{"id":"court_ctb_87_0","court":"CTB","case_no":"22-50073","doc_number":87,"sub_number":0,"doc_type":"ORDER","filed_date":null,"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.[1](#page-0-0) :\n\nIn re: : Chapter 11\n\nHo Wan Kwok, : Case No. 22-50073\n\n# **DEBTOR'S APPLICATION FOR AUTHORIZATION TO RETAIN AND EMPLOY STRETTO AS CLAIMS AND NOTICING AGENT**\n\nMr. Ho Wan Kwok, debtor and debtor-in-possession (\"Mr. Kwok\" or the \"Debtor\") in the above-captioned chapter 11 case (this \"Chapter 11 Case\"), hereby submits this application (this \"Application\") for entry of an order, substantially in the form attached hereto as **Exhibit A** (the \"Order\"), authorizing him to retain and employ Stretto, Inc. (\"Stretto\") as his claims and noticing agent (the \"Claims and Noticing Agent\"), in accordance with the terms and conditions set forth in the services agreement a copy of which is attached hereto as **Exhibit B** (the \"Services Agreement\"). In support of this Application, the Debtor submits the declaration of Sheryl Betance, Senior Managing Director, Corporate Restructuring, of Stretto, attached hereto as **Exhibit C** (the \"Betance Declaration\"), and further incorporates the *Declaration of Mr. Ho Wan Kwok in Support of the Chapter 11 Case and Certain Motions* (the \"Kwok Declaration\"), filed contemporaneously herewith. In further support of this Application, the Debtor respectfully states as follows:\n\n# **JURISDICTION**\n\n1. This Court has jurisdiction to consider this matter pursuant to 28 U.S.C. §§ 157(b) and 1334. This proceeding is core pursuant to 28 U.S.C. § 157(b).\n\n2. Venue is proper before this Court pursuant to 28 U.S.C. §§ 1408 and 1409.\n\n\n\n1 The Debtor is known by the following names: Guo Wengui; Miles Guo; Miles Kwok; and Ho Wan Kwok.\n\n3. The bases for the relief requested herein are section 156(c) of title 28 of the United States Code, section 105(a) of title 11 of the United States Code (the \"Bankruptcy Code\"), and Rules 2014(a) and 2016 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\").\n\n### **BACKGROUND**\n\n4. On February 15, 2022 (the \"Petition Date\"), the Debtor commenced the above-captioned bankruptcy case by filing a voluntary petition for relief under chapter 11 of the Bankruptcy Code.\n\n5. The Debtor is a debtor-in-possession pursuant to Bankruptcy Code sections 1107(a) and 1108.\n\n6. No trustee, examiner, or statutory committee has been appointed in this Chapter 11 Case, nor has any official committee been appointed pursuant to section 1102 of the Bankruptcy Code.\n\n### **RELIEF REQUESTED**\n\n7. The Debtor seeks entry of an order authorizing him to retain and employ Stretto as his Claims and Noticing Agent effective as of the Petition Date in accordance with the terms and conditions set forth in the Services Agreement.\n\n8. The Debtor seeks to retain Stretto as his Claims and Noticing Agent, including having Stretto assume full responsibility for the distribution of notices and the maintenance, processing, and docketing of proofs of claim filed in this Chapter 11 Case. The Debtor's selection of Stretto to act as the Claims and Noticing Agent is appropriate under the circumstances and in the best interest of his estate. Moreover, the Debtor submits that Stretto's rates are competitive and reasonable given Stretto's quality of services and expertise.\n\n### **STRETTO'S QUALIFICATIONS**\n\n9. Stretto is a chapter 11 administrator comprised of leading industry professionals with significant experience in both the legal and administrative aspects of large, complex chapter 11 cases. Stretto's professionals have experience in noticing, claims administration, solicitation, balloting, and facilitating other administrative aspects of chapter 11 cases and experience in matters of this size and complexity. Stretto's professionals have acted as official claims and noticing agent in several large bankruptcy cases nationwide. Stretto has developed efficient and cost-effective methods to handle the voluminous mailings associated with the noticing and claims processing portions of chapter 11 cases to ensure the efficient, orderly and fair treatment of creditors, equity security holders, and all parties in interest. Stretto's recent active and former cases include: *In re Carla's Pasta, Inc.*, Case No. 21-20111 (JJT) (Bankr. D. Conn. March 19, 2021); *In re A.B.C. Carpet Co., Inc.*, Case No. 12-11591 (DSJ) (Bankr. S.D.N.Y. Sept. 10, 2021); *In re Kumtor Gold Co. CJSC*, Case No. 21-11051 (LGB) (Bankr. S.D.N.Y. June 8, 2021); *In re VTES, Inc.*, Case No. 20-12941 (JLG) (Bankr. S.D.N.Y. Jan. 15, 2021); *In re Furla (U.S.A.), Inc.,* Case No. 20-12604 (SCC) (Bankr. S.D.N.Y. Nov. 12, 2020); *In re Century 21 Department Stores LLC,* Case No. 20-12097 (SCC) (Bankr. S.D.N.Y. Sept. 14, 2020); *In re NTS W. USA Corp.,* Case No. 20-35769 (CGM) (Bankr. S.D.N.Y. July 29, 2020); *In re Dean & Deluca N.Y., Inc.,* Case No. 20-10916 (MEW) (Bankr. S.D.N.Y. Apr. 7, 2020); *In re Seabras 1 USA, LLC*, Case No. 19-14006 (SMB) (Bankr. S.D.N.Y. Dec. 27, 2019); *In re Agera Energy LLC*, Case No. 19-23802 (RDD) (Bankr. S.D.N.Y. Oct. 9, 2019); and *In re Barneys New York, Inc.*, Case No. 19-36300 (CGM) (Bankr. S.D.N.Y. Aug. 7. 2019).[2](#page-2-0)\n\n2 Because of the voluminous nature of the orders cited herein, such orders have not been attached to this Application. Copies of these cited orders are available upon request to the Debtor's counsel.\n\n# **SERVICES TO BE RENDERED**\n\n10. Under the Services Agreement, Stretto will perform the following services (collectively, the \"Services\"), as the Claims and Noticing Agent, at the request of the Debtor or the Clerk of the Bankruptcy Court (the \"Clerk\"):\n\n- a. assist the Debtor with the preparation and distribution of all required notices and documents in accordance with the Bankruptcy Code and the Bankruptcy Rules in the form and manner directed by the Debtor and/or the Court, including: (i) notice of the commencement of this Chapter 11 Case and the initial meeting of creditors under Bankruptcy Code section 341(a); (ii) notice of any claims bar date; (iii) notice of any proposed sale of the Debtor's assets; (iv) notices of objections to claims and objections to transfers of claims; (v) notices of any hearings on a disclosure statement and confirmation of any plan or plans of reorganization, including under Bankruptcy Rule 3017(d); (vi) notice of the effective date of any plan; and (vii) all other notices, orders, pleadings, publications and other documents as the Debtor, Court, or Clerk may deem necessary or appropriate for an orderly administration of this Chapter 11 Case;\n- b. maintain an official copy of the Debtor's Schedules, listing the Debtor's known creditors and the amounts owed thereto;\n- c. maintain (i) a list of all potential creditors, equity holders and other partiesin-interest and (ii) a \"core\" mailing list consisting of all parties described in Bankruptcy Rule 2002(i), (j), and (k) and those parties that have filed a notice of appearance pursuant to Bankruptcy Rule 9010, and update and make said lists available upon request by a party-in-interest or the Clerk;\n- d. to the extent applicable, furnish a notice to all potential creditors of the last date for filing proofs of claim and a form for filing a proof of claim, after such notice and form are approved by the Court, and notify said potential creditors of the existence, amount and classification of their respective claims as set forth in the Schedules, which may be effected by inclusion of such information (or the lack thereof, in cases where the Schedules indicate no debt due to the subject party) on a customized proof of claim form provided to potential creditors;\n- e. maintain a post office box or address for receiving claims and returned mail, and process all mail received;\n- f. for all notices, motions, orders or other pleadings or documents served, prepare and file or cause to be filed with the Clerk an affidavit or certificate of service no more frequently than every 7 days that includes: (i) either a copy of the notice served or the docket number(s) and title(s) of the\n\npleading(s) served; (ii) a list of persons to whom it was mailed (in alphabetical order) with their addresses; (iii) the manner of service; and (iv) the date served;\n\n- g. receive and process all proofs of claim, including those received by the Clerk, check said processing for accuracy and maintain the original proofs of claim in a secure area;\n- h. provide an electronic interface for filing proofs of claim;\n- i. maintain the official claims register for each Debtor (collectively, the \"Claims Registers\") on behalf of the Clerk; upon the Clerk's request, provide the Clerk with certified, duplicate unofficial Claims Registers; and specify in the Claims Registers the following information for each claim docketed: (i) the claim number assigned; (ii) the date received; (iii) the name and address of the claimant and agent, if applicable, who filed the claim; (iv) address for payment, if different from the notice address; (v) the amount asserted; (vi) the asserted classification(s) of the claim (e.g., secured, unsecured, priority, etc.); (vii) the Debtor; and (viii) any disposition of the claim;\n- j. provide public access to the Claims Registers, including complete proofs of claim with attachments, if any, without charge;\n- k. record all transfers of claims and provide any notices of such transfers as required by Bankruptcy Rule 3001(e);\n- l. implement reasonable security measures designed to ensure the completeness and integrity of the Claims Registers and the safekeeping of any proofs of claim;\n- m. relocate, by messenger or overnight delivery, all of the court-filed proofs of claim to the offices of Stretto not less than weekly;\n- n. monitor the Court's docket for all notices of appearance, address changes, and claims-related pleadings and orders filed and make necessary notations on and/or changes to the claims register and any service or mailing lists, including to identify and eliminate duplicative names and addresses from such lists;\n- o. identify and correct any incomplete or incorrect addresses in any mailing or service lists (to the extent such information is available);\n- p. assist in the dissemination of information to the public and respond to requests for administrative information regarding this Chapter 11 Case as directed by the Debtor or the Court, including through the use of a case website and/or call center;\n- q. provide docket updates via email to parties who subscribe for such service through the Debtor's case website and/or call center;\n- r. comply with applicable federal, state, municipal, and local statutes, ordinances, rules, regulations, orders, and other requirements in connection with the Services rendered pursuant to the Services Agreement;\n- s. Assist with, among other things, solicitation, balloting, and tabulation of votes; prepare any related reports, as required in support of confirmation of a chapter 11 plan;\n- t. Prepare an official ballot certification and, if necessary, testify in support of the ballot tabulation results;\n- u. Assist with the preparation of the Debtor's schedules of assets and liabilities and statements of financial affairs and gather data in conjunction therewith;\n- v. Provide a confidential data room;\n- w. Manage and coordinate any distributions pursuant to a chapter 11 plan if designated as distribution agent under such plan; and\n- x. Provide such other solicitation, balloting and other administrative services described in the Engagement Agreement as may be requested from time to time by the Debtor, the Bankruptcy Court or the Office of the Clerk of the Bankruptcy Court.