{"id":"court_ctb_54_0","court":"CTB","case_no":"22-50073","doc_number":54,"sub_number":0,"doc_type":"ORDER","filed_date":"2022-03-01","title":"UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION :","summary_zh":null,"summary_en":null,"body_en":"# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n:\n\n:\n\n: :\n\n:\n\nDebtor. :\n\nIn re: : Chapter 11\n\nHO WAN KWOK, : Case No. 22-50073 (JAM)\n\n# **DISCLOSURE OF COMPENSATION OF ATTORNEY FOR DEBTOR**\n\n1. Pursuant to 11 U .S.C. § 329(a) and Fed. Bankr. P. 2016(b), I certify that I am an attorney with Brown Rudnick LLP (the (\"Brown Rudnick\" or the \"Firm\"), proposed counsel for Mr. Ho Wan Kwok, as Debtor and debtor-in-possession in the above-captioned Chapter 11 case, and that compensation paid to Brown Rudnick LLP within one year before the filing of the petition in bankruptcy, for services rendered or to be rendered on behalf of the Debtor in contemplation of, or in connection with, the bankruptcy case is as follows:\n\n**As of the Petition Date, the Firm had a pre-petition retainer balance of:…………….. \\$ 948,164.80** *\\$51,835.20 of the retainer was applied to pay the Firm for pre-filing services*\n\n**Balance Due of retainer:……………………….. \\$0.00**\n\n2. The source of compensation paid to the Firm was Lamp Capital LLC. Lamp Capital LLC made a \\$1,000,000.00 loan to Mr. Kwok, and Mr. Kwok directed Lamp Capital LLC to remit the proceeds directly to the Firm. A copy of the signed engagement letter between the Firm and Mr. Kwok is attached as **Exhibit \"A\".**\n\n3. The source of compensation to be paid to the Firm is the Debtor. It is contemplated that compensation in excess of the retainer will be paid from debtor-in-possession financing.\n\n4. The Firm has not agreed to share compensation from Mr. Kwok with any persons unless they are employees of the Firm.\n\n5. In return for the above-disclosed retainer fee, the Firm has agreed to render legal counsel and services to Mr. Kwok as will be set forth in the soon to be filed *Application of The Debtor For Entry of An Order Authorizing The Employment And Retention of Brown Rudnick LLP As Counsel For The Debtor*.\n\n6. Fees will be billed at the Firm's normal hourly rates and reimbursement of expenses will be sought, subject to Court approval. Mr. Kwok has agreed to pay all such allowed fees and expenses to the extent approved by the Court.\n\n# **CERTIFICATION**\n\nAs of the date hereof, I certify that the foregoing is a complete statement of any agreement or agreement for payment to me and the Firm for the representation of the Debtor in this Chapter 11 case.\n\nDated: March 1, 2022\n\n# */s/ Dylan P. Kletter*\n\nDylan P. Kletter (ct28197) Brown Rudnick LLP 185 Asylum Street, 38th Floor Hartford, Connecticut 06103 Tel: (860) 509-6500 Fax: (860) 509-6501 Email: dkletter@brownrudnick.com\n\n64500281 v3-WorkSiteUS-038210/0001\n\n*Proposed Counsel to Debtor*\n\n# **EXHIBIT A**\n\nWILLIAM R. BALDIGA direct dial: 212.209.4942 wbaldiga@brownrudnick.com\n\nFebruary 14, 2022\n\nGuo Wengui (a/k/a Miles Guo)\n\n## **RE: Confirmation of Engagement**\n\nDear Mr. Guo:\n\nWe are very pleased that Guo Wengui (\"**you**\" or the \"**Client**\") has engaged Brown Rudnick LLP (\"**Brown Rudnick**,\" \"**us**,\" \"**we**,\" \"**our**,\" or the \"**Firm**\"). Enclosed please find the Client Engagement Terms (the \"**Terms**\"), which supplement this letter and include additional information setting forth the terms on which the Firm will provide legal services, the scope of such services, billing and payment arrangements, the Firm's relationship with its clients, and other matters (this letter, together with the Terms, is the \"**Engagement Agreement**\"). Please carefully review the Engagement Agreement. I am of course available to answer any questions you may have regarding the engagement.\n\n## *Scope of Engagement*\n\nWe have agreed to represent you as of February 14, 2022 in connection with your chapter 11 bankruptcy petition to be filed in the Connecticut Bankruptcy Court, subject to you accepting this Engagement Agreement, and payment of the retainer.\n\n# *Staffing, Fees, and Expenses*\n\nI will have primary responsibility for the engagement. To the extent necessary and appropriate, other lawyers and Firm personnel may work on this matter as well.\n\nFees for our services will be based on the time expended by each lawyer and other Firm personnel (including personnel we may temporarily engage) on your matter, multiplied by that person's hourly rate. My hourly rate is currently \\$1,570.\n\nIn addition to the fees for services, you also shall pay, and reimburse the Firm for, all costs and expenses incurred by the Firm in connection with the engagement including, without limitation, those identified in the attached Schedule of Disbursement Charges. We will not incur any cost or expense in excess of \\$5,000 without your prior approval.\n\n\n\nThe Firm's statements of fees for professional services and related costs and expenses will generally be prepared and mailed to you during the month following the month in which services are rendered or costs or expenses are incurred. Payments are due within thirty (30) days of the date of the statement.\n\nThe Firm shall have the right to charge interest at the rate of nine percent (9%) per annum on all unpaid amounts commencing on the date that is thirty (30) days after the initial due date. Any interest charged for the previous billing period will be added to the following month's charge and shall bear like interest.\n\nIt is possible that you may have insurance policies relating to the matter that is the subject of our engagement. **You should carefully check the insurance policies you have purchased and, if coverage may be available, you should provide notice to all insurers that may provide such coverage as soon as possible.** Although we will be pleased to assist you in assessing the potential for coverage under any policies you may have, our engagement will not include advising you with respect to the existence or availability of insurance coverage for matters within the scope of our engagement unless you supply us with copies of your insurance policies and expressly request our advice on the potential coverage available under such policies.\n\n## *Retainer*\n\nYou shall deliver to the Firm a retainer of \\$1,000,000 (the \"**Retainer**\"). The Retainer, as well as any future deposits, will be held in the Firm's retainer account. The Firm may use the Retainer to pay the fees and other charges you incur, and any unused portion will be returned to you as you direct. As discussed, payment of our fees going forward for the post-filing work will be subject to a process of submitting our proposed fees to the Bankruptcy Court, and payment can be made only when and as the Court permits. You will be provided with all information in that regard. You remain responsible for payment of our fees and expenses as set forth in this Engagement Agreement.\n\n## *Conflicts of Interest*\n\nOur ability to represent any and all of our clients is governed by what are commonly called Rules of Professional Conduct, which include but are not limited to rules regarding conflicts of interest between any client of an attorney or law firm and their existing and former clients. The nature and scope of our work for other clients may give rise to conflicts at this time or in the future. The Terms include an Existing and Future Conflicts Waiver section in which you agree to certain waivers of conflicts of interest, including a limited, future waiver of certain potential or actual conflicts of interest. This means that, subject to the limits described in the Terms, the Firm may represent another client in certain matters in which its interests are, will be, or have been adverse to your interests. As set forth in the Terms, the Firm would in any such matter protect the confidentiality of all information that you have shared with us.\n\n\n\n\n\nGuo Wengui (a/k/a Miles Guo) February 14, 2022\n\n#### **BROWN RUDNICK LLP**\n\n### **Client Engagement Terms**\n\nWe are very pleased that you have engaged the Firm. These Client Engagement Terms (the \"**Terms**\"), supplement the letter to which they are attached (the \"**Engagement Letter**\"). Terms defined in the Engagement Letter shall have the same meanings when used in these Terms. The Engagement Letter, together with these Terms, is a contract for our engagement and comprises the \"**Engagement Agreement**\".\n\nWe are of course available to answer any questions you may have regarding the engagement or the Engagement Agreement.