{"id":"court_ctb_914_0","court":"CTB","case_no":"22-50073","doc_number":914,"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| ----------------------------------------------------------- | x           |                         |\n|-------------------------------------------------------------|-------------|-------------------------|\n| In re:                                                      | :<br>:      | Chapter 11              |\n| HO WAN KWOK,                                                | :<br>:<br>: | Case No. 22-50073 (JAM) |\n| Debtor.1                                                    | :<br>:      |                         |\n| ----------------------------------------------------------- | x           |                         |\n\n### **[PROPOSED] PROTECTIVE ORDER**\n\nThis Protective Order (\"Order\") is entered into by and among: (a) Luc Despins, as the appointed Chapter 11 Trustee to the Debtor's estate (the \"Trustee\"), and (b) any other persons or entities who become bound by this Order by signifying their assent through execution of **Exhibit A** hereto. Each of the persons or entities identified in the foregoing clauses (a) and (b) shall be referred to herein individually as a \"Party,\" and collectively as the \"Parties.\"<sup>2</sup> This Order is being entered pursuant to 11 U.S.C. § 107(b) and Rule 9018 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\"), and, as applicable, pursuant to Bankruptcy Rules 7026 and 9014 and Rule 26(c) of the Federal Rules of Civil Procedure (the \"Federal Rules\").\n\n<sup>1</sup> Although the Debtor's legal name is Ho Wan Kwok, he is also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases. The last four digits of the Debtor's taxpayer identification number are 9595.\n\n<sup>2</sup> The designation of a \"Party\" is for purposes of reference in this Order only.\n\n#### **Recitals**\n\nWHEREAS, the Debtor filed a voluntary petition under chapter 11 of title 11 of the United States Code, U.S.C. §§ 101-1532 (the \"Bankruptcy Code\"), in this Court (the case commenced by such petition, the \"Chapter 11 Case\"); and there are, or may be, judicial or other proceedings before this Court, including but not limited to investigations, contested matters, adversary proceedings, and other disputes (each a \"Dispute\" and, collectively, the \"Disputes\") arising under the Bankruptcy Code or arising in or relating to the Chapter 11 Case;\n\nWHEREAS, the Court authorized the appointment of the Trustee by granting the United States Trustee's application for an order approving the appointment of Chapter 11 Trustee pursuant to 11 U.S.C. § 1104(d);\n\nWHEREAS, the Parties have sought or may seek certain Discovery Material (as defined below) from one another with respect to one or more Disputes, including through informal or formal requests, Rule 2004 notices or motions, or service of document requests, interrogatories, depositions, subpoenas, and other discovery requests (collectively, the \"Discovery Requests\") as provided by the Federal Rules, the Bankruptcy Rules, and the Local Rules of Bankruptcy Procedure of the United States Bankruptcy Court for the District of Connecticut (the \"Local Rules\"); and\n\nWHEREAS, the Parties anticipate that there are certain persons or entities other than the Parties hereto that may also propound or be served with Discovery Requests in connection with one or more Disputes during the course of the Chapter 11 Case;\n\nNOW, THEREFORE, to facilitate and expedite the production, exchange, and treatment of Discovery Material and to protect Discovery Material that a Party seeks to maintain as Confidential Material or Highly Confidential Material (as those terms are defined below), it is\n\nhereby agreed, and, upon Court approval, it is hereby ORDERED that the following terms will govern any requests for and production and handling of Discovery Material (as defined below):\n\n### **Scope of Order**\n\n1. This Order governs the disclosure or exchange of all information and documents in connection with this Chapter 11 Case and related Disputes before this Court, by a Party (each a \"Producing Party\"), to any other Party (each a \"Receiving Party\"), formally or informally, either prior to or after the filing of a contested matter or adversary proceeding, in connection with an exchange of exhibits in advance of a hearing, and/or in response to or in connection with any Discovery Requests, including, without limitation, deposition testimony (whether based upon oral examination or written questions); interrogatories; answers to interrogatories; requests for admission; responses to requests for admission; documents, information, and things produced as well as any and all copies, abstracts, digests, notes, summaries, and excerpts thereof (collectively referred to as \"Discovery Material\"). Discovery Material includes hard copy documents and electronically stored information contemplated by the Bankruptcy Rules, and the Federal Rules, including but not limited to, writings, drawings, graphs, charts, photographs, sound recordings, images, data, or data compilations stored in any medium, testimony, exhibits, discovery responses, and all other mediums of expression.\n\n2. This Order does not affect, amend or modify any existing confidentiality agreements or protective orders applicable to any Producing Party and/or Receiving Party, and nothing in this Order shall constitute a waiver of any rights under such agreements or orders.\n\n3. For the avoidance of doubt, nothing in this Order—including the fact that a party is a Party to this Order—entitles or is intended to entitle any Party or non-Party to any Discovery Material for any purpose, including in connection with any Dispute.\n\n4. Subject to a Producing Party's rights under Paragraphs 9, 10 and 18 of hereof, upon the consent of the Trustee, any non-Party that executes Exhibit A and delivers a copy to the Trustee shall be treated as a Party to this Order with all rights and obligations of the signatory Parties hereto. For the further avoidance of any doubt, reference to becoming a \"Party\" upon execution of Exhibit A is for the purposes of this Order only and not intended to reflect any agreement as to such party's status as a litigant.