\n- y. if this Chapter 11 Case is converted to cases under chapter 7 of the Bankruptcy Code, contact the Clerk within 3 days of notice to Stretto of entry of the order converting the cases;\n- z. 30 days prior to the close of this Chapter Case, to the extent practicable, request that the Debtor submits to the Court a proposed order dismissing Stretto as Claims and Noticing Agent and terminating its services in such capacity upon completion of its duties and responsibilities and upon the closing of this Chapter 11 Case;\n- aa. within 7 days of notice to Stretto of entry of an order closing this provide to the Court the final version of the Claims Registers as of the date immediately before the close of the cases; and\n- bb. at the close of this Chapter 11 Case: (i) box and transport all original documents, in proper format, as provided by the Clerk, to any location requested by the Clerk; and (ii) docket a completed SF-135 Form indicating the accession and location numbers of the archived claims.\n\n# **DISINTERESTEDNESS OF STRETTO**\n\n11. Stretto has reviewed its electronic database to determine whether it has any relationships with the creditors and parties in interest provided by the Debtor, and, to the best of the Debtor's knowledge, information, and belief, Stretto has represented that it neither holds nor represents any interest materially adverse to the Debtor's estate in connection with any matter on which it would be employed.\n\n12. To the best of the Debtor's knowledge, Stretto is a \"disinterested person\" as that term is defined in section 101(14) of the Bankruptcy Code, as modified by section 1107(b) of the Bankruptcy Code, as Stretto represents in the Betance Declaration, among other things, that:\n\n- a. Stretto is not a creditor of the Debtor;\n- b. Stretto will not consider itself employed by the United States government and shall not seek any compensation from the United States government in its capacity as the Claims and Noticing Agent in this Chapter 11 Case;\n- c. By accepting employment in this Chapter 11 Case, Stretto waives any rights to receive compensation from the United States government in connection with this Chapter 11 Case;\n- d. In its capacity as the Claims and Noticing Agent in this Chapter 11 Case, Stretto will not be an agent of the United States and will not act on behalf of the United States;\n- e. Stretto will not employ any past or present employees of the Debtor in connection with its work as the Claims and Noticing Agent in this Chapter 11 Case;\n- f. Stretto is a \"disinterested person\" as that term is defined in section 101(14) of the Bankruptcy Code with respect to the matters upon which it is to be engaged;\n- g. In its capacity as Claims and Noticing Agent in this Chapter 11 Case, Stretto will not intentionally misrepresent any fact to any person;\n- h. Stretto shall be under the supervision and control of the Clerk's office with respect to the receipt and recordation of claims and claim transfers;\n- i. Stretto will comply with all requests of the Clerk's office and the guidelines promulgated by the Judicial Conference of the United States for the implementation of 28 U.S.C. § 156(c); and\n- j. None of the services provided by Stretto as Claims and Noticing Agent in this Chapter 11 Case shall be at the expense of the Clerk's office.\n\n13. Stretto will supplement its disclosure to the Court if any facts or circumstances are discovered that would require such additional disclosure\n\n14. To the extent that there is any inconsistency between this Application, the Order, and the Services Agreement, the Order shall govern.\n\n# **COMPENSATION OF STRETTO**\n\n15. The Debtor respectfully requests that the undisputed fees and expenses incurred by Stretto in the performance of the above Services be treated as administrative expenses of the Debtor's chapter 11 estate pursuant to 28 U.S.C. § 156(c) and section 503(b)(1)(A) of the Bankruptcy Code and be paid in the ordinary course of business pursuant to the Services Agreement without further application to or order of the Court.\n\n16. Stretto agrees to maintain records of all services showing dates, categories of services, fees charged, and expenses incurred, and to serve, no less frequently than monthly, invoices on the Debtor, the Office of the United States Trustee, counsel for the Debtor, counsel for any official committee monitoring the expenses of the Debtor and any party in interest who specifically requests service of the monthly invoices. If any dispute arises relating to the Services Agreement or monthly invoices, the parties shall meet and confer in an attempt to resolve the dispute. If resolution is not achieved, the parties may seek resolution of the matter from this Court.\n\n17. In addition, under the terms of the Services Agreement, the Debtor has agreed to indemnify, defend, and hold harmless Stretto and its members, directors, officers, employees, representatives, affiliates, consultants, subcontractors, and agents under certain circumstances\n\nspecified in the Services Agreement, except in circumstances resulting from Stretto's bad faith, gross negligence, willful misconduct, or as otherwise provided in the Order. The Debtor believes that such an indemnification obligation is customary, reasonable, and necessary to retain the services of a Claims and Noticing Agent in this Chapter 11 Case.\n\n# **BASIS FOR RELIEF**\n\n18. Section 156(c) of title 28 of the United States Code authorizes the Court to use facilities other than those of the Clerk for the administration of chapter 11 cases, provided the Debtor's estate pay the cost of such services:\n\nAny court may utilize facilities or services, either on or off the court's premises, which pertain to the provision of notices, dockets, calendars, and other administrative information to parties in cases filed under the provisions of title 11, United States Code, where the costs of such facilities or services are paid for out of the assets of the estate and are not charged to the United States. The utilization of such facilities or services shall be subject to such conditions and limitations as the pertinent circuit council may prescribe.\n\n26 U.S.C. § 156(c).\n\n19. In light of the significant number of anticipated claimants and other parties in interest in this Chapter 11 Case, as well as the complexity of the Debtor's financial assets and obligations, the Debtor submits that the appointment of Stretto as the Claims and Noticing Agent will provide the most effective and efficient means of—and relieve the administrative burden on the Debtor and/or the Office of the Clerk of the Bankruptcy Court of—noticing, administering certain claims-related tasks, and, therefore, is in the best interests of the Debtor's estate.\n\n# **NOTICE**\n\n20. Notice of this Application will be provided to (a) the Office of the United States Trustee; (b) the holders of the largest unsecured claims against the Debtor; (c) the Internal Revenue Service; (d) the United States Attorney's Office for the District of Connecticut; and (e) any other party that has requested service pursuant to Bankruptcy Rule 2002 as of the time of service\n\n(collectively, the \"Notice Parties\"). The Debtor believes that no further notice is required under the circumstances.\n\n# **NO PRIOR REQUEST**\n\n21. No previous request for the relief sought herein has been made by the Debtor in this or in any other court.\n\n# **CONCLUSION**\n\n**WHEREFORE**, Mr. Kwok respectfully requests that this Court enter an order in the form attached hereto as **Exhibit A** authorizing him to employ and retain Stretto as his Claims and Noticing Agent and granting such other and further relief as is just and proper.\n\nDated: March 16, 2022\n\nHo Wan Kwok, Debtor and Debtor-in-Possession\n\nBy: */s/ Ho Wan Kwok* Ho Wan Kwok\n\n# **CERTIFICATE OF SERVICE**\n\nI hereby certify that on March 16, 2022 a copy of the foregoing was filed electronically and served by mail on anyone unable to accept electronic filing. Notice of this filing will be sent by email to all parties by operation of the court's electronic filing system or by mail to anyone unable to accept electronic filing as indicated on the Notice of Electronic Filing. Parties may access this document through the court's CM/ECF System.\n\n*/s/ William Baldiga*\n\n# **Exhibit A**\n\n**Proposed Order**\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n:\n\n:\n\n:\n\n:\n\nDebtor. [1](#page-12-0) :\n\nIn re: : Chapter 11\n\nHo Wan Kwok, : Case No. 22-50073\n\n# **ORDER GRANTING DEBTOR'S APPLICATION FOR AUTHORIZATION TO RETAIN AND EMPLOY STRETTO AS CLAIMS AND NOTICING AGENT**\n\nUpon consideration of the *Debtor's Application for Authorization to Retain and Employ Stretto as Claims and Noticing Agent* (the \"Application\")[2](#page-12-1) and the Betance Declaration and Kwok Declaration and any response(s) to the Application; and due and proper notice of the Application having been given; and it appearing that no other or further notice of the Application is required; and the Court having jurisdiction to consider the Application in accordance with 28 U.S.C. §§ 157 and 1334; and consideration of the Application and the requested relief being a core proceeding pursuant to 28 U.S.C. § 157(b)(2); and venue being proper before this Court pursuant to 28 U.S.C. §§ 1408 and 1409; and the relief requested in the Application and provided for herein being in the best interest of the Debtor, his estate, and creditors; and after due deliberation and sufficient cause appearing therefor, and due and proper notice of the Application having been provided to the Notice Parties; and it appearing that no other or further notice need be provided; and the Court having held one or more hearings to consider the relief requested in the Application and all of the proceedings had before this Court; and all objections to the Application having been withdrawn, resolved, or overruled; and the Court having determined that the legal and factual bases set forth\n\n1 The Debtor is known by the following names: Guo Wengui; Miles Guo; Miles Kwok; and Ho Wan Kwok.\n\n2 Capitalized terms used but not defined herein shall have the meaning ascribed to such terms in the Application.\n\nin the Application and the Betance Declaration and Kwok Declaration establish just cause for the relief granted herein; and after due deliberation and sufficient cause appearing therefor\n\n### **IT IS HEREBY ORDERED THAT:**\n\n1. The Application is GRANTED as provided herein.\n\n2. The Debtor is authorized to retain and appoint Stretto as his Claims and Noticing Agent under the terms of the Services Agreement as set forth herein.\n\n3. Stretto is authorized and directed to perform noticing services and to receive, maintain, record, and otherwise administer the proofs of claim filed in this Chapter 11 Case, and other related tasks as described in the Application, the Services Agreement, and this Order. The Clerk shall provide Stretto with CM/ECF credentials that allow Stretto to receive CM/ECF notifications and file certificates of service.\n\n4. Stretto shall serve as the custodian of court records and shall be designated as the authorized repository for all proofs of claim filed in this Chapter 11 Case and is authorized and directed to maintain official claims registers for each of the Debtor and to provide the Clerk with a certified duplicate thereof upon the request of the Clerk.\n\n5. Stretto is authorized to provide an electronic interface for filing of proofs of claim and to obtain a post office box or address for the receipt of proofs of claim. Stretto shall provide public access to the claims register, including complete proofs of claim with attachments, if any, without charge.\n\n6. Stretto is authorized to take such other action to comply with all duties and Services set forth in the Application and the Services Agreement.\n\n7. Notwithstanding sections 330 and 331 of the Bankruptcy Code and Bankruptcy Rule 2016, the Debtor is authorized to compensate Stretto in accordance with the terms of the Services Agreement upon the receipt of reasonably detailed invoices setting forth the services\n\nprovided by Stretto and the rates charged for each, and to reimburse Stretto for all reasonable and necessary expenses it may incur, upon the presentation of appropriate documentation, without the need for Stretto to file fee applications or otherwise seek Court approval for the compensation of its services and reimbursement of its expenses.