{"id":"court_ctb_4434_4","court":"CTB","case_no":"22-50073","doc_number":4434,"sub_number":4,"doc_type":"ORDER","filed_date":"2025-05-22","title":"Exhibit 4 Revised Proposed Modified Protective Order (clean)","summary_zh":"拟定修改版保护令（定稿文本） —— Ho Wan Kwok 破产案（郭文贵 / Guo Wengui / Miles Guo），CTB 22-50073 ECF #4434-4（2025-05-22立案）。该文件系附件4，为第11章受托人与相关方拟定的修改版保护令定稿文本，用于规范破产案件及相关对抗程序中调证材料（Discovery Material）的披露、交换与保密规则。","summary_en":"Proposed Modified Protective Order (Clean Version) — In re Ho Wan Kwok (Miles Guo / Guo Wengui), CTB 22-50073 ECF #4434-4 (filed 2025-05-22). Exhibit 4 to a filing, containing the clean revised proposed modified protective order governing the disclosure, exchange, and confidentiality of discovery materials in the Chapter 11 bankruptcy case and related adversary proceedings.","body_en":"## **Exhibit 4**\n\n**Revised Proposed Modified Protective Order (clean)**\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n|              | x      |                            |\n|--------------|--------|----------------------------|\n| In re:       | :<br>: | Chapter<br>11              |\n| HO WAN KWOK, | :<br>: | Case No. 22-50073<br>(JAM) |\n| Debtor.1     | :<br>: | Re: ECF No.<br>874         |\n|              | :<br>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 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<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>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 chapter 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 and other courts, tribunals, or judicial bodies, including in foreign jurisdictions, including but not limited to investigations, contested matters, adversary proceedings, and other disputes and litigation (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\n\nhereby 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, 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\" ifsuch 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 groundsthat 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 ofsuch 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, the designating Party shall be a Producing Party with respect to that\n\nDiscovery 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 materialthat it is \"Confidential\" or \"HighlyConfidential,\" 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\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\n\n## Case 22-50073 Doc 4434-4 Filed 05/22/25 Entered 05/22/25 22:41:19 Page 8 of 24\n\nMaterial\"). 