郭文贵破产案 · 裁定 · ECF #2460 · 中文译文

UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF CONNECTICUT（美国康涅狄格区破产法院）

HO WAN KWOK, et. al.,（Ho Wan Kwok（郭文贵）等）

Case No. 22-50073 (JAM)（案号：22-50073 (JAM)）

STIPULATED ADDENDUM TO PROTECTIVE ORDER（保护令之约定附录）

This Addendum to Protective Order (the "Addendum") is an addendum to the Protective Order [Docket No. 923], entered by the Court on October 6, 2022, (the "Protective Order"), entered into by and among (a) Luc Despins, as the appointed Chapter 11 Trustee to the Debtor's estate (the "Trustee"); (b) the Federal Deposit Insurance Corporation as Receiver for Signature Bridge Bank, N.A. ("FDIC-Receiver"); and (c) any other persons or entities who become bound by this Addendum by signifying their assent through execution of Exhibit A hereto. Each of the persons or entities identified in the foregoing clauses (a) through (e) shall be referred to herein individually as a "Party" and collectively, as the "Parties." 本保护令附录（简称「本附录」）系由法院于 2022年10月6日 作出的《保护令》[Docket No. 923]（简称「《保护令》」）的附录，由下列各方共同订立：(a) Luc Despins，作为债务人破产财产所指定的第 11 章受托人（简称「受托人」）；(b) Federal Deposit Insurance Corporation（联邦存款保险公司），作为 Signature Bridge Bank, N.A. 的接管人（简称「FDIC 接管人」）；以及 (c) 通过签署本附录附件 A 表示同意受本附录约束的任何其他个人或实体。上述 (a) 至 (e) 项所确定的每一名个人或实体在本文中单独称为「一方」，统称为「各方」。

WHEREAS, on February 15, 2022, Ho Wan Kwok (the "Debtor") filed a voluntary petition for relief under chapter 11 of the Bankruptcy Code in this Court, and on July 8, 2022, the Court entered an order appointing the Trustee; 鉴于，2022年2月15日，Ho Wan Kwok（债务人）向本法院提交了根据《破产法典》第 11 章寻求救济的自愿破产申请，且于 2022年7月8日，法院作出了指定受托人的命令；

WHEREAS, on October 6, 2022, the Court entered the Protective Order entered into by and among: (a) Luc Despins as Trustee, and (b) any other persons or entities who become bound by the Protective Order [Docket No. 923]; 鉴于，2022年10月6日，法院作出了由以下各方订立的《保护令》：(a) 作为受托人的 Luc Despins，以及 (b) 受《保护令》[Docket No. 923] 约束的任何其他个人或实体；

WHEREAS, on November 21, 2022, the Court entered an order authorizing the joint administration, for procedural purposes, of the related chapter 11 cases of Genever Holdings LLC and Genever Holdings Corporation with the Debtor's chapter 11 case (collectively, the "Chapter 11 Cases") [Docket No. 1141]; 鉴于，2022年11月21日，法院作出一项命令，批准出于程序性目的将 Genever Holdings LLC 和 Genever Holdings Corporation 相关的第 11 章案件与债务人的第 11 章案件进行合并审理（统称「第 11 章案件」）[Docket No. 1141]；

WHEREAS, the Trustee in the Chapter 11 Cases has, by and through a document request made under Rule 2004 of the Federal Rules of Bankruptcy Procedure ("Rule 2004 Request"), requested the production of certain records owned, controlled, or in the custody of the FDIC-Receiver; and 鉴于，第 11 章案件中的受托人已通过根据《联邦破产程序规则》第 2004 条提出的文件调取请求（简称「第 2004 条请求」），请求调取由 FDIC 接管人所有、控制或保管的某些记录；并且

WHEREAS, the FDIC-Receiver may disclose, or may be ordered or otherwise obligated to disclose, certain confidential documents, information, data, testimony, records, and other materials (including the "Confidential Records," defined below); and 鉴于，FDIC 接管人可能会披露，或者可能会被命令或以其他方式有义务披露某些保密文件、信息、数据、证言、记录及其他材料（包括下文定义的「保密记录」）；并且