\n\n8. Stretto shall maintain records of all services showing dates, categories of services, fees charged and expenses incurred, and shall serve monthly invoices on the Debtor, the Office of the United States Trustee, counsel for the Debtor, counsel for any official committee monitoring the expenses of the Debtor, and any party in interest who specifically requests service of the monthly invoices.\n\n9. The parties shall meet and confer in an attempt to resolve any dispute that may arise relating to the Services Agreement or monthly invoices; provided that the parties may seek resolution of the matter from the Court if resolution is not achieved.\n\n10. Without further order of the Court, pursuant to section 503(b)(1)(A) of the Bankruptcy Code, the fees and expenses of Stretto under this Order shall be an administrative expense of the Debtor's estate.\n\n11. Stretto may apply any advance to all prepetition invoices, which advance may be replenished to the original advance amount, and thereafter, Stretto may hold its advance under the Services Agreement during this Chapter 11 Case as security for the payment of fees and expenses incurred under the Services Agreement.\n\n12. The Debtor shall indemnify Stretto under the terms of the Services Agreement, as modified pursuant to this Order.\n\n13. Stretto shall not be entitled to indemnification, contribution, or reimbursement pursuant to the Services Agreement for services other than the services provided under the Services\n\nAgreement, unless such services and the indemnification, contribution, or reimbursement therefor are approved by this Court.\n\n14. Notwithstanding anything to the contrary in the Services Agreement, the Debtor shall have no obligation to indemnify Stretto, or provide contribution or reimbursement to Stretto, for any claim or expense that is either: (a) judicially determined (the determination having become final) to have arisen solely from Stretto's gross negligence, willful misconduct, fraud, bad faith, self-dealing, or breach of fiduciary duty (if any) as provided in this Order; (b) for a contractual dispute in which the Debtor allege the breach of Stretto's contractual obligations if this Court determines that indemnification, contribution, or reimbursement would not be permissible under applicable law; or (c) of any type for which the Court determines that indemnification, contribution, or reimbursement would not be permissible pursuant to *Unsecured Creditors' Committee v. Pelofsky (In re Thermadyne Holdings Corp.)*, 283 B.R. 749, 756 (B.A.P. 8th Cir. 2002); or (d) settled prior to a judicial determination under (a) or (b), but determined by this Court, after notice and a hearing, to be a claim or expense for which Stretto should not receive indemnity, contribution, or reimbursement under the terms of the Services Agreement as modified by this Order.\n\n15. If, before the earlier of (a) the entry of an order confirming a chapter 11 plan in this Chapter 11 Case (that order having become a final order no longer subject to appeal), or (b) the entry of an order closing this Chapter 11 Case, Stretto believes that it is entitled to the payment of any amounts by the Debtor on account of the Debtor's indemnification, contribution, and/or reimbursement obligations under the Services Agreement (as modified by this Order), including the advancement of defense costs, Stretto must file an application therefor in this Court, and the Debtor may not pay any such amounts to Stretto before the entry of an order by this Court approving the payment. If Stretto seeks reimbursement from the Debtor for attorneys' fees and expenses in connection with the payment of an indemnity claim pursuant to the Services Agreement, the invoices and supporting time records for the attorneys' fees and expenses shall be included in Stretto's own applications, both interim and final, but determined by this Court after notice and a hearing. This paragraph is intended only to specify the period of time under which the Court shall have jurisdiction over any request for fees and expenses by Stretto for indemnification, contribution, or reimbursement, and not a provision limiting the duration of the Debtor's obligation to indemnify Stretto. All parties in interest shall retain the right to object to any demand by Stretto for indemnification, contribution, or reimbursement.\n\n16. In the event Stretto is unable to provide the Services set forth in this Order, Stretto will immediately notify the Clerk and the Debtor's attorney and, upon approval of this Court, cause to have all original proofs of claim and computer information turned over to another claims and noticing agent with the advice and consent of the Clerk and the Debtor's attorney.\n\n17. After entry of an order terminating Stretto's services, upon the closing of this Chapter 11 Case, or for any other reason, Stretto shall be responsible for archiving all proofs of claim with the Federal Archives Record Administration, if applicable, and shall be compensated by the Debtor in connection therewith.\n\n18. Stretto shall not cease providing claims processing services during this Chapter 11 Case for any reason, including nonpayment, without an order of the Court.\n\n19. In the event of any inconsistency between the Services Agreement, the Application, and this Order, this Order shall govern.\n\n20. The Debtor and Stretto are authorized to take all actions necessary to effectuate the relief granted pursuant to this Order.\n\n21. This Order pertains only to the work to be performed by Stretto under the Clerk's delegation of duties permitted by 28 U.S.C. § 156(c), and the Debtor may submit a separate retention application, pursuant to section 327 of the Bankruptcy Code and/or any applicable law, for work that is to be performed by Stretto but is not specifically authorized by this Order.\n\n22. Notwithstanding the relief granted in this Order, any payment made by the Debtor pursuant to the authority granted herein shall be subject to and in compliance with any orders entered by the Court regarding Debtor's postpetition financing and/or use of cash collateral.\n\n23. Notwithstanding any Bankruptcy Rule to the contrary, this Order shall be immediately effective and enforceable upon its entry.\n\n24. Notice of the Application as provided therein shall be deemed good and sufficient notice of such Application, and the requirements of the Bankruptcy Rules are satisfied by such notice.\n\n25. This Court shall retain jurisdiction with respect to all matters arising from or related to the implementation or interpretation of this Order.\n\n> Honorable Julie A. Manning United States Bankruptcy Judge District of Connecticut\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n# **Exhibit B**\n\n**Services Agreement**\n\n# Services Agreement\n\nThis Services Agreement (this \"Agreement\") is entered into as of March 4, 2022 between Stretto, Inc. (\"Stretto\") and Ho Wan Kwok.\n\nIn consideration of the promises set forth herein and other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, and subject to approval of this recement and Mr. Kwok's retention of Stretto in chapter 11 case No. 22-50073 (Bankr. D. Conn.) (the \"Chapter 11 Case\"), the parties hereto agree as follows:\n\n### 1. Services\n\n- (a) Stretto agrees to provide Mr. Kwok with consulting services regarding (i) legal noticing, maintenance of claims registers, creditor mailing matrices, an electronic platform for filing proofs of claim, plan solicitation, balloting, tabulation of votes, disbursements, and administrative support in preparation of schedules of assets and liabilities and statements of financial affairs (\"Claims Administration, Noticing, and Solicitation Services\"); and (ii) crisis communications, claims analysis and reconciliation, preference analysis and recovery, contract review and analysis, case research, public securities, depository management, treasury services, confidential online workspaces or data rooms (publication to which shall not violate the confidentiality provisions of this Agreement), and any other services agreed upon by the parties or otherwise required by applicable law, governmental regulations, or court rules or orders (all such services collectively, the \"Services\").\n- (b) Mr. Kwok acknowledges and agrees that Stretto will often take direction from Mr. Kwok's representatives, employees, agents, and/or professionals (collectively, the \"Kwok Parties\") with respect to providing Services hereunder. The parties agree that Stretto may rely upon, and Mr. Kwok agrees to be bound by, any requests, advice, or information provided by the ana MParties to the same extent as if such requests, advice, or information were provided by Mr. Kwok.\n- (c) Mr. Kwok agrees and understands that Stretto shall not provide Mr. Kwok or any other party with legal advice.\n\n### 2. Rates, Expenses and Payment\n\n- (a) Stretto will provide the Services on an as-needed basis and upon request or agreement of Stretto will provices for Services through the effective date of a chapter 11 plan shall be at the rates attached hereto (the \"Preferred Rate Structure\"). Mr. Kwok agrees that the Preferred Rate Structure shall not be applicable to Services provided to the entity or entities (including Mr. Kwok) responsible for implementing a confirmed and effective chapter 11 plan and that such Services will be provided at Stretto's then prevailing rates. Mr. Kwok plan and that far reasonable out of pocket expenses incurred by Stretto in connection with providing Services hereunder.\n- (b) Subject in all respects to the United States Bankruptcy Code and any orders governing compensation that may be entered and applicable in the Chapter 11 Case: (i) Stretto will bill Mr. Kwok no less frequently than monthly; (ii) all invoices shall be due and payable by Mr. Kwok upon receipt; (iii) where an expense or group of expenses to be incurred is expected to exceed \\$10,000 (e.g., publication notice), Stretto may require advance or direct payment from Mr. Kwok before the performance of Services hereunder; and (iv) if any amount is unpaid as of 30 days after delivery of an invoice, Mr. Kwok agrees to pay a late charge equal to 1.5% of the total amount unpaid every 30 days.\n- (c) In the case of a dispute with respect to an invoice amount, Mr. Kwok shall provide a detailed written notice of such dispute to Stretto within 10 days of receipt of the invoice.\n- (d) The undisputed portion of the invoice will remain due and payable immediately upon receipt thereof. Late charges shall not accrue on any amounts disputed in good faith.\n- (e) Mr. Kwok shall pay any fees and expenses for Services relating to, arising out of, or resulting from any error or omission made by Mr. Kwok or the Kwok Parties.\n- (f) Mr. Kwok shall pay or reimburse any taxes that are applicable to Services performed hereunder or that are measured by payments made hereunder and are required to be collected by Stretto or paid by Stretto to a taxing authority.\n- (g) Stretto reserves the right to make reasonable increases to the Preferred Rate Structure on an annual basis effective on the first business day of each year. If such annual increases an annual bains rease greater than 10% from the previous year's levels, Stretto shall provide 30 days' written notice to Mr. Kwok of such increases.\n- (h) Payments to Stretto under the terms of this Agreement for services rendered, may be remitted by Client using either (or both) of the following methods:\n\n### Wire Transmission\n\nBank Name - Pacific Western Bank Bank Address - 110 West A Street, Suite 100, San Diego, CA 92101 ABA - 122238200 Account Number - 1000681781 Account Name - Bankruptcy Management Solutions, Inc.\n\n### Check\n\nStretto Attn: Accounts Receivable 410 Exchange, Suite 100 Irvine, CA 92602\n\n### 3. Retention in Bankruptcy Case\n\n- (a) Mr. Kwok promptly shall file any necessary application with the Bankruptcy Court in the Chapter 11 Case to retain Stretto to provide the Services. The form and substance of such applications and any order approving them shall be reasonably acceptable to Stretto.