{"id":"court_ctb_245_4","court":"CTB","case_no":"22-50073","doc_number":245,"sub_number":4,"doc_type":"ORDER","filed_date":"2022-04-22","title":"Exhibit UCC-4 Debtor's Motion to Employ Professionals in Ordinary Course","summary_zh":null,"summary_en":null,"body_en":"## Exhibit UCC-4\n\n# Debtor's Motion to Employ Professionals in Ordinary Course\n\n## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n--------------------------------------------------------------------X In re: Ho Wan Kwok, Debtor.1 : : : : : : : : Chapter 11 Case No. 22-50073 (JAM) Hearing Date: Hearing Time: --------------------------------------------------------------------X\n\n## **MOTION OF DEBTOR FOR ENTRY OF AN ORDER AUTHORIZING (I) EMPLOYMENT AND PAYMENT OF PROFESSIONALS UTILIZED IN THE ORDINARY COURSE, (II) PAYMENT OF PREPETITION CLAIMS, AND (III) GRANTING RELATED RELIEF**\n\n Mr. Ho Wan Kwok, as the debtor and debtor-in-possession (\"Mr. Kwok\" or the \"Debtor\") in the above-captioned chapter 11 case, by and through his undersigned counsel, hereby submits this motion (this \"Motion\") for entry of an order, substantially in the form attached hereto as Exhibit A (the \"Order\"), granting the relief described below, and in support of this Motion, the Debtor submits and incorporates the *Declaration of Mr. Ho Wan Kwok in Support of the Chapter 11 Case and Certain Motions* (the \"Kwok Declaration\") [Docket No. 107], and in further support, respectfully states as follows:\n\n#### **RELIEF REQUESTED**\n\n1. By this Motion, pursuant to sections 105(a), 327, 328, 330, and 363 of title 11 of the United States Code (the \"Bankruptcy Code\"), Mr. Kwok seeks entry of the Order: (i) authorizing him to (a) establish certain procedures to retain professionals rendering accounting, legal, and advisory services to Mr. Kwok in the ordinary course (each, an \"Ordinary Course Professional,\" and collectively, the \"Ordinary Course Professionals\") without the submission of\n\n1\n\nThe Debtor is known by the following names: Guo Wengui; Miles Guo; Miles Kwok; and Ho Wan Kwok.\n\nseparate retention applications and the issuance of separate retention orders for each Ordinary Course Professional, and (b) compensate and reimburse such professionals without individual fee applications; (ii) to pay prepetition claims of certain Ordinary Course Professionals necessary to preserve his estate (the \"OCP Prepetition Claims\"); and (iii) granting related relief.\n\n2. For the reasons set forth herein, Mr. Kwok submits that the relief requested is in the best interests of his Chapter 11 estate, his creditors, and other parties in interest, and therefore should be granted.\n\n#### **JURISDICTION**\n\n3. This Court has jurisdiction to consider this Motion under 28 U.S.C. §§ 157 and 1334 and the *Standing Order of Reference* from the United States District Court for the Connecticut (as amended). This is a core proceeding under 28 U.S.C. § 157(b). Venue of this Chapter 11 case and this Motion is proper in this District under 28 U.S.C. §§ 1408 and 1409.\n\n4. The predicates for the relief requested by this Motion are Sections 105(a), 327, 328, and 330 of the Bankruptcy Code and Rules 2014 and 2016 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\"), and Rules 2014-2 and 2016-1 of the Local Rules of the United States Bankruptcy Court for the District of Connecticut (the \"Local Rules\").\n\n#### **THE ORDINARY COURSE PROFESSIONALS**\n\n5. On February 15, 2022 (the \"Petition Date\"), Mr. Kwok filed a voluntary petition for relief under Chapter 11 of Title 11 of the Bankruptcy Code.\n\n6. As more fully set forth in the Kwok Declaration, as of the Petition Date, the Debtor is a named party as a plaintiff, defendant or co-defendant in over 30 active cases pending nationally and internationally, including in the United States, the United Kingdom, Switzerland, the British Virgin Islands, and Canada – the majority of these suits remain active in the United\n\n2\n\n#### Case 22-50073 Doc 245-4 Filed 04/22/22 Entered 04/22/22 15:07:47 Page 4 of 27 Case 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 3 of 26\n\nStates (subject to the imposition of the Bankruptcy Code's automatic stay) (collectively, the \"Pending Litigation). *See* Statement of Financial Affairs for Individuals Filing for Bankruptcy, Response to Part 4, Question 9 [ECF No. 77].\n\n7. Prior to the Petition Date, Mr. Kwok had already retained his Ordinary Course Professionals, consisting of various law firms, accountants, and interpreters/translators, which rendered services in connection with the Pending Litigation and provided other services in a variety of matters unrelated to this Chapter 11 case.\n\n8. The Ordinary Course Professionals have a great deal of knowledge, expertise, and familiarity with Mr. Kwok and the Pending Litigation, much of which has been ongoing for years. Prepetition, the Debtor was actively prosecuting as a named plaintiff two (2) litigations, two of which now comprise some of the estate's more significant assets:\n\n- a. **The UBS Claim**: Before the Royal Courts of Justice in the United Kingdom, the Debtor (along with certain co-plaintiffs) asserted a claim against UBS AG (London Branch) (\"UBS\"). In this action, the claimants assert more than \\$500 million of damages related to negligent misrepresentation and advice by UBS in connection with the Debtor's attempt to cause the acquisition of, and acquire certain shares issued by, a Chinese financial institution, Haitong, in 2015. As recently as February 9, 2022, the Debtor prevailed on a jurisdictional challenge and the claim remains before the courts of the United Kingdom.\n- b. **The Clark Hill Claim**: The Debtor asserted claims against the law firm Clark Hill PLC and one of its members, Thomas K. Ragland (together, \"Clark Hill\"). This lawsuit is currently pending in the United States District Court for the District of Columbia. The Debtor is seeking \\$50 million in compensatory damages, and additional punitive damages, against Clark Hill for breach of duties of legal representation.\n\n*See* Kwok Declaration at Section III, ¶ 32.\n\n9. Although Mr. Kwok anticipates that his Ordinary Course Professionals will\n\ncontinue to render services on an ongoing basis, a number of them will not be in a position to do\n\nso if he cannot assure them of prompt payment on their post-petition fees and expenses on a\n\n#### Case 22-50073 Doc 245-4 Filed 04/22/22 Entered 04/22/22 15:07:47 Page 5 of 27 Case 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 4 of 26\n\nregular basis and in more limited instances, payment on their prepetition claims for services rendered in connection with the Pending Litigation.2 Filed concurrently herewith is the Debtor's motion for approval of debtor-in-possession financing, which represents the Debtor's sole means to fund this Chapter 11 case and funding source to continue to employ such Ordinary Course Professionals in the same manner and for the same purposes as they were retained before the Petition Date. An initial list of Mr. Kwok's Ordinary Course Professionals is attached to the proposed form of Order as Annex 1 (the \"OCP List\").3\n\n10. Without the Ordinary Course Professionals' knowledge, expertise, and familiarity in connection with their pre-petition work, including in connection with the Pending Litigation, Mr. Kwok will incur substantial additional and unnecessary expenses in educating and retaining replacement professionals. Accordingly, the continued retention of the Ordinary Course Professionals is in the best interests of Mr. Kwok's estate, his creditors, and other parties in interest.\n\n#### **PROPOSED RETENTION AND PAYMENT PROCEDURES**\n\n11. Mr. Kwok intends to continue receiving services from his Ordinary Course Professionals in the same manner and for the same purposes as such professionals were retained prior to the Petition Date.