{"id":"court_sdny_89_2","court":"SDNY","case_no":"23-cr-00118","doc_number":89,"sub_number":2,"doc_type":"ORDER","filed_date":null,"title":"EXHIBIT B UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION","summary_zh":"命令 —— 联邦破产法院康涅狄格州分区，案号 22-50073。Chapter 11 受信人 Luc A. Despins 针对 Ho Wan Kwok（也名 Guo Wengui, Miles Guo）关于不遵守 Corporate Governance Rights Order 的藐视法庭动议获得部分解决；法院裁定 Kwok 单独受益拥有和控制 Ace Decade Holdings Limited 和 Dawn State Limited，Yanping Wang 不是这些实体的受益所有人。","summary_en":"Order — United States Bankruptcy Court, District of Connecticut, Case No. 22-50073. Partial resolution of Chapter 11 Trustee Luc A. Despins' contempt motion against Ho Wan Kwok (also known as Guo Wengui, Miles Guo) for failure to comply with the Corporate Governance Rights Order; the court finds that Kwok exclusively beneficially owned and controlled Ace Decade Holdings Limited and Dawn State Limited, and that Yanping Wang is not a beneficial owner of these entities.","body_en":"## **EXHIBIT B**\n\n## **UNITED STATES BANKRUPTCY COURT DISTRICT OF CONNECTICUT BRIDGEPORT DIVISION**\n\n| ------------------------------------------------------ |   | x                       |\n|--------------------------------------------------------|---|-------------------------|\n|                                                        | : |                         |\n| In re:                                                 | : | Chapter 11              |\n|                                                        | : |                         |\n| HO WAN KWOK, <i>et al.</i> ,                           | : | Case No. 22-50073 (JAM) |\n|                                                        | : |                         |\n| Debtors. <sup>1</sup>                                  | : | Jointly Administered    |\n|                                                        | : |                         |\n| ------------------------------------------------------ |   | x                       |\n\n## **ORDER REGARDING PARTIAL RESOLUTION OF TRUSTEE'S CONTEMPT MOTION**\n\nUpon the motion (the \"Motion\")2 of Mr. Luc A. Despins, in his capacity as the chapter 11 trustee (the \"Trustee\") appointed in the chapter 11 case of Ho Wan Kwok (the \"Debtor\"), for the entry of an order (this \"Order\"), pursuant to section 105 of title 11 of the United States Code (the \"Bankruptcy Code\") and Rule 9014 and 9020 of the Federal Rules of Bankruptcy Procedure (the \"Bankruptcy Rules\"), holding Ho Wan Kwok (the \"Debtor\") in civil contempt for failure to comply with the Corporate Governance Rights Order and imposing appropriate sanctions, all as further detailed in the Motion; and this Court having jurisdiction to consider the Motion to Compel and the relief requested therein in accordance with 28 U.S.C. §§ 157 and 1334 and the *Standing Order of Reference* from the United States District Court for the District of Connecticut (as amended); and consideration of the Motion and the relief requested therein being a core proceeding pursuant to 28 U.S.C. § 157(b); and venue being proper in this Court pursuant to 28 U.S.C. §§ 1408 and 1409; and due and sufficient notice of the Motion having been given under the particular circumstances; and it appearing that no other or further notice need be given; and upon all