{"id":"court_ctb_3264_2","court":"CTB","case_no":"22-50073","doc_number":3264,"sub_number":2,"doc_type":"ORDER","filed_date":"2024-06-20","title":"[Different first page setting changed from off in original to on in modified.]. UNITED STATES BANKRUPTCY COURT DISTRICT","summary_zh":"修改后保护令（修订对比版附件） —— Ho Wan Kwok 破产案（郭文贵 / Guo Wengui / Miles Guo），CTB 22-50073 ECF #3264-2（2024-06-20立案）。本文件为修改后保护令的红线修订对比版本，记录了相较于此前保护令条款的修改痕迹，用于规范破产案件中机密证据开示材料的界定与处理。","summary_en":"Modified Protective Order (Redline / Comparison Version) — In re Ho Wan Kwok (Miles Guo / Guo Wengui), CTB 22-50073 ECF #3264-2 (filed 2024-06-20). This document is a redline comparison version of the modified protective order showing tracked changes against the prior order, regulating the handling and designation of confidential discovery material in the bankruptcy proceedings.","body_en":"22\n\n*[Different first page setting changed from off in original to on in modified.].*\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n|              | x      |                         |\n|--------------|--------|-------------------------|\n|              | :      |                         |\n| In re:       | :      | Chapter<br>11           |\n| HO WAN KWOK, | :<br>: | Case No. 22-50073 (JAM) |\n| Debtor.1     | :<br>: | Re: ECF No. 874         |\n|              | :      |                         |\n|              | x      |                         |\n\n# **MODIFIED PROTECTIVE ORDER**\n\nThis Protective Order (\"Order\") is entered into by and among: (a) Luc Despins, as the appointed Chapter 11 Trustee to the Debtor's estate (the \"Trustee\"), and (b) any other persons or entities who become bound by this Order by signifying their assent through execution of **Exhibit A** hereto. Each of the persons or entities identified in the foregoing clauses (a) and (b) shall be referred to herein individually as a \"Party,\" and collectively as the \"Parties.\"[2](#page-0-1) This Order is being entered pursuant to 11 U.S.C. § 107(b) and Rule 9018 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\"), and, as applicable, pursuant to Bankruptcy Rules 7026 and 9014 and Rule 26(c) of the Federal Rules of Civil Procedure (the \"Federal Rules\").\n\n<span id=\"page-0-0\"></span> <sup>1</sup> Although the Debtor's legal name is Ho Wan Kwok, he is also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases. The last four digits of the Debtor's taxpayer identification number are 9595.\n\n<span id=\"page-0-1\"></span><sup>2</sup> The designation of a \"Party\" is for purposes of reference in this Order only.\n\n#### **Recitals**\n\nWHEREAS, the Debtor filed a voluntary petition under chapterChapter 11 of title 11 of the United States Code, U.S.C. §§ 101-1532 (the \"Bankruptcy Code\"), in this Court (the case commenced by such petition, the \"Chapter 11 Case\"); and there are, or may be, judicial or other proceedings before this Court, including but not limited to investigations, contested matters, adversary proceedings, and other disputes (each a \"Dispute\" and, collectively, the \"Disputes\") arising under the Bankruptcy Code or arising in or relating to the Chapter 11 Case;\n\nWHEREAS, the Court authorized the appointment of the Trustee by granting the United States Trustee's application for an order approving the appointment of Chapter 11 Trustee pursuant to 11 U.S.C. § 1104(d);\n\nWHEREAS, the Parties have sought or may seek certain Discovery Material (as defined below) from one another with respect to one or more Disputes, including through informal or formal requests, Rule 2004 notices or motions, or service of document requests, interrogatories, depositions, subpoenas, and other discovery requests (collectively, the \"Discovery Requests\") as provided by the Federal Rules, the Bankruptcy Rules, and the Local Rules of Bankruptcy Procedure of the United States Bankruptcy Court for the District of Connecticut (the \"Local Rules\"); and\n\nWHEREAS, the Parties anticipate that there are certain persons or entities other than the Parties hereto that may also propound or be served with Discovery Requests in connection with one or more Disputes during the course of the Chapter 11 Case;\n\nNOW, THEREFORE, to facilitate and expedite the production, exchange, and treatment of Discovery Material and to protect Discovery Material that a Party seeks to maintain as Confidential Material or Highly Confidential Material (as those terms are defined below), it is hereby agreed, and, upon Court approval, it is hereby ORDERED that the following terms will govern any requests for and production and handling of Discovery Material (as defined below):\n\n#### **Scope of Order**\n\n1. This Order governs the disclosure or exchange of all information and documents in connection with this Chapter 11 Case and related Disputes before this Court, by a Party (each a \"Producing Party\"), to any other Party (each a \"Receiving Party\"), formally or informally, either prior to or after the filing of a contested matter or adversary proceeding, in connection with an exchange of exhibits in advance of a hearing, and/or in response to or in connection with any Discovery Requests, including, without limitation, deposition testimony (whether based upon oral examination or written questions); interrogatories; answers to interrogatories; requests for admission; responses to requests for admission; documents, information, and things produced as well as any and all copies, abstracts, digests, notes, summaries, and excerpts thereof (collectively referred to as \"Discovery Material\"). Discovery Material includes hard copy documents and electronically stored information contemplated by the Bankruptcy Rules, and the Federal Rules, including but not limited to, writings, drawings, graphs, charts, photographs, sound recordings, images, data, or data compilations stored in any medium, testimony, exhibits, discovery responses, and all other mediums of expression.\n\n2. This Order does not affect, amend or modify any existing confidentiality agreements or protective orders applicable to any Producing Party and/or Receiving Party, and nothing in this Order shall constitute a waiver of any rights under such agreements or orders.\n\n3. For the avoidance of doubt, nothing in this Order—including the fact that a party is a Party to this Order—entitles or is intended to entitle any Party or non-Party to any Discovery Material for any purpose, including in connection with any Dispute.