{"id":"court_sdny_3264_7","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制订与执行的修改后保护令，就发现程序材料的处理、保密分类和使用进行约束。","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). Order established by Chapter 11 Trustee Luc Despins governing confidentiality designation, treatment, and disclosure of discovery material in the bankruptcy 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>: | Re: ECF No.<br>874         |\n|              | :<br>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 3264-7 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 3264-7 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 3264-7 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 3264-7 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 3264-7 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 3264-7 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 3264-7 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\n\n关于：\n第 11 章\nHO WAN KWOK（郭文贵），\n案号：22-50073 (JAM)\n债务人。1\n涉及：ECF No. 874\n\n修改后的保护令\n\n本保护令（下称“本命令”）由以下各方共同订立：(a) Luc Despins，作为债务人破产财产被指定的第 11 章托管人（下称“托管人”），以及 (b) 通过签署本命令附件 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) 款中确定的每个个人或实体在本命令中单独称为“一方”，统称为“各方”。2 本命令系根据 11 U.S.C. § 107(b) 和《联邦破产诉讼规则》（下称“《破产规则》”）第 9018 条作出，并在适用的情况下，根据《破产规则》第 7026 条和第 9014 条以及《联邦民事诉讼规则》（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（郭文贵），但他也被称为郭文贵（Guo Wengui）、Miles Guo 和 Miles Kwok，以及其他众多化名。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引述之目的。\n\n叙事部分\n\n鉴于，债务人已向本法院根据《美国法典》第 11 编第 11 章（11 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”）；且本法院目前存在或可能存在依据《破产法典》引起的，或在该第 11 章案件中引起的或与之相关的司法或其他程序，包括但不限于调查、争议事项、对抗性诉讼及其他争议（单独称为“争议”，统称为“各项争议”）；\n\n鉴于，法院通过准许美国托管人根据 11 U.S.C. § 1104(d) 提起的关于批准指定第 11 章托管人的申请，授权指定了该托管人；\n\n鉴于，各方已就一项或多项争议向彼此索取或可能索取某些证据开示材料（定义见下文），包括通过非正式或正式请求、《第 2004 条规则》通知或动议，或根据《联邦规则》、《破产规则》以及《美国康涅狄格区破产法院本地破产诉讼规则》（下称“《本地规则》”）的规定送达文件请求书、质询书、宣誓采证录供、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，各方预计在本第 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或被送达证据开示请求；\n\n因此，现在，为了便利和加快证据开示材料的提供、交换和处理，并保护一方意图保留为保密材料或高度保密材料（定义见下文）的证据开示材料，特此\n\n达成一致，并经法院批准，特此下令：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本命令的范围\n\n1. 