WHEREAS, such disclosure is made strictly under the terms and conditions of the Protective Order and this Addendum; and 鉴于，该等披露严格根据《保护令》及本附录的条款和条件进行；并且

NOW THEREFORE, in accordance with the "Amendment" provision of Paragraph 31 of the Protective Order, to facilitate and expedite the production, exchange, and treatment of Discovery Material (as defined in the Protective Order)1 and Confidential Records, the Parties to this Addendum stipulate and agree as follows: 因此，现在根据《保护令》第 31 款的「修订」条款，为便利并加快证据开示材料（定义见《保护令》）1 以及保密记录的出示、交换和处理，本附录各方约定并同意如下：

1. The Protective Order as supplemented and/or modified by this Addendum applies to all Discovery Material or Confidential Records (as defined herein) produced by the FDIC-Receiver in the Chapter 11 Cases, including adversary proceedings. To be clear, if there are any conflicts between the provisions of the Protective Order and this Addendum with respect to Discovery Material or Confidential Records produced by the FDIC-Receiver, then this Addendum shall control. 1. 经本附录补充和/或修改的《保护令》适用于 FDIC 接管人在第 11 章案件（包括对抗性程序）中出示的所有证据开示材料或保密记录（定义见本文）。为明确起见，对于 FDIC 接管人出示的证据开示材料或保密记录，《保护令》与本附录的条款之间若有任何冲突，应以本附录为准。

2. The FDIC-Receiver is a Producing Party under the terms of the Protective Order 1 Capitalized terms not otherwise defined herein have the meanings ascribed to them in the Protective Order. and this Addendum. No Receiving Party shall receive Discovery Material or Confidential Records produced by the FDIC-Receiver except under the terms and conditions of the Protective Order as modified by this Addendum and unless the Receiving Party has first signified their assent to be bound by the terms of the Protective Order as modified by this Addendum either as a signatory to this Addendum or by executing Exhibit A hereto. 2. 根据《保护令》及本附录的条款，FDIC 接管人属于出示方。 1 本文未另行定义的首字母大写术语具有《保护令》中赋予它们的含义。 任何接收方均不得接收由 FDIC 接管人出示的证据开示材料或保密记录，除非根据经本附录修改的《保护令》的条款和条件，且除非该接收方已首先作为本附录的签署方或通过签署本附录附件 A 表示同意受经本附录修改的《保护令》条款的约束。

