{"id":"court_sdny_3264_1","court":"SDNY","case_no":"","doc_number":3264,"sub_number":null,"doc_type":"DOC","filed_date":"2024-06-20","title":"SDNY ECF 3264","summary_zh":"保护令——Ho Wan Kwok（郭文贵 / Guo Wengui / Miles Guo）破产案，Connecticut破产法庭 Case No. 22-50073 ECF 3264（2024年6月20日）。由Chapter 11 Trustee Luc Despins与其他当事人制订的修改后保护令，规范发现程序材料的处理、保密等级和披露规则。","summary_en":"Modified protective order—In re Ho Wan Kwok (Guo Wengui / Miles Guo), U.S. Bankruptcy Court, District of Connecticut, Case No. 22-50073 ECF 3264 (filed June 20, 2024). Protective order entered by Chapter 11 Trustee Luc Despins and other parties governing designation, handling, and protection of discovery material in the Chapter 11 case.","body_en":"## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n|              | x           |                            |\n|--------------|-------------|----------------------------|\n| In re:       | :<br>:      | Chapter<br>11              |\n| HO WAN KWOK, | :<br>:      | Case No. 22-50073<br>(JAM) |\n| Debtor.1     | :<br>:<br>: | Re: ECF No.<br>874         |\n|              | x           |                            |\n\n## **MODIFIED PROTECTIVE ORDER**\n\nThis Protective Order (\"Order\") is entered into by and among: (a) Luc Despins, as the appointed Chapter 11 Trustee to the Debtor's estate (the \"Trustee\"), and (b) any other persons or entities who become bound by this Order by signifying their assent through execution of **Exhibit A** hereto. Each of the persons or entities identified in the foregoing clauses (a) and (b) shall be referred to herein individually as a \"Party,\" and collectively as the \"Parties.\"2 This Order is being entered pursuant to 11 U.S.C. § 107(b) and Rule 9018 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\"), and, as applicable, pursuant to Bankruptcy Rules 7026 and 9014 and Rule 26(c) of the Federal Rules of Civil Procedure (the \"Federal Rules\").\n\n<sup>1</sup> Although the Debtor's legal name is Ho Wan Kwok, he is also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases. The last four digits of the Debtor's taxpayer identification number are 9595.\n\n<sup>2</sup> The designation of a \"Party\" is for purposes of reference in this Order only.\n\n## **Recitals**\n\nWHEREAS, the Debtor filed a voluntary petition under chapter 11 of title 11 of the United States Code, U.S.C. §§ 101-1532 (the \"Bankruptcy Code\"), in this Court (the case commenced by such petition, the \"Chapter 11 Case\"); and there are, or may be, judicial or other proceedings before this Court, 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 thatshould 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 thatsuch 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) thatsuch Discovery Material is of such a nature that a risk of personalsafety, 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, tradesecrets, sensitive financial or business information, or material prepared by a Party's industry advisors, financial advisors, accounting advisors, experts, or its consultants (and their respective staff). Notwithstanding anything herein to the contrary, account statements, ACH and wire transfer records, check copies, and similar records created by financial institutions to memorialize account balances and transactions (collectively, 'Bank Statements') do not pose a risk of personal safety, identity theft, or competitive injury sufficient to warrant the heightened restrictions applicable to Discovery Material designated 'Highly Confidential.' Absent further order of the Court, Bank Statements shall not be designated as 'Highly Confidential' under this Order.