Clear Path or Jungle in Commercial Arbitrators' Conflict of Interest?

Name: Clear Path or Jungle in Commercial Arbitrators' Conflict of Interest?
Brand: Kluwer Law International
Price: 103.99 EUR
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Felix Dasser(Herausgeber*in)

Kluwer Law International (Verlag)

Erschienen am 7. Juli 2021

224 Seiten

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Inhalt

Intro
Half-Title Page
Title Page
Copyright Page
Programme of the Conference
Editor
Contributors
Summary of Contents
Table of Contents
Preface
Chapter 1 Introduction
Panel 1 The View from the Users
Chapter 2 The View from the Users: Summary
1. Introduction
2. How Much Independence and Impartiality Do Users Seek?
3. What Expectations Do Users Have from the Different Members of the Tribunal?
4. How Important Is a Right of Each Party to Appoint an Arbitrator?
5. When and Why Should an Arbitrator Be Objected Against/Challenged?
Chapter 3 Statement on Selected Topics in International Arbitration from the User's Perspective
1. Arbitrator Independence and Impartiality
2. Expectations of Different Members of a Three-Member Arbitral Tribunal
3. How Important Is a Party's Right to Appoint an Arbitrator?
4. When and Why Should an Arbitrator Be Objected Against/Challenged?
Panel 2 Practical Experience: The View from Major Institutions
Chapter 4 Conflicts of Interest under the SIAC Rules
1. Threshold for Disclosure?
2. Procedure for Objections/Challenges
2.1. Objections
2.2. Challenges
3. Criteria for Appointing Arbitrators
Chapter 5 The View from the LCIA on Conflicts of Interest
1. Threshold and Disclosure
2. Incidence of Challenges
3. Process of Challenges
4. Conclusion
Chapter 6 SCAI's Approach to Conflicts of Interest
1. Introduction
2. Organization of the SCAI Arbitration Court
3. SCAI's Approach to Disclosure Obligations of Potential Arbitrators
3.1. The Threshold Found in the Swiss Rules Concerning the Disclosure Obligations of Potential Arbitrators
3.2. The Court's Practice to Solicit and Deal with Disclosures
4. SCAI's Approach to Appointment/Confirmation of Arbitrators
4.1. The Threshold Found in the Swiss Rules Concerning the Appointment or Confirmation of Arbitrators
4.2. The Court's Practice in Case of Disclosures
5. SCAI's Approach to Challenge of Arbitrators
5.1. The Threshold Found in the Swiss Rules Concerning the Challenge of Arbitrators
5.2. The Procedure for Challenges under the Swiss Rules
5.3. The Court's Practice When Faced with the Challenge of an Arbitrator
5.4. Statistics
5.5. Categories
5.5.1. Professional Relationships of the Arbitrator
5.5.2. Personal Relationships of the Arbitrator
5.5.3. Perceived Bias Due to Orders or Actions of the Arbitrator
6. Conclusion and Outlook
Panel 3 Practical Experience: The View from State Courts
Chapter 7 The View from the State Courts on Conflicts of Interest: Introduction
Chapter 8 The View from the Swiss Courts on Conflicts of Interest, Disclosure, Objection, and Challenges
1. Introduction
2. The Threshold for Challenge
2.1. The Constitutional Basis
2.2. The Relevant Test
2.3. Case Groups and Principles
2.3.1. Interest in the Outcome of the Dispute
2.3.2. Relationship with a Party
2.3.3. Relationship with Counsel
2.3.4. Relationship Between an Arbitrator's Law Firm and a Party's Affiliate
2.3.5. Relationship with Another Person Interested in the Outcome of the Dispute
2.3.6. Previous Involvement in the Dispute or in Settlement Discussions
2.3.7. Previously Expressed Legal Opinion
2.3.8. Conduct and Decisions of the Arbitrator
3. The Threshold for Disclosure
4. The Relevance of the IBA Conflicts of Interest Guidelines
5. The Duty of Parties to Investigate Potential Conflicts
