Arbitrability

Name: Arbitrability | International & Comparative Perspectives
Brand: Kluwer Law International
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International & Comparative Perspectives

William W. Park(Autor*in)

Kluwer Law International (Verlag)

Erschienen am 6. März 2009

410 Seiten

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978-90-411-7401-7 (ISBN)

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Cover
Half Title Page
Title Page
Copyright Page
FOREWORD
TABLE OF CONTENTS
TABLE OF ABBREVIATIONS
PART I FUNDAMENTAL OBSERVATIONS AND APPLICABLE LAW
CHAPTER 1 ARBITRABILITY - INTERNATIONAL AND COMPARATIVE PERSPECTIVES
1. INTRODUCTION
2. THE NOTION AND RATIONALE OF ARBITRABILITY
2.1. The Notion(s) of Arbitrability
2.2. The Rationale of Arbitrability
3. LAW APPLICABLE TO THE ISSUE OF ARBITRABILITY
4. NATIONAL AND INTERNATIONAL SUBSTANTIVE RULES ON ARBITRABILITY
CHAPTER 2 ON ARBITRABILITY: PERSISTING MISCONCEPTIONS AND NEW AREAS OF CONCERN
1. INTRODUCTION
2. THE RATIONALE BEHIND INARBITRABILITY
2.1 The limited relevance of public policy
2.2. Inarbitrability and inherent characteristics of arbitration: redefining the theory of inarbitrability
3. EFFECTS OF INARBITRABILITY ON THE VALIDITY OF ARBITRATION AGREEMENT
4. PRACTICAL RELEVANCE OF THE DISCUSSION ON THE RATIONALE BEHIND ARBITRABILITY
5. CONCLUSIONS
CHAPTER 3 THE DEATH OF INARBITRABILITY
1. INTRODUCTION
2. A NOTION IN FLUX
3. FROM RESTRICTION TO EXPANSION
4. UNCERTAINTIES
4.1. Patents & Trademarks
4.2. Antitrust, Bribery & Corruption
5. THE CONCEPTUAL LEAP TOWARDS UNIVERSAL ARBITRABILITY
5.1. "Claims Arbitrable Unless."
5.2. Presumption of Arbitrability
(a) U.S. Law:
(b) French Law: Autonomous Arbitration Agreements
(c) Swiss & German Laws: Economic Criteria of Arbitrability
(d) Universal Arbitrability in Emerging and Third World Jurisdictions?
(e) Canadian Law and the Arbitrability "Big-Bang"
(f) Arbitration in International Administrative Contracts in the Arab World
5.3. Modern-day-Calvo-provisions
6. THE CHANGING FACE OF INTERNATIONAL ARBITRATION
7. FUTURE PERSPECTIVES
7.1. Subsidiarity
7.2 Merit-Review?
7.3 Emergence of a Notion of "International Arbitrability"
8. CONCLUSION
CHAPTER 4 THE UNITED STATES' PERSPECTIVE ON "ARBITRABILITY"
1. INTRODUCTION
2. CLARIFYING THE TERM
3. JURISDICTION
3.1. Recent U.S. Supreme Court Jurisprudence Regarding Arbitrability
(a) First Options and the Presumption that Courts Decide "Questions of Arbitrability
(b) Howsam, Pacificare, and Green Tree: Defining the Gatekeeper Function
3.2. The Circuit Courts
4. CONCLUSION
CHAPTER 5 GENERAL REMARKS ON ARBITRABILITY UNDER THE NEW YORK CONVENTION
1. INTRODUCTION
2. THE NEW YORK CONVENTION AND ITS DEVICE FOR SUCCESS
3. ARBITRABILITY IN THE PROVISIONS OF THE NEW YORK CONVENTION
3.1. Article I(3)
3.2. Article II
3.3. Article V(1)(a)
3.4. Article V(2)
4. CONCLUSION
CHAPTER 6 LAW APPLICABLE TO ARBITRABILITY: REVISITING THE REVISITED LEX FORI
1. INTRODUCTION
2. LOOKING AGAIN INTO THE SCOPE AND THE RELEVANCE OF THE LEX FORI
2.1 When Arbitrability Arises Before National Courts at a Pre-Award Stage
2.2 When the Award is Challenged Before the National Courts of the Seat
2.3 Arbitrability Control by National Courts at the Place of Enforcement
2.4 When the Dispute is Before an Arbitral Tribunal
3. A BRIEF LOOK INTO RELEVANT CASE LAW
4. CONCLUSION