\n\n### **Welcome to Brown Rudnick**\n\nBrown Rudnick is a limited liability partnership organized under the laws of the Commonwealth of Massachusetts, which may, when necessary to provide services to you under this Engagement Agreement, collaborate and share resources and information with its subsidiaries or affiliates (the \"**Brown Rudnick Affiliates**\"). You understand and agree that such information may include your confidential or proprietary information and that the partners and employees of Brown Rudnick Affiliates may render services to you, whether or not they are identified as such on the Firm's invoices, all of which shall be governed by the Engagement Agreement. For purposes of the conflicts of interests and professional ethics rules described herein, each of the Firm and the Brown Rudnick Affiliates, in their sole discretion, may elect to treat the other's clients as its own clients.\n\n#### **The Engagement**\n\nThe Firm's engagement to represent you is limited to the matter(s) described in our Engagement Letter and to any additional matters for which the Firm expressly agrees to provide legal representation. In the event we provide services beyond the original scope or for a separate matter(s), this Engagement Agreement and our then prevailing standard terms and conditions, hourly rates, and policies shall automatically govern unless otherwise agreed.\n\nWith respect to the legal services provided pursuant to the Engagement Agreement, the Firm does not represent anyone other than the identified Client, and no attorney-client relationship shall exist between the Firm and any other person or entity, including, without limitation, any affiliates, parents and subsidiaries, shareholders, bondholders, partners, members, managers, principals, agents, beneficiaries, clients, customers, directors, officers, or employees not specifically identified as the Client (\"**Client Affiliates**\"). However, in the event that the Firm is instructed by an affiliate of the Client to represent it, or is, notwithstanding the foregoing sentence or anything else herein to the contrary, at any time or from time *deemed* to represent an affiliate of the Client, the terms of this Engagement Agreement shall be deemed to apply to such affiliate as if it were also the Client at all times during and following such representation or deemed representation (including prior to a court decision deeming such affiliate to have been represented by the Firm), and such representation or deemed representation shall constitute such affiliate's full acceptance, as an additional Client, of the terms set out in this Engagement Agreement, including, without limitation, the waivers of conflicts of interest set forth herein, effective as of and following the commencement of such representation or deemed representation.\n\nYou acknowledge that the Firm has not provided you with legal advice concerning the terms and conditions of our Engagement Agreement.\n\n#### **Charges for Legal Services**\n\n### **A. Legal Fees and Disbursements**\n\nFees for our services and charges for our costs and expenses will be incurred and be payable by you in accordance with these Terms and the \"**Staffing, Fees, and Expenses**\" provisions of the Engagement Letter.\n\nCurrently, our hourly rates for partners/counsel vary from \\$715 to \\$1,875, for associates from \\$530 to \\$975, and for paralegals from \\$395 to \\$490. Other staff hourly rates range from \\$375 to \\$690. These hourly rates are subject to change on a periodic basis.\n\n\n\nAs mentioned in the Engagement Letter, fees for our services may include services provided by personnel that we may temporarily engage. Such personnel may include outside contract lawyers or other professionals not associated with Brown Rudnick. In recognition of our management and administration of the legal and other services provided by these outside contract lawyers and other professionals, we may charge you for their services, including charges based on hourly rates, in an amount that exceeds the amounts we are being charged by them for such services, and we understand that you have consented to our doing so.\n\nWe may provide you with an estimate of our fees and disbursements that you may incur, based on our best judgment. Such estimates, however, are by their nature inexact and are not intended to be binding upon the Firm.\n\n#### **B. Payment/Questions**\n\nPayment should be made by you in the full amount of our statement and you will be responsible also for any withholding tax or other deduction that may be chargeable to you by any relevant taxing authorities or by a governmental entity. If you have any questions about any statement that we submit, you should promptly contact the lawyer responsible for your engagement so that we may understand and address your concerns promptly.\n\n#### **C. Third Party Payment Responsibility**\n\nIf a third party (including, without limitation, an insurer or affiliate) undertakes to pay any portion of the Firm's bills, 1) you will remain responsible for payment of any amounts billed by the Firm and not paid by that third party, 2) you hereby consent to the application of those funds to the outstanding balance of your account with the Firm and waive any right you might otherwise have to direct us to pay or apply those funds in any other fashion, and 3) to the extent any such third party makes payment to us on your behalf accompanied by directions as to what portion of outstanding fees and expenses are to be covered by such payment, you hereby consent to us adhering to those directions and waive any right you might otherwise have to direct us to pay or apply those funds in any other fashion. Such payment shall not create an attorney-client relationship between the Firm and the payer. If you are awarded legal fees or costs by a court or other party, you will remain responsible for payment of the Firm's billed fees and other charges, even if the award to you is less than the amounts we have billed you or that you cannot collect all or part of the award for any reason. Where we have agreed to represent multiple clients in a matter, each client will be jointly and severally responsible for payment of the Firm's statements.\n\n#### **Termination**\n\nYou may, of course, terminate our services at any time. Your termination of our services will not affect your responsibility to pay for billed and unbilled legal services rendered or other charges incurred as of the date of termination and, where appropriate, for such expenses as we may incur in effecting an orderly transition to successor lawyers of your choice.\n\nSubject to ethical rules by which we are bound, we also reserve the right to suspend our services or withdraw from the engagement described in this Engagement Agreement at any time, but barring unusual circumstances we will discuss such suspension or withdrawal with you before doing so and expect to do so only if there are good reasons for such withdrawal, including, without limitation, non-payment of our statements on a timely basis, significant differences between our professional judgment and your judgment, the existence of any facts or circumstances that would render the Firm's continuing representation of you unlawful or unethical, or any other concerns that may arise under the ethical rules by which we are bound. The obligations of the Firm under this Engagement Agreement are and will be subject to court orders, statutes, laws, rules, and regulations governing Client's legal rights and Client authorizes the Firm to take whatever action is necessary to comply with the requirements of such authorities.\n\nUnless it is previously terminated, our representation of you, and our lawyer-client relationship with you, will be deemed to have been terminated upon the conclusion of our services.\n\nWe may ask that you provide additional confirmation of such termination by signing a substitution or withdrawal of counsel and/or such other documents as may be reasonably necessary to evidence or effect the Firm's termination of our lawyer-client relationship, including the Firm's withdrawal\n\n\n\nof its prior appearance in any court or other litigated proceeding. You agree to sign such a substitution or withdrawal of counsel and/or such other documents.\n\nAfter the conclusion or termination of our representation of you as described in the Engagement Agreement, changes in relevant laws, regulations, or decisional authorities may affect your rights and obligations. Unless you engage the Firm to provide future services and to advise you with respect to any issues that may arise in the future as a result of such changes, we will have no continuing obligation to advise you with respect to future legal developments.\n\n#### **Communication**\n\nWe expect that you will cooperate with us and will fully and accurately disclose to us all facts and documents that may be relevant to our representation of you or that we may otherwise request. For instance, you should be reasonably available to attend meetings, discovery proceedings, conferences, and other proceedings.\n\nYou authorize and direct us to take all actions which we deem advisable on your behalf in our representation of you except those specific decisions, if any, set forth in the Engagement Letter which must be made by you. We will notify you of significant developments and consult with you in advance of any significant decisions.