International Commercial Arbitration

Transcription

1 International Commercial Arbitration Practitioner's Guide Bearbeitet von Dr. Stephan Balthasar, Dr. Philipp Duncker, Georgios Fasfalis, Dr. Martin Illmer, Tan Kai Liang, Marc Krestin, Amy Lo, Nuno Lousa, Konstantin Lukoyanov, Tilman Niedermaier, Dr. Michael Nueber, Prof. Dr. Maud Piers, Prof. Dr. Xiong Qi, Roman Richers, Dr. Ramesh Selvaraj, Yong Shang, Prof. Dr. Dennis Solomon, Dr. Ben Steinbrück, Dr. Hanno Wehland, Niclas Widjeskog, Dr. Gerold Zeiler, Roland Ziadé 1. Auflage Buch. Rund 550 S. In Leinen ISBN Recht > Zivilverfahrensrecht, Berufsrecht, Insolvenzrecht > Zivilverfahrensrecht allgemein, Gesamtdarstellungen > Streitschlichtung, Mediation Zu Leseprobe und Sachverzeichnis schnell und portofrei erhältlich bei Die Online-Fachbuchhandlung beck-shop.de ist spezialisiert auf Fachbücher, insbesondere Recht, Steuern und Wirtschaft. Im Sortiment finden Sie alle Medien (Bücher, Zeitschriften, CDs, ebooks, etc.) aller Verlage. Ergänzt wird das Programm durch Services wie Neuerscheinungsdienst oder Zusammenstellungen von Büchern zu Sonderpreisen. Der Shop führt mehr als 8 Millionen Produkte.

2 Balthasar International Commercial Arbitration

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4 International Commercial Arbitration International Conventions, Country Reports and Comparative Analysis edited by Stephan Balthasar with contributions by Stephan Balthasar, Philipp Duncker, Georgios Fasfalis, Raquel Galvão Silva, Martin Illmer, Marc Krestin, Amy Lo, Nuno Lousa, Konstantin Lukoyanov, Melissa Magliana, Dirk De Meulemeester, Michael Nueber, Tilman Niedermaier, Maud Piers, Roman Richers, Valeria Romanova, Ramesh Selvaraj, Yong Shang, Dennis Solomon, Ben Steinbrück, Kai Liang Tan, Cedric Vanleenhove, Hanno Wehland, Niclas Widjeskog, Qi Xiong, Gerold Zeiler, Roland Ziadé 2016 C. H. BECK Hart Nomos

5 Published by Verlag C. H. Beck ohg, Wilhelmstraße 9, München, Germany, Co-published by Hart Publishing, 16C Worcester Place, Oxford, OXI 2JW, United Kingdom, online at: Published in North America (US and Canada) by Hart Publishing, c/o International Specialized Book Services, 930 NE 58 th Avenue, Suite 300, Portland, OR , USA, and Nomos Verlagsgesellschaft mbh & Co. KG Waldseestraße 3 5, Baden-Baden, Germany, nomos@nomos.de ISBN (BECK) ISBN (Hart Publishing) ISBN (Nomos) 2016 Verlag C. H. Beck ohg Wilhelmstr. 9, München Printed in Germany by Beltz Bad Langensalza GmbH Neustädter Straße 1 4, Bad Langensalza Typeset by Reemers Publishing Services GmbH, Krefeld Einbandgestaltung: Druckerei C.H. Beck Nördlingen All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, without the prior permission of Verlag C. H. Beck, or as expressly permitted by law under the terms agreed with the appropriate reprographic rights organisation. Enquiries concerning reproduction which may not be covered by the above should be addressed to C. H. Beck at the address above.

6 Preface International arbitration has become one of the most challenging and exciting areas in international commercial law. In order to draft effective arbitration clauses and to develop strategies in arbitral proceedings, it is important for practitioners to understand not just the arbitration law of their home countries, but also that of other countries that have a link to the dispute due to the domicile of the parties, the seat of the arbitral tribunal or the place where recognition and enforcement is likely to occur. This task is made difficult by practical, linguistic and cultural barriers. It becomes even more challenging due to the fast-changing and constantly evolving legal environment. Major jurisdictions such as Belgium, Brazil, France and the Netherlands revised their arbitration laws over the last few years. The landscape of international conventions is developing as well, most recently with the United Nations Convention on Transparency in Treaty-based Investor-State Arbitration of Landmark cases such as the Gazprom decision of the European Court of Justice of 13 May 2015 continue to shape arbitration law and practice. This guide addresses the need for ready access to foreign arbitration laws and case law. It covers both international material and conventions, including protection afforded under investment treaties, and country reports on international commercial arbitration in major jurisdictions that are of great practical importance. It owes everything to the support from leading experts from various jurisdictions, and I wish to take this opportunity to express my gratitude to the authors who contributed to this guide and without whose efforts it would not have been possible to complete this project. I am greatly indebted to Dr Wilhelm Warth for his patience and his invaluable advice. I would also like to thank my colleagues Lee Meng Ng, Kulwant Thandi and Dr Wolfgang Winter for their generous help and support. Le plus grand merci à Cécile, et à nos enfants, Emilie et Matthias. Munich, 1 October 2015 Stephan Balthasar V

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8 Overview Preface... V Table of Contents... IX List of Abbreviations... XXXIII List of Authors... XXXIX Part 1: Introduction Best practice in international arbitration: comparative reflections on the UNCITRAL Model Law (Stephan Balthasar)... 1 Part 2: International Conventions and Treaties International Commercial Arbitration: The New York Convention (Dennis Solomon) Investment Treaty Arbitration (Hanno Wehland) Part 3: Country Reports International Arbitration in Austria (Michael Nueber/Gerold Zeiler) International Arbitration in Belgium (Maud Piers/Cedric Vanleenhove/ Dirk De Meulemeester) International Arbitration in Brazil (Nuno Lousa/Raquel Galvão Silva) International Arbitration in China (People s Republic) (Qi Xiong/Yong Shang) International Arbitration in England and Wales (Martin Illmer) International Arbitration in France (Stephan Balthasar/Roland Ziadé) International Arbitration in Germany (Stephan Balthasar) International Arbitration in Hong Kong (Amy Lo) International Arbitration in India (Ben Steinbrück) International Arbitration in the Netherlands (Georgios Fasfalis/Marc Krestin) International Arbitration in the Russian Federation (Konstantin Lukoyanov/ Valeria Romanova) International Arbitration in Singapore (Ramesh Selvaraj/Tan Kai Liang) International Arbitration in Spain (Philipp Duncker) International Arbitration in Sweden (Niclas Widjeskog) International Arbitration in Switzerland (Roman Richers/Melissa Magliana) International Arbitration in the U.S. (Tilman Niedermaier) Index VII