\n\n12. Accordingly, Mr. Kwok requests that the Court relieve him and his estate of the burden and attendant costs of filing individual retention and fee applications for his Ordinary\n\n2 Mr. Kwok recognizes that certain cases pending against him are currently stayed. However, given the possibility that the stay may be lifted on certain matters, Mr. Kwok is instructing certain counsel and other professionals to continue preparing his defense. Defense counsel is likely to insist on payment of at least a portion of their prepetition invoices as a condition to perform such services.\n\n3 Mr. Kwok reserves the right to supplement the OCP List and file additional exhibits in the future.\n\nCourse Professionals and authorize the below procedures for the retention and payment of his\n\nOrdinary Course Professionals (the \"OCP Procedures\"):\n\n- a. Within thirty (30) calendar days of the later of (i) the entry of an order granting this Motion and (ii) the date on which the Ordinary Course Professional commences services, each Ordinary Course Professional on the OCP List will provide to Mr. Kwok and his counsel, Brown Rudnick, a verified statement (each, a \"Verified Statement\"), substantially in the form attached to the Order as Annex 2, certifying, among other things, (i) that the Ordinary Course Professional does not represent or hold any interest adverse to the Debtor or his Chapter 11 estate with respect to the matter(s) on which such professional is to be employed and (ii) disclosing the amount and nature of any prepetition claims held against the Debtor's Chapter 11 estate.\n- b. If Mr. Kwok seeks to retain an additional Ordinary Course Professional not already listed on the OCP List, then Mr. Kwok will file with the Court a supplement to the OCP List (the \"OCP List Supplement\"), providing the name, address, and type of service of the additional Ordinary Course Professional. Within thirty (30) calendar days of the later of (i) the filing of the OCP List Supplement and (ii) the date on which the additional Ordinary Course Professional commences services, the additional Ordinary Course Professional will provide to Mr. Kwok and his counsel, Brown Rudnick, a Verified Statement, substantially in the form attached to the Order as Annex 2, certifying, among other things, that the additional Ordinary Course Professional does not represent or hold any interest adverse to Mr. Kwok or his Chapter 11 estate with respect to the matter(s) on which such professional is to be employed.\n- c. Upon receipt of a Verified Statement, Mr. Kwok will file the same with the Court and serve a copy on (i) the Office of the U.S. Trustee, (ii) the official committee of unsecured creditors appointed in this Chapter 11 case, and (iii) and any such other party entitled to receive notice pursuant to Local Rule 2002 (collectively, the \"OCP Notice Parties\"). If an Ordinary Course Professional fails to timely provide a Verified Statement to Mr. Kwok, then the Ordinary Course Professional will automatically be deemed to be stricken from the OCP List or OCP List Supplement on which the Ordinary Course Professional was listed.\n- d. The OCP Notice Parties will have fourteen (14) calendar days following the date of service of a Verified Statement to file with the Court and notify Mr. Kwok's counsel, Brown Rudnick, in writing, of any objection to the retention of an Ordinary Course Professional based on the contents of the Verified Statement (the \"Objection Deadline\").\n- e. If no objection is filed before the Objection Deadline, or if any objection submitted is timely withdrawn or resolved, then Mr. Kwok will be authorized to retain and employ the Ordinary Course Professional as a final matter without further order of the Court, effective as of the latest of (i) the Petition Date, (ii) if applicable, the date of the filing of the OCP List Supplement, or (iii) the date of engagement.\n- f. If an objection is filed with the Court and served by the Objection Deadline, and such objection cannot be resolved twenty-one (21) calendar days after the Objection Deadline, then the matter will be scheduled for hearing before the Court on the next regularly scheduled hearing date or such other date that may be agreeable to the Ordinary Course Professional, Mr. Kwok, and the objecting party.\n- g. No Ordinary Course Professional may be paid any amount for prepetition or postpetition fees or expenses until such Ordinary Course Professional has been retained in accordance with these OCP Procedures.\n- h. After Mr. Kwok retains an Ordinary Course Professional in accordance with these OCP Procedures, Mr. Kwok may pay such Ordinary Course Professional 100% of the post-petition fees and expenses incurred (collectively, \"Compensation\") upon submission to, and approval by, Mr. Kwok of an appropriate invoice setting forth in reasonable detail the nature of the services rendered and expenses actually incurred (without prejudice to Mr. Kwok's right to dispute any such invoices); provided, however, Mr. Kwok may not pay Compensation to an Ordinary Course Professional in any amount in excess of (a) \\$125,000 per month for Ordinary Course Professionals assisting with his pursuit of claims or (b) \\$90,000 per month for Ordinary Course Professionals assisting on all other matters, on average over any three-month period on a rolling basis (the \"OCP Monthly Fee Cap\").4\n- i. To the extent an Ordinary Course Professional incurs Compensation in an amount that exceeds the OCP Monthly Fee Cap (the full amount being the \"Excess Compensation\"): (i) Mr. Kwok may pay such Excess Compensation upon agreement by the OCP Notice Parties, such agreement to be evidenced by the filing of a notice of increased cap amount, which will be deemed approved upon the filing of such notice, without further action by the Court, or (ii) absent such agreement, the Ordinary Course Professional may file a fee application (a \"Fee Application\") in accordance with Sections 330 and 331 of the Bankruptcy Code and the applicable provisions of the Bankruptcy Rules, the Local Rules, the\n\n4 Mr. Kwok anticipates paying Compensation of up to \\$200,000 per month to Ordinary Course Professionals assisting with his pursuit of claims (depending on, among other things, whether the underlying litigation proceeds to trial during the course of this Chapter 11 case) and up to \\$175,000 per month to Ordinary Course Professionals assisting with all other matters.\n\nGuidelines for Allowance of Compensation and Expense Reimbursement of Professionals per Local Rule 2016-1, and any other procedures and orders of the Court in this Chapter 11 case. Each Fee Application shall be served upon the OCP Notice Parties. The OCP Notice Parties shall then have twenty-one (21) calendar days to object to the Fee Application. If no objection is timely filed, then the fees and expenses requested in the Fee Application shall be deemed approved without further order of the Court, and the Ordinary Course Professional may be paid one hundred percent (100%) of its fees and one hundred percent (100%) of its expenses.\n\nj. At three (3) month intervals (each, a \"Quarter\") during the pendency of the Chapter 11 case, Mr. Kwok shall file with the Court and serve on the OCP Notice Parties, no later than thirty (30) calendar days after the end of such Quarter (the first end of the Quarter occurring June 14, 2022), a statement that shall include the following information for each Ordinary Course Professional: (i) the name of the Ordinary Course Professional; (ii) the amounts paid as compensation for services rendered and reimbursement of expenses incurred by the Ordinary Course Professional during the reported Quarter broken down by month; and (iii) the cumulative amounts paid as compensation for services rendered and reimbursement of expenses incurred by the Ordinary Course Professional from the Petition Date through the end of the reported Quarter.