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 suchlater 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 for the purposes of a Dispute or the Chapter 11 Case, including a Dispute in a foreign jurisdiction, but not for any other purpose, 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;\n- (c) any Party to a Dispute in a foreign jurisdiction whom the Trustee has requested sign Exhibit A, subject to the Trustee seeking entry of a protective order in such foreign jurisdiction that is consistent with this Order and substantially similar hereto, to the extent allowable under foreign law; and\n- (d) 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\t- iii. any Party who has signed Exhibit A and delivered a copy to the Trustee;\n\t- iv. any Party to a Dispute in a foreign jurisdiction whom the Trustee has requested sign Exhibit A, subject to the Trustee seeking entry of a protective order in such foreign jurisdiction that is consistent with this Order and substantially similar hereto, to the extent allowable under foreign law; 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\n\nsignatories to this Order or by a Party who has signed Exhibit A in connection with the Disputes or this Chapter 11 Case;\n\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- (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, a foreign court, tribunal, and/or judicial body, 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 Rules 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 Producing 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)\n\n### Case 22-50073 Doc 4434-4 Filed 05/22/25 Entered 05/22/25 22:41:19 Page 13 of 24\n\nof 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.\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\n\n## Case 22-50073 Doc 4434-4 Filed 05/22/25 Entered 05/22/25 22:41:19 Page 14 of 24\n\nto 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\n#### Case 22-50073 Doc 4434-4 Filed 05/22/25 Entered 05/22/25 22:41:19 Page 15 of 24\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 Materialsubject 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\n\n#### Case 22-50073 Doc 4434-4 Filed 05/22/25 Entered 05/22/25 22:41:19 Page 16 of 24\n\nany 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, including 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 Partymust 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\n\n## Case 22-50073 Doc 4434-4 Filed 05/22/25 Entered 05/22/25 22:41:19 Page 17 of 24\n\nmore 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 Court. 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\n\n#### Case 22-50073 Doc 4434-4 Filed 05/22/25 Entered 05/22/25 22:41:19 Page 18 of 24\n\nin 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 suchParty 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 Ordershall 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 islegally 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 on 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 underseal. 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 \\_\\_\\_\\_ day of \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_, 2024.