of the proceedings had before this Court; and upon consideration of and in reliance on the evidence presented, including (a) the transcript of the April 6, 2022 meeting of creditors\n\n<sup>1</sup> The Debtors in these chapter 11 cases are Ho Wan Kwok (also known as Guo Wengui, Miles Guo, and Miles Kwok, as well as numerous other aliases) (last four digits of tax identification number: 9595) (the \"Debtor\") and Genever Holdings Corporation (\"Genever BVI\"). The mailing address for the Trustee and Genever BVI is Paul Hastings LLP, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok (solely for purposes of notices and communications).\n\n<sup>2</sup> Capitalized terms used but not otherwise defined herein have the meanings ascribed to them in the Motion.\n\nunder section 341 of the Bankruptcy Code [Trustee Exhibits 7 and 10]3 (the \"Section 341 Meeting\"), (b) the Particulars of Claims [Trustee Exhibit 6] (the \"U.K. Complaint\"), dated September 23, 2020, filed in the case styled as *Kwok Ho Wan & Ors. v. UBS*, Cl-2020-000345, High Court of Justice of England and Wales Queen's Bench Division Commercial Court, and (c) the Debtor's affidavit, dated February 5, 2016 [Trustee Exhibit 15] (the \"Kwok Affidavit\"), filed in the case styled as *Ace Decade vs. UBS AG*, Index No. 653316/2015 (N.Y. Sup. Ct.), which exhibits have been admitted into evidence (without objection); and the Debtor having not opposed or otherwise objected to entry of this Order; and after due deliberation and sufficient cause appearing therefor, it is hereby ORDERED THAT:\n\n1. The Court hereby finds that (i) the Debtor exclusively beneficially owned and controlled Ace Decade Holdings Limited (\"Ace Decade\") on the February 15, 2022 petition date (the \"Petition Date\") and maintained such exclusive beneficial ownership and control up to and including immediately prior to the date of the Trustee's appointment, and (ii) Dawn State Limited (\"Dawn State\" and, together with Ace Decade, the \"Ace Decade Entities\") is Ace Decade's wholly-owned subsidiary and is exclusively owned and controlled by Ace Decade. For the avoidance of doubt, Yanping \"Yvette\" Wang is not and has never been a beneficial owner of the shares in Ace Decade or Dawn State. The Debtor does not contest the findings in this paragraph and will not appeal such findings.\n\n2. The Debtor represents that he has never transferred or purported to transfer any ownership or control of Ace Decade to any other person or entity since the Petition Date. Accordingly, the Court further finds that, but for the Trustee's appointment and his rights under the Bankruptcy Code and the Corporate Governance Rights Order, the Debtor would still exclusively beneficially own and control Ace Decade as of the date of this order. The Debtor does not contest the findings in this paragraph and will not appeal such findings.\n\n3. The Court shall hold a hearing on November 17, 2022 (the \"Compliance Hearing\") on the unresolved portion of the Motion. The parties reserve all rights as to the unresolved portion of the Motion, and, for the avoidance of doubt, the Trustee specifically reserves the right to request entry of a separate order requiring the Debtor to cause title to the shares in the Ace Decade Entities to be transferred to the Trustee by a date certain, and the\n\n<sup>3</sup> References to the Trustee Exhibits are to the exhibits filed with the *Amended Exhibits List*, dated November 15, 2022 [Docket No. 1096].