{"id":"court_sdny_3264_2","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）。修改后的保护令由Chapter 11 Trustee Luc Despins等当事人协议实施，规范破产诉讼中发现程序材料的处理与保密。","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 agreed to by Chapter 11 Trustee Luc Despins and other parties to regulate disclosure, handling, and confidentiality of discovery material in the bankruptcy proceeding.","body_en":"22\n\n*[Different first page setting changed from off in original to on in modified.].*\n\n# **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n|              | x      |                         |\n|--------------|--------|-------------------------|\n|              | :      |                         |\n| In re:       | :      | Chapter<br>11           |\n| HO WAN KWOK, | :<br>: | Case No. 22-50073 (JAM) |\n| Debtor.1     | :<br>: | Re: ECF No. 874         |\n|              | :      |                         |\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](#page-0-1) 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<span id=\"page-0-0\"></span> <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<span id=\"page-0-1\"></span><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 chapterChapter 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 hereby 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). 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,\n\n### Case 22-50073 Doc 3264-2 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 6 of 22\n\nthe designating Party shall be a Producing Party with respect to that Discovery Material.\n\n(d) Undesignated Material: Subject to the rights and obligations of the Parties under Paragraphs 7, 8 and 34 of this Order, no Party shall have any obligation or duty to maintain as confidential or prevent from disclosure any Discovery Material that is not Designated Material (\"Undesignated Material\"), unless that Party has actual knowledge that the subject of the Discovery Material has been previously designated as Confidential or Highly Confidential pursuant to this Order or any other protective order.\n\n6. Manner of Designating Discovery Material: Where reasonably practicable, any Designated Material shall be designated by the Producing Party as such by marking each such page \"Confidential\" or \"Highly Confidential\" as applicable. Such markings should not obliterate or obscure the content of the material that is produced. Where marking of every page of such materials is not reasonably practicable, such as with certain native file documents, a Producing Party may designate material as \"Confidential\" or \"Highly Confidential\" by informing the Receiving Party