{"id":"court_ctb_4448_1","court":"CTB","case_no":"22-50073","doc_number":4448,"sub_number":1,"doc_type":"ORDER","filed_date":"2025-05-29","title":"Exhibit 1 Modified Protective Order (clean)","summary_zh":"证据附件（修改后保护令草案） —— Ho Wan Kwok 破产案（郭文贵 / Guo Wengui / Miles Guo），CTB 22-50073 ECF #4448-1（2025-05-29立案）。本文件为拟定「修改后保护令」的整洁文本附件及签署声明书，规范了第11章破产信托人 Luc Despins 与相关诉讼参与方在破产案件调查及对抗性诉讼中交换保密与高度保密证据开示材料的范围、处理规则与法律责任。","summary_en":"Exhibit (Modified Protective Order) — In re Ho Wan Kwok (Miles Guo / Guo Wengui / Ho Wan Kwok), CTB 22-50073 ECF #4448-1 (filed 2025-05-29). This exhibit provides the clean text of a proposed Modified Protective Order along with an agreement declaration form, establishing terms, confidentiality tiers, and governing procedures for the disclosure and handling of discovery materials exchanged between Chapter 11 Trustee Luc Despins and other parties in the bankruptcy proceeding.","body_en":"# **Exhibit 1**\n\n**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 4448-1 Filed 05/29/25 Entered 05/29/25 16:32:28 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 4448-1 Filed 05/29/25 Entered 05/29/25 16:32:28 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 4448-1 Filed 05/29/25 Entered 05/29/25 16:32:28 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 4448-1 Filed 05/29/25 Entered 05/29/25 16:32:28 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 4448-1 Filed 05/29/25 Entered 05/29/25 16:32:28 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 4448-1 Filed 05/29/25 Entered 05/29/25 16:32:28 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 4448-1 Filed 05/29/25 Entered 05/29/25 16:32:28 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\n### Case 22-50073 Doc 4448-1 Filed 05/29/25 Entered 05/29/25 16:32:28 Page 19 of 24\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":"附件1\n\n修订后的保护令（清洁版）\n美国康涅狄格联邦地区破产法院布里奇波特分院\n\nx\n\n关于：　：\n：　第　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修订后的保护令\n\n本保护令（“本命令”）由下列各方订立：(a) Luc Despins（卢克·德斯潘），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。上述(a)和(b)项所确定的每一名个人或实体，在本命令中单称为“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条作出，并在适用情况下依据《破产规则》第7026条和第9014条及《联邦民事诉讼规则》（“《联邦规则》”）第26(c)条作出。\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及Miles Kwok，以及众多其他别名。债务人纳税人识别号的最后四位数字为9595。\n\n2 “一方”的指定仅为本命令中的指称之用。\n\n鉴于\n\n鉴于，债务人已根据《美国法典》第11编，即11 U.S.C. §§ 101-1532（“《破产法》”），向本院提交第11章自愿申请书（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机构，现有或可能有根据《破产法》产生，或在第11章案件中产生或与之相关的司法程序或其他程序，包括但不限于调查、争议事项、对抗程序以及其他争议和诉讼（各称为“一项争议”，合称为“各项争议”）；\n\n鉴于，本院依据11 U.S.C. § 1104(d)，通过批准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，授权任命受托人；\n\n鉴于，各方已就一项或多项争议，彼此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、第2004条通知或动议，或依照《联邦规则》、《破产规则》以及United States Bankruptcy Court for the District of Connecticut（美国康涅狄格联邦地区破产法院）的《地方破产程序规则》（“《地方法则》”）送达文件请求、书面质询、证言记录、传票及其他证据开示请求（统称为“证据开示请求”）；及\n\n鉴于，各方预期，在第11章案件进行期间，除本命令各方以外的某些个人或实体，也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，为便利并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（该等术语定义见下文）的证据开示材料，现\n\n特此约定，并经本院批准后，特此命令，以下条款将规范对证据开示材料（定义见下文）的任何请求，以及该等材料的提供和处理：\n\n命令的范围\n\n1. 