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10 Preface... V Overview... VII List of Abbreviations... XXXIII List of Authors... XXXIX PART 1 INTRODUCTION 1. Best practice in international arbitration: comparative reflections on the UNCITRAL Model Law... 1 I. Introduction... 3 II. The principles of international commercial arbitration International commercial arbitration: A definition The legal framework The territoriality principle and the place of arbitration Ad hoc and institutional arbitration Advantages and disadvantages of international commercial arbitration... 9 a) Practicability... 9 b) Party autonomy and neutrality of the forum c) Efficiency d) Confidentiality e) Cross-border enforcement regime f) Multi-party proceedings and summary judgments III. The arbitration agreement The doctrine of separability The law governing the arbitration agreement a) Formation and interpretation of the arbitration agreement b) Agency The validity of the arbitration agreement a) Capacity b) Arbitrability c) Form d) Arbitration agreements that are invalid, inoperative or incapable of being performed e) Termination The interpretation and the scope of the arbitration agreement a) Substantive scope (scope ratione materiae) b) Personal scope (scope ratione personae) c) Pathological arbitration clauses d) Multi-tier clauses The effect of the arbitration agreement a) Enforcing the arbitration agreement and Kompetenz-Kompetenz b) Anti-suit injunctions and other strategies for enforcing arbitration agreements c) Preclusion of jurisdictional defences d) Binding effect of state court decisions on jurisdiction Drafting arbitration clauses: A checklist IV. The arbitral tribunal and the conduct of arbitral proceedings The arbitral tribunal a) Constitution and number of arbitrators b) Qualifications, impartiality and independence of the arbitral tribunal c) Procedural issues The conduct of the arbitral proceedings a) Request for arbitration, statements of claim and defence, hearings, default b) Equality of arms, fair trial principles and the right to be heard c) Confidentiality d) The arbitral award e) Termination f) Costs IX

11 3. Evidence, discovery, disclosure The law governing the dispute and lois de police Interim relief in arbitration Multi-party arbitration V. The review and the enforcement of arbitral awards Correction and interpretation of arbitral awards Review of arbitral awards before the state courts a) General principles aa) No review of the merits bb) Procedural framework b) Grounds for setting aside arbitral awards aa) Lack of jurisdiction bb) Erroneous denial of jurisdiction cc) Composition of the arbitral tribunal and procedural errors dd) Breach of the right to be heard ee) Public policy Enforcement of arbitral awards a) General procedural framework b) Defences to enforcement under article 36 ML c) Stay of enforcement pending setting aside proceedings d) Enforcement of awards that have been set aside Preclusion, waiver, estoppel a) Failure to object in arbitral proceedings b) Failure to apply to have the award set aside c) Recognition of foreign decisions, res judicata and estoppel VI. Conclusion PART 2 INTERNATIONAL CONVENTIONS AND TREATIES 2. International Commercial Arbitration: The New York Convention I. General General purpose and scope of the New York Convention History of the Convention Status and implementation of the Convention into the national law of the Contracting States Interpretation of the Convention Relationship to other sources of law II. Scope of application of the Convention General Temporal applicability Applicability to the recognition and enforcement of arbitral awards a) Overview of the requirements b) The territorial scope of application aa) General bb) Article I(1) s. 1 NYC: Foreign awards ( awards made in the territory of another State ) (1) General (2) Determination of the place where the award was made cc) Article I(1) s. 2 NYC: Non-domestic awards ( awards not considered as domestic awards ) (1) General (2) Specific applications dd) Applicability to a-national or transnational awards c) The kinds of awards covered by the Convention aa) General considerations bb) Resolution of a legal dispute cc) Authority derived from the autonomy of the parties dd) Further elements relating to the existence of an arbitral award (1) Regarding the arbitral tribunal (2) Regarding the parties (3) Regarding the nature of the legal dispute ee) Requirements with regard to the content of the decision X

12 (1) General considerations the requirement of a final and binding award (2) Partial awards (3) Interim awards (4) Provisional measures (5) Decisions with merely contractual force (6) Extension of scope of application by other law d) Reservations, article I(3) NYC aa) General bb) Reservation of reciprocity (s. 1) cc) Commercial dispute reservation (s. 2) dd) Interaction of both reservations Applicability to the recognition of arbitration agreements a) General considerations b) Territorial scope of application c) Application of the reservations to the enforcement of arbitration agreements III. Recognition of Arbitration Agreements General a) Structural considerations b) Situations in which article II applies Validity of the arbitration agreement a) General principles b) Separability doctrine c) Form of the arbitration agreement aa) The in writing requirement of article II NYC bb) Agreement signed by both parties cc) Exchange of letters or telegrams dd) Arbitral clauses contained in general terms and conditions ee) Approaches towards a liberalization of the Convention s form requirements d) Substantive validity in general aa) Autonomous substantive requirements of article II NYC bb) Determination of the applicable law cc) Provisions on the protection of the weaker party e) Subject matter capable of settlement by arbitration ( objective arbitrability ) f) Capacity of the parties to arbitrate g) Agency h) Effectiveness of the arbitration agreement for and against third parties i) Public policy Determination of the scope of the arbitration agreement Other objections to the recognition of arbitration agreements, in particular: arbitration agreements incapable of being performed Cure of defective arbitration agreements, preclusion with regard to the defence of invalidity of the arbitration agreement a) General considerations b) Cure of an initially defective arbitration agreement c) Procedural preclusion d) Good faith Referral to arbitration a) General b) Relationship between national court and arbitral tribunal More favourable law IV. Recognition and Enforcement of Arbitral Awards The obligation to recognize and enforce foreign arbitral awards, article III NYC Formal requirements for recognition and enforcement, article IV NYC a) General b) Presentation of the arbitral award, article IV(1)(a) NYC c) Presentation of the arbitration agreement, article IV(1)(b) NYC d) Exceptions to the requirements of article IV(1) NYC e) Submission of a translation, article IV(2) NYC f) More favourable law Grounds for refusal of recognition and enforcement of arbitral awards, article V NYC a) General principles aa) Exhaustive grounds for refusal, narrow interpretation XI