in a clear and conspicuous manner at the time of production of such 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\n### Case 22-50073 Doc 3264-2 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 7 of 22\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\n\n### Case 22-50073 Doc 3264-2 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 8 of 22\n\nsolely 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 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; and\n\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- iii. 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\n*[Link-to-previous setting changed from off in original to on in modified.].*\n\n9\n\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 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\n\n*[Link-to-previous setting changed from off in original to on in modified.].*\n\nRules 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\n\nProducing 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 Parties, all deposition transcripts and recordings shall be considered and treated as Highly Confidential unless otherwise specified by counsel to any Party on the record at the deposition.\n\n16. Designated Material Used As Exhibits During Depositions: Nothing in Paragraph 15 shall apply to or affect the confidentiality designations on Discovery Material entered as exhibits at depositions.\n\n17. Witness Review of Deposition Testimony: Nothing in Paragraph 15 hereof shall preclude the witness from reviewing his or her deposition transcript.\n\n18. Presence of Persons During Deposition Testimony: When Designated Material is elicited during a deposition, persons not entitled to receive such information under the terms of this Order shall, upon request, be excluded from the portion of the deposition so designated. After such exclusion from the portion of any deposition containing Designated Material, if such persons wish to receive written or other recordings of the deposition testimony containing Designated Material, such persons must become a Party to this Order, 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 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,\n\n15\n\nincluding but not limited to the attorney-client privilege, or other protection, such as work-product protection, the production of that material shall not be deemed to constitute the waiver of any applicable privileges or protections. In such circumstances, when the Producing Party becomes aware that privileged or protected material was produced, it must notify the Receiving Party and request, at the Producing Party's election, either the return