\n\n13. Although Mr. Kwok anticipates that his Ordinary Course Professionals will continue to render services on an ongoing basis, certain of the Ordinary Course Professionals may not be in a position to do so without receiving payment on at least a portion of their respective prepetition claims for services rendered in connection with the Pending Litigation. To avoid the potential disruption in services rendered by the Ordinary Course Professionals, Mr. Kwok requests authority to pay a portion of certain of the Ordinary Course Professionals' prepetition claims, subject to the Court's approval, as follows: (i) any Verified Statement submitted by an Ordinary Course Professional must disclose the amount and nature of any prepetition claim held by such Ordinary Course Professional (*i.e.*, the OCP Prepetition Claims) and (ii) Mr. Kwok may exercise his discretion to pay the OCP Prepetition Claims, provided that such payments do not exceed \\$275,000 in the aggregate. In addition, certain Ordinary Course Professionals may hold an \"advance-payment\" or \"security retainer.\" In those instances, Mr. Kwok may direct the Ordinary Course Professional to apply any retainer they are holding against the prepetition balance.\n\n## **BASIS FOR RELIEF**\n\n## **A. RETENTION AND COMPENSATION OF THE ORDINARY COURSE PROFESSIONALS PROMOTES THE EFFICIENT ADMINISTRATION OF MR. KWOK'S ESTATE.**\n\n14. The relief requested in this Motion will economize the administration of this Chapter 11 case by saving Mr. Kwok and his estate the expense of applying separately for the employment of each Ordinary Course Professional and preparing and seeking approval of interim and final fee applications for his Ordinary Course Professionals. Moreover, while the Ordinary Course Professionals wish to continue representing Mr. Kwok on an ongoing basis, they might be unwilling to do so if they may only be paid through a formal application process requiring monthly, interim, and final fee applications.\n\n15. If Mr. Kwok were to lose the expertise and background knowledge of his Ordinary Course Professionals with respect to the particular matters for which they were responsible prior to the Petition Date, then Mr. Kwok's estate will incur additional and unnecessary expense because he will be forced to retain other professionals that would not have such background and expertise, which in turn, impacts his estate.\n\n16. Further, the procedures outlined herein will relieve this Court, the U.S. Trustee, and other parties in interest of the burden of reviewing the Ordinary Course Professionals' fee applications.\n\n## **B. MR. KWOK'S PRE-PETITION ATTORNEYS ARE BEING RETAINED FOR A SPECIFIED SPECIAL PURPOSE.**\n\n17. Section 327(e) of the Bankruptcy Code permits Mr. Kwok to retain his pre-\n\npetition attorneys and their respective law firms for a \"specified special purpose,\" as denoted in\n\nthe OCP List:\n\nThe trustee, with the court's approval, may employ, for a specified special purpose, other than to represent the trustee in conducting the case, an attorney that has represented the debtor, if in the best interest of the estate, and if such attorney does not represent or hold any interest adverse to the debtor or to the estate with respect to the matter on which such attorney is to be employed.\n\n11 U.S.C. § 327(e); *In re JMK Constr. Group, Ltd.*, 441 B.R. 222, 230 (Bankr. S.D.N.Y. 2010)\n\n(\"Debtors may also retain attorneys for a \"specified special purpose\" under section 327(e) of the Bankruptcy Code) (*citing In re Quality Beverage Co.*, 216 B.R. 592, 594 (Bankr.S.D.Tex.1995) (noting that \"the plain language of the statute limits its application to attorneys\")). \"The requirements for retention under section 327(a) that a professional not hold or represent an interest adverse to the estate apply equally to retention under section 327(e).\" *In re JMK Constr. Group, Ltd.*, 441 B.R. at 230–31 (*citing In re Homesteads Cmty. at Newtown, LLC*, 390 B.R. 32, 47–48 (Bankr. D. Conn. 2008).\n\n18. Thus, retention under section 327(e) is proper and should be authorized so long as special counsel does not represent an adverse interest relating to the services which are to be performed by that attorney. *In re AroChem Corp.*, 176 F.3d 610, 622 (2d Cir. 1999) (applying section 327(a) standard to a \"special counsel\" scenario and noting that \"where the interest of the special counsel and the interest of the estate are identical with respect to the matter for which special counsel is retained, there is no conflict and the representation can stand\" and that the issue is whether—*with respect to the special representation it has been hired to undertake*—[the\n\n#### Case 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 10 of 26 Case 22-50073 Doc 245-4 Filed 04/22/22 Entered 04/22/22 15:07:47 Page 11 of 27\n\nspecial counsel] (1) holds or represents an interest that is adverse to the estate, and (2) is a \"disinterested person\") (emphasis in original).\n\n19. Here, each of the identified attorneys (and their respective law firms) being retained for a \"specified special purpose,\" as denoted and identified in the OCP List, does not hold an adverse interest to Mr. Kwok or his Chapter 11 estate and is a \"disinterested person.\"\n\n## **C. THE ORDINARY COURSE PROFESSIONALS ARE RENDERING SERVICES UNRELATED TO THE ADMINISTRATION OF THIS CHAPTER 11 CASE.**\n\n20. Although certain of the Ordinary Course Professionals will neither assist in administering, nor play a central role in, this Chapter 11 case, Mr. Kwok seeks the relief requested in this Motion out of an abundance of caution. *See, e.g.*, *Comm. of Asbestos-Related Litigants and/or Creditors v. Johns-Manville Corp. (In re Johns-Manville Corp.)*, 60 B.R. 612, 619 (Bankr. S.D.N.Y. 1986) (finding that \"professional persons\" as used in Bankruptcy Code section 327(a) \"is a term of art reserved for those persons who play an intimate role in the reorganization of a debtor's estate\"); *In re SageCrest II, LLC*, 08-50754 (LEAD), 2010 WL 1981041, at \\*7 (Bankr. D. Conn. May 18, 2010) (\"[I]n determining whether persons sought to be retained by the debtor were professionals under § 327(a), the *Johns–Mansville* court focused on whether the retention was to represent or assist the debtor in carrying out its bankruptcy duties, to wit: whether those sought to be retained played a part in negotiating the debtor's reorganization plan, adjusting the debtor/creditor relationships, or disposing or acquiring assets of the debtor.\"), *aff'd*, 3:10CV978 SRU, 2011 WL 134893 (D. Conn. Jan. 14, 2011); *In re Smith*, 524 B.R. 689, 694–95 (Bankr. S.D. Tex. 2015) (\"Section 327(a) requires the professional \"to represent or assist the trustee in carrying out the trustee's duties under this title.\" Therefore, courts have required that the professional person's employment must specifically relate to the\n\n#### Case 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 11 of 26 Case 22-50073 Doc 245-4 Filed 04/22/22 Entered 04/22/22 15:07:47 Page 12 of 27\n\nadministration of the bankruptcy case, as opposed to the ordinary course operation of the debtor's business.\") (citing *Matter of Seatrain Lines, Inc.*, 13 B.R. 980, 981 (Bankr.S.D.N.Y.1981)).\n\n## **D. PAYMENT OF PREPETITION CLAIMS HELD BY ORDINARY COURSE PROFESSIONALS IS NECESSARY TO PRESERVE THE ESTATE.**\n\n21. Courts have recognized that it is appropriate to authorize the payment of prepetition obligations where necessary to protect and preserve the estate. *See, e.g.*, *In re Ionosphere Clubs, Inc.*, 98 B.R. 174, 175 (Bankr. S.D.N.Y. 1989) (authority to pay prepetition wages); *Armstrong World Indus., Inc. v. James A. Phillips, Inc.* (*In re James A. Phillips, Inc.*), 29 B.R. 391, 398 (Bankr. S.D.N.Y. 1983) (authority to pay prepetition claims of suppliers).\n\n22. Pursuant to section 363(b) of the Bankruptcy Code, courts may authorize payment of prepetition obligations where a sound business purpose exists for doing so. *See Ionosphere Clubs Inc.*, 98 B.R. at 175 (noting that section 363(b) provides \"broad flexibility\" to authorize a debtor to honor prepetition claims where supported by an appropriate business justification); *see also James A. Phillips, Inc.