{"id":"court_ctb_2162_0","court":"CTB","case_no":"22-50073","doc_number":2162,"sub_number":0,"doc_type":"ORDER","filed_date":"2023-09-01","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION | -------------------------------------------","summary_zh":"聘用专业机构申请 —— Ho Wan Kwok 破产案（郭文贵 / Guo Wengui / Miles Guo），CTB 22-50073 ECF #2162（2023-09-01立案）。第11章破产受托人依据《美国破产法》第327条和第330条提请申请，请求法院批准自2023年8月2日起聘请 Kroll, LLC 担任法务调查机构，以协助分析财务记录、追查郭文贵的资产流向并支持追偿资产的对抗性诉讼。","summary_en":"Application for Employment and Retention of Professional — In re Ho Wan Kwok (Miles Guo / Guo Wengui), CTB 22-50073 ECF #2162 (filed Sep 01, 2023). The Chapter 11 Trustee applies pursuant to Bankruptcy Code §§ 327 and 330 for authorization to retain and appoint Kroll, LLC as forensic investigators effective August 2, 2023, to assist in analyzing financial records, tracing Kwok's assets, and supporting asset-recovery adversary proceedings.","body_en":"# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ----------------------------------------------------------- | x      |                         |\n|-------------------------------------------------------------|--------|-------------------------|\n| In re:                                                      | :<br>: | Chapter 11              |\n|                                                             | :      |                         |\n| HO WAN KWOK, et al.,                                        | :<br>: | Case No. 22-50073 (JAM) |\n| Debtors.1                                                   | :      | Jointly Administered    |\n| ----------------------------------------------------------- | :<br>x |                         |\n|                                                             |        |                         |\n\n# **APPLICATION OF CHAPTER 11 TRUSTEE FOR ENTRY OF ORDER PURSUANT TO BANKRUPTCY CODE SECTIONS 327 AND 330, BANKRUPTCY RULES 2014 AND 2016 AND LOCAL BANKRUPTCY RULES 2014-1 AND 2016-1 AUTHORIZING AND APPROVING RETENTION AND APPOINTMENT OF KROLL, LLC AS FORENSIC INVESTIGATORS, EFFECTIVE AS OF AUGUST 2, 2023**\n\nLuc Despins, in his capacity as the chapter 11 trustee (the \"Trustee\") appointed in the chapter 11 case of Ho Wan Kwok (the \"Debtor\"), pursuant to sections 327 and 330 of Title 11 of the United States Code (the \"Bankruptcy Code\"), Rules 2014 and 2016 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\"), and Rules 2014-1 and 2016-1 of the Local Rules of Bankruptcy Procedure (the \"Local Bankruptcy Rules\") files this application (the \"Application\") requesting entry of an order, substantially in the form attached hereto as **Exhibit A** (the \"Proposed Order\") approving the Trustee's employment of Kroll, LLC (\"Kroll\") as forensic investigators, effective as of August 2, 2023, on the terms set forth in the Letter of Engagement attached hereto as **Exhibit B** (the \"Engagement Letter\"). In support of the Application, the Trustee submits the\n\n<sup>1</sup> The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202) and Genever Holdings Corporation. The mailing address for the Trustee, Genever Holdings LLC, the Genever Holdings Corporation is Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok (solely for purposes of notices and communications).\n\n*Declaration of Allen Pfeiffer in Support of Application of Chapter 11 Trustee for Entry of Order Approving Retention and Appointment of Kroll, LLC as Forensic Investigators, Effective as of August 2, 2023* (the \"Pfeiffer Declaration\"), attached hereto as **Exhibit C** and incorporated herein by reference. In further support of this Application, the Trustee respectfully states as follows:\n\n### **JURISDICTION, VENUE, AND STATUTORY BASES**\n\n1. The United States Bankruptcy Court for the District of Connecticut (the \"Court\") has jurisdiction over this matter pursuant to 28 U.S.C. §§ 157 and 1334 and the *Standing Order of Reference* from the United States District Court for the District of Connecticut. This is a core proceeding within the meaning of 28 U.S.C. § 157(b).\n\n2. Venue in this District is proper pursuant to 28 U.S.C. §§ 1408 and 1409.\n\n3. The statutory bases for the relief requested herein are sections 327(a), and 330 of the Bankruptcy Code, and, to the extent applicable, Bankruptcy Rules 2014 and 2016, and Local Bankruptcy Rules 2014-1 and 2016-1.\n\n### **BACKGROUND**\n\n### **I. The Debtor's Chapter 11 Case**\n\n4. On February 15, 2022 (the \"Petition Date\"), the Debtor filed with the Court a voluntary petition for relief under chapter 11 of the Bankruptcy Code.\n\n5. On March 21, 2022, the United States Trustee appointed an Official Committee of Unsecured Creditors (\"Committee\") in the Debtor's chapter 11 case. No examiner has been appointed in the Debtor's chapter 11 case.\n\n6. On June 15, 2022, the Court entered a memorandum of decision and order [Docket No. 465] (the \"Trustee Order\") directing the United States Trustee to appoint a chapter 11 trustee in the Debtor's chapter 11 case. Pursuant to the Trustee Order, the United States Trustee selected Luc A. Despins as the Trustee.\n\n7. On July 8, 2022, the Court entered an order granting the appointment of Luc A. Despins as the Trustee in the Chapter 11 Case [Docket No. 523].\n\n### **II. Investigation and Adversary Proceedings**\n\n8. Since his appointment, the Trustee has undertaken a complex and wide-ranging investigation using, among other tools, Bankruptcy Rule 2004, and has issued dozens of subpoenas. Through this investigation, the Trustee has accrued voluminous financial records and related documents that require analysis to determine the extent of the assets and interests that should properly be part of the Debtor's chapter 11 estate (the \"Estate\") as well as other rights and causes of action that the Trustee may exercise for the Estate's benefit.\n\n9. Likewise, since his appointment, the Trustee has commenced at least eight adversary proceedings and asserted counterclaims in a previously filed adversary proceeding (collectively, the \"Adversary Proceedings\") to bring assets into the Estate or otherwise assert the Estate's rights with respect to its assets (*see* Adv. Proc. Nos. 22-05003, 22-05027, 23-05002, 23- 05005, 23-05008, 23-05012, 23-05013, 23-05017, 23-05018).\n\n10. The Trustee requires the assistance of forensic investigators to, among other things, uncover and analyze the information relevant to the Debtor's finances, and movement of assets to further assist in the Trustee's investigation. The Trustee also requires investigation and forensic analysis to assist in prosecuting the Trustee's claims in the existing Adversary Proceedings as well as such adversary proceedings as the Trustee may file in the future.\n\n3\n\n### **KROLL'S RETENTION**\n\n15. By this Application, the Trustee requests entry of an order, substantially in the form attached hereto, authorizing the Trustee's employment of Kroll as forensic investigators in accordance with the Engagement Letter, effective as of August 2, 2023.\n\n16. The Debtor has engaged in long-standing and significant efforts to conceal and protect wealth and assets, establishing a labyrinth of shell companies, related individuals and entities designed to obscure true ownership.\n\n17. Since his appointment, the Trustee has been engaged in ongoing efforts to untangle the Debtor's web of business and financial interests throughout the world to identify and recover assets for the benefit of the Estate. The Trustee has determined that it would be helpful at this stage in his investigation to retain Kroll, with its expertise in forensic analysis, to aid and assist in the investigation.\n\n### **KROLL'S QUALIFICATIONS**\n\n18. Headquartered in New York City, but with offices throughout the world, Kroll is comprised of leading industry professionals with significant experience in forensic investigations, delivering actionable data and insights to clients. Kroll's global team consists of investigators, cyber experts, data analysts and forensic accountants, able to draw on extensive experience, resources and technologies to assist in financial investigations. Kroll works to penetrate wrongdoer's efforts to shield cash, real estate, corporate holdings, financial instruments and other tangible and intangible assets from discovery.\n\n19. Kroll has substantial experience in matters of this size and complexity and has acted as forensic investigators or in similar roles in significant bankruptcy cases pending in districts nationwide. *See, e.g.*, *Residential Capital*, Case No. 12-12020 (Bankr. S.D.N.Y.); *Lehman*  *Brothers Holdings*, Case No. 08-13555 (Bankr. S.D.N.Y.); *Bernard L. Madoff Investment Securities*, Case No. 08-01789 (Bankr. S.D.N.Y.); *Mirant*¸Case No. 03-46590 (Bankr. N.D. Tex.); *Exide Technologies*, Case No. 13-11482 (Bankr. D. Del.); and *Capmark Financial Group*, Case No. 09-13684 (Bankr. D. Del.).\n\n### **SERVICES TO BE PROVIDED**\n\n20. Subject to the Court's approval, at the request of the Trustee, and to the extent necessary, the Trustee anticipates that Kroll will assist in investigating and analyzing the Debtor's finances and assets, and assist the Trustee in aspects of his investigation and in the recovery of assets, including, among other things, the existing Adversary Proceedings and those that the Trustee may bring in the future.\n\n### **KROLL'S COMPENSATION**\n\n21. Kroll intends to apply to the Court for compensation for professional services rendered and for reimbursement of expenses incurred in connection with the Estate pursuant to sections 330 and 331 of the Bankruptcy Code, Bankruptcy Rule 2016, Local Bankruptcy Rule 2016-1, and any other applicable rules and orders with respect to the Estate. Kroll will charge the Trustee for its services on an hourly basis at its regularly applicable hourly rates in connection with the services required.\n\n22. With respect to its services, Kroll has extended to the Trustee a discounted hourly rate structure. Kroll's current standard hourly billing rates range between \\$257 - \\$1,220 and will be discounted for this engagement based upon negotiations with the Trustee resulting in a\n\ndiscounted range between \\$231 - \\$915. The discounts to Kroll's current standard hourly billing rates will be applied as follows:\n\n| Standard Hourly<br>Bill Rate | Discount Applied |\n|------------------------------|------------------|\n| \\$1,000 of Higher            | 25%              |\n| \\$800 -<br>\\$999             | 20%              |\n| \\$799 or Lower               | 10%              |\n\n23. Kroll will also bill for out-of-pocket expenses made on behalf of the Trustee, including photocopying, postage and package deliveries, court fees, transcripts, witness fees, service fees, travel expenses, and computer-aided research, in accordance with practices in this District.\n\n24. Additionally, under the terms of the Engagement Letter, the Trustee has agreed to indemnify, defend and hold harmless Kroll and its directors, officers, employees, and agents under certain circumstances specified in the Engagement Letter, except in circumstances resulting solely from Kroll's gross negligence, willful misconduct, fraudulent acts, or as otherwise provided in the Engagement Letter or Proposed Order. The Trustee believes that such an indemnification obligation is customary, reasonable, and necessary to retain the services of qualified forensic investigators in this chapter 11 case. Any request for indemnification during the pendency of the Debtor's chapter 11 case will be brought before this Court and shall be subject to the approval of the Court.\n\n### **DISINTERESTED**\n\n25. To the best of the Trustee's knowledge, information, and belief, in reliance upon the Pfeiffer Declaration and except as disclosed therein, Kroll does not have any relationships with the Debtor, his creditors, or any other party-in-interest, their respective attorneys and accountants, the United States Trustee, or any person employed in the Office of the United States Trustee.\n\n26. More specifically, upon such basis, the Trustee believes that: (a) Kroll has no connection with the Debtor, his creditors, the U.S. Trustee, any person employed in the office of the U.S. Trustee, or any other party with an actual or potential interest in the Chapter 11 Case or their respective attorneys or accountants; and (b) Kroll (i) is not a creditor, equity security holder, or insider of the Debtor or his affiliates, (ii) has not been, within two years before the Petition Date, a director, officer, or employee of the Debtor or his affiliates, and (iii) has not had any interest materially adverse to the interests of the Debtor's estate or any class of creditors or equity security holders by reason of any direct or indirect relationship to, connection with, or interest in the Debtor, or for any other reason. Therefore, the Chapter 11 Trustee believes that Kroll is a \"disinterested person\" within the meaning of section 101(14) of the Bankruptcy Code, as modified by section 1107(b).\n\n27. Based on the Pfeiffer Declaration, the Trustee believes that Kroll does not represent any adverse interest to unsecured creditors in connection with this case.\n\n28. Kroll will supplement its disclosure to the Court if any facts or circumstances are discovered that would require such additional disclosure.\n\n### **BASIS FOR THE RELIEF REQUESTED, NOTICE, AND NO PRIOR REQUEST FOR RELIEF REQUESTED HEREBY**\n\n29. The Trustee requests to retain and employ Kroll as forensic investigators, pursuant to section 327(a) of the Bankruptcy Code, which provides that a trustee, subject to the approval of the Court, may employ professional persons \"that do not hold or represent an interest adverse to the estate, and that are disinterested persons, to represent or assist the trustee in carrying out the trustee's duties under this title.\"\n\n30. Under section 328(a) of the Bankruptcy Code, with bankruptcy court approval, a trustee may employ professional persons under section 327(a) of the Bankruptcy Code \"on any reasonable terms and conditions of employment, including on a retainer, on an hourly basis, on a fixed or percentage fee basis, or on a contingent fee basis.\" 11 U.S.C. § 328(a).\n\n31. Bankruptcy Rule 2014(a) provides that an application for retention includes:\n\nspecific facts showing the necessity for the employment, the name of the [firm] to be employed, the reasons for the selection, the professional services to be rendered, any proposed arrangement for compensation, and, to the best of the applicant's knowledge, all of the [firm's] connections with the debtor, creditors, any other party in interest, their respective attorneys and accountants, the United States trustee.\n\n32. The Trustee requires the services of forensic investigators to assist in his responsibility to investigate and recover estate assets for the benefit of creditors. Accordingly, the employment of Kroll as forensic investigators, upon the terms set forth herein and in the Proposed Order, is reasonable and in the best interest of the Debtor's estate.\n\n33. Notice of this Application has been given to the United States Trustee, the Debtor, the Committee, and, by electronic filing utilizing the Court's electronic filing (\"CM/ECF\") system, to all appearing parties who utilize the CM/ECF system.\n\n34. No previous application for the relief requested herein has been made to this or any other Court.\n\n### **RETENTION EFFECTIVE AS OF AUGUST 2, 2023 IS APPROPRIATE**\n\n35. Local Bankruptcy Rule 2014-1 provides that if \"an application to employ a professional is filed within thirty (30) days after the commencement of services provided by that professional, the application shall be deemed contemporaneously filed unless the Court orders otherwise.\" Accordingly, the Trustee requests authority to retain and employ Kroll effective August 2, 2023, which was the date that Kroll began providing services to the Trustee.\n\n[*Remainder of page intentionally left blank.*]\n\nWHEREFORE, for the foregoing reasons, the Trustee requests that the Court enter an\n\nOrder, substantially in the form of the Proposed Order filed herewith, granting the Application, and authorizing the employment of Kroll as forensic investigators, and order such other and further relief as the Court deems just and proper.\n\nDated: September 1, 2023 New Haven, Connecticut\n\n### LUC A. DESPINS, CHAPTER 11 TRUSTEE\n\nBy: */s/ Patrick R. Linsey* Douglas S. Skalka (ct00616) Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 821-2000 dskalka@npmlaw.com plinsey@npmlaw.com\n\n*and*\n\n Luc A. Despins, Esq. G. Alexander Bongartz, Esq. PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6472\n\n*Counsel for the Chapter 11 Trustee*\n\nCase 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 10 of 60\n\n# **EXHIBIT A**\n\n**Proposed Order**\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ----------------------------------------------------------- | x      |                         |\n|-------------------------------------------------------------|--------|-------------------------|\n| In re:                                                      | :<br>: | Chapter 11              |\n|                                                             | :      |                         |\n| HO WAN KWOK, et al.,                                        | :<br>: | Case No. 22-50073 (JAM) |\n| Debtors.1                                                   | :      | Jointly Administered    |\n| ----------------------------------------------------------- | :<br>x |                         |\n|                                                             |        |                         |\n\n### **[PROPOSED] ORDER**\n\n# **GRANTING APPLICATION OF CHAPTER 11 TRUSTEE FOR ENTRY OF ORDER PURSUANT TO BANKRUPTCY CODE SECTIONS 327 AND 330, BANKRUPTCY RULES 2014 AND 2016 AND LOCAL BANKRUPTCY RULES 2014-1 AND 2016-1 AUTHORIZING AND APPROVING RETENTION AND APPOINTMENT OF KROLL, LLC AS FORENSIC INVESTIGATORS, EFFECTIVE AS OF AUGUST 2, 2023**\n\nUpon the Application of Chapter 11 Trustee Luc A. Despins (the \"Chapter 11 Trustee\") Luc Despins, in his capacity as the chapter 11 trustee (the \"Trustee\") appointed in the chapter 11 case of Ho Wan Kwok (the \"Debtor\"), for authority to retain and employ Kroll, LLC, as forensic investigators, effective as of August 2, 2023 (the \"Application\"), and upon the Declaration of Allen Pfeiffer (the \"Pfeiffer Declaration\"), pursuant to sections 327 and 330 of title 11 of the United States Code (the \"Bankruptcy Code\"), Rules 2014 and 2016 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\"), and Rules 2014-1 and 2016-1 of the Local Rules of Bankruptcy Procedure for the United States Bankruptcy Court for the District of Connecticut (the \"Local Bankruptcy Rules\"), all as more fully set forth in the Application and the Engagement\n\n<sup>1</sup> The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202) and Genever Holdings Corporation. The mailing address for the Trustee, Genever Holdings LLC, the Genever Holdings Corporation is Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok (solely for purposes of notices and communications).\n\nLetter (as defined in the Application); and upon consideration of the Application and the Pfeiffer Declaration; and this Court having jurisdiction to consider the Application and the relief requested therein in accordance with 28 U.S.C. §§ 157 and 1334 and the Standing Order of Reference from the United States District Court for the District of Connecticut (as amended); and consideration of the Application and the relief requested therein being a core proceeding pursuant to 28 U.S.C. § 157(b); and venue being proper in this Court pursuant to 28 U.S.C. §§ 1408 and 1409; and the Court having found that (i) the relief requested in the Application is in the best interest of the Debtor's estate, its creditors, and all parties-in-interest, (ii) the legal and factual bases set forth in the Application and the Pfeiffer Declaration, and upon the record of any hearing on the Application before this Court establish just cause for the relief granted herein, (iii) Kroll is a \"disinterested person,\" as defined in section 101(14) of the Bankruptcy Code and as required by section 327(a) of the Bankruptcy Code, and (iv) Kroll does not hold or represent an interest adverse to the Debtor's estate; and due and sufficient notice of the Application having been given under the particular circumstances; and it appearing that no other or further notice need be given; and upon all of the proceedings had before this Court; and any objections to the relief requested herein having been withdrawn or overruled on the merits; and after due deliberation and sufficient cause appearing therefor, it is hereby ORDERED THAT:\n\n1. The Application is granted as set forth herein.\n\n2. The Trustee is authorized to retain and employ Kroll as forensic investigators effective as of August 2, 2023 on the terms set forth in the Application, the Engagement Letter, and the Pfeiffer Declaration.\n\n3. Kroll is authorized to act as forensic investigators to the Trustee and to perform those services described in the Application.\n\n2\n\n4. The Debtor's estate shall be responsible for Kroll's compensation and reimbursement of expenses.\n\n5. The allowance of any compensation to be paid to Kroll shall be determined in accordance with the procedures set forth in sections 330 and 331 of the Bankruptcy Code, Bankruptcy Rule 2016, and Local Bankruptcy Rule 2016-1.\n\n6. The Debtors shall indemnify Kroll to the extent required under the terms of the Engagement Agreement, as modified pursuant to this Order.\n\n7. All requests by Kroll for the payment of indemnification as set forth in the Engagement Agreement shall be made by means of an application to the Court and shall be subject to review by the Court to ensure that payment of such indemnity conforms to the terms of the Engagement Agreement and is reasonable under the circumstances of the litigation or settlement in respect of which indemnity is sought, provided however, that in no event shall Kroll be indemnified in the case of its own bad-faith, self-dealing, breach of fiduciary duty (if any), gross negligence, willful misconduct, or violation of the non-disclosure agreement.\n\n8. In the event that Kroll seeks reimbursement from the Debtors for attorneys' fees and expenses in connection with the payment of an indemnity claim pursuant to the Engagement Agreement, the invoices and supporting time records for the attorneys' fees and expenses shall be included in Kroll's own applications, both interim and final, and these invoices and time records shall be subject to the Amended Guidelines and the approval of the Bankruptcy Court pursuant to sections 330 and 331 of the Bankruptcy Code without regard to whether such attorneys have been retained under section 327 of the Bankruptcy Code, and without regard to whether such attorneys' services satisfy section 330(a)(3)(C) of the Bankruptcy Code.\n\n9. Kroll shall not be entitled to reimbursement by the Debtors for any fees, disbursements and other charges of Kroll's counsel other than those incurred in connection with a request of Kroll for payment of indemnity.