13 bb) Prohibition of a révision au fond cc) Discretion to enforce awards despite the existence of a ground for refusal? dd) Establishing defences and burden of proof ee) Waiver and preclusion (1) General (2) Party agreement (waiver) (3) Failure to make a timely objection to the arbitral tribunal (4) Failure to take recourse against the award in the country of origin (5) Good faith ff) Partial recognition and enforcement gg) Relevance of decisions by the arbitral tribunal or national courts (1) General (2) Decisions by the arbitral tribunal (3) Decisions by national courts b) Lack of a valid arbitration agreement, article V(1)(a) NYC aa) General bb) Form cc) Substantive validity dd) Capacity to conclude an arbitration agreement ee) Objective arbitrability ff) Other defects of the arbitration agreement gg) More favourable law, article VII(1) NYC c) Violation of due process, article V(1)(b) NYC aa) General principle and applicable standard bb) Elements of due process (1) General (2) Proper notice (3) Right to present case cc) Causality dd) Waiver and preclusion d) Excess of the submission to arbitration, article V(1)(c) NYC aa) General bb) Application of incorrect rules to the substance of the dispute cc) Decisions ultra and infra petita dd) Time limits e) Improper composition of the arbitral tribunal and improper proceedings, article V(1)(d) NYC aa) General bb) Applicable standard (1) General principles (2) Party autonomy and mandatory rules of the place of arbitration cc) Limitations to the relevance of procedural irregularities f) Award not yet binding or no longer binding, article V(1)(e) NYC aa) General bb) Award not binding (1) General considerations (2) Formal requirements for the making of the award (3) Confirmation by a court in the country of origin (4) Availability of recourse against the award (5) Party agreement (6) Passing of time limits for enforcement (7) Effects of a merger cc) Award set aside or suspended (1) General principles (2) Jurisdiction (3) Scope of review (4) Enforcement of awards despite an annulment g) Non-arbitrability of the subject matter, article V(2)(a) NYC aa) General principle and applicable law bb) Specific applications h) Violation of public policy, article V(2)(b) NYC aa) General principles XII

14 (1) Notion of public policy and applicable law (2) International public policy and sufficient connection to the forum (3) Prohibition of a review on the merits (4) Foreign public policy (5) Extent of review of the arbitral award bb) Procedural public policy (1) General considerations (2) Particular applications cc) Substantive public policy Adjournment in view of setting-aside proceedings, article VI NYC Enforcement procedure for arbitral awards a) General b) Jurisdictional requirements for enforcement, forum non conveniens c) Periods of limitation d) Counterclaims and set-off e) Prohibition of discriminatory provisions Alternative means of enforcement a) Enforcement under more favourable law of the Contracting State, article VII(1) NYC b) Recognition and enforcement of court decisions granting exequatur of the award c) Other means of enforcement Investment Treaty Arbitration I. Introduction II. The general requirements for the protection of investors under IIAs The nationality of investors The existence of an investment a) General characteristics of an investment b) Link to the territory of the host State c) Legality of the investment d) Specific approval requirements e) Timing of the investment f) The protection of shareholders and indirect investments III. Investor-State arbitration under treaty dispute resolution mechanisms Jurisdiction ratione personae Jurisdiction ratione materiae Jurisdiction ratione temporis Additional requirements for the reliance of an investor on the dispute resolution clause in an IIA a) Cooling-off periods b) Prior-recourse to court requirements c) Fork-in-the-road provisions Ex-ante consolidation and proceedings involving multiple claimants IV. Substantive protection standards under IIAs Protection in the event of an expropriation Fair and equitable treatment Full protection and security National treatment Most-Favoured-Nation treatment Prohibition of unreasonable or discriminatory measures Umbrella clauses V. Conclusion PART 3 COUNTRY REPORTS 4. International Arbitration in Austria I. Introduction The legal framework a) Domestic and international arbitration b) Commercial and non-commercial arbitration c) Ad hoc and institutional arbitration d) The territoriality principle, the seat of the arbitration and the lex arbitri e) Arbitration and other ADR mechanisms (mediation, expert determination) XIII

15 2. The guiding principles of Austrian arbitration law II. The arbitration agreement The doctrine of separability The law applicable to the arbitration agreement The validity of the arbitration agreement (capacity, arbitrability, form) a) Capacity to conclude arbitration agreements b) Arbitrability c) Form of the arbitration agreement d) Termination of the arbitration agreement The scope and the interpretation of the arbitration agreement a) Personal scope of the arbitration agreement b) Substantive scope of the arbitration agreement c) Pathological arbitration clauses The effect of the arbitration agreement and Kompetenz-Kompetenz a) Enforcing arbitration clauses and Kompetenz-Kompetenz b) Preclusion of jurisdictional defences c) Binding effect of state court decisions on jurisdiction of the arbitral tribunal III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal, impartiality and independence of the arbitrator a) Duty to disclose b) Grounds for challenge c) Procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act The arbitral proceedings a) The request for arbitration, statements of claim and defence, default b) Equality of arms, fair trial principle and the right to be heard c) Confidentiality d) The arbitral award e) Termination of the arbitration without an award f) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute and lois de police a) Choice of law and domestic cases b) Choice of law and lois de police Interim relief in arbitration a) Interim relief before state courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of arms and appointment of arbitrators IV. The control and the enforcement of arbitral awards Correction and amendment of arbitral awards Review of arbitral awards before state courts a) Procedural framework (time limits, competent court, appeal) b) The Grounds for setting aside arbitral awards: An overview c) Invalidity of the arbitration agreement and lack of jurisdiction of the arbitral tribunal d) Right to be heard e) Arbitral award ultra petita f) Public policy Enforcing arbitral awards a) Enforcement of awards that were set aside b) Set-off and similar defences Preclusion of grounds for challenge and defences to enforcement International Arbitration in Belgium I. Introduction Legal framework a) Domestic and international arbitration b) Commercial and non-commercial arbitration c) The territoriality principle, the seat of the arbitration and the lex arbitri d) Arbitration and other ADR mechanisms (mediation, expert determination) The guiding principles of arbitration law XIV

