International Commercial Arbitration

Stephan Balthasar

doi:10.17104/9783406779213

Summary

Balthasar

International Commercial Arbitration The Handbook is a unique combination of international and domestic sources of arbitration law and practice. It provides detailed commentary on the global framework of international commercial arbitration, in particular the New York Convention, the UNCITRAL Model Law, and international investment treaties. In addition, it gives comprehensive insight into international arbitration laws of countries covering over 60% of the global economy: Austria, Belgium, Brazil, China, England and Wales, France, Germany, Hong Kong, India, the Netherlands, Russia, Singapore, Spain, Sweden, Switzerland, and the U.S.

The new edition includes numerous references to recent case law, material and legislative reform as well as topical developments in areas such as arbitrators’ jurisdiction, the conduct of arbitral proceedings and the judicial control of arbitral awards.

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Bibliographic data

Copyright year: 2021
ISBN-Print: 978-3-406-74383-2
ISBN-Online: 978-3-406-77921-3
Publisher: C.H.BECK Recht - Wirtschaft - Steuern, München
Series: Beck International
Language: English
Pages: 916
Product type: Edited Book

Titelei/Inhaltsverzeichnis No access Pages I - XXIX
1. 1. I. Introduction No access Pages 5 - 8
  2. 1. 1. International commercial arbitration: a definition No access
    2. 2. The legal framework No access
    3. 3. The territoriality principle and the place of arbitration No access
    4. 4. Ad hoc and institutional arbitration No access
    5. 5. Advantages and disadvantages of arbitration as a dispute resolution mechanism No access
  3. 1. 1. The doctrine of separability No access
    2. 2. The law governing the arbitration agreement No access
    3. 3. The validity of the arbitration agreement No access
    4. 4. The interpretation and the scope of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement No access
    6. 6. Drafting arbitration clauses: a checklist No access
  4. 1. 1. The arbitral tribunal No access
    2. 2. The conduct of the arbitral proceedings No access
    3. 3. The decision of the arbitral tribunal No access
    4. 4. Interim relief and emergency arbitration No access
    5. 5. Multi-party and multi-contract arbitration No access
  5. 1. 1. Finality of arbitral awards and res judicata effects No access
    2. 2. Correction and interpretation of arbitral awards No access
    3. 3. Review of arbitral awards before the state courts No access
    4. 4. Recognition and enforcement of arbitral awards No access
  6. VI. Conclusion No access Pages 70 - 71
1. 1. 1. 1. General purpose and scope of the New York Convention No access
    2. 2. History of the Convention No access
    3. 3. Status and implementation of the Convention into the national law of the Contracting States No access
    4. 4. Interpretation of the Convention No access
    5. 5. Relationship to other sources of law No access
  2. 1. 1. General No access
    2. 2. Temporal applicability No access
    3. 3. Applicability to the recognition and enforcement of arbitral awards No access
    4. 4. Applicability to the recognition of arbitration agreements No access
  3. 1. 1. General No access
    2. 2. Validity of the arbitration agreement No access
    3. 3. Determination of the scope of the arbitration agreement No access
    4. 4. Other objections to the recognition of arbitration agreements, in particular: good faith and arbitration agreements “incapable of being performed” No access
    5. 5. Cure of defective arbitration agreements, preclusion with regard to the defence of invalidity of the arbitration agreement No access
    6. 6. Referral to arbitration No access
    7. 7. More favourable law No access
  4. 1. 1. The obligation to recognize and enforce foreign arbitral awards, article III NYC No access
    2. 2. Formal requirements for recognition and enforcement, article IV NYC No access
    3. 3. Grounds for refusal of recognition and enforcement of arbitral awards, article V NYC No access
    4. 4. Adjournment in view of setting-aside proceedings, article VI NYC No access
    5. 5. Enforcement procedure for arbitral awards No access
    6. 6. Alternative means of enforcement No access
2. 1. I. Introduction No access Pages 198 - 201
  2. 1. 1. The nationality of investors No access
    2. 2. The existence of an investment No access
  3. 1. 1. Jurisdiction ratione personae No access
    2. 2. Jurisdiction ratione materiae No access
    3. 3. Jurisdiction ratione temporis No access
    4. 4. Additional requirements for the reliance of an investor on the dispute resolution clause in an IIA No access
    5. 5. Ex-ante consolidation and proceedings involving multiple claimants No access
  4. 1. 1. Protection in the event of an expropriation No access
    2. 2. Fair and equitable treatment No access
    3. 3. Full protection and security No access
    4. 4. National treatment No access
    5. 5. Most-Favoured-Nation treatment No access
    6. 6. Prohibition of unreasonable or discriminatory measures No access
    7. 7. Umbrella clauses No access
  5. V. Conclusion No access Pages 227 - 231
1. 1. 1. 1. The legal framework No access
    2. 2. The guiding principles of Austrian arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement (capacity, arbitrability, form) No access
    4. 4. The scope and the interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal, impartiality and independence of the arbitrator No access
    2. 2. The arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and lois de police No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party and multi-contract arbitration No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. Review of arbitral awards before state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge and defences to enforcement No access