\n\n10. Kroll shall provide no less than ten business days' notice to the Trustee, the Debtor, the United States Trustee, and counsel to any official committee before any increases in the rates it charges are implemented and shall file such notice with the Court.\n\n11. The Trustee is authorized and empowered to take all actions necessary to effectuate the relief granted in this Order.\n\n12. The requirements of the Local Bankruptcy Rules are satisfied by the contents of the Application.\n\n13. To the extent the Application, the Engagement Letter, and the Pfeiffer Declaration are inconsistent with this Order, the terms of this Order shall govern.\n\n14. The terms and conditions of this Order shall be immediately effective and enforceable upon its entry.\n\n15. This Court shall retain jurisdiction with respect to all matters arising from or related to the implementation, interpretation, and enforcement of this Order.\n\n4\n\nCase 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 15 of 60\n\n### **EXHIBIT B**\n\n**Engagement Letter**\n\n![](_page_15_Picture_1.jpeg)\n\n### **CONFIDENTIAL**\n\n**VIA E-MAIL**: [aviluft@paulhastings.com;](mailto:aviluft@paulhastings.com)\n\n31 August 2023\n\nPaul Hastings LLP MetLife Building, 200 Park Avenue New York, New York, 10166 Attention: Avram Luft, of Counsel\n\n### **SUBJECT: Letter of Engagement for Kroll, LLC: Chapter 11 of Ho Wan Kwok (\"Bankruptcy\")**\n\nDear Avi:\n\nThis Letter of Engagement confirms that we, Kroll, LLC and its affiliates listed in Exhibit 1 (\"**Kroll**\" or \"**we**\"), have been retained by Paul Hastings LLP (\"**Law Firm**\", or \"**you**\") in rendering legal services to Luc A. Despins in his capacity as the Trustee in the Chapter 11 of Ho Wan Kwok (\"**Trustee**\") to provide the independent professional services described herein in connection with the above-referenced matter (\"**Services**\") on the terms of this Letter of Engagement and the attached Terms and Conditions.\n\nAlthough Law Firm and/or the Trustee will define the scope of our work, at all times we will exercise our best independent and professional judgement with respect to all aspects of this engagement. For the avoidance of doubt, Kroll is not rendering any legal advice in this matter, and we are not responsible for ensuring the Trustee's or Law Firm's compliance with any applicable laws, rules, or regulations. All legal advice being provided to the Trustee shall be the sole responsibility of Law Firm.\n\nOur work may include investigating, collecting and analyzing information, including but not limited to accounting records and other financial information, as well as performing various financial and accounting analyses, as needed and directed by Law Firm and/or the Trustee. However, our engagement does not include an audit in accordance with generally accepted auditing standards of existing business records.\n\nThe preparation of our advice and reports is an evolving process during which our analysis is focused and refined as our research and document review proceeds and as information emerges. Law Firm and/or Trustee agree to provide information that you believe is relevant to the Services being provided, and that in Law Firm's judgment can, and should, be shared with Kroll at that time.\n\nThe Law Firm has asked Kroll to start work immediately because of exigencies in your Chapter 11 case. Law Firm and Trustee will take all necessary action within five (5) business days of date of this Engagement Letter to obtain prompt approval, relating back to August 1 2023, the date we started work at Law Firm's request (\"nunc pro tunc\"), by the Bankruptcy Court of the employment and retention of Kroll, including the proposed compensation and reimbursement of expenses described herein, under section 327(a) of the Bankruptcy Code, and will assist Kroll as appropriate in obtaining Bankruptcy Court approval of Kroll's fee applications. You will supply Kroll with a draft of its retention application and proposed order prior to filing these documents with the Bankruptcy Court to enable Kroll and its counsel to review and\n\nT +1 973-775-8260 Allen.Pfeiifer@kroll.com www.kroll.com\n\ncomment. You acknowledge and agree that the compensation rates set forth in this agreement by Kroll hereunder is reasonable.\n\nTo ensure compliance with requirements imposed by the IRS, we inform Trustee and Law Firm that any U.S. federal tax advice contained in this communication (including any attachments) or any report or deliverable contemplated by this communication, whether draft or final, is not intended or written to be used, and cannot be used, for the purpose of (i) avoiding penalties under the Internal Revenue Code or (ii) promoting, marketing or recommending to another party any transaction or matter addressed herein.\n\n### **Services**\n\nYou have engaged Kroll to lead a forensic investigation, any services agreed upon by the parties, and to assist Trustee is any other aspects of the recovery actions filed and to be filed, all as directed by the Law Firm or the Trustee (the \"Services\").\n\nShould the Services expand to include expert witness services and the Law Firm wishes to call an expert witness from Kroll, we will confirm separately with you in writing as to who has been agreed upon to serve as the testifying expert witness (the \"Expert\") from Kroll on this matter, and any expert opinions that may be rendered in this matter are those of the Expert and not Kroll. Should the named Expert become unavailable or unable to perform the Services for whatever reason, the Parties will discuss in good faith regarding a suitable replacement expert. Any testifying expert's work will be compensated based on the applicable hourly rate set forth in this agreement. Kroll, if asked by the Law Firm or Trustee, will provide all necessary consulting expert services in connection with any expert testimony.\n\nWe will carry out the Services using reasonable skill and care. You and/or Trustee agree to provide Kroll with timely assistance and access to information, materials, locations and personnel reasonably necessary for the performance of the Services. You and Trustee agree that we may rely on the information provided to us, that its receipt by us is in compliance with applicable laws, regulations and company policies (including without limitation concerning data privacy) and will not infringe any rights held by any third party, and that we do not have any responsibility to verify it unless otherwise agreed by the Parties.\n\nUpon completion of the Services, or any termination of this agreement, the Law Firm and/or Trustee must elect an option from Addendum B, pertaining to data archiving and case close-out procedures.\n\n# **Confidentiality and Privilege**\n\nOur work is intended for Law Firm's use and benefit in the representation of the Trustee and should not be used by any entity other than the Law Firm for any other purpose except as explicitly permitted hereunder. Law Firm and the Trustee shall maintain all information or documents prepared by Kroll and/or provided by Kroll (the \"**Kroll Work Product**\") as confidential, and will designate it as such under the protective order in this case.\n\nIt is anticipated that all information or documents prepared by Kroll and/or provided by Kroll to Law Firm and/or the Trustee in the course of this engagement constitute confidential communications protected from disclosure to third parties by the attorney-client privilege and/or constitute confidential work product protected from disclosure to third parties by the attorney work-product doctrine. As such, all documents, including but not limited to written deliverables, reports, memoranda, financial analyses and summaries, that we prepare in connection with this engagement shall be prominently labeled \"Attorney Work-Product; Privileged & Confidential\" at your request. We will not prepare any written reports in this matter unless specifically requested to do so by Law Firm and/or the Trustee.\n\nIt is anticipated that all information or documents supplied to Kroll by Law Firm and/or the Trustee in the course of this engagement constitute confidential communications protected from disclosure to third parties by the attorney-client privilege and/or constitute confidential work product protected from disclosure to third parties by the attorney work-product doctrine.\n\nIf we are retained as a testifying expert witness in this matter, Trustee and Law Firm acknowledge that all documents and work product of the Testifying Experts will be handled consistent with the applicable Federal Rules of Evidence and the Bankruptcy Rules.\n\n# **Conflict Check**\n\nAn internal search within Kroll was performed for any potential client conflicts based on the names of the person(s)/entities that were provided by Trustee and/or Law Firm to Kroll. To the best of our knowledge and belief, client conflicts were not identified at that time. Trustee and Law Firm agree that you will inform Kroll of additional parties to this matter or of name changes of the person(s)/ entities that Trustee and/or Law Firm initially provided.\n\nThe Trustee and Law Firm understand and agree that the engagement of a Kroll company for the Services does not prevent Kroll or its affiliated companies from providing services to other clients adverse to the Trustee and/or Law Firm on matters not related to the particular Services being performed hereunder in connection with the Bankruptcy, or is directly related to: (i) Ho Wan Kwok (the \"Debtor\"), or (ii) the Debtor's family, or any other entity that the Trustee has identified in the Bankruptcy as an affiliated-entity of the Debtor, (together \"Debtor Affiliates\") provided that Law Firm has notified Kroll in writing of the names of the Debtor Affiliates and Kroll has confirmed there is no conflict. Confidential Information obtained while performing the Services will continue to be treated as confidential and will not be shared or used in connection with the performance of any other services provided by Kroll or its affiliated companies to other clients. If such an engagement arises, Kroll will promptly file with the bankruptcy court a supplemental disclosure. Should a conflict come to the attention of the Managing Director in charge of this engagement, or any other member of the Kroll team providing Services hereunder, the Managing Director in charge of the engagement will advise you as soon as possible.\n\n# **Staffing**\n\nThe Services will be performed under the overall supervision of Allen Pfeiffer, a Managing Director in the Expert Services practice who will be assisted in the provision of Services by Kroll personnel from other Kroll affiliates and third-party sub-contractors to the extent approved in writing by the Law Firm or the Trustee, as needed, such approval not to be unreasonably withheld. At this juncture the Kroll affiliates listed in Exhibit 1 will be involved in providing the Services, and the Law Firm and Trustee hereby approve the provision of Services by these Kroll affiliates, as directed by the Trustee or Law Firm. However, we note that as this engagement progresses, we may need to involve other Kroll affiliates as necessary, due to jurisdictional and/or licensing requirements.\n\n# **Fees and Expenses**\n\nWe will bill on a time and expense basis, with our fees determined by the hours (or part thereof) actually expended by each assigned professional. We recognize the need to maximize cost efficiency, and therefore, we endeavor to utilize staff at the level commensurate to the particular task while maintaining our standard of high quality work product. Our current standard hourly billing rates range between \\$257 - \\$1,220 and will be discounted for this engagement resulting in a range between \\$231 - \\$915. The discounts to our current standard hourly billing rates will be applied as follows:<sup>1</sup>\n\n| Standard Hourly<br>Bill Rate | Discount Applied |  |\n|------------------------------|------------------|--|\n| \\$1,000 of Higher            | 25%              |  |\n| \\$800 -<br>\\$999             | 20%              |  |\n| \\$799 or Lower               | 10%              |  |\n\n<sup>1</sup> Please see Exhibit 2 for the current rates of the initial Kroll team.\n\nAll reasonable direct out-of-pocket expenditures incurred in connection with the engagement (excluding external legal counsel fees) will be billed at our cost for such items, provided that any expenses anticipated to be in excess of \\$5,000, will be approved by the Law Firm or the Trustee in writing prior to the incurrence of any such expenses. Out-of-town travel time is billed at 50% of the standard time rates quoted above. Any out-of-town air or rail travel will be booked in coach class or the equivalent provided that all travel in excess of six hours one-way will be booked as business class; any travel in excess of six hours one-way must be approved by the Law Firm or Trustee prior to incurrence.\n\nAll time entries will be maintained and entered consistent with the guidance provided by the Law Firm and Trustee.\n\nOur Rates are subject to annual review. The rates set forth in this agreement shall not be raised until at least one year from the date of the signing of this agreement. Where such rate increase is above 10%, Kroll shall notify Law Firm and/or Trustee. The percentage difference in the Standard to Discounted Hourly Rates set forth in this agreement, shall be duplicated for any rate increase, should any come into effect.\n\nWe will discuss with Law Firm and/or Trustee the impact on fees and expenses of any proposed changes to the Services.\n\nKroll will bill Trustee via Law Firm monthly (at the Law Firm address listed in the signature block below or as otherwise updated by Trustee in writing) directly via invoice. However, we acknowledge that the payment of our invoices are not the personal responsibility of the Trustee and will be paid by the Bankruptcy estate, after approval of any fee application. In addition, every ten (10) days Kroll shall provide the Trustee and Law Firm a summary of its expenses incurred and professional fees charged to this engagement for Services rendered within that 10 day period, a break out of what amounts are attributable to what Services, and a summary description of the work the fees and expenses arise from, provided however, that the Trustee and Law Firm acknowledge that these summaries are for internal purposes, are not final and subject to adjustment.\n\nWe do not warrant or predict results in this matter, and our fees are not contingent upon any outcome arising out of the provision of the Services.\n\nIf we do not receive payment of any invoice within thirty (30) days of entry of an order approving our monthly, interim or final fee application, as applicable, we shall be entitled, without prejudice to any other rights that we may have, to suspend provision of the Services until all sums due are paid in full. Further, to safeguard against any assertion or allegation that our work may in some way be influenced by, or contingent upon, the outcome of our analyses, we require that all outstanding invoices be paid, in full, prior to us issuing any report or similar deliverable and prior to us furnishing testimony in deposition or trial, should the services herein require such testimony. Accordingly, we reserve the right to refuse to testify if we have not been paid in full at the time such testimony is required.\n\n# **Terms and Conditions**\n\nThe terms and conditions herein, including those in Attachment 1, set forth the rights and responsibilities of the parties with respect to the Services (collectively, the \"Terms and Conditions\"). By signing this Letter of Engagement, it is acknowledged that Trustee and Law Firm understand and agree to the Terms and Conditions.\n\n### **Non-Disclosure**\n\nKroll agrees, and shall cause its employees and any third-party contractors working on this engagement to agree, (together the \"Kroll Team\") that any information it receives from Law Firm and/or Trustee or learns in the course of this engagement, or opinions or views it may form as part of this engagement of any information, entities or individuals related to this engagement, may not be disclosed to anyone other\n\nthan the Trustee, the Law Firm or the Kroll Team engaged for this assignment without the written authorization of the Trustee or Law Firm. These non-disclosure obligations survive the termination of this engagement, and any individuals departure from this matter, or from Kroll. Kroll will take all reasonable steps to ensure there are no unauthorized disclosures, including but not limited to making any Kroll employee or third-party contractor that works on this engagement aware of these Non-Disclosure obligations. Any unauthorized disclosure is a breach of this agreement and Trustee and/or Law Firm are entitled to seek any rights and remedies available at law or in equity, including injunctive relief, as a result thereof.\n\n\\* \\* \\* \\* \\*\n\nIf the scope and terms of this Letter of Engagement are acceptable, please acknowledge acceptance by signing and returning a copy of this letter to Allen Pfeiffer via email at [Allen.Pfeiffer@kroll.com.](mailto:Allen.Pfeiffer@kroll.com)\n\nYours sincerely,\n\nAllen Pfeiffer Managing Director Kroll, LLC\n\nCase 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 21 of 60\n\n**Attachment 1** to Letter of Engagement dated 31 August 2023.\n\n#### **Terms and Conditions**\n\nThe following are the terms and conditions (the \"Terms and Conditions\") on which we will provide the Services set forth in the attached Letter of Engagement. Together, the Terms and Conditions and the Letter of Engagement are referred to as the \"Contract,\" which forms the entire agreement between Kroll, Law Firm and Trustee relating to the Services.\n\n#### **General**\n\n- 1. Any variation to this Contract, notwithstanding any variation to the Services specified in the Letter of Engagement, shall be set forth in a letter or email communication deemed effective and made part of this Letter of Engagement upon written acknowledgement and agreement by the receiving parties.\n- 2. After we have delivered any work product in final form, we have no responsibility to update such work product to reflect, incorporate or otherwise consider any events or circumstances occurring subsequent to the date of provision of such work product. If such update is requested, a separate letter of engagement, subject to our then standard fees plus expenses, shall be required.\n\n#### **Provision of Information**\n\n3. Our performance of the Services is dependent upon Law Firm and/or Trustee providing us with accurate and timely information and assistance. Law Firm and Trustee shall use reasonable skill, care and attention to ensure that all information we may reasonably require is provided on a timely basis and is accurate and complete. Law Firm or Trustee shall notify us if Trustee or Law Firm subsequently learn that the information provided is incorrect or inaccurate or otherwise should not be relied upon. Failure to comply with this provision in any manner will frustrate, delay and/or otherwise impede Kroll's performance of the Services, and Kroll shall not be held liable for any damage, sanction or penalty as a result thereof. Law Firm and Trustee confirm, represent and warrant that (i) you and/or Trustee has the right to be in possession of any Information/equipment/media furnished by you and/or Trustee or on your or the Trustee's behalf hereunder, (ii) such Information/equipment/media is furnished for a lawful purpose, and its receipt and use by Kroll for the Services will not infringe any rights, including any intellectual property rights, held by any third party and (iii) where applicable, your and the Trustee's collection, possession, processing and transfer of such Information/equipment/media is in compliance with any and all applicable laws, regulations and company policies, including without limitation concerning data privacy, if applicable.\n\n#### **Work Product and Property Rights**\n\n- 4. There may be differences between the draft and final work product. During the course of our work, drafts of our report may be issued. Law Firm and Trustee acknowledge that no reliance shall be placed on draft reports, conclusions or advice, whether oral or written, issued by us as the same may be subject to further work, revision, and other factors which may result in such drafts being substantially different from any final report or advice issued.\n- 5. Any advice given or work product issued by us is provided solely for Law Firm and Trustee's use and benefit and only in connection with the Bankruptcy. Unless required by law, Law Firm and Trustee shall not provide such work product to any third party (except to other consultants or experts engaged by Law Firm or Trustee in connection with the Bankruptcy who shall be subject to the confidentiality requirements and restrictions on use set forth herein) or refer to Kroll or the Services without our prior written consent, where such consent shall not be unreasonably withheld by Kroll. In no event, regardless of whether consent has been provided, shall we assume any responsibility to any third party to which any advice or work product is disclosed or otherwise made available.\n- 6. Unless otherwise instructed by court order or other written instruction, upon conclusion of our services, all documents reviewed and work product prepared in connection with this engagement shall be handled in accordance with our document retention policy.\n- 7. To the extent that Kroll utilizes any of its property (including, but not limited to, any hardware or software) in connection with this engagement, such property shall remain the property of Kroll, and Law Firm and Trustee shall not acquire any right or interest in such property. We shall have ownership (including, but not limited to, copyright ownership) and all rights to use and disclose our ideas, concepts, know-how, methods, techniques, processes and skills, and adaptations thereof, in conducting our business, in each case, consistent with the confidentiality agreements herein.\n\n#### **Preservation of Confidential Information**\n\n- 8. Information received from the other party for the purposes of providing or receiving the Services is deemed \"Confidential\" if it is either (a) marked confidential in tangible form; (b) otherwise confirmed in writing as being confidential; or (c) manifestly confidential in tangible form or otherwise. All parties agree that any Confidential information received from the other party shall only be used for the purposes of providing or receiving the Services under this or any other contract between us. In addition, neither party will disclose, without the prior written consent of the other party, any such Confidential information to any third party, except insofar as expressly permitted herein, except that Kroll may disclose Confidential Information to its affiliates and third party subcontractors in connection with the provision of the Services.