\n- (c) Designation By Another Party: Any Party may designate any Discovery Material as Confidential or Highly Confidential in accordance with paragraphs 5(a) and 5(b), whether or not that Party is the one which originally disclosed or exchanged the Discovery Material, and in such event, the designating Party shall be a Producing Party with respect to that\n\nDiscovery Material.\n\n(d) Undesignated Material: Subject to the rights and obligations of the Parties under Paragraphs 7, 8 and 34 of this Order, no Party shall have any obligation or duty to maintain as confidential or prevent from disclosure any Discovery Material that is not Designated Material (\"Undesignated Material\"), unless that Party has actual knowledge that the subject of the Discovery Material has been previously designated as Confidential or Highly Confidential pursuant to this Order or any other protective order.\n\n6. Manner of Designating Discovery Material: Where reasonably practicable, any Designated Materialshall be designated by the Producing Party as such by marking each such page \"Confidential\" or \"Highly Confidential\" as applicable. Such markings should not obliterate or obscure the content of the material that is produced. Where marking of every page of such materials is not reasonably practicable, such as with certain native file documents, a Producing Party may designate material as \"Confidential\" or \"Highly Confidential\" by informing the Receiving Party in a clear and conspicuous manner at the time of production of such materialthat it is \"Confidential\" or \"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\n\n## Case 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 7 of 21\n\nMaterial\"). At such time, arrangements will be made for the destruction of the Misdesignated Material or for the return to the Producing Party of all copies of the Misdesignated Material and for the substitution, where appropriate, of properly labeled copies of such Discovery Material. Upon receipt of replacement copies of such Misdesignated Material with the proper designation, the Receiving Party or Parties shall take all reasonable steps to return or destroy all previously produced copies of such Misdesignated Material. If requested by the Producing Party, a Receiving Party shall verify in writing that it has taken all reasonable steps to return or destroy such Misdesignated Material. No Party shall be deemed to have violated this Order if, prior to notification of any later designation, such Discovery Material was disclosed or used in any manner consistent with its original designation but inconsistent with its later designation. Once suchlater designation has been made, however, any Discovery Material shall be treated in accordance with that later designation; provided, however, that if the material that was not designated has been, at the time of the later designation, previously publicly filed with a court, no Party shall be bound by such later designation except to the extent determined by the Court upon motion of the Party that failed to make the designation.\n\n#### **Use and Disclosure of Confidential or Highly Confidential Material**\n\n8. General Limitations On Use And Disclosure Of All Discovery Material: All Discovery Materialshall 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- (b) any Party who has signed Exhibit A and delivered a copy thereof to the Trustee; 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. the Creditor's Committee;\n\t- iii. any Party who has signed Exhibit A and delivered a copy to the Trustee; 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 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\n\ndeposition 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\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, shown, made available to, disclosed, or communicated in any way, except to those people provided in Paragraph 10 of this Order. Confidential Material, and the substantive information contained therein, shall not be given, shown, made available to, disclosed, or communicated in any way, except to those people provided in Paragraph 9 of this Order.