{"id":"court_ctb_2239_0","court":"CTB","case_no":"22-50073","doc_number":2239,"sub_number":0,"doc_type":"ORDER","filed_date":null,"title":"| ----------------------------------------------------------- | x      |                         |","summary_zh":null,"summary_en":null,"body_en":"| ----------------------------------------------------------- | x      |                         |\n|-------------------------------------------------------------|--------|-------------------------|\n| In re:                                                      | :<br>: | Chapter 11              |\n| 1                                                           | :      |                         |\n| HO WAN KWOK,<br>et al.,                                     | :<br>: | Case No. 22-50073 (JAM) |\n| Debtors.                                                    | :<br>: | (Jointly Administered)  |\n| ----------------------------------------------------------- | x      |                         |\n\n# **NOTICE OF FILING [REVISED PROPOSED] ORDER 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\nPlease take notice that, following the hearing (the \"Hearing\") held September 27, 2023, on the *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* [ECF No. 2162] (the \"Retention Application\"), filed by Luc A. Despins, in his capacity as chapter 11 trustee (the \"Trustee\") for the debtor Ho Wan Kwok, and in light of the Court's comments and instructions at the Hearing concerning the original proposed order (the \"Original Proposed Order\") granting the Retention Application, the Trustee hereby respectfully submits a revised proposed order granting the Retention Application (the \"Revised\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, and 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\nProposed Order\"). The Revised Proposed Order (a) strikes provisions that the Court stated were duplicative and/or unnecessary, and (b) revises provisions concerning indemnification obligations, including by adding language from the order approving the retention of Epiq Corporate Restructuring, LLC [ECF No. 1298] (the \"Epiq Retention Order\")<sup>2</sup> , to ensure that indemnification obligations are appropriately limited and (most importantly) determined by the Court. The Revised Proposed Order is attached hereto as **Exhibit A** and a track-changes version reflecting changes from the Original Proposed Order is attached hereto as **Exhibit B**.\n\nNew Haven, Connecticut\n\nDated: September 28, 2023 LUC A. DESPINS, CHAPTER 11 TRUSTEE,\n\nBy: /s/ Patrick R. Linsey Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 821-2000 plinsey@npmlaw.com\n\n*and*\n\nNicholas A. Bassett (admitted *pro hac vice*) PAUL HASTINGS LLP 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n*and*\n\nAvram E. Luft (admitted *pro hac vice*) G. Alexander Bongartz (admitted *pro hac vice*) PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 aviluft@paulhastings.com alexbongartz@paulhastings.com\n\n*Counsel for the Chapter 11 Trustee*\n\n<sup>2</sup> More specifically, the Revised Proposed Order includes the provision set forth in paragraph 14 of the Epiq Retention Order.