\n- 9. Section 8 of these Terms and Conditions will not apply to any information which is (a) or becomes generally available to the public other than as a result of a breach of an obligation by the receiving party; (b) acquired from a third party who owes no obligation of confidence with respect to the information; (d) was known to the receiving Party at the time of disclosure or (c) or has been independently developed by the recipient of such information.\n- 10. If we receive a subpoena or other legal process to preserve or produce documents or provide testimony related to or arising from this engagement, the Trustee shall be reimburse Kroll for expenses incurred and our staff time in responding to the same, including the time to testify at deposition and/or trial, regardless of whether the subpoena is served by the Trustee or a third party and regardless of whether the subpoena only seeks our testimony as a fact witness. Our time will be billed at the rates agreed in this contract. For avoidance of doubt, the foregoing obligations shall not apply with respect to disputes between Law Firm and/or Trustee against Kroll. Kroll agrees to promptly notify Law Firm and/or Trustee upon receipt of such request for information, subpoena or other legal process.\n\n#### **Termination**\n\n.\n\n- 11. If Kroll is hired as a testifying expert witness, Kroll may immediately, upon written notice, terminate services hereunder at any time should a disagreement arise between the parties with respect to any expert opinions to be offered at deposition and/or trial. Further, either party may terminate this Contract: (a) in the event that the other party has breached any material provision thereof and such breach has not been cured within five (5) business days after receipt of written notice from the then non-breaching party; or (b) on providing thirty (30) days prior written notice.\n- 12. Upon termination of this Contract for any reason, each party shall, upon written request from the other, return to the other all property and documentation of the other in its possession, except that we shall be entitled to retain copies of such documents in order to maintain a professional record of our involvement and as required by law, rule and regulation.\n- 13. The Terms and Conditions set forth herein that by their nature are intended to survive shall survive termination of this Contract.\n\n#### **Data Protection**\n\n14. If, in the course of providing the Services, Kroll is required to process any personal data where such processing is subject to the EU General Data Protection Regulation 2016/679 (\"GDPR\") or other UK and/or European laws implementing or supplementing the GDPR then the provisions of Addendum A shall apply to such personal data.\n\n#### **Third Party Resources**\n\n- 15. To the extent that Kroll utilizes any of its property or the property of a thirdparty vendor/subcontractor (including, but not limited to, any hardware or software) in connection with the Services hereunder, such property shall remain the property of Kroll (and/or such third-party vendor/subcontractor, as applicable), and neither the Law Firm or Trustee shall acquire any right or interest in such property. Kroll shall retain ownership (including, but not limited to, copyright ownership) of our ideas, concepts, know-how, methods, techniques, processes and skills, and adaptations thereof, in conducting our business now and in the future.\n- 16. Kroll will maintain and follow reasonable procedures to furnish to Law Firm and/or the Trustee the information reflected in the public record or obtained from other sources. KROLL DOES NOT WARRANT THE ACCURACY, COMPLETENESS OR VALIDITY OF ANY SUCH INFORMATION. KROLL DISCLAIMS ANY LIABILITY AND DOES NOT TAKE ANY RESPONSIBILITY FOR THE DECISIONS THE TRUSTEE MAKES BASED ON THE INFORMATION. EXCEPT TO THE EXTENT EXPRESSLY SET FORTH IN THIS AGREEMENT, AND UNLESS PROHIBITED BY LAW,\n\n### Case 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 23 of 60\n\nKROLL DISCLAIMS ALL WARRANTIES, EXPRESS OR IMPLIED, INCLUDING ANY IMPLIED WARRANTY OF MERCHANTABILITY, ANY IMPLIED WARRANTY ARISING FROM THE COURSE OF DEALING, FITNESS FOR A PARTICULAR PURPOSE, NON-INFRINGEMENT AND NON-INTERRUPTION OF SYSTEM USE.\n\n#### **Forensics and Use of Third Party Technologies**\n\n- 17. Trustee and Law Firm acknowledge that any part of its digital infrastructure or information technology environment, including that portion provided, hosted, or in any way supported by third-parties, whether on premises or cloud based, including digital/computer equipment, drives, data and media may be damaged, infected or corrupted prior to or during Kroll's performance of Services. Kroll does not assume responsibility or liability for such pre-existing damage or further problems resulting therefrom. Kroll shall take industry standard precautions to ensure that its Services do not introduce or contain viruses or other malware. Trustee and Law Firm acknowledge that no digital services can guarantee absolute security, reliability, or to be malware free.\n- 18. We may utilize certain third-party software and hardware (the \"Engagement Tool\") to perform the Services. The Engagement Tool are provided \"as is,\" and no Kroll Persons has been involved in the creation, production, or delivery of any Engagement Tool. Kroll does not make any warranties, express or implied, with respect to any Engagement Tool thereof, including, without limitation, any implied warranty of merchantability or fitness for any particular purpose or use, or any warranty that the operation of any Engagement Tool will be uninterrupted, error free or that it will be compatible with any hardware or software used by Trustee tor Law Firm.\n- 19. The Services may be provided during a time that Trustee or Law Firm databases, software, or servers require upgrading, patching, and other routine maintenance. If the Services require any of these in order to be performed, Kroll will provide advanced notice to Trustee such that the parties can plan for minimal Services interruption or interruption to Trustee's or Law Firms' business operations.\n- 20. If in the course of the examination of computers, telephones or other electronic devices, or the examination of electronic media, software content or materials in hard copy form, Kroll or an affiliate observes or otherwise encounters what may be considered illegal contraband, such as images the mere possession of which Kroll reasonably believes to be unlawful, Kroll reserves the right to disclose such contraband to law enforcement. In such an event, and to the extent Kroll reasonably believes is permitted by applicable laws, Kroll will notify the Law Firm or Trustee of its intention to disclose the existence and/or content of such contraband to the appropriate authorities.\n\n#### **Other Terms and Provisions**\n\n- 21. Except in the event of our judicially determined (i) gross negligence, (ii) willful misconduct; (iii) fraud, or (iv) violation of the Non-Disclosure clause, in no event shall we or our affiliates and respective employees, directors, officers, and agents (collectively, the \"**Kroll Persons**\") be liable to Law Firm or Trustee (or any person claiming through either Trustee or Law Firm), under any legal theory, for any amount in the aggregate in excess of the total professional fees paid by Trustee to us under this Contract.\n- 22. Trustee agrees to indemnify and hold harmless the Kroll Persons from third party claims, liabilities, losses, costs, demands and reasonable expenses, including but not limited to reasonable legal fees and expenses, relating to the Services rendered under this Contract or otherwise arising under this Contract, subject to the parameters of the s327 order. The foregoing indemnification obligations shall not apply in the event that a court of competent jurisdiction determines that such claims resulted directly from the gross negligence, willful misconduct, fraudulent acts of Kroll, or violation of the Non-Disclosure clause. Unless prohibited by law, the indemnified party will give the indemnifying party prompt notice of the event giving rise to the indemnifying party's payment obligations herein, and the indemnified party shall reasonably cooperate with the indemnifying party, including providing the indemnifying party with a reasonable opportunity to participate in the defense of the same (it being understood that the indemnifying party may not enter into any settlement on behalf of the indemnified party without the indemnified party's prior consent unless such settlement (i) releases the indemnified party in full of all claims, (ii) does not impose any obligation on the indemnified party, and (iii) includes no admission of any kind of liability on behalf of the indemnified party.\n- 23. Law Firm and Trustee accept and acknowledge that we have not made any warranties or guarantees, whether express or implied, with respect to the Services or any outcome that may be obtained as a result of the provision of the Services.\n\n- 24. Except for Trustee's payment obligations, neither of us will be liable to the other for any delay or failure to fulfill obligations caused by circumstances outside our reasonable control.\n- 25. Trustee will comply with applicable laws, including data protection laws in connection with the provision of any personal data to us and in connection with the parties' instructions to us for collecting or processing personal data. Trustee is responsible for providing any required notices to or obtaining any required consent from individuals, if required under applicable laws.\n- 26. We reserve the right to use Law Firm or Trustee's name and a description of the nature of the Services in general marketing materials.\n- 27. This Contract shall be governed by and interpreted in accordance with the laws of the State of New York. Any controversy or claim arising out of or relating to this Contract, or the breach thereof, shall be: (i) during the pendency of the Bankruptcy, be brought before the Bankruptcy Court for the District of Connecticut and be marked as related to In re Ho Wan Kwok; or (ii) thereafter, be settled by binding, confidential arbitration administered in New York, New York by the American Arbitration Association (\"AAA\") in accordance with its Arbitration Rules then in effect. There shall be one arbitrator agreed to by the Parties within twenty (20) days of a written request for arbitration. If the Parties cannot agree, an arbitrator will be appointed by the AAA in accordance with its Arbitration Rules. Any award from any such arbitration proceeding may be entered as a judgment in any court of competent jurisdiction. Each Party shall bear its own costs in connection with any arbitration hereunder. Nothing herein shall prevent a party from seeking injunctive relief (or any other provisional remedy) from any court having jurisdiction over the parties and the subject matter of the dispute as is necessary to protect a party's proprietary rights.\n\n**Exhibit 1 – List of Kroll Affiliates**\n\n**Kroll Associates Inc Kroll Associates UK Limited Kroll Advisory Ltd Kroll Emerging Markets Limited Crisp Thinking (UK) Limited**\n\n.\n\n# **Exhibit 2 – Current Rates of the Initial Kroll Team** Case 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 25 of 60\n\n| Service Line                                | Level                             | Standard Hourly Rate<br>(USD) | Discounted Hourly<br>Rate (USD) |\n|---------------------------------------------|-----------------------------------|-------------------------------|---------------------------------|\n| Expert Services                             | Managing Director                 | \\$1,220                       | \\$915                           |\n|                                             | Director                          | \\$1,105                       | \\$829                           |\n|                                             | Vice President                    | \\$ 875                        | \\$700                           |\n|                                             | Senior Associate                  | \\$ 665                        | \\$599                           |\n|                                             | Analyst                           | \\$ 465                        | \\$419                           |\n|                                             | Research Analyst                  | \\$ 325                        | \\$293                           |\n|                                             |                                   |                               |                                 |\n| Forensic Investigations<br>and Intelligence | Managing Director                 | \\$850 -<br>\\$860              | \\$680-\\$688                     |\n|                                             | Associate MD/<br>Senior Director  | \\$675 -<br>\\$752              | \\$608-\\$677                     |\n|                                             | Vice President/<br>Senior Manager | \\$450 -<br>\\$643              | \\$405-\\$579                     |\n|                                             | Senior Associate                  | \\$400 -<br>\\$467              | \\$360-\\$420                     |\n|                                             | Analyst                           | \\$257 -<br>\\$420              | \\$231-\\$378                     |\n|                                             |                                   |                               |                                 |\n| Digital Insights and<br>Forensics           | Managing Director                 | \\$950                         | \\$760                           |\n|                                             | Senior Director/<br>Associate MD  | \\$795                         | \\$716                           |\n|                                             | Director                          | \\$750                         | \\$675                           |\n|                                             | Manager                           | \\$600                         | \\$540                           |\n|                                             | Senior Associate                  | \\$475                         | \\$428                           |\n|                                             | Analyst                           | \\$400                         | \\$360                           |\n\n# **Addendum A** Case 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 26 of 60\n\n### **GLOBAL DATA PROCESSING ADDENDUM**\n\nThis Data Processing Addendum (\"**DPA**\" or \"**Addendum**\") forms part of letter of engagement between (i) Paul Hastings LLP (\"**Law Firm**\") in rendering legal services to Luc A. Despins in his capacity as the Trustee in Chapter 11 of Ho Wan Kwok (\"**Trustee**\") and (ii) Kroll LLC (\"**Kroll**\") (each a \"**Party**\" and together the \"**Parties**\"), under which Kroll agrees to provide Trustee via Law Firm with the Services under the Contract during the provision of which Services Kroll processes Trustee Personal Data. This DPA reflects the parties' agreement related to the processing of Personal Data in connection with the Services, as defined and set forth below.\n\nTerms used but not defined herein shall have the meaning ascribed to in the Contract.\n\n#### **Definitions**\n\n- 1.1 *Controller* means the natural or legal person, public authority, agency or other body which, alone or jointly with others, determines the purposes and means of the Processing of Personal Data.\n- 1.2 *Trustee Personal Data* means the Personal Data that is provided to or acquired by Kroll for processing in order to provide the Services.\n- 1.3 *Data Subject* is the identified or identifiable natural person the Personal Data is relating to, including a \"Consumer\" as defined by CCPA.\n- 1.4 *Data Protection Laws* means all data protection or privacy laws and regulations as may be applicable to the processing of personal data under the Agreement, including, without limitation, those of the European Union including the General Data Protection Legislation 2016/679 (GDPR) and the related legislation of any Member State or the United Kingdom, US federal or state laws, the California Consumer Privacy Act of 2018 (CCPA), and to the extent applicable, laws of any other jurisdiction.\n- 1.5 *EU* means European Union.\n- 1.6 *EU and UK Personal Data* means Trustee Personal Data which is subject to European Union and/or United Kingdom data protection laws, including the GDPR and the related legislation of any Member State, and the UK GDPR and UK Data Protection Act 2018.\n- 1.7 *EU Standard Contractual Clauses* means the standard contractual clauses set forth by the EU Commission for the transfer of Personal Data to processors established in third countries.\n- 1.8 *Member State* means a country that is member of the European Union or the European Economic Area.\n- 1.9 *Personal Data* means \"personal data\" and/or \"personal information\" as defined under Data Protection Laws, including any information relating to an identified or identifiable natural person ('Data Subject'), which is protected under Data Protection Laws.\n- 1.10 *Personal Data Breach* means a breach of security leading to the accidental or unlawful destruction, loss, alteration, unauthorized disclosure of, or access to, Trustee Personal Data transmitted, stored or otherwise processed by Kroll.\n- 1.11 *Process or Processing* means any operation or set of operations which is performed on Personal Data or on sets of Personal Data, such as collection, recording, organization, structuring, storage, adaptation or alteration, retrieval, consultation, use, disclosure by transmission, dissemination or otherwise making available, alignment or combination, restriction, erasure or destruction.\n- 1.12 *Processor* means a natural or legal person, public authority, agency or other body which processes Personal Data on behalf of the Controller.\n- 1.13 *Service(s)* means the services provided by Kroll as agreed in the Agreement(s).\n- 1.14 *Subprocessor* means any subcontractor, independent contractor, or vendor engaged by Kroll for the Processing of Trustee Personal Data.\n- 1.15 *Supervisory Authority* means an independent public authority responsible for monitoring the application of Data Protection Laws.\n\n#### **2 Processing of Personal Data**\n\n- 2.1 Kroll and Trustee shall process Trustee Personal Data in compliance with the applicable Data Protection Laws.\n- 2.2 Kroll shall process Trustee Personal Data in carrying out the Services:\n\t- 2.2.1 on behalf of Trustee and in accordance with Trustee's documented instructions unless otherwise required by law or regulation to which Kroll is subject; and\n\t- 2.2.2 for the purpose of carrying out the Services or as otherwise instructed by Trustee, in the role of Data Processor (as defined by GDPR) or Service Provider (as defined by CCPA).\n- 2.3 The details of the processing activities to be carried out by Kroll on behalf of the Trustee, are specified in the Agreement(s).\n- 2.4 Kroll will not sell or rent Trustee Personal Data or otherwise disclose, use, or process the Trustee Personal Data for purposes other than providing services specified in the Agreement(s), unless otherwise required by law or regulation to which Kroll is subject.\n- 2.5 Trustee represents that it will comply with applicable Data Protection Laws in its provision of Trustee Personal Data to Kroll, including having provided such notice or acquired such consents as may be required under Data Protection Laws.\n- 2.6 Trustee's instructions to Kroll for processing of Personal Data shall comply with applicable Data Protection Laws. With regards to EU and UK Personal Data, Trustee represents that it has identified a lawful basis of processing which Trustee shall rely for providing instructions to Kroll to process Personal Data for the purpose of the Services.\n\n#### 3 **Technical and Organizational Measures**\n\n- 3.1 Kroll shall maintain a comprehensive written information security program and implement appropriate technical and organizational measures appropriate to the risk to ensure the security, integrity, and confidentiality of Trustee Personal Data. Measures shall include, as appropriate, measures for protection against anticipated threats or hazards to the security or integrity of such information, measures for protection against unauthorized or unlawful processing, accidental or unlawful destruction, loss or alteration or damage, unauthorized disclosure of, or access to, Trustee Personal Data.\n- 3.2 Kroll shall regularly monitor its compliance with the respective technical and organizational measures. Kroll will not materially decrease the overall security of the measures applied to the Trustee Personal Data during the term of Services.\n\n# Case 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 27 of 60\n\n3.3 Kroll has appointed Data Protection Officers in various jurisdictions as required by law. The appointed person(s) may be reached a[t kroll.privacy@kroll.com](mailto:kroll.privacy@kroll.com) .\n\n#### **4 Information and Audit**\n\n- 4.1 Upon request by Trustee, at reasonable intervals, subject to confidentiality obligations, Kroll will provide information about the Processing of the Trustee Personal Data, including but not limited to the technical and organizational measures implemented.\n- 4.2 Upon request by Trustee, no more than once per calendar year during the term of the engagement, on a minimum of 30 days' notice, Kroll shall allow for and contribute to audits conducted by Trustee to the extent reasonably necessary to demonstrate compliance with the Data Protection Laws applicable to Trustee in the receipt of the Services. The limit of once per calendar year shall not apply in the event of any audit specifically required by a Supervisory Authority or following a Personal Data Breach for which Kroll is at fault, provided that Trustee shall provide as much notice as possible of any such audit.\n- 4.3 Kroll will provide Trustee with cooperation and assistance in relation to any data protection impact assessment or regulatory consultation that Trustee is legally required to make in respect of Trustee Personal Data.\n\n#### **5 Subprocessors**\n\n- 5.1 Subprocessors currently used by Kroll to process Personal Data for providing the Services are listed in Appendix III. Where Kroll intends to engage a new subprocessor which will process Personal Data, Kroll will inform Trustee prior to engaging such subprocessor. Trustee may object to the engagement of such subprocessor, on reasonable grounds related to the ability of such subprocessor to protect the personal data or comply with Applicable Laws or the requirements of this Agreement, by notifying Kroll in writing via email to [kroll.privacy@kroll.com](mailto:kroll.privacy@kroll.com) within twenty (20) days after receipt of Kroll's notice. In such event, the Parties will work together to discuss a resolution.\n- 5.2 Kroll has or will enter into a written agreement with each Subprocessor performing Services for Trustee containing data protection obligations not less protective than those in this DPA.