\n\n4. Subject to a Producing Party's rights under Paragraphs 9, 10 and 18 of hereof, upon the consent of the Trustee, any non-Party that executes Exhibit A and delivers a copy to the Trustee shall be treated as a Party to this Order with all rights and obligations of the signatory Parties hereto. For the further avoidance of any doubt, reference to becoming a \"Party\" upon execution of Exhibit A is for the purposes of this Order only and not intended to reflect any agreement as to such party's status as a litigant.\n\n#### **Designating Discovery Material**\n\n5. Any Producing Party may designate Discovery Material as \"Confidential Material\" or \"Highly Confidential Material\" (any such designated Discovery Material, \"Designated Material\") in accordance with the following provisions:\n\n> (a) Confidential Material: A Producing Party may designate Discovery Material as \"Confidential\" if such Producing Party reasonably believes that: (i) such Discovery Material (A) constitutes or contains nonpublic proprietary or confidential technical, business, financial, personal, or other information of a nature that should be protected under the Bankruptcy Rules or the Federal Rules or (B) is subject by law or by contract to a legally protected right of privacy; or (ii) the Producing Party (A) is under a preexisting obligation to a third party to treat such Discovery Material as confidential or (B) has been reasonably requested by another Party or non-Party to so designate such Discovery Material on the grounds that such other Party or non- Party considers such Discovery Material to contain information that is confidential or proprietary to such Party or non-Party.\n\n- (b) Highly Confidential Material: A Producing Party may designate Discovery Material as \"Highly Confidential\" if such Producing Party reasonably believes (or with respect to documents received from another person, has been reasonably advised by such other person) that such Discovery Material is of such a nature that a risk of personal safety, identity theft, or competitive injury would be created if such Discovery Material were disclosed to persons other than those identified in Paragraph 10 of this Order, such as addresses or other sensitive personal identifiable information, trade secrets, sensitive financial or business information, or material prepared by a Party's industry advisors, financial advisors, accounting advisors, experts, or its consultants (and their respective staff). Notwithstanding anything herein to the contrary, account statements, ACH and wire transfer records, check copies, and similar records created by financial institutions to memorialize account balances and transactions (collectively, 'Bank Statements') do not pose a risk of personal safety, identity theft, or competitive injury sufficient to warrant the heightened restrictions applicable to Discovery Material designated 'Highly Confidential.' Absent further order of the Court, Bank Statements shall not be designated as 'Highly Confidential' under this Order.\n- (c) Designation By Another Party: Any Party may designate any Discovery Material as Confidential or Highly Confidential in accordance with paragraphs 5(a) and 5(b), whether or not that Party is the one which originally disclosed or exchanged the Discovery Material, and in such event,\n\n### Case 22-50073 Doc 3264-2 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 6 of 22\n\nthe designating Party shall be a Producing Party with respect to that Discovery Material.\n\n(d) Undesignated Material: Subject to the rights and obligations of the Parties under Paragraphs 7, 8 and 34 of this Order, no Party shall have any obligation or duty to maintain as confidential or prevent from disclosure any Discovery Material that is not Designated Material (\"Undesignated Material\"), unless that Party has actual knowledge that the subject of the Discovery Material has been previously designated as Confidential or Highly Confidential pursuant to this Order or any other protective order.\n\n6. Manner of Designating Discovery Material: Where reasonably practicable, any Designated Material shall be designated by the Producing Party as such by marking each such page \"Confidential\" or \"Highly Confidential\" as applicable. Such markings should not obliterate or obscure the content of the material that is produced. Where marking of every page of such materials is not reasonably practicable, such as with certain native file documents, a Producing Party may designate material as \"Confidential\" or \"Highly Confidential\" by informing the Receiving Party in a clear and conspicuous manner at the time of production of such material that it is \"Confidential\" or \"Highly Confidential,\" such as by including such designation in the filename and/or the produced Relativity (or other document review platform) load file, if applicable. Discovery Material produced prior to the execution of this Order pursuant to an agreement that such Discovery Material would be treated as \"Confidential\" or \"Highly Confidential\" shall be treated as \"Confidential\" or \"Highly Confidential\" pursuant to this Order notwithstanding such Discovery Material not bearing such markings.\n\n### Case 22-50073 Doc 3264-2 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 7 of 22\n\n7. Late Designation of Discovery Material: The failure to designate particular Discovery Material as \"Confidential\" or \"Highly Confidential\" at the time of production shall not operate to waive a Producing Party's right to later designate such Discovery Material as Designated Material or later apply another designation pursuant to this Order (\"Misdesignated Material\"). At such time, arrangements will be made for the destruction of the Misdesignated Material or for the return to the Producing Party of all copies of the Misdesignated Material and for the substitution, where appropriate, of properly labeled copies of such Discovery Material. Upon receipt of replacement copies of such Misdesignated Material with the proper designation, the Receiving Party or Parties shall take all reasonable steps to return or destroy all previously produced copies of such Misdesignated Material. If requested by the Producing Party, a Receiving Party shall verify in writing that it has taken all reasonable steps to return or destroy such Misdesignated Material. No Party shall be deemed to have violated this Order if, prior to notification of any later designation, such Discovery Material was disclosed or used in any manner consistent with its original designation but inconsistent with its later designation. Once such later designation has been made, however, any Discovery Material shall be treated in accordance with that later designation; provided, however, that if the material that was not designated has been, at the time of the later designation, previously publicly filed with a court, no Party shall be bound by such later designation except to the extent determined by the Court upon motion of the Party that failed to make the designation.