\n\n12. Prerequisite to Disclosure of Designated Material: Before any person or their representative identified in Paragraph 10(b), 10(d), 10(h) or 10(i) hereof is given access to Designated Material, such person or their representative shall be provided with a copy of this Order and shall execute Exhibit A annexed hereto. Each such executed Exhibit A shall be retained in the\n\n## Case 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 10 of 21\n\nfiles 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 latertime.\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\n\n## Case 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 11 of 21\n\nof any pretrial conference or any meet and confer regarding the use of exhibits in any evidentiary hearing, or if not practicable prior to the use of any Designated Material at trial or any hearing to be held in open court, counsel for any Party who desires to offer or use such Designated Material at trial or any hearing to be held in open court shall meet and confer in good faith with the Producing Party to discuss ways to redact the Designated Material so that the material may be offered or otherwise used by any party, in accordance with the provisions of the Bankruptcy Code and Bankruptcy Rules. If the Parties are unable to resolve a dispute related to such Designated Material, the Producing Party shall bear the burden of requesting appropriate relief from the Court. Until the Court rules on such an issue, the Designated Material shall continue to be treated according to its designation and in accordance with the terms of this Order.\n\n#### **Depositions and Rule 2004 Examinations**\n\n15. Deposition and Rule 2004 Examination Testimony - Manner Of Designation: In the case of depositions, if counsel for a Party believes that a portion of the testimony given at a deposition should be Designated Material of such Party, such testimony may be designated as appropriate by: (a) stating so orally on the record and requesting that only the relevant portion(s) 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\n\n## Case 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 12 of 21\n\nParties, all deposition transcripts and recordings shall be considered and treated as Highly Confidential unless otherwise specified by counsel to any Party on the record at the deposition.\n\n16. Designated Material Used As Exhibits During Depositions: Nothing in Paragraph 15 shall apply to or affect the confidentiality designations on Discovery Material entered as exhibits at depositions.\n\n17. Witness Review of Deposition Testimony: Nothing in Paragraph 15 hereof shall preclude the witness from reviewing his or her deposition transcript.\n\n18. Presence of Persons During Deposition Testimony: When Designated Material is elicited during a deposition, persons not entitled to receive such information under the terms of this Order shall, upon request, be excluded from the portion of the deposition so designated. After such exclusion from the portion of any deposition containing Designated Material, if such persons wish to receive written or other recordings of the deposition testimony containing Designated Material, such persons must become a Party to this Order.