\n\nJulie A. Manning, United States Bankruptcy Judge\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n# **Exhibit A**\n\n**Declaration**\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<br>(JAM) |\n|              | : |                            |\n| Debtor.1     | : |                            |\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: 1. My address is 2. My present employer is \\_ . 3. My present occupation or job description is . 4. 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- 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 or a Dispute related to the Chapter 11 Case, and will not disclose or cause Designated Material to be disclosed for any purpose other than the Chapter 11 Case or a Dispute related to the Chapter 11 Case, and will not disclose or\n\ncause Designated Material to be disclosed to anyone not expressly permitted by the Order\n\n<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\nto receive Designated Material, unless required to disclose or cause Designated Material to be disclosed under foreign law, but only after making reasonable efforts to comply with foreign law consistent with the Order. 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. Istipulate to the jurisdiction of this Court solely with respect to the provisions of the Order.\n\nDate:\n\nSignature:","body_zh":"证物4\n\n修订后的拟议经修改保护令（清洁版）\nUNITED STATES BANKRUPTCY COURT 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\nx\n\n关于：　：\n：　第11章\n\nHO WAN KWOK（郭文贵），　：\n：　案号：22-50073\n(JAM)\n债务人。1　：\n：　关于：ECF 编号\n\nx\n经修改保护令\n\n本保护令（“命令”）由以下各方订立：(a) Luc Despins（卢克·德斯平斯），作为获任命管理债务人财产的第11章受托人（“受托人”）；及 (b) 通过签署本命令附件A表示同意而受本命令约束的任何其他个人或实体。前述第 (a) 及 (b) 项所述的每一名个人或实体，以下单称为“一方”，合称为“各方”。2 本命令依据 11 U.S.C. § 107(b) 及《联邦破产程序规则》（“破产规则”）第9018条订立，并在适用的情况下，依据《破产规则》第7026条及第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，但其亦称为 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\n2 “一方”的称谓仅为本命令中的指称目的而使用。\n\n鉴于条款\n\n鉴于，债务人已根据《美国法典》第11编，U.S.C. §§ 101-1532（“破产法”）第11章向本院提交自愿申请书（由该申请书启动的案件称为“第11章案件”）；且本院及其他法院、法庭或司法机构（包括外国司法管辖区内的法院、法庭或司法机构）目前存在或可能存在根据《破产法》产生，或在第11章案件中产生或与之相关的司法或其他程序，包括但不限于调查、有争议事项、对抗程序以及其他争议和诉讼（每一项称为“争议”，合称为“各项争议”）；\n\n鉴于，本院已依据 11 U.S.C. § 1104(d) 批准 United States Trustee（美国受托人）提出的批准任命第11章受托人的命令申请，从而授权任命受托人；\n\n鉴于，各方已就一项或多项争议相互寻求或可能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、规则2004通知或动议，或送达文件请求、书面质询、证言录取传票及其他证据开示请求（统称为“证据开示请求”），上述请求均依照联邦规则、破产规则及 United States Bankruptcy Court for the District of Connecticut（美国康涅狄格州联邦破产法院）的《地方法院破产程序规则》（“地方法院规则”）提出；以及\n\n鉴于，各方预计，在第11章案件过程中，除本命令各方外，某些其他个人或实体亦可能就一项或多项争议提出或被送达证据开示请求；\n\n因此，为便利和加快证据开示材料的提供、交换及处理，并保护一方寻求维持为保密材料或高度保密材料的证据开示材料（该等术语定义见下文），现\n\n特此约定，并经本院批准后，特此命令：下列条款将适用于对证据开示材料（定义见下文）的任何请求，以及该等材料的提供和处理：\n\n命令范围\n\n1. 