本命令规范一方（各称为“提供方”）向任何其他一方（各称为“接收方”）正式或非正式披露或交换的、与本第11章案件及相关争议有关的所有信息和文件，包括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，和/或为回应或与任何证据开示请求有关时所进行的披露或交换，包括但不限于证言记录（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、信息和物品，以及其任何及所有副本、摘录、摘要、笔记、概述和节选（统称为“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以电子方式存储的信息，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、证据开示答复以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. 为免生疑，本命令中的任何内容——包括一方是本命令的一方这一事实——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. 在不影响提供方依本命令第9、10和18款享有权利的前提下，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，应被视为本命令的一方，并享有和承担本命令签署各方的所有权利和义务。为进一步免生疑，提及在签署附件A后成为“一方”，仅为本命令之目的，并非旨在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》应予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)另一方或非当事人已基于该另一方或非当事人认为该等证据开示材料包含对该方或非当事人而言属保密或专有的信息，而合理要求作出该等指定，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，已获该另一人合理告知）该等证据开示材料具有如下性质：若向本命令第10款所列人员以外的人披露该等证据开示材料，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”。尽管本命令另有相反规定，由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（统称为“银行对账单”）不会产生足以保证适用指定为“高度保密”的证据开示材料所适用的更严格限制的人身安全、身份盗窃或竞争损害风险。除非法院另行作出命令，银行对账单不得根据本命令被指定为“高度保密”。\n\n(c) 由另一方作出的指定：任何一方均可根据第5(a)和5(b)款，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，就该等证据开示材料而言，作出指定的一方应为提供方。\n\n(d) 未指定材料：在不影响各方依本命令第7、8和34款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”）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先前已根据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，任何指定材料均应由提供方通过在每一页上酌情标注“保密”或“高度保密”而作出指定。该等标注不应抹除或遮蔽所提供材料的内容。如在该等材料的每一页上作出标注并非合理可行，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”，从而将该材料指定为“保密”或“高度保密”；例如，在适用情况下，在文件名和/或所提供的Relativity（或其他文件审查平台）加载文件中载明该等指定。根据一项约定，即该等证据开示材料将被作为“保密”或“高度保密”处理，而在本命令签署前已提供的证据开示材料，即使未载有该等标注，仍应根据本命令作为“保密”或“高度保密”处理。\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”，不构成放弃提供方随后将该等证据开示材料指定为指定材料，或随后根据本命令适用另一指定的权利（“错误指定\n\n案号 22-50073 文件 4448-1 提交日期 05/29/25 录入日期 05/29/25 16:32:28 第 8 页，共 24 页\n\n材料”）。届时，应安排销毁错误指定材料，或将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。接收方收到具有正确指定的该等错误指定材料替换副本后，应采取一切合理步骤返还或销毁此前出示的该等错误指定材料的所有副本。如提供方提出要求，接收方应以书面方式确认其已采取一切合理步骤返还或销毁该等错误指定材料。任何一方如在收到任何后续指定的通知之前，以符合该等证据开示材料原始指定但不符合其后续指定的方式披露或使用该等材料，不应被视为违反本命令。然而，一旦作出该等后续指定，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，先前未经指定的材料已向法院公开提交，则除非法院应未作出指定的一方提出的动议作出决定，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》及本案指定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第11章案件之目的而使用，包括外国司法管辖区内的争议，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、营利或行政目的或职能。