*, 29 B.R. at 397 (relying upon section 363 as a basis to allow a contractor to pay the prepetition claims of suppliers who were potential lien claimants). Additionally, under section 105(a), courts may authorize pre-plan payments of prepetition obligations when essential to the existence of the Debtor. *See In re C.A.F. Bindery, Inc*., 199 B.R. 828, 835 (Bankr. S.D.N.Y. 1996); *see also In re Fin. News Network Inc.*, 134 B.R. 732, 735–36 (Bankr. S.D.N.Y. 1991) (holding that the \"doctrine of necessity\" stands for the principle that a bankruptcy court may allow pre-plan payments of prepetition obligations where such payments are critical to the debtor's reorganization).\n\n#### Case 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 12 of 26 Case 22-50073 Doc 245-4 Filed 04/22/22 Entered 04/22/22 15:07:47 Page 13 of 27\n\n23. As indicated above, although Mr. Kwok anticipates that his Ordinary Course Professionals will continue to render services on an ongoing basis, the Ordinary Course Professionals identified in Annex 2 may not be in a position to continue to render services without payment on their respective prepetition claims for services rendered in connection with the Pending Litigation. If Mr. Kwok were to lose the expertise and background knowledge of his Ordinary Course Professionals with respect to the particular matters for which they were responsible prior to the Petition Date, the estate will incur additional and unnecessary expense because Mr. Kwok will be forced to retain other professionals that would not have such background and expertise, which in turn, impacts this estate, and its creditors. Thus, payment of the Ordinary Course Professionals' prepetition claims is necessary to avoid a disruption of services rendered by his Ordinary Course Professionals and constitutes a sound business purpose, which is necessary under the circumstances.\n\n#### **NOTICE**\n\n24. Notice of this Motion has been provided to the following parties, or, in lieu thereof, their counsel: (i) the U.S. Trustee; (ii) each of the Debtor's 20 largest unsecured creditors; (iii) the Internal Revenue Service; (iv) the United States Attorney's Office for the District of Connecticut; (v) the official committee of unsecured creditors; and (vi) any such other party entitled to receive notice pursuant to Local Rule 2002. The Debtor submits that, in view of the facts and circumstances, such notice is sufficient and no other or further notice need be provided.\n\n#### **NO PRIOR REQUEST**\n\n25. No previous request for the relief sought herein has been made by the Debtor to this or any other court.\n\n12\n\n#### **CONCLUSION**\n\n**WHEREFORE**, for the reasons set forth herein, Mr. Kwok respectfully requests that the\n\nCourt grant the relief requested in this Motion, the Order, and such other and further relief as is\n\njust and proper.\n\nDated: March 22, 2022\n\n#### **BROWN RUDNICK LLP**\n\nBy: /s/ *William R. Baldiga* BROWN RUDNICK LLP 185 Asylum Street Hartford, CT 06103 Attn: Dylan Kletter, Esq. Telephone: (860) 509-6500 Facsimile: (860) 509-6653 Email: dkletter@brownrudnick.com\n\nSeven Times Square New York, NY 10036 Attn: William R. Baldiga, Esq. (*pro hac* pending) Attn: Bennett S. Silverberg, Esq. (*pro hac* pending) Attn: Uriel Pinelo, Esq. (*pro hac* pending) Telephone: (212) 209-4800 Facsimile: (212) 209-4801 Email: wbaldiga@brownrudnick.com bsilverberg@brownrudnick.com upinelo@brownrudnick.com\n\n## **EXHIBIT A**\n\n**Proposed Order**\n\n## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\nIn re:\n\nHo Wan Kwok,\n\nChapter 11\n\n: : : : : : :\n\nCase No. 22-50073 (JAM)\n\nDebtor.1\n\n: --------------------------------------------------------------------X\n\n--------------------------------------------------------------------X\n\n## **[PROPOSED] ORDER GRANTING MOTION OF DEBTOR FOR ENTRY OF AN ORDER (I) AUTHORIZING EMPLOYMENT AND PAYMENT OF PROFESSIONALS UTILIZED IN THE ORDINARY COURSE, (II) PAYMENT OF PREPETITION CLAIMS, AND (III) GRANTING RELATED RELIEF**\n\n Upon the motion (the \"Motion\") 2 of Mr. Kwok for entry of an order (this \"Order\") pursuant to sections 105(a), 327, 328, 330, and 363 of the Bankruptcy Code, and Rule 2014 of the Bankruptcy Rules, and Rule 2014-2 of the Local Rules, authorizing, but not directing, Mr. Kwok to (i) retain the Ordinary Course Professionals, without the submission of separate retention applications and the issuance of separate retention orders for each professional, (ii) compensate and reimburse the Ordinary Course Professionals without the submission of individual fee applications, in accordance with the procedures set forth herein, and (iii) pay prepetition claims of certain Ordinary Course Professionals necessary to preserve the Debtor's estate; and the Court having found that it has jurisdiction to consider the Motion and the relief requested therein in accordance with 28 U.S.C. §§ 157 and 1334; and consideration of the Motion and the relief requested therein being a core proceeding pursuant to 28 U.S.C. § 157(b); and venue being proper before this Court pursuant to 28 U.S.C. §§ 1408 and 1409; and due,\n\n1 The Debtor is known by the following names: Guo Wengui; Miles Guo; Miles Kwok; and Ho Wan Kwok.\n\n2 Capitalized terms used but not otherwise defined herein shall have the meanings ascribed to them in the Motion.\n\n### Case 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 16 of 26 Case 22-50073 Doc 245-4 Filed 04/22/22 Entered 04/22/22 15:07:47 Page 17 of 27\n\nsufficient, and proper notice of the Motion having been provided under the circumstances and in accordance with the Bankruptcy Rules and the Local Rules, and it appearing that no other or further notice need be provided; and a hearing, if any, having been held to consider the relief requested in the Motion (the \"Hearing\"); and upon all of the proceedings had before the Court; and after due deliberation and sufficient cause appearing therefor, **IT IS HEREBY ORDERED**,\n\n## **ADJUDGED**, and **DECREED** that:\n\n- 1. The Motion is GRANTED to the extent set forth herein.\n- 2. Mr. Kwok is authorized, but not directed, to retain, compensate, and reimburse\n\nthe Ordinary Course Professionals in accordance with the following procedures (the \"OCP\n\n#### Procedures\"):\n\n- a. Within thirty (30) calendar days of the later of (i) the entry of an order granting this Motion and (ii) the date on which the Ordinary Course Professional commences services, each Ordinary Course Professional on the OCP List attached hereto as Annex 1 will provide to Mr. Kwok and his counsel, Brown Rudnick, a verified statement (each, a \"Verified Statement\"), substantially in the form attached to the Order as Annex 2, certifying, among other things, (i) that the Ordinary Course Professional does not represent or hold any interest adverse to the Debtor or his Chapter 11 estate with respect to the matter(s) on which such professional is to be employed and (ii) disclosing the amount and nature of any prepetition claims held against the Debtor's Chapter 11 estate.\n- b. If Mr. Kwok seeks to retain an additional Ordinary Course Professional not already listed on the OCP List, then Mr. Kwok will file with the Court a supplement to the OCP List (the \"OCP List Supplement\"), providing the name, address, and type of service of the additional Ordinary Course Professional. Within thirty (30) calendar days of the later of (i) the filing of the OCP List Supplement and (ii) the date on which the additional Ordinary Course Professional commences services, the additional Ordinary Course Professional will provide to Mr. Kwok and his counsel, Brown Rudnick, a Verified Statement, substantially in the form attached to the Order as Annex 2, certifying, among other things, that the additional Ordinary Course Professional does not represent or hold any interest adverse to Mr. Kwok or his Chapter 11 estate with respect to the matter(s) on which such professional is to be employed.