本命令适用于一方（各称为“提供方”）在与本第11章案件及相关争议有关的情况下，以正式或非正式方式向任何其他一方（各称为“接收方”）披露或交换的所有信息和文件，包括在提交有争议事项或对抗程序之前或之后、就听证会前的证物交换，以及/或为回应或与任何证据开示请求相关而进行的披露或交换，包括但不限于证言证据（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；所提供的文件、信息及物品，以及其任何和全部副本、摘要、提要、笔记、概述及摘录（统称为“证据开示材料”）。证据开示材料包括破产规则及联邦规则所设想的纸质文件和电子存储信息，包括但不限于以任何媒介存储的文字、图纸、图表、图解、照片、录音、图像、数据或数据汇编、证言、证物、证据开示答复及所有其他表达媒介。\n\n2. 本命令不影响、修订或修改适用于任何提供方和/或接收方的任何现有保密协议或保护令，且本命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. 为避免疑义，本命令中的任何内容——包括某一方属于本命令一方这一事实——均不赋予或意图赋予任何一方或非当事人出于任何目的获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. 在不影响提供方根据本命令第9、10及18段享有的权利的前提下，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，均应被视为本命令的一方，并享有及承担本命令签署方的所有权利和义务。为进一步避免任何疑义，提及签署附件A后成为“一方”，仅为本命令之目的，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. 任何提供方均可依照下列规定，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：如提供方有合理理由相信：(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、个人或其他信息，或 (B) 依法或依合同受受法律保护的隐私权约束；或 (ii) 提供方 (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存义务，或 (B) 已被另一方或非当事人合理地请求如此指定该等证据开示材料，理由是该另一方或非当事人认为该等证据开示材料含有对该方或非当事人而言属保密或专有的信息，则提供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：如提供方有合理理由相信（或就从另一人处收到的文件而言，已获得该另一人的合理告知），该等证据开示材料具有如下性质：如向本命令第10段所列人员以外的人士披露该等材料，将产生人身安全、身份盗窃或竞争损害的风险，例如地址或其他敏感的个人可识别信息、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，则提供方可将该等证据开示材料指定为“高度保密”。尽管本命令中有任何相反规定，金融机构为记录账户余额和交易而制作的账户对账单、ACH 及电汇转账记录、支票副本及类似记录（统称为“银行对账单”）并不产生足以适用指定为“高度保密”的证据开示材料所适用之强化限制的人身安全、身份盗窃或竞争损害风险。除非法院另行命令，银行对账单不得依本命令被指定为“高度保密”。\n\n(c) 由另一方指定：任何一方均可依照第5(a)及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；在此情况下，就该证据开示材料而言，作出指定的一方应为提供方。\n\n(d) 未指定材料：在不影响各方根据本命令第7、8及34段所享有的权利和承担的义务的前提下，任何一方均无义务将并非指定材料的任何证据开示材料（“未指定材料”）维持为保密材料，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命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，提供方应通过在每一页该等指定材料上按适用情况标注“保密”或“高度保密”，将其指定为指定材料。该等标注不应抹除或遮蔽所提供材料的内容。如对该等材料的每一页进行标注并非合理可行，例如某些原生文件，提供方可在提供该等材料时，以清楚且显著的方式告知接收方该等材料为“保密”或“高度保密”，从而将材料指定为“保密”或“高度保密”；例如，在适用的情况下，在文件名和/或所提供的 Relativity（或其他文件审查平台）加载文件中包含该等指定。在本命令签署前，依据将该等证据开示材料视为“保密”或“高度保密”的协议而提供的证据开示材料，即使未带有该等标注，仍应依本命令被视为“保密”或“高度保密”。\n\n7. 证据开示材料的迟延指定：在提供时未将特定证据开示材料指定为“保密”或“高度保密”，不应视为放弃提供方日后将该等证据开示材料指定为指定材料，或依本命令日后适用另一指定的权利（“错误指定\n\n案件 22-50073 文件 4434-4 提交日期 05/22/25 录入日期 05/22/25 22:41:19 第 8 页，共 24 页\n\n材料”。届时，将安排销毁该错误指定材料，或将该错误指定材料的所有副本返还给提供方，并在适当情况下以标注正确的该等证据开示材料副本予以替换。在收到标注正确的该错误指定材料替换副本后，接收方应采取一切合理措施，返还或销毁此前制作的该错误指定材料的所有副本。如提供方提出要求，接收方应以书面形式确认其已采取一切合理措施返还或销毁该错误指定材料。如在接到任何后续指定通知之前，该等证据开示材料已按照其原始指定方式、但以与其后续指定不一致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，一旦作出该后续指定，任何证据开示材料均应按照该后续指定处理；但前提是，如在作出后续指定时，未被指定的材料此前已向法院公开提交，则除非法院应未作出指定的一方的动议所作决定的范围外，任何一方均不受该后续指定的约束。\n\n保密材料或高度保密材料的使用和披露\n\n8. 对所有证据开示材料的使用和披露的一般限制：所有证据开示材料应由受托人为履行其根据《破产法典》及本案任命命令所承担的职责和责任而使用，和/或由其他接收方为争议或本第11章案件之目的而使用，包括外国法域内的争议，但不得用于任何其他目的，包括并非争议且与本第11章案件无关的任何其他诉讼或司法程序，或任何商业、竞争、政府、商事或行政目的或职能。\n\n9. 