\n\n#### **Use and Disclosure of Confidential or Highly Confidential Material**\n\n8. General Limitations On Use And Disclosure Of All Discovery Material: All Discovery Material shall be used by the Trustee in carrying out his duties and responsibilities under the Bankruptcy Code and the appointment order in this case and/or by other Receiving Parties\n\n### Case 22-50073 Doc 3264-2 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 8 of 22\n\nsolely in this Court for the purposes of a Dispute or the Chapter 11 Case, and not for any other purpose or in any other forum, including any other litigation or judicial proceedings that are not a Dispute and are not related to this Chapter 11 Case, or any business, competitive, governmental, commercial, or administrative purpose or function.\n\n9. Confidential Material: Confidential Material, and any and all information contained therein, may be given, shown, made available to, or communicated only to the following:\n\n- (a) the Trustee;\n- (b) any Party who has signed Exhibit A and delivered a copy thereof to the Trustee subject to the Producing Party's consent, not to be unreasonably withheld. For the avoidance of doubt, Producing Party for purposes of providing or withholding consent to receive or review Designated Material pursuant to paragraphs 9, 10, and 18 shall include an individual or entity to the extent of (i) documents produced by the individual's or entities' current or former professional firms and (ii) documents produced by financial institutions relating to accounts of the individual or entity ; and; and\n\n(c) any other persons specified in Paragraph 10 below.\n\n10. Highly Confidential Material: Highly Confidential Material, and any and all information contained therein, may be given, shown, made available to, or communicated only to the following:\n\n- (a) counsel, and staff working under the express direction of such counsel, for:\n\t- i. the Trustee;\n\t- ii. the Creditor's Committee;\n- iii. any Party who has signed Exhibit A and delivered a copy to the Trustee, subject to the Producing Party's consent, not to be unreasonably withheld; and\n- (b) professionals retained under Sections 328 and 1103 of the Bankruptcy Code, and industry advisors, financial advisors, accounting advisors, experts, and consultants (and their respective staff) that are retained by the signatories to this Order or by a Party who, subject to the Producing Party's consent, not to be unreasonably withheld, has signed Exhibit A in connection with the Disputes or this Chapter 11 Case;\n- (c) any person who is indicated on the face of a document to have been an author, addressee, or copy recipient thereof, an actual or intended recipient thereof, or in the case of meeting minutes, an attendee of the meeting;\n- (d) any adverse witness during the course of a deposition where counsel questioning the witness reasonably believes that questioning the witness regarding the document is necessary and that doing so would not cause competitive or personal harm, provided that the relevant section of the deposition transcript is itself designated as Highly Confidential, the witness is not permitted to retain a copy of the document, and the relevant deposition exhibit is designated as Highly Confidential, and subject to paragraph 12;\n- (e) outside photocopying, graphic production services, or litigation support services, as necessary for use in connection with a Dispute or this Chapter 11 Case;\n\n*[Link-to-previous setting changed from off in original to on in modified.].*\n\n9\n\n- (f) court reporters, stenographers, or videographers who record deposition or other testimony in connection with a Dispute or this Chapter 11 Case;\n- (g) the Court, its officers, and clerical staff in any judicial proceeding that may result from a Dispute or this Chapter 11 Case;\n- (h) any mediators and their staffs retained in connection with a Dispute or these this Chapter 11 Case; and\n- (i) any other person or entity with respect to whom the Producing Party may consent in writing or on the record at a deposition.\n\n11. Designated Material To Be Disclosed Only In Accordance With Paragraphs 9 and 10: Highly Confidential Material, and any and all information contained therein, shall not be given, shown, made available to, disclosed, or communicated in any way, except to those people provided in Paragraph 10 of this Order. Confidential Material, and the substantive information contained therein, shall not be given, shown, made available to, disclosed, or communicated in any way, except to those people provided in Paragraph 9 of this Order.\n\n12. Prerequisite to Disclosure of Designated Material: Before any person or their representative identified in Paragraph 10(b), 10(d), 10(h) or 10(i) hereof is given access to Designated Material, such person or their representative shall be provided with a copy of this Order and shall execute Exhibit A annexed hereto. Each such executed Exhibit A shall be retained in the files of counsel for the Party who gave access to the Designated Material to the person who was provided such access. A copy of such executed Exhibit A for representatives identified in Paragraphs 10(a)(ii), 10(d), 10(h) and 10(i), but not for representatives identified in Paragraph 10(b), shall be provided to the Producing Party. Such executed Exhibit A for representatives identified in Paragraph 10(b) shall not be subject to disclosure under the Federal\n\n*[Link-to-previous setting changed from off in original to on in modified.].*\n\nRules or the Bankruptcy Rules unless a showing of good cause is made and the Court so orders. For the avoidance of doubt, an Exhibit A may be executed on behalf of an organization for any representative identified in Paragraph 10(b) rather than requiring each relevant individual at that organization to execute Exhibit A.