16 II. The arbitration agreement The doctrine of separability The applicable law The validity of the arbitration agreement (capacity, arbitrability, form) a) Capacity to conclude arbitration agreements b) Arbitrability c) Form of the arbitration agreement d) Termination of the arbitration agreement The scope and the interpretation of the arbitration agreement a) Personal scope of the arbitration agreement b) Substantive scope of the arbitration agreement c) Pathological arbitration clauses The effect of the arbitration agreement and Kompetenz-Kompetenz a) Enforcing arbitration clauses and Kompetenz-Kompetenz b) Preclusion of jurisdictional defenses c) Binding effect of state court decisions on jurisdiction of the arbitral tribunal III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal, impartiality and independence of the arbitrator a) Duty to disclose conflicts of interest b) Grounds for challenge c) Procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act The arbitral proceedings a) The request for arbitration b) Equality of arms, fair trial principles and the right to be heard c) Confidentiality d) The arbitral award e) Termination of the arbitration without an award f) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute and lois de police a) Choice of law and domestic cases b) Choice of law and lois de police Interim relief in arbitration a) Interim relief before state courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of arms and appointment of the arbitrators IV. The control and the enforcement of arbitral awards Correction and amendment of arbitral awards Review of arbitral awards before the state courts a) Procedural framework (time limits, competent court, appeal) b) Grounds for setting aside arbitral awards: An overview c) Lack of jurisdiction of the arbitral tribunal d) Composition of the tribunal and procedural irregularities e) Public policy Enforcing arbitral awards a) General framework b) Enforcement of awards that were set aside Preclusion of grounds for challenge and defences to enforcement a) Preclusion due to failure to object in the arbitral proceedings b) Preclusion due to failure to bring a setting-aside application International Arbitration in Brazil I. Introduction Legal framework a) Domestic and foreign arbitration b) Commercial and non-commercial arbitration c) Ad hoc and institutional arbitration d) The territorial principle, the seat of arbitration and lex arbitri e) Arbitration and other ADR mechanisms (mediation) XV

17 2. Guiding principles of Brazilian Arbitration Law II. The arbitration agreement The doctrine of separability The law applicable to the arbitration agreement The validity of the arbitration agreement (capacity, arbitrability, form) a) Capacity to conclude arbitration agreements b) Arbitrability c) Form of the arbitration agreement d) Termination of the arbitration agreement The scope and interpretation of the arbitration agreement a) Personal scope of the arbitration agreement b) Substantive scope of the arbitration agreement c) Pathological arbitration clauses The effect of the arbitration agreement and Kompetenz-Kompetenz a) Enforcing arbitration clauses and Kompetenz-Kompetenz b) Preclusion of jurisdictional defences c) Binding effect of State Court decisions on jurisdiction of the arbitral tribunal III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal, impartiality and independence of the arbitrator a) Duty to disclose b) Grounds for challenge c) Procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act Arbitral proceedings a) The request for arbitration b) Equality of arms, fair trial principles and the right to be heard c) Confidentiality d) The arbitral award e) Termination of the arbitration without an award f) Costs of the arbitration Evidence, discovery, disclosure The law governing the dispute and lois de police Interim relief in the arbitration a) Interim relief before State Courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of arms and appointment of the arbitrators IV. Control and enforcement of arbitral awards Correction and amendment of arbitral awards Review of arbitral awards before State Courts a) Procedural framework (time limit, competent court, appeal) b) Grounds for setting aside arbitral awards: an overview c) Lack of jurisdiction of the arbitral tribunal d) Unlawful composition of the tribunal and other procedural irregularities e) Public policy Enforcing arbitral awards a) Enforcement of awards that were set aside b) Fulfilment, set-off and similar defenses Preclusion of grounds for challenge and defenses to enforcement International Arbitration in China (People s Republic) I. Introduction The Legal Framework a) The arbitration law of the PRC b) The civil procedure law of the PRC c) International conventions d) Other relevant statutes The principles of the Arbitration Law of PRC a) Principle of free will b) Principle of conforming to the law c) Principle of independent arbitration XVI

18 d) Principle of single and final award II. Arbitration institution, arbitration tribunal and arbitrators in China Arbitration institutions in China Arbitration tribunal a) Formation of arbitration tribunal b) Jurisdiction Arbitrators a) Qualification requirements b) Responsibilities of arbitrators aa) Civil liability bb) Criminal liability III. The arbitration agreement Introduction a) Definition b) Form c) Arbitration clause d) Arbitration agreement e) Arbitration agreement contained in other files Essentials of the validity of an arbitration agreement a) Substantial essentials of arbitration agreements b) An expression of the intention to apply for arbitration c) Matters for arbitration d) A designated arbitration commission e) Other requirements f) Formal essentials of arbitration agreements Separability of arbitration agreement a) Legislation b) Judicial practice Specific contents of arbitration agreement a) The seat of arbitration b) Applicable law c) Applicable arbitration rules d) Applicable substantive law Effect of the arbitration agreement a) Effect for parties b) Effect for the court c) Effect for the arbitration institution IV. The arbitration procedure Arbitrability An important principle: confidentiality The arbitration proceedings a) Application and acceptance b) Defence and counterclaim c) The place of arbitration d) Challenge to the jurisdiction (challenge to the validity of the arbitration agreement) e) Interim measures of protection f) Withdrawal of arbitrators g) Hearing and rendering award aa) Preparations before hearing bb) Oral hearing cc) Settlement or mediation dd) Arbitral award h) Summary proceedings i) Fees and costs V. Setting aside of the arbitration award and enforcement of the arbitration award Setting aside of the arbitration award a) Grounds for setting aside aa) Grounds for setting aside listed in law bb) Social and public interest b) The competent court for setting aside c) Time limit d) Consequences XVII

19 2. Enforcement of the arbitration award a) Enforcement of the foreign-related award aa) Grounds for enforcement (or refusal of enforcement) bb) The competent court cc) Time limit dd) Consequences b) Enforcement of the foreign arbitration award aa) Enforcement under the New York Convention (1) Two reservations (2) Grounds for refusal of enforcement (3) The competent court (4) Time limit bb) Enforcement under other international treaties cc) Enforcement where no convention or treaty applies c) The pre-reporting mechanism for disallowing enforcement of the foreign-related award and refusing enforcement of the foreign award International Arbitration in England and Wales I. Introduction The legal framework a) Domestic and international arbitration b) Commercial and non-commercial arbitration c) Ad hoc and institutional, general commercial and sector-specific arbitration d) The territoriality principle, the seat of the arbitration and the lex arbitri e) Arbitration as compared to ADR and expert determination The guiding principles of English arbitration law II. The arbitration agreement The doctrine of separability The law applicable to the arbitration agreement The formation of the arbitration agreement a) General principles of contract law b) Capacity (subjective arbitrability) c) (Objective) Arbitrability d) Formal requirements e) Incorporation by reference Termination of the arbitration agreement The scope and the interpretation of the arbitration agreement a) Personal scope of the arbitration agreement b) Substantive scope of the arbitration agreement c) Pathological arbitration clauses Enforcing arbitration agreements a) Direct enforcement b) Indirect enforcement c) Tactical considerations The extent of the principle of Kompetenz-Kompetenz Binding effect of state court decisions on jurisdiction of the arbitral tribunal III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal a) Impartiality, fairness and further duties of the arbitrators b) Grounds for challenging arbitrators c) Procedural aspects and preclusion of grounds for challenge The arbitral proceedings a) Commencing the arbitration b) Impartiality and fair trial c) The tribunal s powers with regard to procedural and evidential matters d) Determination of preliminary point of law e) Confidentiality f) The arbitral award g) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute and lois de police Interim relief in arbitration XVIII