or the destruction of the produced material. Within three (3) business days after receiving such notification, the Receiving Party shall, as instructed, return or destroy and confirm destruction of all such produced material, including all copies, notes, and/or summaries thereof in any Receiving Party work product. The Receiving Party shall not use the contents of such material for any purpose, including in connection with any effort seeking to compel production of the produced material. The Receiving 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\n\nCourt. 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 obligation 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, 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\n\n18\n\n### Case 22-50073 Doc 3264-2 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 19 of 22\n\non 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 6th\\_\\_\\_\\_ day of October, 2022\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_, 2024.\n\n> Julie A. Manning, United States Bankruptcy Judge\n\n\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\n\n# **Exhibit A**\n\n**Declaration**\n\n*[Link-to-previous setting changed from off in original to on in modified.].*\n\n22\n\n*[Different first page setting changed from on in original to off in modified.].*\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 (JAM) |\n| Debtor.1     | :<br>: |                         |\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:\n\n- 1. My address is\n- 2. My present employer is .\n\n3. My present occupation or job description is .\n\n4. 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. 22-5007322-50073 (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\n\n<span id=\"page-20-0\"></span> <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>[</sup>Different first page setting changed from on in original to off in modified.]. [Link-to-previous setting changed from off in original to on in modified.].*\n\nwill not disclose or cause Designated Material to be disclosed to anyone not expressly permitted by the Order to 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\n7. I stipulate to the jurisdiction of this Court solely with respect to the provisions of the Order.\n\nDate:\n\nSignature:\n\n*[Different first page setting changed from on in original to off in modified.]. [Link-to-previous setting changed from off in original to on in modified.].*","body_zh":"[修改版中将首页不同设置由原版的关改为开。]\n\n美国康涅狄格区破产法院布里奇波特分院 (UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION)\n\nx\n关于：\n第 11 章\n|\nHO WAN KWOK（郭文贵），\n案号：22-50073 (JAM)\n债务人。