2. 1. 1. 1. Legal framework No access
    2. 2. The guiding principles of arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The applicable law No access
    3. 3. The validity of the arbitration agreement (capacity, arbitrability, form) No access
    4. 4. The scope and the interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal, impartiality and independence of the arbitrator No access
    2. 2. The arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and lois de police No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party arbitration No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. Review of arbitral awards before the state courts No access
    3. 3. Third party opposition against arbitral awards No access
    4. 4. Enforcing arbitral awards No access
    5. 5. Preclusion of grounds for challenge and defences to enforcement No access
3. 1. 1. 1. Legal framework No access
    2. 2. Guiding principles of Brazilian arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement (capacity, arbitrability, form) No access
    4. 4. The scope and interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal, impartiality and independence of the arbitrator No access
    2. 2. Arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and lois de police No access
    5. 5. Interim relief in the arbitration No access
    6. 6. Multi-party arbitration No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. Review of arbitral awards before state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge and defences to enforcement No access
  5. V. Investment Arbitration in Brazil No access Pages 318 - 320
4. 1. 1. 1. The legal framework No access
    2. 2. The guiding principles of the PRC Arbitration Law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement: capacity, arbitrability, form No access
    4. 4. The scope and the interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal, impartiality and independence of the arbitrator No access
    2. 2. The conduct of the arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and mandatory rules (lois de police) No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party arbitration No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. The reporting system No access
    3. 3. Review of arbitral awards before the people’s courts No access
    4. 4. Enforcing arbitral awards No access
    5. 5. Preclusion of grounds for challenge and defences to enforcement No access
5. 1. 1. 1. The legal framework No access
    2. 2. The guiding principles of English arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The formation of the arbitration agreement No access
    4. 4. Termination of the arbitration agreement No access
    5. 5. The scope and the interpretation of the arbitration agreement No access
    6. 6. Enforcing arbitration agreements No access
    7. 7. The extent of the principle of Kompetenz-Kompetenz No access
    8. 8. Binding effect of state court decisions on jurisdiction of the arbitral tribunal No access
  3. 1. 1. The arbitral tribunal No access
    2. 2. The arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and lois de police No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party arbitration No access
  4. 1. 1. Correction of award or additional award No access
    2. 2. Control, appeal and enforcement by the state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge and defences to enforcement No access
6. 1. 1. 1. Legal framework No access
    2. 2. The guiding principles of arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement (capacity, arbitrability, form) No access
    4. 4. The scope and interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and competence-competence No access
  3. 1. 1. The arbitral tribunal, impartiality and independence of the arbitrator No access
    2. 2. The arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and mandatory laws (lois de police) No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party arbitration No access
    7. 7. Third-party funding No access
  4. 1. 1. Correction, amendment and other means of redress of arbitral awards No access
    2. 2. Review of arbitral awards before the state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge and defences to enforcement No access
7. 1. 1. 1. The legal framework No access
    2. 2. The guiding principles of German arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement No access
    4. 4. The scope and the interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal No access
    2. 2. The conduct of the arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and lois de police No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party and multi-contract arbitration No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. Review of arbitral awards before the state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge and defences to enforcement No access
8. 1. 1. 1. The legal framework No access
    2. 2. The guiding principles of Hong Kong arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement (capacity, arbitrability, form) No access
    4. 4. The scope and the interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal, impartiality and independence of the arbitrator No access
    2. 2. The arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and lois de police No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party and multi-contract arbitration No access
    7. 7. Third-party funding of arbitration No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. Review of arbitral awards before the state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge and defences to enforcement No access
  5. 1. 1. State immunity No access
    2. 2. Crown immunity No access
    3. 3. Conclusion No access
9. 1. 1. 1. The legal framework No access