\n\nWe will use our professional judgment and efforts in representing you; however, we have given no assurance to you regarding the outcome. Any statements concerning our representation of you or the results that might be anticipated made by us are merely expressions of our opinion as attorneys, limited by the information known to us at the time and are not to be construed as promises or guaranties of any particular results.\n\nThe Firm can provide communications in various modes, depending upon your requirements. These may be accessed from mail accounts on the Internet and other electronic networks. These communication services are used with your understanding that while the Firm will use appropriate measures to protect client confidentiality, they may be subject to security risks. Absent special arrangements, we do not employ encryption technologies in our electronic communications. Should you not wish the Firm to use one or more of the communication methods described above, please advise us of such in writing. We will use reasonable efforts to use the communication services you specify.\n\n#### **Confidentiality**\n\n#### **A. Confidentiality and Disclosure**\n\nWe owe a duty of confidentiality to all our clients and we will protect your confidential information accordingly. As we have discussed, we will take special care to protect the confidentiality of the documents and other information that you share with us. While we will not at this time (unless you request otherwise) construct a formal ethical wall, we will make the documents that you provide to us available only to the lawyers and other employees of our Firm who are actually working on the matter. Similarly, we are not required to disclose to you, or use on your behalf, any confidential documents or information in our possession.\n\n#### **B. Disclosure to Certain Third Parties**\n\nYou agree that we may, when required by our insurers, auditors, or other advisers, provide details to them of any matter or matters on which we have represented you.\n\n#### **C. Data Protection**\n\nThis paragraph, and Annex 1, are added pursuant to our obligations under EU data privacy law. If you are a non-EU citizen or resident based outside of the EU, EU data privacy law will apply to the extent that Brown Rudnick processes any personal data provided by you or on your behalf in the context of its EU establishment.\n\nIn this paragraph, the terms \"**data controller**\", \"personal data\", \"**data processor**\", \"**data subject**\", and \"**process(ing)**\" will have the meanings ascribed to them in the EU General Data Protection Regulation (\"**GDPR**\") and/or with any applicable national laws implementing or replacing the GDPR (together, \"**Data Protection Law**\").\n\nBrown Rudnick, whether acting as a data controller of personal data relating to your partners, directors, officers or employees, or as a data processor in processing personal data on your behalf and in accordance with your instructions, will\n\n\n\ncomply with the GDPR and/or with any applicable national laws implementing or replacing the GDPR. Please see the Privacy Notice set out in Annex 1, which provides further information in respect of when Brown Rudnick is acting as a data controller, including what personal data we collect, why and where we process it, the legal bases for our processing, and the rights of the data subjects to which the personal data relates.\n\nYou hereby confirm that you, acting as our agent in respect of data subjects who are your directors, officers, employees, agents or other contacts, have no reason to believe that you have not complied with all of your obligations under Data Protection Law (to the extent applicable) in respect of your collection and use of such subjects' data and your provision of it to us, in each case as necessary for us to provide you with our services.\n\nTo the extent we are acting as a data processor in processing personal data on your behalf we agree, whenever the GDPR applies, to:\n\n- (a) act only on documented instructions from you in respect of any personal data processed by us;\n- (b) have appropriate technical and organizational measures in place against unauthorized or unlawful processing of personal data and against accidental or unlawful loss or destruction of, alteration or unauthorized disclosure of or access or damage to, personal data held or processed by it, appropriate to the harm that might result from such accidental, unauthorized or unlawful processing or loss, destruction or damage to personal data and the nature of the personal data;\n- (c) ensure the on-going confidentiality, integrity, availability and resilience of processing systems and services as well as the ability to restore the availability and access to personal data in a prompt manner in the event of a physical or technical incident as required under Data Protection Law;\n- (d) not engage another processor without your prior written consent, and where another processor is engaged (a \"**Sub-Processor**\") we shall:\n\n(i) ensure that the Sub-Processor complies with the obligations set out in this paragraph and Data Protection Law;\n\n(ii) in the case of a general consent from you for use of Sub-Processors, inform you of any changes concerning the addition or replacement of Sub-Processors to which you have the right to object; and\n\n(iii) remain liable for any act or omission of any Sub-Processor in respect of its obligations arising from its processing of the personal data;\n\n- (e) assist you to comply with your obligations under Data Protection Law, including in relation to the security of personal data;\n- (f) assist you, at your cost, to respond to requests by data subjects to exercise their rights under Data Protection Law in respect of our engagement, including taking any action required by you to comply with such requests and immediately notifying you of any such requests received by us or any Sub-Processor without responding to such requests or enquiries unless expressly otherwise instructed by you;\n- (g) take all necessary steps to ensure the reliability of any of our staff who have access to personal data processed under this agreement and ensure that they are subject to appropriate obligations of confidentiality;\n- (h) allow you to audit as and when necessary, in accordance with the Data Protection Law, the technical and organizational measures in place to ensure compliance with the Data Protection Law and to make available to you all information necessary to demonstrate such compliance;\n- (i) inform you where in our opinion any of your instructions will result in a breach of Data Protection Law;\n- (j) if required by you, delete or return all personal data in our possession or control to the extent technically feasible save as required by any applicable law; and\n\n\n\n(k) notify you without undue delay if we become aware of any breach of security leading to the accidental or unlawful destruction, loss, alteration, unauthorized disclosure of, or access to, personal data relating to you, and provide all information regarding such breach that you specifically request or which may reasonably be expected to be required or appropriate in order for you to comply with your legal obligations under the Data Protection Law.\n\n#### **Document Retention**\n\nAt your request, we will return to you, your original hard copy documents and property (your \"**client file**\"), except as set forth herein. Subject to applicable rules of ethics by which we are bound, we may condition delivery of your client file upon our receipt of payment for outstanding fees and other charges and your client file will be subject to any lien permissible under applicable rules of professional responsibility. We may provide your client file in original format or an electronic format on a CD, DVD, or other medium. Should you decide not to request or accept any portion of your client file at the conclusion or termination of our representation of you, you authorize us to destroy such portion of your client file at our discretion and without further notice to you, subject to any applicable ethics rules by which we are bound.\n\nYou agree that our drafts of documents, notes, internal working papers, internal e-mail and electronic databases and other attorney work product shall be and remain the property of the Firm and shall not, except in our sole and absolute discretion or as otherwise required by the ethical rules by which we are bound, be considered part of your client file.\n\nThe Firm retains the right to make copies of your client file, at our expense, for our own information and retention purposes.