本命令规范一方（单独称为“提供方”）在正式或非正式场合，在提交争议事项或对抗性诉讼之前或之后，在听证会前交换证据时，和/或在回应任何证据开示请求或与之相关的情况下，向任何其他方（单独称为“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：宣誓采证证词（无论是基于口头询问还是书面问题）；质询书；质询书答复；自认请求书；自认请求书答复；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：书面材料、图纸、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、证词、证物、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——包括某方是本命令当事方这一事实——均不赋予或旨在赋予任何当事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. 在符合本命令第 9 条、第 10 条和第 18 条规定的提供方权利的前提下，经托管人同意，签署附件 A 并向托管人交付副本的任何非当事方，应被视为本命令的一方，享有并承担本协议签字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之目的，并不旨在反映就该方作为诉讼当事人的地位达成任何协议。\n\n标示证据开示材料\n\n5. 任何提供方均可按照以下规定将证据开示材料标示为“保密材料”或“高度保密材料”（任何此类被标示的证据开示材料下称“已标示材料”）：\n\n(a) 保密材料：如果提供方合理认为：(i) 该证据开示材料 (A) 构成或包含属于应当根据《破产规则》或《联邦规则》予以保护的性质的非公开专有或保密技术、商业、财务、个人或其他信息，或 (B) 根据法律或合同受法律保护的隐私权约束；或 (ii) 该提供方 (A) 对第三方负有将该证据开示材料视为保密材料的预先存在的义务，或 (B) 已收到另一方或非当事方的合理请求，要求对该证据开示材料进行此类标示，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保密或专有的信息，则提供方可将证据开示材料标示为“保密”。\n\n(b) 高度保密材料：如果提供方合理认为（或就从他人处收到的文件而言，已收到该他人的合理告知）：若将此类证据开示材料披露给本命令第 10 条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（及其各自工作人员）准备的材料），则提供方可将证据开示材料标示为“高度保密”。尽管本命令有任何相反规定，账户对账单、ACH 及电汇记录、支票副本以及金融机构为记录账户余额和交易而生成的类似记录（统称为“银行对账单”）并不构成足以适用“高度保密”证据开示材料所适用的更严格限制的人身安全、身份盗窃或竞争损害风险。在法院另有命令之前，根据本命令，银行对账单不得被标示为“高度保密”。\n\n(c) 由另一方标示：任何一方均可根据第 5(a) 和 5(b) 款将任何证据开示材料标示为保密或高度保密，无论该方最初是否披露或交换了该证据开示材料；在此情况下，作出标示的一方就该证据开示材料而言应为提供方。\n\n(d) 未标示材料：在符合本命令第 7 条、第 8 条和第 34 条项下各方权利和义务的前提下，任何一方均无义务或责任对非已标示材料的任何证据开示材料（“未标示材料”）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标的此前已根据本命令或任何其他保护令被标示为保密或高度保密。\n\n6. 证据开示材料的标示方式：在合理可行的情况下，任何已标示材料均应由提供方通过在每一页上视情况注明“保密”或“高度保密”的方式予以标示。此类标记不应涂抹或遮挡所提供材料的内容。如果在每页材料上进行标记并非合理可行（例如某些原始格式文件），提供方可在提供此类材料时以明确且显著的方式通知接收方该材料为“保密”或“高度保密”，例如通过在文件名和/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示（如适用）。在本命令签署之前根据将此类证据开示材料视为“保密”或“高度保密”的协议所提供的证据开示材料，即使未带有此类标记，亦应根据本命令被视为“保密”或“高度保密”。\n\n7. 证据开示材料的逾期标示：在提供证据开示材料时未将其标示为“保密”或“高度保密”，不应视为放弃提供方随后将此类证据开示材料标示为已标示材料，或随后根据本命令适用其他标示的权利（“错误标示\n\n案号 22-50073 文件 3264-7 提交于 06/20/24 录入于 06/20/24 12:01:13 第 7 页 共 21 页\n\n材料」）。届时，将对销毁错误定级材料，或向提供方（Producing Party）返还所有错误定级材料副本，以及在适当时替换适当标示的该等开示材料副本等事宜作出安排。在收到替换并附有正确定级的该等错误定级材料副本后，接收方（Receiving Party or Parties）应采取一切合理措施返还或销毁先前提供的该等错误定级材料的所有副本。如经提供方请求，接收方应书面证实其已采取一切合理措施返还或销毁该等错误定级材料。