\n\n19. Responsibilities And Obligations Of Court Reporters: In the event that testimony is designated as Confidential or Highly Confidential, the court reporter, who shall first have agreed 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 transcriptshall 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\n\nsaid 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 Materialsubject to this Order; immediately make reasonable efforts to recover or destroy the disclosed Designated Material as well as preclude further dissemination or use by the person or entity to whom the disclosure was made; and immediately notify the Producing Party of the identity of the person or entity to whom the disclosure was made, the circumstances surrounding the disclosure, and the steps taken to recover or destroy the disclosed Designated Material and ensure against further dissemination or use thereof. Disclosure of Designated Material other than in accordance with the terms of this Order may subject the disclosing person to such sanctions and remedies as the Court may deem appropriate.\n\n25. Manner Of Objecting To Designated Material: If any Receiving Party objects to the designation of any Designated Material, the Receiving Party shall first raise the objection with the Producing Party in writing, and confer in good faith to attempt to resolve any dispute respecting the terms or operation of this Order. The Receiving Party may seek relief from the Court if the Receiving Party and the Producing Party cannot resolve their dispute. Until the Court rules on such an issue, the Designated Material shall continue to be treated according to its designation. Upon motion, the Court may order the removal of the \"Confidential\" or \"Highly Confidential\" designation from any Discovery Material so designated that is subject to the provisions of this Order.\n\n26. Timing Of Objections To Designated Material: A Receiving Party shall not be obliged to challenge the propriety of a \"Confidential\" or \"Highly Confidential\" designation at the time made, and a failure to do so shall not preclude a subsequent challenge thereto. The failure of 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\n\n## Case 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 15 of 21\n\nrequest, at the Producing Party's election, either the return or the destruction of the produced material. Within three (3) business days after receiving such notification, the Receiving Party shall, as instructed, return or destroy and confirm destruction of all such produced material, including all copies, notes, and/or summaries thereof in any Receiving Party work product. The Receiving Party shall not use the contents of such material for any purpose, including in connection with any effort seeking to compel production of the produced material. The Receiving 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\n\n## Case 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 16 of 21\n\nin that certain *Consent Order Regarding Control of Attorney-Client Privilege and Work Product Protection Related to Rule 2004 Subpoenaed Documents and Information,* [Docket No. 856].\n\n29. Use Of Non-Discovery Material: To the extent that any Party has documents or information that would otherwise constitute Discovery Material that (i) are received or become available to a Party through lawful means and on a non-confidential basis not in violation of an obligation of confidentiality to any other person; (ii) were independently developed by suchParty without violating its obligations hereunder; or (iii) are published or become publicly available in a manner that is not in violation of this Order or of any obligation of confidentiality to any other person, including a Party (collectively \"Non-Discovery Material\"), nothing in