\n\n#### **Anti-Money Laundering Laws**\n\nNumerous countries have enacted Anti-Money Laundering (\"**AML**\") laws. If the Firm's lawyers are engaged to assist you in matters within the scope of our engagement that become subject to AML requirements, it will be necessary to comply with the applicable AML laws. In connection therewith, we or our lawyers may be required to obtain additional, specific evidence of client identity from you.\n\n#### **Dispute Resolution**\n\n#### **A. Resolving Problems and Disputes**\n\nIf you have any complaints or concerns about our work for you, please raise these in the first instance with the lawyer responsible for your engagement or with the Firm's Chief Executive Officer (William R. Baldiga: 617-856-8586) or Chief Legal Officer (Joel S. Miliband: 949-440-0227). We will investigate your complaint promptly and carefully and do what we reasonably can to resolve the difficulties to your satisfaction.\n\n#### **B. General**\n\nExcept as provided herein, should any dispute arise in connection with our representation of you or in connection with any other matter arising under this Engagement Agreement, you and we both agree to seek to resolve the dispute amicably, including, if appropriate, utilization of mediation or other methods of alternative dispute resolution. If the dispute cannot be resolved amicably, you and we both agree that any action or proceeding relating to or arising out of the dispute will be exclusively brought in a state or federal court located in the Specified State and you and we each agree that any such court has, and may exercise, personal jurisdiction over each of you and us in any such action. You agree that in any proceeding in which an order or judgment is entered in our favor, you are responsible for payment of our reasonable attorneys' fees relating to such matter, including, without limitation, the reasonable fees of attorneys employed at the Firm as well as any outside counsel. Conversely, we agree that in any proceeding in which an order or judgment is entered in your favor, we will be responsible for payment of your reasonable attorneys' fees relating to such matter, including, without limitation, the reasonable fees of attorneys employed by you as well as any outside counsel.\n\n#### **C. New York Fee Dispute Process**\n\nIf any of our New York licensed lawyers work on this matter and if a material portion of the legal services we provide to\n\n\n\nyou takes place in New York, you may have an option to invoke arbitration should a fee dispute arise between you and us during or at the conclusion of this engagement. Specifically, in any civil matter where the fee dispute involves a sum of up to \\$50,000, you may have a right to compel resolution by binding arbitration. In addition, whether or not binding arbitration is available, both you and we are encouraged to seek resolution of lawyer-client disputes, including fee disputes, through mediation, and the New York Courts and Bar have established a program for mediation of such disputes by an impartial mediator. In the event that any fee dispute should arise in this engagement which is not promptly and satisfactorily resolved between you and us, we shall furnish you with further details concerning the procedures and effects of arbitration and mediation, so that you can make an informed decision as to how to proceed in the circumstances.\n\n### **D. California Dispute Process**\n\nIf any of our California licensed lawyers work on this matter, or if you are a California resident, you may have a right to invoke arbitration should a fee dispute arise between you and us during or at the conclusion of this engagement, under the California Mandatory Fee Arbitration Program (Business & Professions Code §§ 6200 et seq.).\n\n#### **Limitation of Representation; Client Responsibilities**\n\nThe Firm has no obligation to provide legal services until the Firm is satisfied that you have accepted the Engagement Agreement and paid any initial retainer called for in the Engagement Letter.\n\nExcept as expressly agreed to in the Engagement Letter, our representation of you in any litigation matter will be limited to the final disposition of the matter described therein, whether by trial, judgment, settlement, or other final disposition, by the court, agency, or other administrative body where it is initially pending and shall not include any appeals therefrom to any other court, agency, or administrative body. Should we agree to represent you in an appeal, the terms and conditions of that representation shall be set forth in a separate Engagement Agreement.\n\nOur services will not include advice on tax related issues or the tax implications of any transaction or course of action unless (and then only to the extent that) this is expressly agreed at the commencement, or during the course, of a matter.\n\n#### **Publicity**\n\nWe are often asked to provide examples of our relevant experience in certain fields of work, for use, for example, in the Firm's publicity material. Unless you advise to the contrary, we will assume that we can refer to the fact that we act for you, and may describe in general terms the nature of the work. In the event that we wish to publicize any further details, we would first seek your express authority to do so.\n\n#### **Severance of Terms**\n\nIf all or any part of the Engagement Agreement is or becomes illegal, invalid, or unenforceable in any respect, the remainder will remain valid and enforceable.\n\n### **No Third Party Rights**\n\nNo provision of the Engagement Agreement is intended to be enforceable by any third party. Accordingly, no third party shall have any right to enforce or rely on any provision of the Engagement Agreement.\n\n### **Integration Clause; Inconsistencies**\n\nThis Engagement Agreement supersedes any earlier terms of business we may have agreed with you and, in the absence of express agreement to the contrary, will apply to the services referred to in any Engagement Letter accompanying these Terms and all subsequent legal services we provide to you. In the event of any inconsistency between these Terms and the Engagement Letter, the Engagement Letter shall prevail.\n\nYou acknowledge that the terms of this Engagement Agreement govern the relationship between the Firm and the Client, notwithstanding any terms of any outside counsel guidelines or the like that you may have sent or send to us from time to time, except to the extent that we may otherwise expressly agree in writing. To the extent that we agree to the applicability of any such guidelines, and the terms of such\n\n\n\nguidelines and the Engagement Agreement materially conflict, the Engagement Agreement shall control, except to the extent that we may otherwise expressly agree in writing.\n\n### **Existing and Future Conflicts Waiver**\n\nOur ability to represent any and all of our clients is governed by what are commonly called Rules of Professional Conduct, which include but are not limited to rules regarding conflicts of interest between multiple clients of an attorney or law firm and their existing and former clients (collectively, \"**the Conflicts Rules**\").\n\nThe nature and scope of our work for other clients may give rise to conflicts at this time or in the future. The purpose of this section of the Engagement Agreement is to explain how we propose to treat existing or future conflicts issues so that you can decide now whether or not to be represented by the Firm. In other words, the purpose of this section of the Engagement Agreement is to seek and obtain a waiver of existing and future conflicts, but to do so subject to the conditions and limitations noted herein.\n\nYour acceptance of the Engagement Agreement indicates to us that you find these consents, waivers, and conditions requested and sought below to be acceptable and agree that our representing you in these matters will not prevent or disqualify us from representing clients adverse to you in other matters as set forth herein and that you consent in advance to our undertaking such adverse representations.\n\nThe Firm seeks a waiver only for work that is entirely factually and legally unrelated to the matters on which we represent you (the \"**Matters**\"). Thus the Firm **does not** request a waiver that would allow it:\n\n- At any time, to disclose or use adversely to you any confidential Client information we obtain in the course of representing you in the Matters;\n- For so long as the Firm continues to represent you, to refrain from any requirements under applicable Conflicts Rules to screen the lawyers who work for you from any lawyers who may work on matters adverse to you, and vice versa; or\n\n• To sue you on behalf of another client during the Firm's representation of you.