\n\n#### **Designating Discovery Material**\n\n5. Any Producing Party may designate Discovery Material as \"Confidential Material\" or \"Highly Confidential Material\" (any such designated Discovery Material, \"Designated Material\") in accordance with the following provisions:\n\n> (a) Confidential Material: A Producing Party may designate Discovery Material as \"Confidential\" if such Producing Party reasonably believes that: (i) such Discovery Material (A) constitutes or contains nonpublic proprietary or confidential technical, business, financial, personal, or other information of a nature that should be protected under the Bankruptcy Rules or the Federal Rules or (B) is subject by law or by contract to a legally protected right of privacy; or (ii) the Producing Party (A) is under a preexisting obligation to a third party to treat such Discovery Material as confidential or (B) has been reasonably requested by another Party or non-Party to so designate such Discovery Material on the grounds that such other Party or non- Party considers such Discovery Material to contain information that is confidential or proprietary to such Party or non-Party.\n\n- (b) Highly Confidential Material: A Producing Party may designate Discovery Material as \"Highly Confidential\" if such Producing Party reasonably believes (or with respect to documents received from another person, has been reasonably advised by such other person) that such Discovery Material is of such a nature that a risk of personal safety, identity theft, or competitive injury would be created if such Discovery Material were disclosed to persons other than those identified in Paragraph 10 of this Order, such as addresses or other sensitive personal identifiable information, trade secrets, sensitive financial or business information, or material prepared by a Party's industry advisors, financial advisors, accounting advisors, experts, or its consultants (and their respective staff).\n- (c) Designation By Another Party: Any Party may designate any Discovery Material as Confidential or Highly Confidential in accordance with paragraphs 5(a) and 5(b), whether or not that Party is the one which originally disclosed or exchanged the Discovery Material, and in such event, the designating Party shall be a Producing Party with respect to that Discovery Material.\n- (d) Undesignated Material: Subject to the rights and obligations of the Parties under Paragraphs 7, 8 and 34 of this Order, no Party shall have any obligation or duty to maintain as confidential or prevent from disclosure any Discovery Material that is not Designated Material (\"Undesignated Material\"), unless that Party has actual knowledge that the subject of the\n\nDiscovery Material has been previously designated as Confidential or Highly Confidential pursuant to this Order or any other protective order.\n\n6. Manner of Designating Discovery Material: Where reasonably practicable, any Designated Material shall be designated by the Producing Party as such by marking each such page \"Confidential\" or \"Highly Confidential\" as applicable. Such markings should not obliterate or obscure the content of the material that is produced. Where marking of every page of such materials is not reasonably practicable, such as with certain native file documents, a Producing Party may designate material as \"Confidential\" or \"Highly Confidential\" by informing the Receiving Party in a clear and conspicuous manner at the time of production of such material that it is \"Confidential\" or \"Highly Confidential,\" such as by including such designation in the filename and/or the produced Relativity (or other document review platform) load file, if applicable. Discovery Material produced prior to the execution of this Order pursuant to an agreement that such Discovery Material would be treated as \"Confidential\" or \"Highly Confidential\" shall be treated as \"Confidential\" or \"Highly Confidential\" pursuant to this Order notwithstanding such Discovery Material not bearing such markings.\n\n7. Late Designation of Discovery Material: The failure to designate particular Discovery Material as \"Confidential\" or \"Highly Confidential\" at the time of production shall not operate to waive a Producing Party's right to later designate such Discovery Material as Designated Material or later apply another designation pursuant to this Order (\"Misdesignated Material\"). At such time, arrangements will be made for the destruction of the Misdesignated Material or for the return to the Producing Party of all copies of the Misdesignated Material and for the substitution, where appropriate, of properly labeled copies of such Discovery Material. Upon receipt of replacement copies of such Misdesignated Material with the proper designation, the Receiving Party or Parties shall take all reasonable steps to return or destroy all previously produced copies of such Misdesignated Material. If requested by the Producing Party, a Receiving Party shall verify in writing that it has taken all reasonable steps to return or destroy such Misdesignated Material. No Party shall be deemed to have violated this Order if, prior to notification of any later designation, such Discovery Material was disclosed or used in any manner consistent with its original designation but inconsistent with its later designation. Once such later designation has been made, however, any Discovery Material shall be treated in accordance with that later designation; provided, however, that if the material that was not designated has been, at the time of the later designation, previously publicly filed with a court, no Party shall be bound by such later designation except to the extent determined by the Court upon motion of the Party that failed to make the designation.\n\n#### **Use and Disclosure of Confidential or Highly Confidential Material**\n\n8. General Limitations On Use And Disclosure Of All Discovery Material: All Discovery Material shall be used by the Trustee in carrying out his duties and responsibilities under the Bankruptcy Code and the appointment order in this case and/or by other Receiving Parties solely in this Court for the purposes of a Dispute or the Chapter 11 Case, and not for any other purpose or in any other forum, including any other litigation or judicial proceedings that are not a Dispute and are not related to this Chapter 11 Case, or any business, competitive, governmental, commercial, or administrative purpose or function.\n\n9. Confidential Material: Confidential Material, and any and all information contained therein, may be given, shown, made available to, or communicated only to the following:\n\n(a) the Trustee;\n\n- (b) any Party who has signed Exhibit A and delivered a copy thereof to the Trustee subject to the Producing Party's consent, not to be unreasonably withheld. For the avoidance of doubt, Producing Party for purposes of providing or withholding consent to receive or review Designated Material pursuant to paragraphs 9, 10, and 18 shall include an individual or entity to the extent of (i) documents produced by the individual's or entities' current or former professional firms and (ii) documents produced by financial institutions relating to accounts of the individual or entity ; and\n- (c) any other persons specified in Paragraph 10 below.