1\n关于：ECF No. 874\nx\n\n修改后保护令 (MODIFIED PROTECTIVE ORDER)\n\n本保护令（“本命令”）由以下各方共同订立：(a) Luc Despins（卢克·德斯宾斯），作为被指定的债务人财产第 11 章破产受托人（“受托人”）；以及 (b) 通过签署本命令附件 A (Exhibit A) 表示同意而受本命令约束的任何其他个人或实体。前述 (a) 和 (b) 项中指明的每一个人或实体在本命令中单称为“一方”，统称为“各方”。2 本命令依据《美国法典》第 11 篇第 107(b) 条（11 U.S.C. § 107(b)）及《联邦破产程序规则》（“《破产规则》”）第 9018 条作出，并在适用情况下依据《破产规则》第 7026 条和第 9014 条以及《联邦民事诉讼规则》（“《联邦规则》”）第 26(c) 条作出。\n\n1 尽管债务人的法定姓名是 Ho Wan Kwok，但他也以郭文贵（Guo Wengui）、Miles Guo 以及 Miles Kwok 等众多其他化名为人所知。债务人纳税人识别号的后四位是 9595。\n\n2 “一方”的称谓仅用于本命令中的指引目的。\n\n叙事部分 (Recitals)\n\n鉴于，债务人已向本法院根据《美国法典》第 11 篇第 101 至 1532 条（《破产法典》）第 11 章提交了自愿申请（因该申请而启动的案件称为“第 11 章案件”）；且在本法院面前正在进行或可能进行司法程序或其他程序，包括但不限于因《破产法典》引起的或在第 11 章案件中引起的或与之相关的调查、争议事项、对抗性诉讼及其他争议（每一项称为“争议”，统称为“各项争议”）；\n\n鉴于，法院通过准许美国联邦受托人根据 11 U.S.C. § 1104(d) 提出的批准指定第 11 章破产受托人的申请，授权了对受托人的指定；\n\n鉴于，各方已就一项或多项争议向彼此寻求或可能寻求某些证据开示材料（定义见下文），包括通过非正式或正式请求、第 2004 条通知或动议，或送达《联邦规则》、《破产规则》以及《美国康涅狄格区破产法院破产程序本地规则》（“《本地规则》”）所规定的文件请求、质询书、宣誓口供调取、传票及其他证据开示请求（统称为“证据开示请求”）；且\n\n鉴于，各方预计，在第 11 章案件进行期间，除本协议各方之外，某些其他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，现在，为了便利并加快证据开示材料的提供、交换和处理，并保护一方意图作为机密材料或高度机密材料（定义见下文）予以维持的证据开示材料，特此达成协议，并在法院批准后，特此下令：以下条款将统摄对于证据开示材料（定义见下文）的任何请求、提供和处理：\n\n命令范围 (Scope of Order)\n\n1. 本命令统摄一方（每一方称为“提供方”）以正式或非正式方式，在争议事项或对抗性诉讼提起之前或之后，在听证会前交换证据时，和/或为了回应任何证据开示请求或与任何证据开示请求相关联，向任何其他方（每一方称为“接收方”）披露或交换与本第 11 章案件及本法院审理的相关争议有关的所有信息和文件，包括但不限于宣誓口供证言（无论是基于口头询问还是书面问题）；质询书；质询答复；自认请求；自认答复；所提供的文件、信息和实物，以及其任何和所有副本、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，包括但不限于存储在任何介质中的文字、图画、图表、表格、照片、录音、图像、数据或数据编译，证言、证据、证据开示答复以及所有其他表达介质。\n\n2. 本命令不影响、修改或变更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此类协议或命令项下任何权利的放弃。\n\n3. 为免生疑义，本命令中的任何内容——包括某一方是本命令的当事方这一事实——均不赋予或旨在赋予任何一方或非当事方出于任何目的（包括与任何争议相关）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 条、第 10 条和第 18 条项下权利的前提下，经受托人同意，任何签署附件 A 并向受托人交付一份副本的非当事方，应被视为本命令的当事方，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义，提及在签署附件 A 后成为“一方”仅出于本命令的目的，并非旨在体现关于该方作为诉讼当事人地位的任何协议。\n\n标定证据开示材料 (Designating Discovery Material)\n\n5. 任何提供方均可根据下列规定将证据开示材料标定为“机密材料”或“高度机密材料”（任何此类被标定的证据开示材料称为“标定材料”）：\n\n(a) 机密材料：提供方如果合理认为存在以下情况，可将证据开示材料标定为“机密”：(i) 该证据开示材料 (A) 构成或包含根据《破产规则》或《联邦规则》应当予以保护的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，或 (B) 依据法律或合同享有受法律保护的隐私权；或 (ii) 提供方 (A) 对第三方承担将该证据开示材料视为机密处理的既有义务，或 (B) 受到另一方或非当事方的合理请求要求如此标定该证据开示材料，理由是该另一方或非当事方认为该证据开示材料包含对该方或非当事方而言属于机密或专有的信息。\n\n(b) 高度机密材料：如果提供方合理认为（或对于从其他人处收到的文件，已得到该其他人的合理告知）该证据开示材料具有如下性质，即如果向本命令第 10 条指明的人员以外的人员披露该证据开示材料，将会造成人身安全风险、身份盗用风险或竞争损害风险（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[及其各自工作人员]准备的材料），则提供方可将该证据开示材料标定为“高度机密”。尽管本命令中有任何相反规定，由金融机构制作以记录账户余额和交易的账户对账单、ACH 及电汇记录、支票副本及类似记录（统称为“银行对账单”）并不会造成足以需要适用针对标定为“高度机密”的证据开示材料的加严限制的人身安全风险、身份盗用风险或竞争损害风险。