3. To the extent that any Discovery Material or Confidential Records that are responsive to the Rule 2004 Request or any other discovery request served on the FDIC-Receiver in connection with the Chapter 11 Cases are subject to the Privacy Act of 1974, 5 U.S.C. § 552a, et al., and the FDIC's implementing federal regulations, 12 C.F.R. Part 310, this Order constitutes an order of a court of competent jurisdiction authorizing the disclosure, pursuant to 5 U.S.C. § 552a(b)(11) and 12 C.F.R § 310.10(b), of such Discovery Material or Confidential Records to those persons and entities specified in Paragraph 10 of the Protective Order (the "Paragraph 10 Persons") under the conditions set forth therein. Such disclosure shall be subject to the provisions and protections of the Protective Order and this Addendum. Absent further order of the Court, only the Paragraph 10 Persons may have access to such Discovery Material or Confidential Records produced by the FDIC-Receiver. As to any other party in the Chapter 11 Cases seeking access to such Discovery Material or Confidential Records or any other discovery from the FDIC-Receiver in these Chapter 11 Cases (a "Third Party"), such Third Party shall attempt to obtain the written consent of each individual to whom the record pertains, in accordance with 5 U.S.C. § 552a(b) and 12 C.F.R § 310.10(a), and shall provide such written consent to the FDIC-Receiver. The form of such written consent shall be substantially in the form as attached in Exhibit B. If the Third Party is unable to obtain and provide such written consent to the FDIC-Receiver, or obtaining such written consent is impracticable due to the unavailability or inaccessibility of the individual from whom consent is sought, the Third Party may move the Court for the entry of an order authorizing the FDIC-Receiver to disclose the records that are subject to the Privacy Act, in accordance with 5 U.S.C. § 552a(b)(11) and 12 C.F.R § 310.10(b)(11), subject to the provisions and protections of the Protective Order and Addendum. The FDIC-Receiver shall not be required to produce documents to a Third Party in response to the Rule 2004 Request or any other discovery request served on the FDIC-Receiver in these Chapter 11 Cases that are subject to the Privacy Act of 1974 absent either (i) the written consent of the individual to whom the record pertains or the entry of an order of a court of competent jurisdiction authorizing such disclosure, or (ii) the satisfaction of any other applicable exception as set forth in 5 U.S.C. § 552a(b) and 12 C.F.R § 310.10(b)(1)–(12). 3. 就针对第 2004 条请求或与第 11 章案件相关的送达给 FDIC 接管人的任何其他开示请求所作出的任何受《1974年隐私权法》（Privacy Act of 1974, 5 U.S.C. § 552a 等）以及 FDIC 实施联邦法规（12 C.F.R. Part 310）管辖的证据开示材料或保密记录而言，本命令构成有管辖权法院的命令，授权依据 5 U.S.C. § 552a(b)(11) 及 12 C.F.R § 310.10(b)，在《保护令》第 10 款规定的条件下，向该款所指定的个人和实体（简称「第 10 款人员」）披露该等证据开示材料或保密记录。该等披露应受《保护令》及本附录的条款与保护措施管辖。在法院作出进一步命令之前，仅有第 10 款人员可以获取由 FDIC 接管人出示的该等证据开示材料或保密记录。对于第 11 章案件中寻求获取该等证据开示材料或保密记录、或寻求在这些第 11 章案件中向 FDIC 接管人进行任何其他开示的任何其他当事方（简称「第三方」），该第三方应尝试依据 5 U.S.C. § 552a(b) 和 12 C.F.R § 310.10(a) 获得与该记录相关的每位个人的书面同意，并将该书面同意提供给 FDIC 接管人。该书面同意的形式应基本与附件 B 所附形式一致。如果第三方无法获得该书面同意并提供给 FDIC 接管人，或者由于被寻求同意的个人无法联系或无法找到而导致获取该书面同意不切实际，第三方可依据 5 U.S.C. § 552a(b)(11) 及 12 C.F.R § 310.10(b)(11) 向法院提出动议，请求作出一项授权 FDIC 接管人披露受《隐私权法》管辖之记录的命令，但须受《保护令》及本附录的条款与保护措施管辖。对于受《1974年隐私权法》管辖的材料，FDIC 接管人无须为了回应第 2004 条请求或在这些第 11 章案件中向 FDIC 接管人送达的任何其他开示请求而向第三方出示文件，除非具备以下条件之一：(i) 获得记录相关个人的书面同意，或有管辖权法院作出授权该等披露的命令；或 (ii) 符合 5 U.S.C. § 552a(b) 及 12 C.F.R § 310.10(b)(1)–(12) 中规定的任何其他适用例外。

4. "Confidential Records" are materials that contain (a) trade secrets or other confidential research, development, or commercial information; (b) information subject by law or by contract to a legally protected right of privacy; (c) information that the FDIC-Receiver is legally obligated by law to keep confidential; (d) information that the FDIC-Receiver would not normally reveal to third parties except in confidence or has undertaken with others to maintain in confidence; or (e) Discovery Material designated as "Confidential" or "Highly Confidential" in the Protective Order. Notwithstanding anything to the contrary contained herein, Confidential Records do not include information that (1) is or becomes generally available to the public other than as a result of disclosure by the FDIC-Receiver or a party in interest in the Chapter 11 Cases in breach of the Protective Order or Addendum; or (2) becomes available to the Receiving Party on a nonconfidential basis from a source other than the FDIC-Receiver, provided that such source is not bound by a confidentiality agreement with or other contractual, legal, or fiduciary obligation of confidentiality to any other party hereto with respect to such information. 4. 「保密记录」是指包含以下内容的材料：(a) 商业秘密或其他保密的研究、开发或商业信息；(b) 依法或依合同享有受法律保护的隐私权的信息；(c) FDIC 接管人依法负有法律保密义务的信息；(d) FDIC 接管人通常不会向第三方披露（除非在保密前提下）或已向他人承诺予以保密的信息；或 (e) 在《保护令》中被指定为「保密」或「高度保密」的证据开示材料。尽管本文有任何相反规定，保密记录不包括以下信息：(1) 并非因 FDIC 接管人或第 11 章案件中的利害关系方违反《保护令》或本附录进行披露而已公开或变为普遍可从公众途径获取的信息；或 (2) 由 FDIC 接管人以外的来源在非保密基础上向接收方提供的信息，前提是该来源就该等信息不受对本协议任何其他当事方的保密协议约束，亦不对其承担其他合同、法律或信义保密义务。