\n\n| -----------------------------------------------------------<br>x |        |                         |\n|------------------------------------------------------------------|--------|-------------------------|\n| In re:                                                           | :<br>: | Chapter 11              |\n| 1<br>HO WAN KWOK,<br>et al.,                                     | :<br>: | Case No. 22-50073 (JAM) |\n| Debtors.                                                         | :<br>: | (Jointly Administered)  |\n| -----------------------------------------------------------      | :<br>x |                         |\n\n### **CERTIFICATE OF SERVICE**\n\nThe undersigned hereby certifies that on September 28, 2022, the foregoing Notice, and all exhibits and attachments thereto, was electronically filed. Notice of this filing will be sent by email to all parties to the above-captioned chapter 11 case by operation of the Court's electronic filing (\"CM/ECF\") system or by mail to anyone unable to accept electronic filing as indicated on the Notice of Electronic Filing. 2 Parties may access this filing through the Court's CM/ECF system.\n\nDated: September 28, 2023 LUC A. DESPINS,\n\nNew Haven, Connecticut CHAPTER 11 TRUSTEE\n\nBy: */s/ Patrick R. Linsey* Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 plinsey@npmlaw.com\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, and 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> To the extent that the foregoing was filed outside regular business hours, service by mail on recipients unable or not qualified to accept electronic notice was made on the next business day.\n\n## **Exhibit B**\n\n**Revised Proposed Order (clean)**\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## **[REVISED PROPOSED] ORDER 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 the hearing on the Application before this Court held September 27, 2023, 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, and Kroll is authorized to act in such capacity.\n\n3. The Debtor's estate shall be responsible for Kroll's compensation and reimbursement of expenses as well as for the payment of any indemnification obligations as set forth in the Engagement Agreement, as modified pursuant to this Order, to the extent approved by the Court.\n\n4. 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\n5. Kroll shall be entitled to indemnification to the extent required under the terms of the Engagement Agreement, as modified pursuant to this Order, provided however, that any request for indemnification by Kroll shall be subject to review by the Court as set forth herein to ensure that payment of such indemnity conforms to the terms of the Engagement Agreement, as modified pursuant to this Order, and is reasonable under the circumstances of the litigation or settlement in respect of which indemnity is sought, provided further, 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\n6. If, before the earlier of (i) the entry of an order confirming a chapter 11 plan in these chapter 11 cases (that order having become a final order no longer subject to appeal), or (ii) the entry of an order closing these chapter 11 cases, Kroll believes