\n- 5.3 Kroll remains responsible for its Subprocessors and liable for their acts and omissions in connection with the performance of Services as for its own acts and omissions, and any references to Kroll's obligations, acts and omissions in this DPA shall be construed as referring also to Kroll's Subprocessors.\n- 5.4 Trustee acknowledges and agrees that Kroll's global affiliates, who are subject to Kroll's policies and the requirements of this DPA, may be engaged as Subprocessors, as necessary to provide the Services, without further notice to Trustee.\n\n#### **6 Confidentiality and Reliability**\n\n- 6.1 Kroll shall limit access to Trustee Personal Data to those personnel who need to know or access the relevant Trustee Personal Data for performing Services in accordance with the Agreement(s).\n- 6.2 Kroll shall require its personnel authorized to Process Trustee Personal Data to not Process such Data for any other purposes, except on instructions from Trustee or unless required by applicable law.\n- 6.3 Kroll shall inform its personnel engaged in the Processing of Trustee Personal Data of the confidential nature of the Trustee Personal Data, provide personnel with appropriate training on their responsibilities, and require that personnel have agreed to maintain confidentiality of Personal Data.\n\n#### **7 Data Subject rights and requests**\n\n- 7.1 Kroll will inform Trustee without undue delay of any requests from Data Subjects exercising their Data Subject rights (e.g. access, rectification, restriction, deletion/erasure, objection to processing, etc.) addressed directly to Kroll regarding Trustee Personal Data.\n- 7.2 Unless prohibited by law, Kroll will direct Data Subjects exercising their Data Subject Rights to direct such requests to Trustee, who shall respond as required under applicable Data Protection Laws.\n- 7.3 If Trustee is required under Data Protection Laws to respond to a Data Subject's request to exercise Data Subject Rights, Kroll shall upon request from Trustee, taking into account the nature of the processing, provide commercially reasonable efforts to assist Trustee in responding to such request, including to delete information as may be required under applicable law. Trustee shall be responsible for any costs arising from Kroll's provision of such assistance.\n- 7.4 If Kroll is directly required under Data Protection Laws to respond to a Data Subject's request to exercise Data Subject Rights arising from Kroll's performance of the Services, Trustee shall be responsible for any costs arising from Kroll's response to the Data Subject.\n\n#### **8 Personal Data Breach**\n\n- 8.1 Kroll maintains security incident management policies and procedures and will notify Trustee promptly after becoming aware of a Personal Data Breach in respect of the Trustee Personal Data. Kroll will promptly investigate the Personal Data Breach and take appropriate measures to address the personal data breach, including measures to mitigate its adverse effects.\n- 8.2 Kroll will provide Trustee with reasonable assistance, taking into account the nature of processing and information available to Kroll, to satisfy any notification obligations required under Data Protection Law related to any Personal Data Breach (unless such Breach is caused by Trustee or Trustee's Users).\n\n#### **9 Return or Deletion of Client Personal Data**\n\n9.1 Unless otherwise required by applicable law to which Kroll is subject, after the end of the provision of services or after the time when Trustee Personal Data is no longer necessary for the purposes for which it is processed, Kroll will, at Trustees written direction, either delete or return the Trustee Personal Data within a reasonable period.\n\n#### **10 International Data Transfer**\n\n- 10.1 Due to global nature of Kroll's operations, Kroll may need to transfer data to Kroll locations in other countries to effectively provide the Services and for compliance and administration purposes. Such transfers shall be performed in accordance with the requirements of applicable Data Protection Law.\n- 10.2 Where Kroll processes EU or UK Personal Data, Kroll makes available the transfer mechanisms listed below, which shall apply to transfers of Personal Data from the EU or UK to countries outside of the UK or EEA that do not provide for an adequate level of protection as determined by the European Commission:\n\t- 10.2.1 For transfers of data from the EU or UK, the Controller to Processor form of the EU Standard Contractual Clauses (Decision 2021/914/EU 4 June 2021), as currently set out [http](http) specifically sections I, II, III and IV to the extent they reference Module Two (Controller-to-Processor) (\"EU C to P SCC's\") shall be deemed to be\n\n# Case 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 28 of 60\n\nincorporated by reference in this Addendum. For the purposes of EU C to P SCC's, Trustee be regarded as the data exporter and Kroll will be regarded as the data importer, the Parties have completed Annexes 1 and 2 (and Annex 3 when applicable), attached hereto, and the following operative provisions and additional terms apply:\n\n- In Clause 7, the optional docking clause will not apply\n- In Clause 9 (sub-processors), Option 2 will apply. Kroll has the Trustee's general authorization for the engagement of subprocessor(s) from an agreed list, as set out in Appendix 3. Kroll shall specifically inform the Trustee in writing of any intended changes to that list through the addition or replacement of sub-processors at least 20 days in advance, thereby giving the Trustee sufficient time to be able to object to such changes prior to the engagement of the sub-processor(s).\n- In Clause 11(redress), the optional language will not apply;\n- For the purposes of Clause 17 (Governing law), the Parties agree that the SCC's shall be governed by the law that is designated in the Contract as the law governing the Contract.\n- However, if such Contract is not governed by EU Member State law, the SCC's shall be governed by the law of the EU Member State in which the data exporter is established, which shall be the United Kingdom.\n- Notwithstanding the above, if the Contract is governed by the laws of the United Kingdom, the SCC's shall be governed by the laws of the United Kingdom.\n- For the purposes of Clause 18 (Forum and Jurisdiction), courts under clause 18(b) shall be those designated as the court with jurisdiction in the Agreement. If the Agreement does not designate an EU Member State or UK courts as having jurisdiction, the Parties agree that it shall be the courts of the jurisdiction specified in Clause 17.\n- 10.2.2 For transfers of data from the UK, in addition to 10.2.1 above, the UK Data Transfer Addendum (\"UK DTA\") in a form adopted by the UK ICO, currently available at [http](http)[data-transfer-agreement.pdf,](http) as amended, superseded or replaced from time to time, will apply to such transfers, and the following information required under the UK DTA shall apply:\n\t- Table 1 shall consist of the content in Section A of Annex 1 attached hereto;\n\t- for Table 2, the Approved the EU Standard Contractual Clauses set out in Section 10.2.1 above are selected with the following modules, clauses, or optional provisions applied: (a) Module Two (controller to processor); (b) in Clause 7, the optional docking clause is not included; (c) in Clause 9, option 2 for general written authorization with a time period of twenty days; and (d) in Clause 11, the optional text is not included;\n\t- Table 3 shall consist of the content in Annex 1 (Sections A-B) and Annex 2 of this addendum; and\n\t- for purposes of Table 4, neither Party may end the Addendum except by mutual agreement.\n- 10.3 Kroll entities have entered into intracompany data processing/transfer agreements which allows for the processing of personal data and for transfers of personal data from the EU or UK to locations outside of the EEA.\n- 10.4 Where Trustee is subject to specific obligation under Data Protection Laws in respect of the processing of Trustee Personal Data, Kroll and Trustee will negotiate and execute such documents as may be reasonably required for Trustee to comply with those obligations.\n- 10.5 In the event that a valid data transfer mechanism upon which Kroll and/or Trustee relies for processing of Personal Data in the provision of Services is amended, replaced or repealed under Data Protection Laws, the parties shall work together in good faith to negotiate a solution to enable a transfer of Personal Data to be conducted in compliance with Data Protection Laws.\n\n#### **11 Severance**\n\n11.1 Should any provision of this DPA be invalid or unenforceable, then the remainder of this DPA shall remain valid and in force. The invalid or unenforceable provision shall be either (i) amended as necessary to ensure its validity and enforceability, while preserving the parties' intentions as closely as possible or, if this is not possible, (ii) construed in a manner as if the invalid or unenforceable part had never been contained therein.\n\nThis DPA (including the Appendices hereto) is entered into and becomes a binding part of the above-referenced Agreement with effect from the date of the SOW for Services pursuant to which the Trustee Personal Data is Processed.\n\n# **Addendum B** Case 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 29 of 60\n\nAt the conclusion of the Services or upon termination of this Agreement Kroll will, as directed by Law Firm and/or Trustee in writing, do one of the following:\n\n1. Return the electronically stored information (\"ESI\") collected, along with exports of any data hosted in the review platform, to Law Firm and/or Trustee;\n\n2. Destroy the ESI collected, along with any data hosted in the review platform;\n\n3. Charge a minimum monthly fee of \\$5,000 for storage and management of the ESI collected, in addition to the agreed upon monthly hosting fees for any data that remains hosted in the review platform (beginning one month after the conclusion of the Services); or\n\n4. Agree with Law Firm and/or Trustee on another arrangement.\n\nAll data received by Kroll on any physical media (e.g. hard drives, USB/Flash Drives), once copied to the Kroll environment will be returned to the Law Firm and/or Trustee at your expense and direction.\n\n# *ANNEX 1* Case 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 30 of 60\n\n#### **A. LIST OF PARTIES**\n\n**Data exporter(s):** [*Identity and contact details of the data exporter(s) and, where applicable, of its/their data protection officer and/or representative in the European Union]*\n\nName: The entity identified as \"Trustee\" in the Contract\n\nAddress: The address for Trustee associated with its Kroll account or as otherwise specified in the Addendum or the Contract\n\nContact person's name, position and contact details: The contact details associated with Trustee's account, or as otherwise specified in the Addendum or the Contract\n\nActivities relevant to the data transferred under these Clauses: the activities specified in the Contract\n\nRole (controller/processor): Controller\n\n**Data importer(s):** [*Identity and contact details of the data importer(s), including any contact person with responsibility for data protection]*\n\n.................................................................................................................................................................\n\nName: Kroll, LLC or its affiliate as specified in the Contract (\"Kroll\") Address: The address for Kroll as specified in the Contact\n\nContact person's name, position and contact details: Daniela Mosca, EU DPO, Daniela.mosca@kroll.com\n\nActivities relevant to the data transferred under these Clauses: the activities specified in the Contract\n\nRole (controller/processor): Processor\n\n#### *ANNEX 2*\n\n#### **TECHNICAL AND ORGANIZATIONAL MEASURES INCLUDING TECHNICAL AND ORGANIZATIONAL MEASURES TO ENSURE THE SECURITY OF THE DATA**\n\n*Description of the technical and organizational measures implemented by the data importer(s) (including any relevant certifications) to ensure an appropriate level of security, taking into account the nature, scope, context and purpose of the processing, and the risks for the rights and freedoms of natural persons.*\n\nKroll maintains administrative, physical, and technical safeguards for protection of the security, confidentiality and integrity of Personal Data provided to Company, including organizational controls, physical access controls, system access controls, system security controls, and an incident management process.\n\n*Measures for encryption of personal data*\n\n- Databases and files that store client data are encrypted.\n- Trustee data is encrypted in transit\n\n*Measures for ensuring ongoing confidentiality, integrity, availability and resilience of processing systems and services*\n\n- network firewalls and intrusion detection systems.\n- measures to ensure that the systems and applications that support the Services are patched or secured to mitigate the risk of security vulnerabilities.\n- routine external vulnerability scans and at least annual penetration testing, and any critical vulnerabilities identified are promptly remediated.\n\n*Measures for ensuring the ability to restore the availability and access to personal data in a timely manner in the event of a physical or technical incident*\n\n• regular backups of client data, maintained redundantly across multiple availability zones and encrypted in transit and at rest\n\n*Processes for regularly testing, assessing and evaluating the effectiveness of technical and organizational measures in order to ensure the security of the processing*\n\n- Kroll maintains a risk-based security program based on the ISO 27001 Information Security Management System.\n- Information security policies and standards are reviewed and approved by management at least annually and are made available to all Kroll employees for their reference.\n- Kroll's Information Security Team manages Kroll's security program, including facilitating and supporting independent audits and assessments performed by third-parties to provide independent feedback on the effectiveness of the information security program.\n\n*Measures for user identification and authorization*\n\n- Kroll personnel are authorized to access client data based on their job function, role and responsibilities.\n- access rights are reviewed regularly, and access is promptly removed upon role change or termination.\n- password control requirements including: automatic suspension of user accounts after several erroneous passwords are entered, minimum password complexity requirements, forced password changes, prohibited reuse of passwords, and blocking of common dictionary words as passwords.\n\n*Measures for the protection of data during transmission*\n\n• See Measures for encryption of personal data\n\n*Measures for the protection of data during storage*\n\n- encryption of any portable media (e.g., laptops, removable drives, flash drives, or tapes)\n- use of USB storage devices is restricted\n\n*Measures for ensuring physical security of locations at which personal data are processed*\n\n- Access to facilities where data is processed is restricted through access control at entry points and in storage rooms for Kroll personnel and third parties (e.g. badge access, security guards, etc.).\n- Visitor access is logged\n- Monitoring cameras (e.g. CCTVs) cover sensitive areas within the facility\n\n*Measures for ensuring events logging*\n\n- logging events related to security of and access to applications tools, and resources that process or store client data\n- event logs are correlated, analyzed, and monitored centrally by the security team and log activities are investigated when necessary and escalated appropriately.\n\n*Measures for ensuring system configuration, including default configuration*\n\n• information systems are deployed in accordance with the documented standard security configuration, which is reviewed periodically\n\n# Case 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 32 of 60\n\n• Secure Software Development Lifecycle (SDLC) standards applied to perform numerous security-related activities for the services across different phases of the product creation and information system lifecycle\n\n*Measures for internal IT and IT security governance and management*\n\n- Kroll maintains a risk-based security program based on the ISO 27001 Information Security Management System\n- Information security policies and standards are reviewed and approved by management at least annually and are made available to all Kroll employees for their reference.\n\n#### *Measures for certification/assurance of processes and products*\n\nKroll conducts both internal and third party audits to verify compliance with frameworks including SOC2, ISO 27001, and similar.\n\n#### *Measures for ensuring data minimization*\n\nKroll's products and services are developed and operated following the principle of Privacy by Design, such that products and services will only collect and process the data necessary for and proportionate to the intended functionality or service.\n\n#### *Measures for ensuring data quality*\n\nKroll takes technically feasible and commercially reasonable steps to ensure that the personal data it processes is accurate and relevant for the purpose for which it is processed.\n\n*Measures for ensuring limited data retention*\n\n- adherence to a defined record retention policy\n- Kroll's Privacy by Design principles embed limited data retention into the design and operation of products and services\n\n*Measures for ensuring accountability*\n\n- operation of a global privacy program detailing how Kroll collects, stores, protects, and uses client personal data, under the responsibility of the Chief Privacy Officer and the Data Protection Officer\n- Data privacy and protection policies and procedures\n\n#### *Measures for allowing data portability and ensuring erasure]*\n\nKroll facilitates data subject requests in accordance with our Privacy Notice and provides assistance to clients as may reasonably be required to comply with client's obligations under data protection laws\n\n## Case 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 33 of 60\n\n*ANNEX 3*\n\n**LIST OF SUB-PROCESSORS**\n\nThe controller has authorized the use of the following sub-processors:\n\n*Name*\n\n*Address*\n\n..................................................................................................................................................................................\n\n..................................................................................................................................................................................\n\n*Contact person's name, position and contact details*\n\n..................................................................................................................................................................................\n\n*Description of processing (including a clear delimitation of responsibilities in case several sub -processors are authorized)*\n\n.................................................................................................................................................................\n\nCase 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 34 of 60\n\n# **EXHIBIT C**\n\n**Pfeiffer Declaration**\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ----------------------------------------------------------- | x      |                         |\n|-------------------------------------------------------------|--------|-------------------------|\n| In re:                                                      | :<br>: | Chapter 11              |\n| HO WAN KWOK, et al.,                                        | :<br>: | Case No. 22-50073 (JAM) |\n| Debtors.1                                                   | :<br>: | Jointly Administered    |\n| ----------------------------------------------------------- | :<br>x |                         |\n\n# **DECLARATION OF ALLEN PFEIFFER IN SUPPORT OF APPLICATION OF CHAPTER 11 TRUSTEE FOR AUTHORIZATION TO RETAIN AND EMPLOY KROLL, LLC AS FORENSIC INVESTIGATORS AS OF AUGUST 2, 2023**\n\nI, Allen Pfeiffer, make this declaration under 28 U.S.C. § 1746:\n\n1. I am a Managing Director of Kroll, LLC (\"Kroll\"). The matters set forth herein are\n\nmade of my own personal knowledge and, if called and sworn as a witness, I could and would\n\ntestify competently thereto.<sup>2</sup>\n\n2. This Declaration is made in support of the Trustee's application (the \"Application\")<sup>3</sup>\n\nfor an order pursuant to sections 327 and 330 of title 11 of the United States Code (the \"Bankruptcy\n\nCode\"), authorizing the employment and retention of Kroll as forensic investigators to the Trustee as\n\n<sup>1</sup> The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595), Genever Holdings LLC (last four digits of tax identification number: 8202) and Genever Holdings Corporation. The mailing address for the Trustee, Genever Holdings LLC, the Genever Holdings Corporation is Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok (solely for purposes of notices and communications).\n\n<sup>2</sup> Certain of the disclosures herein relate to matters within the knowledge of other professionals at Kroll and are based on information provided by them.\n\n<sup>3</sup> Capitalized terms used but not otherwise defined herein shall have the respective meanings ascribed to such terms in the Application.\n\nof August 2, 2023 in accordance with the terms and conditions set forth in that certain Letter of Engagement dated as of August 31, 2023, by and between Kroll and the Trustee, Genever (BVI), and Genever (US) (the \"Engagement Letter\"). A proposed form of order granting the relief requested in the Application (the \"Proposed Order\") is annexed thereto as **Exhibit A**. The Engagement Letter is annexed to the Application as **Exhibit B**.\n\n3. Kroll is a global leader in forensic investigations, with vast experience in international investigation and asset recovery. Kroll has substantial experience in matters of this size and complexity and has acted as forensic investigators or in similar roles in many significant bankruptcy cases pending in districts nationwide. *See, e.g.*, *Residential Capital*, Case No. 12-12020 (Bankr. S.D.N.Y.); *Lehman Brothers Holdings*, Case No. 08-13555 (Bankr. S.D.N.Y.); *Bernard L. Madoff Investment Securities*, Case No. 08-01789 (Bankr. S.D.N.Y.); *Mirant*¸Case No. 03-46590 (Bankr. N.D. Tex.); *Exide Technologies*, Case No. 13-11482 (Bankr. D. Del.); and *Capmark Financial Group*, Case No. 09-13684 (Bankr. D. Del.).\n\n4. Kroll will apply to the Court for compensation under Bankruptcy Code §§ 330 and 331, Rules 2014 and 2016 of the Bankruptcy Rules, and Rules 2014-1 and 2016-1 of the Local Bankruptcy Rules.