\n\nOutside of these limitations, the Firm is and will remain free to represent other clients adverse to you. In other words, we may represent other clients in negotiations, business transactions, trading claims, trading debt, trading equity interests, trading securities and trading other types of rights and obligations, litigation (unless you are named as a party in a litigation in which we represent another client that is suing you in such litigation), alternative dispute resolution, administrative proceedings, interpleader proceedings, bankruptcy and other insolvency proceedings, and discovery and discovery disputes, including, without limitation, subpoenas, document requests, and depositions, class actions (unless you are named as a party in a class action in which we represent another client that is suing you), or other legal matters even if those matters are adverse to you or if those clients are competitors, including, without limitation, with respect to advice relating to intellectual property strategy, due diligence, licensing and development agreements, joint ventures, and intellectual property protection matters, including, without limitation, trademarks, patents, and copyrights. For example, the Firm shall be permitted to represent other parties in transactions, where you are not represented by the Firm, or in an interpleader, bankruptcy, or other insolvency proceeding, including in adversary proceedings thereunder, such as a debtor, other creditors or creditor groups or an Official Committee of Unsecured Creditors, including, but not limited to, in connection with a matter in which you are a party in interest. Further, if you are or become adverse to another client of the Firm in any matter, whether or not we represent you in such matter, the Firm will also remain free to represent the Firm's other client in other matters, without regard to whether the matter in which you are adverse to the Firm's other client involves negotiations, business transactions, trading claims, trading debt, trading equity interests, trading securities and trading other types of rights and obligations, litigation, alternative dispute resolution, administrative proceedings, interpleader proceedings, bankruptcy and other insolvency proceedings, discovery and discovery disputes, subpoenas, document requests, depositions, class actions, or other legal matters.\n\n\n\nYou acknowledge that the Firm might now represent or in the future represent other clients in matters in which its other clients' interests are adverse to the interests of Client Affiliates. You acknowledge and agree that, except as the Firm may otherwise agree in writing, (a) the Firm represents only the Client and not the Client Affiliates, (b) you do not view our current or future representation of other clients with interests that are adverse to Client Affiliates as creating a conflict of interest with our representation of Client, and (c) you will not use or permit others to use our representation of Client as a basis for objecting to or seeking our disqualification from our representation of other clients in current and future matters, including litigation, in which our other clients' interests are adverse to the interests of Client Affiliates.\n\nThe Firm represents other clients to whom the Firm does not provide legal services, such as its government relations clients, and the Conflicts Rules do not apply to such services. You understand and agree that the Firm may provide nonlegal services to such other clients in matters that might be directly adverse to you or your interests.\n\nThe Firm regularly represents companies in bid protest actions before the U.S. Government Accountability Office (\"**GAO**\"), state and federal agencies, and the U.S. Court of Federal Claims (\"**CFC**\"). Those actions are filed against contract award and selection decisions by agencies or in support of those decisions. You agree that the Firm may represent any protester or intervenor in any GAO, CFC, or state actions, even where you or a company affiliated with you is a party to such actions as an awardee or intervenor.\n\nAlthough unlikely, it may be necessary in the course of your representation for our lawyers to analyze or address their professional duties or responsibilities or those of the Firm, and to consult with the Firm's general counsel or other lawyers in doing so. To the extent we are addressing our duties, obligations or responsibilities to you in those consultations, it is possible that a conflict of interest might be deemed to exist as between our lawyers or the Firm and you. As a condition of this engagement, you consent to any conflict of interest that might be deemed to arise out of any such consultations. You further agree that these consultations are protected from disclosure by the Firm's attorney-client privilege and that you will not seek to discover or inquire into them. Of course, nothing in the foregoing shall diminish or otherwise affect our obligation to keep you informed of material developments in your representation, including any conclusions arising out of such consultations to the extent that they affect your interests.\n\nWe have conducted a search of our Firm's conflicts database. We have disclosed to you any ethical conflicts of interest that existed at such time, as defined by the applicable rules of professional conduct, other than those to which you have consented herein. You agree that such disclosed conflicts, if any, have been resolved to your satisfaction.\n\nSubject to any applicable Conflicts Rules, the terms of this waiver and consent shall last indefinitely.\n\nAs you know, you have had the opportunity to discuss this conflicts waiver and its potential implications with us by phone or in person, and we strongly urge you not to accept this Engagement Agreement if you have any unanswered or unaddressed reservations or concerns. Any time a client makes a decision to waive future conflicts of interest, there are questions it should address, including:\n\n- Is there a material risk of adverse disclosure or use of confidential client information?\n- Is there a material risk that the law firm will be less zealous or eager when representing the client in the applicable matter because of other adverse representation?\n- Is the client ready, willing, and able to live by its commitments in the future?\n\nAs to the first two questions, we believe that any risk to you is minimal to nonexistent in light of the protections and limitations contained in this Engagement Agreement. As to the final question, that is necessarily your choice and not ours.\n\nYou have advised us that this waiver will be treated as an express exception to any of your general policies against granting waivers of conflicts of interest, provided that it is limited to the terms described in this Engagement Agreement for our representation of you in connection with\n\n\n\nthe Matters, and that you have obtained any requisite internal approvals for this exception.\n\n\n\n| BROWN RUDNICK LLP | | |\n|----------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------------------------|--|\n| Schedule of Disbursement Charges | | |\n| TYPE | RATE | |\n| Photocopying or Laser Printing or Scanned Copies
Oversized/Color Copies or Color Laser Printing | 30¢ per page | |\n| | \\$1.80 per page | |\n| Telecopy | \\$2.00 per page | |\n| Binding | \\$3.00 | |\n| | 11¢ per tab | |\n| | 20¢ per pocket | |\n| Courier Services | \\$30.00 minimum | |\n| Legal Analyst Services | \\$90.00 per hour | |\n| Electronic Discovery and Document Maintenance | \\$30 per user per month for Viewpoint license and | |\n| Database Charges | \\$7 per GB per month for storage of data. | |\n| Imaging Costs | Electronic Binder: | |\n| | Document Indexing \\$1.75 per bookmark | |\n| | Oversized Documents \\$1.80 per document
Master CD \\$60.00 | |\n| | Additional Copies \\$30.00 each | |\n| | Summation: | |\n| | Single TIF imaging 11¢ each | |\n| | Single TIF OCR 3¢ each | |\n| | TIF to PDF conversion 5¢ each | |\n| Mileage Allowances | 58¢ per mile | |\n| Outgoing Long Distance Telephone | 34¢ per minute | |\n| Lexis/Westlaw or other document retrieval | Usage Charge as assessed by Service Provider1 | |\n| Messenger Services | \\$20 minimum | |\n| Postage | Actual Cost | |\n| Taxi Services | Actual Cost | |\n| Supplies | Actual Cost | |\n| Food Services | Actual Cost | |\n| Travel Expenses | Actual Cost | |\n| News Watch Services | News Watch email alerts:
Weekly @ \\$50 per week; Daily @ \\$45 per day | |\n| Accuroute Scan | 30¢ per page | |\n| Docketing System Charges | Actual Cost | |\n| Third-Party Electronic Document Maintenance | \\$75 per user per month for Case Notebook license and \\$30 per | |\n| Charges | GB per month for storage of data.