that it is entitled to the payment of any amounts by the Trustee on account of the his indemnification obligations under the Engagement Agreement, as modified pursuant to this Order, Kroll must file an application therefor in the Court, and the Trustee may not pay any such amounts to Kroll before the entry of an order by this Court approving the payment. With respect to any amounts sought by Kroll as reimbursement for attorneys' fees and expenses in connection with the payment of an indemnity claim pursuant to the Engagement Agreement, as modified by this Order, the invoices and supporting time records for the attorneys' fees and expenses shall be included in Kroll's application to the Court 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. This paragraph is intended only to specify the period of time under which the Court shall have jurisdiction over any request for fees and expenses by Kroll for indemnification, contribution, or reimbursement, and not a provision limiting the duration of the obligation to indemnify Kroll. All parties in interest shall retain the right to object to any demand by Kroll for indemnification, contribution, or reimbursement.\n\n7. Kroll shall not be entitled to reimbursement by the Trustee 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 approved by the Court.\n\n8. 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. Notwithstanding the foregoing, any increase in rates shall be subject to Court approval which approval shall be requested in the applicable application for compensation.\n\n9. 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\n10. This Court shall retain jurisdiction with respect to all matters arising from or related to the implementation, interpretation, and enforcement of this Order.\n\n## **Exhibit B**\n\n**Revised Proposed Order (track changes)**\n\nx\n\nx\n\nIn re:\n\n: : : : : : : Chapter 11 Case No. 22-50073 (JAM) Jointly Administered\n\nDebtors.<sup>1</sup> -----------------------------------------------------------\n\nHO WAN KWOK, *et al*.,\n\n-----------------------------------------------------------\n\n#### **[REVISED PROPOSED] ORDER 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 the hearing on the Application before this Court held September 27, 2023, 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, and Kroll is authorized to act in such capacity.\n\n3. Kroll is authorized to act as forensic investigators to the Trustee and to perform those services described in the Application.\n\n4.3. The Debtor's estate shall be responsible for Kroll's compensation and reimbursement of expenses as well as for the payment of any indemnification obligations as set forth in the Engagement Agreement, as modified pursuant to this Order, to the extent approved by the Court. .\n\n5.4. 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\n6.5. The Debtors shall indemnify KrollKroll shall be entitled to indemnification to the extent required under the terms of the Engagement Agreement, as modified pursuant to this Order, provided however, that any request for indemnification by Kroll shall be subject to . review by the Court as set forth herein to ensure that payment of such indemnity conforms to the terms of the Engagement Agreement, as modified pursuant to this Order, and is reasonable under the circumstances of the litigation or settlement in respect of which indemnity is sought, provided further, 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 nondisclosure agreement.