\n\n5. Neither I, my firm, nor any employee thereof, insofar as I have been able to ascertain, has any connection with the Debtors, their creditors, or any other parties in interest herein, or their respective attorneys and accountants, the U.S. Trustee, or any person employed in the office of the U.S. Trustee, except as may be set forth herein.\n\n6. Kroll conducted a review, completed under my supervision, of the identified potential parties in interest (the \"Potential Parties in Interest\") in this chapter 11 case based on a query of an internal client database containing names of individuals and entities that are present or recent clients of Kroll. The list of Potential Parties in Interest was provided by the Trustee and is annexed hereto as **Schedule 1**. To the extent that Kroll's conflicts check has revealed that certain Potential Parties in Interest were connected to Kroll, these parties have been identified on a list annexed hereto as **Schedule 2** (the \"Client Match List\"). To the best of my knowledge, any such connections between Kroll and any parties on the Client Match List is completely unrelated to the Debtor or the Estate.\n\n7. In addition, Kroll personnel may have relationships with some of the Debtor's creditors or other parties in interest. However, to the best of my knowledge, such relationships, to the extent they exist, are of a personal nature and completely unrelated to this chapter 11 case. Kroll has and will continue to represent clients in matters unrelated to this chapter 11 case. In addition, Kroll has had and will continue to have relationships in the ordinary course of its business with certain vendors, professionals, and other parties in interest that may be involved in the Debtor's case in matters unrelated to this case. Kroll may also provide professional services to entities or persons that may be creditors or parties in interest in this chapter 11 case, which services do not directly relate to, or have any direct connection with, the chapter 11 case of the Debtor. To the best of my knowledge, neither Kroll, nor any employees thereof, represent any interest materially adverse to the Estate with respect to any matter upon which Kroll is to be engaged. Based on the foregoing, I believe that Kroll is a \"disinterested person\" as that term is defined in section 101(14) of the Bankruptcy Code.\n\n8. Should Kroll discover any new relevant facts or relationships bearing on the matters described herein during the period of its retention, Kroll will use reasonable efforts to promptly file a supplemental affidavit.\n\n9. Pursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the foregoing is true and correct to the best of my information, knowledge, and belief.\n\nDated: September 1, 2023\n\n*/s/ Allen Pfeiffer*\n\nAllen Pfeiffer Managing Director Kroll, LLC\n\n### **SCHEDULE 1**\n\n**Potential Parties in Interest**\n\n### **SCHEDULE OF PARTIES IN INTEREST – IN RE KWOK**\n\n### **20 LARGEST UNSECURED CREDITORS**\n\nPACIFIC ALLIANCE ASIA OPPORTUNITY GOLDEN SPRING NEW YORK RUI MA CHENG JIAN WU JIAN SHE NING YE GUO BAOSHENG YAN LAN & WU ZHENG HONG QI QU NAN TONG SI JIAN JIAN GONG YAN ZHAO YUA HUA ZHUANG SHI LIEHONG ZHUANG/XIAO YAN ZHU WEICAN MENG/BOXUN INC. SAMUEL NUNBERG LAMP CAPITAL LLC JUN CHEN AKA JONATHAN HO YUE HUA ZHU SHI XIONG XIAN WEI YE HUIZEN WANG\n\n### **DEBTOR, FAMILY MEMBERS, AND CERTAIN RELATED ENTITIES**\n\nHO WAN KWOK (A.K.A MILES GWOK, MILES GUO AND WENGUI GUO) HING CH NGOK/YUE QINGZHI QIANG GUO (A.K.A. MILESON GUO) MEI GUO/MEI GUI HK INTERNATIONAL FUNDS INVESTMENTS (USA) LIMITED, LLC BRAVO LUCK LIMITED GENEVER HOLDINGS CORPORATION GENEVER HOLDINGS LLC\n\n### **BANKRUPTCY JUDGE AND U.S. TRUSTEE PERSONNEL**\n\nHONORABLE JULIE A. MANNING WILLIAM HARRINGTON KIM L. MCCABE HOLLEY CLAIBORN JOSEPH H. FLAMINI ERIN HOGAN STEVEN MACKEY FRANK MARINO JENNIFER J. MOREY NICOLE NEELY SHARON WARNER JOHN GERVAIS\n\n### **OTHER INTERESTED PARTIES**\n\n1332156 B.C. LTD 17 MILES, LLC 7 NOD HILL LLC, 7 STAR EAST NY LLC AAGV LIMITED AARON A. MITCHELL ABRAMS FENSTERMAN, LLP ACA CAPITAL GROUP LIMITED ACA INVESTMENT FUND ACA INVESTMENT MANAGEMENT LTD. ACASS CANADA LTD. ACE DECADE HOLDINGS LIMITED ADAM CHEN NI AFFILIATED ADJUSTMENT GROUP, LTD. AI GROUP HOLDINGS INC., AIG PROPERTY CASUALTY COMPANY AKERMAN LLP ALEX HADJICHARALAMBOUS ALFA GLOBAL VENTURES LIMITED ALFONSO GLOBAL LIMITED ALLIED CAPITAL GLOBAL LIMITED ALPINE FIDUCIARIES SA AMAZON WEB SERVICES LLC AMAZON.COM INC. AN HONG ANA C. IZQUIEDO-HENN ANDREW SULNER/FORENSIC DOCUMENT EXAMINATIONS, LLC ANN MARIE LEE ANTHONY DIBATTISTA ANTON DEVELOPMENT LIMITED APPLE INC. APSLEY YACHTS LIMITED ARETHUSA FORSYTH ARI CASPER ASSETS SINO LIMITED AUSPICIOUS COAST LIMITED AXOS BANK AXOS FINANCIAL, INC. BAIQIAO TANG A/K/A TANG BAIQIAO BAKER HOSTETLER LLP BANK OF AMERICA BANK OF CHINA – NEW YORK BRANCH AND/OR BANK OF CHINA LIMITED BANK OF MONTREAL BARCLAYS BANK PLC BEIJING BI HAI GE LIN YUAN LIN LU HUA, LTD. BEIJING CHENG JIAN WU JIAN SHE GROUP, LTD. BEIJING FU LE HONG MA JIAN ZHU ZHUANG SHI GONG CHENG, LTD. BEIJING PANGU INVESTMENT CO. BEIJING ZENITH HOLDINGS CO. BEIJING ZHONG XIAN WEI YE STAINLESS DECORATION CENTER BENTO TECHNOLOGIES, INC. BERKELEY ROWE BERNARDO ENRIQUEZ BINGNAN CUI\n\nBINGSHANG JIAO BLUE CAPITAL BNY MELLON, N.A. BOHONNON LAW FIRM BOIES SCHILLER BONNIE C. MANGAN BOOMING SAIL NEW YORK LLC BOXUN INC. BRANCH BRAVO LUCK LIMITED BRENT PETRO INC. BRIAN HOFMEISTER BROWN HARRIS STEVENS BROWN RUDNICK, LLP BSA STRATEGIC FUND I BURNETTE SHUTT AND MCDANIEL PA CAHILL GORDON & REINDEL LLP CAIYAN LING CANADIAN IMPERIAL BANK OF COMMERCE CAPITAL ONE BANK CAPITAL ONE, NA CHAO KANG SUN CHAO-CHIH CHIU CHARLES SCHWAB CHARMOY & CHARMOY LLC CHASE BANK CHEN XIN XIN CHENGLONG WANG CHENXI WANG CHI WAI KWOK CHIESA SHAHINIAN & GIANTOMASI PC CHINA GOLDEN SPRING GROUP (HONG KONG) LIMITED CHONG SHEN RAPHANELLA CHRIS LEE CHRISTINE CHEN CHRISTODOULOS G. VASSILIADES & CO. LLC CHUAN LING YANG CHUANG XIN LTD. CHUI KUK WU CHUNFENG XIA CHUNHUI SONG CI CHEN CIBC INC. (D/B/A CIBC) CINDY ZHANG CITIBANK CITIZENS FINANCIAL GROUP, INC. CLARK HILL PLC CLAYMAN & ROSENBERG LLP CLAYMAN ROSENBERG KIRSHNER & LINDER LLP COHN BIRNBAUM & SHEA P.C. COLDWELL BANKER COMERICA INCORPORATED (D/B/A COMERICA BANK) COMPASS, INC. COUNSEL PRESS INC. CRANE ADVISORY GROUP LLC CREATIVE APEX INVESTMENTS LIMITED\n\nCRYSTAL BREEZE INVESTMENTS LIMITED CUI ZHU LI DANIEL PODHASKIE DANIEL S. ALTER DANYU LIN DAVID FALLON DAWN STATE LIMITED DBS BANK LTD. DEFENG CAO DELTEC BANK & TRUST LIMITED DENG LI DIME COMMUNITY BANK DING G. WANG A/K/A DINGGANG WANG DING QIANG SHEN DONGNA FANG DU JIAN YI DWF LLP EAST WEST BANCORP, INC. EAST WEST BANK EASTERN PROFIT CORPORATION LIMITED EDMISTON AND COMPANY LIMITED EDUARDO EURNEKIAN EHSAN MASUD ELITE WELL GLOBAL LIMITED ELLIOTT KWOK LEVINE & JAROSLAW LLP EMILE P DE NEREE EMPIRE GROWTH HOLDINGS ENGINEERING OPERATIONS AND CERTIFICATION SERVICES, LLC EPIQ CORPORATE RESTRUCTURING, LLC ERIC GOLDSMITH MD, LLC ERNST & YOUNG LLP FAN BINGBING FAN JING FEIFEI MA FENG PENG RELLOS FENG ZHU FENGGUO LI FIONA YU FIRST ABU DHABI BANK FIRST REPUBLIC BANK FIRSTBANK PUERTO RICO FORBES HARE FREEDOM MEDIA VENTURES LTD FUNGWAN TRADING INC. FUNING ZHANG G CLUB OPERATIONS LLC G CLUB US OPERATIONS INC. G CLUB US OPERATIONS LLC G FASHION LLC G FASHION US OPERATIONS INC. G LIVE, LLC G NEWS LLC, G TRANSLATORS PTY LTD GANFER SHORE LEEDS & ZAUDERER GAO BINGCHEN GBROADCAST, LLC\n\nG-CLUB G-CLUB INVESTMENTS LIMITED G-EDU INC. GEORGE L. SU GETTR USA GFASHION MEDIA GROUP INC. GFNY, INC GINNEL ASSOCIATES, INC. (D/B/A GINNEL REAL ESTATE) GLENN MELLOR GLOBALIST INTERNATIONAL LIMITED GMUSIC, GNEWS LLC, GNEWS MEDIA GROUP INC., GOLDFARB & HUCK ROTH RIOJAS, PLLC GORDON & REES SCULLY MANSUKHANI LLP GPOSTS LLC GREEN & SKLARZ LLC GREENBERG TRAURIG, LLP GREENWICH LAND LLC GS SECURITY SOLUTIONS, INC. G-TRANSLATORS PTY LTD GTV MEDIA GROUP, INC., GUI LIN GAO GUO LIJIE GUO MEDIA GUO WENOUN GUO WENPING GUOFENG WAN GUY PETRILLO GWGOPNZ LIMITED HAI YAO HAIHONG WANG HAILING SHENG HAMILTON CAPITAL HOLDINGS INC HAMILTON M&A FUND SP HAMILTON OPPORTUNITY FUND SPC HAN CHUNGUANG HANQIANG LIN HAO HAIDONG HAO LI HAO ZHANG HAOYU WANG HARCUS PARKER LTD. HARNEY WESTWOOD AND RIEGELS LP HCHK PROPERTY MANAGEMENT, INC. HCHK TECHNOLOGIES, INC. HCHK TECHNOLOGIES, LLC HE BEI YUE HUA ZHUANG SHI GONG CHENG LTD. HEAD WIN GROUP LIMITED HELEN MANIS HENAN YUDA HERBERT SMITH FREEHILLS NEW YORK LLP HERO GRAND LIMITED HHS CAPITAL INC. HIBERNIA NATIONAL BANK HIDETOSHI FUJIWARA\n\nHIMALAYA EMBASSY HIMALAYA EXCHANGE HIMALAYA FEDERAL RESERVE HIMALAYA INTERNATIONAL CLEARING LTD. HIMALAYA INTERNATIONAL FINANCIAL GROUP LTD HIMALAYA INTERNATIONAL PAYMENTS LTD. HIMALAYA INTERNATIONAL RESERVES LTD. HIMALAYA INVESTMENT LLC HIMALAYA NEW WORLD INC. HIMALAYA SUPERVISORY ORGANIZATION HIMALAYA VENTURES LLC HING CH NGOK HIU LAAM HAAM HIU SING CHAN HODGSON RUSS HOLY CITY HONG KONG VENTURES, LTD. HONG KONG INTERNATIONAL FUNDS INVESTMENTS LIMITED HONG QI QU JIAN SHE GROUP, LTD. HONG QIU HONG ZENG HONGWEI FU HONGXIA XU HONGXIN ASH HSBC HSBC BANK USA, HUA AN XIE HUANG YAO HUDSON DIAMOND HOLDING INC. HUDSON DIAMOND HOLDING LLC HUDSON DIAMOND LLC HUDSON DIAMOND NY LLC HUI JIN HUI JIN HUK TRADING INC. INFINITE INCREASE LIMITED INFINITUM DEVELOPMENTS LIMITED INFINITY TREASURY MANAGEMENT INC. INSIGHT CAPITAL INSIGHT PHOENIX FUND INVESTORS BANK ISRAEL DISCOUNT BANK OF NEW YORK IVEY, BARNUM & O'MARA LLC JACK S. LIPSON JAMES PIZZARUSO JANOVER LLC JAPAN HIMALAYA LEAGUE, INC. JASON MILLER JENNER & BLOCK LLP JENNIFER FANGFANG DING JENNIFER MERCURIO JENNY LI JESSE BROWN JESSICA MASTROGIOVANNI JIA LI WANG JIA YANG JIA YANG LI\n\nJIAHUI LIU JIAMEI LU JIAMING LIU JIAN FAN JIAN HUA ZHANG JIAN ZHONG HU JIANG SU PROVINCE JIAN GONG GROUP LTD BEIJING BRANCH JIANG YUNFU BE JIANHU YI JIANHUA ZHENG JIANMIN HE JIANSHENGXIE AND JIEFU ZHENG JINFENG WU JING GENG JING WU JINLAN YAN JIRONG ZHANG JOHN S LAU JONATHAN YOUNG JOSHUA I. SHERMAN JOYORD SPORTSWEAR LIMITED JPMORGAN CHASE BANK, N.A. JUMBO CENTURY LIMITED JUN CHEN JUN LIU JUN QIAO JUN YUN ZHANG JUNE SHI KAEN LIU KAIXIN HONG KAN CHAN KARIN MAISTRELLO, KATHLEEN SLOANE KERCSMAR FELTUS & COLLINS PLLC KEYI ZIKLIE KIM THONG LEE KUI CHENG KYLE BASS LALIVE SA LAN GU LAN LIN LAO JIANG LAW FIRM OF CALLARI PARTNERS, LLC LAW OFFICE OF RICHARD E. SIGNORELLI LAWALL & MITCHELL, LLC LAZARE POTTER GIACOVAS & MOYLE LEADING SHINE LIMITED LEADING SHINE NY LTD LEE CHU LEE VARTAN LEONARD SCUDDER LEXINGTON PROPERTY AND STAFFING INC. LI LIU LI LONG LI TANG LI ZHANG\n\nLIANG LIU LIANYING SU LIBERTY JET MANAGEMENT LIEHONG ZHUANG LIHONG \"SARA\" WEI LAFRENZ LIHONG WEI LAFRENZ (AKA SARA WEI) LIMARIE REYES LIN DANG LIN XIN LINDA HE CHEUNG LINWAN \"IRENE\" FENG LIU DONGFANG LOGAN CHENG (F/K/A SHUIYAN CHENG) LONG GATE LIMITED M&T BANK MA XINGCHAO MACARON LIMITED MACDONALD MANUFACTURERS AND TRADERS TRUST COMPANY (D/B/A M & T BANK) MAR-A-LAGO MARCUM LLP MARTHA JEFFERY MARY DOWDLE (A/K/A MUFFIN DOWDLE) MARY JIANG MAUNAKAI CAPITAL MAX FEI MAX KRASNER MAYWIND TRADING LLC MCELROY, DEUTSCH, MULVANEY & CARPENTER, LLP MEDICAL SUPPLY SYSTEM INTERNATIONAL LLC MEDICI BANK INTERNATIONAL LLC MEI KUEN KWOK MEIEN KIKUCHI MEISTER SEELIG & FEIN PLLC MELISSA FRANCIS MELISSA MENDEZ MENGYAO HE MERCANTILE BANK INTERNATIONAL CORP. MERCANTILE GLOBAL HOLDINGS, INC. METROPOLITAN COMMERCIAL BANK AND/OR METROPOLITAN BANK HOLDING CORP. MIHO NISHIMURA MILES GUO MILES GWOK MIMAII NZ LIMITED MIN YANG MING WU MINGHUA ZHANG MINGRUI ZHAO MOA-FU MORGAN STANLEY MORITT HOCK & HAMROFF MORVILLO ABRAMOWITZ GRAND IASON & ANELLO PC MURTHA CULLINA LLP NADEEM AKBAR NATIONAL AUSTRALIA BANK LIMITED NEW DYNAMIC DEVELOPMENT LIMITED\n\nNEW FEDERAL STATE OF CHINA NEW TREASURE LLC NEW YORK MOS HIMALAYA LLC NEXT TYCOON INVESTMENTS LIMITED NICHOLAS F. SAVIO NING LI NING ZHAO NOBLE FAME GLOBAL LIMITED NODAL PARTNERS, LLC NOVELTY HILL LTD. NRT NEW ENGLAND LLC (D/B/A COLDWELL BANKER RESIDENTIAL BROKERAGE) NUOXI LIU NYC DEPT OF FINANCE O'MELVENY & MYERS LLP O'NEAL WEBSTER OASIS TECH LTD OGIER OLINA CLEMENS OPEN BANK O'SULLIVAN MCCORMACK JENSEN & BLISS PC PACIFIC ALLIANCE ASIA OPPORTUNITY FUND L.P. PACIFIC ALLIANCE ASIA OPPORTUNITY FUND L.P. PALLAS PARTNER LLP PAUL WEISS PEILUN HU PENGCHENG ZHANG PETRILLO KLEIN & BOXER LLP PHILLIPS NIZER LLP PHOENIX CREW IC LIMITED PILLSBURY WINTHROP SHAW PITTMAN LLP PIXSHOW FILM INC. PRIME TRUST LLC PULLMAN & COMLEY, LLC QIANG CHENG QIANG FU QIN YU QING \"SERENA\" CAI QINGTIAN YUAN QIONG BIN FU QIONGGUI YAN QIQHUA FAN QIU YU QIURIA LI QU GUOJIAO QUIJU JIA RAICH ENDE MALTER CO. LLP (AKA RAICH ENDE MALTER & COMPANY) RANDAZZA LEGAL GROUP, PLLC RBB BANCORP AND/OR ROYAL BUSINESS BANK REDFIN CORPORATION RENFENG SHI ROBINSON & COLE LLP RONG HU RONG JIANG RONG ZHANG RONGLIANG STARKS ROSCALITAR2\n\nROSS HEINEMEYER ROY D. SIMON RUIZHENG AN RULE OF LAW FOUNDATION III RULE OF LAW SOCIETY IV INC RUQUIN WANG RYAN CHENGRAN ZHANG SAIL VICTORY LIMITED SAMUEL DAN NUNBERG SANTANDER BANK, N. A. SARA WEI (A/K/A LIHONG WEI LAFRENZ) SARACA MEDIA GROUP, INC., SAVIO LAW LLC SAXE DOERNBERGER & VITA, P.C. SCHULMAN BHATTACHARYA, LLC SCOTT BARNETT SEACOAST NATIONAL BANK SELAS MONTBRIAL AVOCATS SEVEN MISSION GROUP LLC SHANE D SHOOK SHAO HONG CHIU SHAOBING LI SHAPIRO ARATO BACH LLP SHENGJIE FU SHERRY-NETHERLAND, INC. SHI JIA ZHUANG ZHEN YUAN JIAN ZHU AN ZHUANG GONG CHENG LTD BEJING FIRST SHIBIN ZHANG SHIN HSIN YU SHINY ACE INNOVATION CO LTD SHINY ACE LIMITED SHINY TIMES LTD. SHIPMAN AND GOODWIN SHIPMAN, SHAIKEN & SCHWEFEL, LLC SHIQI WANG SHIYUAN ZHANG SHIZHONG ZHANG SHUANG WANG SHUNJUN LI SIGNATURE BANK SILVERGATE BANK SIRIUS NETWORKING INC. SONGYI CHEN SOTHEBY'S INTERNATIONAL REALTY SOTHEBY'S INTERNATIONAL REALTY AFFILIATES LLC SPIRIT CHARTER INVESTMENT LIMITED SPOTIFY TECHNOLOGY S.A. SPOTIFY USA, INC. STANDARD CHARTERED BANK STARLING BANK LTD STEPHEN WONG STEVE BANNON, STEVENSON WONG STOKES LAWRENCE, PS STOKESBURY & FINGOLD, LLC STRATEGIC VISION LLC TAIXIN FU\n\nTAKAHASHI HIROYUKI TALHA ZOBAIR TAO AN TAO ZHANG TAURUS FUND LLC TAURUS MANAGEMENT LLC TD BANK, N.A. TELI CHEN THE BANK OF PRINCETON THE CASPER FIRM THE FIRST BANK OF GREENWICH THE FRANCIS FIRM PLLC THE LAW OFFICES OF RAFAEL A. VARGAS THE SHERRY-NETHERLAND HOTEL THE SHERRY-NETHERLAND, INC. THOMAS RAGLAND THREE TREASURE LLC TIAN LIANG TINGYI WEI TM PRIMROSE LIMITED TONG LE INTERNATIIONAL TRADING CO., LTD. TROUTMAN PEPPER HAMILTON SANDERS LLP TROY LAW PLLC U.S. BANK NATIONAL ASSOCIATION U.S. LEGAL SUPPORT, INC. UBS AG UBS AG (LONDON BRANCH) UK HIMALAYA LTD. UNA MANYEE WILKINSON UNITED STATES OF AMERICA UNITEDLEX UPDIKE, KELLY & SPELLACY P.C. US HIMALAYA CAPITAL INC. US HIMALAYA LTD. V.X. CERDA & ASSOCIATES P.A. VERDOLINO & LOWEY VERITEXT VICTOR CERDA VOICE OF GUO MEDIA, INC. VX CERDA & ASSOCIATES WA&HF LLC WANCI JIAO WARD & BERRY, PLLC WARREN LAW GROUP WEI HONG XIE WEI SHE WEI ZHANG WEICAN (\"WATSON\") MENG WEIGUO SUN WEIWEI QIAN WEIXIANG GE WEIYI WANG WELL ORIGIN LTD. WEN LIN WENCONG WANG WENFENG HU\n\n12\n\nWENG WENHUA GONG WHITECROFT SHORE LIMITED WHITMAN BREED ABBOTT & MORGAN LLC WILLIAM BRADLEY WENDEL WILLIAM GERTZ WILLIAM JE (JE KIN MING) WILLIAMS & CONNOLLY WILSON ELSER MOSKOWITZ EDELMAN & DICKER LLP WOLF HALDENSTEIN ADLER FREEMAN & HERZ LL WORLD CENTURY LIMITED, WORLDWIDE OPPORTUNITY HOLDINGS LIMITED WU ZHENG XIA CHUNFENG XIANHONG ZHANG XIAO HUANG XIAO RUI WANG XIAO YAN ZHU XIAODAN WANG XIAOLAN ZHAO XIAOLI MA XIAOLI XU XIAOMEI ZHAO XIAOMING LIU XIAOXIAO LIN XIAOYAN BA XILI ZHAI XIN LI XINGYU YAN XINHUI LIAO XINRONG LI XIQUI (\"BOB\") FU XIULING TANG XUEHAI LIU XUN DENG YA LI YACHTZOO SARL YAFAN CHANG YAN CHUN LIU YAN GAO YAN HUANG YAN LIU YANCHENG CHEN YANG HAI YANG JUN ZHENG YANG LAN YANG YANG YANKWITT LLP YANMING WANG YANPING WANG YANYUN REN YAZ QINGUA YELIANG XIA YI LI YI LIN\n\nYI WEN\n\nYI ZHAO YI ZHOU YIMING ZHANG YING LIU YONG CHUN LI YONG ZHANG YONGBING ZHANG YONGPING YAN YOSSI ALMANI YOUTUBE, LLC YU XIA LI YUAN ZHOU YUANLIN LIU YUE HUA ZHU SHI YUE ZHOU YUHONG PEI YUJIA WANG YUK MOEY MARY YAP YUKY YUN LIU YULIN YAO YUMEI HU YUNFA WANG YUNTENG LU YUNXIA WU YUXIANG CHEN & JIA YOU JT TEN YVETTE WANG ZEICHNER ELLMAN & KRAUSE LLP ZEISLER & ZEISLER, P.C. ZHANG WEI ZHENG RUI HE ZHENG WU (A/K/A BRUNO WA) ZHENGHUA SHEN ZHENGJUN DONG ZHENPENG LI ZHIXUAM LI ZHIZHE \"FRANK\" DONG ZHONGYI MA ZHOU BAOJIN ZHOU HAI YANG ZHUOER \"JOE\" WANG ZI YE ZIBA LIMITED ZIHAN LIU ZIKUN WANG\n\nCase 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 53 of 60\n\n### **SCHEDULE 2**\n\n**Client Match List**\n\n| Party Name                        | Relationship to<br>Debtor   | Relationship to Kroll                                                                                                                                                                                                                           |\n|-----------------------------------|-----------------------------|-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| ABRAMS FENSTERMAN, LLP            | Other Interested<br>Parties | Abrams Fensterman, LLP is an active<br>client of Kroll's Governance and Risk<br>Advisory business unit. Services are<br>not in connection with these Chapter<br>11 proceedings.                                                                 |\n| AIG PROPERTY CASUALTY             | Other Interested            | AIG Property Casualty Inc. is an                                                                                                                                                                                                                |\n| COMPANY                           | Parties                     | active client of Kroll's Cyber Risk<br>business unit. Services are not in<br>connection with these Chapter 11<br>proceedings.                                                                                                                   |\n| AKERMAN LLP                       | Other Interested<br>Parties | Akerman LLP is an active client of<br>Kroll's business units: Governance and<br>Risk Advisory; Kroll Business<br>Services. Services are not in<br>connection with these Chapter 11<br>proceedings.                                              |\n| AMAZON WEB SERVICES LLC           | Other Interested<br>Parties | Amazon Web Services, Inc. is an<br>active client of Kroll's Cyber Risk<br>business unit. Services are not in<br>connection with these Chapter 11<br>proceedings.                                                                                |\n| AMAZON.COM INC.                   | Other Interested<br>Parties | Amazon.com, Inc. and affiliates are<br>active clients of Kroll's business units:<br>Governance and Risk Advisory;<br>Valuation Services. Services are not in<br>connection with these Chapter 11<br>proceedings.                                |\n| APPLE INC.                        | Other Interested<br>Parties | Apple Inc. is an active client of Kroll's<br>business units: Cyber Risk;<br>Governance and Risk Advisory.<br>Services are not in connection with<br>these Chapter 11 proceedings.                                                               |\n| AXOS BANK<br>AXOS FINANCIAL, INC. | Other Interested<br>Parties | Axos Digital Assets LLC is an active<br>client of Kroll's Governance and Risk<br>Advisory business unit. Services are<br>not in connection with these Chapter<br>11 proceedings.                                                                |\n| BAKER HOSTETLER LLP               | Other Interested<br>Parties | Baker & Hostetler LLP is an active<br>client of Kroll's business units: Cyber<br>Risk; Governance and Risk Advisory;<br>Kroll Business Services; Valuation<br>Services. Services are not in<br>connection with these Chapter 11<br>proceedings. |\n\n| BANK OF AMERICA                                                       | Other Interested<br>Parties | Bank of America is an active client of<br>Kroll's Governance and Risk Advisory<br>business unit. Services are not in<br>connection with these Chapter 11                                                             |\n|-----------------------------------------------------------------------|-----------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n|                                                                       |                             | proceedings.                                                                                                                                                                                                         |\n| BANK OF CHINA –<br>NEW YORK<br>BRANCH AND/OR BANK OF<br>CHINA LIMITED | Other Interested<br>Parties | Bank of China is an active client of<br>Kroll's Governance and Risk Advisory<br>business unit. Services are not in<br>connection with these Chapter 11<br>proceedings.                                               |\n| BANK OF MONTREAL                                                      | Other Interested<br>Parties | Bank of Montreal is an active client of<br>Kroll's business units: Cyber Risk;<br>Governance and Risk Advisory.<br>Services are not in connection with<br>these Chapter 11 proceedings.                              |\n| BARCLAYS BANK PLC                                                     | Other Interested<br>Parties | Barclays Bank PLC is an active client<br>of Kroll's business units: Governance<br>and Risk Advisory; Valuation<br>Services. Services are not in<br>connection with these Chapter 11<br>proceedings.                  |\n| BNY MELLON, N.A.                                                      | Other Interested<br>Parties | Bank Of New York Mellon Inc. is an<br>active client of Kroll's business units:<br>Governance and Risk Advisory;<br>Valuation Services. Services are not in<br>connection with these Chapter 11<br>proceedings.       |\n| BOIES SCHILLER                                                        | Other Interested<br>Parties | Boies, Schiller & Flexner LLP is an<br>active client of Kroll's business units:<br>Governance and Risk Advisory; Kroll<br>Business Services. Services are not in<br>connection with these Chapter 11<br>proceedings. |\n| BROWN RUDNICK, LLP                                                    | Other Interested<br>Parties | Brown Rudnick Berlack Israels LLP is<br>an active client of Kroll's Cyber Risk<br>business unit. Services are not in<br>connection with these Chapter 11<br>proceedings.                                             |\n| CAHILL GORDON & REINDEL<br>LLP                                        | Other Interested<br>Parties | Cahill Gordon & Reindel LLP is an<br>active client of Kroll's Business<br>Services business unit. Services are not<br>in connection with these Chapter 11<br>proceedings.                                            |\n| CANADIAN IMPERIAL BANK<br>OF COMMERCE                                 | Other Interested<br>Parties | Canadian Imperial Bank of Commerce<br>is an active client of<br>Kroll's<br>Governance and Risk Advisory<br>business unit. Services are not in<br>connection with these Chapter 11<br>proceedings.                    |\n\n| CAPITAL ONE BANK          | Other Interested | Capital One Financial Corporation is      |\n|---------------------------|------------------|-------------------------------------------|\n| CAPITAL ONE, NA           | Parties          | an active client of Kroll's Valuation     |\n|                           |                  | Services business unit. Services are not  |\n|                           |                  | in connection with these Chapter 11       |\n|                           |                  | proceedings.                              |\n| CHASE BANK                | Other Interested | JPMorgan Chase and affiliates are         |\n| JPMORGAN CHASE BANK, N.A. | Parties          | active clients of Kroll's business units: |\n|                           |                  | Governance and Risk Advisory; Kroll       |\n|                           |                  | Business Services; Valuation Services.    |\n|                           |                  | Services are not in connection with       |\n|                           |                  | these Chapter 11 proceedings.             |\n| CHIESA SHAHINIAN &        | Other Interested | Chiesa Shahinian<br>& Giantomasi PC is    |\n| GIANTOMASI PC             | Parties          | an active client of Kroll's business      |\n|                           |                  | units: Cyber Risk; Governance and         |\n|                           |                  | Risk Advisory. Services are not in        |\n|                           |                  | connection with these Chapter 11          |\n|                           |                  | proceedings.                              |\n| CIBC INC.                 | Other Interested | CIBC Capital Markets is an active         |\n|                           | Parties          | client of Kroll's Business Services       |\n|                           |                  | business unit. Services are not in        |\n|                           |                  | connection with these Chapter 11          |\n|                           |                  | proceedings.                              |\n| CITIBANK                  | Other Interested | Citibank/Citigroup are active clients of  |\n|                           | Parties          | Kroll's business units: Governance and    |\n|                           |                  | Risk Advisory; Kroll Business             |\n|                           |                  | Services; Valuation Services. Services    |\n|                           |                  | are not in connection with these          |\n|                           |                  | Chapter 11 proceedings.                   |\n| CLARK HILL PLC            | Other Interested | Clark Hill, PLC is an active client of    |\n|                           | Parties          | Kroll's business units: Cyber Risk;       |\n|                           |                  | Governance and Risk Advisory.             |\n|                           |                  | Services are not in connection with       |\n|                           |                  | these Chapter 11 proceedings.             |\n| COLDWELL BANKER           | Other Interested | Coldwell Banker Prime Properties is       |\n|                           | Parties          | an active client of Kroll's Cyber Risk    |\n|                           |                  | business unit. Services are not in        |\n|                           |                  | connection with these Chapter 11          |\n|                           |                  | proceedings.                              |\n| DBS BANK LTD.             | Other Interested | DBS Bank Ltd. is an active client of      |\n|                           | Parties          | Kroll's Governance and Risk Advisory      |\n|                           |                  | business unit. Services are not in        |\n|                           |                  | connection with these Chapter 11          |\n|                           |                  | proceedings.                              |\n| DWF LLP                   | Other Interested | DWF LLP is an active client of Kroll's    |\n|                           | Parties          | Governance and Risk Advisory              |\n|                           |                  | business unit. Services are not in        |\n|                           |                  | connection with these Chapter 11          |\n|                           |                  | proceedings.                              |\n\n| Parties<br>Kroll's business units: Kroll Business<br>Services; Governance and Risk<br>Advisory; and Valuation Services.<br>Services are not in connection with<br>these Chapter 11 proceedings. Ernst &<br>Young is also a vendor to Kroll.<br>FIRSTBANK PUERTO RICO<br>Other Interested<br>FirstBank Puerto Rico is an active<br>Parties<br>client of Kroll's Cyber Risk business<br>unit. Services are not in connection<br>with these Chapter 11 proceedings.<br>GORDON & REES SCULLY<br>Other Interested<br>Gordon Rees Scully Mansukhani, LLP<br>MANSUKHANI LLP<br>Parties<br>is an active client of Kroll's business<br>units: Cyber Risk; Kroll Business<br>Services; Governance and Risk<br>Advisory. Services are not in<br>connection with these Chapter 11<br>proceedings.<br>GREENBERG TRAURIG, LLP<br>Other Interested<br>Greenberg Traurig, LLP is an active<br>Parties<br>client of Kroll's business units: Cyber<br>Risk; Governance and<br>Risk Advisory;<br>Kroll Business Services. Services are 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                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |\n| not in connection with these Chapter                                                                                                                                                                                                                                                                                                                       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                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                         |\n| HARCUS PARKER LTD.<br>Other Interested<br>Harcus<br>Parker Limited is an active                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     |\n| Parties<br>client of Kroll's Governance and Risk                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |\n| Advisory business unit. Services are                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |\n| not in connection with these Chapter                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                |\n| 11 proceedings.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     |\n| HARNEY WESTWOOD AND<br>Other Interested<br>Harney Westwood & Riegels is an                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                          |\n| RIEGELS LP<br>Parties<br>active client of Kroll's business units:                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   |\n| Cyber Risk; Governance and Risk                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                     |\n| Advisory. Services are not in                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       |\n| connection with these Chapter 11                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |\n| proceedings.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |\n| HERBERT SMITH FREEHILLS<br>Other Interested<br>Herbert Smith Freehills LLP is an                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |\n| NEW YORK LLP<br>Parties<br>active client of Kroll's Governance                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                      |\n| and Risk Advisory business unit.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                    |\n| Services are not in connection with                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 |\n| these Chapter 11 proceedings.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       |\n| HODGSON RUSS<br>Other Interested<br>Hodgson Russ is an active client of                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                             |\n| Parties<br>Kroll's Cyber Risk business unit.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                        |\n| Services are not in connection with                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                 |\n| these Chapter 11 proceedings.                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                       |\n| HSBC<br>Other Interested<br>HSBC and affiliates are active clients                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                  |\n| HSBC BANK USA<br>Parties<br>of Kroll's business units: Governance                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   |\n| and Risk Advisory; Kroll Business                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                   |\n| Services; Valuation Services. Services                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                                              |\n\n|                                                |                             | are not in connection with these<br>Chapter 11 proceedings.                                                                                                                                                                       |\n|------------------------------------------------|-----------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| JENNER & BLOCK LLP                             | Other Interested<br>Parties | Jenner & Block LLP is an active client<br>of Kroll's business units: Governance<br>and Risk Advisory; Kroll Business<br>Services. Services are not in<br>connection with these Chapter 11<br>proceedings.                         |\n| JPMORGAN CHASE BANK, N.A.                      | Other Interested<br>Parties | JPMorgan and affiliates are active<br>clients of Kroll's business units: Kroll<br>Business Services; Governance and<br>Risk Advisory; Valuation Services.<br>Services are not in connection with<br>these Chapter 11 proceedings. |\n| LALIVE SA                                      | Other Interested<br>Parties | Lalive Sa is an active client of Kroll's<br>Governance and Risk Advisory<br>business unit. Services are not in<br>connection with these Chapter 11<br>proceedings.                                                                |\n| MARCUM LLP                                     | Other Interested<br>Parties | Marcum LLP is an active client of<br>Kroll's Valuation Services business<br>unit. Services are not in connection<br>with these Chapter 11 proceedings.                                                                            |\n| MEISTER SEELIG & FEIN PLLC                     | Other Interested<br>Parties | Meister Seelig & Fein LLP is an active<br>client of Kroll's Governance and Risk<br>Advisory business unit. Services are<br>not in connection with these Chapter<br>11 proceedings.                                                |\n| MORGAN STANLEY                                 | Other Interested<br>Parties | Morgan Stanley and affiliates are<br>active clients of Kroll's business units:<br>Governance and Risk Advisory;<br>Valuation Services. Services are not in<br>connection with these Chapter 11<br>proceedings.                    |\n| MORVILLO ABRAMOWITZ<br>GRAND IASON & ANELLO PC | Other Interested<br>Parties | Morvillo Abramowitz Grand Iason &<br>Anello<br>PC is an active client of Kroll's<br>Cyber Risk business unit. Services are<br>not in connection with these Chapter<br>11 proceedings.                                             |\n| O'MELVENY & MYERS LLP                          | Other Interested<br>Parties | O'Melveny & Myers is an active client<br>of Kroll's Governance and Risk<br>Advisory business unit. Services are<br>not in connection with these Chapter<br>11 proceedings.                                                        |\n| OGIER                                          | Other Interested<br>Parties | Ogier is an active client of Kroll's<br>Governance and Risk Advisory<br>business unit. Services are not in                                                                                                                        |\n\n|                                                                                       |                             | connection with these Chapter 11<br>proceedings.                                                                                                                                                                                                    |\n|---------------------------------------------------------------------------------------|-----------------------------|-----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|\n| PAUL WEISS                                                                            | Other Interested<br>Parties | Paul, Weiss, Rifkind, Wharton &<br>Garrison LLP is an active client of<br>Kroll's business units: Governance and<br>Risk Advisory; Kroll Business<br>Services. Services are not in<br>connection with these Chapter 11<br>proceedings.              |\n| PILLSBURY WINTHROP SHAW<br>PITTMAN LLP                                                | Other Interested<br>Parties | Pillsbury Winthrop Shaw Pittman LLP<br>is an active client of Kroll's business<br>units: Governance and Risk Advisory;<br>Kroll Business Services. Services are<br>not in connection with these Chapter<br>11 proceedings.                          |\n| SANTANDER BANK                                                                        | Other Interested<br>Parties | Santander Bank and affiliates are<br>active clients of Kroll's business units:<br>Governance and Risk Advisory; Kroll<br>Business Services; Valuation Services.<br>Services are not in connection with<br>these Chapter 11 proceedings.             |\n| SCHULMAN BHATTACHARYA,<br>LLC                                                         | Other Interested<br>Parties | Schulman Bhattacharya is an active<br>client of Kroll's Cyber Risk business<br>unit. Services are not in connection<br>with these Chapter 11 proceedings.                                                                                           |\n| SHIPMAN AND GOODWIN                                                                   | Other Interested<br>Parties | Shipman & Goodwin LLP is an active<br>client of Kroll's Governance and Risk<br>Advisory business unit. Services are<br>not in connection with these Chapter<br>11 proceedings.                                                                      |\n| SOTHEBY'S INTERNATIONAL<br>REALTY<br>SOTHEBY'S INTERNATIONAL<br>REALTY AFFILIATES LLC | Other Interested<br>Parties | Sothebys is an active client of Kroll's<br>Valuation Services business unit.<br>Services are not in connection with<br>these Chapter 11 proceedings.                                                                                                |\n| SPOTIFY TECHNOLOGY S.A.<br>SPOTIFY USA, INC.                                          | Other Interested<br>Parties | Spotify Technology S.A. and Spotify<br>USA Inc. are active clients of Kroll's<br>Valuation Services business unit.<br>Services are not in connection with<br>these Chapter 11 proceedings.                                                          |\n| STANDARD CHARTERED BANK                                                               | Other Interested<br>Parties | Standard Chartered Bank and affiliates<br>are active clients of Kroll's business<br>units: Governance and Risk Advisory;<br>Kroll Business Services; Valuation<br>Services. Services are not in<br>connection with these Chapter 11<br>proceedings. |\n\n| TD BANK, N.A.            | Other Interested | TD Bank, NA is an active client of       |\n|--------------------------|------------------|------------------------------------------|\n|                          | Parties          | Kroll's Valuation Services business      |\n|                          |                  | unit. Services are not in connection     |\n|                          |                  | with these Chapter 11 proceedings.       |\n| TROUTMAN PEPPER          | Other Interested | Troutman Pepper Hamilton Sanders         |\n| HAMILTON SANDERS LLP     | Parties          | LLP is an active client of Kroll's       |\n|                          |                  | business units: Cyber Risk;              |\n|                          |                  | Governance and Risk Advisory; Kroll      |\n|                          |                  | Business Services. Services are not in   |\n|                          |                  | connection with these Chapter 11         |\n|                          |                  | proceedings.                             |\n| U.S. BANK NATIONAL       | Other Interested | U.S. Bank is an active client of Kroll's |\n| ASSOCIATION              | Parties          | business units: Governance and Risk      |\n|                          |                  | Advisory; Valuation Services. Services   |\n|                          |                  | are not in connection with these         |\n|                          |                  | Chapter 11 proceedings.                  |\n| UBS AG                   | Other Interested | UBS AG and affiliates are active         |\n| UBS AG (LONDON BRANCH)   | Parties          | clients of Kroll's business units:       |\n|                          |                  | Governance and Risk Advisory; Kroll      |\n|                          |                  | Business Services; Valuation Services.   |\n|                          |                  | Services are not in connection with      |\n|                          |                  | these Chapter 11 proceedings.            |\n| UNITED STATES OF AMERICA | Other Interested | U.S. Department of Justice; U.S.         |\n|                          | Parties          | Internal Revenue Service and various     |\n|                          |                  | U.S. Attorneys are active clients of     |\n|                          |                  | Kroll's business units: Governance and   |\n|                          |                  | Risk Advisory; Valuation Services.       |\n|                          |                  | Services are not in connection with      |\n|                          |                  | these Chapter 11 proceedings.            |\n| UNITEDLEX                | Other Interested | UnitedLex Corporation is an active       |\n|                          | Parties          | client of Kroll's Cyber Risk business    |\n|                          |                  | unit. Services are not in connection     |\n|                          |                  | with these Chapter 11 proceedings.       |\n| WILLIAMS & CONNOLLY      | Other Interested | Williams & Connolly LLP is an active     |\n|                          | Parties          | client of Kroll's Governance and Risk    |\n|                          |                  | Advisory business unit. Services are     |\n|                          |                  | not in connection with these Chapter     |\n|                          |                  | 11 proceedings.                          |\n| WILSON ELSER MOSKOWITZ   | Other Interested | Wilson Elser Moskowitz Edelman &         |\n| EDELMAN & DICKER LLP     | Parties          | Dicker LLP is an active client of        |\n|                          |                  | Kroll's business units: Cyber Risk;      |\n|                          |                  | Governance and Risk Advisory; Kroll      |\n|                          |                  | Business Services. Services are not in   |\n|                          |                  | connection with these Chapter 11         |\n|                          |                  | proceedings.                             |","body_zh":"美国康涅狄格州联邦破产法院布里奇波特分院\n\n-----------------------------------------------------------　x\n\n关于：　:\n:　第 11 章\n\nHO WAN KWOK（郭文贵）等，　:\n:　案号 22-50073 (JAM)\n债务人。1　:　合并管理\n\nx\n\n第 11 章受托人根据《破产法典》第 327 条和第 330 条、《破产规则》第 2014 条和第 2016 条以及《地方破产规则》第 2014-1 条和第 2016-1 条，申请作出裁定，授权并批准聘用及任命 KROLL, LLC（克罗尔有限责任公司）担任法务调查员，自 2023 年 8 月 2 日起生效\n\nLuc Despins（卢克·德斯平斯）以其作为在 Ho Wan Kwok（郭文贵）（以下简称“债务人”）第 11 章案件中获任命的第 11 章受托人（以下简称“受托人”）的身份，根据《美国法典》第 11 编（以下简称“《破产法典》”）第 327 条和第 330 条、《联邦破产程序规则》（以下简称“《破产规则》”）第 2014 条和第 2016 条，以及《地方破产程序规则》（以下简称“《地方破产规则》”）第 2014-1 条和第 2016-1 条，提交本申请（以下简称“本申请”），请求作出一项裁定，其实质形式如随附的附件 A（以下简称“拟议裁定”）所示，批准受托人按照随附的附件 B 所载委任书（以下简称“委任书”）所列条款聘用 Kroll, LLC 担任法务调查员，自 2023 年 8 月 2 日起生效。为支持本申请，受托人提交以下材料\n\n1 本第 11 章案件中的债务人为 Ho Wan Kwok（郭文贵）（亦称 Guo Wengui、Miles Guo 和 Miles Kwok，以及众多其他别名）（税务识别号码末四位：9595）、Genever Holdings LLC（税务识别号码末四位：8202）以及 Genever Holdings Corporation。受托人、Genever Holdings LLC 和 Genever Holdings Corporation 的邮寄地址为 Paul Hastings LLP, 200 Park Avenue, New York, NY 10166，转交 Luc A. Despins，作为 Ho Wan Kwok 财产的受托人（仅为通知和通信之目的）。\n\n支持第 11 章受托人申请作出裁定、批准聘用及任命 Kroll, LLC 担任法务调查员并自 2023 年 8 月 2 日起生效的 Allen Pfeiffer 声明（以下简称“Pfeiffer 声明”），该声明作为附件 C 随附于此，并通过援引纳入本文。为进一步支持本申请，受托人谨陈述如下：\n\n管辖权、审判地及法定依据\n\n1. 美国康涅狄格州联邦破产法院（以下简称“本院”）根据 28 U.S.C. §§ 157 和 1334，以及美国康涅狄格州联邦地区法院作出的移交常设命令，对本事项具有管辖权。本事项属于 28 U.S.C. § 157(b) 所指的核心程序。\n\n2. 根据 28 U.S.C. §§ 1408 和 1409，本地区为适当审判地。\n\n3. 本文所请求救济的法定依据为《破产法典》第 327(a) 条和第 330 条，以及在适用范围内的《破产规则》第 2014 条和第 2016 条以及《地方破产规则》第 2014-1 条和第 2016-1 条。\n\n背景\n\n一、债务人的第 11 章案件\n\n4. 2022 年 2 月 15 日（以下简称“申请日”），债务人向本院提交了根据《破产法典》第 11 章请求救济的自愿申请书。\n\n5. 2022 年 3 月 21 日，美国受托人在债务人的第 11 章案件中任命了无担保债权人正式委员会（以下简称“委员会”）。债务人的第 11 章案件中尚未任命审查员。\n\n6. 2022 年 6 月 15 日，本院作出备忘录决定及裁定 [Docket No. 465]（以下简称“受托人裁定”），指示美国受托人在债务人的第 11 章案件中任命一名第 11 章受托人。根据受托人裁定，美国受托人选定 Luc A. Despins 担任受托人。\n\n7. 2022 年 7 月 8 日，本院作出命令，批准任命 Luc A. Despins 为第 11 章案件中的受托人 [Docket No. 523]。\n\n二、调查及对抗程序\n\n8. 自获任命以来，受托人已利用包括《破产规则》第 2004 条在内的工具开展复杂且广泛的调查，并已发出数十份传票。通过该调查，受托人已积累了大量财务记录及相关文件，需对其进行分析，以确定应适当构成债务人第 11 章破产财产（以下简称“破产财产”）一部分的资产和权益范围，以及受托人可为破产财产利益行使的其他权利和诉因。\n\n9. 同样，自获任命以来，受托人已提起至少八项对抗程序，并在先前提起的一项对抗程序中提出反诉（统称“对抗程序”），以将资产纳入破产财产，或以其他方式就破产财产的资产主张其权利（见 Adv. Proc. Nos. 22-05003, 22-05027, 23-05002, 23-05005, 23-05008, 23-05012, 23-05013, 23-05017, 23-05018）。\n\n10. 受托人需要法务调查员的协助，以便除其他事项外，查明并分析与债务人财务及资产转移有关的信息，从而进一步协助受托人的调查。受托人还需要调查和法务分析，以协助在现有对抗程序中起诉受托人的请求，以及协助在受托人日后可能提起的对抗程序中起诉该等请求。\n\n聘用 KROLL\n\n15. 受托人通过本申请，请求作出一项裁定，其实质形式如随附于此的文件所示，授权受托人依照委任书聘用 Kroll 担任法务调查员，自 2023 年 8 月 2 日起生效。\n\n16. 债务人长期以来一直作出重大努力，以隐匿和保护财富及资产，并建立了由空壳公司、关联个人及实体构成的错综复杂网络，旨在掩盖真实所有权。\n\n17. 自获任命以来，受托人一直持续努力梳理债务人在全球范围内的商业和财务权益网络，以识别并追回资产，使破产财产受益。受托人已确定，在其调查的这一阶段，聘用具备法务分析专业知识的 Kroll 协助调查将有所裨益。\n\nKROLL 的资格\n\n18. Kroll 总部位于纽约市，并在全球各地设有办事处，由业内领先的专业人士组成，具有丰富的法务调查经验，能够向客户提供可操作的数据和洞见。Kroll 的全球团队由调查员、网络专家、数据分析师和法务会计师组成，能够借助广泛的经验、资源和技术协助进行财务调查。Kroll 致力于穿透不法行为人将现金、不动产、公司持股、金融工具及其他有形和无形资产隐匿以逃避发现的行为。\n\n19. Kroll 在此等规模和复杂程度的事项中拥有丰富经验，并曾在全国各地区待决的重大破产案件中担任法务调查员或类似角色。例如，Residential Capital, Case No. 12-12020 (Bankr. S.D.N.Y.)；Lehman Brothers Holdings, Case No. 08-13555 (Bankr. S.D.N.Y.)；Bernard L. Madoff Investment Securities, Case No. 08-01789 (Bankr. S.D.N.Y.)；Mirant, Case No. 03-46590 (Bankr. N.D. Tex.)；Exide Technologies, Case No. 13-11482 (Bankr. D. Del.)；以及 Capmark Financial Group, Case No. 09-13684 (Bankr. D. Del.)。\n\n拟提供的服务\n\n20. 在获得本院批准的前提下，应受托人的请求，并在必要的范围内，受托人预期 Kroll 将协助调查和分析债务人的财务及资产，并协助受托人开展其调查和追回资产的各项工作，包括但不限于现有对抗程序以及受托人日后可能提起的对抗程序。\n\nKROLL 的报酬\n\n21. Kroll 拟根据《破产法典》第 330 条和第 331 条、《破产规则》第 2016 条、《地方破产规则》第 2016-1 条，以及与破产财产有关的任何其他适用规则和命令，向本院申请就为破产财产提供的专业服务获得报酬，并就发生的费用获得偿还。