this 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\n## Case 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 17 of 21\n\n32. Disclosure Of Discovery Material In Other Proceedings: Any Receiving Party that may be subject to a motion or other form of legal process or any regulatory process, demand, or request seeking the disclosure of a Producing Party's Discovery Material: (i) shall, as soon as reasonably practicable, notify the Producing Party (unless such notice is prohibited by applicable law) to enable it to have an opportunity to appear and be heard on whether that information should be disclosed; and (ii) in the absence of a court order preventing such legally required disclosure, the Receiving Party shall be permitted to disclose only that portion of the information that 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**IT IS SO ORDERED** at Bridgeport, Connecticut this \\_\\_\\_\\_ day of \\_\\_\\_\\_\\_\\_\\_\\_\\_\\_, 2024.\n\nJulie A. Manning, United States Bankruptcy Judge\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n# **Exhibit A**\n\n**Declaration**\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n|              | x |                            |\n|--------------|---|----------------------------|\n|              | : |                            |\n| In re:       | : | Chapter<br>11              |\n|              | : |                            |\n| HO WAN KWOK, | : | Case No. 22-50073<br>(JAM) |\n|              | : |                            |\n| Debtor.1     | : |                            |\n|              | : |                            |\n|              | x |                            |\n\n# **DECLARATION OF ACKNOWLEDGEMENT AND AGREEMENT TO BE BOUND BY PROTECTIVE ORDER**\n\nI, declare under penalty of perjury (this \"Declaration\") that: 1. My address is 2. My present employer is \\_ . 3. My present occupation or job description is . 4. I hereby certify and agree that I have read and understand the terms of the Protective Order (the \"Order\") entered on , 2022 in *In re: Ho Wan Kwok*, Case No. 22- 50073 (JAM), in the United States Bankruptcy Court for the District of Connecticut. All capitalized terms not otherwise defined in this Declaration have the meanings ascribed to such terms in the Order. I further certify that I will not use Designated Material for any purpose other than the Chapter 11 Case, 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:","body_zh":"美国破产法院 康涅狄格区 布里奇波特分院\nx\n关于：\nHO WAN KWOK（郭文贵），\n债务人。1\n第11章\n案号：22-50073 (JAM)\n关于：ECF No. 874\nx\n\n修改后保护令\n\n本保护令（下称“本命令”）由以下各方共同订立：(a) Luc Despins（卢克·德斯宾斯），作为获任命的债务人财产第11章受托人（下称“受托人”）；以及 (b) 通过签署本命令附件A表明同意从而受本命令约束的任何其他个人或实体。前述 (a) 款和 (b) 款中确定的每名个人或实体在下文中单独称为“一方”，统称为“各方”。2 本命令系根据 11 U.S.C. § 107(b) 以及《联邦破产诉讼程序规则》（下称《破产规则》）第 9018 条作出，并在适用情况下根据《破产规则》第 7026 条和第 9014 条以及《联邦民事诉讼规则》（下称《联邦规则》）第 26(c) 条作出。\n\n1 尽管债务人的法定姓名是 Ho Wan Kwok，但他也以郭文贵（Guo Wengui）、Miles Guo 和 Miles Kwok 以及许多其他别名为人所知。债务人纳税人识别号的最后四位数字是 9595。\n\n2 “一方”的称谓仅用于本命令中的引用目的。\n\n序言\n\n鉴于，债务人在本法院根据《美国法典》第 11 编第 11 章 U.S.C. §§ 101-1532（下称《破产法典》）提交了自愿申请（由该申请启动的案件下称“第11章案件”）；并且在本法院面前存在或可能存在司法或其他程序，包括但不限于根据《破产法典》产生或在第11章案件中产生或与该案件相关的调查、有争议事项、对抗性程序以及其他争议（各项争议单称为“争议”，统称为“争议”）；\n\n鉴于，本法院通过批准美国受托人根据 11 U.S.C. § 1104(d) 提出的批准任命第11章受托人的申请，授权任命了受托人；\n\n鉴于，各方已经或可能就一项或多项争议相互寻求某些证据开示材料（定义见下文），包括通过非正式或正式请求、根据第 2004 条规则发出的通知或动议，或送达《联邦规则》、《破产规则》和《美国康涅狄格区破产法院破产诉讼程序地方法规》（下称《地方法规》）规定的文件调取请求、质询书、宣誓采证、传票以及其他证据开示请求（统称为“证据开示请求”）；以及\n\n鉴于，各方预计在第11章案件进行期间，本命令各方以外的某些个人或实体也可能就一项或多项争议提出证据开示请求或被送达证据开示请求；\n\n因此，现为了促进并加快证据开示材料的提供、交换和处理，并保护某一方寻求维持为机密材料或高度机密材料（这些术语定义见下文）的证据开示材料，\n\n各方特此达成一致，并且经法院批准，特此下达命令如下，以下条款将规范对证据开示材料（定义见下文）的任何请求、提供和处理：\n\n本命令的适用范围\n\n1. 