\n\n7.6. 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. If, before the earlier\n\n| Formatted: (none) |\n|-------------------|\n|                   |\n| Formatted: (none) |\n|                   |\n| Formatted: (none) |\n|                   |\n|                   |\n|                   |\n| Formatted: (none) |\n|                   |\n\n| Formatted: (none) |\n|-------------------|\n|                   |\n| Formatted: (none) |\n| Formatted: (none) |\n\nof (i) the entry of an order confirming a chapter 11 plan in these chapter 11 cases (that order having become a final order no longer subject to appeal), or (ii) the entry of an order closing these chapter 11 cases, Kroll believes that it is entitled to the payment of any amounts by the Trustee on account of the his indemnification obligations under the Engagement Agreement, as modified pursuant to this Order, Kroll must file an application therefor in the Court, and the Trustee may not pay any such amounts to Kroll before the entry of an order by this Court approving the payment. With respect to any amounts sought by Kroll as reimbursement for attorneys' fees and expenses in connection with the payment of an indemnity claim pursuant to the Engagement Agreement, as modified by this Order, the invoices and supporting time records for the attorneys' fees and expenses shall be included in Kroll's application to the Court 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. This paragraph is intended only to specify the period of time under which the Court shall have jurisdiction over any request for fees and expenses by Kroll for indemnification, contribution, or reimbursement, and not a provision limiting the duration of the obligation to indemnify Kroll. All parties in interest shall retain the right to object to any demand by Kroll for indemnification, contribution, or reimbursement.\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\n9.7. Kroll shall not be entitled to reimbursement by the Debtors Trustee 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 approved by the Court.\n\n10.8. 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. Notwithstanding the foregoing, any increase in rates shall be subject to Court approval which approval shall be requested in the applicable application for compensation.\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\n13.9. 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\n10. **Formatted:** List Paragraph, Justified, Indent: Left: 0\", First line: 0.5\", Numbered + Level: 1 + Numbering Style: 1, 2, 3, … + Start at: 1 + Alignment: Left + Aligned at: 0.25\" + Indent at: 0.5\"","body_zh":"----------------------------------------------------------- x\n\n关于：\n第 11 章\n1\nHO WAN KWOK（郭文贵）等，\n案件编号：22-50073 (JAM)\n债务人。