\n\nCase 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 17 of 26 Case 22-50073 Doc 245-4 Filed 04/22/22 Entered 04/22/22 15:07:47 Page 18 of 27\n\n- c. Upon receipt of a Verified Statement, Mr. Kwok will file the same with the Court and serve a copy on (i) the Office of the U.S. Trustee, (ii) the official committee of unsecured creditors appointed in this Chapter 11 case, and (iii) and any such other party entitled to receive notice pursuant to Local Rule 2002 (collectively, the \"OCP Notice Parties\"). If an Ordinary Course Professional fails to timely provide a Verified Statement to Mr. Kwok, then the Ordinary Course Professional will automatically be deemed to be stricken from the OCP List or OCP List Supplement on which the Ordinary Course Professional was listed.\n- d. The OCP Notice Parties will have fourteen (14) calendar days following the date of service of a Verified Statement to file with the Court and notify Mr. Kwok's counsel, Brown Rudnick, in writing, of any objection to the retention of an Ordinary Course Professional based on the contents of the Verified Statement (the \"Objection Deadline\").\n- e. If no objection is filed before the Objection Deadline, or if any objection submitted is timely withdrawn or resolved, then Mr. Kwok will be authorized to retain and employ the Ordinary Course Professional as a final matter without further order of the Court, effective as of the latest of (i) the Petition Date, (ii) if applicable, the date of the filing of the OCP List Supplement, or (iii) the date of engagement.\n- f. If an objection is filed with the Court and served by the Objection Deadline, and such objection cannot be resolved twenty-one (21) calendar days after the Objection Deadline, then the matter will be scheduled for hearing before the Court on the next regularly scheduled hearing date or such other date that may be agreeable to the Ordinary Course Professional, Mr. Kwok, and the objecting party.\n- g. No Ordinary Course Professional may be paid any amount for prepetition or postpetition fees or expenses until such Ordinary Course Professional has been retained in accordance with these OCP Procedures.\n- h. After Mr. Kwok retains an Ordinary Course Professional in accordance with these OCP Procedures, Mr. Kwok may pay such Ordinary Course Professional 100% of the post-petition fees and expenses incurred (collectively, \"Compensation\") upon submission to, and approval by, Mr. Kwok of an appropriate invoice setting forth in reasonable detail the nature of the services rendered and expenses actually incurred (without prejudice to Mr. Kwok's right to dispute any such invoices); provided, however, Mr. Kwok may not pay Compensation to an Ordinary Course Professional in any amount in excess of (a) \\$125,000 per month for Ordinary Course Professionals assisting with his pursuit of claims or (b) \\$90,000 per month for Ordinary Course Professionals assisting on all\n\nother matters, on average over any three-month period on a rolling basis (the \"OCP Monthly Fee Cap\").\n\n- i. To the extent an Ordinary Course Professional incurs Compensation in an amount that exceeds the OCP Monthly Fee Cap (the full amount being the \"Excess Compensation\"): (i) Mr. Kwok may pay such Excess Compensation upon agreement by the OCP Notice Parties, such agreement to be evidenced by the filing of a notice of increased cap amount, which will be deemed approved upon the filing of such notice, without further action by the Court, or (ii) absent such agreement, the Ordinary Course Professional may file a fee application (a \"Fee Application\") in accordance with Sections 330 and 331 of the Bankruptcy Code and the applicable provisions of the Bankruptcy Rules, the Local Rules, the Guidelines for Allowance of Compensation and Expense Reimbursement of Professionals per Local Rule 2016-1, and any other procedures and orders of the Court in this Chapter 11 case. Each Fee Application shall be served upon the OCP Notice Parties. The OCP Notice Parties shall then have twenty-one (21) calendar days to object to the Fee Application. If no objection is timely filed, then the fees and expenses requested in the Fee Application shall be deemed approved without further order of the Court, and the Ordinary Course Professional may be paid one hundred percent (100%) of its fees and one hundred percent (100%) of its expenses.\n- j. At three (3) month intervals (each, a \"Quarter\") during the pendency of the Chapter 11 case, Mr. Kwok shall file with the Court and serve on the OCP Notice Parties, no later than thirty (30) calendar days after the end of such Quarter (the first end of the Quarter occurring June 14, 2022), a statement that shall include the following information for each Ordinary Course Professional: (i) the name of the Ordinary Course Professional; (ii) the amounts paid as compensation for services rendered and reimbursement of expenses incurred by the Ordinary Course Professional during the reported Quarter broken down by month; and (iii) the cumulative amounts paid as compensation for services rendered and reimbursement of expenses incurred by the Ordinary Course Professional from the Petition Date through the end of the reported Quarter.\n- 3. Mr. Kwok is authorized, but not directed, to pay in his discretion the OCP\n\nPrepetition Claims, provided such payments do not exceed US\\$275,000 in the aggregate. To the extent any Ordinary Course Professional may hold an \"advance-payment\" or \"security retainer,\" Mr. Kwok is authorized to direct such Ordinary Course Professionals to apply any retainer held against the OCP Prepetition Claims.\n\n#### Case 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 19 of 26 Case 22-50073 Doc 245-4 Filed 04/22/22 Entered 04/22/22 15:07:47 Page 20 of 27\n\n4. Mr. Kwok is authorized and empowered to execute and deliver such documents and to take and perform all actions necessary to implement and effectuate the relief granted in this Order.\n\n5. This Court retains jurisdiction with respect to all matters arising from or related to the implementation, interpretation, and/or enforcement of this Order.\n\nDated:\n\nBridgeport, Connecticut\n\nUNITED STATES BANKRUPTCY JUDGE\n\n**Annex 1**\n\n**OCP List**\n\n| Ordinary Course Professional | Address | Type of Service |\n|-----------------------------------------------------------------|---------------------------------------------------------------------------------------|----------------------------|\n| Aaron Mitchell
Lawall & Mitchell, LLC | 55 Madison Avenue
Morristown, NJ 07960 | Legal |\n| Ari Casper
The Casper Firm, LLC | 400 E. Pratt Street
Suite 903
Baltimore, MD 21202 | Legal |\n| Damon Parker
Harcus Parker Ltd. | 7th Floor, Melbourne House
44-46 Aldwych
London, WC2B 4LL | Legal |\n| Guy Petrillo
Petrillo Klein & Boxer LLP | 655 Third Avenue
22nd Floor
New York, NY 10017 | Legal |\n| Isabelle Kirshner
Clayman Rosenberg Kirshner &
Linder LLP | 305 Madison Avenue
Suite 650
New York, New York 10165 | Legal |\n| Jeffrey Gavenman
Schulman Bhattacharya, LLC | 6116 Executive Boulevard
Suite 425
Bethesda, MD 20852 | Legal |\n| John Lau | 53 Cody Avenue
Glen Head, NY 11545 | Interpretation/Translation |\n| John Siegal
Baker Hostetler LLP | 45 Rockefeller Plaza
New York, NY 10111-0100 | Legal |\n| Mark Zauderer
Ganfer Shore Leeds & Zauderer
LLP | 360 Lexington Avenue
New York, NY 10017 | Legal |\n| Matthew Hoyle | One Essex Court
Temple, London, EC4Y 9AR
DX 430 | Legal |\n| Melissa Francis
The Francis Firm PLLC | 33 W 60th Street
Floor 2
New York, NY 10069 | Legal |\n| Mindy Kamen
Janover LLC | 485 Madison Avenue
New York, NY 10022 | Accounting |\n| Robert Nader
Forbes Hare | Qwomar Building
PO Box 4649, Road Town
Tortola VG1110
British Virgin Islands | Legal |\n| Sa'ad Hossain Q.C. | One Essex Court
Temple, London, EC4Y 9AR
DX 430 | Legal |\n\n## Case 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 22 of 26 Case 22-50073 Doc 245-4 Filed 04/22/22 Entered 04/22/22 15:07:47 Page 23 of 27\n\n| Ordinary Course Professional | Address | Type of Service |\n|---------------------------------------|--------------------------------------------------------|----------------------------|\n| Sandrine Giroud
