory Issues," AIMA China Fund Managers Seminar, March 15, 2018
"Overview on Blockchain," Indian Chamber of Commerce Networking Reception, Hong Kong, September 20, 2017
Keynote Speaker, "October Power Lunch Series" at the University of Texas School of Law hosted by the Center for Women in Law. October 27, 2015.
Presentation on building a successful career, The Women’s Foundation Monthly Mentoring Circle, Hong Kong, June 29, 2015
Panelist, “Understanding the Regulatory Landscape,” Global Legal Confex, New Delhi, India, April 28, 2015
Keynote Speaker at Global EMBA 10th Anniversary Dinner, Hong Kong, December 13, 2014
Presentation on legal issues for start-up companies when commencing business in Hong Kong and China, and strategies and tips for a successful and compliant company, University of Iowa Entrepreneurship and Innovation Course, Hong Kong, September 21, 2014