\n（合并审理）\n----------------------------------------------------------- x\n\n关于提交［修改后拟议］裁定书的通知：该裁定书批准第 11 章受托人依据《破产法典》第 327 条和第 330 条、《联邦破产程序规则》第 2014 条和第 2016 条以及《本地破产规则》第 2014-1 条和第 2016-1 条作出一项裁定的申请，授权并批准自 2023 年 8 月 2 日起聘用并任命 Kroll, LLC 作为法务调查人员\n\n请注意，继 2023 年 9 月 27 日就 Luc A. Despins 以债务人 Ho Wan Kwok（郭文贵）的第 11 章受托人（以下简称“受托人”）身份提交的《第 11 章受托人依据〈破产法典〉第 327 条和第 330 条、〈联邦破产程序规则〉第 2014 条和第 2016 条以及〈本地破产规则〉第 2014-1 条和第 2016-1 条作出一项裁定的申请，授权并批准自 2023 年 8 月 2 日起聘用并任命 Kroll, LLC 作为法务调查人员》［ECF 编号：2162］（以下简称“聘用申请”）举行听证会（以下简称“听证会”）之后，并鉴于法院在听证会上针对批准该聘用申请的原拟议裁定书（以下简称“原拟议裁定书”）所提出的意见和指示，受托人谨此恭敬提交一份批准该聘用申请的修改后拟议裁定书（以下简称“修改后拟议裁定书”）。\n\n1 本等第 11 章案件中的债务人为 Ho Wan Kwok（郭文贵，亦称 Miles Guo、Miles Kwok 以及诸多其他化名）（纳税人识别号后四位：9595）、Genever Holdings LLC（纳税人识别号后四位：8202）以及 Genever Holdings Corporation。受托人、Genever Holdings LLC 以及 Genever Holdings Corporation 的邮寄地址为：Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 转交 Ho Wan Kwok 破产财团受托人 Luc A. Despins（仅用于接收通知和联络目的）。\n\n修改后拟议裁定书 (a) 删除了法院指出属于重复和/或不必要的条款，以及 (b) 修订了关于补偿义务的条款，包括加入了批准聘用 Epiq Corporate Restructuring, LLC 裁定书［ECF 编号：1298］（以下简称“Epiq 聘用裁定书”）2 中的措辞，以确保补偿义务受到适当限制并（最重要的是）由法院裁定。修改后拟议裁定书作为附件 A 附于本通知后，反映与原拟议裁定书相比之变更的修订标记版本作为附件 B 附于本通知后。\n\n康涅狄格州纽黑文\n\n日期：2023 年 9 月 28 日 LUC A. DESPINS，第 11 章受托人，\n\n签署人：/s/ Patrick R. Linsey Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 821-2000 plinsey@npmlaw.com\n\n及\n\nNicholas A. Bassett（特许出庭）PAUL HASTINGS LLP 2050 M Street NW Washington, D.C., 20036 (202) 551-1902 nicholasbassett@paulhastings.com\n\n及\n\nAvram E. Luft（特许出庭）G. Alexander Bongartz（特许出庭）PAUL HASTINGS LLP 200 Park Avenue New York, New York 10166 (212) 318-6079 aviluft@paulhastings.com alexbongartz@paulhastings.com\n\n第 11 章受托人之代理律师\n\n2 更具体而言，修改后拟议裁定书包含了 Epiq 聘用裁定书第 14 段所规定的条款。\n\nx\n\n关于：\n第 11 章\n\nHO WAN KWOK 等，\n案件编号：22-50073 (JAM)\n债务人。\n（合并审理）\n\nx\n\n送达证明\n\n下述签名人谨此证明，于 2022 年 9 月 28 日，前述通知及其所有附件和随附材料已通过电子方式归档提交。本项归档的通知将通过法院的电子归档（“CM/ECF”）系统自动以电子邮件方式发送至上述标题所示第 11 章案件的所有当事人，或按照电子归档通知上的指示，通过邮寄方式发送给任何无法接收电子归档的人员。2 当事人可通过法院的 CM/ECF 系统查阅本次归档文件。\n\n日期：2023 年 9 月 28 日 LUC A. DESPINS，\n\n康涅狄格州纽黑文 第 11 章受托人\n\n签署人：/s/ Patrick R. Linsey Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 plinsey@npmlaw.com\n\n1 本等第 11 章案件中的债务人为 Ho Wan Kwok（郭文贵，亦称 Miles Guo、Miles Kwok 以及诸多其他化名）（纳税人识别号后四位：9595）、Genever Holdings LLC（纳税人识别号后四位：8202）以及 Genever Holdings Corporation。受托人、Genever Holdings LLC、Genever Holdings Corporation 的邮寄地址为：Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 转交 Ho Wan Kwok 破产财团受托人 Luc A. Despins（仅用于接收通知和联络目的）。\n\n2 在前述文件于正常营业时间之外归档的情况下，对无法接收或不具备资格接收电子通知的接收人的邮寄送达已在下一个工作日进行。\n\n附件 B\n\n修改后拟议裁定书（清洁版）\n\n----------------------------------------------------------- x\n\n关于：\n第 11 章\n\nHO WAN KWOK 等，\n案件编号：22-50073 (JAM)\n债务人。1 合并审理\n\nx\n\n［修改后拟议］裁定书：批准第 11 章受托人依据《破产法典》第 327 条和第 330 条、《联邦破产程序规则》第 2014 条和第 2016 条以及《本地破产规则》第 2014-1 条和第 2016-1 条作出一项裁定的申请，授权并批准自 2023 年 8 月 2 日起聘用并任命 KROLL, LLC 作为法务调查人员\n\n经审理第 11 章受托人 Luc A. Despins（以下简称“第 11 章受托人”）在 Ho Wan Kwok（以下简称“债务人”）的第 11 章案件中获任命担任第 11 章受托人（以下简称“受托人”）提出的关于自 2023 年 8 月 2 日起聘用并雇用 Kroll, LLC 作为法务调查人员的授权申请（以下简称“申请”），并经审理 Allen Pfeiffer 的声明（以下简称“Pfeiffer 声明”），依据《美国法典》第 11 篇（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《美国康涅狄格区破产法院本地破产程序规则》（以下简称“《本地破产规则》”）第 2014-1 条和第 2016-1 条，所有内容详见申请及聘用函（定义见申请）；且经考虑申请及 Pfeiffer 声明；且本法院依据 28 U.S.C. §§ 157 和 1334 以及《美国康涅狄格区联邦地方法院移送常规命令》（经修订）对审理申请及其中所请求的救济享有管辖权；且根据 