若在收到任何后续定级通知之前，该等开示材料已按照与其初始定级一致但与其后续定级不一致的任何方式被披露或使用，任何一方均不得被视为违反本裁定。然而，一旦作出该等后续定级，任何开示材料均应按照该后续定级予以对待；但前提是，如果未予定级的材料在后续定级之时此前已向法院公开提交，则除经法院根据未能作出定级之当事方的动议所决定的范围之外，任何当事方均不受该后续定级的约束。\n\n保密材料或高度保密材料的使用与披露\n\n8. 对所有开示材料使用与披露的一般限制：受托人（Trustee）在履行其根据《破产法典》（Bankruptcy Code）及本案指定裁定所承担的职责与责任时，以及/或其他接收方仅在本法院为了争议或第 11 章案件（Chapter 11 Case）之目的使用所有开示材料，不得用于任何其他目的或在任何其他法庭使用，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：保密材料以及其中包含的任何及所有信息，仅可提供给、出示给、提供查阅给或传达给以下主体：\n\n- (a) 受托人；\n- (b) 签署附件 A（Exhibit A）并向受托人交付其副本的任何当事方；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：高度保密材料以及其中包含的任何及所有信息，仅可提供给、出示给、提供查阅给或传达给以下主体：\n\n- (a) 为以下主体服务的律师，以及在上述律师明确指导下工作的工作人员：\n\t- i. 受托人；\n\t- ii. 债权人委员会（Creditor's Committee）；\n\t- iii. 签署附件 A 并向受托人交付副本的任何当事方；以及\n- (b) 根据《破产法典》第 328 条和第 1103 条聘请的专业人士，以及本裁定签署方或签署附件 A 的当事方就争议或本第 11 章案件聘请的行业顾问、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) 文件表面显示为其作者、收件人或抄送接收人、其实际或预期接收人的人员，或者如为会议纪要，则是会议出席者；\n- (d) 宣誓作证程序中的任何敌对证人，其中询问该证人的律师合理认为就该文件询问证人是必要的，且这样做不会造成竞争性或人身损害，前提是\n\n宣誓作证笔录的相关部分本身被定级为高度保密，证人不得保留该文件的副本，且相关宣誓作证证据被定级为高度保密，并受制于第 12 段；\n\n- (e) 就争议或本第 11 章案件的使用所必需的外部复印服务、图表制作服务或诉讼支持服务机构；\n- (f) 记录与争议或本第 11 章案件相关的宣誓作证或其他作证记录的法庭速记员、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、其官员和文职工作人员；\n- (h) 就争议或本第 11 章案件聘请的任何调解人及其工作人员；以及\n- (i) 提供方以书面形式或在宣誓作证记录中同意的任何其他个人或实体。\n\n11. 定级材料仅按第 9 段和第 10 段披露：高度保密材料以及其中包含的任何及所有信息，除向本裁定第 10 段规定的人员提供外，不得以任何方式提供、出示、提供查阅、披露或传达。保密材料以及其中包含的实质性信息，除向本裁定第 9 段规定的人员提供外，不得以任何方式提供、出示、提供查阅、披露或传达。\n\n12. 披露定级材料的前提条件：在允许本裁定第 10(b)段、10(d)段、10(h)段或 10(i)段中确定的任何人员或其代表查阅定级材料之前，应向该等人员或其代表提供本裁定的副本，且其应签署本裁定所附的附件 A。每份经签署的附件 A 应保留在\n\nCase 22-50073 Doc 3264-7 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 10 of 21\n\n向获得查阅权限的人员提供定级材料查阅权限的当事方的律师案卷中。第 10(a)(ii)段、10(d)段、10(h)段和 10(i)段中确定的代表所签署的该等附件 A 副本应提供给提供方，但第 10(b)段中确定的代表的签署副本除外。除非作出充分理由的证明且法院作出相应裁定，否则第 10(b)段确定的代表所签署的该等附件 A 不受《联邦规则》（Federal Rules）或《破产规则》（Bankruptcy Rules）规定的披露要求的约束。为免生疑问，对于第 10(b)段中确定的任何代表，附件 A 可以代表某机构签署，而无需该机构的每位相关个人单独签署附件 A。\n\n13. 向法院提交或呈递之定级材料的密封提交：除非提供方另有约定，所有向法院提交的定级材料，以及向法院提交的诉状、动议或其他法律文书中披露高度保密或保密材料的所有部分，均应依照《联邦规则》、《破产规则》、《本地规则》（Local Rules）以及本法院的个案审判常规规则进行密封提交；但当事方可自行选择提交包含定级材料的删减版诉状，只要诉状中涉及定级材料的部分已作删减，且该删减版诉状亦根据《本地规则》第 9077-1 条提交。若任何当事方对该等材料的密封提出异议，提供方应承担抗辩维持该等密封的举证责任。