\\$75 per user per month for CaseLogistix license and \\$30 per GB | |\n| | per month for storage of data. | |\n\n1 Brown Rudnick may benefit from a different, bulk pricing formula.\n\n\n\n# **ANNEX 1**\n\n## **ENGAGEMENT LETTER PRIVACY NOTICE**\n\nIn this privacy notice, the terms \"**personal data**\", \"**data subject**\", \"**data controller**\" and \"**processing**\" shall have the meanings ascribed to them in the General Data Protection Regulation (EU/2016/679) (\"**GDPR**\") and in any applicable national legislation implementing or replacing the GDPR (together \"**Data Protection Law**\").\n\nThis privacy notice applies to:\n\n- Brown Rudnick LLP, a limited liability partnership organized in the Commonwealth of Massachusetts, USA and with its principal office at One Financial Center, Boston, MA 02111, and\n- Brown Rudnick LLP, a limited liability partnership registered in England and Wales with company number OC300611 and its registered office at 8 Clifford Street, London W1S 2LQ,\n\ntogether, referred to in this privacy notice as \"**Brown Rudnick**\", the \"**Firm**\", \"**we**\", \"**us**\" and \"**our**\". Our UK entity is registered with the UK Information Commissioner's Office (\"**ICO**\") with number ZA073920.\n\nThis privacy notice applies to the extent that Brown Rudnick collects and/or processes personal data in the capacity of a data controller. Any updates to this privacy notice will be notified to you. This engagement letter privacy notice is in addition to our website privacy notice at www.brownrudnick.com/privacy-policy, which applies to the extent that you interact with our website at www.brownrudnick.com.\n\n## **1. What personal information we collect**\n\nIn the course of entering into the arrangements documented in this letter and in supplying legal services to you, Brown Rudnick will collect and process personal data. The following personal data may be collected in respect of you, your partners, directors, officers and employees (as applicable if you are an incorporated entity), and also your agents and other data subjects connected with you:\n\n- Identity information, such as name, title, place and date of birth, gender, nationality, organization name and position, and information from photographic identity documents such as driving license or passport information.\n- Contact data, such as address and email and personal and business telephone details.\n- Financial and/or employment information including business activities and source of funds. If you ask us to provide you with specific legal services, we may also ask you for further information relating to your employment.\n- Details in respect of political exposure or any actual or alleged criminal convictions.\n- Expressions of opinion, including in relation to the performance and other attributes of a data subject.\n\n\n\n• Marketing and communications data, including preferences in receiving marketing and other communications from us.\n\nWe will process this data in accordance with this privacy notice, and with Data Protection Law. Other than as listed above, we do not usually collect 'special categories' of personal data from our clients, although we may do so if necessary to provide legal services to you, or if otherwise required by law. ('Special categories' of data include details about race or ethnicity, religious or philosophical beliefs, sex life, sexual orientation, political opinions, trade union membership, and health information.)\n\n## **2. How we collect personal data**\n\nYou may provide us with personal data including identity and contact information, marketing and communications preferences, and financial data when you:\n\n- join us as a client and undergo our 'know your client' and anti-money laundering process;\n- correspond with us;\n- provide us with access to your (or your organization's) corporate and financial records; or\n- subscribe to our newsletters and updates.\n- We may also obtain or verify information from public sources (such as Companies House) and/or third party search agencies for anti-money laundering and audit purposes. Information obtained from third parties may include your name (and other family names), address, any directorships you hold, political exposure, and any alleged or actual criminal offences.\n\n# **3. How we use personal data**\n\nWe process personal data:\n\n- where it is necessary to provide our services to you in accordance with the terms of engagement to which this privacy notice is annexed;\n- in order to comply with our legal obligations (for example, to comply with anti-money laundering legislation and regulatory investigations);\n- where the data subject has given his or her consent to the processing; and/or\n- for our legitimate interests or those of any third party recipient of the personal data (for example, to enable to administer and manage our operations).\n\nWe will only retain this data for as long as is necessary to fulfill the purposes for which it was collected or to comply with legal, regulatory or internal policy requirements.\n\n\n\n## **4. How we share your personal data**\n\nWe will only disclose your personal data where we are required to do so to comply with our legal or regulatory obligations; where we need to do so for business management or administration purposes; or because you have asked us to. This is likely to include:\n\n- within the Firm;\n- to third parties who process your personal data on our behalf (such as IT systems providers and other service providers);\n- to third parties who process your personal data on their own behalf but in connection with a service provided to us or you on our behalf (such as accountants, consultants, barristers and other providers of professional services, and in the case of disputes, with the Court or alternative dispute resolution providers);\n- to companies providing services for money laundering checks and other fraud and crime prevention services;\n- in the case of a business reorganization or restructuring, or our assignment or novation of our obligations; and/or\n- to any government, regulatory agency, enforcement or exchange body or court where we are required to do so by applicable law or regulation.\n\n## **5. International transfers of personal data**\n\nBrown Rudnick is an international law firm. Our provision of legal services to you will entail our transferring personal data outside of the European Economic Area.\n\nWhen we transfer your data outside of the EEA to a country which the European Commission does not deem to have adequate data privacy laws, we will ensure that such transfer(s) are in accordance with applicable data privacy laws. In respect of transfers within the Firm, we have executed a data transfer agreement giving effect to the Model Clauses pursuant to Commission decision 2004/915/EC.\n\nIn respect of transfers outside of the firm, we either implement the Model Clauses pursuant to Commission decision 2004/915/EC or 2010/87/EU (as appropriate) with the recipient of your personal data; and/or ensure that the recipient of your data is registered with the EU-US Privacy Shield.\n\nYou can obtain further information in this respect (including a copy of the Model Clauses) by contacting us.\n\n# **6. How we protect your personal data**\n\nWe are committed to safeguarding and protecting personal data and maintain appropriate technical and organizational measures to protect any personal data provided to us from accidental or unlawful destruction,\n\n\n\nloss, alteration, or unauthorized disclosure. We also have in place safeguards including data encryption in motion and at rest, data access and security monitoring, and 24/7 network security monitoring for breaches or anomalous behavior to ensure the security of your data.\n\n## **7. Data subject rights**\n\nUnder Data Protection Law, data subjects have a number of rights with regard to their personal data. They have the right to request from us access to and rectification or erasure of their personal data, the right to restrict or object to processing, as well as in certain circumstances the right to data portability.\n\nIf a data subject has provided consent for the processing of their data, he or she has the right (in certain circumstances) to withdraw that consent at any time.\n\nAny data subject wishing to exercise any of the above rights should email us at: [gdprcommunications@brownrudnick.com.](mailto:gdprcommunications@brownrudnick.com)\n\nWe endeavor to respond to such requests within a month or less, although we reserve the right to extend this period for complex requests. We also reserve the right to charge you a reasonable administrative fee for any manifestly unfounded or excessive requests concerning access to personal data, and for any additional copies of the personal data requested from us.\n\n## **8. Lodging a complaint with the regulator**\n\nAny data subject may lodge a complaint with our data protection regulator if they consider that we have breached their data protection rights. Our data protection regulator is the Information Commissioner's Office, which can be contacted at:\n\nWycliffe House, Water Lane, Wilmslow, Cheshire, SK9 5AF, United Kingdom. Telephone: 0303 123 1113 (local rate) or (+44) 1625 545 745 (national rate) Fax: 01625 524 510 Email: enquiries@ico.org.uk\n\nWe would, however, be grateful if you would contact us in the first instance so we can endeavor to deal with your concerns direct.