保密材料：保密材料及其中包含的任何和所有信息，仅可提供、展示、供查阅或传达给以下人员：\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；\n\n(c) 受托人已要求签署附件A的外国法域争议的任何当事方，但受限于受托人在该外国法域寻求作出与本命令一致且与其实质相似的保护令，但仅限于外国法律允许的范围；以及\n\n(d) 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所有信息，仅可提供、展示、供查阅或传达给以下人员：\n\n(a) 下列人员的律师，以及在该等律师明确指示下工作的人员：\ni. 受托人；\nii. 债权人委员会；\niii. 已签署附件A并向受托人交付副本的任何一方；\niv. 受托人已要求签署附件A的外国法域争议的任何当事方，但受限于受托人在该外国法域寻求作出与本命令一致且与其实质相似的保护令，但仅限于外国法律允许的范围；以及\n\n(b) 根据《破产法典》第328条和第1103条聘任的专业人士，以及与争议或本第11章案件有关、由本命令签署人或已签署附件A的一方聘任的行业顾问、财务顾问、会计顾问、专家及顾问（及其各自工作人员）；\n\n(c) 在文件正面注明为其作者、收件人或抄送接收人、实际或预定接收人的任何人员，或者就会议纪要而言，为该会议出席人的任何人员；\n\n(d) 在讯问证人作证期间的任何不利证人，如讯问该证人的律师合理认为就该文件讯问证人属必要，且此举不会造成竞争性或个人损害，但前提是讯问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副本，相关讯问证物被指定为高度保密，并受第12段约束；\n\n(e) 为与争议或本第11章案件有关而有必要使用的外部复印、图文制作服务或诉讼支持服务；\n\n(f) 记录与争议或本第11章案件有关的讯问或其他证言的庭审记录员、速记员或摄像人员；\n\n(g) 因争议或本第11章案件可能产生的任何司法程序中的法院、外国法院、法庭和/或司法机构、其官员及书记员工作人员；\n\n(h) 与争议或本第11章案件有关而聘任的任何调解人及其工作人员；以及\n\n(i) 提供方可在书面上或在讯问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段和第10段披露：高度保密材料及其中包含的任何和所有信息，不得以任何方式提供、展示、供查阅、披露或传达给除本命令第10段规定人员以外的任何人。保密材料及其中包含的实质性信息，不得以任何方式提供、展示、供查阅、披露或传达给除本命令第9段规定人员以外的任何人。\n\n12. 披露指定材料的前提条件：在向本命令第10(b)、10(d)、10(h)或10(i)段所列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，并应签署随附于本命令的附件A。每份经签署的附件A均应由向获准查阅指定材料之人员提供该查阅权限的一方律师留存于其档案中。对于第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）的该等经签署附件A副本，应提供给提供方。对于第10(b)段所列代表的该等经签署附件A，除非有充分理由的证明且法院作出命令，否则不应根据《联邦规则》或《破产规则》予以披露。为免生疑问，附件A可由组织代表第10(b)段所列任何代表签署，而无需该组织内每一相关个人签署附件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，向法院提交的所有指定材料，以及向法院提交的披露高度保密材料或保密材料的诉状、动议或其他文件的所有部分，均应依照《联邦规则》、《破产规则》、地方规则及法院个别惯例规则密封提交；但一方可自行选择提交包含指定材料的删节版诉状，只要其中涉及指定材料的部分已被删节，且该删节版诉状亦依地方规则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。根据本段对任何材料进行密封提交，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指定或密封提出异议的权利。\n\n14. 在公开法庭中使用证据开示材料：除本段规定外，本命令中的披露限制不适用于任何一方在审判或公开法庭举行的任何听证中作为证据提出或以其他方式使用的任何证据开示材料。在可行的情况下，作为任何审前会议或就任何证据听证中使用证物进行会商的一部分，或如在审判或任何公开法庭举行的听证中使用任何指定材料之前不可行，则希望在审判或任何公开法庭举行的听证中提出或使用该指定材料的任何一方律师，应与提供方进行善意会商，讨论如何对指定材料进行删节，以便任何一方可依照《破产法典》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指定材料有关的争议，提供方应承担向法院请求适当救济的责任。在法院就该问题作出裁决之前，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讯问和第2004条审查\n\n15. 讯问及第2004条审查证言——指定方式：就讯问而言，如一方律师认为在讯问中作出的部分证言应为该方的指定材料，可按以下方式作出适当指定：(a) 在记录中口头声明，并要求仅将相关部分证言作此指定；或\n\n案件号22-50073 文件4434-4 提交日期05/22/25 录入日期05/22/25 22:41:19 第13页，共24页\n\n(b) 在该方从庭审记录员处收到最终笔录后十（10）日内提供书面通知，说明仅将该笔录或该讯问录音的相关部分作此指定；但如有关问题的听证会预定于收到最终笔录后十（10）日内举行，则前述十（10）日期限应缩短为五（5）个工作日。如有关问题的听证会或诉状截止日期预定于距离讯问如此接近的时间，以致五个工作日期限不可行，则为在听证会或随诉状使用之目的，整份笔录应被指定为指定材料，随后适用上述十（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之前，所有讯问笔录和录音均应被视为并按高度保密材料处理，除非任何一方律师在讯问记录中另有说明。\n\n16. 在讯问中作为证物使用的指定材料：第15段的任何规定均不适用于或影响在讯问中作为证物提交的证据开示材料所作的保密指定。\n\n17. 证人审阅讯问证言：本命令第15段的任何规定均不应妨碍证人审阅其讯问笔录。\n\n18. 讯问证言期间人员在场：在讯问期间引出指定材料时，无权依本命令条款接收该等信息的人员，应要求被排除在被如此指定的讯问部分之外。