\n\nDebtor specifically reserves the right to request an order finding that the actions he has taken to comply with the Corporate Governance Rights Order and the Bankruptcy Code are sufficient not to be held in contempt.\n\n4. For purposes of the Compliance Hearing, the Debtor stipulates to the admissibility of Trustee Exhibits 13 (at page 3), 28-30, 34, 36-37, and 39 (at page 55:23-25) on the issue of the relationship between the Debtor and Yanping \"Yvette\" Wang. The Debtor reserves the right to represent through his counsel that the Debtor would testify that Ms. Wang is not his employee and does not take direction from him. The parties reserve all rights with respect to the weight, if any, the Court should give to the foregoing exhibits and representations.\n\n5. The Debtor shall not in any way interfere with or impede the Trustee's exercise of ownership and control over the Ace Decade Entities, nor shall the Debtor (a) argue in any setting or seek any order from any judicial or arbitral body that (i) the Debtor did not exclusively beneficially own and control, directly or indirectly, the Ace Decade Entities immediately prior to the date of the Trustee's appointment, (ii) the Trustee does not now exclusively beneficially own and control Ace Decade, or (iii) the Debtor ever transferred or purported to transfer any ownership or control of Ace Decade to any other person or entity (other than the Trustee) following the Petition Date; or (b) voluntarily assist, including by providing testimony or statements, any other party in advancing any of the positions set forth in items (a)(i) through (a)(iii) of this paragraph. Notwithstanding the foregoing, nothing in this Order shall prevent the Debtor from testifying truthfully under oath in response to a valid subpoena or equivalent process from a court or other body having jurisdiction over the Debtor legally compelling him to provide testimony.\n\n6. Nothing in this Order shall preclude the Trustee, in the context of any further litigation against any third party, from arguing that any purported transfer by the Debtor of the ownership or control of either or both of Ace Decade or Dawn State was or is avoidable under any applicable law, or that any such purported transfer should be disregarded under applicable law.\n\n7. The Debtor has represented that he does not contest any findings in this Order and, accordingly, he will not appeal this Order.\n\n8. The Trustee is authorized and empowered to take all actions necessary to effectuate the relief granted in this Order.\n\n3\n\n9. The terms and conditions of this Order shall be immediately effective and enforceable upon its entry.\n\n10. This Court shall retain jurisdiction with respect to all matters arising from or related to the implementation, interpretation, and enforcement of this Order.\n\nDated at Bridgeport, Connecticut this 17th day of November, 2022.\n\n*Julie A. Manning* *United States Bankruptcy Judge* *District of Connecticut*","body_zh":"证物 B\n\n美国破产法院 康涅狄格区 布里奇波特分院\n\n案件：\n第 11 章\nHO WAN KWOK（郭文贵）等，\n案号：22-50073 (JAM)\n债务人。