28 U.S.C. § 157(b)，审理申请及其中所请求的救济属于核心程序；且依据 28 U.S.C. §§ 1408 和 1409，本法院审判地适格；且法院已认定 (i) 申请中请求的救济符合债务人破产财团、其债权人及所有利害关系人的最大利益，(ii) 申请和 Pfeiffer 声明中所阐述的法律和事实依据，以及本法院于 2023 年 9 月 27 日就申请举行听证会的记录，构成了作出本裁定所予救济的正当理由，(iii) Kroll 属于《破产法典》第 101(14) 条所定义且依《破产法典》第 327(a) 条所要求的“无利害关系人”，以及 (iv) Kroll 并未持有或代表与债务人破产财团相冲突的利益；且在特定情况下已就申请给出了充分且适当的通知；且显见无需发出其他或进一步的通知；且经考虑在本法院进行的所有程序；且针对本裁定所请求之救济的任何异议均已被撤回或在实体上被驳回；经审慎研议并显见有充分理由，现特此裁定如下：\n\n1 本等第 11 章案件中的债务人为 Ho Wan Kwok（郭文贵，亦称 Miles Guo、Miles Kwok 以及诸多其他化名）（纳税人识别号后四位：9595）、Genever Holdings LLC（纳税人识别号后四位：8202）以及 Genever Holdings Corporation。受托人、Genever Holdings LLC、Genever Holdings Corporation 的邮寄地址为：Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 转交 Ho Wan Kwok 破产财团受托人 Luc A. Despins（仅用于接收通知和联络目的）。\n\n1. 申请按本裁定书所述予以批准。\n\n2. 授权受托人自 2023 年 8 月 2 日起按照申请、聘用函及 Pfeiffer 声明中所载之条款聘用并雇用 Kroll 作为法务调查人员，并授权 Kroll 以该身份开展工作。\n\n3. 债务人破产财团应负责支付 Kroll 的报酬和费用报销，并负责在法院批准的范围内履行本裁定书所修改的聘用协议中所规定的任何补偿义务。\n\n4. 拟支付给 Kroll 的任何报酬的准许，均应按照《破产法典》第 330 条和第 331 条、《破产规则》第 2016 条以及《本地破产规则》第 2016-1 条所规定的程序予以确定。\n\n5. Kroll 有权在本裁定书所修改的聘用协议条款所要求的范围内获得补偿，但是，Kroll 提出的任何补偿请求均应按照本裁定书的规定接受法院的审查，以确保此类补偿金的支付符合本裁定书所修改的聘用协议的条款，并且在据以寻求补偿的诉讼或和解的情况下是合理的；此外，在 Kroll 自身存在恶意、自我交易、违反信义义务（如有）、重大过失、故意不当行为或违反保密协议的情况下，无论如何均不得给予 Kroll 补偿。\n\n6. 如果在以下两项中较早发生的时间之前：(i) 在这些第 11 章案件中作出确认第 11 章重整计划的命令（且该命令已成为不可再上诉的终审命令），或 (ii) 作出终结这些第 11 章案件的命令，Kroll 认为其有权因受托人根据本命令修改后的《聘用协议》（Engagement Agreement）项下的赔偿义务而获得受托人支付的任何款项，Kroll 必须向法院提出相关申请，并且在本法院作出批准付款的命令之前，受托人不得向 Kroll 支付任何此类款项。针对 Kroll 根据经本命令修改的《聘用协议》支付赔偿请求而寻求报销的律师费和支出的任何款项，律师费和支出的发票及支持性工时记录应包含在 Kroll 向法院提交的申请中，且这些发票和工时记录应遵守《修订指引》（Amended Guidelines）并接受破产法院根据《破产法典》（Bankruptcy Code）第 330 条和第 331 条作出的批准，而不论此类律师是否根据《破产法典》第 327 条被聘用，也不论此类律师的服务是否符合《破产法典》第 330(a)(3)(C) 条的规定。本段仅旨在明确法院对 Kroll 提出的任何赔偿、分摊或报销费用及支出请求拥有管辖权的期限，而非限制对 Kroll 进行赔偿之义务持续时间的条款。所有利害关系方应保留对 Kroll 提出的任何赔偿、分摊或报销要求提出异议的权利。\n\n7. 除因法院批准的 Kroll 支付赔偿请求所产生的费用外，Kroll 无权就 Kroll 律师的任何费用、垫付款和其他收费获得受托人的报销。\n\n8. Kroll 在其实施收取的任何费率上调之前，应提前不少于十个工作日通知受托人、债务人、美国破产受托人（United States Trustee）以及任何官方委员会的法律顾问，并将该通知提交法院备案。尽管有上述规定，任何费率上调均须经法院批准，该批准应在适用的报酬申请中提出请求。\n\n9. 如果《申请》（Application）、《聘用意向书》（Engagement Letter）和《Pfeiffer 声明》（Pfeiffer Declaration）与本命令存在不一致之处，应以本命令的条款为准。\n\n10. 本法院应保留对因本命令的执行、解释和实施而产生的或与之相关的所有事项的管辖权。\n\n附件 B\n\n修订后的拟议命令（修订标记）\n\nx\n\nx\n\n案件：\n\n第 11 章案件编号：22-50073 (JAM) 合并审理\n\n债务人。1 -----------------------------------------------------------\n\nHO WAN KWOK（郭文贵）等，\n\n[修订拟议] 准予第 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《本地破产规则》第 2014-1 条和第 2016-1 条作出命令授权并批准自 2023 年 8 月 2 日起聘用并指定 KROLL, LLC 作为法证调查员的申请的命令\n\n根据第 11 章受托人 Luc A. Despins（第 11 章受托人）Luc Despins 以其在 Ho Wan Kwok（郭文贵）（“债务人”）的第 11 章案件中被指定的第 11 章受托人（“受托人”）身份提出的、请求授权自 2023 年 8 月 2 日起聘用并雇用 Kroll, LLC 作为法证调查员的申请（“《申请》”），并根据 Allen Pfeiffer 的声明（“《Pfeiffer 声明》”），依据《美国法典》第 11 编（“《破产法典》”）第 327 条和第 330 条、《联邦破产程序规则》（“《破产规则》”）第 2014 条和第 2016 条，以及《美国康涅狄格区破产法院本地破产程序规则》（United States Bankruptcy Court for the District of Connecticut）（“《本地破产规则》”）第 2014-1 条和第 2016-1 条，所有这些均在《申请》和《聘用\n\n1 这些第 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，以及其他众多化名）（纳税人识别号后四位：9595）、Genever Holdings LLC（纳税人识别号后四位：8202）和 Genever Holdings Corporation。