本命令规范一方（单称“提供方”）以正式或非正式方式，在提交有争议事项或对抗性程序之前或之后，在听证会前交换证据的关联中，和/或在回应任何证据开示请求或与之相关的过程中，向任何其他方（单称“接收方”）披露或交换与本第11章案件以及本法院面前的相关争议有关的所有信息和文件，包括但不限于宣誓采证证言（无论是基于口头询问还是书面质问）；质询书；质询答复；自认请求书；自认请求答复书；所提供的文件、信息和实物，以及其任何和全部副本、摘要、汇编、笔记、总结和节录（统称为“证据开示材料”）。证据开示材料包括《破产规则》和《联邦规则》所预期的纸质文件和电子存储信息，包括但不限于文字、图画、图表、表格、照片、录音、图像、存储在任何介质中的数据或数据汇编、证言、证物、证据开示答复以及所有其他表达媒介。\n\n2. 本命令不影响、修订或修改适用于任何提供方和/或接收方的任何现有保密协议或保护令，且本命令中的任何内容均不构成对该等协议或命令项下任何权利的放弃。\n\n3. 为免生疑问，本命令中的任何内容——包括某当事方为本命令之一方的事实——均不赋予或旨在赋予任何一方或非当事方为任何目的（包括与任何争议相关的目的）获取任何证据开示材料的权利。\n\n4. 在受制于提供方在本命令第9段、第10段和第18段项下的权利的前提下，经受托人同意，签署附件A并向受托人送交一份副本的任何非当事方均应被视为本命令的一方，享有并承担本命令签署各方的所有权利和义务。为进一步避免任何疑问，在签署附件A后成为“一方”的表述仅用于本命令的目的，无意反映关于该方诉讼当事人地位的任何协议。\n\n指定证据开示材料\n\n5. 任何提供方均可根据以下规定将证据开示材料指定为“机密材料”或“高度机密材料”（任何此类被指定的证据开示材料统称为“被指定材料”）：\n\n(a) 机密材料：如果提供方合理认为：(i) 该证据开示材料 (A) 构成或包含非公开的专有或机密的技术、商业、财务、个人或其他性质的信息，且该等信息依《破产规则》或《联邦规则》应当予以保护，或 (B) 依据法律或合同享有受法律保护的隐私权；或者 (ii) 提供方 (A) 对第三方负有将该证据开示材料作为机密处理的既有义务，或 (B) 已收到另一方或非当事方的合理请求以对此类证据开示材料作出上述指定，理由是该另一方或非当事方认为此类证据开示材料包含属于该方或非当事方的机密或专有信息，则提供方可将证据开示材料指定为“机密”。\n\n(b) 高度机密材料：如果提供方合理认为（或就从他人处收到的文件而言，已得到该他人的合理告知）：若将该证据开示材料披露给本命令第10段中确定的人员以外的人员，将产生人身安全、身份盗窃或竞争损害的风险，例如地址或其他敏感的个人身份信息、商业秘密、敏感财务或商业信息，或由一方的行业顾问、财务顾问、会计顾问、专家或其咨询顾问（及其各自的工作人员）准备的材料，则提供方可将证据开示材料指定为“高度机密”。尽管本命令中有任何相反规定，账户对账单、ACH（自动清算所）及电汇记录、支票副本以及由金融机构制作以记录账户余额和交易的类似记录（统称为“银行对账单”）并不会构成足以证明适用指定为“高度机密”的证据开示材料的高级别限制的人身安全、身份盗窃或竞争损害风险。在法院无进一步命令的情况下，银行对账单在本命令下不得被指定为“高度机密”。\n\n(c) 由另一方指定：任何一方均可根据第 5(a) 段和第 5(b) 段将任何证据开示材料指定为机密或高度机密，无论该方是否为最初披露或交换该证据开示材料的一方；在此种情况下，作出指定的一方就该证据开示材料而言应为提供方。\n\n(d) 未指定材料：在受制于各方在本命令第7段、第8段和第34段项下的权利和义务的前提下，任何一方均无义务或责任对非被指定材料的任何证据开示材料（下称“未指定材料”）予以保密或防止其被披露，除非该方实际知悉该证据开示材料的主题先前已根据本命令或任何其他保护令被指定为机密或高度机密。\n\n6. 指定证据开示材料的方式：在合理可行的情况下，提供方应通过在每个此类页面上按适用情况标注“机密”或“高度机密”的方式来指定任何被指定材料。此类标注不得涂抹或遮蔽所提供材料的内容。如果在该等材料的每个页面上进行标注在合理情况下不可行（例如某些原生格式文件），提供方可在提供此类材料时，以清晰且显著的方式告知接收方其属于“机密”或“高度机密”来进行材料指定，例如在文件名和/或所提供的 Relativity（或其他文件审阅平台）加载文件中包含此类指定（如适用）。在本命令签署之前根据关于该等证据开示材料将被视为“机密”或“高度机密”的协议而提供的证据开示材料，应根据本命令被视为“机密”或“高度机密”，即便该等证据开示材料未带有此类标注。\n\n7. 迟延指定证据开示材料：在提供材料时未能将特定证据开示材料指定为“机密”或“高度机密”，不得视为放弃提供方日后将该等证据开示材料指定为被指定材料或日后根据本命令适用其他指定的权利（“错误指定\n\nCase 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 7 of 21\n\n材料」）。届时，将对销毁错误定级材料、或向提供方退还错误定级材料的所有副本，以及在适当时替换为贴有正确标签的该等开示材料副本做出安排。在收到带有正确定级的该等错误定级材料的替换副本后，接收方应当采取一切合理措施退还或销毁此前提供该等错误定级材料的所有副本。如提供方提出要求，接收方应当以书面形式确认其已采取一切合理措施退还或销毁该等错误定级材料。如果在收到任何后续定级通知之前，开示材料的披露或使用方式与最初定级相符但与后续定级不符，任何一方均不得被视为违反本命令。然而，一旦做出该等后续定级，任何开示材料均应按照该后续定级进行处理；但前提是，如果在做出后续定级之时，未被定级的材料此前已被公开提交至法院，则任何一方均不受该后续定级的约束，但由未能做出定级的一方提出动议并由法院裁定的范围除外。\n\n保密或高度保密材料的使用与披露\n\n8. 对所有开示材料使用与披露的一般限制：受托人（Trustee）在履行其根据《破产法》（Bankruptcy Code）及本案指定命令所承担的职责和责任时，和/或由其他接收方在处理争议或本第 11 章案件（Chapter 11 Case）之目的时，所有开示材料均仅得在本法院使用，不得用于任何其他目的或在任何其他法庭（forum）使用，包括不属于争议且与本第 11 章案件无关的任何其他诉讼或司法程序，或任何商业、竞争、政府、经营或行政目的或职能。\n\n9. 保密材料：保密材料及其包含的任何和所有信息，仅可向以下人员提供、展示、供其查阅或传达给以下人员：\n\n- (a) 受托人；\n- (b) 签署了附件 A（Exhibit A）并已向受托人交付其副本的任何一方；以及\n- (c) 下文第 10 段中指定的任何其他人员。\n\n10. 高度保密材料：高度保密材料及其包含的任何和所有信息，仅可向以下人员提供、展示、供其查阅或传达给以下人员：\n\n- (a) 为以下主体服务的律师以及在该等律师的明确指示下工作的员工：\n\t- i. 受托人；\n\t- ii. 债权人委员会（Creditor's Committee）；\n\t- iii. 签署了附件 A 并已向受托人交付副本的任何一方；以及\n- (b) 根据《破产法》第 328 条和第 1103 条聘请的专业人士，以及本命令的签署方或已签署附件 A 的一方就争议或本第 11 章案件所聘请的行业顾问、财务顾问、会计顾问、专家和顾问（咨询人员）（及其各自的员工）；\n- (c) 从文件表面显示为文件的作者、收件人或抄送接收人、实际或预期的接收人，或者在会议纪要的情况下为会议出席人的任何人员；\n- (d) 取证质证（deposition）过程中的任何对立证人，且对证人进行询问的律师合理认为就该文件对证人进行询问是必要的，并且这样做不会造成竞争性或人身损害，但前提是\n\n取证笔录的相关部分本身被定级为高度保密，且不允许该证人保留该文件的副本，并且相关取证证物被定级为高度保密，并受制于第 12 段的规定；\n\n- (e) 处理争议或本第 11 章案件所必需的外部复印、图像制作服务或诉讼支持服务机构；\n- (f) 记录与争议或本第 11 章案件有关的取证质证或其他证词的法庭速记员、速记员或录像师；\n- (g) 因争议或本第 11 章案件可能引发的任何司法程序中的法院、其官员及文职人员；\n- (h) 为处理争议或本第 11 章案件而聘请的任何调解员及其员工；以及\n- (i) 提供方以书面形式或在取证质证记录中予以同意的任何其他个人或实体。\n\n11. 定级材料仅得按照第 9 段和第 10 段进行披露：高度保密材料及其包含的任何和所有信息，除提供给本命令第 10 段规定的人员外，不得以任何方式提供、展示、供其查阅、披露或传达。保密材料及其包含的实质性信息，除提供给本命令第 9 段规定的人员外，不得以任何方式提供、展示、供其查阅、披露或传达。