International Arbitration in Sweden

Name: International Arbitration in Sweden | A Practitioner's Guide
Brand: Kluwer Law International
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A Practitioner's Guide

Annette Magnusson(Herausgeber*in)

Kluwer Law International (Verlag)

Erschienen am 9. März 2021

560 Seiten

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Inhalt

Intro
Half-Title Page
Title Page
Copyright Page
List of Editors
List of Contributors
Summary of Contents
Table of Contents
Foreword to the First Edition: An Introduction from an Outside Perspective - Reflections on International Arbitration with a Particular Focus on Sweden
Foreword to the Second Edition: Why My Neighbour Is Special - Reflections on International Arbitration in Sweden from an Extended Eastern Family
Preface to the First Edition
Preface to the Second Edition
Chapter 1 Fundamental Principles of International Arbitration in Sweden
I. Introduction
A. Brief Historical Overview of Swedish Arbitration
B. Development of Sweden as a Venue for International Arbitration
II. Legal Framework
A. The 1999 Arbitration Act
B. Fundamental Principles of Swedish Arbitration Law
1. Party Autonomy
2. Confidentiality and Its Limits
3. Due Process
4. Finality of Arbitral Awards
5. Non-intervention of the Courts
C. Use of International Arbitration Authorities in Swedish Arbitration
D. A Brief Comparison of the Act and the Model Law
1. Introduction
2. Scope
3. Notices Provisions
4. Form of the Arbitration Agreement
5. The Arbitral Tribunal
6. The Concept of an Arbitral Award
E. Some Further Swedish Arbitration Law Issues
1. Importance of the Request for Relief
2. Importance of the Grounds of the Request for Relief
3. Iura Novit Arbiter?
4. The Doctrine of Assertion
III. Institutional Arbitration in Sweden
IV. A Brief Comparison Between the Act and the SCC Rules
A. Jurisdiction
B. Procedures Prior to Constitution of the Arbitral Tribunal
1. Initiation of Arbitration
2. Prima Facie Examination of Jurisdiction
3. Pre-arbitral Relief
4. Constitution of the Arbitral Tribunal
5. Required Qualifications and Challenges to Arbitrators
6. Advance on Costs
7. Seat of the Arbitration
C. Procedure Before the Arbitral Tribunal
1. Referral to the Arbitral Tribunal and Time Limits
2. Conduct of Proceedings
3. Summary Procedure
4. Security for Costs
D. The Award
Chapter 2 Stockholm as a Forum for Investment Arbitration
I. Introduction
II. Investment Treaties and Investment Arbitration
III. ICSID, UNCITRAL or the SCC?
A. ICSID
B. UNCITRAL Rules
C. Stockholm and the SCC
D. Some Differences Between Investment Arbitration under the SCC Rules and the ICSID Convention
E. The ECT
IV. Stockholm as the Seat in Investment Arbitration
A. Does the Seat of Arbitration Matter in Investment Treaty Cases?
B. How Is Stockholm Chosen as the Seat of Arbitration in Investment Treaty Cases?
1. Treaties Providing for SCC Arbitration
2. The Seat of Arbitration May Be Stockholm in UNCITRAL Cases
C. The Statutory Framework Applicable to an Investment Arbitration Having the Seat of Arbitration in Stockholm
D. ICSID Arbitration in Stockholm
V. Applicable Law
VI. Challenging Investment Treaty Awards
A. Introduction
B. Lack of Jurisdiction Is the Most Frequent Challenge Ground in Investment Treaty Cases and Often Requires a Determination of Complex Issues of Fact and Law
C. What Standard Is to Be Applied by the Court When Reviewing the Arbitral Tribunal's Jurisdictional Decision?
1. Introduction
2. Court of Appeal Decisions in Petrobart I and II: The De Novo Approach
a. Court of Appeal Decision in Petrobart I
b. Court of Appeal Decision in Petrobart II