根据本段对任何材料进行的密封提交，不得被解释为承认该等材料有权根据本保护令或适用法律享有保密性，且不得放弃任何当事方日后对该等定级或密封提出异议的权利。\n\n14. 在公开法庭使用开示材料：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庭审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\n\nCase 22-50073 Doc 3264-7 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 11 of 21\n\n任何审前会议的一部分，或作为关于在任何证据听证会中使用证据的任何会商的一部分，或者如果不可行，则在庭审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，希望在庭审或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当事方的律师，应与提供方真诚会商，商讨删减定级材料的方式，以便任何当事方可根据《破产法典》和《破产规则》的规定出示或以其他方式使用该材料。如果各当事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。在法院就该等问题作出裁决之前，定级材料应继续根据其定级并依照本裁定的条款予以对待。\n\n宣誓作证与第 2004 条规则调查\n\n15. 宣誓作证及第 2004 条规则调查证词——定级方式：就宣誓作证而言，若某当事方的律师认为宣誓作证中所作出的某部分证词应为该当事方的定级材料，则可通过以下方式适当地对该证词进行定级：(a) 在笔录中口头陈述并请求仅将证词的相关部分进行该等定级；或 (b) 在该当事方收到法庭速记员出具的最终笔录后十（10）日内发出书面通知，说明仅将该等笔录或其宣誓作证录像的相关部分进行该等定级，但如果关于相关事项的听证会定于收到最终笔录后十（10）日内举行，则前述十（10）日的期限将缩短为五（5）个工作日。若关于相关事项的听证会或诉状提交截止日期的安排与宣誓作证时间过于临近以致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，整个笔录应被定为定级材料，随后应适用上述十（10）日的期限进行进一步定级。在各当事方收到最终笔录后，在上述定级期限届满之前（按适用情况），\n\nCase 22-50073 Doc 3264-7 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 12 of 21\n\n所有宣誓作证笔录和录像均应被视为并作为高度保密材料对待，除非任何当事方的律师在宣誓作证记录中另有明确说明。\n\n16. 宣誓作证期间用作证据的定级材料：第 15 段中的任何内容均不适用或影响宣誓作证中作为证据录入的开示材料的保密定级。\n\n17. 证人查阅宣誓作证证词：本裁定第 15 段中的任何内容均不妨碍证人查阅其本人的宣誓作证笔录。\n\n18. 宣誓作证证词期间人员的在场：在宣誓作证期间引出定级材料时，根据本裁定条款无权接收该等信息的人员应经请求离开宣誓作证中被如此定级的部分。在离开包含定级材料的任何宣誓作证部分后，若该等人员希望收到包含定级材料的宣誓作证证词的书面记录或其他记录，该等人员必须成为本裁定的当事方。\n\n19. 法庭记录员的责任与义务：如果证言被指定为「保密」或「高度保密」，法庭记录员（其应首先已同意遵守本段条款）应被指示在每份此类笔录的封面上注明以下标识：「本笔录部分包含受保护令约束的信息，且仅得根据其规定使用」，且笔录的每一页均应视情况包含「保密」或「高度保密」的标识。如果录取宣誓证言录像/录音，且笔录本身的任何部分被如此指定，则该录音录像也应受与笔录相同级别的保密性约束，并视情况包含「保密」或「高度保密」的标识。在任何宣誓证言中，发问方应在宣誓证言开始前，要求法庭记录员同意对在宣誓证言中提出的所有指定材料保密。在宣誓证言中，每位发问律师仅应向获准根据本命令条款接收该指定材料的当事方分发用作证据展示的指定材料的副本。\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限均应依据《联邦破产诉讼规则》（Bankruptcy Rule）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应影响任何当事方与开示材料的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任何异议，包括但不限于就一方所要求的任何文件、信息或数据所称的保密性或专有性质提出的任何异议；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；寻求任何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：如果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应在得知该披露后：立即通知接收该披露的个人或实体该披露包含受本命令约束的指定材料；立即做出合理努力以追回或销毁所披露的指定材料，并阻止接收该披露的个人或实体进一步传播或使用；以及立即通知提供方接收该披露的个人或实体的身份、围绕该披露的具体情况，以及为追回或销毁所披露的指定材料并确保不再进一步传播或使用该材料所采取的措施。