\n\n12. 披露定级材料的前提条件：在允许本命令第 10(b)、10(d)、10(h) 或 10(i) 段所指明的任何人员或其代表查阅定级材料之前，应当向该人员或其代表提供本命令的副本，且其应当签署附于本命令后的附件 A。每一份经签署的附件 A 均应保存在\nCase 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 10 of 21\n\n向获得查阅权的人员提供定级材料查阅权的一方的律师卷宗中。针对第 10(a)(ii)、10(d)、10(h) 和 10(i) 段所指明的代表签署的附件 A 副本应提供给提供方，但针对第 10(b) 段所指明的代表签署的附件 A 副本除外。除非提出充分理由（good cause）证明并由法院下达命令，否则针对第 10(b) 段所指明的代表签署的该等附件 A 不得根据《联邦规则》（Federal Rules）或《破产规则》（Bankruptcy Rules）被要求披露。为免疑义，对于第 10(b) 段所指明的任何代表，可代表机构签署附件 A，而无需由该机构的每位相关个人签署附件 A。\n\n13. 向法院提交或呈递的定级材料的封存：除非提供方另有同意，向法院提交的所有定级材料，以及向法院提交的披露了高度保密或保密材料的诉状、动议或其他文件的所有部分，均应根据《联邦规则》、《破产规则》、《本地规则》（Local Rules）以及本法院的个别业务规则（individual practice rules）予以封存提交，但一方可自行选择提交包含定级材料的涂黑删节版诉状，只要诉状中涉及定级材料的部分已被涂黑删节，且该涂黑删节版诉状也是根据《本地规则》第 9077-1 条提交的。如果任何一方对该等材料的封存提出异议，提供方应承担为该等封存进行抗辩的举证责任。根据本段封存提交任何材料，不得被解释为承认该等材料根据本保护令或适用法律有权享有保密性，亦不得放弃任何一方在日后对该等定级或封存提出异议的权利。\n\n14. 在公开法庭上使用开示材料：除本段另有规定外，本命令中的披露限制不适用于任何一方在审理（trial）或在公开法庭举行的任何听证会上出示或以其他方式使用的任何开示材料。只要可行，作为\nCase 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 11 of 21\n\n任何庭前会议或关于在任何证据听证会中使用证物的任何会商讨论（meet and confer）的一部分，或者如果不可行，则在审理或在公开法庭举行的任何听证会中使用任何定级材料之前，希望在审理或在公开法庭举行的任何听证会上出示或使用该等定级材料的任何一方的律师，应当本着诚信原则与提供方进行会商讨论，以探讨对定级材料进行涂黑删节的方式，从而使该材料可以由任何一方根据《破产法》和《破产规则》的规定予以出示或以其他方式使用。如果各方无法解决与该等定级材料相关的争议，提供方应承担向法院请求适当救济的举证责任。在法院就该等问题做出裁决之前，定级材料应继续按照其定级以及本命令的条款予以对待。\n\n取证质证与第 2004 条规则调查\n\n15. 取证质证与第 2004 条规则调查证词——定级方式：在取证质证的情况下，如果一方的律师认为在取证质证中提供的部分证词应当属于该方的定级材料，则可通过以下方式酌情对该证词进行定级：(a) 在记录中口头予以陈述，并要求仅将证词的相关部分进行如此定级；或 (b) 在该方收到法庭速记员出具的最终笔录后十（10）天内发出书面通知，说明仅将该等笔录或取证录像的相关部分进行如此定级，但如果就相关问题举行的听证会预定在收到最终笔录后的十（10）天内发生，则前述十（10）天期限将缩短为五（5）个工作日。如果就相关问题举行的听证会或提交诉状的截止日期与取证质证的时间非常临近，以至于五个工作日的期限不可行，则出于在听证会上或随诉状使用的目的，整个笔录应被定级为定级材料，随后上述十（10）天期限应适用于进一步的定级。在各方收到最终笔录后上述定级期限（视适用情况而定）届满之前，\nCase 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 12 of 21\n\n所有取证笔录和录像均应被视为并按照高度保密级别对待，除非任何一方的律师在取证质证记录中另有明确说明。\n\n16. 取证质证期间作为证物使用的定级材料：第 15 段中的任何内容均不得适用于或影响在取证质证中作为证物引入的开示材料的保密定级。\n\n17. 证人对取证质证证词的审阅：本命令第 15 段中的任何内容均不得排除证人审阅其本人的取证笔录。\n\n18. 取证质证证词进行期间的人员在场：在取证质证期间引出定级材料时，根据本命令的条款无权接收该等信息的人员，经请求后，应从取证质证被如此定级的部分中回避（退场）。在从包含定级材料的任何取证质证部分回避后，如果该等人员希望接收包含定级材料的取证证词的书面记录或其他录制品，该等人员必须成为本命令的一方。\n\n19. 法庭速记员的职责与义务：若证言被指定为「机密」或「高度机密」，首先须已同意遵守本段条款的法庭速记员，应被指示在每份此类笔录的封面上加注以下标识字样：“本笔录部分包含受保护令约束的信息，仅得根据该保护令予以使用”，且笔录的每一页均应视情况加注“机密”或“高度机密”标识字样。若对宣誓录供进行录音录像，若笔录本身的任何部分被如此指定，则该录音录像亦应受到与笔录相同级别的机密性约束，并视情况包含“机密”或“高度机密”标识字样。在任何宣誓录供中进行询问的当事人，应在宣誓录供开始之前，要求法庭速记员同意对宣誓录供中引入的所有指定材料保持机密性。在宣誓录供中进行询问的每位律师，仅得向根据本命令条款获准接收所述指定材料的该等当事人分发作为证据展示使用的指定材料的副本。\n\n一般规定\n\n20. 除非当事人另有协议或由法院命令，否则本命令中的所有截止日期和期限均应依据 Bankruptcy Rule 9006（《破产规则》第9006条）进行计算。\n\n21. 本命令是一项旨在保护被指定为指定材料的开示材料的程序性机制。本命令中的任何内容均不得影响任何当事人与开示材料的机密性无关的任何权利或义务。\n\n22. 就本命令而言，“书面形式”应包括电子邮件。\n\n23. 本命令所包含的任何内容均不得视为任何当事人放弃或放弃主张任何异议，包括但不限于：关于一方当事人所要求的任何文件、信息或数据具有所谓机密性或专有性质的任何异议；对任何开示请求提出异议的任何权利；以任何理由对证据的可采性提出异议的任何权利；寻求任何进一步保护令的任何权利；或以任何理由通过发出通知的申请向本法院或任何其他适用法院就本命令的任何规定寻求救济的任何权利。\n\n24. 指定材料的未经授权披露：如果接收方当事人向未获本命令授权接收此类指定材料的个人或实体披露了指定材料，做出未经授权披露的接收方当事人在得知该披露后应：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；立即尽合理努力收回或销毁所披露的指定材料，并阻止接受披露的个人或实体进一步传播或使用；以及立即将接受披露的个人或实体的身份、围绕披露的情况以及为收回或销毁所披露的指定材料并确保防止其进一步传播或使用而采取的措施通知提供方当事人。未按照本命令条款披露指定材料可能使披露人受到法院认为适当的制裁和救济。\n\n25. 对指定材料提出异议的方式：若任何接收方当事人对任何指定材料的指定提出异议，接收方当事人应首先以书面形式向提供方当事人提出异议，并进行善意协商以试图解决有关本命令条款或运作的任何争议。若接收方当事人与提供方当事人无法解决其争议，接收方当事人可向法院寻求救济。在法院对此类问题作出裁定之前，指定材料应继续按照其指定予以对待。经提出动议，法院可命令从受本命令规定约束的被如此指定的任何开示材料中移除“机密”或“高度机密”的指定。\n\n26. 对指定材料提出异议的时间：接收方当事人没有义务在做出“机密”或“高度机密”指定时对其适当性提出质疑，未在此时间提出质疑并不妨碍随后对此提出质疑。任何当事人在开示期间未对提供方当事人将开示材料指定为“机密”或“高度机密”提出质疑，并不构成该当事人在证据听证会或审判中对该指定提出异议的权利的放弃。\n\n27. 特权开示材料的提供：依据 Federal Rules of Evidence（《联邦证据规则》）第 502(d) 条，若提供方当事人无意中提供了其随后善意声称因特权（包括但不限于律师-委托人保密特权）或其他保护（如律师工作成果保护）而不应提供的材料，则该材料的提供不得被视为构成放弃任何适用的特权或保护。