\n\n13. Sealing of Designated Material Filed With Or Submitted To Court: Unless otherwise agreed by the Producing Party, all Designated Material filed with the Court, and all portions of pleadings, motions, or other papers filed with the Court that disclose Highly Confidential or Confidential Material, shall be filed under seal in accordance with the Federal Rules, the Bankruptcy Rules, the Local Rules, and the individual practice rules of the Court, except that a Party may, at its option, file redacted pleadings containing the Designated Material so long as such portions of the pleadings concerning the Designated Material have been redacted, and such redacted pleading is also filed pursuant to Local Rule 9077-1. If the sealing of these materials is challenged by any party, the Producing Party shall bear the burden of defending such sealing. The filing of any materials under seal pursuant to this paragraph shall not be construed as an admission that the materials are entitled to confidentiality under this Protective Order or under applicable law and shall not waive any party's rights to challenge such designation or sealing at a later time.\n\n14. Use of Discovery Material in Open Court: The limitations on disclosure in this Order shall not apply to any Discovery Materials offered or otherwise used by any Party at trial or any hearing held in open court except as provided in this paragraph. Whenever practicable, as part of any pretrial conference or any meet and confer regarding the use of exhibits in any evidentiary hearing, or if not practicable prior to the use of any Designated Material at trial or any hearing to be held in open court, counsel for any Party who desires to offer or use such Designated Material at trial or any hearing to be held in open court shall meet and confer in good faith with the\n\nProducing Party to discuss ways to redact the Designated Material so that the material may be offered or otherwise used by any party, in accordance with the provisions of the Bankruptcy Code and Bankruptcy Rules. If the Parties are unable to resolve a dispute related to such Designated Material, the Producing Party shall bear the burden of requesting appropriate relief from the Court. Until the Court rules on such an issue, the Designated Material shall continue to be treated according to its designation and in accordance with the terms of this Order.\n\n#### **Depositions and Rule 2004 Examinations**\n\n15. Deposition and Rule 2004 Examination Testimony - Manner Of Designation: In the case of depositions, if counsel for a Party believes that a portion of the testimony given at a deposition should be Designated Material of such Party, such testimony may be designated as appropriate by: (a) stating so orally on the record and requesting that only the relevant portion(s) of testimony is so designated; or (b) providing written notice within ten (10) days of the Party's receipt of the final transcript from the court reporter that only the relevant portion(s) of such transcript or recording of a deposition thereof is so designated, except in the event that a hearing on related issues is scheduled to occur within ten (10) days of receipt of the final transcript, in which case the foregoing ten (10) day period will be reduced to five (5) business days. Where a hearing or pleading deadline on related issues is scheduled to occur in such close proximity to a deposition that a five business day period is not practical, the entirety of the transcript shall be designated as Designated Material for purposes of use at the hearing or with the pleading and the ten (10) day period described above shall then apply for further designation. Until expiration of the aforesaid designation period, as applicable, following receipt of the final transcript by the Parties, all deposition transcripts and recordings shall be considered and treated as Highly Confidential unless otherwise specified by counsel to any Party on the record at the deposition.\n\n16. Designated Material Used As Exhibits During Depositions: Nothing in Paragraph 15 shall apply to or affect the confidentiality designations on Discovery Material entered as exhibits at depositions.\n\n17. Witness Review of Deposition Testimony: Nothing in Paragraph 15 hereof shall preclude the witness from reviewing his or her deposition transcript.\n\n18. Presence of Persons During Deposition Testimony: When Designated Material is elicited during a deposition, persons not entitled to receive such information under the terms of this Order shall, upon request, be excluded from the portion of the deposition so designated. After such exclusion from the portion of any deposition containing Designated Material, if such persons wish to receive written or other recordings of the deposition testimony containing Designated Material, such persons must become a Party to this Order, with the receipt of such Designated Material subject to the Producing Party's consent, not to be unreasonably withheld.\n\n19. Responsibilities And Obligations Of Court Reporters: In the event that testimony is designated as Confidential or Highly Confidential, the court reporter, who shall first have agreed to abide by the terms of this paragraph, shall be instructed to include on the cover page of each such transcript the legend, \"This transcript portion contains information subject to a Protective Order and shall be used only in accordance therewith,\" and each page of the transcript shall include the legend \"Confidential\" or \"Highly Confidential,\" as appropriate. If the deposition is recorded, the recording shall also be subject to the same level of confidentiality as the transcript and include the legend \"Confidential\" or \"Highly Confidential,\" as appropriate, if any portion of the transcript itself is so designated. The questioning Party at any deposition shall, prior to the commencement of the deposition, request that the court reporter agree to maintain the confidentiality of all Designated Material introduced at the deposition. Each questioning attorney at a deposition shall distribute copies of Designated Material used as exhibits only to those Parties permitted to receive said Designated Material in accordance with the terms of this Order.\n\n#### **General Provisions**\n\n20. Unless otherwise agreed by the Parties or ordered by the Court, all deadlines and time periods herein shall be computed pursuant to Bankruptcy Rule 9006.\n\n21. This Order is a procedural device intended to protect Discovery Materials designated as Designated Material. Nothing in this Order shall affect any Party's rights or obligations unrelated to the confidentiality of Discovery Materials.\n\n22. For the purposes of this Order, \"writing\" shall include electronic mail.