\n\n## **9. Contacting us**\n\nIf you have any queries about this privacy notice, or about how your personal data (or personal data provided by you) is processed, please contact us using the details set out below:\n\nData Protection Officer at [gdprcommunications@brownrudnick.com](mailto:gdprcommunications@brownrudnick.com) or you can write to these individuals at the addresses set out below:\n\n\n\nJames Darsigny Brown Rudnick LLP One Financial Center Boston, MA 02111\n\nTamara Quailey-Tulloch Brown Rudnick LLP 8 Clifford Street London W1S 2LQ\n\n64455298 v3-WorkSiteUS-000001/5113","body_zh":"美国破产法院康涅狄格州联邦地区布里奇波特分院\n\n债务人。：\n\n关于：：第11章\n\nHO WAN KWOK（郭文贵）：案号 22-50073 (JAM)\n债务人律师报酬披露\n\n1. 根据 11 U.S.C. § 329(a) 和 Fed. Bankr. P. 2016(b)，本人证明，本人系 Brown Rudnick LLP（布朗·拉德尼克律师事务所）（“Brown Rudnick”或“本所”）的律师；该所拟担任上述标题所示第11章案件中作为债务人及占有中债务人的 Ho Wan Kwok（郭文贵）先生的律师。本人进一步证明，在提交破产申请前一年内，就为债务人预期或关联该破产案件而已提供或将提供的服务，向 Brown Rudnick LLP 支付的报酬如下：\n\n截至申请日，本所持有的申请前预付聘金余额为：…………….. $ 948,164.80，其中 $51,835.20 的聘金已用于向本所支付申请提交前的服务费用\n\n聘金应付余额：……………………….. $0.00\n\n2. 向本所支付报酬的资金来源为 Lamp Capital LLC（兰普资本有限责任公司）。Lamp Capital LLC 向 Kwok 先生提供了 $1,000,000.00 的贷款，Kwok 先生指示 Lamp Capital LLC 将款项直接汇给本所。本所与 Kwok 先生之间已签署的委托协议副本附为附件“A”。\n\n3. 将向本所支付报酬的资金来源为债务人。预期超出聘金部分的报酬将由占有中债务人融资支付。\n\n4. 除本所雇员外，本所未同意与任何人分享来自 Kwok 先生的报酬。\n\n5. 作为上述已披露聘金的对价，本所同意向 Kwok 先生提供法律顾问及服务，具体内容将载于即将提交的《债务人申请作出命令授权聘用及留任 Brown Rudnick LLP 作为债务人律师》。\n\n6. 费用将按本所正常小时费率计费，并将申请报销费用，但须经法院批准。Kwok 先生同意在法院批准的范围内支付所有该等获准的费用及开支。\n\n证明\n\n截至本文件日期，本人证明，上述内容系就本所及本人在本第11章案件中代理债务人而向本人及本所支付款项的任何协议或付款安排的完整陈述。\n\n日期：March 1, 2022\n/s/ Dylan P. Kletter\n\nDylan P. Kletter（迪伦·P·克莱特）(ct28197) Brown Rudnick LLP 185 Asylum Street, 38th Floor Hartford, Connecticut 06103 电话：(860) 509-6500 传真：(860) 509-6501 电子邮箱：dkletter@brownrudnick.com\n\n64500281 v3-WorkSiteUS-038210/0001\n\n债务人拟聘律师\n附件 A\n\nWILLIAM R. BALDIGA（威廉·R·鲍尔迪加） 直拨电话：212.209.4942 wbaldiga@brownrudnick.com\n\nFebruary 14, 2022\n\nGuo Wengui（郭文贵，亦称 Miles Guo）\n事由：委托确认\n\n尊敬的 Guo 先生：\n\n我们非常高兴 Guo Wengui（“您”或“客户”）已聘请 Brown Rudnick LLP（“Brown Rudnick”、“我们”或“本所”）。随函附上《客户委托条款》（“条款”），该条款补充本函，并载有关于本所提供法律服务的条款、该等服务的范围、计费及付款安排、本所与其客户之间的关系及其他事项的补充信息（本函与条款合称“委托协议”）。请仔细审阅委托协议。当然，本人可随时回答您就该委托可能提出的任何问题。\n\n委托范围\n\n在您接受本委托协议并支付聘金的前提下，我们同意自 February 14, 2022 起，就您拟向康涅狄格州破产法院提交的第11章破产申请代理您。\n\n人员配置、费用及开支\n\n本人将对该委托承担主要责任。其他律师和本所人员亦可在必要及适当的范围内参与该事项。\n\n我们的服务费用将根据每名律师及其他本所人员（包括我们可能临时聘用的人员）就您的事项所投入的时间，乘以该人员的小时费率计算。本人目前的小时费率为 $1,570。\n\n除服务费用外，您还应支付并向本所偿还本所因该委托产生的一切成本和开支，包括但不限于所附《支出费用表》中列明的项目。未经您事先批准，我们不会产生任何超过 $5,000 的成本或开支。\n\n本所关于专业服务费用及相关成本和开支的账单，通常将在提供服务或产生该等成本或开支所在月份的次月编制并寄送给您。款项应于账单日期后 thirty (30) 日内支付。\n\n本所有权自首次到期日后 thirty (30) 日起，对所有未付款项按年利率 nine percent (9%) 计收利息。就前一计费期间收取的任何利息将计入下一月份的收费，并按相同利率计息。\n\n您可能持有与作为我们委托事项标的的事项有关的保险单。您应仔细核查您购买的保险单；如可能存在保险保障，您应尽快向可能提供该等保障的所有保险人发出通知。尽管我们乐意协助您评估您可能持有的任何保险单下获得保险保障的可能性，但除非您向我们提供保险单副本并明确要求我们就该等保险单下可能获得的保险保障提供意见，否则我们的委托不包括就属于我们委托范围内事项的保险保障是否存在或可得向您提供意见。\n\n聘金\n\n您应向本所支付 $1,000,000 的聘金（“聘金”）。聘金以及任何未来存款将存放于本所的聘金账户。本所可使用聘金支付您产生的费用及其他收费，任何未使用部分将依您的指示返还给您。如已讨论，对于提交申请后工作的未来费用支付，将须经过向破产法院提交我们拟议费用的程序，且仅可在法院准许的时间和范围内付款。您将获提供与此有关的全部信息。您仍有责任按照本委托协议的规定支付我们的费用和开支。\n\n利益冲突\n\n我们代理任何及所有客户的能力受通常称为《职业行为规则》的规范，该等规则包括但不限于有关律师或律师事务所的任何客户与其现有及前任客户之间利益冲突的规则。我们为其他客户所从事工作的性质及范围，可能现在或将来引发利益冲突。条款包括“现有及未来利益冲突豁免”部分，您在该部分同意对若干利益冲突作出豁免，包括对若干潜在或实际利益冲突作出有限的未来豁免。这意味着，在条款所述限制的前提下，本所可在其利益与您的利益存在、将存在或曾存在不利关系的某些事项中代理另一客户。如条款所述，本所将在任何该等事项中保护您与我们共享的所有信息的保密性。\n\nGuo Wengui（郭文贵，亦称 Miles Guo） February 14, 2022\nBROWN RUDNICK LLP（布朗·拉德尼克律师事务所）\n客户委托条款\n\n我们非常高兴您已聘请本所。本《客户委托条款》（“条款”）补充其所附函件（“委托函”）。委托函中定义的术语在本条款中使用时具有相同含义。委托函与本条款共同构成我们委托的合同，并组成“委托协议”。\n\n当然，我们可随时回答您就该委托或委托协议可能提出的任何问题。\n\n欢迎加入 Brown Rudnick\n\nBrown Rudnick 是根据马萨诸塞州联邦法律设立的有限责任合伙企业；在根据本委托协议向您提供服务所必需时，其可与其子公司或关联方（“Brown Rudnick 关联方”）协作，并共享资源和信息。您理解并同意，该等信息可包括您的保密或专有信息，且 Brown Rudnick 关联方的合伙人和雇员可向您提供服务，无论其是否在本所账单中被识别为该等人员，所有该等服务均受委托协议约束。就本文件所述利益冲突及职业道德规则而言，本所和 Brown Rudnick 关联方均可自行决定将对方的客户视为其自身客户。\n\n委托\n\n本所受聘代理您的范围，仅限于我们委托函中所述事项及本所明确同意提供法律代理的任何其他事项。如我们提供超出原始范围的服务，或就单独事项提供服务，则除非另有约定，本委托协议以及我们当时适用的标准条款和条件、小时费率及政策应自动适用。\n\n就根据委托协议提供的法律服务而言，本所不代理经确认的客户以外的任何人，本所与任何其他个人或实体之间均不存在律师—客户关系，包括但不限于任何未被明确确认为客户的关联方、母公司和子公司、股东、债券持有人、合伙人、成员、经理、负责人、代理人、受益人、客户、顾客、董事、高级职员或雇员（“客户关联方”）。但是，如本所受客户关联方指示代理该关联方，或尽管有前述句子或本文件任何其他相反规定，本所在任何时间或被视为在任何时间代理客户关联方，则本委托协议的条款应被视为适用于该关联方，犹如其在该等代理或被视为代理期间及其后始终亦为客户（包括在法院裁定该关联方曾由本所代理之前），且该等代理或被视为代理应构成该关联方作为额外客户，对本委托协议中所列条款的完全接受，包括但不限于本文件所载利益冲突豁免，自该等代理或被视为代理开始时及其后生效。\n\n您确认，本所未就我们委托协议的条款和条件向您提供法律意见。\n\n法律服务收费\n\nA. 法律费用及支出\n\n我们的服务费用及我们的成本和开支收费，将根据本条款及委托函中“人员配置、费用及开支”条款由您承担并支付。\n\n目前，我们合伙人/顾问的小时费率为 $715 至 $1,875，律师助理的小时费率为 $530 至 $975，法律助理人员的小时费率为 $395 至 $490。其他工作人员的小时费率为 $375 至 $690。该等小时费率可定期调整。\n\n如委托函中所述，我们的服务费用可能包括由我们可能临时聘用的人员提供的服务。该等人员可能包括外部合同律师或其他与Brown Rudnick（布朗·拉德尼克律师事务所）无关联的专业人士。鉴于我们对该等外部合同律师及其他专业人士所提供法律及其他服务进行管理和行政协调，我们可能就其服务向您收费，包括按小时费率计收的费用，金额可能超过该等人员就该等服务向我们收取的金额；我们理解您已同意我们如此行事。\n\n我们可根据我们的最佳判断，向您提供您可能产生的费用和垫付款项的估算。然而，该等估算因其性质本身并不精确，且无意对本所具有约束力。\n\nB. 付款／疑问\n\n您应全额支付我们的账单，并且您还应负责支付任何相关税务机关或政府实体可能向您征收的预提税或其他扣除款项。如您对我们提交的任何账单有任何疑问，您应及时联系负责您委托事项的律师，以便我们能够及时了解并处理您的疑虑。\n\nC. 第三方付款责任\n\n如第三方（包括但不限于保险人或关联方）承诺支付本所账单的任何部分，1）您仍应负责支付本所已开具账单但未由该第三方支付的任何款项，2）您特此同意将该等资金用于支付您在本所账户的未付余额，并放弃您原本可能享有的要求我们以任何其他方式支付或使用该等资金的任何权利，以及3）在任何该等第三方代表您向我们付款，并附有关于该付款应涵盖未付费用和支出的哪些部分的指示时，您特此同意我们遵从该等指示，并放弃您原本可能享有的要求我们以任何其他方式支付或使用该等资金的任何权利。该等付款不构成本所与付款人之间的律师—委托人关系。如法院或其他当事人裁定向您支付法律费用或成本，您仍应负责支付本所已开具账单的费用及其他收费，即使裁定给您的金额少于我们向您开具账单的金额，或您因任何原因无法收回全部或部分裁定金额亦然。如我们同意在某一事项中代理多名委托人，每名委托人均应对支付本所账单承担连带责任。\n\n终止\n\n当然，您可随时终止我们的服务。您终止我们的服务不影响您对截至终止之日已提供的已开账单和未开账单法律服务，或已发生的其他收费的付款责任；并且，在适当情况下，亦不影响您对我们为有序移交给您选择的继任律师而可能产生的该等费用的付款责任。\n\n在不违反对我们具有约束力的职业道德规则的前提下，我们亦保留随时暂停服务或退出本委托协议所述委托事项的权利；但除非存在异常情况，我们将在暂停或退出前与您讨论该等暂停或退出，并预计仅在有充分理由退出时才会如此行事，包括但不限于未及时支付我们的账单、我们的专业判断与您的判断之间存在重大分歧、存在任何会使本所继续代理您构成违法或不合职业道德的事实或情形，或可能根据对我们具有约束力的职业道德规则产生的任何其他疑虑。本所根据本委托协议承担的义务现时及将来均受管辖委托人法律权利的法院命令、法规、法律、规则和规章的约束，且委托人授权本所采取为遵守该等权威要求所必需的一切行动。\n\n除非先前已终止，我们对您的代理以及我们与您之间的律师—委托人关系，应于我们的服务完成时视为已经终止。\n\n我们可能要求您通过签署代理律师更换或退出文件和／或为证明或实现本所终止我们律师—委托人关系而合理必要的其他文件，对该等终止作出进一步确认，包括本所在任何法院或其他诉讼程序中撤回其先前的出庭代理。您同意签署该等代理律师更换或退出文件和／或其他文件。\n\n在依照委托协议所述完成或终止我们对您的代理后，相关法律、规章或判例权威的变化可能影响您的权利和义务。除非您聘请本所在未来提供服务，并就因该等变化可能在未来出现的任何问题向您提供建议，否则我们不再负有就未来法律发展向您提供建议的持续义务。\n\n沟通\n\n我们期望您与我们合作，并向我们完整、准确地披露可能与我们代理您有关或我们可能以其他方式要求的所有事实和文件。例如，您应在合理范围内可参加会议、证据开示程序、庭前会议及其他程序。\n\n您授权并指示我们在代理您时代表您采取我们认为适当的一切行动，但委托函中列明必须由您作出的特定决定（如有）除外。我们将通知您重大进展，并在作出任何重大决定之前与您协商。\n\n我们将在代理您时运用我们的专业判断并尽力而为；但是，我们未就结果向您作出任何保证。我们就代理您或可能预期的结果所作出的任何陈述，仅为我们作为律师的意见表达，受限于我们当时所知的信息，不应被解释为对任何特定结果的承诺或保证。\n\n本所可根据您的要求，以各种方式提供通信。该等通信可通过互联网及其他电子网络上的邮件账户访问。您理解，该等通信服务在使用时，尽管本所将采取适当措施保护委托人保密性，仍可能面临安全风险。除非另有特别安排，我们不会在电子通信中采用加密技术。如您不希望本所使用上述一种或多种通信方式，请以书面形式通知我们。我们将作出合理努力，使用您指定的通信服务。\n\n保密性\n\nA. 保密性和披露\n\n我们对所有委托人负有保密义务，并将相应保护您的保密信息。如我们已讨论，我们将特别谨慎地保护您与我们共享的文件及其他信息的保密性。尽管我们目前不会（除非您另有要求）设立正式的职业道德隔离墙，但我们将仅向实际参与该事项的本所律师和其他雇员提供您向我们提供的文件。同样，我们无须向您披露或代表您使用我们持有的任何保密文件或信息。\n\nB. 向某些第三方披露\n\n您同意，在我们的保险人、审计师或其他顾问要求时，我们可向其提供我们曾代理您的任何事项的详细资料。\n\nC. 数据保护\n\n本段及附件1系根据我们在欧盟数据隐私法下的义务加入。如您是居住在欧盟以外的非欧盟公民或居民，在Brown Rudnick于其欧盟营业机构的背景下处理由您或代表您提供的任何个人数据的范围内，欧盟数据隐私法将适用。\n\n在本段中，“数据控制者”、“个人数据”、“数据处理者”、“数据主体”和“处理”具有欧盟《通用数据保护条例》（“GDPR”）及／或任何实施或替代GDPR的适用国家法律（合称“数据保护法”）赋予其的含义。\n\nBrown Rudnick无论是作为与您的合伙人、董事、高级管理人员或雇员有关的个人数据的数据控制者，还是作为根据您的指示代表您处理个人数据的数据处理者，均将遵守GDPR及／或任何实施或替代GDPR的适用国家法律。请参阅附件1所载的隐私声明，其中进一步说明Brown Rudnick何时作为数据控制者行事，包括我们收集哪些个人数据、我们为何及在何处处理该等数据、我们处理数据的法律依据，以及该等个人数据所涉数据主体的权利。\n\n您特此确认，就作为您的董事、高级管理人员、雇员、代理人或其他联系人的数据主体而言，您作为我们的代理人，没有理由认为您未遵守数据保护法（在适用范围内）项下有关您收集和使用该等主体数据以及向我们提供该等数据的所有义务，在每种情况下均以我们向您提供服务所必需者为限。\n\n在我们作为数据处理者代表您处理个人数据的范围内，我们同意，在GDPR适用时：\n\n（a）就我们处理的任何个人数据，仅按照您的书面指示行事；\n\n（b）采取适当的技术和组织措施，以防止未经授权或违法处理个人数据，以及防止意外或违法丢失或毁损、篡改、未经授权披露或访问、或损害其持有或处理的个人数据；该等措施应与因该等意外、未经授权或违法处理，或个人数据丢失、毁损或损害可能造成的损害以及个人数据的性质相适应；\n\n（c）确保处理系统和服务持续具备保密性、完整性、可用性和韧性，并具备在发生物理或技术事件时，依照数据保护法要求及时恢复个人数据可用性和访问权限的能力；\n\n（d）未经您的事先书面同意，不聘用另一数据处理者；如聘用另一数据处理者（“次级处理者”），我们应：\n\n（i）确保次级处理者遵守本段及数据保护法规定的义务；\n\n（ii）如您对使用次级处理者作出一般性同意，通知您有关增加或替换次级处理者的任何变更，您有权对该等变更提出异议；以及\n\n（iii）就任何次级处理者因其处理个人数据而产生的义务，对该次级处理者的任何作为或不作为继续承担责任；\n\n（e）协助您履行您在数据保护法下的义务，包括与个人数据安全有关的义务；\n\n（f）应由您承担费用，协助您回应数据主体就我们的受聘事项行使其在数据保护法下权利而提出的请求，包括采取您为遵守该等请求所要求的任何行动，并在我们或任何分处理方收到任何该等请求时立即通知您；除非您另有明确指示，不对该等请求或查询作出回应；\n\n（g）采取一切必要措施，确保我们的任何可访问根据本协议处理的个人数据的员工均具备可靠性，并确保其受适当保密义务约束；\n\n（h）允许您在必要时根据数据保护法，对为确保遵守数据保护法而实施的技术和组织措施进行审计，并向您提供证明该等遵守所必需的全部信息；\n\n（i）如我们认为您的任何指示将导致违反数据保护法，通知您；\n\n（j）如您要求，在技术可行的范围内删除或返还由我们占有或控制的全部个人数据，但适用法律要求保留的除外；以及\n\n（k）如我们知悉发生任何导致与您有关的个人数据被意外或非法销毁、丢失、篡改、未经授权披露或访问的安全漏洞，应毫不无故拖延地通知您，并提供您特别要求的或为使您遵守数据保护法下法律义务而可合理预期为必要或适当的有关该等漏洞的全部信息。\n\n文件保留\n\n应您的要求，除本协议另有规定外，我们将向您返还您的原始纸质文件及财产（您的“客户档案”）。在遵守对我们具有约束力的适用职业道德规则的前提下，我们可将交付您的客户档案以我们收到未付费用及其他收费的付款为条件，且您的客户档案将受适用职业责任规则所允许的任何留置权约束。我们可按原始格式或以CD、DVD或其他介质上的电子格式提供您的客户档案。如您决定在我们对您的代理工作结束或终止时不要求或接受您的客户档案的任何部分，您授权我们自行决定销毁该部分客户档案，而无需再向您发出通知，但须遵守对我们具有约束力的任何适用职业道德规则。\n\n您同意，我们的文件草稿、笔记、内部工作文件、内部电子邮件及电子数据库以及其他律师工作成果，应属于并始终属于本所财产，且除非由我们自行全权决定或我们所受约束的职业道德规则另有要求，不应被视为您的客户档案的一部分。\n\n本所有权自费制作您的客户档案副本，以供我们自身参考及保存。\n\n反洗钱法律\n\n许多国家已制定反洗钱（“AML”）法律。如本所律师受聘协助您处理属于我们受聘范围内且受AML要求约束的事项，则有必要遵守适用的AML法律。就此而言，我们或我们的律师可能需要从您处取得有关客户身份的额外、具体证据。\n\n争议解决\n\nA. 解决问题和争议\n\n如您对我们为您开展的工作有任何投诉或疑虑，请首先向负责您受聘事项的律师、本所首席执行官William R. Baldiga（威廉·R·巴尔迪加：617-856-8586）或首席法务官Joel S. Miliband（乔尔·S·米利班德：949-440-0227）提出。