在法院另有命令之前，银行对账单在本命令项下不得被标定为“高度机密”。\n\n(c) 由另一方标定：任何一方均可根据第 5(a) 条和第 5(b) 条将任何证据开示材料标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；在发生此种情况时，\n\n案件 22-50073 文档 3264-2 提交于 06/20/24 录入于 06/20/24 12:01:13 第 6 页，共 22 页\n\n做出标定的一方就该证据开示材料而言应为提供方。\n\n(d) 未标定材料：在受制于各方在本命令第 7 条、第 8 条和第 34 条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标定材料的任何证据开示材料（“未标定材料”）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此前已根据本命令或任何其他保护令被标定为机密或高度机密。\n\n6. 证据开示材料的标定方式：在合理可行的情况下，任何标定材料应由提供方通过在每一页上注明适用的“机密”或“高度机密”字样来予以标定。此类标记不应涂抹或遮挡所提供材料的内容。如果在每一页此类材料上进行标记并非合理可行（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醒目的方式告知接收方该材料为“机密”或“高度机密”，从而将材料标定为“机密”或“高度机密”，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标定（如果适用）。在本命令签署之前根据将此类证据开示材料视为“机密”或“高度机密”处理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”，即使此类证据开示材料未带有此类标记。\n\n案件 22-50073 文档 3264-2 提交于 06/20/24 录入于 06/20/24 12:01:13 第 7 页，共 22 页\n\n7. 开示材料的迟延定级：在提供材料时未能将特定开示材料（Discovery Material）指定为“保密”（Confidential）或“高度保密”（Highly Confidential），不构成提供方（Producing Party）放弃根据本裁定（Order）在日后将此类开示材料指定为定级材料（Designated Material）或在日后适用其他级别指定（下称“错误定级材料”，Misdesignated Material）的权利。届时，应作出安排销毁该错误定级材料，或将该错误定级材料的所有副本退还给提供方，并在适当时替换为附有妥当标注的该等开示材料副本。接收方（Receiving Party）在收到附有妥当级别指定的该等错误定级材料的替换副本后，应采取一切合理措施退还或销毁此前提供的该等错误定级材料的所有副本。如提供方提出要求，接收方应书面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，此类开示材料被以符合其原定级别但不符合其后续定级别的方式进行了披露或使用，任何一方均不得被视为违反本裁定。然而，一旦作出此类后续定级，任何开示材料均应按照该后续定级进行处理；但前提是，如果未定级的材料在后续定级之时此前已向法院公开提交，则任何一方均不受该后续定级约束，但由未能作出定级的一方提出动议（motion）并由法院裁定的除外。\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：所有开示材料应由受托人（Trustee）在履行其在《美国破产法典》（Bankruptcy Code）及本案指定裁定项下的职责和责任时使用，及/或由其他接收方\nCase 22-50073 Doc 3264-2 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 8 of 22\n\n仅在本法院用于争议（Dispute）或第11章案件（Chapter 11 Case）之目的，而不得用于任何其他目的或在任何其他裁判机构中使用，包括任何不属于争议且与本第11章案件无关的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及所有信息，仅可提供、出示、提供查阅或传达给以下人员：\n\n- (a) 受托人；\n- (b) 已签署附件A（Exhibit A）并向受托人交付其副本的任何当事方，前提是获得提供方的同意，该同意不得被无理拒绝。为免疑义，就根据第9段、第10段和第18段给予或拒绝给予接收或查阅定级材料的同意而言，提供方在以下范围内应包括个人或实体：(i) 由该个人或实体的现任或前任专业机构提供的文件，以及 (ii) 由金融机构提供的与该个人或实体的账户相关的文​​件；以及\n\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及所有信息，仅可提供、出示、提供查阅或传达给以下人员：\n\n- (a) 以下各方的律师以及在此类律师明确指示下工作的工作人员：\n\t- i. 受托人；\n\t- ii. 债权人委员会（Creditor's Committee）；\n- iii. 签署了附件A并向受托人交付了副本的任何当事方，前提是获得提供方的同意，该同意不得被无理拒绝；以及\n- (b) 根据《美国破产法典》第328条和第1103条聘请的专业人员，以及由本裁定的签署方或由已签署附件A的当事方（前提是获得提供方的同意，该同意不得被无理拒绝）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、专家和咨询顾问（及其各自的工作人员）；\n- (c) 文件表面载明为该文件的作者、收件人或抄送人、实际或预定接收人的人员，或者在会议纪要的情况下，会议的出席人员；\n- (d) 宣誓录供（deposition）过程中的任何敌对证人，只要对该证人进行质询的律师合理认为就该文件对证人进行质询是必要的，且这样做不会造成竞争性或人身损害，前提是录供笔录的相关部分本身被指定为高度保密，证人不得保留该文件的副本，且相关录供证据标的物被指定为高度保密，并受第12段的约束；\n- (e) 外部复印、图表制作服务或诉讼支持服务，以与争议或本第11章案件相关的必要使用为限；\n\n[前向链接设置在原件中已由关更改为开。]