在被排除在包含指定材料的任何讯问部分之外后，如该等人员希望接收包含指定材料的讯问证言书面记录或其他记录，该等人员必须成为本命令的一方。\n\n19. 法庭记录员的责任与义务：如证言被指定为保密或高度保密，法庭记录员应事先同意遵守本段条款，并应被指示在每份此类笔录的封面页上注明：“本笔录部分包含受保护令约束的信息，仅可依照该保护令使用”，且笔录的每一页均应视情况注明“保密”或“高度保密”。\n\n案件 22-50073 文件 4434-4 提交 05/22/25 录入 05/22/25 22:41:19 第 14 页，共 24 页\n\n如证言录有记录，则如笔录本身的任何部分被作出上述指定，该记录亦应受到与笔录相同级别的保密约束，并视情况注明“保密”或“高度保密”。在任何证言录取中，提问方应在证言录取开始前要求法庭记录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依照本命令条款获准接收该指定材料的当事人分发作为证物使用的指定材料副本。\n\n一般规定\n\n20. 除非当事人另有约定或法院另有命令，本文件中的所有期限和期间均应依照《破产程序规则》第9006条计算。\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。本命令中的任何内容均不影响任何当事人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. 本文件中的任何内容均不得被视为任何当事人放弃或弃绝任何异议，包括但不限于：对当事人请求的任何文件、信息或数据被主张具有保密性或专有性质提出的任何异议；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；申请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\n案件 22-50073 文件 4434-4 提交 05/22/25 录入 05/22/25 22:41:19 第 15 页，共 24 页\n\n24. 指定材料的未经授权披露：如接收方向未经本命令授权接收该等指定材料的个人或实体披露指定材料，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，并阻止被披露对象进一步传播或使用该材料；以及立即通知提供方被披露对象的身份、披露的相关情形，以及为收回或销毁已披露的指定材料并确保不再进一步传播或使用该材料所采取的措施。除依照本命令条款外披露指定材料，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：如任何接收方反对任何指定材料的指定，接收方应首先以书面形式向提供方提出异议，并本着善意协商，尝试解决与本命令条款或实施有关的任何争议。如接收方与提供方无法解决其争议，接收方可以向法院寻求救济。在法院就该问题作出裁定之前，指定材料应继续按照其指定方式处理。经动议，法院可以命令取消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”指定时即对其适当性提出质疑，未如此行事并不妨碍其后对此提出质疑。\n\n案件 22-50073 文件 4434-4 提交 05/22/25 录入 05/22/25 22:41:19 第 16 页，共 24 页\n\n任何当事人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，不构成该当事人放弃其在证据听证会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：依照《联邦证据规则》第502(d)条，如提供方无意中提供其后善意主张因享有特权（包括但不限于律师—当事人特权）或其他保护（例如工作成果保护）而本不应提供的材料，提供该材料不得被视为构成对任何适用特权或保护的放弃。在该等情形下，当提供方知悉已提供享有特权或受保护的材料时，其必须通知接收方，并由提供方选择要求返还或销毁已提供的材料。接收方在收到该通知后三（3）个工作日内，应依照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。接收方不得将该等材料的内容用于任何目的，包括与任何寻求强制提供该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材料，接收方必须采取合理措施追回该已提供材料。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已提供材料。此外，本命令不妨碍任何当事人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被主张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即对特权认定的适当性提出质疑，未如此行事并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，当事人应首先本着善意会面并协商，努力解决与任何受到质疑的特权指定有关的任何争议。如当事人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一方可以将该争议提交法院。任何一方均不得主张，本段规定的会面及协商程序构成对任何主张受保护而不予披露的文件的律师—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，本文件中的任何条款，包括本第28段，均不得取代或优先于下述文件中规定的任何条款：\n\n案件 22-50073 文件 4434-4 提交 05/22/25 录入 05/22/25 22:41:19 第 18 页，共 24 页\n\n《关于与根据第2004条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》，[案卷编号 856]。\n\n29. 非证据开示材料的使用：在任何当事人拥有原本构成证据开示材料的文件或信息，且该等文件或信息：(i) 通过合法方式并在不违反对任何其他人负有的保密义务的情况下，以非保密方式由该当事人收到或获得；(ii) 由该当事人在不违反其在本文件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（包括当事人）负有的任何保密义务的方式公开发表或向公众提供（统称“非证据开示材料”）时，本命令中的任何内容均不得限制当事人为任何目的使用非证据开示材料的能力，包括在证言录取、听证会、审判中，或以其他方式在与任何争议或本第11章案件有关的情形下使用。