CHAPTER 7 ON ARBITRABILITY: THE ARBITRATOR AS A PROBLEM SOLVER
1. INTRODUCTION
1.1. The Concept and Function of Arbitrability: Limitation to the Power to Arbitrate
1.2. Differences Between Arbitrators and State Judges
1.3. Is Arbitrability a Jurisdictional or a Conflict of Laws Problem?
2. THE NOTION OF ARBITRABILITY (WHAT IS ARBITRABILITY)
2.1. Distinction Between Arbitrability and Validity of an Arbitration Agreement
2.2. Distinction from Other Important Notions
(a) Distinction from International Public Policy
(b) Distinction from the Lois de Police
2.3 Arbitrability Seen as a Jurisdictional Problem - Distinction Between Internal and International Jurisdictional Exclusive Rules
3. ARBITRABILITY AND APPLICABLE LAW (HOW ARBITRABILITY HAS TO BE DECIDED)
3.1. Is Arbitrability a Conflict of Laws Problem?
3.2. The Relativity of the Answer According to the Stage and Nature of the Procedure in which the Problem is Raised
3.3. Arbitrability and Arbitrator Seen as a Problem Solver
3.4. Arbitrability and the State Judge Seen as Social Engineer
(a) Recognition and Enforcement-Annulment
i. State Law
ii. Uniform Law
(b) Pre-arbitral State Control
4. CONCLUDING REMARKS
PART II SUBSTANTIVE RULES ON ARBITRABILITY
CHAPTER 8 LIBERAL RULES OF ARBITRABILITY AND THE AUTONOMY OF LABOR ARBITRATION IN THE UNITED STATES
1. INTRODUCTION
2. THE GENERAL RULES ON ARBITRABILITY IN U.S. LAW
3. THE SPECIFIC EXAMPLE OF LABOUR ARBITRATION
4. CONCLUSIONS
CHAPTER 9 INSOLVENCY AND ARBITRABILITY
1. INTRODUCTION
2. JURISDICTIONS
2.1. Austria
2.2. England
2.3. France
2.4. Germany
2.5. Switzerland
3. CONCLUSIONS
CHAPTER 10 ARBITRABILITY AND TAX
1. INTRODUCTION
2. THREE FACES OF TAX ARBITRATION
2.1. Business Relationships
2.2 Income Tax Treaties
2.3 Investment Disputes
3. THE NATURE OF TAX MEASURES
3.1. Fire, Passion and Taxes
3.2. Tax as Taking
3.3. The Silesian Claims
4. INVESTMENT TREATY ARBITRATION
4.1. The Matryoshka: Rules within Rules
4.2. The Competent Authority Filter
5. A TALE OF TWO CASES: OCCIDENTAL AND ENCANA
5.1. Occidental
(a) The Award
(b) The English Court Action
5.2. Encana
(a) The Majority Award
(b) The Dissent: Expropriating Investment Returns
6. ABUSIVE TAXES
6.1. Treating Like Taxpayers in Like Manner
6.2. Analogies from Non-Fiscal Contexts
7. CONCLUSION
CHAPTER 11 ARBITRATION AND CRIMINAL LAW: JURISDICTION, ARBITRABILITY AND DUTIES OF THE ARBITRAL TRIBUNAL
1. INTRODUCTION
2. ISSUES OF JURISDICTION AND ARBITRABILITY
2.1. Severability Set Aside?
2.2. The Power of Arbitral Tribunals to Take Criminal Law Rules into Consideration
3. ARBITRATING ISSUES OF CRIMINAL LAW
3.1. Issues of Evidence
3.2. Direct Application by Arbitral Tribunals of Sanctions of a Mixed Nature
4. ARBITRATORS AS PRIVATE JUDGES.
4.1. The Duty of International Arbitrators to Take Rules of Criminal Law into Consideration
4.2. Consequences of the Private Nature of the Arbitrator's Mission when Confronted with a Criminal Offence
4.3. Simulated Arbitrations and Manipulation of Arbitrators
4.4. Criminal Law Used to Disrupt Arbitration
5. . AND GUARDIANS OF GOOD MORALS IN INTERNATIONAL TRADE
5.1. Arbitrators as Guardians of International Legality
5.2. Self Regulation and Arbitration: The Path to the Future
CHAPTER 12 COMPETITION LAWS: LIMITS TO ARBITRATORS' AUTHORITY
1. INTRODUCTION
2. FUNDAMENTAL DUTIES OF AN ARBITRAL TRIBUNAL
3. MANDATORY LAW AND INTERNATIONAL PUBLIC POLICY