受托人、Genever Holdings LLC、Genever Holdings Corporation 的邮寄地址为：Paul Hastings LLP（普衡律师事务所）, 200 Park Avenue, New York, NY 10166 转交 Ho Wan Kwok 破产财团受托人 Luc A. Despins（仅用于接收通知和通讯）。\n\n意向书》（定义见《申请》）中有更详尽的载明；经审议《申请》和《Pfeiffer 声明》；并且根据 28 U.S.C. §§ 157 和 1334 以及《美国康涅狄格区联邦地区法院常设移交命令》（United States District Court for the District of Connecticut）（经修订），本法院对审理《申请》及其所请求的救济拥有管辖权；且审议《申请》及其所请求的救济依据 28 U.S.C. § 157(b) 属于核心程序；且依据 28 U.S.C. §§ 1408 和 1409 本法院的审判地管辖权适当；并且法院认定 (i) 《申请》中请求的救济符合债务人破产财团、其债权人及所有利害关系方的最大利益，(ii) 《申请》和《Pfeiffer 声明》中陈述的法律和事实依据，以及本法院于 2023 年 9 月 27 日就《申请》举行的任何听证会记录，构成本文所准予救济的正当理由，(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“无利害关系人”，以及 (iv) Kroll 未持有或代表与债务人破产财团相冲突的利益；且在特定情况下已就《申请》给出了充分且适当的通知；且看似无需再发出其他或进一步的通知；并且依据在本法院进行的所有程序；且针对本文所请求救济的任何异议已被撤回或在实体上被驳回；经审慎考虑并存在充分理由，现命令如下：\n\n1. 准予本文所述的《申请》。\n\n2. 授权受托人自 2023 年 8 月 2 日起按照《申请》、《聘用意向书》和《Pfeiffer 声明》中规定的条款聘用并雇用 Kroll 作为法证调查员，并授权 Kroll 以该身份行事。\n\n3. 授权 Kroll 担任受托人的法证调查员并提供《申请》中所述的服务。\n\n4.3. 债务人破产财团应在法院批准的范围内，负责支付 Kroll 的报酬和费用报销，以及支付经本命令修改的《聘用协议》中规定的任何赔偿义务款项。\n\n5.4. 支付给 Kroll 的任何报酬的核准，应根据《破产法典》第 330 条和第 331 条、《破产规则》第 2016 条以及《本地破产规则》第 2016-1 条规定的程序予以确定。\n\n6.5. 债务人应赔偿 KrollKroll 应有权在经本命令修改的《聘用协议》条款所要求的范围内获得赔偿，但前提是，Kroll 提出的任何赔偿请求均须接受本文所述的法院审查，以确保此类赔偿金的支付符合经本命令修改的《聘用协议》的条款，并且在寻求赔偿的诉讼或和解的情况下是合理的，此外，在 Kroll 自身存在恶意、自我交易、违反信义义务（如有）、重大过失、故意不当行为或违反保密协议的情况下，绝不给予其赔偿。\n\n7.6. Kroll 提出的关于支付《聘用协议》中所述赔偿的所有请求均应通过向法院提交申请的方式提出，并应接受法院的审查，以确保此类赔偿金的支付符合《聘用协议》的条款，并且在寻求赔偿的诉讼或和解的情况下是合理的，但前提是，在 Kroll 自身存在恶意、自我交易、违反信义义务（如有）、重大过失、故意不当行为或违反保密协议的情况下，绝不给予其赔偿。如果在以下两项中较早发生的时间\n\n格式化：（无）\n\n格式化：（无）\n\n格式化：（无）\n\n格式化：（无）\n\n格式化：（无）\n\n格式化：（无）\n格式化：（无）\n\n之前：(i) 在这些第 11 章案件中作出确认第 11 章重整计划的命令（且该命令已成为不可再上诉的终审命令），或 (ii) 作出终结这些第 11 章案件的命令，Kroll 认为其有权因受托人根据本命令修改后的《聘用协议》项下的赔偿义务而获得受托人支付的任何款项，Kroll 必须向法院提出相关申请，并且在本法院作出批准付款的命令之前，受托人不得向 Kroll 支付任何此类款项。针对 Kroll 根据经本命令修改的《聘用协议》支付赔偿请求而寻求报销的律师费和支出的任何款项，律师费和支出的发票及支持性工时记录应包含在 Kroll 向法院提交的申请中，且这些发票和工时记录应遵守《修订指引》并接受破产法院根据《破产法典》第 330 条和第 331 条作出的批准，而不论此类律师是否根据《破产法典》第 327 条被聘用，也不论此类律师的服务是否符合《破产法典》第 330(a)(3)(C) 条的规定。本段仅旨在明确法院对 Kroll 提出的任何赔偿、分摊或报销费用及支出请求拥有管辖权的期限，而非限制对 Kroll 进行赔偿之义务持续时间的条款。所有利害关系方应保留对 Kroll 提出的任何赔偿、分摊或报销要求提出异议的权利。\n\n8. 如果 Kroll 根据《聘用协议》就支付赔偿请求而向债务人寻求报销律师费和支出，则律师费和支出的发票及支持性工时记录应包含在 Kroll 自身提交的中期和最终申请中，且这些发票和工时记录应遵守《修订指引》并接受破产法院根据《破产法典》第 330 条和第 331 条作出的批准，而不论此类律师是否根据《破产法典》第 327 条被聘用，也不论此类律师的服务是否符合《破产法典》第 330(a)(3)(C) 条的规定。\n\n9.7. 除因法院批准的 Kroll 支付赔偿请求所产生的费用外，Kroll 无权就 Kroll 律师的任何费用、垫付款和其他收费获得债务人受托人的报销。\n\n10.8. Kroll（克罗尔）在其收取的费率实行任何上调之前，应提前不少于十个工作日通知Trustee（受托人）、Debtor（债务人）、United States Trustee（美国破产受托人）以及任何官方委员会的律师，并将该通知向Court（法院）归档提交。尽管有前述规定，任何费率上调均须获得法院批准，且该批准应在适用的报酬申请中提出。\n\n11. 受托人获授权并有权采取一切必要行动，以落实本Order（裁定）中准予的救济。\n\n12. 该Application（申请）的内容已满足《Local Bankruptcy Rules（地方破产规则）》的要求。\n\n13.9. 凡申请、Engagement Letter（聘用函）及Pfeiffer（普法伊弗）Declaration（声明）与本裁定不一致之处，均以本裁定的条款为准。\n\n14. 本裁定的条款和条件一经签署录入，即行生效并可立即执行。\n\n15. 本法院对因本裁定的实施、解释和强制执行所引起的或与之相关的所有事项保留管辖权。\n\n10. 格式化：列表段落，两端对齐，缩进：左侧：0英寸，首行：0.5英寸，编号 + 级别：1 + 编号样式：1, 2, 3, … + 起始于：1 + 对齐方式：左对齐 + 对齐位置：0.25英寸 + 缩进位置：0.5英寸","key_entities":["Kwok","Ho Wan Kwok","Je","Despins","Guo","Paul Hastings","Miles Guo","Luc Despins"],"ecf_references":[{"doc_number":1298,"court":"CTB"},{"doc_number":2162,"court":"CTB"}],"word_count":3801,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 13:54:06"}