\n\n9. 保密材料：保密材料及其中包含的一切信息，仅可向下列人员提供、展示、供其取得或传达：\n\n- (a) 受托人；\n- (b) 已签署附件A并向受托人提交其副本的任何一方；\n- (c) 受托人已要求其签署附件A的外国司法管辖区争议的任何一方，但受限于受托人在该外国司法管辖区寻求作出与本命令一致且与之实质相似的保护令，并以外国法律允许的范围为限；以及\n- (d) 下文第10段所列明的任何其他人员。\n\n10. 高度保密材料：高度保密材料及其中包含的一切信息，仅可向下列人员提供、展示、供其取得或传达：\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：\n\t- i. 受托人；\n\t- ii. 债权人委员会；\n\t- iii. 已签署附件A并向受托人提交副本的任何一方；\n\t- iv. 受托人已要求其签署附件A的外国司法管辖区争议的任何一方，但受限于受托人在该外国司法管辖区寻求作出与本命令一致且与之实质相似的保护令，并以外国法律允许的范围为限；以及\n- (b) 根据 Bankruptcy Code（《破产法典》）Sections 328 and 1103 聘用的专业人员，以及由本命令签署方或已就争议或本第11章案件签署附件A的一方聘用的行业顾问、财务顾问、会计顾问、专家和顾问人员（及其各自工作人员）；\n\n- (c) 文件表面载明的该文件作者、收件人或抄送收件人、该文件的实际或预定接收人，或在会议纪要的情况下，会议出席人；\n- (d) 在证言录取过程中，任何不利证人；如询问该证人的律师合理认为就该文件询问该证人属必要，且该做法不会造成竞争性或个人损害，但前提是证言记录中相关部分本身被指定为高度保密，该证人不得保留该文件副本，且相关证言录取证物被指定为高度保密，并受第12段约束；\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- (f) 为与争议或本第11章案件有关而记录证言录取或其他证词的法庭记录员、速记员或录像人员；\n- (g) 在可能因争议或本第11章案件而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，以及其官员和书记人员；\n- (h) 因争议或本第11章案件而聘用的任何调解员及其工作人员；以及\n- (i) 提供方可以书面形式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段和第10段披露：高度保密材料及其中包含的一切信息，不得以任何方式提供、展示、供其取得、披露或传达，但本命令第10段规定的人员除外。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、供其取得、披露或传达，但本命令第9段规定的人员除外。\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访问权限之前，应向该人员或其代表提供本命令副本，并应签署本命令所附附件A。每份如此签署的附件A应由向获准访问该指定材料之人员提供该访问权限的一方律师留存于其档案中。对于第10(a)(ii)、10(d)、10(h)和10(i)段所列代表签署的该等附件A副本，但不包括第10(b)段所列代表签署的附件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法院作出命令，否则不应根据《联邦规则》或《破产规则》被要求披露。为免生疑，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均签署附件A。\n\n13. 向法院提交或呈交的指定材料的密封处理：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所有诉状、动议或其他文件部分，均应依照《联邦规则》、《破产规则》、地方法规以及法院个别实践规则密封提交；但一方可自行选择提交包含指定材料的删节版诉状，只要该诉状中关于指定材料的部分已被删节，且该删节版诉状亦根据 Local Rule 9077-1 提交。如任何一方对该等材料的密封处理提出异议，提供方应负担为该等密封处理进行辩护的责任。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处理提出异议的权利。\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任何公开法庭举行的听证会上作为证据提出或以其他方式使用的任何证据开示材料。在任何审前会议或就任何证据听证会上使用证物进行协商时，或如在审判或任何公开法庭举行的听证会上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会上提出或使用该等指定材料的任何一方律师，应与提供方进行善意协商，讨论删节该等指定材料的方法，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等指定材料有关的争议，提供方应负担向法院请求适当救济的责任。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并依照本命令条款处理。\n\n证言录取和 Rule 2004 审查\n\n15. 证言录取和 Rule 2004 审查证词——指定方式：在证言录取的情况下，如一方律师认为在证言录取中作出的部分证词应作为该方的指定材料，该等证词可按下列方式作出适当指定：(a) 在记录中口头声明，并要求仅将相关部分证词作此指定；或 (b) 在该方从法庭记录员收到最终记录稿之日起十 (10) 日内提供书面通知，说明仅将该记录稿或其证言录取录音的相关部分作此指定；但如有关问题的听证会安排在收到最终记录稿后十 (10) 日内举行，则上述十 (10) 日期限应缩短为五 (5) 个工作日。如就相关问题的听证会或诉状截止日期被安排在与证言录取如此接近的时间，以致五个工作日期限不可行，则为在听证会或随同诉状使用之目的，整个记录稿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。