\n\n10. Highly Confidential Material: Highly Confidential Material, and any and all information contained therein, may be given, shown, made available to, or communicated only to the following:\n\n- (a) counsel, and staff working under the express direction of such counsel, for:\n\t- i. the Trustee;\n\t- ii. any Party who has signed Exhibit A and delivered a copy to the Trustee, subject to the Producing Party's consent, not to be unreasonably withheld; and\n- (b) professionals retained under Sections 328 and 1103 of the Bankruptcy Code, and industry advisors, financial advisors, accounting advisors, experts, and consultants (and their respective staff) that are retained by the signatories to this Order or by a Party who, subject to the Producing Party's consent, not to be unreasonably withheld, has signed Exhibit A in connection with the Disputes or this Chapter 11 Case;\n- (c) any person who is indicated on the face of a document to have been an author, addressee, or copy recipient thereof, an actual or intended recipient thereof, or in the case of meeting minutes, an attendee of the meeting;\n- (d) any adverse witness during the course of a deposition where counsel questioning the witness reasonably believes that questioning the witness regarding the document is necessary and that doing so would not cause competitive or personal harm, provided that the relevant section of the deposition transcript is itself designated as Highly Confidential, the witness is not permitted to retain a copy of the document, and the relevant deposition exhibit is designated as Highly Confidential, and subject to paragraph 12;\n- (e) outside photocopying, graphic production services, or litigation support services, as necessary for use in connection with a Dispute or this Chapter 11 Case;\n- (f) court reporters, stenographers, or videographers who record deposition or other testimony in connection with a Dispute or this Chapter 11 Case;\n- (g) the Court, its officers, and clerical staff in any judicial proceeding that may result from a Dispute or this Chapter 11 Case;\n- (h) any mediators and their staffs retained in connection with a Dispute or these this Chapter 11 Case; and\n- (i) any other person or entity with respect to whom the Producing Party may consent in writing or on the record at a deposition.\n\n11. Designated Material To Be Disclosed Only In Accordance With Paragraphs 9 and 10: Highly Confidential Material, and any and all information contained therein, shall not be given,\n\nshown, made available to, disclosed, or communicated in any way, except to those people provided in Paragraph 10 of this Order. Confidential Material, and the substantive information contained therein, shall not be given, shown, made available to, disclosed, or communicated in any way, except to those people provided in Paragraph 9 of this Order.\n\n12. Prerequisite to Disclosure of Designated Material: Before any person or their representative identified in Paragraph 10(b), 10(d), 10(h) or 10(i) hereof is given access to Designated Material, such person or their representative shall be provided with a copy of this Order and shall execute Exhibit A annexed hereto. Each such executed Exhibit A shall be retained in the files of counsel for the Party who gave access to the Designated Material to the person who was provided such access. A copy of such executed Exhibit A for representatives identified in Paragraphs 10(a)(ii), 10(d), 10(h) and 10(i), but not for representatives identified in Paragraph 10(b), shall be provided to the Producing Party. Such executed Exhibit A for representatives identified in Paragraph 10(b) shall not be subject to disclosure under the Federal Rules or the Bankruptcy Rules unless a showing of good cause is made and the Court so orders. For the avoidance of doubt, an Exhibit A may be executed on behalf of an organization for any representative identified in Paragraph 10(b) rather than requiring each relevant individual at that organization to execute Exhibit A.\n\n13. Sealing of Designated Material Filed With Or Submitted To Court: Unless otherwise agreed by the Producing Party, all Designated Material filed with the Court, and all portions of pleadings, motions, or other papers filed with the Court that disclose Highly Confidential or Confidential Material, shall be filed under seal in accordance with the Federal Rules, the Bankruptcy Rules, the Local Rules, and the individual practice rules of the Court, except that a Party may, at its option, file redacted pleadings containing the Designated Material so long as such portions of the pleadings concerning the Designated Material have been redacted, and such redacted pleading is also filed pursuant to Local Rule 9077-1. If the sealing of these materials is challenged by any party, the Producing Party shall bear the burden of defending such sealing. The filing of any materials under seal pursuant to this paragraph shall not be construed as an admission that the materials are entitled to confidentiality under this Protective Order or under applicable law and shall not waive any party's rights to challenge such designation or sealing at a later time.\n\n14. Use of Discovery Material in Open Court: The limitations on disclosure in this Order shall not apply to any Discovery Materials offered or otherwise used by any Party at trial or any hearing held in open court except as provided in this paragraph. Whenever practicable, as part of any pretrial conference or any meet and confer regarding the use of exhibits in any evidentiary hearing, or if not practicable prior to the use of any Designated Material at trial or any hearing to be held in open court, counsel for any Party who desires to offer or use such Designated Material at trial or any hearing to be held in open court shall meet and confer in good faith with the Producing Party to discuss ways to redact the Designated Material so that the material may be offered or otherwise used by any party, in accordance with the provisions of the Bankruptcy Code and Bankruptcy Rules. If the Parties are unable to resolve a dispute related to such Designated Material, the Producing Party shall bear the burden of requesting appropriate relief from the Court. Until the Court rules on such an issue, the Designated Material shall continue to be treated according to its designation and in accordance with the terms of this Order.