6. The Success Rate of Challenges in Court
7. Conclusions
Chapter 9 The View from the French Courts: Disclosures - Objections - Challenges: Clear Path or Jungle in Commercial Arbitrators' Conflicts of Interest?
1. Disclosure
1.1. An Arbitrator Must Disclose Any Circumstance That May Affect His/Her Independence or Impartiality
1.2. French Courts Interpret Circumstances That May Affect an Arbitrator's Independence or Impartiality Broadly
1.2.1. French Courts Interpret Circumstances to Be Disclosed by an Arbitrator Broadly
1.2.2. Knowable Facts Arising Before the Constitution of the Tribunal Are Not Subject to the Arbitrators' Disclosure Obligation
2. Recusal
2.1. Procedural Considerations
2.2. Substantive Considerations
3. Annulment
4. Beyond Annulment: Consequences for Arbitrators
4.1. The Extent of Arbitrator Immunity under French Law
4.2. Instances of Arbitrator Liability Relating to Disclosure Issues
5. Conclusion
Chapter 10 The View from the English Courts on Conflicts of Interest: Halliburton and Beyond
1. Introduction
2. The Threshold for Independence and Impartiality from the English Court Perspective
3. The Duty of Disclosure in English Law
4. The Halliburton Case
5. What Lies Beyond Halliburton?
6. Conclusion
Chapter 11 The View from U.S. Courts on Conflicts of Interest
1. The Threshold for Independence and Impartiality
2. Is There a Specific Threshold for Disclosure?
3. What Is the Relevance of the IBA Guidelines on Conflicts of Interest in International Arbitration ("IBA Guidelines") and Other Private Instruments?
4. Is There a Duty of Parties to Investigate?
5. How Successful Are Challenges in Court and on What Grounds?
Appendix I: Commonwealth Coatings Corp. v. Continental Casualty Co. et al.: U.S. Supreme Court
Appendix II: Positive Software Solutions, Inc. v. New Century Mortgage Corporation: U.S. Court of Appeals for the Fifth Circuit
Appendix III: Applied Industrial Materials Corp. v. Ovalar Makine Ticaret Te Sanayi, A.S. and Ural Ataman: U.S. Court of Appeals for the Second Circuit
Appendix IV: Ometto et al. v. Abengoa Bioenergia Agricola Ltda. et al.: U.S. Court of Appeals for the Second Circuit
Appendix V: Monster Energy Company v. City Beverages LLC (operating as Olympic Eagle Distributing): U.S. Court of Appeals for the Ninth Circuit
Appendix VI: Shawn C. Carter, S. Carter Enterprises, March Media, LLC V. Iconix Brand Group, Inc. and Icon de Holdings, LLC: New York State Supreme Court
Panel 4 The Debate: Is There Enough Uniformity? Not Enough? More Than Enough?
Chapter 12 Transcript Panel 4 - The Debate: Is There Enough Uniformity? Not Enough? More than Enough?
1. Introduction
2. Differences Between Legal Systems
3. Guidelines and Institutional Rules
4. Issues Raised from the Floor
5. Closing Remarks
Chapter 13 Interaction Between the IBA Guidelines on Conflicts of Interest of Arbitrators and the ICC Arbitration Rules
1. introduction
2. The IBA Guidelines on the Conflict of Interest of Arbitrators and the ICC Rules: Main Features and Differences
2.1. Main Features
2.1.1. First: They Have a Different Legal Nature
2.1.2. Second: They Have a Different Source of Legitimacy
2.1.3. Third: They also Have Different Goals
2.1.4. Fourth: Both Sets of Rules Have Different Practical Purposes
2.2. What Are the Main Differences Between The IBA Guidelines and the ICC Rules with Respect to the Duty of Disclosure by Arbitrators?
2.2.1. Scope
2.2.1.1. IBA Guidelines
2.2.1.2. ICC Rules
2.2.2. Practical Implementation
2.2.3. Time Limit for Circumstances Subject to Disclosure
3. Interaction Between the IBA Guidelines and the ICC Rules
4. Conclusion
APPENDIX Selected Rules and Regulations on Conflicts of Interest