\n- (b) If the Chapter 11 Case converts to a case under chapter 7 of the Bankruptcy Code, Stretto n the entinue to be paid for Services pursuant to 28 U.S.C. § 156(c) and the terms hereunder.\n\n#### Confidentiality 4.\n\n- (a) Mr. Kwok and Stretto agree to keep confidential all non-public records, systems, procedures, software, and other information received from the other party in connection with the Services provided hereunder; provided, however, that if any such information was publicly available, already in the receiving party's possession or known to it, independently developed by the receiving party, lawfully obtained by the receiving party from a third party, ac required to be disclosed by law, then the receiving party shall bear no responsibility for publicly disclosing such information.\n- (b) If either party reasonably believes that it is or may be required to disclose any confidential information pursuant to a subpoena, court order, or any request or order from a governmental authority: (i) such party shall provide written notice to the other party promptly after receiving such subpoena, court order, or request or order, to allow the other party sufficient time, if possible, to seek any remedy available under applicable law to\n\nprevent disclosure of the information; and (ii) such party will limit such disclosure to the extent the such party's counsel in good faith determines such disclosure can be limited.\n\n# 5. Property Rights\n\nStretto reserves to itself and its agents all property rights in and to all materials, concepts, creations, Stretto reserves to toon and and managements, designs, innovations, ideas, discoveries, know-how, techniques, programs, systems, specifications, applications, processes, routines, manuals, documentation, and any other information or property (collectively, \"Property\") furnished by Stretto for itself or for use by Mr. Kwok hereunder. The foregoing definition of Property shall include any and all data, from any source, downloaded, stored, and maintained by Stretto's technology infrastructure. Fees and expenses paid by Mr. Kwok do not vest in Mr. Kwok any rights in such Property. Such Property is only being made available for Mr. Kwok's use during and in connection with the Services provided by Stretto hereunder.\n\n#### Bank Accounts 6.\n\nAt the request of Mr. Kwok or the Kwok Parties, Stretto shall be authorized to establish accounts with financial institutions in the name of and as agent for Mr. Kwok to facilitate distributions pursuant to a chapter 11 plan or other transaction. To the extent that certain financial products are provided to Mr. Kwok pursuant to Stretto's agreement with financial institutions, Stretto may receive compensation from such institutions for the services Stretto provides pursuant to such agreement.\n\n## 7. Term and Termination\n\n- (a) This Agreement shall remain in effect until terminated by either party: (i) on 30 days' prior written notice to other party; or (ii) immediately upon written notice for Cause (as defined herein). \"Cause\" means (i) gross negligence or willful misconduct of Stretto that causes material harm to Mr. Kwok's restructuring under chapter 11 of the Bankruptcy Code, (ii) the failure of Mr. Kwok to pay Stretto invoices for more than 60 days from the date of invoice or (iii) the accrual of invoices or unpaid Services in excess of the advance held by Stretto where Stretto reasonably believes it likely will not be paid.\n- (b) If this Agreement is terminated after Stretto is retained pursuant to Bankruptcy Court order, Mr. Kwok promptly shall seek entry of a Bankruptcy Court order discharging Stretto of its duties under such retention, which order shall be in form and substance reasonably acceptable to Stretto.\n- (c) If this Agreement is terminated, Mr. Kwok shall remain liable for all amounts then accrued and/or due and owing to Stretto hereunder.\n- (d) If this Agreement is terminated, Stretto shall coordinate with Mr. Kwok and, to the extent applicable, the clerk of the Bankruptcy Court, to maintain an orderly transfer of record keeping functions, and Stretto shall provide the necessary staff, services, and assistance required for such an orderly transfer. Mr. Kwok agrees to pay for such Services pursuant to the Preferred Rate Structure.\n\n# 8. No Representations or Warranties\n\nStretto makes no representations or warranties, express or implied, regarding the services and products sold or licensed to Mr. Kwok hereunder or otherwise with respect to this Agreement, including, without limitation, any express or implied warranty of merchantability, fitness or indequacy for a particular purpose or use, quality, productiveness, or capacity. Notwithstanding the foregoing, if the above disclaimer is not enforceable under applicable law, such disclaimer will be construed by limiting it so as to be enforceable to the extent compatible with applicable law.\n\n### 9. Indemnification\n\n- (a) To the fullest extent permitted by applicable law, Mr. Kwok shall indemnify and hold harmless Stretto and its members, directors, officers, employees, representatives, affiliates, namilants, subcontractors, and agents (collectively, the \"Indemnified Parties\") from and against any and all losses, claims, damages, judgments, liabilities, and expenses, whether direct or indirect (including, without limitation, counsel fees and expenses) (collectively, \"Losses\") resulting from, arising out of, or related to Stretto's performance hereunder. Without limiting the generality of the foregoing, Losses include any liabilities resulting from claims by any third parties against any Indemnified Party.\n- (b) Stretto and Mr. Kwok shall notify each other in writing promptly upon the assertion, threat or commencement of any claim, action, investigation, or proceeding that either party becomes aware of with respect to the Services provided hereunder.\n- (c) Mr. Kwok's indemnification of Stretto hereunder shall exclude Losses resulting from Stretto's gross negligence or willful misconduct.\n- (d) Mr. Kwok's indemnification obligations hereunder shall survive the termination of this Agreement.\n\n### 10. Limitations of Liability\n\nExcept as expressly provided herein, Stretto's liability to Mr. Kwok for any Losses, unless due to Stretto's gross negligence or willful misconduct, shall be limited to the total amount paid by Mr. Kwok to Stretto for the particular work that gave rise to the alleged Loss. In no event shall Stretto be liable for any indirect, special, or consequential damages (such as loss of anticipated shalf or other economic loss) in connection with or arising out of the Services provided hereunder.\n\n### 11. Data\n\n- (a) Mr. Kwok is responsible for, and Stretto does not verify, the accuracy of the programs, data and other information it or any of the Kwok Parties submits for processing to Stretto and for the output of such information, including, without limitation, with respect to preparation of statements of financial affairs and schedules of assets and liabilities (collectively, \"SOFAs and Schedules\"). Stretto bears no responsibility for the accuracy and content of SOFAs and Schedules, and Mr. Kwok is deemed hereunder to have approved and reviewed all SOFAs and Schedules filed on its behalf.\n- (b) Mr. Kwok agrees, represents, and warrants to Stretto that before delivery of any information to Stretto: (i) Mr. Kwok has full authority to deliver such information to Stretto; and (ii) Stretto is authorized to use such information to perform Services hereunder and as otherwise set forth in this Agreement.\n- (c) be retained by Stretto until the Services provided hereunder are paid in full. Mr. Kwok shall be returned by or all fees and expenses incurred by Stretto under this Agreement as a result of data, storage media or other materials maintained, stored, or disposed of by Stretto. Any such disposal shall be in a manner requested by or acceptable to Mr. Kwok; provided that if Mr. Kwok has not utilized Stretto's Services for a period of 90 days or more, Stretto may dispose of any such materials in a manner to be determined in Stretto's sole reasonable discretion, and be reimbursed by Mr. Kwok for the expense of such disposition, after giving Mr. Kwok 30 days' notice. Mr. Kwok agrees to initiate and maintain backup files that would\n\nallow Mr. Kwok to regenerate or duplicate all programs, data, or information provided by Mr. Kwok to Stretto.\n\n- (d) Stretto and Mr. Kwok agree that this Agreement is subject to the terms set forth in the GDPR Addendum attached hereto as Exhibit A, which are incorporated herein by reference.\n- (e) Notwithstanding the foregoing, if Stretto is retained pursuant to Bankruptcy Court order, disposal of any data, storage media, or other materials shall comply with any applicable court orders and rules or clerk's office instructions.\n\n### 12. California Consumer Privacy Act.\n\n- (a) Definitions. In this Section 12,\n\t- (i) \"CCPA\" means the California Consumer Privacy Act of 2018, including amendments and final regulations;\n\t- (ii) \"Personal Information\" has the same meaning given to such term under section 1798.140 of the CCPA and is limited to any data provided to Stretto by Mr. Kwok in order for Stretto to provide Services under this Agreement; and\n\t- (iii) \"Commercial Purposes,\" \"Sell,\" \"Business,\" and \"Service Provider\" have the same meanings assigned to them in section 1798.140 of the CCPA.\n- (b) Relationship Between the Parties. To the extent Mr. Kwok is considered a Business under California law, and subject to the terms of this Section 12, Stretto will act solely as Mr. Kwok's Service Provider with respect to Personal Information.\n- (c) Restrictions. Stretto certifies it will not: (i) Sell Personal Information or (ii) collect, retain, nesthetioner of the Personal Information for any purpose other than for the specific purpose of ase, or ulselose reroomal mecified in this Agreement, including collecting, retaining, using, or disclosing Personal Information for any Commercial Purpose other than providing the alseloning - evified in this Agreement unless otherwise permitted under the CCPA.\n\n### 13. Non-Solicitation\n\nMr. Kwok agrees that neither it nor any of its subsidiaries or affiliates shall directly or indirectly MI : Kwok age ees that hornoloy, or otherwise retain as employees, consultants, or otherwise, any employees of Stretto during the term of this Agreement and for a period of 12 months after employees of Stretto adming the connovides prior written consent to such solicitation or retention.\n\n### 14. Force Majeure\n\nWhenever performance by Stretto of any of its obligations hereunder is materially prevented or impacted by reason of any act of God, government requirement, strike, lock-out or other industrial impacted by reason of any act fire, flood, epidemic, lack of materials, law, regulation or ordinance, of transportation alsource, or by reason of any other matter beyond Stretto's reasonable control, then such performance shall be excused.\n\n### 15. Choice of Law\n\nThe validity, enforceability, and performance of this Agreement shall be governed by and construed in accordance with the laws of the State of New York.\n\n### 16. Arbitration\n\nAny disputes related to this Agreement shall be decided by the bankruptcy court in the Chapter 11 Case.\n\n# 17. Integration: Severability; Modifications: Assignment\n\n- (a) Each party acknowledges that it has read this Agreement, understands it, and agrees to be Eaund by its terms, and further agrees that it is the complete and exclusive statement of the agreement between the parties, which supersedes and merges all prior proposals, understandings, agreements, and communications between the parties relating to the subject matter hereof.\n- subject matter neroon\n(b) If any provision of this Agreement shall be held to be invalid, illegal, or unenforceable, the n any provision of this Agreemaining provisions shall in no way be affected or impaired thereby.\n- (c) This Agreement may be modified only by a writing duly executed by Mr. Kwok or an authorized representative of Mr. Kwok and an officer of Stretto.