\n- (f) 记录与争议或本第11章案件相关的录供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章案件而可能产生的任何司法程序中的法院、其官员和书记官工作人员；\n- (h) 就争议或本第11章案件聘请的任何调解员及其工作人员；以及\n- (i) 提供方可能以书面形式或在录供记录中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段予以披露：高度保密材料及其包含的任何及所有信息，均不得以任何方式提供、出示、提供查阅、披露或传达，但本裁定第10段规定的人员除外。保密材料及其包含的实质性信息，均不得以任何方式提供、出示、提供查阅、披露或传达，但本裁定第9段规定的人员除外。\n\n12. 披露定级材料的前提条件：在向本裁定第10(b)段、第10(d)段、第10(h)段或第10(i)段所指明的任何人员或其代表提供查阅定级材料的权限之前，应向该人员或其代表提供本裁定的一份副本，且其应签署本裁定所附的附件A。每份此等已签署的附件A均应保存在向该获得查阅权限的人员提供定级材料查阅权限的当事方律师的卷宗中。对于第10(a)(ii)段、第10(d)段、第10(h)段和第10(i)段所指明的代表（但不包括第10(b)段所指明的代表），此等已签署的附件A的副本应提供给提供方。对于第10(b)段所指明的代表，此等已签署的附件A不得根据《联邦民事诉讼规则》（Federal Rules）\n\n[前向链接设置在原件中已由关更改为开。]\n\n或《联邦破产诉讼规则》（Bankruptcy Rules）予以披露，除非证明有充分理由且法院作出相应裁定。为免疑义，对于第10(b)段所指明的任何代表，附件A可由机构代表签署，而无需该机构的每位相关个人签署附件A。\n\n13. 向法院提交或呈交的定级材料的封存：除提供方另有约定外，向法院提交的所有定级材料，以及向法院提交的披露高度保密或保密材料的诉状、动议或其他文书的所有部分，均应根据《联邦民事诉讼规则》、《联邦破产诉讼规则》、《本地规则》（Local Rules）以及本法院的个别办案规程予以封存提交，但当事方可自行选择提交包含定级材料的涂黑删改后诉状，只要诉状中涉及定级材料的部分已被涂黑删改，且该涂黑删改后的诉状亦是根据《本地规则》第9077-1条提交的。如果任何当事方对此类材料的封存提出异议，提供方应承担为该封存进行辩护的举证责任。根据本段封存提交任何材料不得被解释为承认该材料在本保护令（Protective Order）或适用法律项下有权享有保密性，且不得放弃任何当事方日后对此类定级或封存提出异议的权利。\n\n14. 在公开法庭中使用开示材料：除本段另有规定外，本裁定中的披露限制不适用于任何当事方在审判或在公开法庭举行的任何听证会中提出或以其他方式使用的任何开示材料。在可行的情况下，作为就任何证据听证会中证据标的物的使用进行的任何庭前会议或任何会商协商（meet and confer）的一部分，或者如果不可行，在审判或将在公开法庭举行的任何听证会中使用任何定级材料之前，希望在审判或将在公开法庭举行的任何听证会中提出或使用此类定级材料的任何当事方的律师，应与\n\n提供方进行善意会商协商，以探讨涂黑删改定级材料的方式，以便任何当事方可以根据《美国破产法典》和《联邦破产诉讼规则》的规定提出或以其他方式使用该材料。如果各方无法解决与此类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。在法院就该问题作出裁定之前，该定级材料应继续根据其定级并按照本裁定的条款进行处理。\n\n录供与第2004条质询\n\n15. 录供与第2004条质询证词——定级方式：在录供的情况下，如果一方律师认为在录供时作出的证词的一部分应属于该方的定级材料，该证词可通过以下方式进行适当定级：(a) 在记录中口头说明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）日内提供书面通知，说明仅将该录供笔录或录音的相关部分进行如此定级，但如果有关相关问题的听证会预定在收到最终笔录后十（10）日内举行，则上述十（10）日的期限将缩短为五（5）个工作日。如果关于相关问题的听证会或诉状提交截止日期预定在距离录供如此临近的时间发生，以致五（5）个工作日的期限不可行，则就听证会使用或随诉状使用的目的而言，笔录全文应被指定为定级材料，且上述十（10）日的期限随后应适用于进一步定级。在当事各方收到最终笔录后的上述定级期限（如适用）届满前，所有录供笔录和录音均应被视为并按高度保密处理，除非任何一方律师在录供时的记录中另有明确说明。\n\n16. 在录供期间作为证据标的物使用的定级材料：第15段中的任何内容均不适用或影响在录供中作为证据标的物提交的开示材料上的保密定级。\n\n17. 证人查阅录供证词：本裁定第15段中的任何内容均不得阻止证人查阅其录供笔录。\n\n18. 宣誓录供证言期间人员在场：在宣誓录供（deposition）期间获取指定材料时，根据本命令条款无权接收此类信息的人员，经请求，应从被指定为此类材料的录供部分中予以排除。在从包含指定材料的任何录供部分被排除后，若此类人员希望接收包含指定材料的录供证言书面记录或其他记录，此类人员必须成为本命令的当事方，且接收此类指定材料须经制作方同意，该同意不得被无理拒绝。\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，在事先已同意遵守本段条款的情况下，法庭速记员应被指示在每份此类笔录的封面上标注说明：“本笔录部分包含受保护令约束的信息，且仅得依照该保护令使用”，并且笔录的每一页均应视情况标注说明“机密”或“高度机密”。如果宣誓录供进行了录像/录音，若笔录本身的任何部分被如此指定，则录像/录音亦应受与笔录相同级别的保密性约束，并视情况包含“机密”或“高度机密”的说明。