\n\n#### **Depositions and Rule 2004 Examinations**\n\n15. Deposition and Rule 2004 Examination Testimony - Manner Of Designation: In the case of depositions, if counsel for a Party believes that a portion of the testimony given at a deposition should be Designated Material of such Party, such testimony may be designated as\n\nappropriate by: (a) stating so orally on the record and requesting that only the relevant portion(s) of testimony is so designated; or (b) providing written notice within ten (10) days of the Party's receipt of the final transcript from the court reporter that only the relevant portion(s) of such transcript or recording of a deposition thereof is so designated, except in the event that a hearing on related issues is scheduled to occur within ten (10) days of receipt of the final transcript, in which case the foregoing ten (10) day period will be reduced to five (5) business days. Where a hearing or pleading deadline on related issues is scheduled to occur in such close proximity to a deposition that a five business day period is not practical, the entirety of the transcript shall be designated as Designated Material for purposes of use at the hearing or with the pleading and the ten (10) day period described above shall then apply for further designation. Until expiration of the aforesaid designation period, as applicable, following receipt of the final transcript by the Parties, all deposition transcripts and recordings shall be considered and treated as Highly Confidential unless otherwise specified by counsel to any Party on the record at the deposition.\n\n16. Designated Material Used As Exhibits During Depositions: Nothing in Paragraph 15 shall apply to or affect the confidentiality designations on Discovery Material entered as exhibits at depositions.\n\n17. Witness Review of Deposition Testimony: Nothing in Paragraph 15 hereof shall preclude the witness from reviewing his or her deposition transcript.\n\n18. Presence of Persons During Deposition Testimony: When Designated Material is elicited during a deposition, persons not entitled to receive such information under the terms of this Order shall, upon request, be excluded from the portion of the deposition so designated. After such exclusion from the portion of any deposition containing Designated Material, if such persons wish to receive written or other recordings of the deposition testimony containing Designated\n\nMaterial, such persons must become a Party to this Order, with the receipt of such Designated Material subject to the Producing Party's consent, not to be unreasonably withheld.\n\n19. Responsibilities And Obligations Of Court Reporters: In the event that testimony is designated as Confidential or Highly Confidential, the court reporter, who shall first have agreed to abide by the terms of this paragraph, shall be instructed to include on the cover page of each such transcript the legend, \"This transcript portion contains information subject to a Protective Order and shall be used only in accordance therewith,\" and each page of the transcript shall include the legend \"Confidential\" or \"Highly Confidential,\" as appropriate. If the deposition is recorded, the recording shall also be subject to the same level of confidentiality as the transcript and include the legend \"Confidential\" or \"Highly Confidential,\" as appropriate, if any portion of the transcript itself is so designated. The questioning Party at any deposition shall, prior to the commencement of the deposition, request that the court reporter agree to maintain the confidentiality of all Designated Material introduced at the deposition. Each questioning attorney at a deposition shall distribute copies of Designated Material used as exhibits only to those Parties permitted to receive said Designated Material in accordance with the terms of this Order.\n\n#### **General Provisions**\n\n20. Unless otherwise agreed by the Parties or ordered by the Court, all deadlines and time periods herein shall be computed pursuant to Bankruptcy Rule 9006.\n\n21. This Order is a procedural device intended to protect Discovery Materials designated as Designated Material. Nothing in this Order shall affect any Party's rights or obligations unrelated to the confidentiality of Discovery Materials.\n\n22. For the purposes of this Order, \"writing\" shall include electronic mail.\n\n23. Nothing contained herein shall be deemed a waiver or relinquishment by any Party of any objection, including, but not limited to, any objection concerning the alleged confidentiality or proprietary nature of any documents, information, or data requested by a Party; any right to object to any discovery request; any right to object to the admissibility of evidence on any ground; any right to seek any further protective order; or any right to seek relief from the Court or any other applicable court from any provision of this Order by application on notice on any grounds.\n\n24. Unauthorized Disclosure Of Designated Material: In the event of a disclosure by a Receiving Party of Designated Material to persons or entities not authorized by this Order to receive such Designated Material, the Receiving Party making the unauthorized disclosure shall, upon learning of the disclosure: immediately notify the person or entity to whom the disclosure was made that the disclosure contains Designated Material subject to this Order; immediately make reasonable efforts to recover or destroy the disclosed Designated Material as well as preclude further dissemination or use by the person or entity to whom the disclosure was made; and immediately notify the Producing Party of the identity of the person or entity to whom the disclosure was made, the circumstances surrounding the disclosure, and the steps taken to recover or destroy the disclosed Designated Material and ensure against further dissemination or use thereof. Disclosure of Designated Material other than in accordance with the terms of this Order may subject the disclosing person to such sanctions and remedies as the Court may deem appropriate.\n\n25. Manner Of Objecting To Designated Material: If any Receiving Party objects to the designation of any Designated Material, the Receiving Party shall first raise the objection with the Producing Party in writing, and confer in good faith to attempt to resolve any dispute respecting the terms or operation of this Order. The Receiving Party may seek relief from the Court if the\n\nReceiving Party and the Producing Party cannot resolve their dispute. Until the Court rules on such an issue, the Designated Material shall continue to be treated according to its designation. Upon motion, the Court may order the removal of the \"Confidential\" or \"Highly Confidential\" designation from any Discovery Material so designated that is subject to the provisions of this Order.