LALIVE SA | Rue de Law Mairie 35
1207 Geneva
Switzerland | Legal |\n| Sebastian Isaac | One Essex Court
Temple, London, EC4Y 9AR.
DX 430 | Legal |\n| Una Wilkinson | 68-18 Juno Street
Forest Hills, New York 11375 | Interpretation/Translation |\n| Victor Cerda
VX Cerda & Associates | 601 Brickell Key Drive
Suite 700
Miami, FL 33131 | Legal |\n\n## **Annex 2**\n\n**Verified Statement**\n\n#### Case 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 24 of 26 Case 22-50073 Doc 245-4 Filed 04/22/22 Entered 04/22/22 15:07:47 Page 25 of 27\n\n## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| | | --------------------------------------------------------------------X | | |\n|--------|--------------|-----------------------------------------------------------------------|---|-------------------------|\n| | | | : | |\n| In re: | | | : | Chapter 11 |\n| | | | : | |\n| | Ho Wan Kwok, | | : | Case No. 22-50073 (JAM) |\n| | | | : | |\n| | | | : | |\n| | | Debtor. | : | |\n| | | | : | |\n| | | --------------------------------------------------------------------X | | |\n\n#### **VERIFIED STATEMENT OF [Insert Full Name Of Professional]**\n\nI, [name of affiant], being duly sworn, depose and say:\n\n1. I am the [Title] of [Insert Full Name of Ordinary Course Professional] (\"[Insert Abbreviation for Professional]\"), which maintains offices at [Insert Address of Ordinary Course Professional].\n\n2. Except as otherwise provided herein, neither I, [Insert Abbreviation for Professional], nor any employee thereof, insofar as I have been able to ascertain, has any connection with the above-captioned debtor and debtor in possession (the \"Debtor\"), Debtor's creditors, 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, except as set forth in this verified statement.\n\n3. [Insert Abbreviation for Professional], through myself and other employees of [Insert Abbreviation for Professional], has provided certain [Insert General Description of Services] to Debtor with respect to [Fill in Description of Aspects] of Debtor.\n\n4. Debtor has requested, and [Insert Abbreviation for Professional] has agreed, to continue to provide services to Debtor pursuant to section 327 of title 11 of the United States Code\n\n#### Case 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 25 of 26 Case 22-50073 Doc 245-4 Filed 04/22/22 Entered 04/22/22 15:07:47 Page 26 of 27\n\n(the \"Bankruptcy Code\") with respect to such matters. Additionally, Debtor has requested, and [Insert Abbreviation for Professional] proposes, to render the following services to Debtor:\n\n[Insert Specific Services]\n\n5. [Insert Abbreviation for Professional]'s current customary rates are [Insert Fee/Rate Scale]. In the normal course of business, [Insert Abbreviation for Professional] revises its regular rates on [Insert Date] of each year and requests that, effective [Insert Date] of each year, the aforementioned rates be revised to the regular rates which will be in effect at that time.\n\n6. In the past year, [Insert Abbreviation for Professional] has rendered services to Debtor for which Debtor has been invoiced in the amount of \\$[Insert Amount]. [Insert Abbreviation for Professional] was owed \\$[Insert Amount] by Debtor as of the Petition Date.\n\n7. Additionally, since the commencement of this case, [Insert Abbreviation for Professional] has provided services to Debtor that have not yet been billed or that have been billed but for which payment has not been received. The value of such services does not exceed \\$[Insert Amount].\n\n8. Except as set forth herein, no promises have been received by [Insert Abbreviation for Professional] as to compensation in connection with this chapter 11 case other than in accordance with the provisions of the Bankruptcy Code, the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\"), the Local Bankruptcy Rules for the District of Connecticut (the \"Local Bankruptcy Rules\"), and orders of this Court.\n\n9. [Insert Abbreviation for Professional] has no agreement with any entity to share any compensation received from Debtor.\n\n10. [Insert Abbreviation for Professional] and its employees may have in the past, currently, and may in the future provide services to entities that are creditors of Debtor in matters\n\n2\n\n#### Case 22-50073 Doc 119 Filed 03/22/22 Entered 03/22/22 12:38:09 Page 26 of 26 Case 22-50073 Doc 245-4 Filed 04/22/22 Entered 04/22/22 15:07:47 Page 27 of 27\n\ntotally unrelated to the matters with respect to which [Insert Abbreviation for Professional] is to be engaged by Debtor. However, neither I, [Insert Abbreviation for Professional], nor any employee thereof, insofar as I have been able to ascertain, holds or represents any interest adverse to Debtor or the chapter 11 estate in the matters upon which [Insert Abbreviation for Professional] is to be engaged.\n\n11. The foregoing constitutes the verified statement of [Insert Abbreviation for Professional] pursuant to Bankruptcy Code sections 329 and 504, Bankruptcy Rule 2014, and Local Bankruptcy Rule 2014-1.\n\n I declare upon penalty of perjury under the laws of the United States of America that the foregoing is true and correct.\n\nDated at [Insert City], [Insert State], this [Insert day] day of [month], [year].\n\n[Insert Signature of Affiant]\n\n[Insert Name of Affiant]","body_zh":"证物 UCC-4\n债务人关于聘任日常经营专业人士的动议\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关于：Ho Wan Kwok（郭文贵），债务人。1\n：\n：\n：\n：\n：\n：\n：\n：\n第 11 章\n案件编号 22-50073 (JAM)\n听证日期：\n听证时间：\n--------------------------------------------------------------------X\n\n债务人请求作出命令的动议，该命令授权：(I) 聘任及支付日常经营中使用的专业人士；(II) 支付申请日前债权；及 (III) 准予相关救济\n\n上述标题第 11 章案件中的债务人兼占有中的债务人 Ho Wan Kwok（郭文贵）（“Kwok 先生”或“债务人”），通过其下署律师，特此提交本动议（“本动议”），请求作出实质上采用随附证物 A 所载形式的命令（“该命令”），准予下文所述救济；为支持本动议，债务人提交并援引 Ho Wan Kwok 先生关于支持第 11 章案件及若干动议的声明（“Kwok 声明”）[Docket No. 107]，并进一步恭敬陈述如下：\n\n请求的救济\n\n1. 债务人 Kwok 先生依据 United States Code（美国法典）第 11 编（“破产法典”）第 105(a)、327、328、330 及 363 条，通过本动议请求作出该命令：(i) 授权其：(a) 制定若干程序，以便在无需就每一名日常经营专业人士分别提交聘任申请及分别作出聘任命令的情况下，聘任在日常经营过程中向 Kwok 先生提供会计、法律及咨询服务的专业人士（各称“一名日常经营专业人士”，合称“日常经营专业人士”），及 (b) 无需逐一提交费用申请而向该等专业人士支付报酬及偿还费用；(ii) 支付为保全其财产所必需的若干日常经营专业人士的申请日前债权（“OCP 申请日前债权”）；及 (iii) 准予相关救济。\n\n债务人亦以以下姓名为人所知：Guo Wengui；Miles Guo；Miles Kwok；及 Ho Wan Kwok。\n\n2. 基于本动议所述理由，Kwok 先生主张，请求的救济符合其第 11 章财产、其债权人及其他利害关系方的最佳利益，因此应予准许。\n\n管辖权\n\n3. 本院依据 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）作出的移送常设命令（经修订），对审理本动议具有管辖权。本案根据 28 U.S.C. § 157(b) 属于核心程序。根据 28 U.S.C. §§ 1408 and 1409，本第 11 章案件及本动议的审判地在本地区适当。\n\n4. 本动议所请求救济的依据为《破产法典》第 105(a)、327、328 及 330 条，以及 Federal Rules of Bankruptcy Procedure（联邦破产程序规则）（“破产规则”）第 2014 及 2016 条，及 Local Rules of the United States Bankruptcy Court for the District of Connecticut（美国康涅狄格州联邦破产法院地方法则）（“地方法则”）第 2014-2 及 2016-1 条。\n\n日常经营专业人士\n\n5. 2022 年 2 月 15 日（“申请日”），Kwok 先生根据《破产法典》第 11 编第 11 章提交了自愿救济申请。\n\n6. 如 Kwok 声明更详细所述，截至申请日，债务人在美国、英国、瑞士、英属维尔京群岛及加拿大等国内外待决的 30 余宗活跃案件中，以原告、被告或共同被告的具名当事人身份参与诉讼——其中大多数诉讼仍在美国进行（受《破产法典》自动中止的约束）（合称“待决诉讼”）。见个人破产申请人财务状况说明书，对第 4 部分第 9 问的答复 [ECF No. 77]。\n\n7. 在申请日前，Kwok 先生已聘任其日常经营专业人士，包括多家律师事务所、会计师及口译员/笔译员；该等人士就待决诉讼提供服务，并就与本第 11 章案件无关的各种事项提供其他服务。\n\n8. 日常经营专业人士对 Kwok 先生及待决诉讼具有大量知识、专业经验及熟悉程度，其中许多诉讼已持续多年。申请日前，债务人作为具名原告积极推进两 (2) 宗诉讼，其中两宗现构成该财产较为重要的资产：\n\n- a. UBS 索赔：债务人（连同若干共同原告）在英国 Royal Courts of Justice（皇家法院）向 UBS AG (London Branch)（“UBS”）提出索赔。在该诉讼中，索赔人主张 UBS 就债务人于 2015 年试图促成收购并收购一家中国金融机构 Haitong 所发行的若干股份时，所作的过失性不实陈述及建议，导致超过 $500 million 的损害赔偿。截至 2022 年 2 月 9 日，债务人在一项管辖权异议中胜诉，该项索赔仍在英国法院审理中。\n- b. Clark Hill 索赔：债务人向律师事务所 Clark Hill PLC 及其一名成员 Thomas K. Ragland（合称“Clark Hill”）提出索赔。该诉讼目前在 United States District Court for the District of Columbia（美国哥伦比亚特区联邦地区法院）待决。债务人就 Clark Hill 违反法律代理义务，请求 $50 million 的补偿性损害赔偿及额外的惩罚性损害赔偿。\n\n见 Kwok 声明第 III 节，第 32 段。\n\n9. 尽管 Kwok 先生预计其日常经营专业人士将持续提供服务，但如其无法向他们保证定期及时支付其申请日后费用及开支，并且在较为有限的情况下支付其就待决诉讼提供服务所产生的申请日前债权，其中若干人士将无法继续提供该等服务。