3. Supreme Court Decision in Petrobart I and Stockholm District Court in Sedelmayer: The Doctrine of Assertion
a. Supreme Court Decision in Petrobart I
b. Sedelmayer
4. Court of Appeal Decision in Russian Federation v. Renta 4 S.V.S.A. et al: The De Novo Approach Maintained
5. Standard of Review: Concluding Remarks
VII. Enforcement
Chapter 3 Time and Cost in Arbitration
I. Introduction
II. Litigation Versus Arbitration from a Time and Cost Perspective
III. Time and Cost of Arbitration
A. Introduction
B. Time Framework
C. The Arbitrators
1. Introduction
2. The Number of Arbitrators
3. Appointment and Removal of Arbitrators
D. Counsel
E. Parties
F. The Proceedings from a Time and Cost Perspective
1. Introduction
2. Procedural Framework and Planning the Procedure
3. Case Management and Procedure
a. Introduction
b. Case Management Conference
c. Procedural Timetables
d. Bifurcation, Early Determination of Issues and List of Issues in Dispute
e. Summary Procedure
4. Submissions
5. Evidence
6. New Claims, Facts and Evidence at a Late Stage
7. The Hearing
G. Complex Arbitrations, Multiple Parties, Contracts and Arbitrations
H. Expedited Procedures and Fast Track Arbitration
I. Allocation of Costs as an Incentive for Efficient Procedures
IV. Procedural Efficiency, the Parties' Right to a Fair Process and Due Process Paranoia
V. Conclusion
Chapter 4 The Arbitration Agreement
I. Introduction
II. The Law Applicable to Arbitration Agreements
III. The Formation of Arbitration Agreements
A. Introduction
B. Formation of Arbitration Agreements
1. General Contract Law Rules
2. Forming Arbitration Agreements by Subsequent Conduct
3. Incorporation of Arbitration Agreements by Reference
4. Burden of Proof
IV. Doctrine of Separability and Competence-Competence
A. Doctrine of Separability
B. Competence-Competence
V. Determining the Objective Scope of Arbitration Agreements
A. Introduction
B. Towards a Liberal Construction of Arbitration Agreements
C. Limiting the Scope to an Identified Legal Relationship
D. The Doctrine of Assertion
E. Multiparty and Multi-contract Issues
VI. Arbitrability
A. Civil Law Effects of Competition Law
VII. Extension of the Arbitration Agreement to Non-signatories
A. Singular Succession
1. Assignments
2. Guarantees and Other Joint and Several Liability
B. Universal Succession
1. Bankruptcy
C. No 'Group of Companies' Doctrine
VIII. The Arbitration Agreement as a Bar to Judicial Proceedings
A. The Arbitration Agreement as an Optional Bar to Court Proceedings
B. Summary Proceedings and Interim Security Measures
C. Disputes only Partially Covered by an Arbitration Agreement
IX. Loss of the Right to Rely on an Arbitration Agreement
Chapter 5 Arbitral Tribunal Jurisdiction
I. Introduction
II. The Arbitral Tribunal and Its Jurisdiction
A. Doctrine of Separability
B. Jurisdictional Objections
C. The Form of the Tribunal's Jurisdictional Determination
III. Swedish Courts and Arbitral Tribunal Jurisdiction
A. Challenging Tribunal Jurisdiction During the Arbitration
B. Challenging Tribunal Jurisdiction at the Post-award Stage
IV. Investment Treaty Arbitration
V. The SCC and Jurisdiction
Chapter 6 The Arbitrators
I. Introduction
II. Appointment of Arbitrator
A. Introduction
B. Number of Arbitrators and Manner of Appointment
C. SCC Arbitration
D. Multiparty Situations
E. Joinder and Consolidation Situations
III. Qualifications of Arbitrator
A. General Qualifications: Impartiality and Independence
B. Qualifications Agreed by Parties
C. SCC Arbitration
IV. Disclosure
A. General
B. SCC Arbitration
V. Removal of Arbitrator
A. Introduction
B. Removal by Parties Jointly
C. Removal Otherwise
1. Removal for Lack of Impartiality and Independence
2. Removal for Delay