\n\n26. Timing Of Objections To Designated Material: A Receiving Party shall not be obliged to challenge the propriety of a \"Confidential\" or \"Highly Confidential\" designation at the time made, and a failure to do so shall not preclude a subsequent challenge thereto. The failure of any Party to challenge the designation by a Producing Party of Discovery Materials as \"Confidential\" or \"Highly Confidential\" during the discovery period shall not be a waiver of that Party's right to object to such designation at an evidentiary hearing or at trial.\n\n27. Production Of Privileged Discovery Material: Pursuant to Rule 502(d) of the Federal Rules of Evidence, if a Producing Party inadvertently produces materials that the Producing Party later claims in good faith should not have been produced because of a privilege, including but not limited to the attorney-client privilege, or other protection, such as work-product protection, the production of that material shall not be deemed to constitute the waiver of any applicable privileges or protections. In such circumstances, when the Producing Party becomes aware that privileged or protected material was produced, it must notify the Receiving Party and request, at the Producing Party's election, either the return or the destruction of the produced material. Within three (3) business days after receiving such notification, the Receiving Party shall, as instructed, return or destroy and confirm destruction of all such produced material, including all copies, notes, and/or summaries thereof in any Receiving Party work product. The Receiving Party shall not use the contents of such material for any purpose, including in connection\n\nwith any effort seeking to compel production of the produced material. The Receiving Party must take reasonable steps to retrieve the produced material if the Receiving Party disclosed it before being notified. Such return or destruction and confirmation of destruction shall not preclude the Receiving Party from seeking to compel production of the produced material for reasons other than its production. Moreover, this Order shall not prevent any Party from challenging the designation of such material as privileged or protected and moving to compel production of allegedly privileged or protected documents.\n\n28. Challenging Privilege Determinations: The Receiving Party shall not be obliged to challenge the propriety of privilege determinations at the time asserted, and a failure to do so shall not preclude a subsequent challenge thereto. If the Receiving Party wishes to challenge one or more of the privilege designations made by the Producing Party, the Parties shall first meet and confer in a good faith effort to resolve any dispute concerning any challenged privilege designations. If the Parties are unable to agree on the appropriateness of one or more privilege designations, the Party challenging the privilege designations may present such dispute to the Court. Neither Party shall contend that the meet and confer process set forth in this paragraph constitutes a waiver of attorney-client privilege or attorney work product for any document claimed to be protected from disclosure. Notwithstanding anything set forth in this Order, no provision herein, including this paragraph 28, shall supplant or supersede any provision set forth in that certain *Consent Order Regarding Control of Attorney-Client Privilege and Work Product Protection Related to Rule 2004 Subpoenaed Documents and Information,* [Docket No. 856].\n\n29. Use Of Non-Discovery Material: To the extent that any Party has documents or information that would otherwise constitute Discovery Material that (i) are received or become available to a Party through lawful means and on a non-confidential basis not in violation of an\n\nobligation of confidentiality to any other person; (ii) were independently developed by such Party without violating its obligations hereunder; or (iii) are published or become publicly available in a manner that is not in violation of this Order or of any obligation of confidentiality to any other person, including a Party (collectively \"Non-Discovery Material\"), nothing in this Order shall limit a Party's ability to use Non-Discovery Material for any purpose, including in a deposition, hearing, trial, or otherwise in connection with any Dispute or this Chapter 11 Case.\n\n30. Continuing Applicability Of Confidentiality Agreement And Protective Order: The provisions of this Order shall survive the final termination of the Disputes and the Debtor's emergence from bankruptcy for any retained Discovery Material. The final termination of the Disputes and the Debtor's emergence from bankruptcy shall not relieve counsel or other persons obligated hereunder from their responsibility to maintain the confidentiality of Discovery Material pursuant to this Order, and the Court shall retain jurisdiction to enforce the terms of this Order.\n\n31. Amendment Of Confidentiality Agreement And Protective Order: Upon good cause shown, and on notice to all Parties, any Party may move to amend the provisions of this Order at any time or a Producing Party and the Trustee may jointly agree by written stipulation, subject to further order of the Court if applicable, to amend the provisions of the Order with respect to Discovery Material produced by that Producing Party.\n\n32. Disclosure Of Discovery Material In Other Proceedings: Any Receiving Party that may be subject to a motion or other form of legal process or any regulatory process, demand, or request seeking the disclosure of a Producing Party's Discovery Material: (i) shall, as soon as reasonably practicable, notify the Producing Party (unless such notice is prohibited by applicable law) to enable it to have an opportunity to appear and be heard on whether that information should be disclosed; and (ii) in the absence of a court order preventing such legally required disclosure,\n\nthe Receiving Party shall be permitted to disclose only that portion of the information that is legally required to be disclosed and shall inform in writing any person to whom such information is so disclosed of the confidential nature of such information.\n\n33. Use Of Discovery Material By Producing Party: Nothing in this Order affects the right of any Producing Party to use or disclose its own Discovery Material in any way. Such disclosure, other than publicly filing its own Discovery Material, will not waive the protections of this Order and, subject to Paragraph 29, will not otherwise entitle other Parties, non-Parties, or their attorneys to use or disclose such Discovery Material in violation of this Order.