\n\n23. Nothing contained herein shall be deemed a waiver or relinquishment by any Party of any objection, including, but not limited to, any objection concerning the alleged confidentiality or proprietary nature of any documents, information, or data requested by a Party; any right to object to any discovery request; any right to object to the admissibility of evidence on any ground; any right to seek any further protective order; or any right to seek relief from the Court or any other applicable court from any provision of this Order by application on notice on any grounds.\n\n24. Unauthorized Disclosure Of Designated Material: In the event of a disclosure by a Receiving Party of Designated Material to persons or entities not authorized by this Order to receive such Designated Material, the Receiving Party making the unauthorized disclosure shall, upon learning of the disclosure: immediately notify the person or entity to whom the disclosure was made that the disclosure contains Designated Material subject to this Order; immediately make reasonable efforts to recover or destroy the disclosed Designated Material as well as preclude further dissemination or use by the person or entity to whom the disclosure was made; and immediately notify the Producing Party of the identity of the person or entity to whom the disclosure was made, the circumstances surrounding the disclosure, and the steps taken to recover or destroy the disclosed Designated Material and ensure against further dissemination or use thereof. Disclosure of Designated Material other than in accordance with the terms of this Order may subject the disclosing person to such sanctions and remedies as the Court may deem appropriate.\n\n25. Manner Of Objecting To Designated Material: If any Receiving Party objects to the designation of any Designated Material, the Receiving Party shall first raise the objection with the Producing Party in writing, and confer in good faith to attempt to resolve any dispute respecting the terms or operation of this Order. The Receiving Party may seek relief from the Court if the Receiving Party and the Producing Party cannot resolve their dispute. Until the Court rules on such an issue, the Designated Material shall continue to be treated according to its designation. Upon motion, the Court may order the removal of the \"Confidential\" or \"Highly Confidential\" designation from any Discovery Material so designated that is subject to the provisions of this Order.\n\n26. Timing Of Objections To Designated Material: A Receiving Party shall not be obliged to challenge the propriety of a \"Confidential\" or \"Highly Confidential\" designation at the time made, and a failure to do so shall not preclude a subsequent challenge thereto. The failure of any Party to challenge the designation by a Producing Party of Discovery Materials as \"Confidential\" or \"Highly Confidential\" during the discovery period shall not be a waiver of that Party's right to object to such designation at an evidentiary hearing or at trial.\n\n27. Production Of Privileged Discovery Material: Pursuant to Rule 502(d) of the Federal Rules of Evidence, if a Producing Party inadvertently produces materials that the Producing Party later claims in good faith should not have been produced because of a privilege,\n\n15\n\nincluding but not limited to the attorney-client privilege, or other protection, such as work-product protection, the production of that material shall not be deemed to constitute the waiver of any applicable privileges or protections. In such circumstances, when the Producing Party becomes aware that privileged or protected material was produced, it must notify the Receiving Party and request, at the Producing Party's election, either the return or the destruction of the produced material. Within three (3) business days after receiving such notification, the Receiving Party shall, as instructed, return or destroy and confirm destruction of all such produced material, including all copies, notes, and/or summaries thereof in any Receiving Party work product. The Receiving Party shall not use the contents of such material for any purpose, including in connection with any effort seeking to compel production of the produced material. The Receiving Party must take reasonable steps to retrieve the produced material if the Receiving Party disclosed it before being notified. Such return or destruction and confirmation of destruction shall not preclude the Receiving Party from seeking to compel production of the produced material for reasons other than its production. Moreover, this Order shall not prevent any Party from challenging the designation of such material as privileged or protected and moving to compel production of allegedly privileged or protected documents.\n\n28. Challenging Privilege Determinations: The Receiving Party shall not be obliged to challenge the propriety of privilege determinations at the time asserted, and a failure to do so shall not preclude a subsequent challenge thereto. If the Receiving Party wishes to challenge one or more of the privilege designations made by the Producing Party, the Parties shall first meet and confer in a good faith effort to resolve any dispute concerning any challenged privilege designations. If the Parties are unable to agree on the appropriateness of one or more privilege designations, the Party challenging the privilege designations may present such dispute to the\n\nCourt. Neither Party shall contend that the meet and confer process set forth in this paragraph constitutes a waiver of attorney-client privilege or attorney work product for any document claimed to be protected from disclosure. Notwithstanding anything set forth in this Order, no provision herein, including this paragraph 28, shall supplant or supersede any provision set forth in that certain *Consent Order Regarding Control of Attorney-Client Privilege and Work Product Protection Related to Rule 2004 Subpoenaed Documents and Information,* [Docket No. 856].\n\n29. Use Of Non-Discovery Material: To the extent that any Party has documents or information that would otherwise constitute Discovery Material that (i) are received or become available to a Party through lawful means and on a non-confidential basis not in violation of an obligation of confidentiality to any other person; (ii) were independently developed by such Party without violating its obligations hereunder; or (iii) are published or become publicly available in a manner that is not in violation of this Order or of any obligation of confidentiality to any other person, including a Party (collectively \"Non-Discovery Material\"), nothing in this Order shall limit a Party's ability to use Non-Discovery Material for any purpose, including in a deposition, hearing, trial, or otherwise in connection with any Dispute or this Chapter 11 Case.