20 a) Interim relief before state courts b) Interim relief before the arbitral tribunal c) Relief by the tribunal or by the courts? Multi-party arbitration a) Arbitration agreement involving several parties b) Arbitration agreement and third persons or entities IV. The control, appeal and the enforcement of arbitral awards Correction of award or additional award Control, appeal and enforcement by the state courts a) Procedural framework b) Grounds for challenging arbitral awards: An overview c) Section 67: Lack of substantive jurisdiction of the arbitral tribunal d) Section 68: Serious irregularity e) Section 69: Appeal on point of law f) Separating section 68 and section 69 applications Enforcing arbitral awards a) Domestic and foreign awards under the section 66 procedure b) Enforcement of New York Convention awards aa) Invalidity of the alleged arbitration agreement (section 103(2)(b) AA 1996) bb) Award set aside by the seat courts (section 103(2)(f) AA 1996) cc) Violation of English public policy by recognizing and enforcing the award c) Fulfilment and set-off d) De minimis and waiver considerations Preclusion of grounds for challenge and defences to enforcement a) Preclusion due to failure to object in the arbitral proceedings b) Preclusion due to failure to bring a setting-aside application International Arbitration in France I. Introduction Legal framework a) Domestic and international arbitration b) Commercial and non-commercial arbitration c) Ad hoc and institutional arbitration d) The seat of the arbitration and the lex arbitri e) Arbitration and other ADR mechanisms The guiding principles of arbitration law II. The arbitration agreement The doctrine of separability The law applicable to the arbitration agreement The validity of the arbitration agreement (capacity, arbitrability, form) a) Capacity to enter into arbitration agreements b) Arbitrability c) Form of the arbitration agreement d) Termination of the arbitration agreement The scope and interpretation of the arbitration agreement a) The scope of the arbitration agreement ratione personae b) The scope of the arbitration agreement ratione materiae c) Pathological arbitration clauses The effect of the arbitration agreement and competence-competence a) Enforcing arbitration clauses and competence-competence b) Preclusion of jurisdictional defences c) Binding effect of state court decisions on jurisdiction of the arbitral tribunal III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal, impartiality and independence of the arbitrator a) Duty to disclose conflicts of interest b) Grounds for challenge c) Procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act The arbitral proceedings a) The request for arbitration b) Equality of arms, principle of fair trial and the right to be heard c) Confidentiality XIX

21 d) The arbitral award e) Termination of the arbitration without an award f) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute and mandatory laws (lois de police) Interim relief in arbitration a) Interim relief before state courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of arms and appointment of the arbitrators IV. The control and the enforcement of arbitral awards Correction, amendment and other means of redress of arbitral awards Review of arbitral awards before the state courts a) Procedural framework (time limits, competent court, appeal) b) Grounds for setting aside arbitral awards: An overview c) Lack of jurisdiction of the arbitral tribunal d) Irregularity in the constitution of the arbitral tribunal e) Non-compliance by the arbitral tribunal with its mandate f) Violation of due process g) International public policy Enforcing arbitral awards a) General framework b) Enforcement of awards that were set aside Preclusion of grounds for challenge and defences to enforcement International Arbitration in Germany I. Introduction The legal framework a) Domestic and international arbitration b) Commercial and non-commercial arbitration c) Ad hoc and institutional arbitration d) The territoriality principle, the seat of the arbitration and the lex arbitri e) Arbitration and other ADR mechanisms (mediation, expert determination) The guiding principles of German arbitration law II. The arbitration agreement The doctrine of separability The law applicable to the arbitration agreement The validity of the arbitration agreement (capacity, arbitrability, form) a) Capacity to conclude arbitration agreements b) Arbitrability c) Form of the arbitration agreement d) Termination of the arbitration agreement The scope and the interpretation of the arbitration agreement a) Personal scope of the arbitration agreement b) Substantive scope of the arbitration agreement c) Pathological arbitration clauses The effect of the arbitration agreement and Kompetenz-Kompetenz a) Enforcing arbitration clauses and Kompetenz-Kompetenz b) Preclusion of jurisdictional defences c) Binding effect of state court decisions on jurisdiction of the arbitral tribunal III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal, impartiality and independence of the arbitrator a) Duty to disclose b) Grounds for challenge c) Procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act The conduct of the arbitral proceedings a) Request for arbitration, statements of claim and defence, hearings, default b) Equality of arms, fair trial principles and the right to be heard c) Confidentiality d) The arbitral award XX

22 e) Termination of the arbitration without an award f) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute and lois de police a) Choice of law and domestic cases b) Choice of law and lois de police Interim relief in arbitration a) Interim relief before state courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of arms and appointment of the arbitrators IV. The control and the enforcement of arbitral awards Correction and amendment of arbitral awards Review of arbitral awards before the state courts a) Procedural framework (time limits, competent court, appeal) b) Grounds for setting aside arbitral awards: An overview c) Lack of jurisdiction of the arbitral tribunal d) Breach of the right to be heard e) Unlawful composition of the tribunal and other procedural errors f) Public policy Enforcing arbitral awards a) Enforcement of awards that were set aside b) Fulfilment, set-off and similar defences Preclusion of grounds for challenge and defences to enforcement a) Preclusion due to failure to object in the arbitral proceedings b) Preclusion due to failure to bring a setting-aside application International Arbitration in Hong Kong I. Introduction The legal framework a) Domestic and international arbitration b) Commercial and non-commercial arbitration c) Ad hoc and institutional arbitration d) The territoriality principle, the seat of the arbitration and the lex arbitri e) Arbitration and other ADR mechanisms (mediation, expert determination) The guiding principles of Hong Kong arbitration law II. The arbitration agreement The doctrine of separability The law applicable to the arbitration agreement The validity of the arbitration agreement (capacity, arbitrability, form) a) Capacity to conclude arbitration agreements b) Arbitrability c) Form of the arbitration agreement d) Termination of the arbitration agreement The scope and the interpretation of the arbitration agreement a) Personal scope of the arbitration agreement b) Substantive scope of the arbitration agreement c) Pathological arbitration clauses The effect of the arbitration agreement and Kompetenz-Kompetenz a) Enforcing arbitration clauses and Kompetenz-Kompetenz b) Preclusion of jurisdictional defences c) Binding effect of state court decisions on jurisdiction of the arbitral tribunal III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal, impartiality and independence of the arbitrator a) Duty to disclose b) Grounds for challenge c) Procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act The arbitral proceedings a) The request for arbitration b) Equality of arms, fair trial principles and the right to be heard XXI