2 与本动议同时提交的是债务人请求批准占有中的债务人融资的动议；该融资是债务人为本第 11 章案件提供资金的唯一方式，亦是继续以该等日常经营专业人士在申请日前受聘的相同方式及为相同目的聘任其的资金来源。Kwok 先生日常经营专业人士的初始名单作为附件 1（“OCP 名单”）附于拟议命令文本。3\n\n10. 若无日常经营专业人士就其申请日前工作所具备的知识、专业经验及熟悉程度，包括与待决诉讼有关的知识、专业经验及熟悉程度，Kwok 先生将为培训及聘任替代专业人士产生大量额外且不必要的费用。因此，继续聘任日常经营专业人士符合 Kwok 先生财产、其债权人及其他利害关系方的最佳利益。\n\n拟议的聘任及支付程序\n\n11. Kwok 先生拟继续以该等日常经营专业人士在申请日前受聘的相同方式及为相同目的，接受其日常经营专业人士提供的服务。\n\n12. 因此，Kwok 先生请求本院免除其及其财产逐一为其日常经营专业人士提交聘任及费用申请的负担及相关费用，并授权适用以下关于聘任及支付其日常经营专业人士的程序（“OCP 程序”）：\n\n2. Kwok 先生承认，目前针对其待决的若干案件已被中止。然而，鉴于某些事项的中止可能被解除，Kwok 先生正指示若干律师及其他专业人士继续准备其抗辩。辩护律师很可能坚持将至少支付其部分申请日前账单，作为提供该等服务的条件。\n\n3. Kwok 先生保留日后补充 OCP 名单及提交额外证物的权利。\n\na. 在以下较晚日期后的三十（30）个日历日内：(i) 准许本动议的命令录入之日；及(ii) 常规业务专业人士开始提供服务之日，OCP 名单（OCP List）上的每一名常规业务专业人士均应向 Kwok 先生及其律师 Brown Rudnick（布朗·拉德尼克律师事务所）提供一份经核实声明（各称“一份‘经核实声明’”），其格式实质上应与作为命令附件 2 所附的格式相同，并证明（其中包括）：(i) 就该专业人士拟受聘处理的事项而言，该常规业务专业人士并未代表或持有与债务人或其第 11 章破产财产相对立的任何利益；以及(ii) 披露其对债务人第 11 章破产财产持有的任何申请日前债权的金额及性质。\n\nb. 如 Kwok 先生拟聘任一名未列于 OCP 名单的额外常规业务专业人士，则 Kwok 先生应向法院提交 OCP 名单补充文件（“OCP 名单补充文件”），载明该额外常规业务专业人士的姓名、地址及服务类型。在以下较晚日期后的三十（30）个日历日内：(i) 提交 OCP 名单补充文件之日；及(ii) 该额外常规业务专业人士开始提供服务之日，该额外常规业务专业人士应向 Kwok 先生及其律师 Brown Rudnick 提供一份经核实声明，其格式实质上应与作为命令附件 2 所附的格式相同，并证明（其中包括），就该专业人士拟受聘处理的事项而言，该额外常规业务专业人士并未代表或持有与 Kwok 先生或其第 11 章破产财产相对立的任何利益。\n\nc. 收到经核实声明后，Kwok 先生应向法院提交该声明，并向下列各方送达副本：(i) 美国受托人办公室（Office of the U.S. Trustee）；(ii) 在本第 11 章案件中获任命的无担保债权人正式委员会；以及(iii) 根据地方法则 2002 有权接收通知的任何其他当事人（统称“OCP 通知当事人”）。如某一常规业务专业人士未能及时向 Kwok 先生提供经核实声明，则该常规业务专业人士将自动被视为已从载有该常规业务专业人士的 OCP 名单或 OCP 名单补充文件中删除。\n\nd. OCP 通知当事人应在经核实声明送达之日起十四（14）个日历日内，向法院提交并书面通知 Kwok 先生的律师 Brown Rudnick，就基于经核实声明内容而反对聘任某一常规业务专业人士提出任何异议（“异议期限”）。\n\ne. 如在异议期限届满前未提出异议，或所提交的任何异议被及时撤回或解决，则 Kwok 先生将获授权最终聘任及雇用该常规业务专业人士，无需法院进一步命令，并自以下最晚日期起生效：(i) 申请日；(ii) 如适用，提交 OCP 名单补充文件之日；或(iii) 委聘之日。\n\nf. 如在异议期限届满前向法院提交并送达异议，且该异议在异议期限届满后二十一（21）个日历日内无法解决，则该事项将安排在法院下一个定期排定的听证日，或常规业务专业人士、Kwok 先生及提出异议的当事人可能同意的其他日期进行听证。\n\ng. 在该常规业务专业人士依照本 OCP 程序获聘任之前，不得向其支付任何申请日前或申请日后费用或开支。\n\nh. 在 Kwok 先生依照本 OCP 程序聘任某一常规业务专业人士后，Kwok 先生可在该常规业务专业人士向其提交适当发票且获其批准后，支付该常规业务专业人士所发生的申请日后费用及开支的 100%（统称“报酬”）；该发票应以合理的详细程度载明所提供服务的性质及实际发生的开支（不影响 Kwok 先生对任何该等发票提出争议的权利）；但前提是，Kwok 先生不得向常规业务专业人士支付超过以下金额的报酬：(a) 就协助其追索债权的常规业务专业人士，每月 \\$125,000；或(b) 就协助处理所有其他事项的常规业务专业人士，每月 \\$90,000，按任何连续三个月期间的滚动平均计算（“OCP 月度费用上限”）。4\n\ni. 如某一常规业务专业人士发生的报酬金额超过 OCP 月度费用上限（全部该等金额称为“超额报酬”）：(i) 经 OCP 通知当事人同意，Kwok 先生可支付该等超额报酬；该等同意应通过提交提高上限金额通知予以证明，该通知一经提交即视为获批准，无需法院进一步行动；或(ii) 如无该等同意，该常规业务专业人士可依照《破产法典》第 330 条及第 331 条以及《破产程序规则》、地方法则、根据地方法则 2016-1 制定的《专业人士报酬及开支偿还准许指引》以及本第 11 章案件中法院的任何其他程序和命令的适用规定，提交费用申请（“费用申请”）。每份费用申请均应向 OCP 通知当事人送达。OCP 通知当事人随后应有二十一（21）个日历日对该费用申请提出异议。如未及时提出异议，则费用申请中请求的费用及开支应视为已获批准，无需法院进一步命令，且该常规业务专业人士可获支付其费用的百分之一百（100%）及其开支的百分之一百（100%）。\n\n4 Kwok 先生预计，向协助其追索债权的常规业务专业人士支付的报酬最高可达每月 \\$200,000（取决于包括相关诉讼是否在本第 11 章案件期间进入审判在内的因素），并向协助处理所有其他事项的常规业务专业人士支付最高每月 \\$175,000 的报酬。\n\nj. 在第 11 章案件审理期间，每隔三（3）个月（各称“一季度”），Kwok 先生应不迟于该季度结束后三十（30）个日历日内（首个季度结束日为 June 14, 2022），向法院提交并向 OCP 通知当事人送达一份声明，其中应包括每一名常规业务专业人士的以下信息：(i) 该常规业务专业人士的名称；(ii) 在所报告季度内，按月细分的就该常规业务专业人士提供的服务所支付的报酬金额及对其发生开支的偿还金额；以及(iii) 自申请日起至所报告季度结束期间，就该常规业务专业人士提供的服务所支付的累计报酬金额及对其发生开支的累计偿还金额。\n\n13. 尽管 Kwok 先生预计其常规业务专业人士将持续提供服务，但部分常规业务专业人士可能无法在未就其各自与未决诉讼有关的已提供服务的申请日前债权至少收到部分付款的情况下继续这样做。为避免常规业务专业人士提供的服务可能中断，Kwok 先生请求授权，在法院批准的前提下，支付部分常规业务专业人士的部分申请日前债权，具体如下：(i) 任何常规业务专业人士提交的经核实声明必须披露该常规业务专业人士持有的任何申请日前债权的金额及性质（即 OCP 申请日前债权）；以及(ii) Kwok 先生可酌情支付 OCP 申请日前债权，但该等付款合计不得超过 \\$275,000。此外，部分常规业务专业人士可能持有“预付款”或“保证金预付费”。在该等情况下，Kwok 先生可指示常规业务专业人士将其持有的任何预付费抵扣申请日前余额。\n\n救济依据\n\nA. 聘任及补偿常规业务专业人士有助于高效管理 KWOK 先生的破产财产。\n\n14. 本动议所请求的救济将通过节省 Kwok 先生及其破产财产就分别申请雇用每一名常规业务专业人士，以及准备并寻求批准其常规业务专业人士的临时和最终费用申请所产生的开支，来节约本第 11 章案件的管理成本。此外，尽管常规业务专业人士希望持续代表 Kwok 先生，但如其只能通过要求按月提交临时和最终费用申请的正式申请程序获得付款，其可能不愿继续这样做。\n\n15. 如 Kwok 先生就申请日前由其常规业务专业人士负责的特定事项失去该等人士的专业知识和背景知识，则 Kwok 先生的破产财产将产生额外且不必要的开支，因为其将被迫聘任不具备该等背景和专业知识的其他专业人士，进而影响其破产财产。\n\n16. 此外，本文所述程序将免除本法院、美国受托人及其他利害关系方审查常规业务专业人士费用申请的负担。\n\nB. KWOK 先生的申请日前律师系为特定特别目的而受聘。\n\n17. 《破产法典》第 327(e) 条允许 Kwok 先生为“特定特别目的”聘任其申请日前律师及其各自的律师事务所，如 OCP 名单所示：\n\n经法院批准，如符合破产财产的最佳利益，且该律师就其拟受聘处理的事项并未代表或持有与债务人或破产财产相对立的任何利益，受托人可以为特定特别目的聘用曾代理债务人的律师，但不得聘用该律师在案件进行中代表受托人。\n\n11 U.S.C. § 327(e); In re JMK Constr. Group, Ltd., 441 B.R. 222, 230 (Bankr. S.D.N.Y. 2010)（“债务人亦可根据《破产法典》第 327(e) 条为‘特定特别目的’聘任律师”）（引用 In re Quality Beverage Co., 216 B.R. 592, 594 (Bankr.S.D.Tex.1995)（指出“该法条的明确措辞将其适用范围限制于律师”））。“第 327(a) 条规定的聘任要求，即专业人士不得持有或代表与破产财产相对立的利益，同样适用于根据第 327(e) 条的聘任。”In re JMK Constr. Group, Ltd., 441 B.R. at 230–31（引用 In re Homesteads Cmty. at Newtown, LLC, 390 B.R. 32, 47–48 (Bankr. D. Conn. 2008)）。\n\n18. 因此，只要特别律师不代表与该律师拟提供服务有关的相对立利益，根据第 327(e) 条作出的聘任即属适当，并应获授权。In re AroChem Corp., 176 F.3d 610, 622 (2d Cir. 1999)（将第 327(a) 条标准适用于“特别律师”情形，并指出，“如特别律师的利益与破产财产就聘任特别律师所处理事项的利益相同，则不存在冲突，代理可以继续”，且问题在于——就其受聘承担的特别代理而言——[该\n\n案件 22-50073 文件 119 提交于 03/22/22 录入于 03/22/22 12:38:09 第 10 页，共 26 页　案件 22-50073 文件 245-4 提交于 04/22/22 录入于 04/22/22 15:07:47 第 11 页，共 27 页\n\n特别代理律师]（1）持有或代表与破产财产相对立的利益，且（2）为“无利害关系人”）（原文强调）。\n\n19. 在本案中，如 OCP List 所列并明确的，为“特定特别目的”而受聘的各位律师（及其各自的律师事务所），均不持有与 Kwok 先生或其 Chapter 11 破产财产相对立的利益，且均为“无利害关系人”。\nC. 常规业务专业人士所提供的服务与本 Chapter 11 案件的管理无关。\n\n20. 尽管某些常规业务专业人士既不会协助管理本 Chapter 11 案件，也不会在其中发挥核心作用，Kwok 先生仍出于谨慎考虑寻求本动议所请求的救济。参见，例如，Comm. of Asbestos-Related Litigants and/or Creditors v. Johns-Manville Corp. (In re Johns-Manville Corp.), 60 B.R. 612, 619 (Bankr. S.D.N.Y. 1986)（认定《破产法典》第 327(a) 条中使用的“专业人士”是一个术语，专用于在债务人破产财产重组中发挥密切作用的人员）；In re SageCrest II, LLC, 08-50754 (LEAD), 2010 WL 1981041, at \\*7 (Bankr. D. Conn. May 18, 2010)（“[I]在确定债务人拟聘用的人员是否属于 § 327(a) 规定的专业人士时，Johns–Mansville 法院着重考察该聘用是否旨在代表或协助债务人履行其破产职责，即：拟聘用人员是否参与了债务人重组计划的谈判、债务人与债权人关系的调整，或债务人资产的处置或取得。”），aff'd, 3:10CV978 SRU, 2011 WL 134893 (D. Conn. Jan. 14, 2011)；In re Smith, 524 B.R. 689, 694–95 (Bankr. S.D. Tex. 2015)（“第 327(a) 条要求专业人士‘代表或协助受托人履行受托人在本法典下的职责。’因此，法院要求专业人士的聘用必须与\n\n案件 22-50073 文书 119 提交日期 03/22/22 录入日期 03/22/22 12:38:09 第 11 页，共 26 页 案件 22-50073 文书 245-4 提交日期 04/22/22 录入日期 04/22/22 15:07:47 第 12 页，共 27 页\n\n破产案件的管理具有明确关联，而非与债务人业务的常规经营有关。”）（引用 Matter of Seatrain Lines, Inc., 13 B.R. 980, 981 (Bankr.S.D.N.Y.1981)）。\nD. 向常规业务专业人士支付其持有的申请日前债权，对于维护破产财产是必要的。\n\n21. 法院已认可，在为保护和维护破产财产所必需的情况下，授权支付申请日前债务是适当的。参见，例如，In re Ionosphere Clubs, Inc., 98 B.R. 174, 175 (Bankr. S.D.N.Y. 1989)（支付申请日前工资的权限）；Armstrong World Indus., Inc. v. James A. Phillips, Inc. (In re James A. Phillips, Inc.), 29 B.R. 391, 398 (Bankr. S.D.N.Y. 1983)（支付供应商申请日前债权的权限）。\n\n22. 根据《破产法典》第 363(b) 条，如此做具有合理的商业目的，法院可以授权支付申请日前债务。参见 Ionosphere Clubs Inc., 98 B.R. at 175（指出第 363(b) 条赋予“广泛灵活性”，在有适当商业理由支持的情况下，授权债务人履行申请日前债权）；另参见 James A. Phillips, Inc., 29 B.R. at 397（依据第 363 条，允许承包商支付作为潜在留置权请求人的供应商的申请日前债权）。此外，根据第 105(a) 条，当申请日前债务的计划前支付对于债务人的存续不可或缺时，法院可以授权该等支付。参见 In re C.A.F. Bindery, Inc., 199 B.R. 828, 835 (Bankr. S.D.N.Y. 1996)；另参见 In re Fin. News Network Inc., 134 B.R. 732, 735–36 (Bankr. S.D.N.Y. 1991)（认定“必要性原则”表示如下原则：在该等支付对于债务人重组至关重要的情况下，破产法院可以允许计划前支付申请日前债务）。\n\n案件 22-50073 文书 119 提交日期 03/22/22 录入日期 03/22/22 12:38:09 第 12 页，共 26 页 案件 22-50073 文书 245-4 提交日期 04/22/22 录入日期 04/22/22 15:07:47 第 13 页，共 27 页\n\n23. 如上所述，尽管 Kwok 先生预计其常规业务专业人士将持续提供服务，但 Annex 2 所列的常规业务专业人士，如未获得其就 Pending Litigation（未决诉讼）所提供服务的各自申请日前债权的付款，可能无法继续提供服务。若 Kwok 先生失去其常规业务专业人士就其在 Petition Date（申请日）前负责的特定事项所具备的专业知识和背景知识，破产财产将产生额外且不必要的费用，因为 Kwok 先生将被迫聘用不具备该等背景和专业知识的其他专业人士，进而影响本破产财产及其债权人。因此，支付常规业务专业人士的申请日前债权，是避免其常规业务专业人士所提供服务中断所必需的，并构成在该等情形下所必需的合理商业目的。\n通知\n\n24. 本动议的通知已向下列各方，或代之向其律师发出：(i) U.S. Trustee（美国受托人）；(ii) 债务人最大的 20 名无担保债权人；(iii) Internal Revenue Service（美国国税局）；(iv) United States Attorney's Office for the District of Connecticut（美国康涅狄格联邦地区检察官办公室）；(v) 无担保债权人正式委员会；以及 (vi) 根据 Local Rule 2002 有权获得通知的任何其他该等当事人。债务人主张，鉴于事实及情形，该等通知充分，无需提供其他或进一步通知。\n此前未提出请求\n\n25. 债务人此前未向本院或任何其他法院提出过本案所请求救济的请求。\n\n结论\n\n因此，基于本文所述理由，Kwok 先生谨请求本院准予本动议、该命令所请求的救济，以及其他公正和适当的救济。\n\n日期：March 22, 2022\nBROWN RUDNICK LLP（布朗·拉德尼克律师事务所）\n\n签署人：/s/ William R. Baldiga（威廉·R·鲍尔迪加） BROWN RUDNICK LLP（布朗·拉德尼克律师事务所） 185 Asylum Street Hartford, CT 06103 收件人：Dylan Kletter, Esq.（迪伦·克莱特律师） 电话：(860) 509-6500 传真：(860) 509-6653 电子邮件：dkletter@brownrudnick.com\n\nSeven Times Square New York, NY 10036 收件人：William R. Baldiga, Esq.（威廉·R·鲍尔迪加律师）（pro hac pending） 收件人：Bennett S. Silverberg, Esq.