\n\n34. Obligations Of Parties: Nothing herein shall relieve a Party of its obligations under the Federal Rules, Bankruptcy Rules, Local Rules, or under any future stipulations and orders, regarding the production of documents or the making of timely responses to Discovery Requests in connection with any Dispute.\n\n35. Advice Of Counsel: Nothing herein shall prevent or otherwise restrict counsel from rendering advice to their clients in connection with the Disputes and, in the course thereof, relying on examination of Discovery Material; provided, however, that in rendering such advice and otherwise communicating with such clients, counsel shall not make specific disclosure of any information in any manner that is inconsistent with the restrictions or procedures set forth herein\n\n36. Prior Agreements: The provisions and requirements of this Order shall provide the exclusive means for the exchange and use of Designated Material produced in connection with any Disputes.\n\n37. Enforcement: The provisions of this Order constitute an Order of this Court and violations of the provisions of this Order are subject to enforcement and the imposition of legal sanctions in the same manner as any other Order of the Court.\n\n38. Pursuant to 11 U.S.C. § 107(c)(3), the United States Trustee has a presumptive statutory right of full access to any information and/or document filed on the docket or submitted to the Court in this case, and consistent therewith the United States Trustee reserves all rights to seek access to any documents submitted or filed under seal. The United States Trustee shall comply with the obligations of 11 U.S.C. § 107(c)(3)(B).\n\n## **THE FOREGOING IS SO ORDERED:**\n\nDated: October , 2022 /s/\n\nHONORABLE JULIE A. MANNING UNITED STATES BANKRUPTCY JUDGE\n\n## **Exhibit A**\n\n**Declaration**\n\n## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ----------------------------------------------------------- | x |                         |\n|-------------------------------------------------------------|---|-------------------------|\n|                                                             | : |                         |\n| In re:                                                      | : | Chapter 11              |\n|                                                             | : |                         |\n| HO WAN KWOK,                                                | : | Case No. 22-50073 (JAM) |\n|                                                             | : |                         |\n| Debtor.1                                                    | : |                         |\n|                                                             | : |                         |\n| ----------------------------------------------------------- | x |                         |\n\n# **DECLARATION OF ACKNOWLEDGEMENT AND AGREEMENT TO BE BOUND BY PROTECTIVE ORDER**\n\nI, \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_ declare under penalty of perjury (this \"Declaration\") that: 1. My address is 2. My present employer is \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_. 3. My present occupation or job description is \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_. 4. I hereby certify and agree that I have read and understand the terms of the Protective Order (the \"Order\") entered on \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_, 2022 in *In re: Ho Wan Kwok*, Case No. 22- 50073 (JAM), in the United States Bankruptcy Court for the District of Connecticut. All capitalized terms not otherwise defined in this Declaration have the meanings ascribed to such terms in the Order. I further certify that I will not use Designated Material for any purpose other than the Chapter 11 Case, and will not disclose or cause Designated Material to be disclosed for any purpose other than the Chapter 11 Case, and will not disclose or cause Designated Material to be disclosed to anyone not expressly permitted by the Order\n\n<sup>1</sup> Although the Debtor's legal name is Ho Wan Kwok, he is also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases. The last four digits of the Debtor's taxpayer identification number are 9595.\n\nto receive Designated Material. I agree to be bound by the terms and conditions of the Order.\n\n- 5. I understand that I am to retain in confidence from all individuals not expressly permitted to receive Designated Material, whether at home or at work, all copies of any Designated Material, and that I will carefully maintain such materials in a manner consistent with the Order. I acknowledge that the return or destruction of Designated Material shall not relieve me from any other continuing obligations imposed upon me by the Order.\n- 6. I acknowledge and agree that I am aware that by receiving Designated Material:\n\t- a. I may be receiving material nonpublic information about companies that issue securities; and\n\t- b. There exist laws, including federal securities laws, that may restrict or prohibit the sale or purchase of securities of such companies as a result of the receipt of such information.\n- 7. I stipulate to the jurisdiction of this Court solely with respect to the provisions of the Order.\n\nDate: \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\nSignature: \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n### **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ----------------------------------------------------------- | x                                      |  |\n|-------------------------------------------------------------|----------------------------------------|--|\n| In re:                                                      | :<br>:<br>Chapter 11                   |  |\n| HO WAN KWOK,                                                | :<br>:<br>Case No. 22-50073 (JAM)<br>: |  |\n| Debtor.1                                                    | :<br>:                                 |  |\n| ----------------------------------------------------------- | x                                      |  |\n\n### **CERTIFICATE OF SERVICE**\n\nThe undersigned hereby certifies that on October 4, 2022, the foregoing proposed Order was electronically filed. Notice of this filing was sent by e-mail to all parties to the abovecaptioned chapter 11 case by operation of the Court's electronic filing (\"CM/ECF\") system or by mail to anyone unable to accept electronic filing as indicated on the Notice of Electronic Filing.