23 c) Confidentiality d) The arbitral award e) Termination of the arbitration without an award f) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute and lois de police a) Choice of law and domestic cases b) Choice of law and lois de police Interim relief in arbitration a) Interim relief before state courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of arms and appointment of the arbitrators IV. The control and the enforcement of arbitral awards Correction and amendment of arbitral awards a) Correction b) Interpretation c) Additional award d) Others Review of arbitral awards before the state courts a) Procedural framework (time limits, competent court, appeal) aa) Applications to set aside an arbitral award under section bb) Challenging arbitral award on the ground of serious irregularity (1) Procedure (2) Remedies (3) Appeal against decision of Court cc) Appeal against arbitral award on question of law (1) Procedure (2) Remedies (3) Amended award dd) Indemnity costs orders for unsuccessful challenges b) Grounds for setting aside arbitral awards: An overview c) Lack of jurisdiction of the arbitral tribunal d) Unlawful composition of the tribunal and other procedural irregularities aa) Unlawful composition of tribunal bb) Inability to present case cc) Incapacity of party or invalidity of arbitration agreement e) Public policy f) Subject matter not arbitrable Enforcing arbitral awards a) Non-Convention awards made overseas b) Convention awards c) Mainland awards d) Macao awards e) Enforcement of awards that were set aside f) Fulfilment, set-off and similar defences Preclusion of grounds for challenge and defences to enforcement a) Preclusion due to failure to object in the arbitral proceedings b) Preclusion due to failure to bring a setting-aside application V. Immunity State immunity Crown immunity Conclusion International Arbitration in India I. Introduction The legal framework a) Domestic and international arbitration b) Commercial and non-commercial arbitration c) Ad hoc and institutional arbitration d) The territoriality principle, the seat of the arbitration and the lex arbitri XXII

24 e) Arbitration and other ADR mechanisms (mediation, expert determination) The guiding principles of Indian arbitration law II. The arbitration agreement The doctrine of separability The law applicable to the arbitration agreement The validity of the arbitration agreement (capacity, arbitrability, form) a) Capacity to conclude arbitration agreements b) Arbitrability c) Form of the arbitration agreement d) Termination of the arbitration agreement e) Anti-suit injunctions The scope and the interpretation of the arbitration agreement a) Personal scope of the arbitration agreement b) Substantive scope of the arbitration agreement c) Pathological arbitration clauses The effect of the arbitration agreement and Kompetenz-Kompetenz a) Enforcing arbitration clauses and Kompetenz-Kompetenz b) Preclusion of jurisdictional defences c) Binding effect of state court decisions on jurisdiction of the arbitral tribunal III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal a) Appointment of the arbitral tribunal b) Impartiality and independence of the arbitrator c) Grounds for challenge, procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act The arbitral proceedings a) The request for arbitration b) Equality of arms, fair trial principles and the right to be heard c) Confidentiality d) The arbitral award e) Termination of the arbitration without an award f) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute a) Choice of law and domestic cases b) Choice of law and international cases Interim relief in arbitration a) Interim relief before state courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of arms and appointment of the arbitrators IV. The control and the enforcement of arbitral awards Correction and amendment of arbitral awards Review of arbitral awards before the state courts a) Procedural framework (time limits, competent court, appeal) b) Grounds for setting aside arbitral awards: An overview c) Lack of jurisdiction of the arbitral tribunal and procedural irregularities d) Public policy Enforcing arbitral awards Preclusion of grounds for challenge and defences to enforcement International Arbitration in the Netherlands I. Introduction The legal framework a) Domestic and international arbitration b) Commercial and non-commercial arbitration c) Ad hoc and institutional arbitration d) The territoriality principle, the seat of the arbitration and the lex arbitri e) Arbitration and other ADR mechanisms (mediation, expert determination) The guiding principles of Dutch arbitration law II. The arbitration agreement XXIII

25 1. The doctrine of separability The law applicable to the arbitration agreement The validity of the arbitration agreement (capacity, arbitrability, form) a) Capacity to conclude arbitration agreements b) Arbitrability c) Form of the arbitration agreement d) Termination of the arbitration agreement The scope and the interpretation of the arbitration agreement a) Personal scope of the arbitration agreement b) Substantive scope of the arbitration agreement c) Pathological arbitration clauses The effect of the arbitration agreement and Kompetenz-Kompetenz a) Enforcing arbitration clauses and Kompetenz-Kompetenz b) Preclusion of jurisdictional defences c) Binding effect of state court decisions on jurisdiction of the arbitral tribunal III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal, impartiality and independence of the arbitrator a) Duty to disclose b) Grounds for challenge c) Procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act The arbitral proceedings a) The request for arbitration b) Equality of arms, fair trial principles and the right to be heard c) Confidentiality d) The arbitral award e) Termination of the arbitration without an award f) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute and lois de police a) Choice of law and domestic cases b) Choice of law and lois de police Interim relief in arbitration a) Interim relief before state courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of arms and appointment of the arbitrators IV. The Control and the Enforcement of Arbitral Awards Correction and amendment of arbitral awards Review of arbitral awards before the state courts a) Procedural framework (time limits, competent court, appeal) b) Grounds for setting aside arbitral awards: An overview c) Lack of jurisdiction of the arbitral tribunal d) Unlawful composition of the tribunal and other procedural irregularities e) Public Policy Enforcing arbitral awards a) Enforcement of awards that were set aside b) Fulfilment, set-off and similar defences Preclusion of grounds for challenge and defences to enforcement a) Preclusion due to failure to object in the arbitral proceedings b) Preclusion due to failure to bring a setting-aside application International Arbitration in the Russian Federation I. Introduction Arbitrazh courts and arbitral tribunals The legal framework a) Domestic and international arbitration b) Commercial and non-commercial arbitration c) Ad hoc and institutional arbitration d) The territoriality principle, the seat of the arbitration and the lex arbitri e) Arbitration and other ADR mechanisms (mediation, expert determination) XXIV