在各方收到最终记录稿后，在适用的上述指定期限届满之前，所有证言录取记录稿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记录中另有说明。\n\n16. 在证言录取期间作为证物使用的指定材料：第15段的任何规定均不适用于或影响在证言录取中作为证物提交的证据开示材料所作的保密指定。\n\n17. 证人查阅证言录取证词：本命令第15段的任何规定均不妨碍证人查阅其证言录取记录稿。\n\n18. 证言录取证词期间人员的在场：在证言录取中引出指定材料时，根据本命令条款无权接收该等信息的人员，应他方请求，应被排除在被如此指定的证言录取部分之外。在被排除在含有指定材料的任何证言录取部分之外后，如该等人员希望接收含有指定材料的证言录取证词的书面或其他记录，该等人员必须成为本命令的一方。\n\n19. 法庭速记员的责任和义务：如证言被指定为保密或高度保密，法庭速记员应首先同意遵守本段条款，并应被指示在每份该等笔录的封面页上载明如下标注：“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酌情载明“保密”或“高度保密”的标注。如证言录取过程被录音或录像，该录音或录像亦应与笔录适用相同级别的保密要求；如笔录本身的任何部分被如此指定，录音或录像亦应酌情载明“保密”或“高度保密”的标注。任何证言录取中的询问方均应在证言录取开始前，请求法庭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。证言录取中的每名询问律师，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案号 22-50073 文书 4448-1 Filed 05/29/25 Entered 05/29/25 16:32:28 Page 14 of 24\n\n一般规定\n\n20. 除非当事方另有约定或法院另有命令，本命令中的所有期限和期间均应依照《破产程序规则》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得视为任何当事方放弃或 relinquishment 任何异议，包括但不限于就当事方请求的任何文件、信息或数据所称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；寻求任何进一步保护令的任何权利；或以通知申请的方式，基于任何理由请求法院或任何其他适用法院免除本命令任何规定的任何权利。\n\n案号 22-50073 文书 4448-1 Filed 05/29/25 Entered 05/29/25 16:32:28 Page 15 of 24\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：立即通知被披露人或实体，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，并防止被披露人或实体进一步传播或使用该等材料；以及立即通知提供方被披露人或实体的身份、披露的周边情况，以及为收回或销毁已披露的指定材料并确保防止其进一步传播或使用而采取的措施。违反本命令条款披露指定材料，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，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实施的任何争议。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决之前，指定材料应继续按照其指定方式处理。经动议，法院可命令撤销受本命令规定约束的任何被如此指定的证据开示材料的“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，未如此行事不妨碍其此后提出质疑。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在证据听证会或审判中对该等指定提出异议的权利。\n\n案号 22-50073 文书 4448-1 Filed 05/29/25 Entered 05/29/25 16:32:28 Page 16 of 24\n\n27. 享有特权的证据开示材料的提供：根据《联邦证据规则》502(d)，如提供方无意中提供其后善意主张因特权而本不应提供的材料，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，提供该材料不得视为构成对任何适用特权或保护的放弃。在此等情形下，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，并由提供方选择请求返还或销毁已提供的材料。接收方在收到该等通知后三（3）个营业日内，应依指示返还或销毁并确认已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，包括与任何试图强制提供已提供材料的行动有关的目的。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步骤取回已提供的材料。该等返还或销毁及销毁确认，不妨碍接收方基于除其已被提供之外的理由寻求强制提供该等已提供材料。此外，本命令不妨碍任何当事方质疑该等材料被指定为享有特权或受保护，并提出动议请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，未如此行事不妨碍其此后提出质疑。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，以解决与任何受到质疑的特权指定有关的任何争议。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等争议提交法院。任何一方均不得主张本段所规定的会面和协商程序构成对任何被主张免于披露的文件之律师—当事人特权或律师工作成果保护的放弃。尽管本命令有任何规定，本命令所载任何条款，包括本第28段，均不得取代或优先于下列《有关 Rule 2004 Subpoenaed Documents and Information 的律师—当事人特权及工作成果保护控制之同意命令》[Docket No. 856]中的任何规定。