\n\n30. Continuing Applicability Of Confidentiality Agreement And Protective Order: The provisions of this Order shall survive the final termination of the Disputes and the Debtor's emergence from bankruptcy for any retained Discovery Material. The final termination of the Disputes and the Debtor's emergence from bankruptcy shall not relieve counsel or other persons obligated hereunder from their responsibility to maintain the confidentiality of Discovery Material pursuant to this Order, and the Court shall retain jurisdiction to enforce the terms of this Order.\n\n31. Amendment Of Confidentiality Agreement And Protective Order: Upon good cause shown, and on notice to all Parties, any Party may move to amend the provisions of this Order at any time or a Producing Party and the Trustee may jointly agree by written stipulation, subject to further order of the Court if applicable, to amend the provisions of the Order with respect to Discovery Material produced by that Producing Party.\n\n32. Disclosure Of Discovery Material In Other Proceedings: Any Receiving Party that may be subject to a motion or other form of legal process or any regulatory process, demand, or request seeking the disclosure of a Producing Party's Discovery Material: (i) shall, as soon as reasonably practicable, notify the Producing Party (unless such notice is prohibited by applicable law) to enable it to have an opportunity to appear and be heard on whether that information should be disclosed; and (ii) in the absence of a court order preventing such legally required disclosure, the Receiving Party shall be permitted to disclose only that portion of the information that is legally required to be disclosed and shall inform in writing any person to whom such information is so disclosed of the confidential nature of such information.\n\n33. Use Of Discovery Material By Producing Party: Nothing in this Order affects the right of any Producing Party to use or disclose its own Discovery Material in any way. Such disclosure, other than publicly filing its own Discovery Material, will not waive the protections of this Order and, subject to Paragraph 29, will not otherwise entitle other Parties, non-Parties, or their attorneys to use or disclose such Discovery Material in violation of this Order.\n\n34. Obligations Of Parties: Nothing herein shall relieve a Party of its obligations under the Federal Rules, Bankruptcy Rules, Local Rules, or under any future stipulations and orders, regarding the production of documents or the making of timely responses to Discovery Requests in connection with any Dispute.\n\n35. Advice Of Counsel: Nothing herein shall prevent or otherwise restrict counsel from rendering advice to their clients in connection with the Disputes and, in the course thereof, relying\n\n18\n\n### Case 22-50073 Doc 3264-2 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 19 of 22\n\non examination of Discovery Material; provided, however, that in rendering such advice and otherwise communicating with such clients, counsel shall not make specific disclosure of any information in any manner that is inconsistent with the restrictions or procedures set forth herein.\n\n36. Prior Agreements: The provisions and requirements of this Order shall provide the exclusive means for the exchange and use of Designated Material produced in connection with any Disputes.\n\n37. Enforcement: The provisions of this Order constitute an Order of this Court and violations of the provisions of this Order are subject to enforcement and the imposition of legal sanctions in the same manner as any other Order of the Court.\n\n38. Pursuant to 11 U.S.C. § 107(c)(3), the United States Trustee has a presumptive statutory right of full access to any information and/or document filed on the docket or submitted to the Court in this case, and consistent therewith the United States Trustee reserves all rights to seek access to any documents submitted or filed under seal. The United States Trustee shall comply with the obligations of 11 U.S.C. § 107(c)(3)(B).\n\n**IT IS SO ORDERED** at Bridgeport, Connecticut this 6th\\_\\_\\_\\_ day of October, 2022\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_, 2024.\n\n> Julie A. Manning, United States Bankruptcy Judge\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n# **Exhibit A**\n\n**Declaration**\n\n*[Link-to-previous setting changed from off in original to on in modified.].*\n\n22\n\n*[Different first page setting changed from on in original to off in modified.].*\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n|              | x      |                         |\n|--------------|--------|-------------------------|\n|              | :      |                         |\n| In re:       | :      | Chapter<br>11           |\n|              | :      |                         |\n| HO WAN KWOK, | :      | Case No. 22-50073 (JAM) |\n| Debtor.1     | :<br>: |                         |\n|              | :      |                         |\n|              | x      |                         |\n\n# **DECLARATION OF ACKNOWLEDGEMENT AND AGREEMENT TO BE BOUND BY PROTECTIVE ORDER**\n\nI, declare under penalty of perjury (this \"Declaration\") that:\n\n- 1. My address is\n- 2. My present employer is .\n\n3. My present occupation or job description is .\n\n4. I hereby certify and agree that I have read and understand the terms of the Protective Order (the \"Order\") entered on , 2022 in *In re: Ho Wan Kwok*, Case No. 22-5007322-50073 (JAM), in the United States Bankruptcy Court for the District of Connecticut. All capitalized terms not otherwise defined in this Declaration have the meanings ascribed to such terms in the Order. I further certify that I will not use Designated Material for any purpose other than the Chapter 11 Case, and will not disclose or cause Designated Material to be disclosed for any purpose other than the Chapter 11 Case, and\n\n<span id=\"page-20-0\"></span> <sup>1</sup> Although the Debtor's legal name is Ho Wan Kwok, he is also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases. The last four digits of the Debtor's taxpayer identification number are 9595.\n\n*<sup>[</sup>Different first page setting changed from on in original to off in modified.]. [Link-to-previous setting changed from off in original to on in modified.].*\n\nwill not disclose or cause Designated Material to be disclosed to anyone not expressly permitted by the Order to receive Designated Material. I agree to be bound by the terms and conditions of the Order.