26 3. The guiding principles of Russian arbitration law II. The arbitration agreement The doctrine of separability The law applicable to the arbitration agreement The validity of the arbitration agreement (capacity, arbitrability, form) a) Capacity to conclude arbitration agreements b) Arbitrability c) Non-arbitrability aa) Non-arbitrability of disputes connected with immovable property bb) Non-arbitrability of corporate disputes d) Form of the arbitration agreement e) Termination of the arbitration agreement The scope and the interpretation of the arbitration agreement a) Scope of the arbitration agreement b) The interpretation of the arbitration agreement c) Pathological arbitration clauses The effect of the arbitration agreement and Kompetenz-Kompetenz III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal, impartiality and independence of the arbitrator a) Duty to disclose b) Grounds for challenge c) Procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act The arbitral proceedings a) The request for arbitration b) Equality of arms, fair trial principles and the right to be heard c) Confidentiality d) The arbitral award e) Termination of the arbitration without an award f) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute and lois de police a) Choice of law and domestic cases b) Choice of law and lois de police Interim relief in arbitration a) Interim relief before state courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of arms and appointment of the arbitrators IV. The control and the enforcement of arbitral awards Correction and amendment of arbitral awards Review of arbitral awards before the state courts a) Procedural framework (time limits, competent court, appeal) b) Grounds for setting aside arbitral awards: An overview c) Invalidity of arbitration agreement d) Violation of due process and absence of proper notice about the proceedings e) Lack of authority of the arbitral tribunal f) Unlawful composition of the tribunal and other procedural irregularities g) The non-arbitrability of the original dispute h) Public policy Enforcing arbitral awards a) General framework b) Enforcement of awards that were set aside c) Fulfilment, set-off and similar defences Preclusion of grounds for challenge and defences to enforcement a) Preclusion due to failure to object in the arbitral proceedings b) Preclusion due to failure to bring a setting-aside application International Arbitration in Singapore I. Introduction The legal framework XXV

27 a) Domestic and International Arbitrations b) Commercial and non-commercial arbitration c) Ad hoc and Institutional Arbitration d) The territoriality principle, the seat of the arbitration and the lex arbitri e) Arbitration and other ADR Mechanisms (Mediation, Expert Determination) The guiding principles of Singapore arbitration law II. The arbitration agreement The doctrine of separability The law applicable to the arbitration agreement The validity of the arbitration agreement (capacity, arbitrability, form) a) Capacity to conclude arbitration agreements b) Arbitrability c) Form of the arbitration agreement d) Termination of the arbitration agreement The scope and the interpretation of the arbitration agreement a) Personal scope of the arbitration agreement b) Substantive scope of the arbitration agreement c) Pathological arbitration clauses The effect of the arbitration agreement and Kompetenz-Kompetenz a) Enforcing arbitration clauses and Kompetenz-Kompetenz b) Preclusion of jurisdictional defences c) Binding effect of state court decisions on jurisdiction of the arbitral tribunal III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal, impartiality and independence of the arbitrator a) Duty to disclose b) Grounds for challenge c) Procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act The arbitral proceedings a) The request for arbitration b) Equality of arms, fair trial principles and the right to be heard c) Confidentiality d) The arbitral award e) Termination of the arbitration without an award f) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute and lois de police a) Choice of law and domestic cases b) Choice of law and lois de police Interim relief in arbitration a) Interim relief before Singapore courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of arms and appointment of the arbitrators IV. The control and the enforcement of arbitral awards Correction and amendment of arbitral awards Review of arbitral awards before the state courts a) Procedural framework (time limits, competent court, appeal) b) Grounds for setting aside arbitral awards: An overview c) Lack of jurisdiction of the arbitral tribunal d) Unlawful composition of the tribunal and other procedural irregularities e) Public policy Enforcing arbitral awards a) Enforcement of awards that were set aside b) Fulfilment, set-off and similar defences Preclusion of grounds for challenge and defences to enforcement a) Preclusion due to failure to object in the arbitral proceedings b) Preclusion due to failure to bring a setting-aside application XXVI

28 16. International Arbitration in Spain I. Introduction Legal framework a) Domestic and international arbitration b) Commercial and non-commercial arbitration c) Ad hoc and institutional arbitration d) The territoriality principle, the seat of the arbitration, and the lex arbitri e) Arbitration and other ADR mechanisms The guiding principles of Spanish arbitration law II. The arbitration agreement The doctrine of separability The law applicable to the arbitration agreement The validity of the arbitration agreement a) Capacity to conclude arbitration agreements b) Arbitrability c) Form of the arbitration agreement d) Termination of the arbitration agreement The scope and the interpretation of the arbitration agreement a) Personal scope of the arbitration agreement b) Substantive scope of the arbitration agreement c) Pathological arbitration clauses The effect of the arbitration agreement and Kompetenz-Kompetenz a) Enforcing arbitration clauses and Kompetenz-Kompetenz b) Preclusion of jurisdictional defences c) Binding effect of state court decisions on jurisdiction of the arbitral tribunal III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal, impartiality and independence of the arbitrator a) Duty to disclose conflicts of interest b) Grounds for challenge c) Procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act The arbitral proceedings a) The request for arbitration b) Parties right to defence and the principle of equality c) Confidentiality d) The arbitral award e) Termination of the arbitration without an award f) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute a) Choice of law and domestic cases b) Choice of law and international lois de police Interim relief in arbitration a) Interim relief before state courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of arms and appointment of the arbitrators IV. The control and the enforcement of arbitral awards Correction and amendment of arbitral awards Review of arbitral awards before the state courts a) Procedural framework (time limits, competent court, appeal) b) Grounds for setting aside arbitral awards: An overview c) Lack of jurisdiction of the arbitral tribunal d) Composition of the tribunal and procedural irregularities e) Public policy Enforcing arbitral awards a) General framework b) Enforcement of awards that were set aside c) Fulfilment, set-off and similar defences XXVII