\n- (d) This Agreement and the rights and duties hereunder shall not be assignable by the parties hereto except upon written consent of the other.\n\n### 18. Effectiveness of Counterparts\n\nThis Agreement may be executed in two or more counterparts, each of which will be deemed an rnis Agreement may be oneoutitute one and the same agreement. This Agreement will become offective when one or more counterparts have been signed by each of the parties and delivered to the other party, which delivery may be made by exchange of copies of the signature page by fax or email.\n\n### 19. Notices\n\nAll notices and requests in connection with this Agreement shall be sufficiently given or made if given or made in writing via hand delivery, overnight courier, U.S. Mail (postage prepaid) or email, and addressed as follows:\n\n| If to Stretto: | Stretto |\n|-----------------|-------------------------------------|\n| | 410 Exchange, Ste. 100 |\n| | Irvine, CA 92602 |\n| | Attn: Sheryl Betance |\n| | Tel: 714.716.1872 |\n| | Email: sheryl.betance@stretto.com |\n| If to Mr. Kwok: | Ho Wan Kwok |\n| | c/o Golden Spring (New York) Ltd. |\n| | 162 East 64th Street |\n| | New York, NY 10065 |\n| | Email: admin@gsnyus.com |\n| With a copy to: | Brown Rudnick LLP |\n| | Attn: Bennett S. Silverberg |\n| | 7 Times Sq. 47th Fl. |\n| | New York, NY 10036 |\n| | Email: bsilverberg@brownrudnick.com |\n\nIN WITNESS WHEREOF, the parties hereto have executed this Agreement effective as of the date first above written.\n\n\n\n# GDPR Addendum\n\nThis GDPR Addendum is a part of the Services Agreement (the \"Agreement\") by and between Stretto (the \"Processor\")1 and Mr. Kwok (together, the \"Parties\").\n\n### RECITALS\n\n### WHEREAS,\n\n- (A) The Processor and Mr. Kwok have agreed to the following terms regarding the Processing of Kwok Personal Data.\n- (B)\n- (C) imply and require the processing of personal data, to the Processor.\n- Mr. Kwok instructs the Processor to process Kwok Personal Data. (D)\n- The Parties seek to implement a data processing agreement that complies with the (E) requirements of the current legal framework in relation to data processing and with the Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 the negalation (1-3) rotection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation or \"GDPR\").\n\nNOW THEREFORE, Mr. Kwok and the Processor agree as follows:\n\n- 1. shall have the following meanings.\n\t- (a)\n\t- (b) \"Kwok Personal Data\" means any Personal Data Processed by the Processor or a Subprocessor on behalf of Mr. Kwok pursuant to or in connection with the Subprocessor and may include, for example, Personal Data of Mr. Kwok's employees, Agreement, and may markers, equity interest holders, or counter-parties;\n\t- (c) legislation of each Member State and as amended, replaced or superseded from time to time, including by the GDPR and laws implementing or supplementing the GDPR;\n\t- (d) Agreement;\n\t- (e) Personal Data on behalf of Mr. Kwok in connection with the Agreement;\n\n1 Capitalized terms utilized but not defined in the GDPR Addendum have the meanings ascribed to them in the Agreement.\n\n- (f) recention and organiza against accidental or unlawful destruction or accidental loss, alteration, unauthorized disclosure or access, in particular where the processing involves the transmission of data over a network, and against all other unlawful forms of processing;\n- (g) The terms \"Commission\", \"Controller\", \"Processing\", \"Special Categories of Data\", \" Tersonal Data\", and \"Supervisory Authority\" shall have the same meaning as in the GDPR, and their derivative terms shall be construed accordingly.\n- 2.\n\t- (a) that the Processing moraaming out in accordance with the relevant provisions of the and will continue to to to to there applicable, has been notified to the relevant authorities of the Member State);\n\t- (b) Processor to process Mr. Kwok Personal Data transferred only on Mr. Kwok's behalf r rocessor to process with the applicable Data Protection Laws, the Agreement, and this Addendum;\n\t- (c) organizational security measures;\n\t- (d) that arely and organizational security measures are appropriate to protect Mr. Kwok Personal Data against accidental or unlawful destruction or accidental loss, alteration, unauthorized disclosure or access, in particular where the processing involves the transmission of data over a network, and against all other unlawful forms of transmible and that these measures ensure a level of security appropriate to the risks processing) and the nature of the nature of the data to be protected having regard to the state of the art and the cost of their implementation;\n\t- (e) that it will ensure compliance with the technical and organizational security measures; and\n\t- (f) special categories of data, as defined by Article 9 of the GDPR.\n\t- Obligations of the Processor. The Processor agrees and warrants: 3.\n\t\t- (a)\n\t\t- (b) to process MF : RwoRY Croonal dum; if it cannot provide such compliance for whatever reasons, it agrees to inform promptly Mr. Kwok of its inability to comply, in which reasons, it agrees to meet the processing of data and/or terminate the Agreement;\n\n- (c) that it has no reason to belowed from Mr. Kwok and its obligations under the fulling the finetration of a change in this legislation which is likely to have a substantial adverse effect on the warranties and obligations provided by the a \"Jubecalitwill promptly notify the change to Mr. Kwok as soon as it is aware, in which Clauses, it will promptiy nown) suspend the transfer of data and/or terminate the Agreement;\n- that it has implemented reasonable and appropriate technical and organizational (d) security measures before processing Mr. Kwok Personal Data;\n- that it will promptly notify Mr. Kwok about: (e)\n\t- any legally binding request for disclosure of Mr. Kwok Personal Data by a law i. enforcement authority unless otherwise prohibited, such as a prohibition enforcement author to preserve the confidentiality of a law enforcement investigation;\n\t- any accidental or unauthorized access; and ii.\n\t- any request received directly from any data subject without responding to iii. any request, unless it has been otherwise authorized to do so by Mr. Kwok or as required by any applicable law;\n- (f) to deal promptly and properly with all inquiries from Mr. Kwok relating to its to accar profilion. Kwok Personal Data and to abide by the advice of the supervisory authority with regard to the processing of Mr. Kwok Personal Data;\n- to take reasonable steps to ensure the reliability of any employee, agent, or (g) to tuke reasonale berocessor who may have access to Mr. Kwok Personal Data, ensuring in each case that access is strictly limited to those individuals who need to ensuring in easy the relevant Kwok Personal Data, as strictly necessary to perform the Know of access the Agreement, and to comply with Data Protection Laws in the Services ander the ngively's duties to the Subprocessor, ensuring that all such individuals are subject to confidentiality undertakings or professional or statutory obligations of confidentiality; and\n- (h) required or authorized by Mr. Kwok with prior written consent.\n\n# 4.\n\n(a) rne Farties agree that the Processor and any Subprocessor shall, at the choice of or provision of our noonal Data and the copies thereof to Mr. Kwok or shall Mr. Kwok, recurri an Rwsonal Data and certify to Mr. Kwok that it has done so, unless uestroy an MI : RWOR : STocessor prevents it from returning or destroying all or legislation impooda aponal Data. In that case, the Processor warrants that it will part of Mr. Rwok Personal Data and will not further process Mr. Kwok Personal Data.\n\n- (b) rfie 1 rocessor and any ority, it will submit its data-processing facilities for an audit of the technical and organizational security measures.\n- 5. provided for by the Agreement.\n\n64547349 v1-WorkSiteUS-038210/0001\n\n# **Exhibit C**\n\n**Betance Declaration**\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n:\n\n:\n\n:\n\n:\n\nDebtor.[1](#page-32-0) :\n\nIn re: : Chapter 11\n\nHo Wan Kwok, : Case No. 22-50073\n\n# **DECLARATION OF SHERYL BETANCE IN SUPPORT OF DEBTOR'S APPLICATION FOR AUTHORIZATION TO RETAIN AND EMPLOY STRETTO AS CLAIMS AND NOTICING AGENT**\n\nI, Sheryl Betance, declare under penalty of perjury as follows:\n\n1. I am a Senior Managing Director of Corporate Restructuring at Stretto, Inc. (\"Stretto\"), a chapter 11 administrative services firm with offices at 410 Exchange, Ste. 100, Irvine, California 92602. Except as otherwise noted, I have personal knowledge of the matters set forth herein, and if called and sworn as a witness, I could and would testify competently thereto.\n\n2. This declaration (this \"Declaration\") is made in support of the above-captioned debtor's (the \"Debtor\") *Debtor's Application Seeking Entry of an Order (I) Authorizing and Approving the Appointment of Stretto as Claims and Noticing Agent and (II) Granting Related Relief*, filed contemporaneously herewith (the \"Application\").[2](#page-32-1)\n\n# **Qualifications**\n\n3. Stretto is a chapter 11 administrator comprised of leading industry professionals with significant experience in both the legal and administrative aspects of large, complex chapter 11 cases. Stretto's professionals have experience in noticing, claims administration, solicitation, balloting, and facilitating other administrative aspects of chapter 11 cases and\n\n1 The Debtor is known by the following names: Guo Wengui; Miles Guo; Miles Kwok; and Ho Wan Kwok.\n\n2 Capitalized terms used but not defined herein shall have the meaning ascribed to them in the Application.\n\nexperience in matters of this size and complexity. Stretto's professionals have acted as official claims and noticing agent in many large bankruptcy cases in this district and in other districts nationwide. Stretto has developed efficient and cost-effective methods to handle the voluminous mailings associated with the noticing and claims processing portions of chapter 11 cases to ensure the efficient, orderly and fair treatment of creditors, equity security holders, and all parties in interest. Stretto's cases include: *In re Carla's Pasta, Inc.*, Case No. 21-20111 (JJT) (Bankr. D. Conn. March 19, 2021); *In re A.B.C. Carpet Co., Inc.*, Case No. 12-11591 (DSJ) (Bankr. S.D.N.Y. Sept. 10, 2021); *In re Kumtor Gold Co. CJSC*, Case No. 21-11051 (LGB) (Bankr. S.D.N.Y. June 8, 2021); *In re VTES, Inc.*, Case No. 20-12941 (JLG) (Bankr. S.D.N.Y. Jan. 15, 2021); *In re Furla (U.S.A.), Inc.,* Case No. 20-12604 (SCC) (Bankr. S.D.N.Y. Nov. 12, 2020); *In re Century 21 Department Stores LLC,* Case No. 20-12097 (SCC) (Bankr. S.D.N.Y. Sept. 14, 2020); *In re NTS W. USA Corp.,* Case No. 20-35769 (CGM) (Bankr. S.D.N.Y. July 29, 2020); *In re Dean & Deluca N.Y., Inc.,* Case No. 20-10916 (MEW) (Bankr. S.D.N.Y. Apr. 7, 2020); *In re Seabras 1 USA, LLC*, Case No. 19-14006 (SMB) (Bankr. S.D.N.Y. Dec. 27, 2019); *In re Agera Energy LLC*, Case No. 19-23802 (RDD) (Bankr. S.D.N.Y. Oct. 9, 2019); and *In re Barneys New York, Inc.*, Case No. 19-36300 (CGM) (Bankr. S.D.N.Y. Aug. 7. 2019). [3](#page-33-0)\n\n## **Services to be Rendered**\n\n4. As agent and custodian of Court records pursuant to 28 U.S.C. § 156(c), Stretto will perform, at the request of the Office of the Clerk of the Court (the \"Clerk's Office\"), the services specified in the Application and the Engagement Agreement, and, at the Debtor's request, any related administrative, technical, and support services as specified in the Application and\n\n3 Because of the voluminous nature of the orders cited herein, such orders have not been attached to this Application. Copies of these cited orders are available upon request to the Debtor's counsel.\n\nthe Engagement Agreement. In performing such services, Stretto will charge the Debtor the rates\n\nset forth in the Services Agreement, which is attached as **Exhibit B** to the Application.