\n\n- 5. I understand that I am to retain in confidence from all individuals not expressly permitted to receive Designated Material, whether at home or at work, all copies of any Designated Material, and that I will carefully maintain such materials in a manner consistent with the Order. I acknowledge that the return or destruction of Designated Material shall not relieve me from any other continuing obligations imposed upon me by the Order.\n- 6. I acknowledge and agree that I am aware that by receiving Designated Material:\n\t- a. I may be receiving material nonpublic information about companies that issue securities; and\n\t- b. There exist laws, including federal securities laws, that may restrict or prohibit the sale or purchase of securities of such companies as a result of the receipt of such information.\n\n7. I stipulate to the jurisdiction of this Court solely with respect to the provisions of the Order.\n\nDate:\n\nSignature:\n\n*[Different first page setting changed from on in original to off in modified.]. [Link-to-previous setting changed from off in original to on in modified.].*","body_zh":"[原件中首页不同设置已由“关闭”改为“开启。]\n\n美国康涅狄格联邦破产法院布里奇波特分院（UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION）\n\nx\n\n关于：　：　第 章\n\nHO WAN KWOK（郭文贵），　：\n：　案号 22-50073 (JAM)\n债务人。1　：\n：　关于 ECF No. 874\n\nx\n修改后的保护令\n\n本保护令（“本令”）由以下各方订立：(a) Luc Despins，作为经指定管理债务人财产的第11章受托人（“受托人”）；以及 (b) 通过签署本令附件A表示同意而受本令约束的任何其他个人或实体。前述(a)和(b)项所列的每一名个人或实体在本文中单独称为“一方”，合称为“各方”。[2] 本令依据 11 U.S.C. § 107(b) 和《联邦破产程序规则》（“破产规则”）第9018条订立；并在适用情况下，依据《破产规则》第7026条和第9014条以及《联邦民事诉讼规则》（“联邦规则”）第26(c)条订立。\n\n1 尽管债务人的法定姓名为 Ho Wan Kwok（郭文贵），其亦称 Guo Wengui、Miles Guo 和 Miles Kwok，以及众多其他别名。债务人纳税人识别号的后四位为9595。\n\n2 “一方”的指定仅为在本令中引用之目的。\n\n鉴于\n\n鉴于，债务人已在本院根据美国法典第11编第11章，即 U.S.C. §§ 101-1532（“破产法典”），提交自愿申请书（该申请书所启动的案件称为“第11章案件”）；且本院现有或可能有依据《破产法典》产生，或在第11章案件中产生或与之相关的司法程序或其他程序，包括但不限于调查、争议事项、对抗程序及其他争议（单称“一项争议”，合称“各项争议”）；\n\n鉴于，本院依据 11 U.S.C. § 1104(d)，通过准许美国受托人提出的批准指定第11章受托人的命令申请，授权指定该受托人；\n\n鉴于，各方已经或可能就一项或多项争议相互寻求某些证据开示材料（定义见下文），包括通过非正式或正式请求、Rule 2004 通知或动议，或依照《联邦规则》《破产规则》及美国康涅狄格联邦破产法院（United States Bankruptcy Court for the District of Connecticut）地方破产程序规则（“地方规则”）送达文件请求、书面质询、证言录取、传票及其他证据开示请求（合称“证据开示请求”）；以及\n\n鉴于，各方预计，在第11章案件进行期间，除本令各方外，可能还有某些个人或实体会就一项或多项争议提出或收到证据开示请求；\n\n因此，为便利并加快证据开示材料的出示、交换和处理，并保护一方寻求作为保密材料或高度保密材料（定义见下文）予以保密的证据开示材料，现经同意，并经本院批准后，现命令下列条款适用于对证据开示材料（定义见下文）的任何请求、出示及处理：\n\n本令的范围\n\n1. 本令适用于一方（各称“出示方”）向任何其他一方（各称“接收方”）在本第11章案件及本院审理的相关争议中正式或非正式披露或交换的所有信息和文件，无论是在提交争议事项或对抗程序之前或之后、在听证会前交换证物时，及/或为回应或关联任何证据开示请求而进行，包括但不限于：证言录取证词（无论基于口头询问还是书面问题）；书面质询；对书面质询的答复；承认请求；对承认请求的答复；所出示的文件、信息和物品，以及其任何及全部副本、摘录、摘要、笔记、概述和节选（合称“证据开示材料”）。证据开示材料包括《破产规则》和《联邦规则》所设想的纸质文件和电子存储信息，包括但不限于储存在任何媒介中的文字、图纸、图表、图示、照片、录音、图像、数据或数据汇编、证词、证物、证据开示答复及所有其他表达媒介。\n\n2. 本令不影响、修订或修改适用于任何出示方及/或接收方的任何现有保密协议或保护令，且本令中的任何内容均不构成对该等协议或命令项下任何权利的放弃。\n\n3. 为免疑义，本令中的任何内容——包括一方为本令一方这一事实——均不赋予或意图赋予任何一方或非当事人出于任何目的取得任何证据开示材料的权利，包括与任何争议有关的目的。\n\n4. 在不影响出示方根据本令第9、10和18段所享有权利的前提下，经受托人同意，任何签署附件A并向受托人交付副本的非当事人，应被视为本令的一方，并享有和承担本令签署方的所有权利和义务。为进一步免除任何疑义，签署附件A后成为“一方”的表述仅为本令之目的，并非意图反映就该方作为诉讼当事人的地位达成任何协议。\n\n证据开示材料的指定\n\n5. 任何出示方均可根据下列规定，将证据开示材料指定为“保密材料”或“高度保密材料”（任何如此指定的证据开示材料称为“指定材料”）：\n\n(a) 保密材料：如出示方合理相信：(i) 该等证据开示材料(A)构成或包含根据《破产规则》或《联邦规则》应受保护的非公开专有或保密技术、商业、财务、个人或其他性质的信息，或(B)依法或依合同受具有法律保护的隐私权约束；或 (ii) 出示方(A)对第三方负有将该等证据开示材料作为保密材料处理的既有义务，或(B)另一方或非当事人基于该另一方或非当事人认为该等证据开示材料包含对其而言属保密或专有的信息，而合理请求如此指定该等证据开示材料，则出示方可将该等证据开示材料指定为“保密”。\n\n(b) 高度保密材料：如出示方合理相信（或就从他人处收到的文件而言，已由该他人合理告知）该等证据开示材料具有如下性质：如向本令第10段所列人员以外的人披露，将造成个人安全、身份盗窃或竞争损害风险，例如地址或其他敏感个人身份识别信息、商业秘密、敏感财务或商业信息，或由一方的行业顾问、财务顾问、会计顾问、专家或其顾问（及其各自工作人员）编制的材料，则出示方可将该等证据开示材料指定为“高度保密”。尽管本令有任何相反规定，金融机构为记录账户余额和交易而制作的账户对账单、ACH 和电汇转账记录、支票副本及类似记录（合称“银行对账单”）并不造成足以证明对被指定为“高度保密”的证据开示材料适用更严格限制具有正当性的个人安全、身份盗窃或竞争损害风险。除非法院另有命令，银行对账单不得依本令指定为“高度保密”。\n\n(c) 由另一方指定：任何一方均可依照第5(a)和5(b)段将任何证据开示材料指定为保密或高度保密，无论该方是否为最初披露或交换该证据开示材料的一方；在该情形下，\n\n案件 22-50073 文件 3264-2 已提交 06/20/24 已录入 06/20/24 12:01:13 第 6 页，共 22 页\n\n就该等证据开示材料而言，指定方应为出示方。\n\n(d) 未指定材料：在遵守各方根据本令第7、8和34段所享有的权利和承担的义务的前提下，任何一方均无义务或责任将并非指定材料的任何证据开示材料（“未指定材料”）作为保密材料保管，或防止其被披露，除非该方实际知悉该证据开示材料的标的此前已依本令或任何其他保护令被指定为保密或高度保密。\n\n6. 指定证据开示材料的方式：在合理可行的情况下，任何指定材料均应由出示方通过在每一页上酌情标注“保密”或“高度保密”的方式作出指定。该等标注不应抹除或遮蔽所出示材料的内容。在对该等材料的每一页进行标注并非合理可行的情况下，例如对于某些原生文件，出示方可在出示该等材料时以清楚、显著的方式告知接收方该材料为“保密”或“高度保密”，从而将其指定为“保密”或“高度保密”；例如，在适用情况下，可将该指定载入文件名及/或所出示的 Relativity（或其他文件审查平台）加载文件中。根据一项约定而在本令签署前出示的证据开示材料，如该约定规定该等证据开示材料将作为“保密”或“高度保密”材料处理，则即使该等证据开示材料未带有该等标注，仍应依本令作为“保密”或“高度保密”材料处理。\n\n案件 22-50073 文件 3264-2 已提交 06/20/24 已录入 06/20/24 12:01:13 第 7 页，共 22 页\n\n7. 对发现材料的迟延指定：未在提交时将特定发现材料指定为“保密”或“高度保密”，不应视为放弃提供方日后将该等发现材料指定为指定材料，或根据本命令日后适用另一指定的权利（“错误指定材料”）。届时，应作出安排销毁错误指定材料，或将错误指定材料的全部副本返还提供方，并在适当情况下以贴有正确标签的该等发现材料副本予以替换。收到带有正确指定的错误指定材料替换副本后，接收方应采取一切合理措施返还或销毁此前提交的该等错误指定材料的全部副本。如提供方要求，接收方应书面确认其已采取一切合理措施返还或销毁该等错误指定材料。如在收到任何日后指定通知之前，该等发现材料以符合其原始指定但不符合其日后指定的任何方式被披露或使用，任何一方均不应被视为违反本命令。然而，一旦作出该等日后指定，任何发现材料均应按照该日后指定处理；但前提是，如在作出日后指定时，未被指定的材料此前已向法院公开提交，除非法院应未作出指定的一方之动议另行裁定，任何一方均不受该等日后指定的约束。\n\n保密或高度保密材料的使用和披露\n\n8. 对所有发现材料使用和披露的一般限制：所有发现材料应由受托人为履行其在《破产法》及本案任命命令项下的职责和责任而使用，和/或由其他接收方仅在本院内为争议事项或本第11章案件之目的而使用，不得用于任何其他目的，亦不得在任何其他法庭中使用，包括任何并非争议事项且与本第11章案件无关的其他诉讼或司法程序，或任何商业、竞争、政府、商业经营或行政目的或职能。\n\n9. 保密材料：保密材料及其中包含的任何和全部信息，仅可给予、出示、提供或传达给下列人员：\n\n(a) 受托人；\n\n(b) 已签署附件A并向受托人交付其副本的任何一方，但须经提供方同意，且该同意不得被无理拒绝。为免生疑问，就根据第9、10及18段同意或拒绝同意接收或审阅指定材料而言，提供方包括以下范围内的个人或实体：(i) 由该个人或实体的现任或前任专业机构提交的文件；以及(ii) 由与该个人或实体账户有关的金融机构提交的文件；以及\n\n(c) 下文第10段规定的任何其他人员。\n\n10. 高度保密材料：高度保密材料及其中包含的任何和全部信息，仅可给予、出示、提供或传达给下列人员：\n\n(a) 下列人员的律师及在该等律师明确指示下工作的人员：\n\n(i) 受托人；\n\n(ii) 债权人委员会；\n\n(iii) 已签署附件A并向受托人交付副本的任何一方，但须经提供方同意，且该同意不得被无理拒绝；以及\n\n(b) 根据《破产法》第328条和第1103条聘用的专业人员，以及由本命令签署人或已签署附件A的一方就争议事项或本第11章案件聘用的行业顾问、财务顾问、会计顾问、专家及顾问（及其各自的工作人员），但后者须经提供方同意，且该同意不得被无理拒绝；\n\n(c) 文件表面显示为其作者、收件人或抄送收件人、实际或预定收件人的任何人，或就会议纪要而言，出席该会议的人员；\n\n(d) 在证言录取过程中，对方律师合理认为就该文件询问证人属必要，且不会因此造成竞争性或个人损害的任何对方证人；但前提是，证言笔录的相关部分本身被指定为高度保密，证人不得保留该文件的副本，相关证言录取证物被指定为高度保密，并须遵守第12段；\n\n(e) 为就争议事项或本第11章案件使用所必需的外部复印、图文制作服务或诉讼支持服务；\n\n(f) 为争议事项或本第11章案件记录证言录取或其他证词的法庭记录员、速记员或摄像人员；\n\n(g) 因争议事项或本第11章案件可能产生的任何司法程序中的本院、其官员及书记员工作人员；\n\n(h) 就争议事项或本第11章案件聘用的任何调解员及其工作人员；以及\n\n(i) 经提供方书面同意或在证言录取记录中同意的任何其他个人或实体。\n\n11. 指定材料仅可依照第9和10段披露：高度保密材料及其中包含的任何和全部信息，除本命令第10段规定的人员外，不得以任何方式给予、出示、提供、披露或传达。保密材料及其中包含的实质性信息，除本命令第9段规定的人员外，不得以任何方式给予、出示、提供、披露或传达。\n\n12. 披露指定材料的前提条件：在向本文件第10(b)、10(d)、10(h)或10(i)段所列的任何人员或其代表提供指定材料查阅权限之前，应向该人员或其代表提供本命令副本，并应签署随附的附件A。每份如此签署的附件A应保存在向获得该等查阅权限的人员提供指定材料查阅权限的一方律师的档案中。第10(a)(ii)、10(d)、10(h)及10(i)段所列代表（但不包括第10(b)段所列代表）签署的该等附件A副本，应提供给提供方。第10(b)段所列代表签署的该等附件A，除非证明具有正当理由且本院作出命令，否则不应根据《联邦规则》或《破产规则》而受制于披露。为免生疑问，附件A可由某一组织代表第10(b)段所列的任何代表签署，而无需该组织内每一相关个人均签署附件A。\n\n13. 