（贝内特·S·西尔弗伯格律师）（pro hac pending） 收件人：Uriel Pinelo, Esq.（乌列尔·皮内洛律师）（pro hac pending） 电话：(212) 209-4800 传真：(212) 209-4801 电子邮件：wbaldiga@brownrudnick.com bsilverberg@brownrudnick.com upinelo@brownrudnick.com\n附件 A\n\n拟议命令\nUNITED STATES BANKRUPTCY COURT（美国破产法院） DISTRICT OF CONNECTICUT（康涅狄格地区） BRIDGEPORT DIVISION（布里奇波特分部）\n\n关于：\n\nHo Wan Kwok（郭文贵），\n\nChapter 11\n\n案件编号：22-50073 (JAM)\n\n债务人。1\n\n: --------------------------------------------------------------------X\n\n[拟议] 准许债务人提出动议以作出命令的命令：（I）授权聘用并支付在常规业务过程中使用的专业人士；（II）支付申请日前债权；以及（III）准予相关救济\n\n兹就 Kwok 先生提出的动议（“动议”）2，即根据《破产法典》第 105(a)、327、328、330 及 363 条、《破产规则》第 2014 条以及 Local Rules（地方法院规则）第 2014-2 条，请求作出一项命令（“本命令”），授权但不指示 Kwok 先生：(i) 聘用常规业务专业人士，而无需就每位专业人士提交单独的聘用申请及作出单独的聘用命令；(ii) 按照本文规定的程序，在无需提交个别费用申请的情况下向常规业务专业人士支付报酬并偿还费用；以及 (iii) 支付维护债务人破产财产所必需的某些常规业务专业人士的申请日前债权；且本院已认定，根据 28 U.S.C. §§ 157 and 1334，本院对审理该动议及其中请求的救济具有管辖权；且根据 28 U.S.C. § 157(b)，对该动议及其中请求救济的审理属于核心程序；且根据 28 U.S.C. §§ 1408 and 1409，本院为适当审理地；且已在该等情形下并依照《破产规则》和地方法院规则对该动议作出适当、充分和恰当的通知，且看来无需作出其他或进一步通知；且如有，已举行听证会审议动议所请求的救济（“听证会”）；且基于本院进行的全部程序；且经适当审议并存在充分理由，现特此命令、裁定及判决如下：\n\n1. 在本文规定的范围内，准予该动议。\n\n2. 授权但不指示 Kwok 先生按照以下程序（“OCP Procedures（常规业务专业人士程序）”）聘用、支付报酬并偿还常规业务专业人士的费用：\n\na. 在以下两项中较晚者起三十（30）个日历日内：(i) 准予本动议的命令录入之日；及 (ii) 常规业务专业人士开始提供服务之日，随附于本命令作为 Annex 1 的 OCP List（常规业务专业人士名单）中所列的每一名常规业务专业人士，将向 Kwok 先生及其律师 Brown Rudnick（布朗·拉德尼克）提供一份经核证声明（各称“Verified Statement（经核证声明）”），其形式大致应与作为 Annex 2 随附于本命令的形式相同，并证明，包括但不限于：(i) 就该专业人士将受聘处理的事项而言，该常规业务专业人士并不代表或持有与债务人或其 Chapter 11 破产财产相对立的任何利益；及 (ii) 披露其对债务人 Chapter 11 破产财产持有的任何申请日前债权的金额和性质。\n\nb. 如 Kwok 先生寻求聘用 OCP List 中尚未列明的额外常规业务专业人士，则 Kwok 先生将向本院提交 OCP List 的补充文件（“OCP List Supplement（常规业务专业人士名单补充文件）”），载明该额外常规业务专业人士的姓名、地址和服务类型。在以下两项中较晚者起三十（30）个日历日内：(i) 提交 OCP List Supplement 之日；及 (ii) 该额外常规业务专业人士开始提供服务之日，该额外常规业务专业人士将向 Kwok 先生及其律师 Brown Rudnick（布朗·拉德尼克）提供一份 Verified Statement（经核证声明），其形式大致应与作为 Annex 2 随附于本命令的形式相同，并证明，包括但不限于，就该专业人士将受聘处理的事项而言，该额外常规业务专业人士并不代表或持有与 Kwok 先生或其 Chapter 11 破产财产相对立的任何利益。\n\n案件 22-50073 文书 119 提交日期 03/22/22 录入日期 03/22/22 12:38:09 第 17 页，共 26 页 案件 22-50073 文书 245-4 提交日期 04/22/22 录入日期 04/22/22 15:07:47 第 18 页，共 27 页\n\n- c. 收到经核实声明后，Kwok先生（郭文贵）将向法院提交该声明，并向下列各方送达副本：(i) 美国受托人办公室，(ii) 在本第11章案件中指定的无担保债权人正式委员会，以及 (iii) 根据地方法则 2002 有权获得通知的任何其他方（统称为“OCP通知当事人”）。如任何日常业务专业人士未能及时向Kwok先生提供经核实声明，则该日常业务专业人士将自动被视为已从载有该日常业务专业人士的OCP名单或OCP名单补充文件中删除。\n\n- d. OCP通知当事人应自经核实声明送达之日起十四（14）个日历日内，向法院提交并以书面形式通知Kwok先生的律师Brown Rudnick，就根据经核实声明内容对聘任某日常业务专业人士提出的任何异议（“异议截止日期”）。\n\n- e. 如在异议截止日期前未提出异议，或任何已提交的异议被及时撤回或解决，则Kwok先生将获授权作为终局事项聘任和雇用该日常业务专业人士，无需法院进一步命令，自下列日期中最晚的日期起生效：(i) 申请日，(ii) 如适用，提交OCP名单补充文件之日，或 (iii) 聘任之日。\n\n- f. 如在异议截止日期前向法院提交并送达异议，且该异议在异议截止日期后二十一（21）个日历日内无法解决，则该事项将被安排于法院下一个定期听证日，或日常业务专业人士、Kwok先生及提出异议的一方可能同意的其他日期，由法院举行听证。\n\n- g. 在该日常业务专业人士依照本OCP程序获聘任之前，不得向任何日常业务专业人士支付任何申请前或申请后费用或开支。\n\n- h. Kwok先生依照本OCP程序聘任日常业务专业人士后，Kwok先生可在向其提交载明已提供服务性质及实际发生开支之合理详细情况的适当发票并获其批准后，向该日常业务专业人士支付100%的申请后费用和开支（统称为“报酬”）（但不影响Kwok先生对任何该等发票提出争议的权利）；但前提是，Kwok先生不得向日常业务专业人士支付超过以下金额的报酬：(a) 对协助其追索债权的日常业务专业人士，每月 \\$125,000；或 (b) 对协助处理所有其他事项的日常业务专业人士，每月 \\$90,000，按任何连续三个月期间的滚动平均计算（“OCP月度费用上限”）。\n\n- i. 在日常业务专业人士发生超过OCP月度费用上限的报酬时（全部该等金额为“超额报酬”）：(i) 经OCP通知当事人同意，Kwok先生可支付该等超额报酬；该同意应以提交提高上限金额的通知作为证明，该通知一经提交即视为获批准，无需法院采取进一步行动；或 (ii) 如未获该等同意，日常业务专业人士可依照《破产法典》第330及331条、适用的《破产程序规则》、地方法则、根据地方法则 2016-1 制定的《专业人士报酬及开支偿还准许指引》，以及法院在本第11章案件中的任何其他程序和命令，提交费用申请（“费用申请”）。每份费用申请均应向OCP通知当事人送达。OCP通知当事人随后应有二十一（21）个日历日对该费用申请提出异议。如未及时提出异议，则费用申请中请求的费用和开支应被视为已获批准，无需法院进一步命令，且日常业务专业人士可获得其费用的百分之一百（100%）及其开支的百分之一百（100%）。\n\n- j. 在第11章案件审理期间，Kwok先生应每三（3）个月（每一期间称为“一季度”）向法院提交并向OCP通知当事人送达一份声明，不迟于该季度结束后三十（30）个日历日内（首个季度结束日为 June 14, 2022），该声明应就每一日常业务专业人士包括下列信息：(i) 日常业务专业人士的名称；(ii) 在所报告季度内，按月细分的就该日常业务专业人士提供服务所支付的报酬金额及对所发生开支的偿还金额；及 (iii) 自申请日起至所报告季度结束日止，就该日常业务专业人士提供服务所支付的累计报酬金额及对所发生开支的累计偿还金额。\n\n- 3. Kwok先生获授权但不被指示，可酌情支付OCP申请前债权，但该等付款合计不得超过US$275,000。在任何日常业务专业人士可能持有“预付款”或“担保性预付金”的范围内，Kwok先生获授权指示该等日常业务专业人士将所持任何预付金用于抵销OCP申请前债权。\n\n案件 22-50073 文书 119 提交于 03/22/22 录入于 03/22/22 12:38:09 第 19 页，共 26 页 案件 22-50073 文书 245-4 提交于 04/22/22 录入于 04/22/22 15:07:47 第 20 页，共 27 页\n\n4. Kwok先生获授权并有权签署和交付该等文件，并采取和实施执行及实现本命令所授予救济所必需的一切行动。\n\n5. 本法院保留对因实施、解释和／或执行本命令而产生或与之相关的一切事项的管辖权。\n\n日期：\n\nBridgeport, Connecticut（康涅狄格州布里奇波特）\n\n美国破产法官\n\n附件1\n\nOCP名单\n\n日常业务专业人士　地址　服务类型\n\nAaron Mitchell\nLawall & Mitchell, LLC　55 Madison Avenue\nMorristown, NJ 07960　法律\n\nAri Casper\nThe Casper Firm, LLC　400 E. Pratt Street\nSuite 903\nBaltimore, MD 21202　法律\n\nDamon Parker\nHarcus Parker Ltd.　7th Floor, Melbourne House\n44-46 Aldwych\nLondon, WC2B 4LL　法律\n\nGuy Petrillo\nPetrillo Klein & Boxer LLP　655 Third Avenue\n22nd Floor\nNew York, NY 10017　法律\n\nIsabelle Kirshner\nClayman Rosenberg Kirshner &\nLinder LLP　305 Madison Avenue\nSuite 650\nNew York, New York 10165　法律\n\nJeffrey Gavenman\nSchulman Bhattacharya, LLC　6116 Executive Boulevard\nSuite 425\nBethesda, MD 20852　法律\n\nJohn Lau　53 Cody Avenue\nGlen Head, NY 11545　口译／笔译\n\nJohn Siegal\nBaker Hostetler LLP　45 Rockefeller Plaza\nNew York, NY 10111-0100　法律\n\nMark Zauderer\nGanfer Shore Leeds & Zauderer\nLLP　360 Lexington Avenue\nNew York, NY 10017　法律\n\nMatthew Hoyle　One Essex Court\nTemple, London, EC4Y 9AR\nDX 430　法律\n\nMelissa Francis\nThe Francis Firm PLLC　33 W 60th Street\nFloor 2\nNew York, NY 10069　法律\n\nMindy Kamen\nJanover LLC　485 Madison Avenue\nNew York, NY 10022　会计\n\nRobert Nader\nForbes Hare　Qwomar Building\nPO Box 4649, Road Town\nTortola VG1110\nBritish Virgin Islands　法律\n\nSa'ad Hossain Q.C.　One Essex Court\nTemple, London, EC4Y 9AR\nDX 430　法律\n\n案件 22-50073 文书 119 提交于 03/22/22 录入于 03/22/22 12:38:09 第 22 页，共 26 页 案件 22-50073 文书 245-4 提交于 04/22/22 录入于 04/22/22 15:07:47 第 23 页，共 27 页\n\n日常业务专业人士　地址　服务类型\n\nSandrine Giroud\nLALIVE SA　Rue de Law Mairie 35\n1207 Geneva\nSwitzerland　法律\n\nSebastian Isaac　One Essex Court\nTemple, London, EC4Y 9AR.\nDX 430　法律\n\nUna Wilkinson　68-18 Juno Street\nForest Hills, New York 11375　口译／笔译\n\nVictor Cerda\nVX Cerda & Associates　601 Brickell Key Drive\nSuite 700\nMiami, FL 33131　法律\n\n附件2\n\n经核实声明\n\n案件 22-50073 文书 119 提交于 03/22/22 录入于 03/22/22 12:38:09 第 24 页，共 26 页 案件 22-50073 文书 245-4 提交于 04/22/22 录入于 04/22/22 15:07:47 第 25 页，共 27 页\n\n美国破产法院 康涅狄格地区 布里奇波特分院\n\n关于：　：　第11章\n\nHo Wan Kwok（郭文贵），　：　案件编号 22-50073 (JAM)\n\n债务人。　：\n\n[填写专业人士全名]的经核实声明\n\n本人，[宣誓人姓名]，经正式宣誓后，声明如下：\n\n1. 本人是[填写日常业务专业人士全名]（“[填写专业人士简称]”）的[职务]，该机构办公地点位于[填写日常业务专业人士地址]。\n\n2. 除本声明另有规定外，据本人所能查明，本人、[填写专业人士简称]及其任何雇员，均与上述标题所列债务人及占有中债务人（“债务人”）、债务人的债权人、任何其他利害关系方、其各自的律师和会计师、美国受托人，或受雇于美国受托人办公室的任何人士不存在任何关联，但本经核实声明所列者除外。\n\n3. [填写专业人士简称]通过本人及[填写专业人士简称]的其他雇员，就债务人的[填写相关方面说明]，向债务人提供了某些[填写服务的一般说明]。\n\n4. 债务人已请求且[填写专业人士简称]已同意，根据《美国法典》第11编第327条，就该等事项继续向债务人提供服务。\n\n案件 22-50073 文书 119 提交于 03/22/22 录入于 03/22/22 12:38:09 第 25 页，共 26 页 案件 22-50073 文书 245-4 提交于 04/22/22 录入于 04/22/22 15:07:47 第 26 页，共 27 页\n\n（“破产法典”）。此外，债务人已请求且[填写专业人士简称]拟向债务人提供下列服务：\n\n[填写具体服务]\n\n5. [填写专业人士简称]现行惯常费率为[填写费用／费率表]。在正常业务过程中，[填写专业人士简称]于每年[填写日期]调整其常规费率，并请求自每年[填写日期]起，将上述费率调整为届时生效的常规费率。\n\n6. 在过去一年中，[填写专业人士简称]已向债务人提供服务，并已就此向债务人开具金额为 \\$[填写金额] 的发票。截至申请日，债务人欠付[填写专业人士简称] \\$[填写金额]。\n\n7. 此外，自本案件开始以来，[填写专业人士简称]已向债务人提供尚未开具账单的服务，或已开具账单但尚未收到付款的服务。该等服务的价值不超过 \\$[填写金额]。\n\n8. 除本声明所列者外，[填写专业人士简称]未收到任何关于与本第11章案件有关的报酬承诺，除非该等承诺符合《破产法典》、《联邦破产程序规则》（“破产程序规则”）、《康涅狄格地区地方法院破产规则》（“地方法院破产规则”）及本法院命令的规定。\n\n9. [填写专业人士简称]未与任何实体达成协议，以分享从债务人处收取的任何报酬。\n\n10. [填写专业人士简称]及其雇员过去可能、目前正在并且将来可能会向债务人的债权人实体提供与下列事项有关的服务\n\n案件 22-50073 文书 119 提交于 03/22/22 录入于 03/22/22 12:38:09 第 26 页，共 26 页 案件 22-50073 文书 245-4 提交于 04/22/22 录入于 04/22/22 15:07:47 第 27 页，共 27 页\n\n与债务人拟聘请[填写专业人士简称]处理的事项完全无关。然而，据我所能查明，我、[填写专业人士简称]及其任何雇员，均未持有或主张任何与债务人或第11章破产财产利益相冲突的权益，涉及事项为债务人拟聘请[填写专业人士简称]处理的事项。\n\n11. 前述内容构成[填写专业人士简称]依据《破产法典》第329条和第504条、《破产规则》第2014条以及《地方破产规则》第2014-1条作出的经核实声明。\n\n本人依照美利坚合众国法律，在伪证罪处罚的约束下声明，前述内容真实且正确。\n\n于[填写城市]，[填写州]，本[月份][日期]日，[年份]。\n\n[填写宣誓人签名]\n\n[填写宣誓人姓名]","key_entities":["Kwok","Je","Ho Wan Kwok","Guo","CIPA","Miles Guo","Gavenman"],"ecf_references":[{"doc_number":77,"court":"CTB"},{"doc_number":119,"court":"CTB"}],"word_count":7103,"status":"published","published_at":"2022-04-22 00:00:00","created_at":"2022-04-22","updated_at":"2026-08-23 20:11:29"}