\n\n- 5. Stretto represents, among other things, the following:\n\t- a. Stretto is not a creditor of the Debtor;\n\t- b. Stretto will not consider itself employed by the United States government and shall not seek any compensation from the United States government in its capacity as the Claims and Noticing Agent in this chapter 11 case;\n\t- c. By accepting employment in this chapter 11 case, Stretto waives any rights to receive compensation from the United States government in connection with this chapter 11 case;\n\t- d. In its capacity as the Claims and Noticing Agent in this chapter 11 case, Stretto will not be an agent of the United States and will not act on behalf of the United States;\n\t- e. Stretto will not employ any past or present employees of the Debtor in connection with its work as the Claims and Noticing Agent in this chapter 11 case;\n\t- f. Stretto is a \"disinterested person\" as that term is defined in section 101(14) of the Bankruptcy Code with respect to the matters upon which it is to be engaged;\n\t- g. In its capacity as Claims and Noticing Agent in this chapter 11 case, Stretto will not intentionally misrepresent any fact to any person;\n\t- h. Stretto shall be under the supervision and control of the Clerk's office with respect to the receipt and recordation of claims and claim transfers;\n\t- i. Stretto will comply with all requests of the Clerk's office and the guidelines promulgated by the Judicial Conference of the United States for the implementation of 28 U.S.C. § 156(c); and\n\t- j. None of the services provided by Stretto as Claims and Noticing Agent in this chapter 11 case shall be at the expense of the Clerk's office.\n\n6. Although the Debtor does not propose to retain Stretto under section 327 of the Bankruptcy Code pursuant to the Application (such retention will be sought by separate application), I caused to be submitted for review by our conflicts system the names of potential parties-in-interest (the \"Potential Parties in Interest\") in this chapter 11 case. A list of Potential Parties in Interest was provided by the Debtor and included, among other parties, the Debtor, non-Debtor affiliates, creditors, lenders, the United States Trustee and persons employed in the office of the United States Trustee, and other parties. The Potential Parties in Interest list was compared to an internal database that includes, among others, Stretto's parent entities, affiliates, and subsidiaries. Stretto's internal database also includes Stone Point Capital LLC (\"Stone Point\"), its funds, and each such fund's respective portfolio companies as set forth in the list most recently provided to Stretto by Stone Point's internal compliance department (the \"Stone Point Searched Parties\"). The results of the conflict check were compiled and reviewed by Stretto professionals under my supervision. At this time, and as set forth in further detail herein, Stretto is not aware of any connection that would present a disqualifying conflict of interest. Should Stretto discover any new relevant facts or connections bearing on the matters described herein during the period of its retention, Stretto will use reasonable efforts to file promptly a supplemental declaration.\n\n7. To the best of my knowledge, and based solely upon information provided to me by the Debtor, and except as provided herein, neither Stretto, nor any of its professionals, has any materially adverse connection to the Debtor, his creditors or other relevant parties.\n\n8. Stretto has and will continue to represent clients in matters unrelated to this chapter 11 case. In addition, in matters unrelated to this chapter 11 case, Stretto and its personnel have and will continue to have relationships personally or in the ordinary course of business with certain vendors, professionals, financial institutions, and other parties in interest that may be involved in this chapter 11 case. Stretto may also provide professional services to entities or persons that may be creditors or parties in interest in this chapter 11 case, which services do not directly relate to, or have any direct connection with, this chapter 11 case or the Debtor. To the best of my knowledge,\n\nStretto does not provide professional services to any entities or persons that have been identified as Potential Parties in Interest.\n\n9. To the best of my knowledge, none of Stretto's employees are related to bankruptcy judges in the District of Connecticut, the United States Trustee for Region 2, or any attorney known by Stretto to be employed in the Office of the United States Trustee serving the District of Connecticut.\n\n10. Certain of Stretto's professionals were partners of or formerly employed by firms that are providing or may provide professional services to parties in interest in these cases. Except as may be disclosed herein, these professionals did not work on any matters involving the Debtor while employed by their previous firms. Moreover, these professionals were not employed by their previous firms when this chapter 11 case were filed. To the best of my knowledge, none of Stretto's professionals were partners of, or formerly employed within the last three years by firms that are Potential Parties in Interest or that have filed a notice of appearance in this chapter 11 case.\n\n11. Stretto and its personnel in their individual capacities regularly utilize the services of law firms, investment banking and advisory firms, accounting firms, and financial advisors. Such firms engaged by Stretto or its personnel may appear in chapter 11 cases representing the Debtor or parties in interest. To the best of my knowledge, Stretto does not currently utilize the services of any law firms, investment banking and advisory firms, accounting firms, or financial advisors who have been identified as Potential Parties in Interest or who have filed a notice of appearance in this chapter 11 case.\n\n12. In April 2017, Stretto was acquired by the Trident VI Funds managed by private equity firm Stone Point. Stone Point is a financial services-focused private equity firm based in Greenwich, Connecticut. The firm has raised and managed eight private equity funds – the Trident\n\nFunds – with aggregate committed capital of approximately \\$25 billion. Stone Point targets investments in the global financial services industry and related sectors.\n\n13. The following disclosure is made out of an abundance of caution in an effort to comply with the Bankruptcy Code and Bankruptcy Rules.\n\n14. Stretto has searched the names of the Debtor and the names of the Potential Parties in Interest against the Stone Point Searched Parties. Based solely on the foregoing search, Stretto has determined that neither the Trident VI Funds, Stone Point nor the Stone Point Searched Parties have been identified on the parties in interest list in this chapter 11 case as of the date hereof and to the best of its knowledge, that there are no material connections that require disclosure. To the extent Stretto learns of any material connections between Stone Point's funds or investments included in the above-described conflicts search and the Debtor, Stretto will promptly file a supplemental disclosure. Stretto may have had, may currently have, or may in the future have business relationships unrelated to the Debtor with one or more Stone Point entities including, among others, portfolio companies of Stone Point.\n\n15. From time to time, Stretto partners or employees personally invest in mutual funds, retirement funds, private equity funds, venture capital funds, hedge funds and other types of investment funds (the \"Investment Funds\"), through which such individuals indirectly acquire a debt or equity security of many companies, one of which may be the Debtor, often without Stretto's or its personnel's knowledge. Each Stretto partner or employee generally owns substantially less than one percent of such Investment Fund, does not manage or otherwise control such Investment Fund and has no influence over the Investment Fund's decision to buy, sell, or vote any particular security. Each Investment Fund is generally operated as a blind pool, meaning that when the Stretto partners or employees make an investment in the particular Investment Fund, he, she or they do not know what securities the blind pool Investment Fund will purchase or sell, and have no control over such purchases or sales.\n\n16. From time to time, Stretto partners or employees may personally directly acquire a debt or equity security of a company that may be affiliated with the Debtor. Stretto has a policy prohibiting its partners and employees from using confidential information that may come to their attention in the course of their work. In this regard, subject to the foregoing, all Stretto partners and employees are barred from trading in securities with respect to matters in which Stretto is retained. Subject to the foregoing, upon information and belief, and upon reasonable inquiry through email survey of Stretto's employees, Stretto does not believe that any of its partners or employees own any debt or equity securities of the Debtor or any affiliate thereof.\n\n17. To the best of my knowledge, Stretto (a) does not hold or represent an interest adverse to the Debtor's estate; (b) is a \"disinterested person\" that (i) is not a creditor, an equity security holder, or an insider, (ii) is not and was not, within two years before the Petition Date, a director, officer, or employee of the Debtor, and (iii) does not have an interest materially adverse to the interest of the Debtor's estate or of any class of creditors or equity security holders, by reason of any direct or indirect relationship to, connection with, or interest in, the debtor, or for any other reason; and (c) has disclosed all of Stretto's connections with the Debtor, his creditors, any other party in interest, their respective attorneys and accountants, the U.S. Trustee, or any person employed in the office of the U.S. Trustee.\n\nPursuant to 28 U.S.C. § 1746, I declare under penalty of perjury that the foregoing is true and correct to the best of my knowledge, information, and belief.\n\nDated: March 16, 2022\n\n*/s/ Sheryl Betance* Sheryl Betance Senior Managing Director Stretto 410 Exchange, Ste. 100 Irvine, California 92602","body_zh":"United States Bankruptcy Court, District of Connecticut, Bridgeport Division（美国康涅狄格联邦破产法院布里奇波特分院）\n\n债务人。[1]：\n\n关于：：第11章\n\nHo Wan Kwok（郭文贵），：案号 22-50073\n债务人关于申请授权聘用 Stretto, Inc.（Stretto公司）担任债权申报及通知代理人的申请\n\n上述标题所示第11章案件（以下简称“本第11章案件”）中的债务人兼占有中债务人 Ho Wan Kwok（郭文贵）先生（以下简称“Kwok先生”或“债务人”）特此提交本申请（以下简称“本申请”），请求作出一项裁定，其形式实质上如随附本申请的附件A（以下简称“该裁定”），授权其根据随附本申请的附件B所载服务协议（以下简称“服务协议”）规定的条款和条件，聘用 Stretto, Inc.（以下简称“Stretto”）担任其债权申报及通知代理人（以下简称“债权申报及通知代理人”）。为支持本申请，债务人提交 Stretto 公司重组事务高级董事总经理 Sheryl Betance 的声明，该声明随附于本申请，作为附件C（以下简称“Betance声明”），并进一步援引与本申请同时提交的 Ho Wan Kwok 先生支持本第11章案件及若干动议的声明（以下简称“Kwok声明”）。为进一步支持本申请，债务人谨陈述如下：\n\n管辖权\n\n1. 本法院根据 28 U.S.C. §§ 157(b) and 1334 对审理本事项具有管辖权。本程序根据 28 U.S.C. § 157(b) 属于核心程序。\n\n2. 根据 28 U.S.C. §§ 1408 and 1409，本法院为适当审判地。\n\n1 债务人亦以以下姓名为人所知：Guo Wengui（郭文贵）；Miles Guo（郭文贵）；Miles Kwok（郭文贵）；以及 Ho Wan Kwok。\n\n3. 本申请所请求救济的依据为《美国法典》第28编第156(c)条、《美国法典》第11编第105(a)条（以下简称“破产法典”）以及《联邦破产程序规则》第2014(a)条和第2016条（以下简称“破产规则”）。\n\n背景\n\n4. 于 February 15, 2022（以下简称“申请日”），债务人通过提交根据《破产法典》第11章请求救济的自愿申请，启动上述标题所示破产案件。\n\n5. 债务人根据《破产法典》第1107(a)条和第1108条为占有中债务人。\n\n6. 本第11章案件尚未指定任何受托人、审查员或法定委员会，亦未根据《破产法典》第1102条指定任何正式委员会。\n\n请求的救济\n\n7. 债务人请求作出裁定，授权其自申请日起，根据服务协议规定的条款和条件，聘用 Stretto 担任其债权申报及通知代理人。\n\n8. 债务人请求聘用 Stretto 担任其债权申报及通知代理人，包括由 Stretto 全面负责分发通知，以及维护、处理和登记本第11章案件中提交的债权证明。债务人选择 Stretto 担任债权申报及通知代理人，在本案情形下适当且符合其破产财产的最佳利益。此外，债务人主张，鉴于 Stretto 的服务质量和专业能力，其收费具有竞争力且合理。\n\nSTRETTO 的资格\n\n9. Stretto 是一家第11章案件管理机构，由业内领先专业人士组成，该等人士在大型、复杂第11章案件的法律和行政层面均拥有丰富经验。Stretto 的专业人员在通知、债权管理、征求意见、投票及促进第11章案件其他行政事务方面，以及在此等规模和复杂程度的事项中均具有经验。Stretto 的专业人员曾在全国若干大型破产案件中担任正式债权申报及通知代理人。Stretto 已制定高效且具成本效益的方法，用以处理第11章案件通知和债权处理部分所涉及的大量邮寄工作，以确保债权人、股权证券持有人及所有利害关系方获得高效、有序和公平的对待。