向法院提交或呈交的指定材料的密封：除非提供方另有同意，向本院提交的所有指定材料，以及向本院提交的披露高度保密或保密材料的诉状、动议或其他文书的所有部分，均应依照《联邦规则》《破产规则》、地方法院规则及本院个别审判规则密封提交；但一方可自行选择提交含有指定材料的经删节诉状，条件是该诉状中涉及指定材料的部分已被删节，且该经删节诉状亦依照地方法院规则9077-1提交。如任何一方对该等材料的密封提出异议，提供方应承担维护该等密封的举证责任。根据本段密封提交任何材料，不应被解释为承认该等材料根据本保护令或适用法律有权获得保密待遇，亦不应放弃任何一方日后对该等指定或密封提出异议的权利。\n\n14. 在公开法庭中使用发现材料：除本段规定外，本命令中对披露的限制不适用于任何一方在审判中提出或以其他方式使用的任何发现材料，或在公开法庭举行的任何听证中提出或以其他方式使用的任何发现材料。在任何审前会议中，或在就任何证据听证会中使用证物进行协商时，或如在审判或将在公开法庭举行的任何听证中使用任何指定材料之前进行协商不可行，则希望在审判或将在公开法庭举行的任何听证中提出或使用该等指定材料的任何一方律师，应在可行情况下本着诚信与提供方协商，讨论删节指定材料的方式，以便任何一方可依照《破产法》和《破产规则》的规定提出或以其他方式使用该材料。如各方无法解决与该等指定材料有关的争议，提供方应承担向本院请求适当救济的责任。在本院就该问题作出裁定之前，指定材料应继续按照其指定并依照本命令的条款处理。\n\n证言录取和规则2004审查\n\n15. 证言录取和规则2004审查证词——指定方式：就证言录取而言，如一方律师认为在证言录取中作出的部分证词应为该方的指定材料，可通过以下适当方式指定该等证词：(a) 在记录中口头声明，并请求仅将相关证词部分作此指定；或(b) 在该方自法庭记录员收到最终笔录之日起十（10）日内提供书面通知，仅将该笔录或其证言录取录音的相关部分作此指定；但如相关问题的听证会被安排在收到最终笔录后十（10）日内举行，则前述十（10）日期限缩短为五（5）个工作日。如就相关问题的听证会或诉状提交期限安排得与证言录取时间过于接近，以致五个工作日期限不可行，则为在该听证会中或随该诉状使用之目的，笔录全文应被指定为指定材料，其后适用上述十（10）日期限以作进一步指定。在各方收到最终笔录后，在适用的前述指定期限届满前，所有证言录取笔录和录音均应被视为并作为高度保密材料处理，除非任何一方律师在证言录取中于记录上另有说明。\n\n16. 在证言录取期间作为证物使用的指定材料：第15段中的任何规定均不适用于或影响在证言录取中作为证物列入的发现材料的保密指定。\n\n17. 证人审阅证言录取证词：本文件第15段中的任何规定均不妨碍证人审阅其证言录取笔录。\n\n18. 证言录取期间人员的在场：在证言录取过程中引出指定材料时，根据本命令条款无权接收该等信息的人员，应请求被排除在被如此指定的证言录取部分之外。在该等人员被排除在包含指定材料的任何证言录取部分之外后，如其希望接收包含指定材料的书面或其他录音记录，其必须成为本命令的一方当事人；接收该等指定材料须经提供方同意，且该同意不得被无理拒绝。\n\n19. 法院速记员的责任与义务：如证言被指定为“保密”或“高度保密”，法院速记员应事先同意遵守本款条款，并应被指示在每份该等笔录的封面页上载明如下说明：“本笔录部分包含受保护令约束的信息，并仅可依照该保护令使用”，且笔录的每一页均应视情况载明“保密”或“高度保密”的说明。如对证言录取进行了录音，且笔录本身的任何部分被如此指定，则该录音亦应受与笔录相同级别的保密约束，并视情况载明“保密”或“高度保密”的说明。任何证言录取中的提问方应在证言录取开始前，请求法院速记员同意对在该证言录取中提交的所有指定材料予以保密。证言录取中的每名提问律师仅应向根据本命令条款获准接收该等指定材料的当事方分发作为证物使用的指定材料副本。\n\n一般规定\n\n20. 除非当事方另有约定或法院另有命令，本命令项下的所有截止日期和期间均应根据 Bankruptcy Rule 9006 计算。\n\n21. 本命令是一项旨在保护被指定为指定材料的证据开示材料的程序性措施。本命令的任何内容均不影响任何当事方与证据开示材料保密性无关的权利或义务。\n\n22. 就本命令而言，“书面”包括电子邮件。\n\n23. 本命令所载任何内容均不应被视为任何当事方对任何异议的放弃或弃权，包括但不限于对任何当事方所请求的任何文件、信息或数据据称具有保密性或专有性质的任何异议；对任何证据开示请求提出异议的任何权利；以任何理由对证据可采性提出异议的任何权利；寻求任何进一步保护令的任何权利；或以任何理由经通知提出申请，请求法院或任何其他适用法院免除本命令任何条款的任何权利。\n\n24. 未经授权披露指定材料：如接收方将指定材料披露给本命令未授权接收该等指定材料的个人或实体，作出未经授权披露的接收方在知悉该披露后，应当：立即通知被披露对象，该披露包含受本命令约束的指定材料；立即作出合理努力，收回或销毁已披露的指定材料，并防止被披露对象进一步传播或使用该等材料；以及立即通知提供方被披露对象的身份、披露相关情形，以及为收回或销毁已披露的指定材料并确保其不被进一步传播或使用而采取的措施。以不符合本命令条款的方式披露指定材料，可能使披露人受到法院认为适当的制裁和救济。\n\n25. 对指定材料提出异议的方式：如任何接收方对任何指定材料的指定提出异议，该接收方应首先以书面形式向提供方提出异议，并本着诚信进行协商，以尝试解决有关本命令条款或执行的任何争议。如接收方与提供方无法解决其争议，接收方可向法院寻求救济。在法院就该问题作出裁定之前，指定材料应继续依其指定方式处理。经动议，法院可命令撤销受本命令条款约束的任何被如此指定的证据开示材料上的“保密”或“高度保密”指定。\n\n26. 对指定材料提出异议的时限：接收方无义务在作出“保密”或“高度保密”指定时质疑其适当性，未如此做不妨碍其后对此提出质疑。任何当事方未在证据开示期间对提供方将证据开示材料指定为“保密”或“高度保密”提出质疑，不构成该当事方放弃其在证据听证或审判中反对此类指定的权利。\n\n27. 享有特权的证据开示材料的提供：根据 Federal Rules of Evidence Rule 502(d)，如提供方无意中提供了其后经诚信主张因享有特权，包括但不限于律师—当事人特权，或因受到其他保护，例如工作成果保护，而不应被提供的材料，提供该等材料不应被视为构成对任何适用特权或保护的放弃。在该等情形下，提供方一旦知悉已提供享有特权或受保护的材料，必须通知接收方，并由提供方选择请求返还或销毁已提供的材料。接收方应在收到该通知后三（3）个工作日内，依指示返还或销毁并确认销毁所有该等已提供材料，包括任何接收方工作成果中该等材料的所有副本、笔记和/或摘要。接收方不得为任何目的使用该等材料的内容，包括与任何寻求强制提供已提供材料的努力有关的目的。如接收方在收到通知前已披露该等材料，接收方必须采取合理措施取回该等材料。该等返还或销毁及对销毁的确认，不妨碍接收方基于该材料被提供以外的理由寻求强制提供该材料。此外，本命令不得阻止任何当事方质疑该等材料被指定为享有特权或受保护，并提出动议要求强制提供据称享有特权或受保护的文件。\n\n28. 对特权认定提出质疑：接收方无义务在提出特权主张时质疑特权认定的适当性，未如此做不妨碍其后对此提出质疑。如接收方希望质疑提供方作出的一项或多项特权指定，当事方应首先本着诚信进行会面和协商，以解决有关任何被质疑特权指定的任何争议。如当事方无法就一项或多项特权指定的适当性达成一致，对特权指定提出质疑的当事方可将该争议提交法院。任何一方均不得主张，本款规定的会面和协商程序构成对任何主张免于披露保护的文件之律师—当事人特权或律师工作成果保护的放弃。尽管本命令载有任何规定，本命令任何条款，包括本第28款，均不得取代或超越《Consent Order Regarding Control of Attorney-Client Privilege and Work Product Protection Related to Rule 2004 Subpoenaed Documents and Information》（关于与根据规则2004传唤的文件和信息有关的律师—当事人特权及工作成果保护控制的同意命令）[Docket No. 856] 所载的任何条款。\n\n29. 非证据开示材料的使用：如任何当事方持有的文件或信息本应构成证据开示材料，但该等文件或信息：（i）通过合法方式且在不违反对任何其他人承担的保密义务的情况下，以非保密方式被该当事方接收或可供其获得；（ii）由该当事方在不违反其在本命令项下义务的情况下独立开发；或（iii）以不违反本命令或对任何其他人（包括当事方）承担的任何保密义务的方式公开或成为公开可得的信息（合称“非证据开示材料”），则本命令任何内容均不限制当事方为任何目的使用非证据开示材料，包括在证言录取、听证、审判中，或以其他方式与任何争议或本第11章案件有关的使用。\n\n30. 保密协议及保护令的持续适用：就任何保留的证据开示材料而言，本命令条款在争议最终终结及债务人脱离破产程序后仍然有效。争议的最终终结及债务人脱离破产程序，不解除律师或其他受本命令约束人员根据本命令维持证据开示材料保密性的责任，法院保留管辖权以执行本命令条款。\n\n31. 保密协议及保护令的修订：在具备正当理由并向所有当事方发出通知后，任何当事方可随时提出动议修订本命令条款；或者，提供方与受托人可通过书面约定共同同意，并在适用时服从法院进一步命令，就该提供方所提供的证据开示材料修订本命令条款。\n\n32. 在其他程序中披露证据开示材料：任何可能受到寻求披露提供方证据开示材料的动议或其他形式法律程序，或任何监管程序、要求或请求约束的接收方：（i）应在合理可行的最早时间通知提供方（除非适用法律禁止该通知），使其有机会就该信息是否应被披露出庭并陈述意见；以及（ii）在不存在阻止该法律要求披露的法院命令的情况下，接收方仅获准披露法律要求披露的该部分信息，并应以书面形式告知任何被如此披露该等信息的人员该等信息的保密性质。\n\n33. 提供方对证据开示材料的使用：本命令任何内容均不影响任何提供方以任何方式使用或披露其自身证据开示材料的权利。该等披露（公开提交其自身证据开示材料除外）不构成放弃本命令的保护，且在符合第29款的前提下，不以其他方式使其他当事方、非当事方或其律师有权违反本命令使用或披露该等证据开示材料。\n\n34. 当事方的义务：本命令任何内容均不解除当事方根据联邦规则、破产程序规则、地方法院规则，或根据任何未来约定及命令，就与任何争议有关的文件提供或对证据开示请求作出及时答复所承担的义务。\n\n35. 律师意见：本文件中的任何规定均不得阻止或以其他方式限制律师就争议事项向其客户提供意见，且在此过程中依赖对证据开示材料的审查；但前提是，在提供该等意见及以其他方式与该等客户沟通时，律师不得以任何与本文件所载限制或程序不一致的方式具体披露任何信息。\n\n案件 22-50073 文件 3264-2 提交日期 06/20/24 录入日期 06/20/24 12:01:13 第 19 页，共 22 页\n\n36. 先前协议：本裁定的规定和要求应构成就任何争议事项中产生的指定材料进行交换和使用的唯一方式。\n\n37. 执行：本裁定的规定构成本院的命令，违反本裁定规定的行为，应以与本院任何其他命令相同的方式予以执行并施加法律制裁。\n\n38. 根据 11 U.S.C. § 107(c)(3)，United States Trustee（美国受托人）对本案案卷中提交或向本院呈交的任何信息和/或文件，依法推定享有完全查阅权；与此一致，美国受托人保留寻求查阅任何密封提交或备案文件的一切权利。美国受托人应遵守 11 U.S.C. § 107(c)(3)(B) 规定的义务。\n\n特此命令，于 Connecticut（康涅狄格州）Bridgeport（布里奇波特）2022 年 October（十月）第 6 日，2024 年。\n\nJulie A. Manning（朱莉·A·曼宁），美国破产法院法官\n\n附件 A\n\n声明\n\n[与前一节的链接设置已从原文中的关闭改为修订稿中的开启。]。\n[首页不同设置已从原文中的开启改为修订稿中的关闭。]。\nUNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（康涅狄格区美国破产法院布里奇波特分院）\n\nx\n\n关于：　　　　　　　　　　　：第\nHO WAN KWOK（郭文贵），　　　：案件编号 22-50073 (JAM)\n债务人。1　　　　　　　　　　：\n\nx\n\n确认并同意受保护令约束的声明\n\n本人，特此在伪证罪处罚的约束下声明（本“声明”）：\n\n1. 本人的地址为\n\n2. 本人目前的雇主为。\n\n3. 本人目前的职业或工作描述为。\n\n4. 本人特此证明并同意，本人已阅读并理解 Connecticut（康涅狄格州）District of Connecticut（康涅狄格区）United States Bankruptcy Court（美国破产法院）在 In re: Ho Wan Kwok（关于郭文贵案），案件编号 22-5007322-50073 (JAM) 中于 2022 年 作出的保护令（“裁定”）的条款。本声明中未另行定义的所有首字母大写术语，均具有裁定中赋予该等术语的含义。本人进一步证明，本人不会将指定材料用于第 11 章案件以外的任何目的，且不会为第 11 章案件以外的任何目的披露或促使披露指定材料，并且\n\n1 尽管债务人的法定姓名为 Ho Wan Kwok（郭文贵），但其亦被称为 Guo Wengui、Miles Guo 和 Miles Kwok，以及众多其他别名。债务人纳税人识别号码的末四位为 9595。\n\n[首页不同设置已从原文中的开启改为修订稿中的关闭。]。[与前一节的链接设置已从原文中的关闭改为修订稿中的开启。]。\n\n不会向任何未经裁定明确准许接收指定材料的人披露或促使披露指定材料。本人同意受裁定的条款和条件约束。\n\n5. 本人理解，本人应对所有未被明确准许接收指定材料的个人，不论在家中还是工作场所，保守任何指定材料全部副本的机密，并将以符合裁定的方式谨慎保存该等材料。本人确认，返还或销毁指定材料并不解除裁定施加于本人的任何其他持续性义务。\n\n6. 本人确认并同意，本人知悉，通过接收指定材料：\n\na. 本人可能正在接收有关发行证券公司的重大非公开信息；以及\n\nb. 存在包括联邦证券法在内的法律，该等法律可能因接收该等信息而限制或禁止出售或购买该等公司的证券。\n\n7. 本人仅就裁定的规定同意接受本院管辖。\n\n日期：\n\n签名：\n\n[首页不同设置已从原文中的开启改为修订稿中的关闭。]。[与前一节的链接设置已从原文中的关闭改为修订稿中的开启。]。","key_entities":["Kwok","Ho Wan Kwok","Guo","Miles Guo","Despins","Luc Despins","CIPA"],"ecf_references":[{"doc_number":874,"court":"CTB"}],"word_count":6132,"status":"published","published_at":"2024-06-20 00:00:00","created_at":"2024-06-20","updated_at":"2026-08-23 19:23:31"}