4. COMPETITION LAW
4.1. EU Competition Law
4.2. U.S. Competition Law
4.3. Remedies in EU and U.S. Competition Law
5. ARBITRABILITY
5.1. United States: Mitsubishi
5.2. EU: Regulation 1/2003 and Eco Swiss
6. DIFFERING SCENARIOS FOR ARBITRAL TRIBUNALS IN EU
7. PARALLEL PROCEEDINGS: ARBITRATION TRIBUNAL AND COMMISSION
8. CONCLUSION
CHAPTER 13 ARBITRABILITY AND INTELLECTUAL PROPERTY DISPUTES
1. INTRODUCTION
2. THE NOTION OF INTELLECTUAL PROPERTY AND TYPES OF DISPUTES INVOLVED
3. WHY ARBITRABILITY OF IP ISSUES IS OF "SPECIAL CONCERN"?
4. THE AREA OF POSSIBLE RESTRICTIONS
4.1. Are IP Rights Freely Disposable?
4.2. IP Titles Requiring State Involvement
5. THE RESTRICTION-FREE AREA
6. CONCLUSION
CHAPTER 14 ARBITRABILITY OF (INTRA-) CORPORATE DISPUTES
1. INTRODUCTION
2. THE DISPUTE: A COMPONENT OF ARBITRABILITY
3. MATTERS THAT ARE SUBJECT TO ARBITRATION
3.1. Arbitrability Defined through a General Standard
3.2. Arbitrability in the Context of Corporate Disputes
3.3. Limits to Arbitrability
(a) Public Policy/Mandatory Rules
(b) Exclusive Jurisdiction of National Courts
(c) The Impact on Third Parties
4. FUTURE PERSPECTIVES
CHAPTER 15 ARBITRABILITY IN FINANCE AND BANKING
1. INTRODUCTION
2. THE APPLICATION OF GENERAL RULES AND PRINCIPLES
3. ARBITRABILITY OF DISPUTES ARISING FROM SECURITIES TRANSACTIONS
4. THE ARBITRABILITY OF SELECTED FINANCIAL AGREEMENTS
5. ARBITRABILITY OF CORPORATE DISPUTES
6. ARBITRABILITY OF MATTERS ARISING OUT OF BANKING ACTIVITIES
6.1. Arbitrability of Simple Interest in the Islamic World
6.2. Consumer Banking Arbitration
6.3. Other Procedural Bars to Arbitrability of Banking Disputes: Immunity?
7. CONCLUSION
CHAPTER 16 THE "ARBITRABILITY" OF DISPUTES ARISING FROM COMMERCIAL REPRESENTATION
1. INTRODUCTION
2. ARBITRABILITY OF DISTRIBUTION DISPUTES: STILL THROUGH A GLASS DARKLY?!
3. THE RULES ON COMMERCIAL AGENCY AS AN EXAMPLE FOR ADDRESSING THE INEQUALITY OF BARGAINING POWER
3.1. Protection Afforded to Commercial Agents
3.2. Legal Status of the Substantive Rights Granted
3.3. Procedural Protection
4. THE DIFFERENT APPROACHES TO THE "ARBITRABILITY" OF DISPUTES ARISING FROM COMMERCIAL REPRESENTATION
4.1. The Underlying Problem
4.2. Overview of the Approaches Adopted
4.3 The Exclusion of Objective Arbitrability of Disputes
(a) Salient Features of the Arbitrability Defence and its Position in the NYC System
(b) The Franchise Example: the Draft U.S.-Arbitration Fairness Act of 2007
(c) The Sole-Distribution Example: The Belgian law of 27 July 1961 on the Unilateral Termination of Exclusive Distributorship Contracts
5. THE LIKELY NON-APPLICATION OF MANDATORY PROVISIONS AS A GROUND TO REFUSE ENFORCEMENT OF THE ARBITRATION AGREEMENT
5.1. Distinguishing Factors from the "Inarbitrability" Approach.
5.2. The Commercial Agent Example: § 89b German Commercial Code (HGB)
6. THE "SECOND LOOK" DOCTRINE: REFERRAL OF ALL CONTROL TO THE POST-AWARD STAGE
6.1. Underlying Rationale of the Second Look Doctrine in the Proper Sense
6.2. "Nullité Manifeste": The Second Look à la Française
7. EVALUATION OF THE DIFFERENT APPROACHES
7.1. The Unwarranted Limitations of Procedural Party Autonomy under the Inarbitrability Approach
7.2. Disadvantages of the Control at the Pre-Award Referral Stage
TABLE OF NATIONAL AND INTERNATIONAL COURT DECISIONS
TABLE OF ARBITRAL AWARDS
SUBJECT INDEX
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