Stretto 最近正在办理及已办结的案件包括：In re Carla's Pasta, Inc., Case No. 21-20111 (JJT) (Bankr. D. Conn. March 19, 2021)；In re A.B.C. Carpet Co., Inc., Case No. 12-11591 (DSJ) (Bankr. S.D.N.Y. Sept. 10, 2021)；In re Kumtor Gold Co. CJSC, Case No. 21-11051 (LGB) (Bankr. S.D.N.Y. June 8, 2021)；In re VTES, Inc., Case No. 20-12941 (JLG) (Bankr. S.D.N.Y. Jan. 15, 2021)；In re Furla (U.S.A.), Inc., Case No. 20-12604 (SCC) (Bankr. S.D.N.Y. Nov. 12, 2020)；In re Century 21 Department Stores LLC, Case No. 20-12097 (SCC) (Bankr. S.D.N.Y. Sept. 14, 2020)；In re NTS W. USA Corp., Case No. 20-35769 (CGM) (Bankr. S.D.N.Y. July 29, 2020)；In re Dean & Deluca N.Y., Inc., Case No. 20-10916 (MEW) (Bankr. S.D.N.Y. Apr. 7, 2020)；In re Seabras 1 USA, LLC, Case No. 19-14006 (SMB) (Bankr. S.D.N.Y. Dec. 27, 2019)；In re Agera Energy LLC, Case No. 19-23802 (RDD) (Bankr. S.D.N.Y. Oct. 9, 2019)；以及 In re Barneys New York, Inc., Case No. 19-36300 (CGM) (Bankr. S.D.N.Y. Aug. 7. 2019)。[2]\n\n2 鉴于本文所引用裁定数量庞大，该等裁定未随附于本申请。债务人律师可应要求提供上述引用裁定的副本。\n\n拟提供的服务\n\n10. 根据服务协议，Stretto 将作为债权申报及通知代理人，应债务人或破产法院书记官（以下简称“书记官”）请求，提供以下服务（统称“服务”）：\n\na. 按照债务人和/或法院指示的形式和方式，协助债务人根据破产法典和破产规则编制及分发所有必需的通知和文件，包括：(i) 本第11章案件启动通知及根据《破产法典》第341(a)条举行的首次债权人会议通知；(ii) 任何债权申报截止日期通知；(iii) 债务人资产拟议出售通知；(iv) 债权异议及债权转让异议通知；(v) 关于披露声明听证及任何重组计划确认的通知，包括根据破产规则第3017(d)条作出的通知；(vi) 任何计划生效日期通知；以及 (vii) 债务人、法院或书记官为有序管理本第11章案件而认为必要或适当的所有其他通知、裁定、诉状、公告及其他文件；\n\nb. 保存债务人清单的正式副本，其中列明债务人已知债权人及对其所负金额；\n\nc. 保存：(i) 所有潜在债权人、股权持有人及其他利害关系方的名单；以及 (ii) 由破产规则第2002(i)、(j)和(k)条所述各方及根据破产规则第9010条提交出庭通知的各方构成的“核心”邮寄名单，并在利害关系方或书记官提出请求时更新并提供该等名单；\n\nd. 在适用范围内，于该等通知和表格经法院批准后，向所有潜在债权人提供提交债权证明的最后日期通知及债权证明申报表格，并将清单所载其各自债权的存在、金额和分类通知该等潜在债权人；该通知可通过向潜在债权人提供的定制债权证明表格中载入该等信息实现（如清单显示对相关当事人不存在应付债务，则载入不存在该等信息的事实）；\n\ne. 维护用于接收债权申报和退回邮件的邮政信箱或地址，并处理收到的所有邮件；\n\nf. 就送达的所有通知、动议、裁定或其他诉状或文件，编制并向书记官提交，或促使向书记官提交，送达宣誓书或送达证明书，提交频率不得超过每 7 天一次，其中包括：(i) 已送达通知的副本，或已送达诉状的案卷编号和标题；(ii) 邮寄送达对象名单（按字母顺序排列）及其地址；(iii) 送达方式；以及 (iv) 送达日期；\n\n- g. 接收并处理所有债权申报表，包括书记官收到的债权申报表；核查该等处理的准确性；并将债权申报表原件保存在安全区域；\n\n- h. 提供用于提交债权申报表的电子接口；\n\n- i. 代表书记官为每一债务人维护正式债权登记簿（统称“债权登记簿”）；应书记官要求，向书记官提供经核证的、非正式债权登记簿副本；并在债权登记簿中载明每项已登记债权的下列信息：(i) 分配的债权编号；(ii) 收到日期；(iii) 提交债权申报表的债权人及其代理人（如适用）的姓名和地址；(iv) 如付款地址与通知地址不同，则载明付款地址；(v) 主张的金额；(vi) 主张的债权类别（例如，有担保、无担保、优先权等）；(vii) 债务人；以及 (viii) 对该债权作出的任何处理；\n\n- j. 免费向公众提供查阅债权登记簿的权限，包括完整的债权申报表及其附件（如有）；\n\n- k. 记录所有债权转让，并根据《破产程序规则》3001(e)规定，就该等转让发出任何所需通知；\n\n- l. 实施旨在确保债权登记簿完整性和完整无损，以及妥善保管任何债权申报表的合理安全措施；\n\n- m. 至少每周一次，通过专人递送或隔夜快递，将所有向法院提交的债权申报表转移至 Stretto（斯特雷托）的办公室；\n\n- n. 监控法院案卷中提交的所有出庭通知、地址变更以及与债权有关的诉状和命令，并在债权登记簿及任何送达或邮寄名单上作出必要注记和/或变更，包括识别并从该等名单中删除重复的姓名和地址；\n\n- o. 识别并更正任何邮寄或送达名单中不完整或不正确的地址（以该等信息可获得为限）；\n\n- p. 按债务人或法院指示，协助向公众传播信息，并回应有关本第11章案件的行政信息请求，包括通过案件网站和/或呼叫中心；\n\n- q. 通过电子邮件向经债务人案件网站和/或呼叫中心订阅该服务的当事人提供案卷更新；\n\n- r. 就根据《服务协议》提供的服务，遵守适用的联邦、州、市和地方成文法、条例、规则、法规、命令及其他要求；\n\n- s. 除其他事项外，协助进行征求、投票和票数统计；按要求编制与支持确认第11章计划有关的任何报告；\n\n- t. 编制正式投票认证，并在必要时出庭作证支持票数统计结果；\n\n- u. 协助编制债务人的资产和负债清单及财务状况说明书，并收集与此相关的数据；\n\n- v. 提供保密数据室；\n\n- w. 如根据第11章计划被指定为分配代理人，则管理和协调根据该第11章计划进行的任何分配；以及\n\n- x. 提供债务人、破产法院或破产法院书记官办公室可能不时要求的《委聘协议》中所述的其他征求、投票及其他行政服务。\n\n- y. 如本第11章案件被转换为《破产法典》第7章案件，则在 Stretto 收到案件转换命令作出通知之日起3日内联系书记官；\n\n- z. 在本第11章案件结案前30日，在切实可行的范围内，请求债务人向法院提交一项拟议命令，在 Stretto 完成其职责和责任且本第11章案件结案后，解除 Stretto 的债权及通知代理人职务，并终止其以该身份提供的服务；\n\n- aa. 在 Stretto 收到本第11章案件结案命令作出通知之日起7日内，向法院提供截至案件结案前一日的债权登记簿最终版本；以及\n\n- bb. 在本第11章案件结案时：(i) 按书记官提供的适当格式，将所有原始文件装箱并运送至书记官要求的任何地点；以及 (ii) 将填妥的 SF-135 表格登记入案，该表格应注明已归档债权的移交编号和存放地点编号。\n\nSTRETTO 的无利害关系性\n\n11. Stretto 已审查其电子数据库，以确定其是否与债务人提供的债权人及利益相关方存在任何关系，并且，据债务人所知、所获信息及所信，Stretto 已陈述，就其将受雇处理的任何事项而言，其既不持有亦不代表与债务人财产存在重大不利关系的任何利益。\n\n12. 据债务人所知，正如 Stretto 在 Betance Declaration（贝坦斯声明）中所陈述的，除其他事项外，Stretto 是经《破产法典》第1107(b)条修正的《破产法典》第101(14)条所定义的“无利害关系人”，因为：\n\n- a. Stretto 不是债务人的债权人；\n\n- b. Stretto 不会将自身视为受美国政府雇用，且不会以本第11章案件中的债权及通知代理人身份向美国政府寻求任何报酬；\n\n- c. 通过接受在本第11章案件中的雇用，Stretto 放弃任何就本第11章案件从美国政府获得报酬的权利；\n\n- d. Stretto 以本第11章案件中债权及通知代理人的身份，不会成为美国的代理人，亦不会代表美国行事；\n\n- e. Stretto 不会就其作为本第11章案件中债权及通知代理人的工作，雇用债务人的任何现任或前任雇员；\n\n- f. 就其受聘处理的事项而言，Stretto 是《破产法典》第101(14)条所定义的“无利害关系人”；\n\n- g. Stretto 以本第11章案件中债权及通知代理人的身份，不会故意向任何人歪曲任何事实；\n\n- h. 就接收和记录债权及债权转让而言，Stretto 应受书记官办公室监督和控制；\n\n- i. Stretto 将遵守书记官办公室的所有要求，以及美国司法会议为实施 28 U.S.C. § 156(c) 而颁布的指导方针；以及\n\n- j. Stretto 作为本第11章案件中债权及通知代理人提供的任何服务，均不得由书记官办公室承担费用。\n\n13. 如发现任何要求作出该等额外披露的事实或情形，Stretto 将向法院补充其披露。\n\n14. 如本申请、该命令与《服务协议》之间存在任何不一致，应以该命令为准。\n\nSTRETTO 的报酬\n\n15. 债务人谨请求，根据 28 U.S.C. § 156(c) 及《破产法典》第503(b)(1)(A)条，将 Stretto 因履行上述服务所产生的无争议费用和开支视为债务人第11章财产的行政费用，并根据《服务协议》在正常业务过程中支付，而无须进一步向法院提出申请或取得法院命令。\n\n16. Stretto 同意保存所有服务的记录，列明日期、服务类别、收取的费用及产生的开支；并且至少每月一次，向债务人、美国受托人办公室、债务人律师、监督债务人费用的任何正式委员会的律师，以及任何特别请求送达月度发票的利益相关方送达发票。如就《服务协议》或月度发票产生任何争议，各方应会面协商，以尝试解决该争议。如未能解决，各方可向本法院寻求解决该事项。\n\n17. 此外，根据《服务协议》的条款，除因 Stretto 的恶意、重大过失、故意不当行为或该命令另有规定所导致的情形外，债务人已同意在《服务协议》规定的某些情形下，对 Stretto 及其成员、董事、高级职员、雇员、代表、关联方、顾问、分包商和代理人进行赔偿、抗辩并使其免受损害。债务人认为，该等赔偿义务为在本第11章案件中保留债权及通知代理人服务所惯常、合理且必要的义务。\n\n救济依据\n\n18. 《美国法典》第28编第156(c)条授权法院使用书记官设施以外的设施管理第11章案件，条件是债务人财产支付该等服务的费用：\n\n任何法院均可利用位于法院场所内或外的设施或服务，该等设施或服务涉及向根据《美国法典》第11编规定提起的案件中的当事人提供通知、案卷、日程表及其他行政信息，但该等设施或服务的费用须从财产资产中支付，且不得向美国收费。使用该等设施或服务应受相关巡回区司法委员会可能规定的条件和限制约束。\n\n26 U.S.C. § 156(c).\n\n19. 鉴于预计本第11章案件中将有大量债权人及其他利益相关方，以及债务人金融资产和义务的复杂性，债务人主张，指定 Stretto 为债权及通知代理人，将为发出通知、管理某些债权相关事务提供最有效率和最有效的方式，并减轻债务人和/或破产法院书记官办公室的行政负担；因此，此举符合债务人财产的最佳利益。\n\n通知\n\n20. 本申请的通知将提供给：(a) 美国受托人办公室；(b) 对债务人持有最大无担保债权的持有人；(c) 美国国税局；(d) 康涅狄格地区美国检察官办公室；以及 (e) 截至送达时根据《破产程序规则》2002 请求送达的任何其他当事人（统称“通知当事人”）。债务人认为，在此情形下无须进一步通知。\n\n无先前请求\n\n21. 债务人此前未曾向本法院或任何其他法院提出过本申请所请求救济的请求。\n\n结论\n\n因此，Kwok 先生谨请求本法院作出一项与本申请所附附件 A 格式相同的命令，授权其聘用并保留 Stretto 作为其债权及通知代理人，并授予其他公正且适当的救济。\n\n日期：March 16, 2022\n\nHo Wan Kwok（郭文贵），债务人及占有中债务人\n\n签署人：/s/ Ho Wan Kwok Ho Wan Kwok\n送达证明\n\n本人特此证明，于 March 16, 2022，上述文件副本已通过电子方式提交，并通过邮寄方式送达给无法接受电子提交的任何人士。该提交的通知将通过法院电子提交系统的运行向所有当事人发送电子邮件，或如《电子提交通知》所示，通过邮寄方式发送给无法接受电子提交的任何人士。当事人可通过法院的 CM/ECF System（CM/ECF 系统）查阅本文件。\n\n/s/ William Baldiga（威廉·巴尔迪加）\n附件 A\n\n拟议命令\n美国破产法院 康涅狄格地区 布里奇波特分部\n\n债务人。[1] ：\n\n关于：：第11章\n\nHo Wan Kwok（郭文贵），：案件编号 22-50073\n准许债务人申请授权保留及聘用 STRETTO 作为债权及通知代理人的命令\n\n经审议债务人关于授权聘用 Stretto 作为索赔及送达代理人的申请（下称“申请”）[2]、Betance（贝坦斯）声明、Kwok（郭文贵）声明以及对该申请的任何答复；并且该申请已获适当且充分的通知；并且看来无需就该申请提供其他或进一步通知；并且本院依据 28 U.S.C. §§ 157 and 1334 有权审议该申请；并且依据 28 U.S.C. § 157(b)(2)，审议该申请及所请求的救济属于核心程序；并且依据 28 U.S.C. §§ 1408 and 1409，本院为适当审判地；并且该申请所请求及本命令所规定的救济最符合债务人、其财产及债权人的利益；并且经适当审议且有充分理由支持；并且已向通知当事方就该申请提供了适当且充分的通知；并且看来无需提供其他或进一步通知；并且本院已举行一次或多次听证，以审议该申请所请求的救济以及本院此前进行的全部程序；并且对该申请的所有异议均已撤回、解决或驳回；并且本院认定，申请、Betance（贝坦斯）声明及 Kwok（郭文贵）声明中所载的法律及事实依据确立了授予本命令所载救济的正当理由；并且经适当审议且有充分理由支持，\n\n1 债务人还以下列姓名为人所知：Guo Wengui（郭文贵）；Miles Guo（郭文贵）；Miles Kwok（郭文贵）；以及 Ho Wan Kwok（郭文贵）。\n\n2 本文所使用但未定义的大写术语，应具有申请中赋予该等术语的含义。\n\n兹命令如下：\n\n1. 按照本命令规定，批准该申请。\n\n2. 授权债务人按照本命令所载《服务协议》的条款，聘用并指定 Stretto 为其索赔及送达代理人。\n\n3. 授权并指示 Stretto 提供送达服务，并接收、保存、记录及以其他方式管理在本第11章案件中提交的债权证明，以及申请、《服务协议》和本命令中所述的其他相关任务。书记官应向 Stretto 提供 CM/ECF 凭证，使 Stretto 能够接收 CM/ECF 通知并提交送达证明。\n\n4. Stretto 应作为法院记录的保管人，并被指定为本第11章案件中提交的所有债权证明的授权存放处；并获授权及指示为债务人维护正式债权登记册，并应书记官要求向其提供经认证的副本。\n\n5. 授权 Stretto 提供用于提交债权证明的电子界面，并取得用于接收债权证明的邮政信箱或地址。Stretto 应免费提供对债权登记册的公众查阅，包括完整的债权证明及其附件（如有）。\n\n6. 授权 Stretto 采取其他行动，以履行申请和《服务协议》中规定的全部职责及服务。\n\n7. 尽管《破产法典》第330和331条以及《破产程序规则》第2016条另有规定，债务人获授权在收到合理详细的发票后，按照《服务协议》的条款向 Stretto 支付报酬；该等发票应载明 Stretto 提供的服务及每项服务收取的费率；债务人亦获授权在提交适当证明文件后，偿还 Stretto 可能发生的一切合理且必要的费用，无需 Stretto 提交费用申请或以其他方式就其服务报酬及费用偿还寻求本院批准。\n\n8. Stretto 应保存所有服务的记录，列明日期、服务类别、所收费用及发生的支出，并应向债务人、美国受托人办公室、债务人的律师、监督债务人费用的任何正式委员会的律师，以及任何明确要求送达月度发票的利害关系方送达月度发票。\n\n9. 各方应会面并协商，尝试解决可能因《服务协议》或月度发票而产生的任何争议；但如未能达成解决办法，各方可向本院寻求解决该事项。\n\n10. 无需本院进一步命令，根据《破产法典》第503(b)(1)(A)条，Stretto 根据本命令产生的费用及支出应构成债务人财产的行政费用。\n\n11. Stretto 可将任何预付款用于所有申请日前发票，该预付款可补足至原预付款金额；此后，在本第11章案件期间，Stretto 可根据《服务协议》持有其预付款，作为支付根据《服务协议》发生的费用及支出的担保。\n\n12. 债务人应按照经本命令修改的《服务协议》条款，对 Stretto 进行赔偿。\n\n13. 除非该等服务及就此作出的赔偿、分担或偿还经本院批准，否则 Stretto 无权根据《服务协议》就《服务协议》项下所提供服务以外的服务获得赔偿、分担或偿还。\n\n14. 尽管《服务协议》中有任何相反规定，债务人无义务就以下任何索赔或支出向 Stretto 进行赔偿，或向 Stretto 提供分担或偿还：(a) 经司法认定（且该认定已成为终局）仅因 Stretto 的重大过失、故意不当行为、欺诈、恶意、自我交易或本命令规定的违反信义义务行为（如有）而产生的；(b) 就合同争议而言，如债务人主张 Stretto 违反其合同义务，且本院认定根据适用法律不允许赔偿、分担或偿还的；或 (c) 本院认定根据 Unsecured Creditors' Committee v. Pelofsky (In re Thermadyne Holdings Corp.), 283 B.R. 749, 756 (B.A.P. 8th Cir. 2002) 不允许赔偿、分担或偿还的任何类型；或 (d) 在 (a) 或 (b) 项下作出司法认定前已和解，但本院在通知及听证后认定，根据经本命令修改的《服务协议》条款，Stretto 不应就其获得赔偿、分担或偿还的索赔或支出。\n\n15. 如在以下两者中较早者之前：(a) 本第11章案件中确认第11章计划的命令已作出（该命令已成为不再可上诉的终局命令），或 (b) 本第11章案件结案的命令已作出，Stretto 认为其有权因债务人根据《服务协议》（经本命令修改）承担的赔偿、分担和/或偿还义务而获得债务人支付的任何款项，包括预付抗辩费用，则 Stretto 必须就此向本院提交申请，且债务人在本院作出批准付款的命令前不得向 Stretto 支付任何该等款项。如 Stretto 根据《服务协议》就赔偿索赔向债务人寻求律师费及支出的偿还，律师费及支出的发票和支持性工时记录应载入 Stretto 自身的中期及最终申请中，但应由本院在通知及听证后作出裁定。本段仅旨在规定本院对 Stretto 提出的任何赔偿、分担或偿还费用和支出请求具有管辖权的期间，并非限制债务人对 Stretto 的赔偿义务期限的条款。所有利害关系方均保留对 Stretto 提出的任何赔偿、分担或偿还请求提出异议的权利。\n\n16. 如 Stretto 无法提供本命令规定的服务，Stretto 应立即通知书记官及债务人的律师，并在本院批准后，经书记官及债务人律师的建议和同意，促使将所有债权证明原件及计算机信息移交给另一索赔及送达代理人。\n\n17. 在作出终止 Stretto 服务的命令后、在本第11章案件结案时，或因任何其他原因，Stretto 应负责在适用情况下向联邦档案记录管理机构归档所有债权证明，并应由债务人就此获得报酬。\n\n18. 在本第11章案件期间，未经本院命令，Stretto 不得以任何理由停止提供债权处理服务，包括因未付款。\n\n19. 如《服务协议》、申请与本命令之间存在任何不一致，应以本命令为准。\n\n20. 授权债务人和 Stretto 采取一切必要行动，以落实根据本命令授予的救济。\n\n21. 本命令仅涉及 Stretto 根据 28 U.S.C. § 156(c) 允许的书记官职责委托所应履行的工作；对于应由 Stretto 履行但未经本命令明确授权的工作，债务人可依据《破产法典》第327条和/或任何适用法律提交单独的聘用申请。\n\n22. 尽管本命令授予救济，债务人根据本命令所授权限作出的任何付款，均应受本院就债务人申请后融资和/或使用现金担保物所作任何命令的约束并符合该等命令。\n\n23. 尽管任何《破产程序规则》有相反规定，本命令自作出时起立即生效并可执行。\n\n24. 按申请中规定作出的该申请通知，应视为对该申请的充分且适当通知，该等通知已满足《破产程序规则》的要求。\n\n25. 本院应保留对因实施或解释本命令而产生或与之相关的所有事项的管辖权。\n\n尊敬的 Julie A. Manning（朱莉·A·曼宁）法官\n康涅狄格地区美国破产法院法官\n\n附件 B\n\n服务协议\n服务协议\n\n本《服务协议》（下称“本协议”）由 Stretto, Inc.（Stretto公司）与 Ho Wan Kwok（郭文贵）于 March 4, 2022 签订。\n\n鉴于本文所载承诺及其他良好且有价值的对价，兹确认已收到且该等对价充分，并以本协议获得批准以及郭先生在第11章案件 No. 22-50073 (Bankr. D. Conn.)（下称“第11章案件”）中聘用 Stretto 为条件，协议各方约定如下：\n\n1. 服务\n\n(a) Stretto（斯特雷托）同意就下列事项向 Kwok 先生（郭文贵）提供咨询服务：(i) 法律通知、债权登记册维护、债权人邮寄矩阵、用于提交债权证明的电子平台、计划征求、投票、票数统计、款项支付，以及为编制资产和负债清单及财务状况说明书提供行政支持（以下简称“债权管理、通知及征求服务”）；以及 (ii) 危机沟通、债权分析及核对、偏颇清偿分析及追偿、合同审阅及分析、案件研究、公开证券、托管管理、资金管理服务、保密在线工作空间或数据室（其发布不得违反本协议的保密条款），以及双方约定或适用法律、政府规章或法院规则或命令另行要求的任何其他服务（所有该等服务统称“服务”）。\n\n(b) Kwok 先生确认并同意，就根据本协议提供服务而言，Stretto 将经常接受 Kwok 先生的代表、雇员、代理人和/或专业人士（统称“Kwok 方”）的指示。双方同意，Stretto 可依赖 Kwok 方提供的任何请求、建议或信息，且 Kwok 先生同意受该等请求、建议或信息的约束，其程度与该等请求、建议或信息由 Kwok 先生提供时相同。\n\n(c) Kwok 先生同意并理解，Stretto 不得向 Kwok 先生或任何其他方提供法律意见。\n\n2. 费率、费用及付款\n\n(a) Stretto 将根据需要并应请求提供服务，或经 Stretto 同意提供服务。截至第 11 章计划生效之日的服务费用，应按照随附的费率（以下简称“优惠费率结构”）收取。Kwok 先生同意，优惠费率结构不适用于向负责实施已获确认并已生效的第 11 章计划的实体（包括 Kwok 先生）提供的服务，该等服务将按 Stretto 届时通行的费率提供。Kwok 先生同意支付优惠费率结构所规定的费用，并偿还 Stretto 因根据本协议提供服务而发生的合理实际支出费用。\n\n(b) 在所有方面均受《美国破产法典》以及在第 11 章案件中可能作出并适用的任何报酬管理命令约束：(i) Stretto 向 Kwok 先生开具账单的频率不得低于每月一次；(ii) 所有发票均应由 Kwok 先生在收到时到期并支付；(iii) 如预计将发生的某项费用或一组费用超过 $10,000（例如，公告通知），Stretto 可要求 Kwok 先生在根据本协议履行服务前预付或直接支付；以及 (iv) 如任何款项在发票送达后 30 日仍未支付，Kwok 先生同意每满 30 日就未支付总额支付 1.5% 的滞纳金。\n\n(c) 如对发票金额存在争议，Kwok 先生应在收到发票后 10 日内向 Stretto 提供有关该争议的详细书面通知。\n\n(d) 发票中无争议的部分仍应在收到后立即到期并支付。对善意争议的任何金额不计收滞纳金。\n\n(e) Kwok 先生应支付与 Kwok 先生或 Kwok 方所作出的任何错误或遗漏有关、由其引起或由其导致的服务费用及开支。\n\n(f) Kwok 先生应支付或偿还适用于根据本协议履行的服务，或以根据本协议作出的付款为计量依据，且要求由 Stretto 征收或由 Stretto 向税务机关缴纳的任何税款。\n\n(g) Stretto 保留自每年首个营业日起按年度对优惠费率结构作出合理上调的权利。如该等年度上调导致较上一年度水平增加超过 10%，Stretto 应就该等上调向 Kwok 先生提前 30 日发出书面通知。\n\n(h) 客户可采用下列一种或两种方式，向 Stretto 支付根据本协议条款就已提供服务应付的款项：\n\n电汇\n\n银行名称 - Pacific Western Bank（太平洋西部银行） 银行地址 - 110 West A Street, Suite 100, San Diego, CA 92101 ABA - 122238200 账号 - 1000681781 账户名称 - Bankruptcy Management Solutions, Inc.（破产管理解决方案公司）\n\n支票\n\nStretto 收件人：应收账款部 410 Exchange, Suite 100 Irvine, CA 92602\n\n3. 在破产案件中的聘用\n\n(a) Kwok 先生应立即在第 11 章案件中向 Bankruptcy Court（破产法院）提交任何必要申请，以聘用 Stretto 提供服务。该等申请以及批准该等申请的任何命令的形式和实质内容，应为 Stretto 合理接受。\n\n(b) 如第 11 章案件转为《破产法典》第 7 章案件，Stretto 应继续根据 28 U.S.C. § 156(c) 及本协议条款就服务获得付款。\n\n4. 保密\n\n(a) Kwok 先生与 Stretto 同意，对因根据本协议提供服务而从另一方收到的所有非公开记录、系统、程序、软件及其他信息予以保密；但前提是，如任何该等信息已公开可得、已由接收方持有或知悉、由接收方独立开发、由接收方从第三方合法取得，或依法要求披露，则接收方对公开披露该等信息不承担任何责任。\n\n(b) 如任一方合理认为其被要求或可能被要求根据传票、法院命令或政府机关的任何请求或命令披露任何保密信息：(i) 该方应在收到该等传票、法院命令、请求或命令后立即向另一方发出书面通知，以便另一方在可能的情况下有足够时间寻求适用法律下可获得的任何救济，以防止该信息的披露；以及 (ii) 该方将以其律师善意认定可限制的范围为限限制该等披露。\n\n5. 财产权利\n\nStretto 为其自身或供 Kwok 先生根据本协议使用而提供的所有材料、概念、创作、工具及管理方法、设计、创新、构想、发现、专有技术、技术、程序、系统、规格、应用程序、流程、惯例、手册、文件及任何其他信息或财产（统称“财产”），Stretto 保留其自身及其代理人对其享有的一切财产权利。上述“财产”的定义包括由 Stretto 的技术基础设施从任何来源下载、存储及维护的任何及所有数据。Kwok 先生支付的费用和开支不使 Kwok 先生取得该等财产的任何权利。该等财产仅供 Kwok 先生在 Stretto 根据本协议提供服务期间及与该等服务有关时使用。\n\n6. 银行账户\n\n应 Kwok 先生或 Kwok 方的请求，Stretto 有权以 Kwok 先生名义并作为 Kwok 先生的代理人，在金融机构开立账户，以便利根据第 11 章计划或其他交易进行的分配。在依据 Stretto 与金融机构的协议向 Kwok 先生提供某些金融产品的范围内，Stretto 可就其根据该协议提供的服务从该等机构获得报酬。\n\n7. 