5. Confidential Records may be so designated in the same manner of marking Discovery Material as "Confidential" or "Highly Confidential" as described in Paragraph 6 of the Protective Order. 5. 保密记录可按照《保护令》第 6 款所述将证据开示材料标记为「保密」或「高度保密」的相同方式进行该等指定。

6. Confidential Records, including all records produced by the FDIC-Receiver that are marked "Confidential" or "Highly Confidential" or otherwise designated as confidential, and all information contained therein or related thereto, shall be held strictly confidential and may be used only in accordance with Paragraph 8 of the Protective Order. 6. 保密记录，包括由 FDIC 接管人出示的标记为「保密」或「高度保密」或以其他方式指定为保密的所有记录，以及其中包含或与之相关的所有信息，均应严格保密，且仅可按照《保护令》第 8 款的规定予以使用。

7. In accordance with Paragraph 7 of the Protective Order, the FDIC-Receiver's inadvertent failure to designate any Confidential Records as "Confidential" or "Highly Confidential" shall not be deemed a waiver of the FDIC-Receiver's later claim that such Confidential Records are "Confidential" or "Highly Confidential," and the FDIC-Receiver may designate such Confidential Records as "Confidential" or "Highly Confidential" pursuant to the Protective Order and this Addendum at any time thereafter. At such time, arrangement will be made for the substitution, where appropriate, of properly labeled copies of such Confidential Records. All previously produced copies of such Confidential Records that were mis-designated shall be destroyed by the Receiving Party upon receipt of replacement copies of such Confidential Records with the proper designation. The Receiving Party shall verify in writing that it has destroyed said mis-designated Confidential Records. The FDIC-Receiver's inadvertent failure to designate any Confidential Records as "Confidential" or "Highly Confidential" shall not be cause to adjourn any deposition or other proceeding, unless by agreement of the parties. 7. 根据《保护令》第 7 款，FDIC 接管人非故意未能将任何保密记录指定为「保密」或「高度保密」，不应被视为放弃 FDIC 接管人事后主张该等保密记录属于「保密」或「高度保密」的权利，且 FDIC 接管人此后可随时依据《保护令》及本附录将该等保密记录指定为「保密」或「高度保密」。届时，将在适当情况下安排替换为贴有正确标签的该等保密记录副本。此前出示的、未作正确指定的所有该等保密记录副本，应在接收方收到带有正确指定的该等保密记录替换副本后由接收方予以销毁。接收方应以书面形式核实其已销毁上述错误指定的保密记录。FDIC 接管人非故意未能将任何保密记录指定为「保密」或「高度保密」，不得成为推迟任何宣誓证言陈述程序或其他程序的理由，除非经各方一致同意。

8. The provisions at Paragraph 27 of the Protective Order regarding Production of Privileged Discovery Material shall apply except that the first sentence of that paragraph shall be deleted and replaced with the following language: 8. 《保护令》第 27 款关于特权证据开示材料出示的规定应予适用，但该款第一句应予删除并替换为以下文句：

The production of any privileged or otherwise protected or exempted information shall not be deemed a waiver or impairment of any claim of privilege or protection, including, but not limited to, the attorney-client privilege or the protection afforded to work product materials, or the subject matter thereof, as to the produced information, or any other information. The production of privileged or work-product protected documents, electronically stored information, or other information, whether inadvertent or otherwise, is not a waiver of the privilege or protection from discovery in the Chapter 11 Cases or in any other federal or state proceeding. This Order shall be interpreted to provide the maximum protection afforded by Federal Rule of Evidence 502(d). 任何享有特权或以其他方式受保护或受豁免之信息的出示，就所出示的信息或任何其他信息而言，均不应被视为放弃或损害关于特权或保护的任何主张，包括但不限于律师-委托人保密特权或给予工作成果材料的保护，或其标的事项。享有特权或受工作成果保护的文件、电子存储信息或其他信息的出示（无论是非故意还是其他情形），均不构成在第 11 章案件中或在任何其他联邦或州程序中放弃该特权或免于开示的保护。本命令应被解释为提供《联邦证据规则》第 502(d) 条所赋予的最大限度的保护。