未按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：如果有任何接收方对任何指定材料的指定提出异议，该接收方应首先以书面形式向提供方提出异议，并真诚地进行协商以试图解决有关本命令的条款或操作的任何争议。如果接收方和提供方无法解决其争议，接收方可以向法院寻求救济。在法院对此类问题作出裁定之前，该指定材料应继续根据其指定进行处理。根据动议，法院可以命令从受本命令条款约束的如此指定的任何开示材料中移除「保密」或「高度保密」的指定。\n\n26. 对指定材料提出异议的时间：接收方无义务在作出「保密」或「高度保密」指定之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其提出质疑。任何当事方在开示期间未对提供方将开示材料指定为「保密」或「高度保密」提出质疑，不构成该当事方放弃在证据听证会或审判中对该等指定提出异议的权利。\n\n27. 特权开示材料的提供：依据《联邦证据规则》（Federal Rules of Evidence）第 502(d) 条，如果提供方无意中提供了该提供方随后善意主张因特权（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）而不应被提供的材料，则该材料的提供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，当提供方获悉已提供享有特权或受保护的材料时，其必须通知接收方，并根据提供方的选择，要求归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，接收方应按照指示归还或销毁并确认销毁所有此类提供的材料，包括接收方任何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，包括用于寻求强迫提供所提供材料的任何行动。如果接收方在收到通知之前披露了所提供的材料，则接收方必须采取合理措施追回所提供的材料。此类归还或销毁以及对销毁的确认不得妨碍接收方因提供该材料之外的其他原因而寻求强迫提供所提供的材料。此外，本命令不应阻止任何当事方质疑将此类材料指定为享有特权或受保护的决定，并不妨碍其提出动议以强迫提供据称享有特权或受保护的文件。\nCase 22-50073 Doc 3264-7 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 15 of 21\n\n28. 质疑特权认定：接收方无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其提出质疑。如果接收方希望质疑提供方所作的一项或多项特权指定，当事各方应首先会面并协商，以真诚努力解决有关任何受到质疑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，质疑特权指定的一方可将该争议提交法院。任何一方均不得主张本段规定的会面与协商程序对任何声称免于披露的文件构成律师-委托人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）均不得取代或废除在《关于与根据第 2004 条传票获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] 中规定的任何条款。\nCase 22-50073 Doc 3264-7 Filed 06/20/24 Entered 06/20/24 12:01:13 Page 16 of 21\n\n29. 非开示材料的使用：如果任何当事方拥有的文件或信息在其他情况下会构成开示材料，但该等文件或信息 (i) 是当事方通过合法途径且在非保密基础上获得的，且未违反向任何其他人的保密义务；(ii) 是由该当事方独立开发的，且未违反其在本命令项下的义务；或 (iii) 是以未违反本命令或对包括当事方在内的任何其他人的任何保密义务的方式公布或公开获得的（统称「非开示材料」），本命令中的任何内容均不应限制当事方将非开示材料用于任何目的的能力，包括在宣誓证言、听证会、审判中，或以其他方式用于与任何争议或本第 11 章破产案件（Chapter 11 Case）相关的活动。\n\n30. 保密协议与保护令的持续适用性：本命令的条款在争议最终终止以及债务人摆脱破产后，对于任何保留的开示材料继续有效。争议的最终终止以及债务人摆脱破产不应免除律师或本命令项下负有义务的其他人员依据本命令对开示材料保密的责任，且法院应保留管辖权以执行本命令的条款。\n\n31. 保密协议与保护令的修改：经表明充分理由并通知所有当事方后，任何当事方均可随时提出动议修改本命令的条款，或者提供方与受托人（Trustee）可以通过书面约定共同同意修改本命令中关于该提供方所提供的开示材料的条款，但须视情况服从法院的进一步命令。