在此种情况下，当提供方当事人知悉已提供享有特权或受保护的材料时，其必须通知接收方当事人，并根据提供方当事人的选择，要求退还或销毁所提供的材料。在收到此类通知后三（3）个工作日内，接收方当事人应按指示退还或销毁并确认销毁所有此类提供的材料，包括在任何接收方当事人工作成果中的所有副本、笔记和/或摘要。接收方当事人不得出于任何目的使用此类材料的内容，包括用于寻求强迫提供所提供材料的任何努力中。若接收方当事人在收到通知前披露了所提供的材料，则接收方当事人必须采取合理措施取回所提供的材料。此类退还或销毁以及销毁确认并不妨碍接收方当事人出于其提供行为之外的原因寻求强迫提供该提供材料。此外，本命令不应阻止任何当事人对将此类材料指定为享有特权或受保护提出质疑，并提出动议以强迫提供据称享有特权或受保护的文件。\n\nCase 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 15 of 21\n\n28. 对特权认定的质疑：接收方当事人没有义务在主张特权认定时对其适当性提出质疑，未在此时间提出质疑并不妨碍随后对此提出质疑。若接收方当事人希望对提供方当事人做出的一项或多项特权指定提出质疑，各方当事人应首先会面并进行善意协商，以努力解决有关任何被质疑的特权指定的任何争议。若各方当事人无法就一项或多项特权指定的适当性达成一致，质疑特权指定的一方当事人可将该争议提交法院。任何一方当事人均不得主张本段规定的会面与协商程序构成对声称受保护免于披露的任何文件的律师-委托人保密特权或律师工作成果的放弃。尽管本命令有任何规定，本命令中的任何条款（包括本第28段）均不得取代或废除以下文件中的任何条款：\n\nCase 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 16 of 21\n\n《关于与第2004条传票调取的文件和信息相关的律师-委托人特权和工作成果保护控制权的同意命令》（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. 非开示材料的使用：如果任何当事人拥有的本应构成开示材料的文件或信息：(i) 系当事人通过合法途径且在不违反向任何其他人承担的保密义务的非保密基础上收到或获取；(ii) 系该当事人在不违反其在本命令项下义务的情况下独立开发；或 (iii) 系以不违反本命令或向包括当事人在内的任何其他人承担的保密义务的方式公布或成为公众可获取的（统称为“非开示材料”），则本命令中的任何内容均不限制当事人为任何目的使用非开示材料的能力，包括在宣誓录供、听证会、审判中，或在与任何争议或本 Chapter 11 Case（第11章案件）相关的其他方面使用。\n\n30. 保密协议与保护令的持续适用性：对于任何保留的开示材料，本命令的条款在争议最终终止以及 Debtor（债务人）脱离破产后继续有效。争议的最终终止以及债务人脱离破产，不得免除律师或本命令项下承担义务的其他人员依据本命令维持开示材料机密性的责任，且法院应保留执行本命令条款的管辖权。\n\n31. 保密协议与保护令的修改：经出具充分理由并通知所有当事人后，任何当事人可随时提出动议修改本命令的条款，或者提供方当事人和 Trustee（受托人）可通过书面约定共同同意（在适用的情况下受制于法院的进一步命令）就该提供方当事人所提供的开示材料修改本命令的条款。\n\nCase 22-50073 Doc 3264-1 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 17 of 21\n\n32. 在其他程序中披露开示材料：任何可能受到寻求披露提供方当事人的开示材料的动议或其他形式的法律程序或任何监管程序、要求或请求约束的接收方当事人：(i) 应在合理可行的情况下尽快通知提供方当事人（除非适用法律禁止此类通知），以使其有机会出庭并就该信息是否应当披露陈述意见；以及 (ii) 在没有阻止此类法律要求的披露的法院命令的情况下，接收方当事人应仅被允许披露法律要求披露的那部分信息，并应以书面形式将此类信息的机密性质告知向其披露此类信息的任何人。\n\n33. 提供方当事人对开示材料的使用：本命令中的任何内容均不影响任何提供方当事人以任何方式使用或披露其自身开示材料的权利。此类披露（除公开提交其自身的开示材料外）不会放弃本命令的保护，且在符合第29段的前提下，不会以其他方式使其他当事人、非当事人或其律师有权违反本命令使用或披露此类开示材料。\n\n34. 当事人的义务：本命令中的任何内容均不得免除当事人在 Federal Rules（《联邦规则》）、Bankruptcy Rules（《破产规则》）、Local Rules（《本地规则》）或任何未来的约定和命令项下，关于提供文件或就与任何争议相关的开示请求作出及时答复的义务。\n\n35. 律师的法律咨询意见：本命令中的任何内容均不得阻止或以其他方式限制律师就争议向其客户提供法律咨询意见，并在该过程中依赖对开示材料的审查；但是，在提供此类法律咨询意见以及以其他方式与该等客户沟通时，律师不得以任何与本文规定的限制或程序不一致的方式对任何信息进行具体披露\n\n36. 先前协议：本裁定的各项规定和要求应构成交换和使用与任何争议相关所提供的指定材料的排他性途径。\n\n37. 执行：本裁定的规定构成本法院的一项裁定，违反本裁定规定的行为将以与本法院任何其他裁定相同的方式予以强制执行并施加法律制裁。\n\n38. 根据 11 U.S.C. § 107(c)(3)，United States Trustee（美国破产受托人）享有对本案案卷中归档或提交给法院的任何信息和/或文件的完全查阅权的法定推定权利，且与此一致的是，美国破产受托人保留寻求查阅任何已提交或密封归档之文件的所有权利。美国破产受托人应遵守 11 U.S.C. § 107(c)(3)(B) 规定的义务。\n\n特此裁定，于康涅狄格州布里奇波特（Bridgeport, Connecticut），2024 年 ____ 月 ____ 日。\n\nJulie A. Manning，美国破产法官\n\n____________________________________\n附件 A\n\n声明书\nUNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国康涅狄格区破产法院布里奇波特分院）\nx\n关于： : 第 11 章\nHO WAN KWOK（郭文贵）， : 案号 22-50073 (JAM)\n债务人。1 :\nx\n确认并同意受保护令约束之声明书\n\n本人，在接受伪证罪处罚的前提下声明（本“声明书”）：1. 本人的地址为 2. 本人目前的雇主为 _ 。3. 本人目前的职业或职务描述为 。4. 本人特此证明并同意，本人已阅读并理解于 2022 年 月 日在康涅狄格区破产法院审理的 In re: Ho Wan Kwok（关于：郭文贵），案号 22-50073 (JAM) 中作出的保护令（“本裁定”）的各项条款。本声明书中未另行定义的所有首字母大写术语均具有本裁定赋予该等术语的含义。本人进一步证明，本人不会将指定材料用于除第 11 章案件之外的任何目的，且不会出于除第 11 章案件之外的任何目的披露或导致指定材料被披露，亦不会向未获本裁定明确允许接收指定材料的任何人披露或导致指定材料被披露。\n\n1 尽管债务人的法定姓名为 Ho Wan Kwok，但他也以郭文贵（Guo Wengui）、Miles Guo 和 Miles Kwok 以及许多其他化名为人所知。债务人纳税人识别号的后四位数字为 9595。\n\n本人同意受本裁定条款和条件的约束。\n\n- 5. 本人理解，无论在住所还是在工作场所，本人均须对所有未获明确允许接收指定材料的个人保密任何指定材料的所有副本，并且本人将严格按照与本裁定一致的方式妥善保管该等材料。本人确认，归还或销毁指定材料并不免除本裁定施加于本人的任何其他持续性义务。\n- 6. 本人确认并同意，本人知晓由于接收指定材料：\n\t- a. 本人可能会接收到关于发行证券的公司的重大非公开信息；且\n\t- b. 存在相关法律（包括联邦证券法），该等法律可能会因接收此类信息而限制或禁止买卖此类公司的证券。\n- 7. 本人仅就本裁定的各项规定服从本法院的管辖权。\n\n日期：\n\n签名：","key_entities":[],"ecf_references":[],"word_count":5917,"status":"published","published_at":"2024-06-20 00:00:00","created_at":"2024-06-20","updated_at":"2026-08-23 07:46:39"}