我们将及时、认真地调查您的投诉，并在合理可行范围内采取措施，以令您满意地解决困难。\n\nB. 一般规定\n\n除本协议另有规定外，如因我们对您的代理或因本委托协议项下产生的任何其他事项发生任何争议，您和我们均同意寻求以友好方式解决该争议，包括在适当情况下采用调解或其他替代性争议解决方法。如无法以友好方式解决争议，您和我们均同意，任何与该争议有关或因该争议产生的诉讼或程序，均应专属提交至位于指定州的州法院或联邦法院，且您和我们各自同意，任何该等法院对您和我们各自在任何该等诉讼中均享有并可行使属人管辖权。您同意，在任何作出对我们有利的命令或判决的程序中，您应负责支付与该事项有关的我们的合理律师费，包括但不限于本所聘用的律师以及任何外部律师的合理费用。反之，我们同意，在任何作出对您有利的命令或判决的程序中，我们应负责支付与该事项有关的您的合理律师费，包括但不限于您聘用的律师以及任何外部律师的合理费用。\n\nC. 纽约费用争议程序\n\n如我们的任何纽约执业律师参与本事项，且我们向您提供的法律服务有实质部分在纽约进行，则如在本次受聘期间或结束时您与我们之间发生费用争议，您可选择提请仲裁。具体而言，在任何费用争议涉及金额不超过$50,000的民事事项中，您可能有权要求通过具有约束力的仲裁解决。此外，无论是否可以进行具有约束力的仲裁，均鼓励您和我们通过调解解决律师与客户之间的争议，包括费用争议；New York Courts and Bar（纽约法院及律师界）已建立一项由中立调解员调解该等争议的计划。如在本次受聘中发生任何未能由您和我们及时、满意地解决的费用争议，我们将向您提供有关仲裁和调解程序及效力的进一步详情，以便您能够就该等情形下如何继续作出知情决定。\n\nD. 加利福尼亚争议程序\n\n如我们的任何加利福尼亚执业律师参与本事项，或您是加利福尼亚居民，则如在本次受聘期间或结束时您与我们之间发生费用争议，您可能有权根据加利福尼亚强制性费用仲裁计划（Business & Professions Code §§ 6200 et seq.）提请仲裁。\n\n代理范围限制；客户责任\n\n在本所确认您已接受委托协议并已支付委托函要求的任何初始预付费用之前，本所无义务提供法律服务。\n\n除非委托函中明确约定，我们在任何诉讼事项中对您的代理将限于由案件最初受理所在的法院、机构或其他行政机构通过审判、判决、和解或其他最终处置方式，对其中所述事项作出最终处置，且不包括就此向任何其他法院、机构或行政机构提起的任何上诉。如我们同意在上诉中代理您，该代理的条款和条件应载于单独的委托协议中。\n\n除非在事项开始时或进行过程中明确约定（且仅在明确约定的范围内），我们的服务不包括就税务相关问题或任何交易或行动方案的税务影响提供意见。\n\n宣传\n\n我们经常被要求提供我们在某些工作领域的相关经验示例，例如用于本所的宣传材料。除非您提出相反意见，我们将假定我们可以提及我们为您提供服务这一事实，并可以概述该项工作的性质。如我们希望宣传任何进一步细节，我们将首先寻求您的明确授权。\n\n条款可分割性\n\n如委托协议的全部或任何部分在任何方面属于或变得违法、无效或不可执行，其余部分仍应有效并可执行。\n\n无第三方权利\n\n委托协议中的任何规定均无意由任何第三方强制执行。因此，任何第三方均无权强制执行或依赖委托协议中的任何规定。\n\n完整协议条款；不一致\n\n本委托协议取代我们先前可能与您约定的任何业务条款，并且在不存在明确相反约定的情况下，适用于随附本条款的任何委托函中所提及的服务，以及我们随后向您提供的所有法律服务。如本条款与委托函之间存在任何不一致，以委托函为准。\n\n您确认，除非我们另行明确书面同意，本委托协议条款规范本所与客户之间的关系，即使您可能不时已向我们发送或将向我们发送任何外部律师指引或类似文件的任何条款，亦不受影响。在我们同意任何该等指引适用的范围内，如该等指引的条款与委托协议存在实质冲突，以委托协议为准，除非我们另行明确书面同意。\n\n现有及未来利益冲突豁免\n\n我们代理任何及所有客户的能力受通常称为职业行为规则的规定约束，该等规则包括但不限于有关律师或律师事务所的多个客户与其现有及前客户之间利益冲突的规则（统称为“利益冲突规则”）。\n\n我们为其他客户开展工作的性质和范围，可能在目前或未来引发利益冲突。本委托协议本节的目的是说明我们拟如何处理现有或未来的利益冲突问题，以便您现在决定是否由本所代理。换言之，本委托协议本节的目的是寻求并取得对现有及未来利益冲突的豁免，但须受本协议所述条件和限制的约束。\n\n您接受委托协议表明，您认为下文所要求和寻求的该等同意、豁免及条件可以接受，并同意我们在该等事项中代理您，不会阻止或取消我们按照本协议所述在其他事项中代理与您利益相对的客户的资格，且您预先同意我们接受该等相对代理。\n\n本所仅就与我们代理您处理的事项（“事项”）在事实上和法律上完全无关的工作寻求豁免。因此，本所并不寻求允许其进行以下行为的豁免：\n\n在任何时候，披露或以不利于您的方式使用我们在事项中代理您过程中获得的任何保密客户信息；\n\n在本所持续代理您的期间，免除根据适用利益冲突规则要求将为您工作的律师与可能处理与您利益相对事项的任何律师进行隔离的义务，反之亦然；或\n\n在本所代理您的期间，代表另一客户起诉您。\n\n除上述限制外，本所现可并将继续自由地代理其他与您利益相对的客户。换言之，我们可代理其他客户进行谈判、商业交易、买卖债权、买卖债务、买卖股权权益、买卖证券及买卖其他类型的权利和义务、诉讼（除非您在某一诉讼中被列为当事人，而我们在该诉讼中代理另一名对您提起诉讼的客户）、替代性争议解决、行政程序、提存程序、破产及其他无力偿债程序，以及证据开示和证据开示争议，包括但不限于传票、文件请求和证言记录、集体诉讼（除非您在某一集体诉讼中被列为当事人，而我们在该集体诉讼中代理另一名对您提起诉讼的客户），或其他法律事务，即使该等事务与您利益相对，或该等客户属于竞争对手，包括但不限于涉及知识产权战略、尽职调查、许可和开发协议、合资企业以及知识产权保护事项的建议，包括但不限于商标、专利和版权。例如，本所应获准在您并非由本所代理的交易中，或在提存、破产或其他无力偿债程序中代理其他当事人，包括其中的对抗程序中的债务人、其他债权人或债权人团体，或无担保债权人官方委员会，包括但不限于与您作为利害关系方的事项有关的情形。此外，如您在任何事项中与本所的另一客户利益相对，无论我们是否在该事项中代理您，本所亦将继续自由地在其他事项中代理本所的该另一客户，而不论您与本所另一客户利益相对的事项是否涉及谈判、商业交易、买卖债权、买卖债务、买卖股权权益、买卖证券及买卖其他类型的权利和义务、诉讼、替代性争议解决、行政程序、提存程序、破产及其他无力偿债程序、证据开示和证据开示争议、传票、文件请求、证言记录、集体诉讼或其他法律事务。\n\n您确认，本所目前可能代理或未来可能代理其他客户，且该等其他客户的利益与客户关联方（Client Affiliates）的利益相对。您确认并同意，除非本所以书面形式另行同意，(a) 本所仅代理客户（Client），而不代理客户关联方，(b) 您不认为我们目前或未来代理利益与客户关联方相对的其他客户，会与我们代理客户产生利益冲突，以及 (c) 您不会使用或允许他人使用我们代理客户一事，作为反对我们代理其他客户或寻求取消我们代理其他客户资格的依据；该等其他客户目前及未来事项（包括诉讼）中的利益与客户关联方的利益相对。\n\n本所代理其他并未由本所提供法律服务的客户，例如其政府关系客户，且利益冲突规则（Conflicts Rules）不适用于该等服务。您理解并同意，本所可在可能与您或您的利益直接相对的事项中向该等其他客户提供非法律服务。\n\n本所经常在美国政府问责局（U.S. Government Accountability Office，“GAO”）、州和联邦机构以及美国联邦索赔法院（U.S. Court of Federal Claims，“CFC”）审理的投标异议程序中代理公司。该等程序系针对机构作出的合同授予和遴选决定提出，或为支持该等决定而提出。您同意，本所可在任何 GAO、CFC 或州级程序中代理任何异议人或介入人，即使您或与您关联的公司作为中标人或介入人参加该等程序。\n\n尽管不太可能，但在代理您的过程中，我们的律师可能有必要分析或处理其职业义务或责任，或本所的职业义务或责任，并在此过程中咨询本所的总法律顾问或其他律师。在该等咨询中，如我们正在处理我们对您的职责、义务或责任，则我们律师或本所与您之间可能被视为存在利益冲突。作为本次委托的条件，您同意任何可能被视为因该等咨询而产生的利益冲突。您进一步同意，该等咨询受本所律师—客户保密特权保护，不得披露，且您不会寻求通过证据开示获取或询问该等咨询内容。当然，上述任何内容均不应减损或以其他方式影响我们使您知悉代理您事务中重大进展的义务，包括该等咨询所产生且影响您利益的任何结论。\n\n我们已检索本所的利益冲突数据库。除您已在本协议中同意的利益冲突外，我们已向您披露在该时点存在的、适用职业行为规则所界定的任何职业道德利益冲突。您同意，该等已披露的利益冲突（如有）已得到令您满意的解决。\n\n在遵守任何适用利益冲突规则的前提下，本豁免和同意的条款应无限期持续有效。\n\n如您所知，您已有机会通过电话或亲自与我们讨论该利益冲突豁免及其潜在影响；如您仍有任何未获解答或未获处理的保留意见或担忧，我们强烈敦促您不要接受本委托协议（Engagement Agreement）。任何时候客户决定豁免未来利益冲突时，均有应予处理的问题，包括：\n\n• 是否存在重大风险，即机密客户信息被不利披露或使用？\n\n• 是否存在重大风险，即因代理其他利益相对方，律师事务所在适用事项中代理客户时将不那么积极或热切？\n\n• 客户是否已准备好、愿意且能够在未来遵守其承诺？\n\n对于前两个问题，鉴于本委托协议中包含的保护和限制措施，我们认为您面临的任何风险微乎其微或不存在。对于最后一个问题，该问题必然由您而非我们作出选择。\n\n您已告知我们，本豁免将被视为对您任何关于不授予利益冲突豁免的一般政策的明示例外，前提是其仅限于本委托协议所述、与我们就下述事项代理您有关的条款，\n\n该等事项，并且您已取得该例外所需的任何内部批准。\n\nBROWN RUDNICK LLP（布朗·拉德尼克律师事务所）\n\n费用支出收费表\n类型 费率\n复印、激光打印或扫描副本\n大尺寸／彩色副本或彩色激光打印 每页 30¢\n每页 $1.80\n传真 每页 $2.00\n装订 $3.00\n每个标签页 11¢\n每个口袋 20¢\n快递服务 最低 $30.00\n法律分析师服务 每小时 $90.00\n电子证据开示和文件维护 Viewpoint 许可每用户每月 $30，及\n数据库收费 数据存储每 GB 每月 $7。\n图像处理费用 电子活页夹：\n文件索引 每个书签 $1.75\n大尺寸文件 每份文件 $1.80\n主 CD $60.00\n附加副本 每份 $30.00\nSummation：\n单张 TIF 图像处理 每张 11¢\n单张 TIF OCR 每张 3¢\nTIF 转换为 PDF 每张 5¢\n里程补贴 每英里 58¢\n外拨长途电话 每分钟 34¢\nLexis/Westlaw 或其他文件检索 按服务提供商评定的使用费率1\n专人递送服务 最低 $20\n邮资 实际成本\n出租车服务 实际成本\n用品 实际成本\n餐饮服务 实际成本\n差旅费用 实际成本\n新闻监测服务 新闻监测电子邮件提醒：\n每周 $50；每日 $45\nAccuroute 扫描 每页 30¢\n案卷管理系统收费 实际成本\n第三方电子文件维护 Case Notebook 许可每用户每月 $75，及每\n收费 GB 数据存储每月 $30。\nCaseLogistix 许可每用户每月 $75，及每 GB\n数据存储每月 $30。\n\n1 Brown Rudnick 可能适用不同的批量定价公式而获益。\n\n附件 1\n委托函隐私通知\n\n在本隐私通知中，“个人数据”、“数据主体”、“数据控制者”和“处理”等术语应具有《通用数据保护条例》（EU/2016/679）（“GDPR”）以及任何适用的、实施或替代 GDPR 的国家立法（统称“数据保护法”）所赋予的含义。\n\n本隐私通知适用于：\n\n• Brown Rudnick LLP（布朗·拉德尼克律师事务所），一家根据美国马萨诸塞州联邦组织成立的有限责任合伙企业，其主要办事处位于 One Financial Center, Boston, MA 02111，及\n\n• Brown Rudnick LLP，一家在英格兰和威尔士注册、公司编号为 OC300611 的有限责任合伙企业，其注册地址位于 8 Clifford Street, London W1S 2LQ，\n\n在本隐私通知中，以上统称为“Brown Rudnick”、“本所”、“我们”及“我们的”。我们的英国实体已向英国信息专员办公室（UK Information Commissioner's Office，“ICO”）登记，登记编号为 ZA073920。\n\n本隐私通知适用于 Brown Rudnick 作为数据控制者收集及／或处理个人数据的范围。对本隐私通知的任何更新将通知您。本委托函隐私通知是对我们网站隐私通知 www.brownrudnick.com/privacy-policy 的补充；在您与我们的网站 www.brownrudnick.com 互动的范围内，该网站隐私通知适用。\n1. 我们收集哪些个人信息\n\n在达成本函所载安排以及向您提供法律服务的过程中，Brown Rudnick 将收集和处理个人数据。可能就您、您的合伙人、董事、高级职员和雇员（如您为法人实体，则视情况而定），以及您的代理人和其他与您有关的数据主体收集以下个人数据：\n\n• 身份信息，例如姓名、称谓、出生地点和日期、性别、国籍、组织名称和职位，以及驾驶执照或护照信息等带照片身份证明文件中的信息。\n\n• 联系数据，例如地址、电子邮件以及个人和商务电话详细信息。\n\n• 财务及／或就业信息，包括商业活动和资金来源。如您要求我们向您提供特定法律服务，我们亦可能要求您提供与您的就业有关的进一步信息。\n\n• 有关政治风险暴露或任何实际或被指称的刑事定罪的详情。\n\n• 意见表达，包括有关数据主体表现及其他特征的意见表达。\n\n• 营销和通信数据，包括接收我们营销及其他通信的偏好。\n\n我们将依照本隐私通知及数据保护法处理该等数据。除上文所列外，我们通常不会收集客户的“特殊类别”个人数据，但如为向您提供法律服务所必需，或法律另有要求，我们可能会收集该等数据。（“特殊类别”数据包括有关种族或族裔、宗教或哲学信仰、性生活、性取向、政治观点、工会会员资格及健康信息的详情。）\n2. 我们如何收集个人数据\n\n当您进行下列行为时，您可能向我们提供个人数据，包括身份和联系信息、营销和通信偏好以及财务数据：\n\n- 作为客户加入我们，并接受我们的“了解您的客户”及反洗钱程序；\n\n- 与我们通信；\n\n- 向我们提供查阅您（或您所在组织）的公司及财务记录的权限；或\n\n- 订阅我们的新闻通讯和更新。\n\n- 我们还可能为反洗钱及审计目的，从公开来源（如英国公司注册处）和/或第三方查询机构获取或核实信息。从第三方获得的信息可能包括您的姓名（及其他姓氏）、地址、您担任的任何董事职务、政治敏感身份，以及任何被指称或实际存在的刑事犯罪。\n\n3. 我们如何使用个人数据\n\n我们处理个人数据：\n\n- 在为根据本隐私声明所附的委托条款向您提供服务所必需的情况下；\n\n- 为履行我们的法律义务（例如，为遵守反洗钱法律法规及监管调查）；\n\n- 在数据主体已同意处理其个人数据的情况下；和/或\n\n- 为实现我们的合法利益或个人数据任何第三方接收方的合法利益（例如，为便于管理和运营我们的业务）。\n\n我们仅会在为实现收集该等数据的目的所必需的期间内，或为遵守法律、监管或内部政策要求所必需的期间内，保留该等数据。\n\n4. 我们如何共享您的个人数据\n\n我们仅会在为遵守法律或监管义务而必须披露、为业务管理或行政目的而需要披露，或因您要求我们披露的情况下，披露您的个人数据。这可能包括：\n\n- 在本所内部；\n\n- 向代表我们处理您个人数据的第三方（如信息技术系统供应商及其他服务供应商）；\n\n- 向为自身目的处理您的个人数据，但与向我们提供的服务或代表我们向您提供的服务有关的第三方（如会计师、顾问、大律师及其他专业服务提供者；如发生争议，则包括法院或替代性争议解决服务提供者）；\n\n- 向提供洗钱审查及其他欺诈和犯罪预防服务的公司；\n\n- 在业务重组或重整，或我们转让或债务更替我们的义务的情况下；和/或\n\n- 向适用法律或法规要求我们披露的任何政府、监管机构、执法机构、交易所机构或法院。\n\n5. 个人数据的国际传输\n\nBrown Rudnick（布朗·拉德尼克律师事务所）是一家国际律师事务所。我们向您提供法律服务将涉及我们向欧洲经济区以外传输个人数据。\n\n当我们将您的数据传输至欧洲经济区以外、且欧盟委员会认为其不具备充分数据隐私法律的国家时，我们将确保该等传输符合适用的数据隐私法律。对于本所内部的传输，我们已签署数据传输协议，以根据委员会决定 2004/915/EC 实施标准合同条款。\n\n对于向本所以外的传输，我们将根据委员会决定 2004/915/EC 或 2010/87/EU（视情况而定），与您个人数据的接收方实施标准合同条款；和/或确保您数据的接收方已注册加入 EU-US Privacy Shield（欧盟—美国隐私盾）。\n\n您可通过联系我们获得有关此事的进一步信息（包括标准合同条款的副本）。\n\n6. 我们如何保护您的个人数据\n\n我们致力于保障和保护个人数据，并采取适当的技术和组织措施，以保护向我们提供的任何个人数据免遭意外或非法毁坏、丢失、篡改或未经授权的披露。我们还实施了包括传输中和静态数据加密、数据访问及安全监控，以及每周 7 天、每天 24 小时针对泄露或异常行为的网络安全监控等保障措施，以确保您数据的安全。\n\n7. 数据主体权利\n\n根据 Data Protection Law（数据保护法），数据主体就其个人数据享有多项权利。其有权要求我们提供其个人数据的访问权限以及更正或删除其个人数据，有权限制或反对处理，并在某些情况下享有数据可携带权。\n\n如数据主体已同意处理其数据，其有权在任何时候撤回该同意（在某些情况下）。\n\n任何希望行使上述任何权利的数据主体，应发送电子邮件至：[gdprcommunications@brownrudnick.com.]。\n\n我们努力在一个月内或更短时间内回应此类请求，但我们保留对复杂请求延长该期限的权利。对于任何明显无根据或过度的个人数据访问请求，以及向我们请求的个人数据的任何额外副本，我们亦保留向您收取合理行政费用的权利。\n\n8. 向监管机构提出投诉\n\n如任何数据主体认为我们侵犯了其数据保护权利，其可向我们的数据保护监管机构提出投诉。我们的数据保护监管机构为 Information Commissioner's Office（信息专员办公室），可通过以下方式联系：\n\nWycliffe House, Water Lane, Wilmslow, Cheshire, SK9 5AF, United Kingdom。电话：0303 123 1113（本地费率）或 (+44) 1625 545 745（全国费率）传真：01625 524 510 电子邮件：enquiries@ico.org.uk\n\n但是，如您首先联系我们，以便我们努力直接处理您的关切，我们将不胜感激。\n\n9. 联系我们\n\n如您对本隐私声明，或对如何处理您的个人数据（或由您提供的个人数据）有任何疑问，请使用下列详细信息联系我们：\n\nData Protection Officer（数据保护官）：[gdprcommunications@brownrudnick.com]；或者，您可按下列地址致函这些人员：\n\nJames Darsigny（詹姆斯·达西尼） Brown Rudnick LLP One Financial Center Boston, MA 02111\n\nTamara Quailey-Tulloch（塔玛拉·奎利-塔洛克） Brown Rudnick LLP 8 Clifford Street London W1S 2LQ\n\n64455298 v3-WorkSiteUS-000001/5113","key_entities":["Je","Kwok","Guo","CIPA","Miles Guo","Ho Wan Kwok"],"ecf_references":[],"word_count":8686,"status":"published","published_at":"2022-03-01 00:00:00","created_at":"2022-03-01","updated_at":"2026-08-23 20:52:59"}