29 4. Preclusion of grounds for challenge and defences to enforcement a) Preclusion due to failure to object in the arbitral proceedings b) Preclusion due to failure to bring a setting-aside application International Arbitration in Sweden I. Introduction Legal framework a) Domestic and international arbitration b) Commercial and non-commercial arbitration c) Ad hoc and institutional arbitration d) The territoriality principle, the seat of the arbitration and the lex arbitri e) Arbitration and other ADR mechanisms (mediation, expert determination) The guiding principles of Swedish arbitration law II. The arbitration agreement The doctrine of separability The law applicable to the arbitration agreement The validity of the arbitration agreement (capacity, arbitrability, form) a) Capacity to conclude arbitration agreements b) Arbitrability c) Form of the arbitration agreement d) Termination of the arbitration agreement The scope and the interpretation of the arbitration agreement a) Personal scope of the arbitration agreement b) Substantive scope of the arbitration agreement c) Pathological arbitration clauses The effect of the arbitration agreement and Kompetenz-Kompetenz a) Enforcing arbitration clauses and Kompetenz-Kompetenz b) Preclusion of jurisdictional defences c) Binding effect of state court decisions on jurisdiction of the arbitral tribunal III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal, impartiality and independence of the arbitrator a) Duty to disclose b) Grounds for challenge c) Procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act The arbitral proceedings a) The request for arbitration b) Equality of arms, fair trial principles and the right to be heard c) Confidentiality d) The arbitral award e) Termination of the arbitration f) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute and lois de police Interim relief in arbitration a) Interim relief before state courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of arms and appointment of the arbitrators IV. The control and the enforcement of arbitral awards Correction and amendment of arbitral awards Review of arbitral awards before the state courts a) Procedural framework (time limits, competent court, appeal) b) Grounds for review of arbitral awards: An overview c) Non-arbitrable dispute d) Public policy e) Award not made in writing or not signed by the arbitrators f) Lack of valid arbitration agreement g) Expiration of the time limit and excess of mandate h) Arbitral proceedings should not have taken place in Sweden i) Improper appointment of arbitrators XXVIII

30 j) Unauthorized arbitrator k) Other procedural irregularities Enforcing arbitral awards a) Enforcement of awards that were set aside b) Fulfilment, set-off and similar defences Preclusion of grounds for challenge and defences to enforcement a) Preclusion due to failure to object in the arbitral proceedings b) Preclusion due to failure to bring a setting-aside application International Arbitration in Switzerland I. Introduction Switzerland s position in international arbitration Legal framework a) Domestic and international arbitration b) Commercial and non-commercial arbitration c) Ad hoc and institutional arbitration d) The territoriality principle, the seat of the arbitration and the lex arbitri e) Arbitration and other ADR mechanisms (mediation, expert determination) The guiding principles of Swiss international arbitration law II. The arbitration agreement The doctrine of separability The law applicable to the arbitration agreement The validity of the arbitration agreement (capacity, arbitrability, form) a) Capacity to conclude arbitration agreements b) Arbitrability c) Form of the arbitration agreement d) Termination of the arbitration agreement The scope and the interpretation of the arbitration agreement a) Personal scope of the arbitration agreement b) Substantive scope of the arbitration agreement c) Pathological arbitration clauses The effect of the arbitration agreement and Kompetenz-Kompetenz a) The principle of Kompetenz-Kompetenz: Examination of jurisdiction by the arbitral tribunal b) Examination of jurisdiction by the state courts c) Parallel proceedings in particular d) Judicial review e) Burden of proof III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal: impartiality and independence of the arbitrator a) Duty to disclose conflicts of interest b) Grounds for challenge c) Procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act The arbitral proceedings a) The request for arbitration b) Equality of arms, fair trial principles and the right to be heard c) Confidentiality d) The arbitral award e) Termination of the arbitration without an award f) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute and lois de police Interim relief in arbitration a) Interim relief before state courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of arms and appointment of the arbitrators IV. The control and the enforcement of arbitral awards Correction and amendment of arbitral awards Review of arbitral awards before the state courts XXIX

31 a) Procedural framework (time limits, competent court, appeal) b) Grounds for setting aside arbitral awards: An overview c) Lack of jurisdiction of the arbitral tribunal d) Composition of the tribunal and procedural irregularities e) Public policy Enforcing arbitral awards a) General framework b) Enforcement of awards that were set aside c) Fulfilment, set-off and similar defences Preclusion of grounds for challenge and defences to enforcement a) Preclusion due to failure to object in the arbitral proceedings b) Preclusion due to failure to bring a setting-aside application International Arbitration in the U.S I. Introduction The legal framework a) Domestic and international arbitration b) Commercial and non-commercial arbitration c) Ad hoc and institutional arbitration d) The territoriality principle, the seat of the arbitration and the lex arbitri e) Arbitration and other ADR mechanisms (mediation, expert determination) The guiding principles of U.S. arbitration law II. The arbitration agreement The doctrine of separability (severability) The law applicable to the arbitration agreement The validity of the arbitration agreement (capacity, arbitrability, form) a) Capacity to conclude arbitration agreements b) Arbitrability c) Form of the arbitration agreement d) Termination of the arbitration agreement The scope and the interpretation of the arbitration agreement a) Personal scope of the arbitration agreement b) Substantive scope of the arbitration agreement c) Pathological arbitration clauses The effect of the arbitration agreement and Kompetenz-Kompetenz a) Enforcing arbitration clauses and Kompetenz-Kompetenz b) Preclusion of jurisdictional defences c) Binding effect of state court decisions on jurisdiction of the arbitral tribunal III. The arbitral tribunal and the conduct of the arbitral proceedings The arbitral tribunal, impartiality and independence of the arbitrators a) Duty to disclose b) Grounds for challenge c) Procedural aspects and preclusion of grounds for challenge d) Failure or impossibility to act The arbitral proceedings a) The request for arbitration b) Equality of arms, fair trial principles and the right to be heard c) Confidentiality d) The arbitral award e) Termination of the arbitration without an award f) The costs of the arbitration Evidence, discovery, disclosure The law governing the dispute and lois de police Interim relief in arbitration a) Interim relief before state courts b) Interim relief before the arbitral tribunal Multi-party arbitration a) Arbitration agreement involving several parties b) Equality of the parties and appointment of the arbitrators IV. The control and the enforcement of arbitral awards Correction and amendment of arbitral awards Review of arbitral awards before the state courts XXX

32 a) Procedural framework (time limits, competent court, appeal) b) Grounds for setting aside arbitral awards: An overview c) Lack of jurisdiction of the arbitral tribunal d) Unlawful composition of the tribunal and other procedural irregularities e) Public policy Enforcing arbitral awards a) Enforcement of awards that were set aside b) Fulfilment, set-off and similar defences Preclusion of grounds for challenge and defences to enforcement a) Preclusion due to failure to object in the arbitral proceedings b) Preclusion due to failure to bring a setting-aside application Index XXXI

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