在任何宣誓录供中，进行提问的当事方应在录供开始前，要求法庭速记员同意对录供中引入的所有指定材料进行保密。在宣誓录供中，每位提问律师仅得将用作证物的指定材料的副本分发给根据本命令条款获准接收所述指定材料的当事方。\n\n一般条款\n\n20. 除非当事各方另有约定或法院另有命令，本命令中的所有截止日期和期间均应依照 Bankruptcy Rule 9006（《破产程序规则》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影响任何当事方与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方放弃或放弃主张任何异议，包括但不限于：关于一方当事人所请求的任何文件、信息或数据的所谓的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；基于任何理由对证据的可采性提出异议的任何权利；寻求进一步保护令的任何权利；或基于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条款寻求救济的任何权利。\n\n24. 未经授权披露指定材料：若接收方将指定材料披露给未获本命令授权接收此类指定材料的个人或实体，进行未经授权披露的接收方在获悉该披露后应：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；立即作出合理努力以追回或销毁已披露的指定材料，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、披露发生的相关情况、以及为追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材料而采取的措施通知制作方。未依照本命令条款披露指定材料的行为，可能使披露人受到法院认为适当的制裁和补救措施。\n\n25. 对指定材料提出异议的方式：若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制作方提出异议，并真诚协商以试图解决有关本命令条款或运作的任何争议。如果接收方与制作方无法解决其争议，接收方可以向法院寻求救济。在法院就该问题作出裁决之前，指定材料应继续按照其指定级别予以对待。经提出动议，法院可命令从受本命令条款约束且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：接收方没有义务在作出“机密”或“高度机密”指定之时对该指定的正当性提出异议，未在该时间提出异议并不排除日后对此提出异议。在证据开示期间，任何当事方未对制作方将开示材料指定为“机密”或“高度机密”提出异议，不得视为该当事方放弃在证据听证会或审判中对此类指定提出异议的权利。\n\n27. 特权开示材料的制作：根据 Federal Rules of Evidence（《联邦证据规则》）第 502(d) 条，如果制作方无意中制作了该制作方随后本着善意主张因享有特权（包括但不限于律师-委托人特权）或其他保护（例如工作成果保护）而不应予以制作的材料，则该材料的制作不得被视为构成对任何适用特权或保护的放弃。在此类情况下，当制作方知悉已制作了享有特权或受保护的材料时，其必须通知接收方，并依制作方的选择要求返还或销毁已制作的材料。在收到此类通知后三（3）个工作日内，接收方应按照指示返还或销毁并确认已销毁所有此类制作的材料，包括任何接收方工作成果中的所有副本、笔记和/或摘要。接收方不得将此类材料的内容用于任何目的，包括用于与寻求强制制作已制作材料相关的任何努力。如果接收方在收到通知之前已披露了制作的材料，则接收方必须采取合理步骤追回该材料。此类返还或销毁以及销毁确认，不得排除接收方因制作本身以外的理由寻求强制制作已制作材料。此外，本命令不得阻止任何当事方对将此类材料指定为特权或受保护材料提出异议，并动议强制制作据称享有特权或受保护的文件。\n\n28. 对特权认定的异议：接收方没有义务在主张特权认定时对其正当性提出异议，未在该时间提出异议并不排除日后对此提出异议。如果接收方希望对制作方作出的一项或多项特权指定提出异议，当事各方应首先进行会商，以真诚努力解决有关任何受到异议的特权指定的任何争议。如果当事各方无法就一项或多项特权指定的适当性达成一致，提出异议的当事方可将该争议提交给法院。任何一方均不得主张本段规定的会商程序构成了对声称受保护不得披露的任何文件放弃律师-委托人特权或律师工作成果保护。尽管本命令中有任何规定，本命令中的任何条款（包括本第 28 段）均不得取代或废止《关于涉 Rule 2004 传票文件与信息的律师-委托人特权与工作成果保护控制的同意裁定书》（Consent Order Regarding Control of Attorney-Client Privilege and Work Product Protection Related to Rule 2004 Subpoenaed Documents and Information，[Docket No. 856]）中所载的任何条款。\n\n29. 非开示材料的使用：如果任何当事方拥有本可构成开示材料的文件或信息，且该等文件或信息 (i) 系当事方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获得或取得；(ii) 系该当事方在不违反其在本命令项下义务的情况下独立开发；或 (iii) 以不违反本命令或对包括当事方在内的任何其他人承担的保密义务的方式被公开或进入公共领域（统称“非开示材料”），则本命令中的任何内容均不得限制当事方出于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，或以其他方式用于与任何争议或本第 11 章案件（Chapter 11 Case）相关的事项。\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债务人走出破产程序后继续有效。争议的最终终止以及债务人走出破产程序，不得免除律师或本命令项下承担义务的其他人员根据本命令对开示材料进行保密的责任，且法院应保留强制执行本命令条款的管辖权。