<sup>2</sup> Parties may access this filing through the Court's CM/ECF system.\n\n| Dated: | October 4, 2022        | LUC A. DESPINS,    |\n|--------|------------------------|--------------------|\n|        | New Haven, Connecticut | CHAPTER 11 TRUSTEE |\n\nBy: /s/Douglas S. Skalka Douglas S. Skalka (ct00616) Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH, P.C. 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 dskalka@npmlaw.com\n\n<sup>1</sup> Although the Debtor's legal name is Ho Wan Kwok, he is also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases. The last four digits of the Debtor's taxpayer identification number are 9595.\n\n<sup>2</sup> To the extent that the foregoing was filed outside regular business hours, service by mail on recipients unable or not qualified to accept electronic notice was made on the next business day.","body_zh":"美国康涅狄格州联邦破产法院布里奇波特分院\n\n-----------------------------------------------------------　x\n\n关于：　：\n：　第11章\nHO WAN KWOK（郭文贵），　：\n：\n：　案号：22-50073 (JAM)\n债务人。1　：\n\n-----------------------------------------------------------　x\n［拟议］保护令\n\n本保护令（以下简称“本令”）由以下各方订立：(a) Luc Despins（吕克·德斯潘），作为获任命管理债务人财产的第11章受托人（以下简称“受托人”）；以及(b)通过签署本令所附附件A表示同意受本令约束的任何其他个人或实体。前述(a)及(b)项所列的各个人或实体，在本令中应分别称为“一方”，合称为“各方”。2 本令根据11 U.S.C. § 107(b)及《联邦破产程序规则》（以下简称“破产规则”）第9018条订立，并在适用的情况下，根据破产规则第7026条和第9014条以及《联邦民事诉讼规则》（以下简称“联邦规则”）第26(c)条订立。\n\n1 尽管债务人的法定姓名为Ho Wan Kwok（郭文贵），其亦被称为Guo Wengui（郭文贵）、Miles Guo（郭文贵）和Miles Kwok（郭文贵），以及众多其他别名。债务人纳税人识别号的末四位数字为9595。\n\n2 “一方”的指定仅为本令中的指称之用。\n\n鉴于\n\n鉴于，债务人已向本院根据《美国法典》第11编，即11 U.S.C. §§ 101-1532（以下简称“破产法典”），提交了自愿破产申请（由该申请启动的案件以下简称“第11章案件”）；且本院现有或可能有依据破产法典产生、在第11章案件中产生或与第11章案件有关的司法程序或其他程序，包括但不限于调查、有争议事项、对立程序及其他争议（各称为“一项争议”，合称为“各项争议”）；\n\n鉴于，本院依据11 U.S.C. § 1104(d)，通过准许United States Trustee（美国受托人）提出的批准任命第11章受托人的命令申请，授权任命受托人；\n\n鉴于，各方已经或可能就一项或多项争议向彼此寻求某些证据开示材料（定义见下文），包括依照联邦规则、破产规则及United States Bankruptcy Court for the District of Connecticut（康涅狄格州联邦破产法院）的当地破产程序规则（以下简称“当地规则”），通过非正式或正式请求、第2004条通知或动议，或送达文件请求、书面质询、证言录取传票及其他证据开示请求（以下统称“证据开示请求”）；以及\n\n鉴于，各方预期，在第11章案件进行期间，可能还有本令各方以外的某些个人或实体，就一项或多项争议提出或收到证据开示请求；\n\n因此，为便利并加快证据开示材料的提交、交换及处理，并保护一方寻求作为保密材料或高度保密材料（该等术语定义见下文）予以维持的证据开示材料，现\n\n特此约定，并于法院批准后特此命令，以下条款将管辖对证据开示材料（定义见下文）的任何请求，以及该等材料的提交和处理：\n\n本令的适用范围\n\n1. 本令管辖一方（各称为“提交方”）向任何其他一方（各称为“接收方”）正式或非正式披露或交换的、与本第11章案件及本院审理的相关争议有关的全部信息和文件；无论是在提交有争议事项或对立程序之前或之后、与听证会前的证物交换有关时，和/或为回应或结合任何证据开示请求时，包括但不限于证言（无论基于口头询问还是书面问题）、书面质询、对书面质询的答复、承认请求、对承认请求的答复、已提交的文件、信息及物件，以及其任何及全部副本、摘录、摘要、笔记、概述及节选（以下统称“证据开示材料”）。证据开示材料包括破产规则和联邦规则所设想的纸质文件和电子存储信息，包括但不限于以任何媒介存储的文字、绘图、图表、图解、照片、录音、图像、数据或数据汇编、证言、证物、证据开示答复及所有其他表达媒介。\n\n2. 本令不影响、修订或修改适用于任何提交方和/或接收方的任何现有保密协议或保护令，本令任何内容均不构成放弃该等协议或命令项下的任何权利。\n\n3. 为免疑义，本令中的任何内容——包括某一方为本令一方这一事实——均不赋予或旨在赋予任何一方或非当事人出于任何目的取得任何证据开示材料的权利，包括与任何争议有关的权利。\n\n4. 在不影响提交方根据本令第9、10及18段享有权利的前提下，经受托人同意，任何签署附件A并向受托人交付副本的非当事人，应被视为本令的一方，并享有和承担本令签署方所享有和承担的一切权利及义务。为进一步免除任何疑义，关于签署附件A后成为“一方”的表述仅为本令之目的，并非旨在反映对该方作为诉讼当事人身份的任何约定。\n\n证据开示材料的指定\n\n5. 任何提交方均可依照下列规定，将证据开示材料指定为“保密材料”或“高度保密材料”（任何经如此指定的证据开示材料，以下简称“指定材料”）：\n\n(a) 保密材料：如提交方有合理理由相信：(i)该等证据开示材料(A)构成或包含依据破产规则或联邦规则应予保护的非公开专有或保密技术、业务、财务、个人或其他性质的信息，或(B)依法或依约享有受法律保护的隐私权；或者(ii)提交方(A)对第三方负有将该等证据开示材料保密的既有义务，或(B)另一方或非当事人以该另一方或非当事人认为该等证据开示材料包含对其而言属保密或专有的信息为由，合理请求作出该等指定，则提交方可将该等证据开示材料指定为“保密”。\n\n(b) 高度保密材料：如提交方有合理理由相信（或者，就从另一人收到的文件而言，已由该另一人合理告知）该等证据开示材料具有如下性质：如向本令第10段所列人员以外的人披露，将产生人身安全、身份盗窃或竞争性损害风险，例如地址或其他敏感个人识别信息、商业秘密、敏感财务或业务信息，或由一方的行业顾问、财务顾问、会计顾问、专家或其顾问（及其各自工作人员）准备的材料，则提交方可将该等证据开示材料指定为“高度保密”。\n\n(c) 由另一方指定：任何一方均可依照第5(a)及5(b)段，将任何证据开示材料指定为保密或高度保密，无论该方是否为最初披露或交换该证据开示材料的一方；在此情形下，就该证据开示材料而言，作出指定的一方应为提交方。\n\n(d) 未指定材料：在遵守各方根据本令第7、8及34段享有的权利和承担的义务的前提下，任何一方均无义务将并非指定材料的任何证据开示材料（以下简称“未指定材料”）作为保密材料予以维持，或防止其披露，除非该方实际知悉该证据开示材料的标的此前已依照本令或任何其他保护令被指定为保密或高度保密。\n\n6. 指定证据开示材料的方式：在合理可行的情况下，任何指定材料均应由提交方通过在每一页上按适用情形标注“保密”或“高度保密”的方式作出指定。该等标注不应涂抹或遮蔽已提交材料的内容。在无法合理地对该等材料的每一页作出标注的情况下，例如对于某些原生文件，提交方可以在提交该等材料时，以清晰、显著的方式通知接收方该材料为“保密”或“高度保密”，从而将其指定为“保密”或“高度保密”；例如，在适用的情况下，可将该等指定载入文件名和/或已提交的Relativity（或其他文件审阅平台）加载文件中。对于本令签署前，根据该等证据开示材料将被视为“保密”或“高度保密”的协议而提交的证据开示材料，即使该等证据开示材料未带有该等标注，仍应根据本令被视为“保密”或“高度保密”。\n\n7. 证据开示材料的迟延指定：未在提交时将特定证据开示材料指定为“保密”或“高度保密”，不构成放弃提交方日后将该等证据开示材料指定为指定材料，或日后依照本令适用其他指定的权利（以下简称“误指定材料”）。届时，应安排销毁误指定材料，或将误指定材料的所有副本返还提交方，并在适当情况下以正确标注的该等证据开示材料副本予以替换。接收方在收到带有正确指定的误指定材料替换副本后，应采取一切合理措施返还或销毁此前提交的该等误指定材料的所有副本。经提交方请求，接收方应书面确认其已采取一切合理措施返还或销毁该等误指定材料。如在收到任何日后指定的通知之前，该等证据开示材料以符合其原指定但不符合其日后指定的任何方式被披露或使用，任何一方不应被视为违反本令。但是，一旦作出该等日后指定，任何证据开示材料均应依照该日后指定处理；但前提是，如在作出日后指定时，未被指定的材料此前已向法院公开提交，除非法院经未作出该指定的一方提出动议后作出决定，任何一方均不受该日后指定的约束。\n\n保密材料或高度保密材料的使用与披露\n\n8. 对所有证据开示材料的使用和披露的一般限制：所有证据开示材料应由受托人为履行其根据《破产法典》及本案任命命令所负的职责和责任而使用，和/或由其他接收方仅在本院内为争议或本第11章案件之目的而使用，不得用于任何其他目的，亦不得在任何其他审理机构中使用，包括任何并非争议且与本第11章案件无关的其他诉讼或司法程序，或用于任何商业、竞争、政府、商贸或行政目的或职能。\n\n9. 保密材料：保密材料及其中包含的任何和所有信息，仅可提供、展示、供查阅或传达给下列人员：\n\n(a) 受托人；\n\n(b) 已签署附件A并向受托人提交其副本的任何当事方，但须经提供方同意，且该同意不得被无理拒绝。为免疑义，就根据第9、10及18段同意或拒绝同意接收或审阅指定材料而言，提供方应包括个人或实体，但仅限于：(i) 由该个人或实体的现任或前任专业服务机构提供的文件；以及(ii) 由金融机构提供的与该个人或实体账户有关的文件；以及\n\n(c) 下文第10段规定的任何其他人员。\n\n10. 高度保密材料：高度保密材料及其中包含的任何和所有信息，仅可提供、展示、供查阅或传达给下列人员：\n\n(a) 下列人员的律师及在该等律师明确指示下工作的人员：\ni. 受托人；\nii. 已签署附件A并向受托人提交副本的任何当事方，但须经提供方同意，且该同意不得被无理拒绝；以及\n\n(b) 根据《破产法典》第328条和第1103条聘用的专业人士，以及由本命令签署人或已就争议或本第11章案件签署附件A的当事方聘用的行业顾问、财务顾问、会计顾问、专家和顾问（及其各自工作人员），但须经提供方同意，且该同意不得被无理拒绝；\n\n(c) 任何在文件正面注明为该文件作者、收件人或抄送收件人、实际或拟定收件人，或在会议记录情形下为会议出席人的人员；\n\n(d) 在证言录取过程中，任何不利证人；如询问该证人的律师合理地认为有必要就该文件询问该证人，且此举不会造成竞争性或个人损害，但相关证言笔录部分本身应被指定为高度保密，该证人不得保留该文件副本，相关证言录取证物应被指定为高度保密，并须遵守第12段；\n\n(e) 为结合争议或本第11章案件使用所必需的外部复印、图文制作服务或诉讼支持服务；\n\n(f) 在与争议或本第11章案件相关的证言录取或其他证言中进行记录的法庭记录员、速记员或录像人员；\n\n(g) 在可能因争议或本第11章案件而产生的任何司法程序中，本院、其工作人员及文书人员；\n\n(h) 就争议或本第11章案件聘用的任何调解员及其工作人员；以及\n\n(i) 经提供方书面同意或在证言录取记录中同意的任何其他个人或实体。\n\n11. 指定材料仅应依照第9和第10段予以披露：高度保密材料及其中包含的任何和所有信息，除向本命令第10段规定的人员外，不得以任何方式提供、展示、供查阅、披露或传达。保密材料及其中包含的实质性信息，除向本命令第9段规定的人员外，不得以任何方式提供、展示、供查阅、披露或传达。\n\n12. 披露指定材料的先决条件：在向本命令第10(b)、10(d)、10(h)或10(i)段所列任何人员或其代表提供指定材料查阅权之前，应向该人员或其代表提供本命令副本，并由其签署随附于本命令的附件A。每份经签署的附件A应由向获准查阅指定材料的人员提供该等查阅权的当事方律师保存在其档案中。第10(a)(ii)、10(d)、10(h)及10(i)段所列代表所签署附件A的副本，但第10(b)段所列代表所签署附件A的副本除外，应提供给提供方。第10(b)段所列代表所签署的附件A，除非证明存在正当理由且本院作出命令，否则不应根据联邦规则或破产规则予以披露。为免疑义，可代表某一组织为第10(b)段所列任何代表签署附件A，而无需该组织内每一相关个人分别签署附件A。\n\n13. 向本院提交或呈交的指定材料的密封处理：除非提供方另有同意，向本院提交的所有指定材料，以及向本院提交且披露高度保密材料或保密材料的诉状、动议或其他文件的所有部分，均应依照联邦规则、破产规则、地方法院规则及本院个别办案规则密封提交；但当事方可自行选择提交包含指定材料的删节诉状，前提是该诉状中涉及指定材料的部分已被删节，且该删节诉状亦依照Local Rule 9077-1提交。如任何当事方对该等材料的密封处理提出异议，提供方应承担为该密封处理进行抗辩的举证责任。根据本段将任何材料密封提交，不应被解释为承认该等材料根据本保护令或适用法律有权获得保密待遇，亦不应放弃任何当事方日后对该等指定或密封处理提出异议的权利。\n\n14. 在公开法庭中使用证据开示材料：除本段规定外，本命令中对披露的限制不适用于任何当事方在审判或任何公开法庭举行的听证中提出或以其他方式使用的任何证据开示材料。在可行情况下，作为任何审前会议或就任何证据听证中使用证物所进行的任何会面协商的一部分，或者如在审判或任何公开法庭举行的听证中使用任何指定材料之前不可行，则希望在审判或任何公开法庭举行的听证中提出或使用该等指定材料的任何当事方律师，应本着诚信与提供方会面协商，以讨论对指定材料进行删节的方式，使该材料可由任何当事方依照《破产法典》和破产规则的规定提出或以其他方式使用。如当事方无法解决与该等指定材料有关的争议，提供方应承担向本院申请适当救济的责任。在本院就该问题作出裁定之前，指定材料应继续依其指定类别并按照本命令条款处理。