3. Removal for Lack of a General Qualification or One Agreed by Parties
D. SCC Arbitration
VI. Particular Issues
A. Rights and Duties of Arbitrator
1. Rights of Arbitrator: Remuneration
a. Level
b. Maturity
c. Advance
d. Fixing
2. Enforcing Rights of Arbitrator
a. Seeking Payment
b. Withholding Performance
c. Termination
d. Damages
3. Duties of Arbitrator
a. Main Duty
b. Other Duties
4. Enforcing Duties of Arbitrator
5. SCC Arbitration
a. Remuneration of Arbitrator
b. Exclusion of Liability
B. Arbitrator as Witness in Other Proceedings and as Subject of Discovery
C. Administrative Secretary to the Arbitral Tribunal
1. General
2. SCC Arbitration
3. Recent Cases
Chapter 7 Interim Measures
I. Introduction
II. Overview of the Statutory Provisions for Interim Measures
A. Statutory Provisions Empowering Swedish Courts to Order Interim Measures
1. Court-Ordered Interim Measures Are Not Contrary to the Agreement to Arbitrate
2. Requests for Interim Measures Prior to the Commencement of Arbitration
3. Requests for Court-Ordered Measures in Support of Foreign Arbitration
4. The Type of Interim Measures Which Courts May Order
5. Procedures and Standards for Obtaining Interim Measures
B. Statutory Provisions Empowering Arbitrators to Order Interim Measures
C. The SCC Rules on Interim Measures
1. The SCC Approach to Interim Measures
2. The SCC Emergency Arbitrator Rules
III. Conclusion
Chapter 8 Applicable Law
I. Applicable Law
A. Lex Arbitri
B. Law Applicable to the Merits of the Case
1. Applicable Law Agreed by the Parties
2. Applicable Law Determined by the Tribunal
3. Restrictions on Party Autonomy
4. The Scope of Lex Contractus
5. Jura Novit Curia
C. Law Governing the Arbitration Agreement
Chapter 9 The Proceedings
I. Introduction
II. Commencement of Arbitration
A. Request for Arbitration
1. Introduction
2. Requirements under the Act
a. Requirement of an Express and Unconditional Request for Arbitration
b. Requirement of a Statement of the Disputed Issue
c. Requirement of a Statement on Choice of Arbitrator
d. Withdrawal of Request for Arbitration
3. Requirements of a Request for Arbitration under the SCC Rules
4. Service of Request for Arbitration
B. Answer to Request for Arbitration and Constitution of the Arbitral Tribunal
III. Issues Relating to Multiparty and Multi-contract Arbitrations
A. Introductory Remarks
B. Multi-contract Arbitration
C. Multiparty Arbitration
D. Consolidation
E. Considerations When Drafting the Arbitration Agreement
IV. Conduct of Proceedings
A. Introduction
1. Party Autonomy and Due Process
2. Powers of the Arbitral Tribunal
B. Organizing the Proceedings
C. Preliminary Issues
D. Interim Relief
E. Summary Procedure
F. Written Submissions
1. Introduction
2. Statement of Claim
3. Statement of Defence
4. Request for Relief
5. Facts Relied on in Support of Request for Relief
6. Amendment and Withdrawal of Claim
G. Hearings
1. General
2. Procedural Meetings
3. Jurisdictional Hearings
4. Merits Hearing
5. Virtual Hearings
6. Post-hearing Briefs
H. Conduct of Proceedings When One Party Is Absent
V. Evidence
A. Introduction
B. Documentary Evidence
1. Reliance on Documents
2. Production of Documents
C. Witnesses and Experts
1. Witnesses
2. Experts
D. Inspection of Subject Matter of Dispute
E. Evaluation of Evidence and Burden of Proof
F. Court Assistance with Respect to Evidence
VI. Confidentiality
A. Parties
B. Institutions, Arbitrators and Administrative Secretaries
C. Counsel
D. Witnesses and Experts
E. Effects of GDPR
VII. Costs
A. Costs in Arbitration
1. Introduction
2. Fees of the Arbitral Tribunal
3. SCC Administrative Fee
4. Expenses of the Arbitral Tribunal and the SCC
5. Costs of the Parties
B. Advance on Costs