\n\n31. 保密协议与保护令的修改：在说明正当理由并通知所有当事方后，任何当事方均可随时动议修改本命令的条款，或者制作方与受托人（Trustee）可通过书面协议共同约定（若适用，须经法院进一步命令批准）修改本命令中关于该制作方所制作开示材料的条款。\n\n32. 在其他程序中披露开示材料：任何可能面临寻求披露制作方开示材料的动议或其他形式的法律程序或任何监管程序、要求或请求的接收方：(i) 应在合理可行的范围内尽快通知制作方（除非适用法律禁止此类通知），以使其有机会就是否应披露该信息出庭并发表意见；且 (ii) 在没有法院命令阻止此类法定要求的披露的情况下，接收方应仅被允许披露法律要求披露的那部分信息，并应以书面形式通知接受此类信息披露的任何人该等信息的机密性质。\n\n33. 制作方对开示材料的使用：本命令中的任何内容均不影响任何制作方以任何方式使用或披露其自身开示材料的权利。除公开提交其自身的开示材料外，此类披露不会放弃本命令的保护，且在符合第 29 段规定的前提下，亦不会使其他当事方、非当事方或其律师有权违反本命令使用或披露此类开示材料。\n\n34. 当事方的义务：本命令中的任何内容均不得免除当事方根据《联邦规则》（Federal Rules）、《破产程序规则》（Bankruptcy Rules）、《本地规则》（Local Rules）或根据任何未来的约定和命令所承担的、就任何争议制作文件或对开示请求（Discovery Requests）作出及时答复的义务。\n\n35. 律师意见：本裁定中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委托人提供意见，并在该过程中依赖\n\nCase 22-50073 Doc 3264-2 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 19 of 22\n\n对证据开示材料的审查；但是，在提供此类意见以及以其他方式与此类委托人进行沟通时，律师不得以任何与本裁定所载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作为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：本裁定的各项规定构成本法院的一项裁定，违反本裁定各项规定的行为应按照与本法院任何其他裁定相同的方式予以执行并受到法律制裁。\n\n38. 根据 11 U.S.C. § 107(c)(3)，United States Trustee（美国受托人）享有法定的推定权利，可完全查阅在本案中归入案卷或提交给法院的任何信息和/或文件，并且与此一致，美国受托人保留寻求查阅任何已提交或盖印封存归档的文件的全部权利。美国受托人应遵守 11 U.S.C. § 107(c)(3)(B) 规定的义务。\n\n特此裁定。签署于 Connecticut（康涅狄格州）Bridgeport（布里奇波特），时间：2024 年 10 月 6 日。\n\nJulie A. Manning，美国破产法官\n\n____________________________________\n附件 A\n\n声明书\n\n[修改稿中与前一页链接设置由原本的关闭变更为开启。]\n[修改稿中首页不同设置由原本的开启变更为关闭。]\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：　:　破产篇章\n|\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我，在承担伪证罪处罚的前提下声明（本“声明书”）：\n\n1. 我的地址是\n2. 我目前的雇主是。\n\n3. 我目前的职业或职务描述是。\n\n4. 我特此证明并同意，我已阅读并理解 United States Bankruptcy Court for the District of Connecticut（美国康涅狄格区破产法院）在 In re: Ho Wan Kwok（关于：郭文贵）案（案号 22-50073 (JAM)）中于 2022 年 月 日作出的保护令（“裁定”）的条款。本声明书中未另行定义的所有首字母大写术语均具有该裁定赋予此类术语的含义。我进一步证明，除第 11 章破产案件外，我不会将指定材料用于任何其他目的，除第 11 章破产案件外，不会为任何其他目的披露或致使披露指定材料，且\n\n1 尽管债务人的法定姓名是 Ho Wan Kwok，但他也以 Guo Wengui（郭文贵）、Miles Guo、Miles Kwok 以及诸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[修改稿中首页不同设置由原本的开启变更为关闭。修改稿中与前一页链接设置由原本的关闭变更为开启。]\n\n不会向裁定未明确允许接收指定材料的任何人披露或致使披露指定材料。我同意受该裁定的条款和条件约束。\n\n5. 我理解，无论在家里还是在工作中，对于所有未被明确允许接收指定材料的个人，我都必须对任何指定材料的所有副本予以保密，并且我将严格按照符合该裁定的方式妥善保管此类材料。我承认，退还或销毁指定材料并不能免除该裁定强加于我的任何其他持续性义务。\n6. 我承认并同意，我知道通过接收指定材料：\na. 我可能会接收到发行证券的公司的重大非公开信息；以及\nb. 存在包括联邦证券法在内的法律，这些法律可能因接收此类信息而限制或禁止买卖此类公司的证券。\n\n7. 我仅就该裁定的规定服从本法院的管辖权。\n\n日期：\n\n签名：\n\n[修改稿中首页不同设置由原本的开启变更为关闭。修改稿中与前一页链接设置由原本的关闭变更为开启。]","key_entities":[],"ecf_references":[],"word_count":6132,"status":"published","published_at":"2024-06-20 00:00:00","created_at":"2024-06-20","updated_at":"2026-08-23 08:00:12"}