\n\n30. 保密协议及保护令的持续适用性：对于任何保留的证据开示材料，本命令的条款在争议最终终结及债务人解除破产状态后仍继续有效。争议最终终结及债务人解除破产状态，不解除律师或本文件项下负有义务的其他人员依照本命令对证据开示材料保密的责任，且法院保留管辖权以执行本命令的条款。\n\n31. 保密协议及保护令的修改：经证明存在正当理由并通知所有当事人后，任何当事人均可随时提出动议修改本命令的条款；或者，提供方与受托人可以通过书面约定共同同意，在适用情况下以法院进一步命令为条件，就该提供方提供的证据开示材料修改本命令的条款。\n\n32. 在其他程序中披露证据开示材料：可能受到要求披露提供方证据开示材料的动议或其他法律程序，或任何监管程序、要求或请求约束的任何接收方：(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），以使其有机会就该信息是否应予披露出庭并陈述意见；以及 (ii) 如无禁止该等法律要求披露的法院命令，接收方仅获准披露法律要求披露的那部分信息，并应以书面形式告知任何获如此披露该信息的人，该信息具有保密性质。\n\n33. 提供方对证据开示材料的使用：本命令中的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。除公开提交其自身证据开示材料外，此类披露不构成放弃本命令的保护，且在遵守第29段的前提下，不会以其他方式使其他当事人、非当事人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. 当事人的义务：本文件中的任何内容均不解除当事人依据《联邦规则》《破产程序规则》《地方法院规则》或任何未来约定和命令，就任何争议中提供文件或及时答复证据开示请求所负的义务。\n\n35. 律师意见：本命令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，并在此过程中依赖对证据开示材料的审阅；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命令所规定的限制或程序不一致的方式具体披露任何信息。\n\n36. 先前协议：本命令的规定和要求应构成交换和使用就任何争议事项所出具的指定材料的唯一方式。\n\n37. 执行：本命令的规定构成本法院的命令，违反本命令规定的行为，应以与本法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）推定享有完全查阅本案案卷中提交或向本法院呈交的任何信息和/或文件的法定权利；与此一致，美国受托人保留寻求查阅任何以密封方式提交或归档的文件的一切权利。美国受托人应遵守 11 U.S.C. § 107(c)(3)(B) 规定的义务。\n\n兹于 2024 年 \\_\\_\\_\\_ 月 \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ 日在康涅狄格州布里奇波特作出本命令。\n\nJulie A. Manning（朱莉·A·曼宁），美国破产法官\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n附件 A\n\n声明\n\n美国康涅狄格地区破产法院布里奇波特分院\n\nx\n\n关于：　：　第 11 章\nHO WAN KWOK（郭文贵），　：　案号 22-50073\n(JAM)\n\n债务人。1　：\n\nx\n\n确认及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”）：1. 本人的地址为：2. 本人目前的雇主为 \\_ 。3. 本人目前的职业或工作描述为：。4. 本人特此证明并同意，本人已阅读并理解 United States Bankruptcy Court for the District of Connecticut（美国康涅狄格地区破产法院）在 In re: Ho Wan Kwok（关于郭文贵案）, Case No. 22-50073 (JAM) 中于 , 2022 作出的保护令（以下简称“命令”）的条款。本声明中所有未另行定义的首字母大写术语，均具有命令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 章案件或与第 11 章案件有关的争议事项以外的任何目的，也不会为第 11 章案件或与第 11 章案件有关的争议事项以外的任何目的披露或促使披露指定材料，亦不会向命令未明确允许接收指定材料的任何人披露或促使披露指定材料，除非外国法律要求披露或促使披露指定材料，但仅限于本人已作出合理努力，以符合命令的方式遵守外国法律之后。本人同意受命令的条款和条件约束。\n\n1 尽管债务人的法定姓名为 Ho Wan Kwok（郭文贵），其亦被称为 Guo Wengui（郭文贵）、Miles Guo（郭文贵）和 Miles Kwok（郭文贵），以及众多其他别名。债务人纳税人识别号码的后四位为 9595。\n\n- 5. 本人理解，无论在家中还是工作场所，本人均须对所有未被明确允许接收指定材料的个人保密任何指定材料的所有副本，并且本人将以符合命令的方式谨慎保管该等材料。本人确认，返还或销毁指定材料并不解除命令对本人施加的任何其他持续性义务。\n\n- 6. 本人确认并同意，本人知悉，因接收指定材料：\n\t- a. 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\t- b. 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. 本人同意本法院仅就命令的规定对本人行使管辖权。\n\n日期：\n\n签名：","key_entities":["Je","Kwok","Ho Wan Kwok","Guo","Miles Guo","Despins","Luc Despins","CIPA"],"ecf_references":[],"word_count":6087,"status":"published","published_at":"2025-05-22 00:00:00","created_at":"2025-05-22","updated_at":"2026-08-23 19:22:03"}