1\n合并审理\n\n关于部分解决受托人藐视法庭动议的裁定\n\n鉴于 Luc A. Despins（卢克·A·德斯宾斯）先生以在 Ho Wan Kwok（郭文贵，下称“债务人”）第 11 章破产案中指定的第 11 章受托人（下称“受托人”）身份提出动议（下称“本动议”）2，请求依据《美国法典》第 11 编（下称《破产法典》）第 105 条以及《联邦破产诉讼规则》（下称《破产规则》）第 9014 条和第 9020 条作出裁定（下称“本裁定”），判定债务人因未遵守《公司治理权裁定》而构成民事藐视法庭并施加适当制裁，具体如本动议中所详述；且本法院根据《美国法典》第 28 编第 157 条和第 1334 条以及 United States District Court for the District of Connecticut（康涅狄格区联邦地区法院）的《移送案件长期常设裁定》（经修正）对审理该强制作为动议及其中所请求的救济具有管辖权；且根据《美国法典》第 28 编第 157(b) 条，审理本动议及其中所请求的救济属于核心程序；且根据《美国法典》第 28 编第 1408 条和第 1409 条，本法院管辖地适当；且在特定情况下已就本动议发出了适当且充分的通知；且无需另行发出其他通知；并在本法院进行的所有程序的基础上；以及在考虑并采信所提交证据的基础上，包括 (a) 2022年4月6日依据\n\n1 本第 11 章案件中的债务人为 Ho Wan Kwok（郭文贵，亦称 Miles Guo、Miles Kwok 以及其他诸多化名）（纳税人识别号后四位：9595）（下称“债务人”）和 Genever Holdings Corporation（下称“Genever BVI”）。受托人和 Genever BVI 的邮寄地址为：Paul Hastings LLP（普衡律师事务所）, 200 Park Avenue, New York, NY 10166 c/o Luc A. Despins, as Trustee for the Estate of Ho Wan Kwok（仅用于接收通知和通信之目的）。\n\n2 本文中使用但未另行定义的首字母大写术语具有本动议中所赋予的含义。\n\n《破产法典》第 341 条举行的债权人会议记录 [受托人证物 7 和 10]3（下称“第 341 条会议”），(b) 2020年9月23日在 High Court of Justice of England and Wales Queen's Bench Division Commercial Court（英格兰及威尔士高等法院王座法庭商事法庭）立案的案件（案名为 Kwok Ho Wan & Ors. v. UBS，案号 Cl-2020-000345）中提交的《索赔细节》[受托人证物 6]（下称“英国起诉书”），以及 (c) 债务人在 N.Y. Sup. Ct.（纽约州最高法院）立案的案件（案名为 Ace Decade vs. UBS AG，索引号 653316/2015）中提交的日期为 2016年2月5日的誓章 [受托人证物 15]（下称“郭氏誓章”），上述证物均已被采纳为证据（且无人反对）；且债务人未反对或以其他方式对作出本裁定提出异议；经审慎研议并有充分理由，特此裁定如下：\n\n1. 本法院特此认定：(i) 在 2022年2月15日的申请日（下称“申请日”），债务人独家实益拥有并控制 Ace Decade Holdings Limited（下称“Ace Decade”），并在受托人被指定之日之前（含紧接该日之前）一直保持该等独家实益所有权和控制权；以及 (ii) Dawn State Limited（下称“Dawn State”，与 Ace Decade 合称“Ace Decade 实体”）是 Ace Decade 的全资子公司，由 Ace Decade 独家拥有并控制。为免生疑义，Yanping \"Yvette\" Wang（王雁平）现在不是、也从未是 Ace Decade 或 Dawn State 股份的实益拥有人。债务人对本款中的认定不持异议，且不会就该等认定提起上诉。\n\n2. 债务人陈述称，自申请日以来，他从未向任何其他个人或实体转让或企图转让 Ace Decade 的任何所有权或控制权。据此，本法院进一步认定，若非受托人的任命以及其在《破产法典》和《公司治理权裁定》下的权利，截至本裁定作出之日，债务人仍将独家实益拥有并控制 Ace Decade。债务人对本款中的认定不持异议，且不会就该等认定提起上诉。\n\n3. 本法院将于 2022年11月17日就本动议尚未解决的部分举行听证会（下称“合规听证会”）。各方保留针对本动议未解决部分的全部权利；并且，为免生疑义，受托人明确保留请求另行作出裁定以命令债务人在特定日期之前促使 Ace Decade 实体的股份所有权转让给受托人的权利，且\n\n3 提及“受托人证物”均指随 2022年11月15日《修正证物清单》[案卷号 1096] 一同提交的证物。\n\n债务人明确保留请求作出裁定认定其为遵守《公司治理权裁定》及《破产法典》所采取的行动足以使其不被认定为藐视法庭的权利。\n\n4. 出于合规听证会的目的，债务人就债务人与王雁平之间关系的事项，同意受托人证物 13（第 3 页）、28-30、34、36-37 及 39（第 55:23-25 页）的可采纳性。债务人保留通过其律师陈述债务人将作证声明王女士不是其雇员且不听从其指示的权利。各方对本法院就上述证物和陈述应给予的证明力（如有）保留全部权利。\n\n5. 债务人不得以任何方式干涉或阻碍受托人对 Ace Decade 实体行使所有权和控制权，债务人亦不得 (a) 在任何场合主张或向任何司法或仲裁机构寻求任何裁定，声称：(i) 在紧接指定受托人之日之前，债务人未直接或间接独家实益拥有并控制 Ace Decade 实体，(ii) 受托人目前未独家实益拥有并控制 Ace Decade，或 (iii) 在申请日之后，债务人曾向除受托人以外的任何其他个人或实体转让或企图转让 Ace Decade 的任何所有权或控制权；或 (b) 自愿协助（包括通过提供证词或陈述）任何其他当事方提出本款第 (a)(i) 至 (a)(iii) 项所列的任何主张。尽管有前述规定，本裁定中的任何内容均不妨碍债务人在收到对债务人具有管辖权的法院或其他机构发出的依法强制其提供证词的有效传票或同等程序时，在宣誓后如实作证。\n\n6. 本裁定中的任何内容均不妨碍受托人在针对任何第三方的任何后续诉讼中主张：债务人对 Ace Decade 或 Dawn State 之一或两者的所有权或控制权的任何企图转让行为，在任何适用法律下曾经或现在是可撤销的，或者任何该等企图转让在适用法律下应不予理会。\n\n7. 债务人已陈述其对本裁定中的任何认定不持异议，因此，他不会就本裁定提起上诉。\n\n8. 受托人获授权并被赋予权力采取一切必要行动以落实本裁定所授予的救济。\n\n9. 本裁定的条款和条件在本裁定作出后应立即生效并具有执行力。\n\n10. 本法院对因本裁定的执行、解释和强制执行而产生的或与之相关的所有事项保留管辖权。\n\n日期：2022年11月17日，于康涅狄格州布里奇波特。\n\nJulie A. Manning（朱莉·A·曼宁）\n美国破产法官\n康涅狄格区","key_entities":["Kwok","Ho Wan Kwok","Guo","Despins","Je","Miles Guo","Paul Hastings"],"ecf_references":[],"word_count":1351,"status":"published","published_at":null,"created_at":null,"updated_at":"2026-08-23 07:26:13"}