Kroll 将就所需服务按其通常适用的小时费率向受托人收费。\n\n22. 就其服务而言，Kroll 已向受托人提供优惠小时费率结构。Kroll 现行标准小时计费费率介于 $257 - $1,220 之间，并将根据与受托人的协商就本次聘任给予折扣，折后费率介于 $231 - $915 之间。对 Kroll 现行标准小时计费费率的折扣将按如下方式适用：\n\n标准小时计费费率　适用折扣\n\n$1,000 或更高　25%\n$800 - $999　20%\n$799 或更低　10%\n\n23. Kroll 还将按照本地区的惯例，就其代表受托人支付的实际支出费用计费，包括复印、邮资和包裹递送、法院费用、庭审记录、证人费用、送达费用、差旅费用及计算机辅助研究费用。\n\n24. 此外，根据委任书的条款，除因 Kroll 的重大过失、故意不当行为、欺诈行为而单独导致的情形，或委任书或拟议裁定另有规定的情形外，受托人已同意在委任书规定的特定情形下，对 Kroll 及其董事、高级管理人员、员工和代理人作出赔偿、抗辩并使其免受损害。受托人认为，该等赔偿义务属于惯例、合理且为在本第 11 章案件中聘用合格法务调查员的服务所必需。债务人第 11 章案件待决期间提出的任何赔偿请求均将提交本院，并须经本院批准。\n\n无利害关系\n\n25. 据受托人所知、所获信息及所信赖，并依据 Pfeiffer 声明，除其中披露者外，Kroll 与债务人、其债权人或任何其他利害关系方、其各自律师和会计师、美国受托人或美国受托人办公室雇用的任何人员不存在任何关系。\n\n26. 更具体而言，在该等基础上，受托人相信：(a) Kroll 与债务人、其债权人、美国受托人、美国受托人办公室雇用的任何人员，或任何在第 11 章案件中拥有实际或潜在权益的其他方及其各自律师或会计师均不存在关联；且 (b) Kroll (i) 不是债务人或其关联方的债权人、股权证券持有人或内部人，(ii) 在申请日前两年内未曾担任债务人或其关联方的董事、高级管理人员或雇员，以及 (iii) 未因与债务人的任何直接或间接关系、关联或权益，或因任何其他原因，而拥有与债务人破产财产利益或任何类别债权人或股权证券持有人利益实质相反的任何权益。因此，第 11 章受托人相信，Kroll 属于《破产法典》第 101(14) 条（经第 1107(b) 条修正）所指的“无利害关系人”。\n\n27. 根据 Pfeiffer 声明，受托人相信，Kroll 在本案中并不代表与无担保债权人利益相反的任何权益。\n\n28. 如发现任何需要作出该等补充披露的事实或情形，Kroll 将向本院补充其披露。\n\n所请求救济、通知及此前未提出本文所请求救济的依据\n\n29．受托人根据《破产法典》第327(a)条，请求聘任并雇用 Kroll, LLC（科尔）担任法务会计调查人员；该条规定，经法院批准，受托人可以雇用“不持有或代表与破产财产利益相冲突的利益，且为无利害关系之人士”的专业人员，以代表或协助受托人履行其在本法典项下的职责。\n\n30．根据《破产法典》第328(a)条，经破产法院批准，受托人可以根据《破产法典》第327(a)条，按“任何合理的雇佣条款和条件”雇用专业人员，包括按预付聘金、按小时、按固定费用或百分比费用，或按风险代理收费方式。11 U.S.C. § 328(a)。\n\n31．《破产规则》第2014(a)条规定，聘任申请应包括：\n\n显示雇佣必要性的具体事实、拟雇用的［事务所］名称、选择该［事务所］的理由、将提供的专业服务、任何拟议的报酬安排，以及据申请人所知，该［事务所］与债务人、债权人、任何其他利害关系方、其各自的律师和会计师以及美国受托人之间的所有关系。\n\n32．受托人需要法务会计调查人员的服务，以协助其履行调查和追收破产财产资产、使债权人受益的职责。因此，按照本申请和拟议命令所载条款雇用 Kroll 担任法务会计调查人员，属合理且符合债务人破产财产的最佳利益。\n\n33．本申请的通知已送达美国受托人、债务人、委员会，并且通过使用法院电子提交（“CM/ECF”）系统进行电子提交，送达所有使用 CM/ECF 系统的出庭当事人。\n\n34．此前未曾向本法院或任何其他法院提出本申请所请求救济的申请。\n\n自 2023 年 8 月 2 日起生效的聘任属适当\n\n35．地方法院破产规则第2014-1条规定，如“聘任专业人员的申请在该专业人员开始提供服务后三十（30）日内提交，除非法院另有命令，该申请应视为同期提交。”因此，受托人请求授权自 2023 年 8 月 2 日起聘任并雇用 Kroll，该日为 Kroll 开始向受托人提供服务之日。\n\n［本页其余部分特意留白。］\n\n因此，基于上述理由，受托人请求法院作出一项命令，其形式实质上与随附提交的拟议命令相同，准予本申请，授权雇用 Kroll 担任法务会计调查人员，并作出法院认为公正且适当的其他及进一步救济。\n\n日期：September 1, 2023　New Haven, Connecticut\nLUC A. DESPINS（卢克·A·德斯平斯），第11章受托人\n\n签字人：/s/ Patrick R. Linsey\nDouglas S. Skalka（道格拉斯·S·斯卡尔卡）(ct00616)\nPatrick R. Linsey（帕特里克·R·林赛）(ct29437)\nNEUBERT, PEPE & MONTEITH, P.C.（纽伯特、佩佩和蒙蒂斯律师事务所）\n195 Church Street, 13th Floor\nNew Haven, Connecticut 06510\n(203) 821-2000\ndskalka@npmlaw.com\nplinsey@npmlaw.com\n\n以及\n\nLuc A. Despins, Esq.（卢克·A·德斯平斯律师）\nG. Alexander Bongartz, Esq.（G. 亚历山大·邦加茨律师）\nPAUL HASTINGS LLP（保罗·黑斯廷斯律师事务所）\n200 Park Avenue\nNew York, New York 10166\n(212) 318-6472\n\n第11章受托人代理律师\n\n案件 22-50073　文件 2162　提交日期 09/01/23　录入日期 09/01/23 20:35:36　第 10 页，共 60 页\n附件 A\n\n拟议命令\nUNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF CONNECTICUT, BRIDGEPORT DIVISION（美国康涅狄格州联邦破产法院布里奇波特分院）\n\n-----------------------------------------------------------　x\n\n关于：　：\n：　第11章\n\nHO WAN KWOK（郭文贵）等，　：\n：　案件编号 22-50073 (JAM)\n债务人。1　：　合并管理\n\nx\n\n［拟议］命令\n准予第11章受托人依据《破产法典》第327和330条、《破产规则》第2014和2016条以及地方法院破产规则第2014-1和2016-1条提出的申请，授权并批准自 2023 年 8 月 2 日起聘任和委任 KROLL, LLC 担任法务会计调查人员\n\n兹因第11章受托人 Luc A. Despins（“第11章受托人”）Luc Despins 以 Ho Wan Kwok（“债务人”）第11章案件中获任命的第11章受托人（“受托人”）身份，申请获授权自 2023 年 8 月 2 日起聘任并雇用 Kroll, LLC 担任法务会计调查人员（“申请”）；并因 Allen Pfeiffer（“菲佛”）的声明（“菲佛声明”）；根据《美国法典》第11编第327和330条（“破产法典”）、《联邦破产程序规则》第2014和2016条（“破产规则”），以及 United States Bankruptcy Court for the District of Connecticut（美国康涅狄格州联邦破产法院）的《地方法院破产程序规则》第2014-1和2016-1条（“地方法院破产规则”）；上述事项均在申请及聘任函（定义见申请）中有更充分的载明；并经审议申请及菲佛声明；且本法院根据 28 U.S.C. §§ 157 and 1334 及 United States District Court for the District of Connecticut（美国康涅狄格州联邦地区法院）的转介常设命令（经修订），对审议申请及其中请求的救济具有管辖权；且根据 28 U.S.C. § 157(b)，审议申请及其中请求的救济属于核心程序；且根据 28 U.S.C. §§ 1408 and 1409，本法院为适当审判地；且法院已认定：(i) 申请中请求的救济符合债务人破产财产、其债权人及所有利害关系方的最佳利益，(ii) 申请和菲佛声明中载明的法律及事实依据，以及本法院就申请举行的任何听证会的记录，确立了准予本命令项下救济的正当理由，(iii) Kroll 是《破产法典》第101(14)条所定义、且《破产法典》第327(a)条所要求的“无利害关系之人士”，以及 (iv) Kroll 不持有或代表与债务人破产财产利益相冲突的利益；且在具体情形下已就申请发出适当且充分的通知；且看来无需发出任何其他或进一步通知；并经本法院审理的全部程序；且对本申请所请求救济提出的任何异议已被撤回或经实体审理驳回；经适当审议并认为存在充分理由，兹命令如下：\n\n1．本申请按本命令所载内容予以准许。\n\n2．授权受托人按照申请、聘任函及菲佛声明中载明的条款，自 2023 年 8 月 2 日起聘任并雇用 Kroll 担任法务会计调查人员。\n\n3．授权 Kroll 担任受托人的法务会计调查人员，并提供申请中所述服务。\n\n4．债务人破产财产应负责 Kroll 的报酬及费用偿还。\n\n5．向 Kroll 支付的任何报酬之核准，应根据《破产法典》第330和331条、《破产规则》第2016条及地方法院破产规则第2016-1条规定的程序作出决定。\n\n6．债务人应在聘任协议条款要求的范围内，按照经本命令修订的聘任协议，对 Kroll 作出赔偿。\n\n7．Kroll 就聘任协议所载赔偿金支付提出的所有请求，均应通过向法院提出申请的方式作出，并应接受法院审查，以确保支付该等赔偿符合聘任协议条款，并在请求赔偿所涉诉讼或和解的情形下属合理；但条件是，在任何情况下，均不得就 Kroll 自身的恶意、自我交易、违反受托义务（如有）、重大过失、故意不当行为或违反保密协议对 Kroll 作出赔偿。\n\n8．如 Kroll 根据聘任协议就支付赔偿请求向债务人寻求偿还律师费及费用，该等律师费及费用的发票和支持性工时记录应列入 Kroll 自身的临时和最终申请中，且无论该等律师是否根据《破产法典》第327条受聘，亦无论该等律师服务是否符合《破产法典》第330(a)(3)(C)条，该等发票和工时记录均应受修订后指引约束，并须根据《破产法典》第330和331条获得破产法院批准。\n\n9．除因 Kroll 请求支付赔偿而发生的费用外，Kroll 无权要求债务人偿还其律师的任何费用、支出及其他收费。\n\n10．Kroll 在实施其收费标准的任何提高前，应至少提前十个营业日通知受托人、债务人、美国受托人及任何正式委员会的律师，并应向法院提交该通知。\n\n11．授权并赋予受托人采取一切必要行动，以实现本命令所准予的救济。\n\n12．申请的内容已满足地方法院破产规则的要求。\n\n13．如申请、聘任函及菲佛声明与本命令不一致，应以本命令条款为准。\n\n14．本命令的条款和条件应于录入后立即生效并可执行。\n\n15．本法院应保留对因执行、解释和实施本命令所产生或与之相关的一切事项的管辖权。\n\n案件 22-50073　文件 2162　提交日期 09/01/23　录入日期 09/01/23 20:35:36　第 15 页，共 60 页\n附件 B\n\n聘任函\n机密\n\n通过电子邮件：[aviluft@paulhastings.com;]\n\n31 August 2023\n\nPAUL HASTINGS LLP（保罗·黑斯廷斯律师事务所）\nMetLife Building, 200 Park Avenue\nNew York, New York, 10166\n收件人：Avram Luft（阿夫拉姆·拉夫特），顾问律师\n主题：Kroll, LLC：Ho Wan Kwok 第11章案件（“破产案”）的聘任函\n\n尊敬的 Avi：\n\n本聘任函确认，我们，即 Kroll, LLC 及其附件1所列关联方（“Kroll”或“我们”），已由 PAUL HASTINGS LLP（“律师事务所”或“贵方”）聘任，在其向 Luc A. Despins 以 Ho Wan Kwok 第11章案件受托人（“受托人”）身份提供法律服务时，就上述事项（“服务”）按照本聘任函及所附条款与条件，提供本函所述的独立专业服务。\n\n尽管律师事务所和／或受托人将界定我们的工作范围，但对于本次聘任的各个方面，我们始终将行使最佳的独立和专业判断。为免生疑，Kroll 在本事项中不提供任何法律意见，我们亦不负责确保受托人或律师事务所遵守任何适用法律、规则或规章。向受托人提供的所有法律意见均应由律师事务所独自负责。\n\n我们的工作可能包括调查、收集和分析信息，包括但不限于会计记录及其他财务信息，以及根据律师事务所和/或受托人的需要及指示，进行各种财务和会计分析。然而，我们的委聘不包括按照公认审计准则对现有业务记录进行审计。\n\n我们的意见和报告的编制是一个不断发展的过程，在此过程中，随着我们的研究和文件审查的推进以及信息的出现，我们的分析将得到聚焦和完善。律师事务所和/或受托人同意提供您认为与所提供的服务相关，且律师事务所判断可以并应当在当时与Kroll（克罗尔）共享的信息。\n\n由于您的Chapter 11案件中存在紧急情况，律师事务所已要求Kroll立即开始工作。律师事务所和受托人将在本委聘函日期后的五（5）个工作日内采取一切必要行动，以取得破产法院对Kroll受聘及留任的迅速批准，该批准追溯至2023年8月1日，即我们应律师事务所要求开始工作的日期（“nunc pro tunc”），包括根据《破产法》第327(a)条对本协议所述拟议报酬及费用偿还的批准；并将在适当情况下协助Kroll取得破产法院对Kroll费用申请的批准。您将在向破产法院提交该等文件之前，向Kroll提供其留任申请及拟议命令的草案，以便Kroll及其律师审阅并\n\nT +1 973-775-8260 Allen.Pfeiifer@kroll.com www.kroll.com\n\n发表评论。您确认并同意，Kroll根据本协议规定的报酬费率是合理的。\n\n为确保遵守美国国税局（IRS）施加的要求，我们通知受托人和律师事务所，本函件（包括任何附件）中所载的任何美国联邦税务意见，或本函件拟议的任何报告或交付成果，无论是草案还是最终版本，均非旨在亦不得用于：(i) 避免《国内税收法典》项下的处罚，或(ii) 向另一方推介、营销或建议本文所述的任何交易或事项。\n\n服务\n\n您已聘请Kroll领导法务调查、提供双方同意的任何服务，并协助受托人处理已提起及将提起的追偿诉讼中的任何其他方面，均依律师事务所或受托人的指示进行（以下简称“服务”）。\n\n如服务范围扩大至包括专家证人服务，且律师事务所希望传唤Kroll的专家证人，我们将就已同意在本事项中担任Kroll出庭作证专家证人（以下简称“专家”）的人选，另行以书面向您确认；在本事项中可能提出的任何专家意见均为该专家的意见，而非Kroll的意见。如被指定的专家因任何原因无法提供服务或不能提供服务，双方将本着诚信就合适的替代专家进行讨论。任何出庭作证专家的工作将按照本协议规定的适用小时费率获得报酬。如律师事务所或受托人提出要求，Kroll将就任何专家证言提供一切必要的咨询专家服务。\n\n我们将以合理的技能和谨慎履行服务。您和/或受托人同意，及时向Kroll提供履行服务所合理需要的协助，以及获取信息、材料、地点和人员的途径。您和受托人同意，我们可依赖向我们提供的信息；该等信息向我们提供符合适用法律、法规和公司政策（包括但不限于有关数据隐私的政策），不会侵犯任何第三方持有的任何权利；除非双方另有约定，我们没有核实该等信息的责任。\n\n服务完成后，或本协议终止时，律师事务所和/或受托人必须从与数据归档和案件结案程序有关的附录B中选择一个选项。\n\n保密性和特权\n\n我们的工作旨在供律师事务所代理受托人时使用和受益，除非本协议明确允许，任何律师事务所以外的实体不得为任何其他目的使用。律师事务所和受托人应对Kroll编制和/或由Kroll提供的所有信息或文件（以下简称“Kroll工作成果”）予以保密，并根据本案的保护令将其指定为保密信息。\n\n预计Kroll在本次委聘过程中编制的和/或向律师事务所和/或受托人提供的所有信息或文件，均构成受律师—客户特权保护、免于向第三方披露的保密通信，和/或构成受律师工作成果原则保护、免于向第三方披露的保密工作成果。因此，应您要求，我们就本次委聘编制的所有文件，包括但不限于书面交付成果、报告、备忘录、财务分析和摘要，均应显著标注“律师工作成果；特权及保密”。除非律师事务所和/或受托人明确要求我们这样做，否则我们不会在本事项中编制任何书面报告。\n\n预计律师事务所和/或受托人在本次委聘过程中向Kroll提供的所有信息或文件，均构成受律师—客户特权保护、免于向第三方披露的保密通信，和/或构成受律师工作成果原则保护、免于向第三方披露的保密工作成果。\n\n如我们在本事项中受聘担任出庭作证专家证人，受托人和律师事务所确认，出庭作证专家的所有文件和工作成果将依照适用的《联邦证据规则》和《破产程序规则》处理。\n\n利益冲突核查\n\nKroll已根据受托人和/或律师事务所向Kroll提供的个人/实体名称，在内部进行了针对任何潜在客户利益冲突的检索。根据我们所知和所信，当时未发现客户利益冲突。受托人和律师事务所同意，您将向Kroll告知本事项的其他当事方，或受托人和/或律师事务所最初提供的个人/实体名称的变更。\n\n受托人和律师事务所理解并同意，就服务聘请一家Kroll公司，并不妨碍Kroll或其关联公司在与破产有关、但与本协议项下正在提供的特定服务无关的事项中，向与受托人和/或律师事务所利益相对立的其他客户提供服务，或在与下列事项直接相关的事项中提供服务：(i) Ho Wan Kwok（郭文贵）（以下简称“债务人”），或(ii) 债务人的家人，或受托人在破产程序中认定为债务人关联实体的任何其他实体（合称“债务人关联方”）；前提是律师事务所已以书面向Kroll通知债务人关联方的名称，且Kroll已确认不存在利益冲突。在履行服务期间获得的保密信息将继续作为保密信息处理，不会就Kroll或其关联公司向其他客户提供任何其他服务而被共享或使用。如出现该等委聘，Kroll将立即向破产法院提交补充披露。如负责本次委聘的董事总经理或提供本协议项下服务的Kroll团队任何其他成员注意到利益冲突，负责该委聘的董事总经理将尽快通知您。\n\n人员配置\n\n服务将在专家服务业务部门董事总经理Allen Pfeiffer（艾伦·普法伊弗）的总体监督下履行；在律师事务所或受托人书面批准的范围内，Kroll其他关联公司的人员及第三方分包商将在提供服务方面协助其，视需要而定，且不得无理拒绝该等批准。目前，附件1所列Kroll关联公司将参与提供服务，律师事务所和受托人特此批准该等Kroll关联公司按照受托人或律师事务所的指示提供服务。然而，我们指出，随着本次委聘的推进，因司法管辖和/或许可要求，我们可能需要在必要时纳入其他Kroll关联公司。\n\n费用和开支\n\n我们将按时间和开支计费，费用根据每名受指派专业人员实际投入的小时数（或其部分）确定。我们认识到最大限度提高成本效率的必要性，因此，我们力求在保持高质量工作成果标准的同时，使用与具体任务相称级别的人员。我们目前的标准小时计费费率介于$257 - $1,220之间，并将就本次委聘给予折扣，折后费率介于$231 - $915之间。对我们目前标准小时计费费率的折扣将按如下方式适用：1\n\n标准小时\n计费费率　适用折扣\n\n$1,000或以上　25%\n$800 -\n$999　20%\n$799或以下　10%\n\n1 请参阅附件2，了解初始Kroll团队的当前费率。\n\n因本次委聘产生的一切合理直接实付开支（不包括外部法律顾问费用）将按我们就该等项目实际支付的成本计费；但预计超过$5,000的任何开支，须在发生该等开支之前经律师事务所或受托人书面批准。外地出行时间按上述标准时间费率的50%计费。任何外地航空或铁路旅行均将预订经济舱或同等舱位；但单程超过六小时的所有旅行将预订商务舱；任何单程超过六小时的旅行，均须在发生之前经律师事务所或受托人批准。\n\n所有工时记录将按照律师事务所和受托人提供的指引予以保存和录入。\n\n我们的费率须接受年度审查。本协议所列费率在本协议签署之日起至少一年内不得提高。如该等费率提高超过10%，Kroll应通知律师事务所和/或受托人。本协议所列标准小时费率与折后小时费率之间的百分比差额，如有任何费率提高生效，亦应适用于该等费率提高。\n\n我们将与律师事务所和/或受托人讨论对服务的任何拟议变更对费用和开支的影响。\n\nKroll将每月通过律师事务所向受托人直接开具发票计费（寄送至下文签字栏所列律师事务所地址，或受托人以书面另行更新的地址）。然而，我们确认，支付我们的发票并非受托人的个人责任，并将在任何费用申请获批后由破产财产支付。此外，每十（10）日，Kroll应向受托人和律师事务所提供一份摘要，列明该十日期间就已提供服务而发生的开支及向本次委聘收取的专业费用、各金额对应何种服务的明细，以及产生该等费用和开支的工作摘要说明；但受托人和律师事务所确认，该等摘要仅供内部使用，并非最终结果，且可予调整。\n\n我们不保证或预测本事项的结果，且我们的费用不以提供服务所产生的任何结果为条件。\n\n如在适用情况下，于批准我方月度、中期或最终费用申请的命令作出后 thirty (30) 日内，我方未收到任何发票的付款，则在不影响我方可能享有的任何其他权利的情况下，我方有权暂停提供服务，直至所有到期款项均获全额支付。此外，为防范任何关于我方工作可能以任何方式受到我方分析结果影响，或取决于我方分析结果的主张或指控，我方要求，在我方出具任何报告或类似交付成果之前，以及在本协议项下服务要求提供该等证言时，我方在证言录取或审判中提供证言之前，所有未付发票均须获得全额支付。因此，如在需要该等证言时我方尚未获得全额付款，我方保留拒绝作证的权利。\n\n条款和条件\n\n本协议项下的条款和条件，包括附件1中的条款和条件，规定了各方就服务所享有的权利和承担的责任（统称“条款和条件”）。签署本聘用函即表示，受托人和律师事务所理解并同意该等条款和条件。\n\n保密\n\nKroll（克罗尔）同意，并应促使其雇员及参与本次聘用的任何第三方承包商同意（合称“Kroll团队”），其从律师事务所和/或受托人处收到或在本次聘用过程中获悉的任何信息，或其作为本次聘用的一部分就与本次聘用相关的任何信息、实体或个人形成的意见或观点，未经受托人或律师事务所书面授权，不得向受托人、律师事务所或受聘执行本项任务的Kroll团队以外的任何人披露。该等保密义务在本次聘用终止后，以及任何个人退出本事项或离开Kroll后，仍继续有效。Kroll将采取一切合理措施确保不存在未经授权的披露，包括但不限于使参与本次聘用的任何Kroll雇员或第三方承包商知悉该等保密义务。任何未经授权的披露均构成对本协议的违反，受托人和/或律师事务所有权因此寻求法律或衡平法上可获得的任何权利和救济，包括禁令救济。\n\n＊＊＊＊＊\n\n如本聘用函的范围和条款可接受，请通过签署并将本函副本通过电子邮件发送至 Allen Pfeiffer（艾伦·普法伊弗）的 [Allen.Pfeiffer@kroll.com.]，确认接受。\n\n谨上，\n\nAllen Pfeiffer（艾伦·普法伊弗） 董事总经理 Kroll, LLC（克罗尔有限责任公司）\n\nCase 22-50073 Doc 2162 Filed 09/01/23 Entered 09/01/23 20:35:36 Page 21 of 60\n\n2023年8月31日订立的聘用函附件1。\n条款和条件\n\n以下为我方将据以提供所附聘用函中所列服务的条款和条件（“条款和条件”）。条款和条件与聘用函合称“合同”，构成Kroll、律师事务所和受托人之间有关服务的完整协议。\n\n一般条款\n\n1. 对本合同的任何变更，无论是否涉及对聘用函中规定服务的变更，均应载于书面函件或电子邮件通信中，并在收件方书面确认和同意后生效，并构成本聘用函的一部分。\n\n2. 在我方以最终形式交付任何工作成果后，我方无责任更新该等工作成果，以反映、纳入或以其他方式考虑在提供该等工作成果之日后发生的任何事件或情形。如要求进行该等更新，则须另行订立聘用函，并适用我方届时的标准费用加支出。\n\n信息提供\n\n3. 我方履行服务取决于律师事务所和/或受托人向我方提供准确且及时的信息和协助。律师事务所和受托人应运用合理的技能、谨慎和注意，确保及时提供我方可能合理要求的所有信息，且该等信息准确、完整。如受托人或律师事务所其后得知所提供的信息不正确、不准确或不应以其他方式予以依赖，律师事务所或受托人应通知我方。以任何方式未遵守本条规定，均将妨碍、延误和/或以其他方式阻碍Kroll履行服务，Kroll不应就因此导致的任何损害、制裁或处罚承担责任。律师事务所和受托人确认、陈述并保证：(i) 您和/或受托人有权占有由您和/或受托人，或代表您和/或受托人依本协议提供的任何信息/设备/媒介；(ii) 该等信息/设备/媒介系为合法目的而提供，且Kroll为服务而接收和使用该等信息/设备/媒介不会侵犯任何第三方拥有的任何权利，包括任何知识产权；及 (iii) 在适用的情况下，您和受托人对该等信息/设备/媒介的收集、占有、处理和传输均遵守一切适用法律、法规和公司政策，包括但不限于有关数据隐私的规定（如适用）。\n\n工作成果和财产权利\n\n4. 草稿与最终工作成果之间可能存在差异。在我方工作过程中，可能出具我方报告的草稿。律师事务所和受托人确认，不得依赖我方出具的口头或书面草稿报告、结论或意见，因为该等草稿可能仍需进一步工作、修订及受其他因素影响，从而可能与任何出具的最终报告或意见存在实质性差异。\n\n5. 我方提供的任何意见或出具的工作成果，仅供律师事务所和受托人使用和受益，并且仅与破产程序有关。除非法律要求，律师事务所和受托人不得向任何第三方提供该等工作成果（律师事务所或受托人就破产程序聘用的其他顾问或专家除外，但该等顾问或专家应受本协议规定的保密要求和使用限制约束），亦不得在未经我方事先书面同意的情况下提及Kroll或服务；Kroll不得无理拒绝给予该等同意。在任何情况下，无论是否已给予同意，我方均不对获披露或以其他方式获得任何意见或工作成果的任何第三方承担任何责任。\n\n6. 除非法院命令或其他书面指示另有规定，在我方服务结束后，所有经审阅的文件和就本次聘用编制的工作成果，均应按照我方的文件保留政策处理。\n\n7. 在Kroll就本次聘用使用其任何财产（包括但不限于任何硬件或软件）的范围内，该等财产仍归Kroll所有，律师事务所和受托人不应取得该等财产的任何权利或权益。我方应拥有对我方的理念、概念、专有技术、方法、技术、流程和技能及其改编的所有权（包括但不限于著作权所有权），以及在开展我方业务时使用和披露前述内容的一切权利，在每种情况下均应符合本协议项下的保密约定。\n\n保密信息的保护\n\n8. 为提供或接受服务之目的而从另一方收到的信息，如符合以下任一情形，即视为“保密”信息：(a) 以有形形式标明为保密；(b) 以其他方式书面确认为保密；或 (c) 以有形形式或其他方式明显属于保密。各方同意，从另一方收到的任何保密信息，仅可用于根据本合同或双方之间任何其他合同提供或接受服务的目的。此外，除本协议明确允许的范围外，未经另一方事先书面同意，任何一方均不得向任何第三方披露该等保密信息，但Kroll可为提供服务之目的向其关联方和第三方分包商披露保密信息。\n\n9. 本条款和条件第8条不适用于以下任何信息：(a) 除因接收方违反义务所致外，已为或成为公众普遍可获得的信息；(b) 从对该信息不负有保密义务的第三方获得的信息；(d) 在披露时已为接收方所知的信息；或 (c) 已由该等信息接收方独立开发的信息。\n\n10. 如我方收到与本次聘用有关或因本次聘用而产生的、要求保存或提交文件或提供证言的传票或其他法律程序，无论该传票由受托人或第三方送达，亦无论该传票是否仅要求我方作为事实证人提供证言，受托人均应就Kroll为回应该等传票或法律程序而产生的费用及我方员工时间予以补偿，包括在证言录取和/或审判中作证的时间。我方时间将按本合同约定的费率计费。为免疑义，上述义务不适用于律师事务所和/或受托人与Kroll之间的争议。Kroll同意在收到该等信息请求、传票或其他法律程序后，立即通知律师事务所和/或受托人。\n\n终止\n\n11. 如Kroll被聘为提供证言的专家证人，如双方就将在证言录取和/或审判中提出的任何专家意见产生分歧，Kroll可随时以书面通知立即终止本协议项下服务。此外，任何一方均可在以下情形终止本合同：(a) 另一方违反本合同任何重大条款，且该等违反在当时未违约方发出书面通知后 five (5) 个营业日内未获补救；或 (b) 提前 thirty (30) 日发出书面通知。\n\n12. 无论因何原因终止本合同，各方应在收到另一方书面请求后，向另一方返还其占有的另一方所有财产和文件，但我方有权保留该等文件的副本，以保存我方参与事项的专业记录，并遵守法律、规则和法规的要求。\n\n13. 本协议载明的、依其性质意图在本合同终止后继续有效的条款和条件，应在本合同终止后继续有效。\n\n数据保护\n\n14. 如在提供服务过程中，Kroll需要处理任何个人数据，且该等处理受欧盟《通用数据保护条例》2016/679（“GDPR”）或实施或补充GDPR的其他英国和/或欧洲法律约束，则附录A的规定应适用于该等个人数据。\n\n第三方资源\n\n- 15. 在Kroll（凯络）就本协议项下服务使用其任何财产或第三方供应商/分包商的财产（包括但不限于任何硬件或软件）的范围内，该等财产应仍归Kroll（及/或该等第三方供应商/分包商，视情况而定）所有，律师事务所或受托人均不应取得该等财产的任何权利或权益。Kroll应保留我们现时及未来开展业务过程中所使用的理念、概念、专有技术、方法、技术手段、流程和技能及其改编的所有权（包括但不限于著作权）。\n\n- 16. Kroll将维持并遵循合理程序，向律师事务所及/或受托人提供公共记录中反映的信息或从其他来源获得的信息。KROLL不保证任何该等信息的准确性、完整性或有效性。KROLL否认承担任何责任，且不对受托人基于该等信息作出的决定承担任何责任。除非本协议中明确规定，且除非法律禁止，\n案件 22-50073 文件 2162 提交日期 09/01/23 录入日期 09/01/23 20:35:36 第 23 页，共 60 页\n\nKROLL否认一切明示或默示保证，包括任何默示的适销性保证、因交易过程产生的任何默示保证、特定目的适用性、不侵权及系统使用不中断的保证。\n\n法证及第三方技术的使用\n\n- 17. 受托人和律师事务所确认，其数字基础设施或信息技术环境的任何部分，包括由第三方提供、托管或以任何方式支持的部分，无论位于现场还是基于云端，包括数字/计算机设备、驱动器、数据和介质，均可能在Kroll履行服务之前或期间受损、被感染或被破坏。Kroll不对该等既有损害或由此产生的进一步问题承担责任或义务。Kroll应采取行业标准的预防措施，确保其服务不会引入或包含病毒或其他恶意软件。受托人和律师事务所确认，任何数字服务均无法保证绝对安全、可靠或无恶意软件。\n\n- 18. 我们可使用某些第三方软件和硬件（“委托工具”）履行服务。委托工具按“现状”提供，且任何Kroll人员均未参与任何委托工具的创建、生产或交付。Kroll不就任何该等委托工具作出任何明示或默示保证，包括但不限于任何默示的适销性保证或适用于任何特定目的或用途的保证，或任何委托工具的运行将不中断、无错误，或将与受托人或律师事务所使用的任何硬件或软件兼容的保证。\n\n- 19. 服务可能在受托人或律师事务所的数据库、软件或服务器需要升级、修补及进行其他例行维护期间提供。如履行服务需要进行上述任何事项，Kroll将提前通知受托人，以便各方可规划使服务中断或受托人或律师事务所业务运营中断降至最低。\n\n- 20. 如在检查计算机、电话或其他电子设备，或检查电子介质、软件内容或纸质材料的过程中，Kroll或其关联方发现或以其他方式遇到可能被视为非法违禁物品的物品，例如Kroll有合理理由认为仅持有即属违法的图像，Kroll保留向执法机关披露该等违禁物品的权利。在该等情况下，并在Kroll有合理理由认为适用法律允许的范围内，Kroll将通知律师事务所或受托人其拟向有关主管机关披露该等违禁物品的存在及/或内容的意图。\n\n其他条款和规定\n\n- 21. 除非经司法认定我们存在：(i) 重大过失，(ii) 故意不当行为，(iii) 欺诈，或(iv) 违反保密条款，否则，在任何情况下，我们或我们的关联方及各自的雇员、董事、高级职员和代理人（统称“ Kroll人员”）均不应基于任何法律理论，就超过受托人根据本合同向我们支付的专业费用总额的任何累计金额，对律师事务所或受托人（或任何通过受托人或律师事务所任一方提出权利主张的人）承担责任。\n\n- 22. 受托人同意，就与本合同项下提供的服务有关或以其他方式根据本合同产生的第三方索赔、责任、损失、成本、要求及合理费用（包括但不限于合理的律师费和开支），在s327命令的参数范围内，对Kroll人员予以赔偿并使其免受损害。若有管辖权的法院认定该等索赔直接因Kroll的重大过失、故意不当行为、欺诈行为或违反保密条款所致，则前述赔偿义务不适用。除非法律禁止，受偿方应立即向赔偿方通知引致赔偿方承担本协议项下付款义务的事件，且受偿方应与赔偿方合理合作，包括给予赔偿方合理机会参与对此的抗辩（双方理解，未经受偿方事先同意，赔偿方不得代表受偿方达成任何和解，除非该和解：(i) 使受偿方完全免于一切索赔；(ii) 不向受偿方施加任何义务；且(iii) 不包含代表受偿方作出的任何形式的责任承认）。\n\n- 23. 律师事务所和受托人接受并确认，我们未就服务或因提供服务可能获得的任何结果作出任何明示或默示的保证或担保。\n\n- 24. 除受托人的付款义务外，任何一方均不对因超出其合理控制范围的情形导致的任何延迟或未履行义务向另一方承担责任。\n\n- 25. 受托人应遵守适用法律，包括与向我们提供任何个人数据以及与双方指示我们收集或处理个人数据有关的数据保护法律。如适用法律要求，受托人负责向个人提供任何所需通知或取得任何所需同意。\n\n- 26. 我们保留在一般市场推广材料中使用律师事务所或受托人名称以及服务性质说明的权利。\n\n- 27. 本合同应受纽约州法律管辖并依其解释。因本合同、与本合同有关或因其违约产生的任何争议或索赔，应当：(i) 在破产程序审理期间，提交康涅狄格联邦破产法院（Bankruptcy Court for the District of Connecticut）审理，并标注为与In re Ho Wan Kwok（郭文贵案）有关；或(ii) 此后，按照届时有效的美国仲裁协会（American Arbitration Association，“AAA”）仲裁规则，由AAA在纽约州纽约市管理的具有约束力且保密的仲裁解决。双方应在收到书面仲裁请求后二十（20）日内就一名仲裁员达成一致。如双方无法达成一致，AAA将依其仲裁规则指定一名仲裁员。任何该等仲裁程序作出的裁决均可在任何有管辖权的法院登记为判决书。各方应自行承担与本协议项下任何仲裁有关的费用。本协议任何内容均不得阻止一方在对双方及争议标的具有管辖权的任何法院寻求为保护一方专有权利所必要的禁令救济（或任何其他临时救济）。\n\n附件1——Kroll关联方名单\n\nKroll Associates Inc（凯络联合公司） Kroll Associates UK Limited（凯络联合英国有限公司） Kroll Advisory Ltd（凯络咨询有限公司） Kroll Emerging Markets Limited（凯络新兴市场有限公司） Crisp Thinking (UK) Limited（Crisp Thinking英国有限公司）\n\n。\n\n附件2——初始Kroll团队的现行费率 案件 22-50073 文件 2162 提交日期 09/01/23 录入日期 09/01/23 20:35:36 第 25 页，共 60 页\n\n服务类别　级别　标准小时费率\n(USD)　优惠小时\n费率 (USD)\n\n专家服务　董事总经理　\\$1,220　\\$915\n董事　\\$1,105　\\$829\n副总裁　\\$ 875　\\$700\n高级助理　\\$ 665　\\$599\n分析师　\\$ 465　\\$419\n研究分析师　\\$ 325　\\$293\n\n法证调查\n及情报　董事总经理　\\$850 -\n\\$860　\\$680-\\$688\n副董事总经理/\n高级董事　\\$675 -\n\\$752　\\$608-\\$677\n副总裁/\n高级经理　\\$450 -\n\\$643　\\$405-\\$579\n高级助理　\\$400 -\n\\$467　\\$360-\\$420\n分析师　\\$257 -\n\\$420　\\$231-\\$378\n\n数字洞察及\n法证　董事总经理　\\$950　\\$760\n高级董事/\n副董事总经理　\\$795　\\$716\n董事　\\$750　\\$675\n经理　\\$600　\\$540\n高级助理　\\$475　\\$428\n分析师　\\$400　\\$360\n\n附录A 案件 22-50073 文件 2162 提交日期 09/01/23 录入日期 09/01/23 20:35:36 第 26 页，共 60 页\n\n全球数据处理附录\n\n本数据处理附录（“DPA”或“附录”）构成以下双方之间委托函的一部分：(i) Paul Hastings LLP（普衡律师事务所），其在Ho Wan Kwok（郭文贵）的第11章程序中为Luc A. Despins（吕克·A·德斯平斯）以受托人身份提供法律服务（“受托人”）；以及(ii) Kroll LLC（凯络有限责任公司）（各称“一方”，合称“双方”）。根据该委托函，Kroll同意在合同项下通过律师事务所向受托人提供服务，在提供该等服务期间，Kroll处理受托人的个人数据。本DPA反映双方就下文定义和规定的与服务有关的个人数据处理所达成的协议。\n\n本协议中使用但未定义的术语，应具有合同中赋予其的含义。\n\n定义\n\n1.1 控制者是指单独或与他人共同决定个人数据处理目的和方式的自然人或法人、公共机构、机关或其他组织。\n\n1.2 受托人个人数据是指为提供服务而提供给或由 Kroll（科尔）取得以进行处理的个人数据。\n\n1.3 数据主体是指个人数据所涉的已识别或可识别的自然人，包括 CCPA 所定义的“消费者”。\n\n1.4 数据保护法律是指可能适用于根据本协议处理个人数据的所有数据保护或隐私法律法规，包括但不限于欧盟的法律法规，包括《通用数据保护条例》2016/679（GDPR）及任何成员国或英国的相关立法、美国联邦或州法律、《2018年加利福尼亚州消费者隐私法》（CCPA），以及在适用范围内其他任何司法管辖区的法律。\n\n1.5 欧盟是指欧洲联盟。\n\n1.6 欧盟及英国个人数据是指受欧盟和/或英国数据保护法律约束的受托人个人数据，包括 GDPR 及任何成员国的相关立法，以及英国 GDPR 和《2018年英国数据保护法》。\n\n1.7 欧盟标准合同条款是指欧盟委员会为向设立于第三国的处理者传输个人数据而制定的标准合同条款。\n\n1.8 成员国是指欧盟或欧洲经济区的成员国。\n\n1.9 个人数据是指数据保护法律所定义的“个人数据”和/或“个人信息”，包括与已识别或可识别的自然人（“数据主体”）有关并受数据保护法律保护的任何信息。\n\n1.10 个人数据泄露是指发生安全漏洞，导致 Kroll 传输、存储或以其他方式处理的受托人个人数据遭到意外或非法毁坏、丢失、篡改、未经授权的披露或访问。\n\n1.11 处理是指对个人数据或个人数据集合执行的任何操作或一组操作，例如收集、记录、组织、结构化、存储、调整或变更、检索、查阅、使用、通过传输进行披露、传播或以其他方式提供、匹配或组合、限制、删除或销毁。\n\n1.12 处理者是指代表控制者处理个人数据的自然人或法人、公共机构、机关或其他组织。\n\n1.13 服务是指 Kroll 根据协议约定提供的服务。\n\n1.14 次级处理者是指 Kroll 为处理受托人个人数据而聘用的任何分包商、独立承包商或供应商。\n\n1.15 监管机构是指负责监督数据保护法律适用情况的独立公共机构。\n\n2 个人数据处理\n\n2.1 Kroll 和受托人应遵守适用的数据保护法律处理受托人个人数据。\n\n2.2 Kroll 应在履行服务时处理受托人个人数据：\n\n2.2.1 代表受托人并按照受托人的书面指示处理，除非 Kroll 所受约束的法律或法规另有要求；以及\n\n2.2.2 为履行服务之目的，或按照受托人的其他指示，以数据处理者（定义见 GDPR）或服务提供商（定义见 CCPA）的身份处理。\n\n2.3 Kroll 代表受托人开展的处理活动的详情载于协议中。\n\n2.4 除非 Kroll 所受约束的法律或法规另有要求，Kroll 不会出售或出租受托人个人数据，亦不会为提供协议中规定服务以外的目的披露、使用或处理受托人个人数据。\n\n2.5 受托人声明，其向 Kroll 提供受托人个人数据时将遵守适用的数据保护法律，包括已按数据保护法律要求提供通知或取得同意。\n\n2.6 受托人就个人数据处理向 Kroll 发出的指示应遵守适用的数据保护法律。就欧盟及英国个人数据而言，受托人声明其已确定合法处理依据，受托人将依据该处理依据指示 Kroll 为服务之目的处理个人数据。\n\n3 技术和组织措施\n\n3.1 Kroll 应维持全面的书面信息安全计划，并实施与风险相适应的适当技术和组织措施，以确保受托人个人数据的安全性、完整性和保密性。措施应酌情包括：防范对该等信息安全性或完整性的可预见威胁或危害的措施；防范未经授权或非法处理、意外或非法毁坏、丢失、篡改或损害、未经授权披露或访问受托人个人数据的措施。\n\n3.2 Kroll 应定期监测其对各项技术和组织措施的遵守情况。在服务期限内，Kroll 不会实质性降低适用于受托人个人数据的措施的总体安全性。\n\n案件 22-50073 文件 2162 提交日期 09/01/23 登记日期 09/01/23 20:35:36 第 27 页，共 60 页\n\n3.3 Kroll 已按法律要求在不同司法管辖区任命数据保护官。可通过 [kroll.privacy@kroll.com] 联系获任命人员。\n\n4 信息和审计\n\n4.1 应受托人请求，Kroll 将在合理间隔内并在遵守保密义务的前提下，提供关于受托人个人数据处理的信息，包括但不限于已实施的技术和组织措施。\n\n4.2 应受托人请求，在委托期限内每个日历年度不超过一次，并至少提前 30 天通知，Kroll 应在合理必要的范围内允许并协助受托人进行审计，以证明其在接受服务时遵守适用于受托人的数据保护法律。监管机构特别要求进行审计，或发生因 Kroll 过错导致的个人数据泄露后，每个日历年度一次的限制不适用；但受托人应就任何该等审计尽可能提前通知。\n\n4.3 就受托人在法律上必须就受托人个人数据开展的任何数据保护影响评估或监管咨询，Kroll 将向受托人提供合作和协助。\n\n5 次级处理者\n\n5.1 Kroll 目前为提供服务而用于处理个人数据的次级处理者列于附录 III。Kroll 拟聘用将处理个人数据的新次级处理者时，将在聘用该次级处理者之前通知受托人。受托人可在收到 Kroll 通知后二十（20）天内，通过电子邮件向 [kroll.privacy@kroll.com] 书面通知 Kroll，以与该次级处理者保护个人数据的能力、遵守适用法律或遵守本协议要求有关的合理理由，反对聘用该次级处理者。在该情况下，双方将共同协商解决方案。\n\n5.2 Kroll 已经或将与每一名为受托人履行服务的次级处理者订立书面协议，其中包含不低于本 DPA 所规定保护水平的数据保护义务。\n\n5.3 Kroll 仍应对其次级处理者负责，并就其与履行服务有关的作为和不作为承担如同其自身作为和不作为的责任；本 DPA 中对 Kroll 义务、作为和不作为的任何提述，亦应解释为指 Kroll 的次级处理者。\n\n5.4 受托人确认并同意，受 Kroll 政策和本 DPA 要求约束的 Kroll 全球关联方，可在提供服务所必需的情况下被聘用为次级处理者，而无需另行通知受托人。\n\n6 保密性和可靠性\n\n6.1 Kroll 应将对受托人个人数据的访问限制于为按照协议履行服务而需要知悉或访问相关受托人个人数据的人员。\n\n6.2 Kroll 应要求其获授权处理受托人个人数据的人员，不得为任何其他目的处理该等数据，除非按照受托人的指示或适用法律要求。\n\n6.3 Kroll 应告知参与处理受托人个人数据的人员受托人个人数据的保密性质，向人员提供关于其职责的适当培训，并要求人员同意维护个人数据的保密性。\n\n7 数据主体权利和请求\n\n7.1 Kroll 将在不无故拖延的情况下，通知受托人任何由数据主体直接向 Kroll 提出的、就受托人个人数据行使其数据主体权利的请求（例如访问、更正、限制、删除/擦除、反对处理等）。\n\n7.2 除非法律禁止，Kroll 将引导行使其数据主体权利的数据主体向受托人提出该等请求，受托人应按适用的数据保护法律要求作出回应。\n\n7.3 如受托人根据数据保护法律须回应数据主体行使数据主体权利的请求，Kroll 应受托人请求，并考虑处理的性质，尽商业上合理的努力协助受托人回应该等请求，包括按适用法律要求删除信息。受托人应承担因 Kroll 提供该等协助而产生的任何费用。\n\n7.4 如 Kroll 根据数据保护法律因其履行服务而须直接回应数据主体行使数据主体权利的请求，受托人应承担因 Kroll 回应数据主体而产生的任何费用。\n\n8 个人数据泄露\n\n8.1 Kroll 维持安全事件管理政策和程序，并将在知悉发生涉及受托人个人数据的个人数据泄露后立即通知受托人。Kroll 将迅速调查该个人数据泄露，并采取适当措施处理该个人数据泄露，包括采取措施减轻其不利影响。\n\n8.2 Kroll 将考虑处理的性质及 Kroll 可获得的信息，向受托人提供合理协助，以履行数据保护法律就任何个人数据泄露所要求的任何通知义务（除非该泄露由受托人或受托人的用户导致）。\n\n9 客户个人数据的返还或删除\n\n9.1 除非 Kroll 所受约束的适用法律另有要求，在服务提供结束后，或在受托人个人数据不再为其处理目的所必需时，Kroll 将根据受托人的书面指示，在合理期限内删除或返还受托人个人数据。\n\n10 国际数据传输\n\n10.1 鉴于 Kroll（克罗尔）业务运营的全球性，为有效提供服务并出于合规及管理目的，Kroll 可能需要将数据传输至其位于其他国家的办公地点。该等传输应按照适用数据保护法的要求进行。\n\n10.2 如 Kroll 处理欧盟或英国个人数据，Kroll 提供下列传输机制，该等机制适用于将个人数据从欧盟或英国传输至英国或欧洲经济区以外、且未达到欧盟委员会所认定的充分保护水平的国家：\n\n10.2.1 对于从欧盟或英国传输的数据，目前载于 [http] 的欧盟标准合同条款（2021/914/EU 号决定，2021 年 6 月 4 日）中控制者至处理者版本，尤其是其引用模块二（控制者至处理者）的第 I、II、III 和 IV 节（“欧盟控制者至处理者标准合同条款”），应视为通过援引纳入本附录。就欧盟控制者至处理者标准合同条款而言，受托人（Trustee）应被视为数据出口方，Kroll 应被视为数据进口方；双方已填写随附的附件 1 和附件 2（以及在适用时的附件 3），并适用下列有效条款及附加条款：\n\n• 在第 7 条中，选择性加入条款不适用。\n\n• 在第 9 条（次级处理者）中，选项 2 适用。Kroll 已获得受托人对聘用载于附录 3 所列经同意清单中的次级处理者的概括授权。Kroll 应至少提前 20 天，就通过增加或替换次级处理者而拟对该清单作出的任何变更，专门书面通知受托人，从而给予受托人在聘用该等次级处理者之前对该等变更提出异议的充分时间。\n\n• 在第 11 条（救济）中，选择性措辞不适用；\n\n• 就第 17 条（准据法）而言，双方同意，标准合同条款应受合同中指定为管辖该合同的法律管辖。\n\n• 但是，如该合同不受欧盟成员国法律管辖，则标准合同条款应受数据出口方设立所在欧盟成员国的法律管辖，即英国法律。\n\n• 尽管有上述规定，如合同受英国法律管辖，则标准合同条款应受英国法律管辖。\n\n• 就第 18 条（法院及管辖权）而言，第 18(b) 条下的法院应为协议中指定为具有管辖权的法院。如协议未指定欧盟成员国或英国法院具有管辖权，双方同意应由第 17 条规定的管辖区域的法院管辖。\n\n10.2.2 对于从英国传输的数据，除上述第 10.2.1 条外，由英国 ICO 采用的英国数据传输附录（“英国 DTA”）亦适用于该等传输；该附录目前可见于 [http][data-transfer-agreement.pdf,]，并可不时修订、取代或替换。英国 DTA 要求的下列信息应适用：\n\n• 表 1 应由随附附件 1 第 A 节的内容构成；\n\n• 就表 2 而言，选择上述第 10.2.1 条所载经批准的欧盟标准合同条款，并适用以下模块、条款或选择性规定：(a) 模块二（控制者至处理者）；(b) 第 7 条中不包括选择性加入条款；(c) 第 9 条中采用概括书面授权的选项 2，期限为二十天；以及 (d) 第 11 条中不包括选择性文本；\n\n• 表 3 应由本附录的附件 1（第 A-B 节）和附件 2 的内容构成；以及\n\n• 就表 4 而言，除经双方同意外，任何一方均不得终止本附录。\n\n10.3 Kroll 各实体已订立公司内部数据处理／传输协议，该等协议允许处理个人数据，并允许将个人数据从欧盟或英国传输至欧洲经济区以外地点。\n\n10.4 如受托人就处理受托人个人数据而受数据保护法规定的特定义务约束，Kroll 与受托人将协商并签署为使受托人遵守该等义务而合理需要的文件。\n\n10.5 如 Kroll 和／或受托人在提供服务时处理个人数据所依赖的有效数据传输机制根据数据保护法被修订、替换或废止，双方应本着诚信协作，协商达成解决方案，以使个人数据传输能够按照数据保护法进行。\n\n11 可分割性\n\n11.1 如本数据处理协议（DPA）的任何规定无效或不可执行，本数据处理协议的其余部分仍应有效并继续具有效力。该无效或不可执行的规定应当：(i) 在尽可能保留双方意图的前提下，作必要修订以确保其有效性及可执行性；或，如无法做到，(ii) 按照其中从未包含该无效或不可执行部分的方式予以解释。\n\n本数据处理协议（包括其附录）自根据其处理受托人个人数据的服务工作说明书（SOW）之日起订立，并成为上述协议具有约束力的一部分。\n\n附录 B　案号 22-50073　文件 2162　提交日期 09/01/23　录入日期 09/01/23 20:35:36　第 29 页，共 60 页\n\n在服务结束时或本协议终止后，Kroll 将根据律师事务所（Law Firm）和／或受托人的书面指示，采取下列措施之一：\n\n1. 将所收集的电子存储信息（“ESI”）连同审阅平台中托管的任何数据的导出文件返还给律师事务所和／或受托人；\n\n2. 销毁所收集的 ESI，连同审阅平台中托管的任何数据；\n\n3. 对所收集 ESI 的存储及管理每月收取最低 \\$5,000 的费用，此外，对于仍托管于审阅平台中的任何数据，收取约定的每月托管费用（自服务结束一个月后开始）；或\n\n4. 与律师事务所和／或受托人就其他安排达成一致。\n\nKroll 通过任何实体介质（例如硬盘、USB/闪存驱动器）收到的所有数据，一旦复制至 Kroll 环境，即将由 Kroll 按贵方承担的费用并依贵方指示返还给律师事务所和／或受托人。\n\n附件 1　案号 22-50073　文件 2162　提交日期 09/01/23　录入日期 09/01/23 20:35:36　第 30 页，共 60 页\n\nA. 当事人名单\n\n数据出口方：[数据出口方的身份及联系方式，以及在适用情况下其数据保护官和／或其在欧盟的代表的身份及联系方式]\n\n名称：合同中被确定为“受托人”的实体\n\n地址：与受托人的 Kroll 账户相关联的地址，或本附录或合同中另行指定的地址\n\n联系人姓名、职务及联系方式：与受托人账户相关联的联系方式，或本附录或合同中另行指定的联系方式\n\n与根据本条款传输的数据相关的活动：合同中规定的活动\n\n角色（控制者／处理者）：控制者\n\n数据进口方：[数据进口方的身份及联系方式，包括任何负责数据保护的联系人的身份及联系方式]\n\n.................................................................................................................................................................