1. Legislation
1.1 International Treaties
1.1.1 United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards (New York, 10 June 1958) (New York Convention, NYC)
1.1.2 UNCITRAL Model Law on International Commercial Arbitration (1985/2006)
1.1.3 Investment Treaties
(a) Convention on the Settlement of Investment Disputes Between States and Nationals of Other States (ICSID Convention)
(b) Comprehensive Economic and Trade Agreement between the EU and Canada (CETA) of October 30, 2016
(c) Agreement between the United States of America, the United Mexican States, and Canada (USMCA) of November 30, 2018
(d) Comprehensive and Progressive Agreement for Trans-Pacific Partnership of March 8, 2018, Chapter 9 Section B Code of Conduct for Investor-State Dispute Settlement
1.2 China (People's Republic of)
1.2.1 Arbitration Law 1994
1.3 England
1.3.1 Arbitration Act 1996
1.4 France
1.4.1 Code of Civil Procedure - Book IV - Arbitration (2011)
1.4.2 Code de l'organisation judiciaire (as of 2018)
1.5 Sweden
1.5.1 Arbitration Act (2019)
1.6 Switzerland
1.6.1 Federal Private International Law Act (PILA, 1987)
1.7 United States of America
1.7.1 Federal Arbitration Act (9 U.S. Code Title 9)
1.7.2 Restatement of the Law, The U.S. Law of International Commercial and Investor-State Arbitration (Approved Final Draft 2019)
2. Arbitration Rules
2.1 UNCITRAL Arbitration Rules (1976/2010/2013)
2.2 China International Economic and Trade Arbitration Commission (CIETAC)
2.2.1 CIETAC Arbitration Rules (2015)
2.3 Deutsches Institut für Schiedsgerichtsbarkeit (DIS)
2.3.1 DIS Arbitration Rules (2018)
2.4 Hong Kong International Arbitration Centre
2.4.1 HKIAC Administred Arbitration Rules (2018)
2.4.2 Practice Notes on Challenges to Arbitrators (2019)
2.5 International Center for Dispute Resolution (ICDR)
2.5.1 International Dispute Resolution Procedures (2021)
2.5.2 The Code of Ethics for Arbitrators in Commercial Disputes (American Arbitration Association 2004)
2.6 International Chamber of Commerce (ICC)
2.6.1 ICC Arbitration Rules (2021)
2.6.2 Note to Parties and Arbitral Tribunals on the Conduct of the Arbitration under the ICC Rules of Arbitration (2021)
2.7 Japan Commercial Arbitration Association (JCAA)
2.7.1 JCAA Commercial Arbitration Rules (2019)
2.8 Korean Commercial Arbitration Board
2.8.1 KCAB Arbitration Rules (2016)
2.9 London Court of International Arbitration
2.9.1 LCIA Arbitration Rules (2020)
2.9.2 LCIA Notes for Arbitrators
2.10 Shanghai International Arbitration Center (SHIAC)
2.10.1 SHIAC Arbitration Rules (2015)
2.11 Singapore International Arbitration Center (SIAC)
2.11.1 SIAC Rules (2016)
2.11.2 Code of Ethics for an Arbitrator
2.12 Stockholm Chamber of Commerce (SCC)
2.12.1 Arbitration Rules of the Arbitration Institute of the Stockholm Chamber of Commerce (2017)
2.13 Swiss Arbitration Centre (the Centre)
2.13.1 Swiss Rules of International Arbitration (Swiss Rules) (2012)
2.13.2 Swiss Rules of International Arbitration (Swiss Rules) (2021)
2.14 Vienna International Arbitral Center (VIAC)
2.14.1 Vienna Rules (2018)
3. Various Regulations and Guidelines
3.1 International Bar Association (IBA)
3.1.1 Guidelines on Conflicts of Interest in International Arbitration (2014)
(1) General Principle
(2) Conflicts of Interest
(3) Disclosure by the Arbitrator
(4) Waiver by the Parties
(5) Scope
(6) Relationships
(7) Duty of the Parties and the Arbitrator
3.2 Chartered Institute of Arbitrators (CIArb)
3.2.1 CIArb Code of Professional and Ethical Conduct (2009)
3.3 Draft Code of Conduct for Adjudicators in Investor-State Dispute Settlement, Version Two (ICSID/UNCITRAL, 2021)
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