9. Confidential Records may be disclosed only to the Paragraph 10 Persons. 9. 保密记录仅可向第 10 款人员披露。

10. No person permitted access to Confidential Records pursuant to Paragraph 10 of the Protective Order and this Addendum shall transcribe, copy, or disclose in any manner any information contained in or related to the Confidential Records, except in accordance with the terms of the Protective Order and this Addendum or upon order of the Court or as necessary for the limited purpose of the preparation, discovery in connection with, trial, and appeal of the Chapter 11 Cases. 10. 根据《保护令》第 10 款及本附录获准接触保密记录的任何人，均不得以任何方式转录、复制或披露保密记录中包含的或与之相关的任何信息，但依据《保护令》及本附录的条款、或依据法院命令、或出于第 11 章案件的准备、相关证据开示、审理及上诉的有限目的所必需者除外。

11. The Receiving Party shall use, and shall cause its agents, employees, controlling persons, consultants, advisors, accountants, and legal counsel (collectively, the "Representatives") to use the Confidential Records solely in a manner consistent with the Protective Order and this Addendum and make all reasonably necessary efforts to safeguard Confidential Records from disclosure to anyone other than as permitted hereby. Representatives who are given access to Confidential Records will be instructed that such persons and the parties are bound by the terms of the Protective Order and this Addendum. 11. 接收方应仅以符合《保护令》及本附录的方式使用保密记录，并应促使其代理人、雇员、控股人员、顾问、咨询人、会计师及法律顾问（统称「代表」）仅以此种方式使用保密记录，并尽一切合理必要的努力保护保密记录免于向除本文准许之外的任何人披露。获准接触保密记录的代表应被告知该等人员及各方均受《保护令》及本附录条款的约束。

12. Any disputes concerning the FDIC-Receiver's production of Confidential Records shall be adjudicated in accordance with the "Manner of Objecting to Designated Material" provision at Paragraph 25 of the Protective Order. 12. 凡涉及 FDIC 接管人出示保密记录的任何争议，均应按照《保护令》第 25 款「对指定材料提出异议之方式」的规定进行裁决。

13. The terms and conditions of this Addendum apply to any subsequent or supplemental process that may be issued and served on the FDIC-Receiver in connection with the Chapter 11 Cases. 13. 本附录的条款和条件适用于与第 11 章案件相关可能签发并送达给 FDIC 接管人的任何后续或补充程序文书。

14. 若任何接收方根据保护令或本附录的规定，向未列入保护令第 10(a)(i) 段及第 10(c)-(g) 段所指定人员之列的接收人披露被指定为保密或高度保密的保密记录，该接收人应签署一份格式如本附录附件 A 所示的宣誓书，披露该保密记录一方的法律顾问应保留该宣誓书的签署副本，但无需向法院提交。

15. 任何签署本附录附件 A 的主体均应受保护令及本附录的条款和条件约束，如同其为保护令及本附录的签署方一样。

16. 根据保护令第 38 段，各方同意，根据美国受托人（U.S. Trustee）的要求，应向其提供 FDIC 作为接管人（FDIC-Receiver，联邦存款保险公司接管人）针对第 2004 条规则请求（Rule 2004 Request）或向 FDIC 作为接管人送达的任何其他证据开示请求所出示的所有记录，且美国受托人可进行并参与本裁定所预期且受其管辖的所有证据开示。本裁定构成具有管辖权的法院作出的裁定，授权根据 5 U.S.C. § 552a(b)(11) 及 12 C.F.R § 310.10(b) 向美国受托人披露此类开示材料或保密记录。

17. 本附录经受托人与 FDIC 作为接管人签署并经法院批准后生效。

各方约定并同意如下：

日期：2023年12月19日 LUC A DESPINS（卢克·A·德斯平斯）

/s/ Patrick R. Linsey（帕特里克·R·林赛）______________________

Patrick R. Linsey (ct29437) NEUBERT, PEPE & MONTEITH P.C.（纽伯特、佩佩与蒙泰思律师事务所） 195 Church Street, 13th Floor New Haven, Connecticut 06510 (203) 781-2847 plinsey@npmlaw.com