\n\n名称：合同中指定的 Kroll, LLC（克罗尔有限责任公司）或其关联方（“Kroll”）　地址：合同中指定的 Kroll 地址\n\n联系人姓名、职务及联系方式：Daniela Mosca（丹妮埃拉·莫斯卡），欧盟数据保护官，Daniela.mosca@kroll.com\n\n与根据本条款传输的数据相关的活动：合同中规定的活动\n\n角色（控制者／处理者）：处理者\n\n附件 2\n\n技术和组织措施，包括确保数据安全的技术和组织措施\n\n数据进口方为确保适当的安全水平而实施的技术和组织措施（包括任何相关认证）的说明；该安全水平应考虑处理的性质、范围、背景和目的，以及对自然人权利和自由的风险。\n\nKroll 对提供给公司（Company）的个人数据的安全性、保密性和完整性维持行政、物理及技术保障措施，包括组织控制、物理访问控制、系统访问控制、系统安全控制及事件管理流程。\n\n个人数据加密措施\n\n• 存储客户数据的数据库和文件均已加密。\n\n• 受托人数据在传输过程中已加密。\n\n确保处理系统及服务持续保密性、完整性、可用性和韧性的措施\n\n• 网络防火墙和入侵检测系统。\n\n• 确保支持服务的系统和应用程序已打补丁或受到保护，以降低安全漏洞风险的措施。\n\n• 定期进行外部漏洞扫描和至少每年一次渗透测试，并及时修复所识别的任何关键漏洞。\n\n确保在发生物理或技术事件时能够及时恢复个人数据可用性及访问权限的措施\n\n• 定期备份客户数据，在多个可用区之间进行冗余维护，并在传输和静态存储时加密。\n\n为确保处理安全而定期测试、评估和评价技术及组织措施有效性的流程\n\n• Kroll 维持以 ISO 27001 信息安全管理系统为基础的风险导向型安全计划。\n\n• 信息安全政策和标准至少每年由管理层审查和批准一次，并向所有 Kroll 员工提供以供参考。\n\n• Kroll 信息安全团队管理 Kroll 的安全计划，包括促进和支持由第三方进行的独立审计和评估，以就信息安全计划的有效性提供独立反馈。\n\n用户识别及授权措施\n\n• Kroll 人员根据其工作职能、角色和职责获授权访问客户数据。\n\n• 访问权限定期审查，并在角色变更或终止时及时移除访问权限。\n\n• 密码控制要求，包括：在多次输入错误密码后自动暂停用户账户、最低密码复杂性要求、强制更改密码、禁止重复使用密码，以及禁止使用常见词典词汇作为密码。\n\n传输期间的数据保护措施\n\n• 参见个人数据加密措施。\n\n存储期间的数据保护措施\n\n• 对任何便携式介质进行加密（例如笔记本电脑、可移动驱动器、闪存驱动器或磁带）。\n\n• 限制使用 USB 存储设备。\n\n确保处理个人数据地点物理安全的措施\n\n• 通过入口处和存储室的访问控制，限制 Kroll 人员和第三方进入处理数据的设施（例如徽章访问、保安人员等）。\n\n• 记录访客访问情况。\n\n• 监控摄像机（例如闭路电视）覆盖设施内的敏感区域。\n\n确保事件日志记录的措施\n\n• 记录与处理或存储客户数据的应用工具及资源的安全和访问有关的事件。\n\n• 安全团队集中关联、分析和监控事件日志；必要时对日志活动进行调查并作适当升级处理。\n\n确保系统配置（包括默认配置）的措施\n\n信息系统均按照经文件化的标准安全配置进行部署，该配置定期接受审查。\n\n案号 22-50073 文件 2162 提交日期 09/01/23 登记日期 09/01/23 20:35:36 第 32 页，共 60 页\n\n在产品创建和信息系统生命周期的不同阶段，适用安全软件开发生命周期（Secure Software Development Lifecycle，SDLC）标准，以开展服务相关的众多安全活动。\n\n内部 IT 与 IT 安全治理和管理措施\n\nKroll（科尔）基于 ISO 27001 信息安全管理体系维持一项基于风险的安全计划。\n\n信息安全政策和标准至少每年由管理层审查和批准一次，并向所有 Kroll 员工提供以供参考。\n\n流程和产品认证／保证措施\n\nKroll 开展内部及第三方审计，以核实其是否遵守包括 SOC2、ISO 27001 及类似框架在内的要求。\n\n确保数据最小化的措施\n\nKroll 的产品和服务按照“设计即隐私”（Privacy by Design）原则开发和运营，因此产品和服务仅收集和处理为实现预期功能或服务所必需且与之相称的数据。\n\n确保数据质量的措施\n\nKroll 采取技术上可行且商业上合理的步骤，确保其处理的个人数据准确并与其处理目的相关。\n\n确保有限数据保留的措施\n\n遵守既定的记录保留政策。\n\nKroll 的“设计即隐私”原则将有限数据保留纳入产品和服务的设计及运营之中。\n\n确保问责制的措施\n\n在首席隐私官和数据保护官的负责下，运营一项全球隐私计划，详细说明 Kroll 如何收集、存储、保护和使用客户个人数据。\n\n数据隐私和保护政策及程序。\n\n允许数据可携带性并确保删除的措施\n\nKroll 根据我们的隐私声明协助数据主体提出请求，并在为遵守客户根据数据保护法承担的义务而可能合理需要的范围内向客户提供协助。\n\n案号 22-50073 文件 2162 提交日期 09/01/23 登记日期 09/01/23 20:35:36 第 33 页，共 60 页\n\n附件 3\n\n分处理者名单\n\n控制者已授权使用下列分处理者：\n\n名称\n\n地址\n\n..................................................................................................................................................................................\n\n..................................................................................................................................................................................\n\n联系人的姓名、职位和联系方式\n\n..................................................................................................................................................................................\n\n处理活动说明（如授权数名分处理者，包括对责任作出明确划分）\n\n.................................................................................................................................................................\n\n案号 22-50073 文件 2162 提交日期 09/01/23 登记日期 09/01/23 20:35:36 第 34 页，共 60 页\n\n证据 C\n\nPfeiffer 声明\n\n美国康涅狄格州联邦破产法院布里奇波特分院\n\n-----------------------------------------------------------　x\n\n关于：　：\n：　第 11 章\nHO WAN KWOK（郭文贵）等　：\n：　案号 22-50073 (JAM)\n债务人。1　：\n：　联合管理\n\nx\n\n艾伦·普法伊弗（Allen Pfeiffer）为支持第 11 章受托人申请授权自 2023 年 8 月 2 日起聘任并雇用 KROLL, LLC 担任法证调查人员所作的声明\n\n本人艾伦·普法伊弗，依 28 U.S.C. § 1746 作出本声明：\n\n1. 本人系 Kroll, LLC（“Kroll”）的董事总经理。本文所述事项均基于本人的亲身知悉作出；如被传唤并宣誓作为证人，本人能够且愿意就此作出有资格的证言。2\n\n2. 本声明旨在支持受托人的申请（“申请”）3，请求法院根据《美国法典》第 11 编（“破产法”）第 327 条和第 330 条作出命令，授权受托人自 2023 年 8 月 2 日起按照 Kroll、受托人、Genever (BVI) 和 Genever (US) 于 2023 年 8 月 31 日签订的特定聘用函（“聘用函”）所载条款和条件，雇用并聘任 Kroll 担任法证调查人员。准予申请所请求救济的拟议命令格式（“拟议命令”）作为证据 A 附于其后。聘用函作为证据 B 附于申请之后。\n\n3. Kroll 是法证调查领域的全球领导者，在国际调查和资产追回方面拥有丰富经验。Kroll 在此等规模和复杂程度的事项中拥有大量经验，并曾在全国各地区待决的许多重大破产案件中担任法证调查人员或履行类似职责。例如，Residential Capital，案号 12-12020（纽约南区联邦破产法院）；Lehman Brothers Holdings，案号 08-13555（纽约南区联邦破产法院）；Bernard L. Madoff Investment Securities，案号 08-01789（纽约南区联邦破产法院）；Mirant，案号 03-46590（得克萨斯州北区联邦破产法院）；Exide Technologies，案号 13-11482（特拉华州联邦破产法院）；以及 Capmark Financial Group，案号 09-13684（特拉华州联邦破产法院）。\n\n4. Kroll 将根据 Bankruptcy Code §§ 330 and 331、破产规则第 2014 条和第 2016 条，以及地方法院破产规则第 2014-1 条和第 2016-1 条，向法院申请报酬。\n\n5. 据本人所能查明，本人、本人所在事务所或其任何雇员，均未与债务人、债务人的债权人或本案任何其他利害关系方，或彼等各自的律师及会计师、美国受托人或受雇于美国受托人办公室的任何人员存在任何关联，但本文可能载明者除外。\n\n6. Kroll 在本人监督下完成了一项审查，依据对内部客户数据库的查询，对本第 11 章案件中已识别的潜在利害关系方（“潜在利害关系方”）进行了审查；该数据库载有 Kroll 当前或近期客户的个人及实体名称。潜在利害关系方名单由受托人提供，并作为附表 1 附于本声明之后。如 Kroll 的利益冲突审查显示某些潜在利害关系方与 Kroll 存在关联，该等当事方已列于作为附表 2 附于本声明之后的名单（“客户匹配名单”）中。据本人所知，Kroll 与客户匹配名单中任何当事方之间的任何此类关联，均与债务人或破产财产完全无关。\n\n7. 此外，Kroll 人员可能与债务人的部分债权人或其他利害关系方存在关系。然而，据本人所知，该等关系如确实存在，均属个人性质且与本第 11 章案件完全无关。Kroll 过去一直并将继续在与本第 11 章案件无关的事项中代表客户。此外，Kroll 在正常业务过程中，过去一直并将继续与可能参与债务人案件的某些供应商、专业人士及其他利害关系方保持关系，相关事项均与本案无关。Kroll 还可能向可能是本第 11 章案件债权人或利害关系方的实体或个人提供专业服务，但该等服务不直接涉及债务人的第 11 章案件，亦与之不存在任何直接关联。据本人所知，Kroll 及其任何雇员均未就 Kroll 将受聘处理的任何事项代表任何与破产财产存在重大不利关系的利益。基于上述情况，本人相信，Kroll 属于破产法第 101(14) 条所定义的“无利害关系人”。\n\n8. 如 Kroll 在受聘期间发现任何与本文所述事项有关的新事实或关系，Kroll 将尽合理努力及时提交补充宣誓书。\n\n9. 根据 28 U.S.C. § 1746，本人特此在伪证处罚的约束下声明：据本人的信息、知识和信念，上述内容真实且正确。\n\n日期：September 1, 2023\n\n/s/ Allen Pfeiffer\n\nAllen Pfeiffer\n董事总经理\nKroll, LLC\n\n附表 1\n\n潜在利害关系方\n\nKWOK 案利害关系方名单\n\n20 家最大无担保债权人\n\nPACIFIC ALLIANCE ASIA OPPORTUNITY GOLDEN SPRING NEW YORK RUI MA CHENG JIAN WU JIAN SHE NING YE GUO BAOSHENG YAN LAN & WU ZHENG HONG QI QU NAN TONG SI JIAN JIAN GONG YAN ZHAO YUA HUA ZHUANG SHI LIEHONG ZHUANG/XIAO YAN ZHU WEICAN MENG/BOXUN INC. SAMUEL NUNBERG LAMP CAPITAL LLC JUN CHEN AKA JONATHAN HO YUE HUA ZHU SHI XIONG XIAN WEI YE HUIZEN WANG\n\n债务人、家庭成员及某些关联实体\n\nHO WAN KWOK（又名 MILES GWOK、MILES GUO 和 WENGUI GUO）HING CH NGOK/YUE QINGZHI QIANG GUO（又名 MILESON GUO）MEI GUO/MEI GUI HK INTERNATIONAL FUNDS INVESTMENTS (USA) LIMITED, LLC BRAVO LUCK LIMITED GENEVER HOLDINGS CORPORATION GENEVER HOLDINGS LLC\n\n破产法官和美国受托人人员\n\n尊敬的 JULIE A. MANNING WILLIAM HARRINGTON KIM L. MCCABE HOLLEY CLAIBORN JOSEPH H. FLAMINI ERIN HOGAN STEVEN MACKEY FRANK MARINO JENNIFER J. MOREY NICOLE NEELY SHARON WARNER JOHN GERVAIS\n\n其他利害关系方\n\n1332156 B.C. LTD 17 MILES, LLC 7 NOD HILL LLC, 7 STAR EAST NY LLC AAGV LIMITED AARON A. MITCHELL ABRAMS FENSTERMAN, LLP ACA CAPITAL GROUP LIMITED ACA INVESTMENT FUND ACA INVESTMENT MANAGEMENT LTD. ACASS CANADA LTD. ACE DECADE HOLDINGS LIMITED ADAM CHEN NI AFFILIATED ADJUSTMENT GROUP, LTD. AI GROUP HOLDINGS INC., AIG PROPERTY CASUALTY COMPANY AKERMAN LLP ALEX HADJICHARALAMBOUS ALFA GLOBAL VENTURES LIMITED ALFONSO GLOBAL LIMITED ALLIED CAPITAL GLOBAL LIMITED ALPINE FIDUCIARIES SA AMAZON WEB SERVICES LLC AMAZON.COM INC. AN HONG ANA C. IZQUIEDO-HENN ANDREW SULNER/FORENSIC DOCUMENT EXAMINATIONS, LLC ANN MARIE LEE ANTHONY DIBATTISTA ANTON DEVELOPMENT LIMITED APPLE INC. APSLEY YACHTS LIMITED ARETHUSA FORSYTH ARI CASPER ASSETS SINO LIMITED AUSPICIOUS COAST LIMITED AXOS BANK AXOS FINANCIAL, INC. BAIQIAO TANG A/K/A TANG BAIQIAO BAKER HOSTETLER LLP BANK OF AMERICA BANK OF CHINA – NEW YORK BRANCH AND/OR BANK OF CHINA LIMITED BANK OF MONTREAL BARCLAYS BANK PLC BEIJING BI HAI GE LIN YUAN LIN LU HUA, LTD. BEIJING CHENG JIAN WU JIAN SHE GROUP, LTD. BEIJING FU LE HONG MA JIAN ZHU ZHUANG SHI GONG CHENG, LTD. BEIJING PANGU INVESTMENT CO. BEIJING ZENITH HOLDINGS CO. BEIJING ZHONG XIAN WEI YE STAINLESS DECORATION CENTER BENTO TECHNOLOGIES, INC. BERKELEY ROWE BERNARDO ENRIQUEZ BINGNAN CUI\n\nBINGSHANG JIAO BLUE CAPITAL BNY MELLON, N.A. BOHONNON LAW FIRM BOIES SCHILLER BONNIE C. MANGAN BOOMING SAIL NEW YORK LLC BOXUN INC. BRANCH BRAVO LUCK LIMITED BRENT PETRO INC. BRIAN HOFMEISTER BROWN HARRIS STEVENS BROWN RUDNICK, LLP BSA STRATEGIC FUND I BURNETTE SHUTT AND MCDANIEL PA CAHILL GORDON & REINDEL LLP CAIYAN LING CANADIAN IMPERIAL BANK OF COMMERCE CAPITAL ONE BANK CAPITAL ONE, NA CHAO KANG SUN CHAO-CHIH CHIU CHARLES SCHWAB CHARMOY & CHARMOY LLC CHASE BANK CHEN XIN XIN CHENGLONG WANG CHENXI WANG CHI WAI KWOK CHIESA SHAHINIAN & GIANTOMASI PC CHINA GOLDEN SPRING GROUP (HONG KONG) LIMITED CHONG SHEN RAPHANELLA CHRIS LEE CHRISTINE CHEN CHRISTODOULOS G. VASSILIADES & CO. LLC CHUAN LING YANG CHUANG XIN LTD. CHUI KUK WU CHUNFENG XIA CHUNHUI SONG CI CHEN CIBC INC. (D/B/A CIBC) CINDY ZHANG CITIBANK CITIZENS FINANCIAL GROUP, INC. CLARK HILL PLC CLAYMAN & ROSENBERG LLP CLAYMAN ROSENBERG KIRSHNER & LINDER LLP COHN BIRNBAUM & SHEA P.C. 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EAST WEST BANK EASTERN PROFIT CORPORATION LIMITED EDMISTON AND COMPANY LIMITED EDUARDO EURNEKIAN EHSAN MASUD ELITE WELL GLOBAL LIMITED ELLIOTT KWOK LEVINE & JAROSLAW LLP EMILE P DE NEREE EMPIRE GROWTH HOLDINGS ENGINEERING OPERATIONS AND CERTIFICATION SERVICES, LLC EPIQ CORPORATE RESTRUCTURING, LLC ERIC GOLDSMITH MD, LLC ERNST & YOUNG LLP FAN BINGBING FAN JING FEIFEI MA FENG PENG RELLOS FENG ZHU FENGGUO LI FIONA YU FIRST ABU DHABI BANK FIRST REPUBLIC BANK FIRSTBANK PUERTO RICO FORBES HARE FREEDOM MEDIA VENTURES LTD FUNGWAN TRADING INC. FUNING ZHANG G CLUB OPERATIONS LLC G CLUB US OPERATIONS INC. G CLUB US OPERATIONS LLC G FASHION LLC G FASHION US OPERATIONS INC. G LIVE, LLC G NEWS LLC, G TRANSLATORS PTY LTD GANFER SHORE LEEDS & ZAUDERER GAO BINGCHEN GBROADCAST, LLC\n\nG-CLUB G-CLUB INVESTMENTS LIMITED G-EDU INC. GEORGE L. SU GETTR USA GFASHION MEDIA GROUP INC. GFNY, INC GINNEL ASSOCIATES, INC. (D/B/A GINNEL REAL ESTATE) GLENN MELLOR GLOBALIST INTERNATIONAL LIMITED GMUSIC, GNEWS LLC, GNEWS MEDIA GROUP INC., GOLDFARB & HUCK ROTH RIOJAS, PLLC GORDON & REES SCULLY MANSUKHANI LLP GPOSTS LLC GREEN & SKLARZ LLC GREENBERG TRAURIG, LLP GREENWICH LAND LLC GS SECURITY SOLUTIONS, INC. G-TRANSLATORS PTY LTD GTV MEDIA GROUP, INC., GUI LIN GAO GUO LIJIE GUO MEDIA GUO WENOUN GUO WENPING GUOFENG WAN GUY PETRILLO GWGOPNZ LIMITED HAI YAO HAIHONG WANG HAILING SHENG HAMILTON CAPITAL HOLDINGS INC HAMILTON M&A FUND SP HAMILTON OPPORTUNITY FUND SPC HAN CHUNGUANG HANQIANG LIN HAO HAIDONG HAO LI HAO ZHANG HAOYU WANG HARCUS PARKER LTD. HARNEY WESTWOOD AND RIEGELS LP HCHK PROPERTY MANAGEMENT, INC. HCHK TECHNOLOGIES, INC. HCHK TECHNOLOGIES, LLC HE BEI YUE HUA ZHUANG SHI GONG CHENG LTD. HEAD WIN GROUP LIMITED HELEN MANIS HENAN YUDA HERBERT SMITH FREEHILLS NEW YORK LLP HERO GRAND LIMITED HHS CAPITAL INC. 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METROPOLITAN COMMERCIAL BANK AND/OR METROPOLITAN BANK HOLDING CORP. MIHO NISHIMURA MILES GUO MILES GWOK MIMAII NZ LIMITED MIN YANG MING WU MINGHUA ZHANG MINGRUI ZHAO MOA-FU MORGAN STANLEY MORITT HOCK & HAMROFF MORVILLO ABRAMOWITZ GRAND IASON & ANELLO PC MURTHA CULLINA LLP NADEEM AKBAR NATIONAL AUSTRALIA BANK LIMITED NEW DYNAMIC DEVELOPMENT LIMITED\n\nNEW FEDERAL STATE OF CHINA NEW TREASURE LLC NEW YORK MOS HIMALAYA LLC NEXT TYCOON INVESTMENTS LIMITED NICHOLAS F. SAVIO NING LI NING ZHAO NOBLE FAME GLOBAL LIMITED NODAL PARTNERS, LLC NOVELTY HILL LTD. NRT NEW ENGLAND LLC (D/B/A COLDWELL BANKER RESIDENTIAL BROKERAGE) NUOXI LIU NYC DEPT OF FINANCE O'MELVENY & MYERS LLP O'NEAL WEBSTER OASIS TECH LTD OGIER OLINA CLEMENS OPEN BANK O'SULLIVAN MCCORMACK JENSEN & BLISS PC PACIFIC ALLIANCE ASIA OPPORTUNITY FUND L.P. PACIFIC ALLIANCE ASIA OPPORTUNITY FUND L.P. PALLAS PARTNER LLP PAUL WEISS PEILUN HU PENGCHENG ZHANG PETRILLO KLEIN & BOXER LLP PHILLIPS NIZER LLP PHOENIX CREW IC LIMITED PILLSBURY WINTHROP SHAW PITTMAN LLP PIXSHOW FILM INC. PRIME TRUST LLC PULLMAN & COMLEY, LLC QIANG CHENG QIANG FU QIN YU QING \"SERENA\" CAI QINGTIAN YUAN QIONG BIN FU QIONGGUI YAN QIQHUA FAN QIU YU QIURIA LI QU GUOJIAO QUIJU JIA RAICH ENDE MALTER CO. LLP (AKA RAICH ENDE MALTER & COMPANY) RANDAZZA LEGAL GROUP, PLLC RBB BANCORP AND/OR ROYAL BUSINESS BANK REDFIN CORPORATION RENFENG SHI ROBINSON & COLE LLP RONG HU RONG JIANG RONG ZHANG RONGLIANG STARKS ROSCALITAR2\n\nROSS HEINEMEYER ROY D. SIMON RUIZHENG AN RULE OF LAW FOUNDATION III RULE OF LAW SOCIETY IV INC RUQUIN WANG RYAN CHENGRAN ZHANG SAIL VICTORY LIMITED SAMUEL DAN NUNBERG SANTANDER BANK, N. A. SARA WEI (A/K/A LIHONG WEI LAFRENZ) SARACA MEDIA GROUP, INC., SAVIO LAW LLC SAXE DOERNBERGER & VITA, P.C. SCHULMAN BHATTACHARYA, LLC SCOTT BARNETT SEACOAST NATIONAL BANK SELAS MONTBRIAL AVOCATS SEVEN MISSION GROUP LLC SHANE D SHOOK SHAO HONG CHIU SHAOBING LI SHAPIRO ARATO BACH LLP SHENGJIE FU SHERRY-NETHERLAND, INC. SHI JIA ZHUANG ZHEN YUAN JIAN ZHU AN ZHUANG GONG CHENG LTD BEJING FIRST SHIBIN ZHANG SHIN HSIN YU SHINY ACE INNOVATION CO LTD SHINY ACE LIMITED SHINY TIMES LTD. SHIPMAN AND GOODWIN SHIPMAN, SHAIKEN & SCHWEFEL, LLC SHIQI WANG SHIYUAN ZHANG SHIZHONG ZHANG SHUANG WANG SHUNJUN LI SIGNATURE BANK SILVERGATE BANK SIRIUS NETWORKING INC. SONGYI CHEN SOTHEBY'S INTERNATIONAL REALTY SOTHEBY'S INTERNATIONAL REALTY AFFILIATES LLC SPIRIT CHARTER INVESTMENT LIMITED SPOTIFY TECHNOLOGY S.A. SPOTIFY USA, INC. STANDARD CHARTERED BANK STARLING BANK LTD STEPHEN WONG STEVE BANNON, STEVENSON WONG STOKES LAWRENCE, PS STOKESBURY & FINGOLD, LLC STRATEGIC VISION LLC TAIXIN FU\n\nTAKAHASHI HIROYUKI TALHA ZOBAIR TAO AN TAO ZHANG TAURUS FUND LLC TAURUS MANAGEMENT LLC TD BANK, N.A. TELI CHEN THE BANK OF PRINCETON THE CASPER FIRM THE FIRST BANK OF GREENWICH THE FRANCIS FIRM PLLC THE LAW OFFICES OF RAFAEL A. VARGAS THE SHERRY-NETHERLAND HOTEL THE SHERRY-NETHERLAND, INC. THOMAS RAGLAND THREE TREASURE LLC TIAN LIANG TINGYI WEI TM PRIMROSE LIMITED TONG LE INTERNATIIONAL TRADING CO., LTD. TROUTMAN PEPPER HAMILTON SANDERS LLP TROY LAW PLLC U.S. BANK NATIONAL ASSOCIATION U.S. LEGAL SUPPORT, INC. UBS AG UBS AG (LONDON BRANCH) UK HIMALAYA LTD. UNA MANYEE WILKINSON UNITED STATES OF AMERICA UNITEDLEX UPDIKE, KELLY & SPELLACY P.C. US HIMALAYA CAPITAL INC. US HIMALAYA LTD. V.X. CERDA & ASSOCIATES P.A. VERDOLINO & LOWEY VERITEXT VICTOR CERDA VOICE OF GUO MEDIA, INC. VX CERDA & ASSOCIATES WA&HF LLC WANCI JIAO WARD & BERRY, PLLC WARREN LAW GROUP WEI HONG XIE WEI SHE WEI ZHANG WEICAN (\"WATSON\") MENG WEIGUO SUN WEIWEI QIAN WEIXIANG GE WEIYI WANG WELL ORIGIN LTD. WEN LIN WENCONG WANG WENFENG HU WENG WENHUA GONG WHITECROFT SHORE LIMITED WHITMAN BREED ABBOTT & MORGAN LLC WILLIAM BRADLEY WENDEL WILLIAM GERTZ WILLIAM JE (JE KIN MING) WILLIAMS & CONNOLLY WILSON ELSER MOSKOWITZ EDELMAN & DICKER LLP WOLF HALDENSTEIN ADLER FREEMAN & HERZ LL WORLD CENTURY LIMITED, WORLDWIDE OPPORTUNITY HOLDINGS LIMITED WU ZHENG XIA CHUNFENG XIANHONG ZHANG XIAO HUANG XIAO RUI WANG XIAO YAN ZHU XIAODAN WANG XIAOLAN ZHAO XIAOLI MA XIAOLI XU XIAOMEI ZHAO XIAOMING LIU XIAOXIAO LIN XIAOYAN BA XILI ZHAI XIN LI XINGYU YAN XINHUI LIAO XINRONG LI XIQUI (\"BOB\") FU XIULING TANG XUEHAI LIU XUN DENG YA LI YACHTZOO SARL YAFAN CHANG YAN CHUN LIU YAN GAO YAN HUANG YAN LIU YANCHENG CHEN YANG HAI YANG JUN ZHENG YANG LAN YANG YANG YANKWITT LLP YANMING WANG YANPING WANG YANYUN REN YAZ QINGUA YELIANG XIA YI LI YI LIN\n\nYI WEN\n\nYI ZHAO YI ZHOU YIMING ZHANG YING LIU YONG CHUN LI YONG ZHANG YONGBING ZHANG YONGPING YAN YOSSI ALMANI YOUTUBE, LLC YU XIA LI YUAN ZHOU YUANLIN LIU YUE HUA ZHU SHI YUE ZHOU YUHONG PEI YUJIA WANG YUK MOEY MARY YAP YUKY YUN LIU YULIN YAO YUMEI HU YUNFA WANG YUNTENG LU YUNXIA WU YUXIANG CHEN & JIA YOU JT TEN YVETTE WANG ZEICHNER ELLMAN & KRAUSE LLP ZEISLER & ZEISLER, P.C. ZHANG WEI ZHENG RUI HE ZHENG WU (A/K/A BRUNO WA) ZHENGHUA SHEN ZHENGJUN DONG ZHENPENG LI ZHIXUAM LI ZHIZHE \"FRANK\" DONG ZHONGYI MA ZHOU BAOJIN ZHOU HAI YANG ZHUOER \"JOE\" WANG ZI YE ZIBA LIMITED ZIHAN LIU ZIKUN WANG\n\n案件 22-50073 文书 2162 提交于 09/01/23 登记于 09/01/23 20:35:36 第 53 页，共 60 页\n\n附表 2\n\n客户匹配名单\n\n当事人名称　与债务人的关系　与 Kroll 的关系\n\nABRAMS FENSTERMAN, LLP（艾布拉姆斯·芬斯特曼律师事务所）　其他利害关系方　Abrams Fensterman, LLP 是 Kroll（科尔）治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\nAIG PROPERTY CASUALTY COMPANY（美国国际集团财产意外保险公司）　其他利害关系方　AIG Property Casualty Inc. 是 Kroll 网络风险业务部门的现有客户。提供的服务与本第11章程序无关。\n\nAKERMAN LLP（阿克曼律师事务所）　其他利害关系方　Akerman LLP 是 Kroll 下列业务部门的现有客户：治理与风险咨询；Kroll 商业服务。提供的服务与本第11章程序无关。\n\nAMAZON WEB SERVICES LLC（亚马逊云服务有限责任公司）　其他利害关系方　Amazon Web Services, Inc. 是 Kroll 网络风险业务部门的现有客户。提供的服务与本第11章程序无关。\n\nAMAZON.COM INC.（亚马逊公司）　其他利害关系方　Amazon.com, Inc. 及其关联公司是 Kroll 下列业务部门的现有客户：治理与风险咨询；估值服务。提供的服务与本第11章程序无关。\n\nAPPLE INC.（苹果公司）　其他利害关系方　Apple Inc. 是 Kroll 下列业务部门的现有客户：网络风险；治理与风险咨询。提供的服务与本第11章程序无关。\n\nAXOS BANK（艾克索斯银行）\nAXOS FINANCIAL, INC.（艾克索斯金融公司）　其他利害关系方　Axos Digital Assets LLC 是 Kroll 治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\nBAKER HOSTETLER LLP（贝克·霍斯特勒律师事务所）　其他利害关系方　Baker & Hostetler LLP 是 Kroll 下列业务部门的现有客户：网络风险；治理与风险咨询；Kroll 商业服务；估值服务。提供的服务与本第11章程序无关。\n\nBANK OF AMERICA（美国银行）　其他利害关系方　Bank of America 是 Kroll 治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\nBANK OF CHINA – NEW YORK BRANCH AND/OR BANK OF CHINA LIMITED（中国银行纽约分行和/或中国银行股份有限公司）　其他利害关系方　Bank of China（中国银行）是 Kroll 治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\nBANK OF MONTREAL（蒙特利尔银行）　其他利害关系方　Bank of Montreal 是 Kroll 下列业务部门的现有客户：网络风险；治理与风险咨询。提供的服务与本第11章程序无关。\n\nBARCLAYS BANK PLC（巴克莱银行公众有限公司）　其他利害关系方　Barclays Bank PLC 是 Kroll 下列业务部门的现有客户：治理与风险咨询；估值服务。提供的服务与本第11章程序无关。\n\nBNY MELLON, N.A.（纽约梅隆银行，全国协会）　其他利害关系方　Bank Of New York Mellon Inc. 是 Kroll 下列业务部门的现有客户：治理与风险咨询；估值服务。提供的服务与本第11章程序无关。\n\nBOIES SCHILLER（博伊斯·席勒律师事务所）　其他利害关系方　Boies, Schiller & Flexner LLP 是 Kroll 下列业务部门的现有客户：治理与风险咨询；Kroll 商业服务。提供的服务与本第11章程序无关。\n\nBROWN RUDNICK, LLP（布朗·鲁德尼克律师事务所）　其他利害关系方　Brown Rudnick Berlack Israels LLP 是 Kroll 网络风险业务部门的现有客户。提供的服务与本第11章程序无关。\n\nCAHILL GORDON & REINDEL LLP（卡希尔·戈登·赖因德尔律师事务所）　其他利害关系方　Cahill Gordon & Reindel LLP 是 Kroll 商业服务业务部门的现有客户。提供的服务与本第11章程序无关。\n\nCANADIAN IMPERIAL BANK OF COMMERCE（加拿大帝国商业银行）　其他利害关系方　Canadian Imperial Bank of Commerce 是 Kroll 治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\nCAPITAL ONE BANK（第一资本银行）\nCAPITAL ONE, NA（第一资本银行，全国协会）　其他利害关系方　Capital One Financial Corporation（第一资本金融公司）是 Kroll 估值服务业务部门的现有客户。提供的服务与本第11章程序无关。\n\nCHASE BANK（大通银行）\nJPMORGAN CHASE BANK, N.A.（摩根大通银行，全国协会）　其他利害关系方　JPMorgan Chase（摩根大通）及其关联公司是 Kroll 下列业务部门的现有客户：治理与风险咨询；Kroll 商业服务；估值服务。提供的服务与本第11章程序无关。\n\nCHIESA SHAHINIAN & GIANTOMASI PC（基耶萨·沙希尼安·贾恩托马西专业公司）　其他利害关系方　Chiesa Shahinian & Giantomasi PC 是 Kroll 下列业务部门的现有客户：网络风险；治理与风险咨询。提供的服务与本第11章程序无关。\n\nCIBC INC.（加拿大帝国商业银行公司）　其他利害关系方　CIBC Capital Markets（加拿大帝国商业银行资本市场）是 Kroll 商业服务业务部门的现有客户。提供的服务与本第11章程序无关。\n\nCITIBANK（花旗银行）　其他利害关系方　Citibank/Citigroup（花旗银行/花旗集团）是 Kroll 下列业务部门的现有客户：治理与风险咨询；Kroll 商业服务；估值服务。提供的服务与本第11章程序无关。\n\nCLARK HILL PLC（克拉克·希尔律师事务所）　其他利害关系方　Clark Hill, PLC 是 Kroll 下列业务部门的现有客户：网络风险；治理与风险咨询。提供的服务与本第11章程序无关。\n\nCOLDWELL BANKER（科尔德威尔银行）　其他利害关系方　Coldwell Banker Prime Properties（科尔德威尔银行优质地产）是 Kroll 网络风险业务部门的现有客户。提供的服务与本第11章程序无关。\n\nDBS BANK LTD.（星展银行有限公司）　其他利害关系方　DBS Bank Ltd. 是 Kroll 治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\nDWF LLP（DWF律师事务所）　其他利害关系方　DWF LLP 是 Kroll 治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\n其他利害关系方　Kroll 下列业务部门的现有客户：Kroll 商业服务；治理与风险咨询；以及估值服务。提供的服务与本第11章程序无关。Ernst & Young（安永）亦为 Kroll 的供应商。\n\nFIRSTBANK PUERTO RICO（波多黎各第一银行）　其他利害关系方　FirstBank Puerto Rico 是 Kroll 网络风险业务部门的现有客户。提供的服务与本第11章程序无关。\n\nGORDON & REES SCULLY MANSUKHANI LLP（戈登·里斯·斯卡利·曼苏哈尼律师事务所）　其他利害关系方　Gordon Rees Scully Mansukhani, LLP 是 Kroll 下列业务部门的现有客户：网络风险；Kroll 商业服务；治理与风险咨询。提供的服务与本第11章程序无关。\n\nGREENBERG TRAURIG, LLP（格林伯格·特劳里格律师事务所）　其他利害关系方　Greenberg Traurig, LLP 是 Kroll 下列业务部门的现有客户：网络风险；治理与风险咨询；Kroll 商业服务。提供的服务与本第11章程序无关。\n\nHARCUS PARKER LTD.（哈库斯·帕克有限公司）　其他利害关系方　Harcus Parker Limited 是 Kroll 治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\nHARNEY WESTWOOD AND RIEGELS LP（哈尼·韦斯特伍德·里格尔斯律师事务所）　其他利害关系方　Harney Westwood & Riegels 是 Kroll 下列业务部门的现有客户：网络风险；治理与风险咨询。提供的服务与本第11章程序无关。\n\nHERBERT SMITH FREEHILLS NEW YORK LLP（赫伯特·史密斯·富尔希尔斯纽约律师事务所）　其他利害关系方　Herbert Smith Freehills LLP 是 Kroll 治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\nHODGSON RUSS（霍奇森·拉斯律师事务所）　其他利害关系方　Hodgson Russ 是 Kroll 网络风险业务部门的现有客户。提供的服务与本第11章程序无关。\n\nHSBC（汇丰）\nHSBC BANK USA（汇丰银行美国）　其他利害关系方　HSBC 及其关联公司是 Kroll 下列业务部门的现有客户：治理与风险咨询；Kroll 商业服务；估值服务。提供的服务与本第11章程序无关。\n\nJENNER & BLOCK LLP（詹纳·布洛克律师事务所）　其他利害关系方　Jenner & Block LLP 是 Kroll 下列业务部门的现有客户：治理与风险咨询；Kroll 商业服务。提供的服务与本第11章程序无关。\n\nJPMORGAN CHASE BANK, N.A.（摩根大通银行，全国协会）　其他利害关系方　JPMorgan 及其关联公司是 Kroll 下列业务部门的现有客户：Kroll 商业服务；治理与风险咨询；估值服务。提供的服务与本第11章程序无关。\n\nLALIVE SA（拉利夫股份公司）　其他利害关系方　Lalive Sa 是 Kroll 治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\nMARCUM LLP（马卡姆律师事务所）　其他利害关系方　Marcum LLP 是 Kroll 估值服务业务部门的现有客户。提供的服务与本第11章程序无关。\n\nMEISTER SEELIG & FEIN PLLC（迈斯特·西利格·费恩律师事务所）　其他利害关系方　Meister Seelig & Fein LLP 是 Kroll 治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\nMORGAN STANLEY（摩根士丹利）　其他利害关系方　Morgan Stanley 及其关联公司是 Kroll 下列业务部门的现有客户：治理与风险咨询；估值服务。提供的服务与本第11章程序无关。\n\nMORVILLO ABRAMOWITZ GRAND IASON & ANELLO PC（莫维洛·阿布拉莫维茨·格兰德·亚森·阿内洛专业公司）　其他利害关系方　Morvillo Abramowitz Grand Iason & Anello PC 是 Kroll 网络风险业务部门的现有客户。提供的服务与本第11章程序无关。\n\nO'MELVENY & MYERS LLP（奥美律师事务所）　其他利害关系方　O'Melveny & Myers 是 Kroll 治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\nOGIER（奥杰律师事务所）　其他利害关系方　Ogier 是 Kroll 治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\nPAUL WEISS（保罗·韦斯律师事务所）　其他利害关系方　Paul, Weiss, Rifkind, Wharton & Garrison LLP 是 Kroll 下列业务部门的现有客户：治理与风险咨询；Kroll 商业服务。提供的服务与本第11章程序无关。\n\nPILLSBURY WINTHROP SHAW PITTMAN LLP（普博律师事务所）　其他利害关系方　Pillsbury Winthrop Shaw Pittman LLP 是 Kroll 下列业务部门的现有客户：治理与风险咨询；Kroll 商业服务。提供的服务与本第11章程序无关。\n\nSANTANDER BANK（桑坦德银行）　其他利害关系方　Santander Bank 及其关联公司是 Kroll 下列业务部门的现有客户：治理与风险咨询；Kroll 商业服务；估值服务。提供的服务与本第11章程序无关。\n\nSCHULMAN BHATTACHARYA, LLC（舒尔曼·巴塔查里亚有限责任公司）　其他利害关系方　Schulman Bhattacharya 是 Kroll 网络风险业务部门的现有客户。提供的服务与本第11章程序无关。\n\nSHIPMAN AND GOODWIN（希普曼·古德温律师事务所）　其他利害关系方　Shipman & Goodwin LLP 是 Kroll 治理与风险咨询业务部门的现有客户。提供的服务与本第11章程序无关。\n\nSOTHEBY'S INTERNATIONAL REALTY（苏富比国际地产）\nSOTHEBY'S INTERNATIONAL REALTY AFFILIATES LLC（苏富比国际地产关联公司有限责任公司）　其他利害关系方　Sothebys（苏富比）是 Kroll 估值服务业务部门的现有客户。提供的服务与本第11章程序无关。\n\nSPOTIFY TECHNOLOGY S.A.（Spotify科技股份公司）\nSPOTIFY USA, INC.（Spotify美国公司）　其他利害关系方　Spotify Technology S.A. 和 Spotify USA Inc. 是 Kroll 估值服务业务部门的现有客户。提供的服务与本第11章程序无关。\n\nSTANDARD CHARTERED BANK（渣打银行）　其他利害关系方　Standard Chartered Bank 及其关联公司是 Kroll 下列业务部门的现有客户：治理与风险咨询；Kroll 商业服务；估值服务。提供的服务与本第11章程序无关。\n\nTD BANK, N.A.（道明银行，全国协会）　其他利害关系方　TD Bank, NA 是 Kroll 的一名现有客户。\n\n当事人　Kroll（科尔）的估值服务业务部门。服务与本第11章程序无关。\n\nTROUTMAN PEPPER HAMILTON SANDERS LLP（特劳特曼·佩珀·汉密尔顿·桑德斯有限责任合伙律师事务所）　其他利害关系方　Troutman Pepper Hamilton Sanders LLP 是 Kroll 的下列业务部门的现有客户：网络风险；治理与风险咨询；Kroll 商业服务。服务与本第11章程序无关。\n\nU.S. BANK NATIONAL ASSOCIATION（美国合众银行全国协会）　其他利害关系方　U.S. Bank 是 Kroll 的下列业务部门的现有客户：治理与风险咨询；估值服务。服务与本第11章程序无关。\n\nUBS AG（瑞银集团股份公司）\nUBS AG (LONDON BRANCH)（瑞银集团股份公司（伦敦分行））　其他利害关系方　UBS AG 及其关联方是 Kroll 的下列业务部门的现有客户：治理与风险咨询；Kroll 商业服务；估值服务。服务与本第11章程序无关。\n\nUNITED STATES OF AMERICA（美利坚合众国）　其他利害关系方　U.S. Department of Justice（美国司法部）；U.S. Internal Revenue Service（美国国税局）及各美国检察官办公室是 Kroll 的下列业务部门的现有客户：治理与风险咨询；估值服务。服务与本第11章程序无关。\n\nUNITEDLEX（联合律思）　其他利害关系方　UnitedLex Corporation（联合律思公司）是 Kroll 网络风险业务部门的现有客户。服务与本第11章程序无关。\n\nWILLIAMS & CONNOLLY（威廉斯与康诺利）　其他利害关系方　Williams & Connolly LLP（威廉斯与康诺利有限责任合伙律师事务所）是 Kroll 治理与风险咨询业务部门的现有客户。服务与本第11章程序无关。\n\nWILSON ELSER MOSKOWITZ EDELMAN & DICKER LLP（威尔逊·埃尔泽·莫斯科维茨·埃德尔曼与迪克尔有限责任合伙律师事务所）　其他利害关系方　Wilson Elser Moskowitz Edelman & Dicker LLP 是 Kroll 的下列业务部门的现有客户：网络风险；治理与风险咨询；Kroll 商业服务。服务与本第11章程序无关。","key_entities":["Je","Kwok","Guo","Ho Wan Kwok","Himalaya","Despins","Paul Hastings","CIPA","Miles Guo","HCHK","CCP","RICO","Luc Despins","Wang Yanping","Yanping Wang","William Je","GTV","Saraca","Himalaya Exchange","GETTR"],"ecf_references":[],"word_count":18819,"status":"published","published_at":"2023-09-01 00:00:00","created_at":"2023-09-01","updated_at":"2026-08-23 22:20:49"}