C. Final Allocation of Costs Between the Parties
D. Security for Costs
E. Third-Party Funding
VIII. The Award
A. Categories of Awards
1. Distinguishing Between an 'Award' and a 'Decision'
2. Final Award
3. Separate Awards
4. Consent Awards
5. Default Awards
6. Interim Orders
B. Requirements as to Form of Awards
1. Statutory Requirements
2. More on Content of the Award
3. Reasons
4. Dissenting Opinions
C. Decision-Making of the Arbitral Tribunal: Deliberations and Voting
1. Governing Principles
2. Deliberations
3. Voting
D. Rendering the Award
1. Time Limit for Rendering Award
2. Delivery of Award
3. Refusal to Render Award
E. Correcting, Interpreting and Supplementing Award
1. General
2. Time Limitations
3. Additional Remuneration to Arbitral Tribunal for Correcting, Supplementing or Interpreting Award?
F. Legal Effects of Award
1. Enforceability
2. Res Judicata
3. Other Effects of Award
Chapter 10 Recourse to the Courts Against an Arbitral Award
I. Introduction
II. Recourse to the Courts: Invalidity and Setting Aside under Swedish Law
A. Invalidity of the Award
1. In General
2. Section 33(1) Item 1: Lack of Arbitrability
3. Section 33(1) Item 2: Public Policy
4. Section 33(1) Item 3: Defect of Form
5. Section 33(2): Partial Invalidity
B. Grounds for Setting Aside the Award
1. In General
2. Section 34 Item 1: Dispute Not Covered by a Valid Agreement Between the Parties
3. Section 34(1) Items 2-3: Excess of Mandate
4. Section 34(1) Item 4: The Arbitral Proceedings Took Place in Sweden, Contrary to Section 47
5. Section 34(1) Item 5: An Arbitrator Has Been Appointed Contrary to the Agreement Between the Parties or the Act
6. Section 34(1) Item 6: The Arbitrators Lack Legal Capacity or There Are Grounds for Disqualification
7. Section 34(1) Item 7: Other Procedural Irregularities
8. Section 34(2): Waiver
9. Section 34(3): Time Limit
III. Recourse to the Courts: Other Limitations on the Finality of Arbitral Awards
A. Cure of Defects
1. Section 35 of the Act: The Possibility for the Court of Appeal to Stay the Proceedings
B. Appeal of Award Declining Jurisdiction
1. In General
2. Section 36(1): Appeal of Award Declining Jurisdiction
3. Section 36(2): Appeal on Costs of Award Declining Jurisdiction
C. Appeal Against Arbitrator's Compensation
D. Exclusion Agreements
IV. Procedural Aspects
Chapter 11 Application of the New York Convention by Swedish Courts
I. A Brief Background
II. The Swedish Legal Framework on Recognition and Enforcement of Arbitral Awards
III. The Distinction Between Foreign and Domestic Awards
IV. Enforcement of Swedish Arbitral Awards
A. Enforcement in Sweden
B. Enforcement Abroad
V. Enforcement of Foreign Arbitral Awards
A. Recognition and Enforcement of Foreign Arbitral Awards
B. Grounds for Refusing Recognition and Enforcement of a Foreign Award
1. Incapacity, Lack of Representation and Invalidity of the Arbitration Agreement
2. Violation of Due Process
3. Arbitrators Exceeding Their Mandate
4. Irregularity in the Composition of the Arbitral Tribunal or the Arbitral Procedure
5. Non-binding Arbitral Awards
6. Arbitrability and Public Policy
VI. Separate, Partial and Interim Awards
VII. State Immunity from Enforcement
VIII. Enforcement of ICSID Awards
IX. A General Overview of Swedish Court Practice
Appendices
Appendix I: The Swedish Arbitration Act
Appendix II: Arbitration Rules of the Arbitration Institute of the Stockholm Chamber of Commerce
Appendix III: Rules for Expedited Arbitrations of the Arbitration Institute of the Stockholm Chamber of Commerce
Appendix IV: Model Arbitration Clauses
Bibliography
How to Access Swedish Legal Authorities
Table of Cases
Index

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