\nCase 22-50073 Doc 3264-7 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：可能受到旨在要求披露提供方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、要求或请求约束的任何接收方：(i) 应在合理可行的情况下尽快通知提供方（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；以及 (ii) 在没有阻止此类法定要求的披露的法院命令的情况下，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向其披露该等信息的任何人有关该等信息的保密性质。\n\n33. 提供方对开示材料的使用：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（除公开提交其自身开示材料外）不会放弃本命令的保护，且在受第 29 段约束的前提下，不会以其他方式赋予其他当事方、非当事方或其律师违反本命令使用或披露该等开示材料的权利。\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在《联邦规则》（Federal Rules）、《破产规则》（Bankruptcy Rules）、《本地规则》（Local Rules）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委托人提供建议，并在该过程中依赖对开示材料的审查；但是，在提供此类建议和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命令所规定的限制或程序不一致的方式具体披露任何信息\n\n36. 先前协议：本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而提供的指定材料的排他性途径。\n\n37. 执行：本裁定的各项规定构成本法院的一项裁定，违反本裁定规定的行为将以与本法院任何其他裁定相同的方式受到强制执行并处以法律制裁。\n\n38. 根据 11 U.S.C. § 107(c)(3)，United States Trustee（美国破产受托人）在法律上推定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，且与此相一致，美国破产受托人保留就查阅任何提交或密封归档的文件寻求许可的所有权利。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，2024年____月____日。\n\nJulie A. Manning（朱莉·A·曼宁），美国破产法院法官\n\n_________________________________________\n附件 A\n\n声明书\nUNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION（美国康涅狄格区联邦破产法院布里奇波特分院）\nx\n关于：　:　第 11 章\n|\nHO WAN KWOK（郭文贵），　:　案号 22-50073 (JAM)\n|\n债务人。1　:\nx\n确认并同意受保护令约束的声明书\n\n本人在承担伪证罪法律责任的前提下声明（本“声明书”）：1. 本人的地址是 2. 本人目前的雇主是 _ 。3. 本人目前的职业或职务描述是 。4. 本人特此证明并同意，本人已阅读并理解由美国康涅狄格区联邦破产法院于 2022年____月____日在 In re: Ho Wan Kwok，案号 22-50073 (JAM) 中作出的《保护令》（以下简称“《裁定》”）的各项条款。本声明书中所有未另作定义的首字母大写术语均具有《裁定》中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 章案件之外的任何其他目的，不会为除第 11 章案件之外的任何目的披露或导致披露指定材料，且不会向未获得《裁定》明确允许\n\n1 尽管债务人的法定姓名是 Ho Wan Kwok（郭文贵），但他也被称为 Guo Wengui（郭文贵）、Miles Guo（迈尔斯·郭）和 Miles Kwok（迈尔斯·郭），以及许多其他化名。债务人纳税人识别号的后四位是 9595。\n\n接收指定材料的任何人披露或导致披露指定材料。本人同意受《裁定》各项条款和条件的约束。\n\n- 5. 本人理解，无论在住所还是在工作场所，本人均须向所有未获明确允许接收指定材料的人员对任何指定材料的所有副本予以保密，且本人将以符合《裁定》的方式审慎妥善保管该等材料。本人确认，归还或销毁指定材料并不免除《裁定》对本人施加的任何其他持续性义务。\n- 6. 本人确认并同意，本人知悉接收指定材料：\n\t- a. 本人可能接收到关于发行证券的公司的重大非公开信息；以及\n\t- b. 存在包括联邦证券法在内的法律，由于接收此类信息，可能限制或禁止买卖此类公司的证券。\n- 7. 本人仅就《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 07:46:35"}