    2. 2. The guiding principles of Indian arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement (capacity, arbitrability, form) No access
    4. 4. The scope and the interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal No access
    2. 2. The arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party arbitration No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. Review of arbitral awards before the state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge and defences to enforcement No access
10. 1. 1. 1. The legal framework No access
    2. 2. The guiding principles of Dutch arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement (capacity, arbitrability, form) No access
    4. 4. The scope and the interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal, impartiality and independence of the arbitrator No access
    2. 2. The arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and lois de police No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party arbitration No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. Review of arbitral awards before the state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge No access
11. 1. 1. 1. Arbitrazh courts and arbitral tribunals No access
    2. 2. The legal framework No access
    3. 3. The guiding principles of Russian arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement (capacity, arbitrability, form) No access
    4. 4. The scope and the interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal, impartiality and independence of the arbitrator No access
    2. 2. The arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and lois de police No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party arbitration No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. Review of arbitral awards before the state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge and defences to enforcement No access
12. 1. 1. 1. The legal framework No access
    2. 2. The guiding principles of Singapore arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement (capacity, arbitrability, form) No access
    4. 4. The scope and the interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal, impartiality and independence of the arbitrator No access
    2. 2. The arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and lois de police No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party arbitration No access
    7. 7. Third-party funding No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. Review of arbitral awards before the state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge and defences to enforcement No access
13. 1. 1. 1. Legal framework No access
    2. 2. The guiding principles of Spanish arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement No access
    4. 4. The scope and the interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal, impartiality and independence of the arbitrator No access
    2. 2. The arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party arbitration No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. Review of arbitral awards before the state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge and defences to enforcement No access
14. 1. 1. 1. Legal framework No access
    2. 2. The guiding principles of Swedish arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement (capacity, arbitrability, form) No access
    4. 4. The scope and the interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal, impartiality and independence of the arbitrator No access
    2. 2. The arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and lois de police No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party and multi-contract arbitration No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. Review of arbitral awards before the state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge and defences to enforcement No access
15. 1. 1. 1. Switzerland’s position in international arbitration No access
    2. 2. Legal framework No access
    3. 3. The guiding principles of Swiss international arbitration law No access
  2. 1. 1. The doctrine of separability No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement (capacity, arbitrability, form) No access
    4. 4. The scope and the interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal: impartiality and independence of the arbitrator No access
    2. 2. The arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and lois de police No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party arbitration No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. Review of arbitral awards before the state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge and defences to enforcement No access
16. 1. 1. 1. The legal framework No access
    2. 2. The guiding principles of U.S. arbitration law No access
  2. 1. 1. The doctrine of separability (severability) No access
    2. 2. The law applicable to the arbitration agreement No access
    3. 3. The validity of the arbitration agreement (capacity, arbitrability, form) No access
    4. 4. The scope and the interpretation of the arbitration agreement No access
    5. 5. The effect of the arbitration agreement and Kompetenz-Kompetenz No access
  3. 1. 1. The arbitral tribunal, impartiality and independence of the arbitrators No access
    2. 2. The arbitral proceedings No access
    3. 3. Evidence, discovery, disclosure No access
    4. 4. The law governing the dispute and lois de police No access
    5. 5. Interim relief in arbitration No access
    6. 6. Multi-party and multi-contract arbitration No access
  4. 1. 1. Correction and amendment of arbitral awards No access
    2. 2. Review of arbitral awards before the state courts No access
    3. 3. Enforcing arbitral awards No access
    4. 4. Preclusion of grounds for challenge and defences to enforcement No access
Table of Cases No access Pages 803 - 903
Index No access Pages 903 - 916