\n\n证言录取和Rule 2004审查\n\n15. 证言录取和Rule 2004审查证言——指定方式：就证言录取而言，如某当事方律师认为在证言录取中作出的部分证言应成为该当事方的指定材料，可按以下适当方式指定该等证言：(a) 在记录中口头声明，并请求仅将相关证言部分作此指定；或(b) 在该当事方从法庭记录员收到最终笔录后十(10)日内发出书面通知，仅将该笔录或其证言录取录音中的相关部分作此指定；但如就相关问题的听证安排在收到最终笔录后十(10)日内举行，则前述十(10)日期间缩短为五(5)个营业日。如相关问题的听证或诉状截止日期安排得与证言录取时间过于接近，以致五个营业日期间不可行，则为在该听证中或随该诉状使用之目的，应将整份笔录指定为指定材料，其后适用上述十(10)日期间进行进一步指定。在当事方收到最终笔录后，至上述适用指定期间届满前，所有证言录取笔录和录音均应被视为并按高度保密材料处理，除非任何当事方律师在证言录取记录中另有说明。\n\n16. 在证言录取期间作为证物使用的指定材料：第15段的任何规定均不适用于或影响在证言录取中作为证物提交的证据开示材料上的保密指定。\n\n17. 证人审阅证言录取证言：本第15段的任何规定均不妨碍证人审阅其证言录取笔录。\n\n18. 证言录取证言期间人员在场：在证言录取期间引出指定材料时，根据本命令条款无权接收该等信息的人员，经请求应被排除在被如此指定的证言录取部分之外。在该等人员被排除在包含指定材料的任何证言录取部分之外后，如该等人员希望接收包含指定材料的证言录取证言书面记录或其他记录，该等人员必须成为本命令的当事方，且接收该等指定材料须经提供方同意，且该同意不得被无理拒绝。\n\n19. 法庭记录员的责任和义务：如证言被指定为保密或高度保密，法庭记录员应事先同意遵守本段条款，并应被指示在每份该等笔录的封面页上加注：“本笔录部分包含受保护令约束的信息，并仅可依照该保护令使用”，且笔录每一页均应视情况加注“保密”或“高度保密”。如证言录取被录音，若笔录本身的任何部分被作此指定，则该录音亦应具有与笔录相同级别的保密性，并视情况加注“保密”或“高度保密”。任何证言录取中的询问方应在证言录取开始前，请求法庭记录员同意对在该证言录取中提交的所有指定材料予以保密。证言录取中的每名询问律师，仅应向依照本命令条款获准接收该等指定材料的当事方分发作为证物使用的指定材料副本。\n\n一般规定\n\n20. 除非当事方另有约定或本院另有命令，本命令中的所有期限和时间期间均应依照Bankruptcy Rule 9006计算。\n\n21．本命令系旨在保护被指定为指定材料的证据开示材料的程序性措施。本命令的任何规定均不影响任何当事方与证据开示材料保密性无关的权利或义务。\n\n22．就本命令而言，“书面”包括电子邮件。\n\n23．本命令所载任何内容均不得视为任何当事方放弃或弃权任何异议，包括但不限于针对任何当事方所请求的任何文件、信息或数据被主张具有保密性或专有性质的任何异议；对任何证据开示请求提出异议的任何权利；以任何理由对证据可采性提出异议的任何权利；申请任何进一步保护令的任何权利；或以通知申请的方式，基于任何理由向本法院或任何其他有管辖权的法院请求免于适用本命令任何条款的任何权利。\n\n24．未经授权披露指定材料：如接收方将指定材料披露给未经本命令授权接收该等指定材料的个人或实体，作出未经授权披露的接收方在获悉该披露后，应当：立即通知接受披露的个人或实体，该披露包含受本命令约束的指定材料；立即作出合理努力，收回或销毁已披露的指定材料，并防止接受披露的个人或实体进一步传播或使用该等材料；以及立即通知提供方接受披露的个人或实体的身份、披露的相关情况，以及为收回或销毁已披露的指定材料并确保不再进一步传播或使用该等材料所采取的措施。除按照本命令条款外披露指定材料，可能使披露人受到本法院认为适当的制裁和救济。\n\n25．对指定材料提出异议的方式：如任何接收方对任何指定材料的指定提出异议，接收方应首先以书面形式向提供方提出异议，并本着善意协商，以尝试解决有关本命令条款或实施的任何争议。如接收方与提供方无法解决其争议，接收方可向本法院寻求救济。在本法院就该等问题作出裁决前，指定材料应继续按照其指定方式处理。经动议，本法院可命令撤销任何受本命令条款约束且被如此指定的证据开示材料的“保密”或“高度保密”指定。\n\n26．对指定材料提出异议的期限：接收方无义务在作出“保密”或“高度保密”指定时即对其适当性提出质疑，未如此行事不妨碍其日后对此提出质疑。任何当事方未在证据开示期间对提供方将证据开示材料指定为“保密”或“高度保密”提出质疑，不构成该当事方放弃在证据听证会或审判中对该指定提出异议的权利。\n\n27．提供受特权保护的证据开示材料：根据《联邦证据规则》第502(d)条，如提供方无意中提供了其后本着善意主张因享有特权（包括但不限于律师—当事人特权）或其他保护（如工作成果保护）而本不应提供的材料，则提供该等材料不得视为放弃任何适用的特权或保护。在此情况下，当提供方得知已提供受特权或保护的材料时，必须通知接收方，并由提供方选择请求返还或销毁已提供的材料。接收方在收到该通知后三（3）个工作日内，应按照指示返还或销毁并确认已销毁所有该等已提供的材料，包括任何接收方工作成果中所有该等材料的副本、笔记和/或摘要。接收方不得将该等材料的内容用于任何目的，包括用于申请强制提供已提供材料的任何行为。若接收方在收到通知前已披露该等材料，接收方必须采取合理措施取回已提供的材料。该等返还或销毁及销毁确认，不妨碍接收方基于该材料已被提供以外的理由申请强制提供该材料。此外，本命令不妨碍任何当事方质疑该等材料被指定为享有特权或受保护，并申请强制提供被主张享有特权或受保护的文件。\n\n28．对特权认定提出质疑：接收方无义务在主张特权认定时即对其适当性提出质疑，未如此行事不妨碍其日后对此提出质疑。如接收方希望质疑提供方作出的一个或多个特权指定，当事方应首先本着善意会面并协商，以解决有关任何被质疑特权指定的争议。如当事方无法就一个或多个特权指定的适当性达成一致，质疑特权指定的当事方可将该争议提交本法院。任何一方均不得主张本款规定的会面并协商程序构成对任何被主张免于披露的文件之律师—当事人特权或律师工作成果的放弃。尽管本命令载有任何规定，本命令任何条款，包括本第28款，均不得取代或优先于《有关与Rule 2004传票文件及信息相关的律师—当事人特权及工作成果保护控制的同意命令》[Docket No. 856]所载的任何条款。\n\n29．非证据开示材料的使用：在任何当事方拥有原本将构成证据开示材料的文件或信息，且该等文件或信息：(i) 由当事方通过合法途径且以非保密方式获得或可获得，且不违反对任何其他人的保密义务；(ii) 由该当事方独立开发，且未违反其在本命令项下的义务；或(iii) 以不违反本命令或对任何其他人（包括当事方）的任何保密义务的方式公开或可公开（统称“非证据开示材料”）的范围内，本命令的任何规定均不限制当事方为任何目的使用非证据开示材料的能力，包括在证言录取、听证会、审判中，或以其他方式就任何争议或本Chapter 11案件使用。\n\n30．保密协议及保护令的持续适用：就任何保留的证据开示材料而言，本命令的条款在争议最终终结及债务人脱离破产程序后仍然有效。争议最终终结及债务人脱离破产程序，不解除律师或其他在本命令项下负有义务的人依照本命令维护证据开示材料保密性的责任，本法院保留管辖权以执行本命令的条款。\n\n31．保密协议及保护令的修订：经证明具有正当理由并通知全体当事方后，任何当事方可随时提出动议修订本命令条款；或提供方与受托人可通过书面约定共同同意，在适用情况下须经本法院进一步命令，对本命令中关于该提供方所提供证据开示材料的条款作出修订。\n\n32．在其他程序中披露证据开示材料：任何可能受到要求披露提供方证据开示材料的动议或其他形式法律程序，或任何监管程序、要求或请求约束的接收方：(i) 应在合理可行的最早时间通知提供方（除非适用法律禁止该通知），使其有机会就该信息是否应予披露出庭并陈述意见；以及(ii) 在不存在禁止该依法要求披露的法院命令时，接收方仅可披露法律要求披露的部分信息，并应以书面形式通知接受该等信息披露的任何人该等信息的保密性质。\n\n33．提供方对证据开示材料的使用：本命令的任何规定均不影响任何提供方以任何方式使用或披露其自身证据开示材料的权利。除公开提交其自身证据开示材料外，该等披露不构成放弃本命令的保护，并且在遵守第29款的前提下，不会以其他方式使其他当事方、非当事人或其律师有权违反本命令使用或披露该等证据开示材料。\n\n34．当事方义务：本命令的任何规定均不免除当事方根据《联邦规则》、《破产规则》、地方法院规则或任何未来约定及命令，就任何争议中的文件提供或及时答复证据开示请求所负有的义务。\n\n35．律师意见：本命令的任何规定均不得阻止或以其他方式限制律师就争议向其客户提供意见，并在此过程中依赖对证据开示材料的审查；但前提是，律师在提供该等意见及以其他方式与该等客户沟通时，不得以任何与本命令所规定限制或程序不一致的方式具体披露任何信息。\n\n36．先前协议：本命令的条款及要求应构成交换和使用就任何争议所提供的指定材料的唯一方式。\n\n37．执行：本命令的条款构成本法院的命令，违反本命令条款的行为，应以与本法院任何其他命令相同的方式受到执行并施加法律制裁。\n\n38．根据11 U.S.C. § 107(c)(3)，United States Trustee（美国受托人）对本案案卷中提交或向本法院提交的任何信息和/或文件享有推定的法定完全查阅权；据此，美国受托人保留寻求查阅任何密封提交或备案文件的一切权利。美国受托人应遵守11 U.S.C. § 107(c)(3)(B)规定的义务。\n\n兹命令如下：\n\n日期：October , 2022 /s/\n\n尊敬的JULIE A. MANNING（朱莉·A·曼宁）\n美国破产法院法官\n\n附件A\n\n声明\n\nUNITED STATES BANKRUPTCY COURT（美国破产法院）\nDISTRICT OF CONNECTICUT（康涅狄格区）\nBRIDGEPORT DIVISION（布里奇波特分院）\n\n-----------------------------------------------------------　x\n\n关于：　：　Chapter 11\n\nHO WAN KWOK（郭文贵），　：　Case No. 22-50073 (JAM)\n\n债务人。1　：\n\n-----------------------------------------------------------　x\n\n确认并同意受保护令约束的声明\n\n本人，________________________________，特此在伪证罪处罚的约束下声明（以下简称“本声明”）：1. 本人的地址为 2. 本人目前的雇主为 ________________________________________________。3. 本人目前的职业或工作描述为 ________________________________。4. 本人特此证明并同意，本人已阅读并理解 United States Bankruptcy Court for the District of Connecticut（美国康涅狄格州联邦破产法院）在 In re: Ho Wan Kwok（关于郭文贵）, Case No. 22- 50073 (JAM) 中于 ________________, 2022 作出的 Protective Order（保护令，下称“该命令”）的条款。本声明中未另行定义的所有首字母大写术语，均具有该命令赋予该等术语的含义。本人进一步证明，本人不会将 Designated Material（指定材料）用于第11章案件以外的任何目的，亦不会为第11章案件以外的任何目的披露或促使披露指定材料，且不会向任何未经该命令明确允许接收指定材料的人披露或促使披露指定材料\n\n1 尽管债务人的法定姓名为 Ho Wan Kwok（郭文贵），其亦被称为 Guo Wengui（郭文贵）、Miles Guo（郭文贵）和 Miles Kwok（郭文贵），以及众多其他别名。债务人纳税人识别号码的后四位为 9595。\n\n接收指定材料。本人同意受该命令的条款和条件约束。\n\n5. 本人理解，无论在家中还是工作场所，本人均应对所有未经明确允许接收指定材料的个人保密任何指定材料的全部副本，并将以符合该命令的方式谨慎保管该等材料。本人确认，返还或销毁指定材料并不解除该命令对本人施加的任何其他持续性义务。\n\n6. 本人确认并同意，本人知悉，因接收指定材料：\na. 本人可能正在接收有关发行证券公司的重大非公开信息；以及\nb. 存在法律，包括联邦证券法，该等法律可能因接收该等信息而限制或禁止买卖该等公司的证券。\n\n7. 本人仅就该命令的规定同意接受本院管辖。\n\n日期：________________________________\n\n签名：________________________________\n美国康涅狄格州联邦破产法院布里奇波特分院\n\n-----------------------------------------------------------　x\n\n关于：　:\n:\n第11章\nHO WAN KWOK（郭文贵），　:\n:\n案号：22-50073 (JAM)\n\n债务人。1　:\n\n-----------------------------------------------------------　x\n送达证明\n\n下列签署人特此证明，于 October 4, 2022，上述拟议命令已通过电子方式提交。本次提交的通知已通过本院电子提交（“CM/ECF”）系统的运作，以电子邮件发送给上述第11章案件的所有当事方；或如电子提交通知所示，对于无法接受电子提交的任何人士，以邮寄方式发送。2 当事方可通过本院的 CM/ECF 系统查阅本次提交。\n\n日期：October 4, 2022　LUC A. DESPINS（卢克·A·德斯平斯），\n\nNew Haven, Connecticut（康涅狄格州纽黑文）　第11章受托人\n\n代理人：/s/Douglas S. Skalka Douglas S. Skalka（道格拉斯·S·斯卡尔卡） (ct00616) Patrick R. Linsey（帕特里克·R·林赛） (ct29437) NEUBERT, PEPE & MONTEITH, P.C.（纽伯特、佩佩与蒙蒂思律师事务所） 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 dskalka@npmlaw.com\n\n1 尽管债务人的法定姓名为 Ho Wan Kwok（郭文贵），其亦被称为 Guo Wengui（郭文贵）、Miles Guo（郭文贵）和 Miles Kwok（郭文贵），以及众多其他别名。债务人纳税人识别号码的后四位为 9595。\n\n2 如上述文件在正常营业时间以外提交，则对于无法或无资格接受电子通知的收件人，邮寄送达于下一营业日进行。","key_entities":["Je","Kwok","Ho Wan Kwok","Guo","Miles Guo","Despins","Luc Despins","CIPA"],"ecf_references":[],"word_count":6121,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 19:32:25"}