日期：2023年12月19日 FEDERAL DEPOSIT INSURANCE CORPORATION LEGAL DIVISION（联邦存款保险公司法律部）

/s/ Rosemary Q. Barry（罗斯玛丽·Q·巴里）__________ Rosemary Q. Barry (ct202730) 纽约法律服务处（New York Legal Services Office） 350 Fifth Avenue, Suite 1200 New York, New York 10118 (917) 320-2862 RBarry@fdic.gov

第三方 Federal Deposit Insurance Corporation as Receiver for Signature Bridge Bank N.A.（联邦存款保险公司作为签名过桥银行接管人）代理律师

于康涅狄格州布里奇波特市（Bridgeport, Connecticut）特此下达裁定，日期为 2023年12月20日。

本人，___________________，陈述如下：

1. 本人的办公或个人地址为 _____________________________________________

__________________________________________________。

2. 本人现任雇主为 _________________________________________。

3. 本人目前职业或职位说明为 ___________________________。

4. 本人已被告知并/或已阅读各方在 In re Ho Wan Kwok, et al.（关于郭文贵等人），案号 22-50073 (JAM)（Bankr. D. Conn.，康涅狄格区破产法院）中所签署的保护令及其附录（合称“保护令”），本人理解并将遵守其内容及保密要求。本人同意对就上述案件向本人提供的、根据保护令及附录被指定为“保密”的所有保密记录予以保密，且本人不会向除保护令及附录明确授权人员之外的人员泄露附录中所定义的、被指定为“保密”或“高度保密”的任何保密记录。本人不会以保护令未明确允许的任何方式使用任何保密记录。

5. 本人理解，违反保护令将受到藐视法庭的处罚以及法院在当时情况下认为适当的其他潜在制裁。如发生任何违反本协议的行为或发生与本协议相关的争议，本人同意接受 United States Bankruptcy Court for the District of Connecticut（美国康涅狄格区破产法院）的管辖权。

6. 本人在此据实陈述，如有不实甘受伪证罪处罚，上述内容均真实准确无误。

本人，___________________________，理解根据 1974 年《隐私法案》（Privacy Act of 1974），5 U.S.C. § 552a，Federal Deposit Insurance Corporation as the Receiver for Signature Bridge Bank, N.A.（联邦存款保险公司作为签名过桥银行接管人，“FDIC-Receiver”）不得通过任何通信方式向任何人或向另一机构披露系统中包含的任何记录，除非依据该记录所涉个人的书面请求或事先书面同意，或者根据该法规或依其颁布的规章存在允许此类披露的例外情况。

本人知悉由律师 _____________________（“律师”）代表 _________________________________ 发出的、日期为 _____________________ 的出示文件请求或传票，该请求或传票涉及 _______________________________________ _________________________________________ 一案。本人理解该请求或传票要求 FDIC 作为接管人提供有关本人 ___________________________ 的文件副本，包括任何 ___________________________ 文件。

本人特此同意 FDIC 作为接管人根据《联邦破产程序规则》（Federal Rules of Bankruptcy Procedure）第 2004 条规则、5 U.S.C. § 552a(b) 及 12 C.F.R § 310.10(a)，向律师披露上述文件，以推进上述案件中的证据开示程序。本人进一步同意律师在上述案件订立的保护令及附录所允许的范围内，披露、分发和使用此类文件。

本人根据美利坚合众国法律，据实声明如有不实甘受伪证罪处罚：上述内容均真实准确无误，本人为上述指名之人，且本人即为待披露记录或信息所涉及之人。本人理解，根据 18 U.S.C. § 1001 的规定，伪造本声明将处以不超过 $10,000 的罚金，或不超过五年的监禁，或两者并罚；且根据 5 U.S.C. § 552a(i)(3) 的规定，以虚假借口请求或获取任何记录将处以不超过 $5,000 的罚金。

本同意书的复印件或电子传输副本（例如 pdf 文件）应被视为与原件具有同等效力。