期限及终止\n\n(a) 本协议应持续有效，直至任一方以下列方式终止：(i) 提前 30 日向另一方发出书面通知；或 (ii) 因正当事由（定义见本协议）立即发出书面通知。“正当事由”是指：(i) Stretto 的重大过失或故意不当行为，对 Kwok 先生根据《破产法典》第 11 章进行的重组造成重大损害；(ii) Kwok 先生自发票日期起超过 60 日未支付 Stretto 的发票；或 (iii) 发票或未付服务款项的累计金额超过 Stretto 持有的预付款，且 Stretto 合理认为其可能无法获得付款。\n\n(b) 如本协议在 Stretto 根据破产法院命令获聘后终止，Kwok 先生应立即寻求破产法院作出命令，解除 Stretto 在该项聘用下的职责；该命令的形式和实质内容应为 Stretto 合理接受。\n\n(c) 如本协议终止，Kwok 先生仍应对当时根据本协议已累计和/或到期应付 Stretto 的所有款项负责。\n\n(d) 如本协议终止，Stretto 应与 Kwok 先生及在适用范围内与破产法院书记员协调，以维持记录保存职能的有序移交，并应提供该等有序移交所需的人员、服务及协助。Kwok 先生同意根据优惠费率结构支付该等服务费用。\n\n8. 无陈述或保证\n\nStretto 不就根据本协议向 Kwok 先生出售或许可的服务和产品，或以其他方式就本协议作出任何明示或默示的陈述或保证，包括但不限于任何有关适销性、适合性或针对特定目的或用途的充分性、质量、生产效率或能力的明示或默示保证。尽管有前述规定，如上述免责声明根据适用法律不可执行，该免责声明应通过限制解释，使其在与适用法律相容的范围内得以执行。\n\n9. 赔偿\n\n(a) 在适用法律允许的最大范围内，Kwok 先生应赔偿并使 Stretto 及其成员、董事、高级职员、雇员、代表、关联方、提名人、分包商和代理人（统称“受偿方”）免受因 Stretto 根据本协议履行服务所导致、引起或与之有关的任何及所有直接或间接损失、索赔、损害、判决、责任和费用（包括但不限于律师费用和开支）（统称“损失”）的损害。为不限制前述规定的一般性，损失包括因任何第三方对任何受偿方提出索赔而产生的任何责任。\n\n(b) Stretto 与 Kwok 先生应在任一方知悉任何与根据本协议提供的服务有关的索赔、诉讼、调查或程序被提出、受到威胁或启动后，立即以书面形式相互通知。\n\n(c) Kwok 先生根据本协议对 Stretto 的赔偿不包括因 Stretto 的重大过失或故意不当行为所导致的损失。\n\n(d) Kwok 先生根据本协议承担的赔偿义务在本协议终止后继续有效。\n\n10. 责任限制\n\n除本协议明确规定外，除非因 Stretto 的重大过失或故意不当行为所致，Stretto 对 Kwok 先生就任何损失承担的责任，应限于 Kwok 先生就引起所称损失的特定工作向 Stretto 支付的总金额。在任何情况下，Stretto 均不对与根据本协议提供的服务有关或由其引起的任何间接、特殊或后果性损害（如预期利润损失或其他经济损失）承担责任。\n\n11. 数据\n\n（a）Kwok 先生对其或任何 Kwok 方提交给 Stretto（Stretto公司）处理的程序、数据及其他信息的准确性，以及该等信息的输出（包括但不限于编制财务状况说明书及资产负债表，统称“SOFAs and Schedules”）负责；Stretto 不核实其准确性。Stretto 对 SOFAs and Schedules 的准确性及内容不承担任何责任，并且 Kwok 先生在本协议项下应被视为已批准并审阅所有代表其提交的 SOFAs and Schedules。\n\n（b）Kwok 先生同意、声明并保证，在向 Stretto 交付任何信息之前：（i）Kwok 先生拥有向 Stretto 交付该等信息的完全授权；以及（ii）Stretto 获授权使用该等信息，以履行本协议项下的服务，并按照本协议另有规定的方式使用该等信息。\n\n（c）数据、存储介质或其他材料应由 Stretto 保留，直至本协议项下提供的服务获得全额支付。Kwok 先生应向 Stretto 偿付因 Stretto 维护、储存或处置数据、存储介质或其他材料而根据本协议发生的所有费用和支出。任何该等处置均应以 Kwok 先生要求或可接受的方式进行；但前提是，如 Kwok 先生在连续 90 天或以上期间未使用 Stretto 的服务，Stretto 可在提前 30 天通知 Kwok 先生后，按照 Stretto 自行合理酌定的方式处置任何该等材料，并由 Kwok 先生偿付该等处置的费用。Kwok 先生同意建立并维护备份文件，以使 Kwok 先生能够重新生成或复制 Kwok 先生向 Stretto 提供的所有程序、数据或信息。\n\n（d）Stretto 与 Kwok 先生同意，本协议受作为附件 A 随附的 GDPR 附录所载条款约束，该等条款通过援引纳入本协议。\n\n（e）尽管有上述规定，如 Stretto 依据破产法院命令受聘，任何数据、存储介质或其他材料的处置均应遵守任何适用的法院命令、规则或书记官办公室指示。\n\n12. 加利福尼亚州消费者隐私法。\n\n（a）定义。在本第 12 条中，\n\n（i）“CCPA”是指 2018 年《加利福尼亚州消费者隐私法》，包括其修正案及最终条例；\n\n（ii）“个人信息”具有 CCPA 第 1798.140 条赋予该术语的相同含义，并限于 Kwok 先生为使 Stretto 根据本协议提供服务而向 Stretto 提供的任何数据；以及\n\n（iii）“商业目的”、“出售”、“企业”和“服务提供商”具有 CCPA 第 1798.140 条赋予其的相同含义。\n\n（b）双方之间的关系。在 Kwok 先生根据加利福尼亚州法律被视为企业的范围内，并受本第 12 条条款约束，Stretto 就个人信息而言仅作为 Kwok 先生的服务提供商行事。\n\n（c）限制。Stretto 证明其不会：（i）出售个人信息，或（ii）为本协议规定的特定目的以外的任何目的收集、保留、使用或披露个人信息，包括为提供本协议规定的服务以外的任何商业目的收集、保留、使用或披露个人信息，除非 CCPA 另有允许。\n\n13. 禁止招揽\n\nKwok 先生同意，在本协议期限内及 Stretto 员工离职后 12 个月内，其自身及其任何子公司或关联方均不得直接或间接招揽、雇用或以其他方式聘用 Stretto 的任何员工担任雇员、顾问或以其他身份任职，除非 Stretto 就该等招揽或聘用事先书面同意。\n\n14. 不可抗力\n\n如 Stretto 履行其在本协议项下的任何义务因天灾、政府要求、罢工、停工或其他劳资纠纷、火灾、洪水、流行病、材料短缺、法律、规章或条例、运输资源不足，或任何其他超出 Stretto 合理控制范围的事项而受到实质阻碍或影响，则该等履行应予免责。\n\n15. 法律选择\n\n本协议的有效性、可执行性及履行应受纽约州法律管辖，并依其解释。\n\n16. 仲裁\n\n与本协议有关的任何争议应由 Chapter 11 案件中的破产法院裁决。\n\n17. 完整协议；可分割性；修改；转让\n\n（a）各方确认其已阅读、理解并同意受本协议条款约束，并进一步同意，本协议构成双方之间协议的完整且排他性陈述，取代并合并双方此前就本协议标的达成的一切提案、谅解、协议和通信。\n\n（b）如本协议的任何条款被认定为无效、违法或不可执行，其余条款不因此受到任何影响或损害。\n\n（c）本协议仅可通过由 Kwok 先生或 Kwok 先生的授权代表以及 Stretto 的高级管理人员正式签署的书面文件予以修改。\n\n（d）本协议及本协议项下的权利和义务，除非经另一方书面同意，任何一方均不得转让。\n\n18. 副本的效力\n\n本协议可签署一份或多份副本，每份均应被视为正本，并共同构成同一份协议。本协议应在各方签署并向另一方交付一份或多份副本时生效；该等交付可通过传真或电子邮件交换签字页副本的方式进行。\n\n19. 通知\n\n与本协议有关的一切通知和请求，如以书面形式通过专人递送、隔夜快递、美国邮政（邮资预付）或电子邮件发出或作出，并按以下地址送达，即应视为已充分发出或作出：\n\n如送达 Stretto：Stretto\n\n410 Exchange, Ste. 100\nIrvine, CA 92602\n收件人：Sheryl Betance\n电话：714.716.1872\n电子邮箱：sheryl.betance@stretto.com\n\n如送达 Kwok 先生：Ho Wan Kwok（郭文贵）\n转交 Golden Spring (New York) Ltd.（纽约金泉有限公司）\n162 East 64th Street\nNew York, NY 10065\n电子邮箱：admin@gsnyus.com\n\n抄送：Brown Rudnick LLP（布朗·拉德尼克律师事务所）\n收件人：Bennett S. Silverberg\n7 Times Sq. 47th Fl.\nNew York, NY 10036\n电子邮箱：bsilverberg@brownrudnick.com\n\n兹证明，本协议双方已于上文首次载明之日期签署本协议，并自该日起生效。\n\nGDPR 附录\n\n本 GDPR 附录构成 Stretto（“处理者”）1 与 Kwok 先生（合称“双方”）之间《服务协议》（“协议”）的一部分。\n\n鉴于\n\n（A）处理者与 Kwok 先生已就处理 Kwok 个人数据达成下列条款。\n\n（B）\n\n（C）处理者根据协议向 Kwok 先生提供的服务意味着并要求处理者处理个人数据。\n\n（D）Kwok 先生指示处理者处理 Kwok 个人数据。\n\n（E）双方寻求实施一项数据处理协议，该协议符合现行数据处理法律框架的要求，并符合欧洲议会及理事会于 2016/679 年 4 月 27 日通过的 Regulation (EU) 2016/679，即关于在个人数据处理及该等数据自由流动方面保护自然人，并废止 Directive 95/46/EC 的条例（《通用数据保护条例》或“GDPR”）。\n\n因此，Kwok 先生与处理者同意如下：\n\n1. 应具有下列含义。\n\n（a）\n\n（b）“Kwok 个人数据”是指处理者或分处理者根据或就本协议代表 Kwok 先生处理的任何个人数据，且可包括例如 Kwok 先生的雇员、标记人、股权权益持有人或交易对手方的个人数据；\n\n（c）各成员国的立法，以及经不时修订、替代或取代的立法，包括 GDPR 及实施或补充 GDPR 的法律；\n\n（d）协议；\n\n（e）就本协议代表 Kwok 先生处理个人数据；\n\n1 在 GDPR 附录中使用但未定义的首字母大写术语，具有协议中赋予其的含义。\n\n（f）防止意外或非法毁损、意外丢失、篡改、未经授权的披露或访问的技术和组织措施，尤其是在处理涉及通过网络传输数据的情况下，以及防止其他一切非法处理形式；\n\n（g）“委员会”、“控制者”、“处理”、“特殊类别数据”、“个人数据”和“监管机构”等术语具有 GDPR 中的相同含义，其派生术语应作相应解释。\n\n2.\n\n（a）处理将依照相关规定进行，并将继续在适用情况下向成员国相关主管机关进行通知；\n\n（b）处理者仅代表 Kwok 先生，依照适用的数据保护法律、协议及本附录处理所传输的 Kwok 先生个人数据；\n\n（c）技术和组织安全措施；\n\n（d）技术和组织安全措施适当，足以保护 Kwok 先生个人数据免遭意外或非法毁损、意外丢失、篡改、未经授权的披露或访问，尤其是在处理涉及通过网络传输数据的情况下，并防范其他一切非法处理形式；并且，考虑到现有技术水平、实施成本、处理风险及拟受保护数据的性质，该等措施确保与风险相适应的安全水平；\n\n（e）其将确保遵守技术和组织安全措施；以及\n\n（f）GDPR 第 9 条所界定的特殊类别数据。\n\n3. 处理者的义务。处理者同意并保证：\n\n（a）\n\n（b）处理 Kwok 个人数据；如其因任何原因无法实现该等遵守，其同意立即通知 Kwok 先生其无法遵守，在此情况下，其同意停止数据处理和/或终止协议；\n\n• (c) 其没有理由相信，立法发生任何变更将妨碍其履行对Kwok先生（郭文贵）所负的义务，且该等变更很可能对本协议所规定的保证和义务造成重大不利影响；其将在知悉该等变更后立即通知Kwok先生，并在该等情况下立即暂停数据传输和/或终止本协议；\n\n• (d) 其已在处理Kwok先生个人数据之前实施合理且适当的技术和组织安全措施；\n\n• (e) 其将立即向Kwok先生通知：\n\ti. 除非另有禁止（例如为维护执法调查保密性而由执法机关作出的禁止），任何执法机关提出的具有法律约束力的披露Kwok先生个人数据的请求；\n\tii. 任何意外或未经授权的访问；以及\n\tiii. 任何直接从任何数据主体收到的请求，且不对该等请求作出回应，除非Kwok先生另行授权其如此行事，或任何适用法律要求其如此行事；\n\n• (f) 及时、妥善处理Kwok先生就其对Kwok先生个人数据的访问和处理所作的一切询问，并遵守监管机关就处理Kwok先生个人数据提出的意见；\n\n• (g) 采取合理措施确保任何可能接触Kwok先生个人数据的雇员、代理人或分处理者的可靠性，并确保在每种情况下，该等访问均严格限于为履行本协议及遵守数据保护法律而确有必要知悉相关Kwok先生个人数据的个人，并确保所有该等个人均受保密承诺或职业性或法定保密义务的约束；以及\n\n• (h) 除非经Kwok先生事先书面同意要求或授权，否则不得处理Kwok先生个人数据。\n\n4.\n\n(a) 双方同意，处理者及任何分处理者应依Kwok先生的选择，将全部个人数据及其副本返还给Kwok先生或予以销毁，并向Kwok先生证明其已如此办理，除非适用法律阻止其返还或销毁全部或部分Kwok先生个人数据。在该等情况下，处理者保证其将对Kwok先生个人数据保密，并且不再进一步处理Kwok先生个人数据。\n\n• (b) 处理者及任何分处理者应按照本协议的规定，将其数据处理设施提交审计，以审查技术和组织安全措施。\n\n• 5. 本协议规定的服务。\n\n64547349 v1-WorkSiteUS-038210/0001\n\n附件C\n\nBetance声明\n\n美国破产法院康涅狄格地区布里奇波特分部\n\n债务人。[1] :\n\n关于： : 第11章\n\nHo Wan Kwok（郭文贵）， : 案号：22-50073\n\n债务人关于申请授权聘用Stretto作为债权申报与通知代理人的SHERYL BETANCE（谢丽尔·贝坦斯）声明\n\n本人Sheryl Betance（谢丽尔·贝坦斯），在伪证罪处罚的约束下声明如下：\n\n1. 本人系Stretto, Inc.（斯特雷托公司，下称“Stretto”）企业重组部门高级董事总经理。Stretto是一家第11章行政服务公司，办公地址为410 Exchange, Ste. 100, Irvine, California 92602。除非另有说明，本人对本文件所述事项具有个人知情；如被传唤并宣誓作为证人，本人能够且将能够就此作出胜任的证言。\n\n2. 本声明（本“声明”）系为支持上述标题所列债务人（下称“债务人”）与本文件同时提交的《债务人申请作出命令：（I）授权并批准指定Stretto为债权申报与通知代理人；及（II）给予相关救济》（下称“申请”）而作出。[2]\n\n资格\n\n3. Stretto是一家第11章案件管理机构，由在大型、复杂第11章案件的法律和行政方面均具有丰富经验的业内领先专业人士组成。Stretto的专业人士在通知、债权申报管理、征求、投票，以及协助处理第11章案件其他行政事务方面均具有经验，并且具有处理此等规模和复杂程度事项的经验。Stretto的专业人士曾在本地区及全国其他地区的许多大型破产案件中担任正式债权申报与通知代理人。Stretto已开发出高效且具成本效益的方法，以处理与第11章案件通知及债权处理部分有关的大量邮寄文件，从而确保债权人、股权证券持有人及所有利害关系方获得高效、有序和公平的对待。Stretto所涉案件包括：In re Carla's Pasta, Inc.（关于卡拉意大利面公司案）, Case No. 21-20111 (JJT) (Bankr. D. Conn. March 19, 2021); In re A.B.C. Carpet Co., Inc.（关于ABC地毯公司案）, Case No. 12-11591 (DSJ) (Bankr. S.D.N.Y. Sept. 10, 2021); In re Kumtor Gold Co. CJSC（关于库姆托尔黄金公司案）, Case No. 21-11051 (LGB) (Bankr. S.D.N.Y. June 8, 2021); In re VTES, Inc.（关于VTES公司案）, Case No. 20-12941 (JLG) (Bankr. S.D.N.Y. Jan. 15, 2021); In re Furla (U.S.A.), Inc.（关于芙拉（美国）公司案）, Case No. 20-12604 (SCC) (Bankr. S.D.N.Y. Nov. 12, 2020); In re Century 21 Department Stores LLC（关于21世纪百货有限责任公司案）, Case No. 20-12097 (SCC) (Bankr. S.D.N.Y. Sept. 14, 2020); In re NTS W. USA Corp.（关于NTS美国西部公司案）, Case No. 20-35769 (CGM) (Bankr. S.D.N.Y. July 29, 2020); In re Dean & Deluca N.Y., Inc.（关于迪恩与德卢卡纽约公司案）, Case No. 20-10916 (MEW) (Bankr. S.D.N.Y. Apr. 7, 2020); In re Seabras 1 USA, LLC（关于西布拉斯1美国有限责任公司案）, Case No. 19-14006 (SMB) (Bankr. S.D.N.Y. Dec. 27, 2019); In re Agera Energy LLC（关于阿杰拉能源有限责任公司案）, Case No. 19-23802 (RDD) (Bankr. S.D.N.Y. Oct. 9, 2019); 以及In re Barneys New York, Inc.（关于巴尼斯纽约公司案）, Case No. 19-36300 (CGM) (Bankr. S.D.N.Y. Aug. 7. 2019)。[3]\n\n提供的服务\n\n4. 根据28 U.S.C. § 156(c)，Stretto作为法院记录的代理人和保管人，将应法院书记官办公室（下称“书记官办公室”）的要求，提供申请及聘用协议中规定的服务；并应债务人的要求，提供申请及聘用协议中规定的任何相关行政、技术和支持服务。\n\n1 债务人还以以下名称为人所知：Guo Wengui（郭文贵）；Miles Guo（郭文贵）；Miles Kwok（郭文贵）；以及Ho Wan Kwok（郭文贵）。\n\n2 本文件中使用但未定义的首字母大写术语，应具有申请中赋予该等术语的含义。\n\nStretto在提供该等服务时，将按照作为申请附件B附具的服务协议所列费率向债务人收费。\n\n3 鉴于本文件所引用命令数量众多，该等命令未附于本申请。该等引用命令的副本可应要求向债务人的律师索取。\n\n• 5. Stretto作出如下陈述，其中包括：\n\t• a. Stretto不是债务人的债权人；\n\t• b. Stretto不会将自身视为受美国政府雇用，亦不会以本第11章案件债权申报与通知代理人的身份向美国政府寻求任何报酬；\n\t• c. 通过接受在本第11章案件中的聘用，Stretto放弃与本第11章案件有关而从美国政府获得报酬的任何权利；\n\t• d. Stretto以本第11章案件债权申报与通知代理人的身份，不会成为美国的代理人，亦不会代表美国行事；\n\t• e. Stretto不会就其担任本第11章案件债权申报与通知代理人的工作聘用债务人的任何现任或前任雇员；\n\t• f. 就其将受聘处理的事项而言，Stretto属于《破产法》第101(14)条所定义的“无利害关系人”；\n\t• g. Stretto以本第11章案件债权申报与通知代理人的身份，不会故意向任何人虚假陈述任何事实；\n\t• h. 就债权申报及债权转让的接收和登记而言，Stretto应受书记官办公室的监督和控制；\n\t• i. Stretto将遵守书记官办公室的所有要求，以及美国司法会议为实施28 U.S.C. § 156(c)而颁布的指引；以及\n\t• j. Stretto作为本第11章案件债权申报与通知代理人提供的任何服务，均不得由书记官办公室承担费用。\n\n6. 尽管债务人并未根据申请提议依《破产法》第327条聘用Stretto（该等聘用将通过单独申请寻求），本人已安排将本第11章案件中潜在利害关系方（下称“潜在利害关系方”）的名称提交至我们的利益冲突审查系统进行审查。债务人提供了一份潜在利害关系方清单，其中包括债务人、非债务人关联方、债权人、贷款人、美国受托人及美国受托人办公室雇用的人员，以及其他方。潜在利害关系方清单与一份内部数据库进行了比对，该数据库包括Stretto的母实体、关联方及子公司等。Stretto的内部数据库还包括Stone Point Capital LLC（斯通波因特资本有限责任公司，下称“Stone Point”）、其基金，以及Stone Point内部合规部门最近向Stretto提供的清单中列明的每一该等基金各自的投资组合公司（下称“Stone Point审查对象”）。利益冲突审查结果由本人监督下的Stretto专业人士汇编并审阅。截至目前，且如本文件进一步详细说明，Stretto并不知悉任何会构成取消资格之利益冲突的关联。如Stretto在受聘期间发现与本文件所述事项有关的任何新的相关事实或关联，Stretto将尽合理努力立即提交补充声明。\n\n7. 据本人所知，并且仅基于债务人向本人提供的信息，除本文件所述者外，Stretto及其任何专业人士均与债务人、其债权人或其他相关方不存在任何实质性不利关联。\n\n8. Stretto曾经并将继续在与本第11章案件无关的事项中代表客户。此外，在与本第11章案件无关的事项中，Stretto及其人员曾经并将继续在个人层面或正常业务过程中，与可能参与本第11章案件的某些供应商、专业人士、金融机构及其他利害关系方保持关系。Stretto还可能向可能为本第11章案件债权人或利害关系方的实体或个人提供专业服务，而该等服务与本第11章案件或债务人并无直接关系或任何直接关联。据本人所知，Stretto未向任何已被确定为潜在利害关系方的实体或个人提供专业服务。\n\n9. 据本人所知，Stretto的雇员均不与康涅狄格地区的破产法官、第2区美国受托人，或Stretto知悉受雇于服务康涅狄格地区的美国受托人办公室的任何律师存在亲属关系。\n\n10. Stretto的某些专业人士曾为目前正在或可能向本案利害关系方提供专业服务的律所的合伙人，或曾受雇于该等律所。除本文件可能披露者外，该等专业人士在受雇于其先前律所期间，未处理任何涉及债务人的事项。此外，本第11章案件提交时，该等专业人士并未受雇于其先前律所。据本人所知，Stretto的专业人士中无人曾为潜在利害关系方的律所合伙人，或在过去三年内曾受雇于潜在利害关系方的律所，亦无人曾受雇于已在本第11章案件中提交出庭通知的律所。\n\n11. Stretto（Stretto）及其人员以个人身份经常使用律师事务所、投资银行及咨询公司、会计师事务所和财务顾问的服务。受 Stretto 或其人员委聘的该等机构可能在第 11 章案件中代表债务人或利害关系方出庭。据我所知，Stretto 目前未使用任何已被认定为潜在利害关系方或已在本第 11 章案件中提交出庭通知的律师事务所、投资银行及咨询公司、会计师事务所或财务顾问的服务。\n\n12. 2017 年 4 月，Stretto 被私募股权公司 Stone Point（斯通波因特）管理的 Trident VI Funds（Trident VI 基金）收购。Stone Point 是一家专注于金融服务领域、总部位于康涅狄格州格林尼治的私募股权公司。该公司已募集并管理八只私募股权基金——Trident Funds——承诺资本总额约为 $25 billion。Stone Point 的投资目标为全球金融服务行业及相关领域。\n\n13. 以下披露系出于审慎考虑作出，以努力遵守《破产法》和《破产规则》。\n\n14. Stretto 已将债务人的名称及潜在利害关系方的名称与 Stone Point 已检索方进行检索比对。仅基于前述检索，截至本文件日期，Stretto 已确定 Trident VI 基金、Stone Point 及 Stone Point 已检索方均未被列入本第 11 章案件的利害关系方名单，并且据其所知，不存在任何须予披露的重大关联关系。如 Stretto 发现 Stone Point 的基金或投资（包括在上述利益冲突检索中）与债务人之间存在任何重大关联关系，Stretto 将及时提交补充披露。Stretto 可能曾经、目前可能或将来可能与一个或多个 Stone Point 实体存在与债务人无关的业务关系，其中包括但不限于 Stone Point 的投资组合公司。\n\n15. Stretto 的合伙人或员工不时会以个人名义投资共同基金、退休基金、私募股权基金、风险投资基金、对冲基金及其他类型的投资基金（以下简称“投资基金”）；通过该等投资基金，该等个人间接取得许多公司的债务或股权证券，其中一家公司可能为债务人，且通常在 Stretto 或其人员不知情的情况下发生。每名 Stretto 合伙人或员工通常持有该等投资基金不足百分之一的权益，不管理或以其他方式控制该等投资基金，且对该投资基金买入、卖出或表决任何特定证券的决定不具有任何影响力。每一投资基金通常作为盲池运作，这意味着 Stretto 合伙人或员工对特定投资基金进行投资时，其本人并不知道该盲池投资基金将买入或卖出何种证券，且对该等买入或卖出不具有任何控制权。\n\n16. Stretto 的合伙人或员工不时可能以个人名义直接取得可能与债务人关联的公司的债务或股权证券。Stretto 的政策禁止其合伙人和员工使用其在工作过程中可能获悉的保密信息。在此方面，在符合前述规定的前提下，所有 Stretto 合伙人和员工均不得就 Stretto 受聘处理的事项交易证券。在符合前述规定的前提下，根据所获信息和本人信念，并经通过电子邮件问卷对 Stretto 员工进行合理查询后，Stretto 不认为其任何合伙人或员工持有债务人或其任何关联方的任何债务或股权证券。\n\n17. 据我所知，Stretto：(a) 不持有或代表与债务人财产相冲突的利益；(b) 属于“无利害关系人士”，即其：(i) 不是债权人、股权证券持有人或内部人；(ii) 在申请日之前两年内不是且未曾是债务人的董事、高级职员或雇员；以及 (iii) 不因与债务人的任何直接或间接关系、联系或利益，或因任何其他原因，而具有与债务人财产利益或任何类别债权人或股权证券持有人利益存在重大冲突的利益；并且 (c) 已披露 Stretto 与债务人、其债权人、任何其他利害关系方、其各自的律师和会计师、美国受托人或美国受托人办公室雇用的任何人员之间的所有关联关系。\n\n根据 28 U.S.C. § 1746，本人特此在伪证处罚的约束下声明：据本人所知、所获信息及本人信念，前述内容真实且正确。\n\n日期：March 16, 2022\n\n/s/ Sheryl Betance\nSheryl Betance（谢丽尔·贝坦斯）\n高级常务董事\nStretto\n410 Exchange, Ste. 100\nIrvine, California 92602","key_entities":["Kwok","Je","Ho Wan Kwok","Guo","CCP","Miles Guo","CIPA"],"ecf_references":[],"word_count":11348,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 21:19:09"}