\n\n案号 22-50073 文书 4448-1 Filed 05/29/25 Entered 05/29/25 16:32:28 Page 17 of 24\n\n29. 非证据开示材料的使用：在任何当事方拥有如下文件或信息的范围内，该等文件或信息原本将构成证据开示材料，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的保密义务的情况下，以非保密基础由当事方接收或可供其取得；(ii) 由该当事方在未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）所负任何保密义务的方式公开或成为公众可获得的信息（统称“非证据开示材料”），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、听证会、审判中，或以其他方式与任何争议或本 Chapter 11 Case 有关地使用。\n\n30. 保密协议和保护令的持续适用性：对于任何保留的证据开示材料，本命令的规定在争议最终终结及债务人脱离破产程序后仍然有效。争议最终终结及债务人脱离破产程序，不解除律师或其他在本命令项下负有义务之人依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. 保密协议和保护令的修改：经证明具有正当理由并通知所有当事方后，任何当事方可在任何时候提出动议修改本命令的规定；或者，提供方和受托人可通过书面约定共同同意，在适用情况下经法院进一步命令后，就该提供方所提供的证据开示材料修改本命令的规定。\n\n案号 22-50073 文书 4448-1 Filed 05/29/25 Entered 05/29/25 16:32:28 Page 19 of 24\n\n32. 在其他程序中披露证据开示材料：任何可能受制于寻求披露提供方证据开示材料的动议、其他形式的法律程序，或任何监管程序、要求或请求的接收方：(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等通知），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) 在不存在禁止该等法律要求之披露的法院命令时，接收方仅获准披露依法必须披露的信息部分，并应书面告知任何获如此披露该等信息之人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。除公开提交其自身证据开示材料外，该等披露不构成放弃本命令的保护，并且在遵守第29段的前提下，不以其他方式赋予其他当事方、非当事方或其律师违反本命令使用或披露该等证据开示材料的权利。\n\n34. 当事方的义务：本命令所载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查；但是，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载限制或程序不一致的方式具体披露任何信息。\n\n36. 既有协议：本命令的规定和要求应构成就任何争议事项中出示的指定材料进行交换和使用的唯一方式。\n\n37. 执行：本命令的规定构成本院的一项命令，违反本命令规定的行为可依照执行本院任何其他命令的同一方式予以执行并施加法律制裁。\n\n38. 根据 11 U.S.C. § 107(c)(3)，美国受托人对本案案卷中提交或向本院递交的任何信息和/或文件享有推定的法定完全查阅权；据此，美国受托人保留寻求查阅任何密封递交或提交文件的一切权利。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 2024 年 ____ 月 ____________ 日在康涅狄格州布里奇波特作出。\n\nJulie A. Manning（朱莉·A·曼宁），美国破产法官\n\n________________________________________________________\n附件 A\n\n声明\n美国康涅狄格州联邦破产法院布里奇波特分庭\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确认并同意受保护令约束的声明\n\n本人特此在伪证处罚的约束下声明（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，本人已阅读并理解康涅狄格州联邦破产法院于 2022 年 在关于郭文贵案（案号 22- 50073 (JAM)）中作出的保护令（以下简称“命令”）之条款。本声明中未另行定义的所有首字母大写术语，均具有该等术语在命令中所赋予的含义。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，且不会向命令未明确允许的任何人披露或\n\n促使向命令未明确允许接收指定材料的任何人披露指定材料，除非根据外国法律必须披露或促使披露指定材料，但仅限于在作出合理努力以遵守与命令一致的外国法律之后。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、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数字为 9595。\n\n5. 本人理解，无论在家中还是工作场所，本人均应对所有未获明确允许接收指定材料的人员保守任何指定材料副本的机密，并将以符合命令的方式妥善保管该等材料。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\n6. 本人确认并同意，本人知悉，接收指定材料可能意味着：\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. 包括联邦证券法在内的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. 本人仅就命令的规定同意受本院管辖。\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":6099,"status":"published","published_at":"2025-05-29 00:00:00","created_at":"2025-05-29","updated_at":"2026-08-23 19:22:15"}