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xii | |
Acknowledgements |
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xiii | |
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xv | |
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1 | (14) |
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1.1 Should WTO law allow China to use export duties to address trade-related environmental concerns and, if so, what form should these duties take? |
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2 | (3) |
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1.2 Trade-related environmental concerns and the controversies surrounding the use of export duties to address them |
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5 | (5) |
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1.2.1 Local and global environmental problems exacerbated by trade |
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5 | (1) |
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1.2.2 Trade-related environmental problems in China |
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6 | (2) |
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1.2.3 Concerns over Chinese export duties as a protectionist measure and better alternatives |
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8 | (2) |
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1.3 Structure of the analysis |
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10 | (5) |
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1.3.1 Description of Part I: setting the scene |
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10 | (1) |
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1.3.2 Description of Part II: the extent to which a harsh ban on Chinese export duties would constrain China's capacity to protect the environment |
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11 | (1) |
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1.3.3 Description of Part III: a basis under WTO law for China's use of export duties to address environmental concerns |
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12 | (3) |
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PART I Setting the scene: The background and reception of the WTO ban on Chinese export duties |
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15 | (26) |
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2 Three WTO cases against Chinese export duties |
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17 | (11) |
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2.1 Annex 6 of China's Protocol of Accession |
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17 | (1) |
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2.2 Facts of the export duties in China---Raw Materials, China---Rare Earths, and China---Raw Materials II |
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18 | (2) |
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2.3 The applicability of GATT Article XX to China's export duty commitments |
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20 | (5) |
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2.3.1 Incorporation theory |
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20 | (2) |
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22 | (1) |
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2.3.3 A holistic approach |
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22 | (1) |
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23 | (1) |
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2.3.5 Article 30(3) of the VCLT |
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24 | (1) |
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2.4 Defences under Article XX(b) and XX(g) |
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25 | (3) |
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3 The reception of the ban on Chinese export duties: Concerns, solutions, and the missing piece |
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28 | (13) |
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3.1 Erroneous interpretation based on an overly rigid textual analysis |
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28 | (4) |
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3.2 Negative implications caused by the WTO ban on Chinese export duties |
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32 | (4) |
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3.2.1 Environment-related concerns |
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32 | (3) |
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3.2.2 Inequality-related concerns |
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35 | (1) |
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3.3 Proposed legal solutions and the missing piece in current discussion |
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36 | (5) |
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PART II Preliminary analysis: Would a harsh prohibition on Chinese export duties constrain China's capacity to protect the environment? |
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41 | (60) |
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4 A harsh ban on export duties would prevent a country from protecting the environment under certain circumstances |
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43 | (26) |
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4.1 Practice of WTO members to restrict exports for environmental purposes in the period from 2009 to 2016 |
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44 | (12) |
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4.1.1 General observations and actual examples of country practices to use export duties to reduce local or global pollution |
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44 | (10) |
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4.1.2 Preference for export duties over quantitative export restrictions in practice |
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54 | (2) |
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4.2 Environmental regulatory autonomy and regulatory preference at both the multilateral and regional levels |
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56 | (12) |
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4.2.1 Environmental regulatory autonomy with respect to export restrictions |
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56 | (9) |
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4.2.2 Regulatory preference for export duties over quantitative restrictions |
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65 | (3) |
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68 | (1) |
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5 Policy rationales behind Chinese export duties |
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69 | (20) |
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5.1 The possible rationales behind Chinese export duties |
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70 | (6) |
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5.1.1 The formation process of export duties in China |
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70 | (2) |
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5.1.2 Different missions of the relevant actors in deciding export duties |
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72 | (4) |
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5.2 China's Five-Year Plan as a trustworthy policy indicator |
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76 | (2) |
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5.3 The different roles of export duties in the context of Eleventh to Thirteenth Five-Year Plans (2006--2020) |
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78 | (8) |
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5.3.1 Period of 2006--2015: economic development as a dominant purpose |
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78 | (6) |
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5.3.2 Period of 2016--2020: a clear shift to environmental protection |
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84 | (2) |
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86 | (3) |
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6 A neglected issue: Negative impacts on China's capacity to fight climate change |
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89 | (12) |
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6.1 Measures to tackle carbon leakage |
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90 | (3) |
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6.2 Export duties as an alternative to import BTAs |
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93 | (2) |
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6.3 Chinese export duties as a credible climate policy tool |
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95 | (3) |
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98 | (3) |
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PART III Final analysis: Is there a way for China to use export duties legally in order to achieve environmental goals under WTO law? |
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101 | (122) |
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7 Is there a legal path to a desirable policy space for China under WTO law? |
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103 | (84) |
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7.1 Possible ways to alter the WTO ban through a judicial correction |
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104 | (41) |
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7.1.1 Feasibility to depart from WTO jurisprudence |
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104 | (6) |
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7.1.2 Moves by other tribunals to deviate from precedent: inspirations for the AB to reconsider the WTO ban on Chinese export duties |
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110 | (31) |
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7.1.3 Suggestions to loosen the grip of China---Raw Materials and China---Rare Earths in light of the new facts of Chinese export duties |
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141 | (4) |
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7.2 Possible ways to develop a new substantive argument |
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145 | (3) |
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7.3 Feasibility tests for interpretative options based on customary international law or non-WTO treaties |
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148 | (14) |
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7.3.1 Possibilities and challenges to apply customary international law or non-WTO treaties in settling WTO disputes |
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149 | (5) |
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7.3.2 Options based on customary international law |
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154 | (5) |
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7.3.3 Options based on non-WTO treaties |
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159 | (3) |
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7.4 Feasibility tests for interpretative options based on WTO law |
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162 | (10) |
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7.4.1 A more teleological approach in light of the environmental context in the preamble of the WTO Agreement |
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162 | (5) |
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7.4.2 A new interpretation that distinguishes the China---Raw Materials and China---Rare Earths decisions |
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167 | (5) |
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7.5 Possible ways to alter the WTO ban through a political correction |
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172 | (3) |
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7.6 Feasibility tests for amendments, waivers, authoritative interpretations, or Ministerial Decisions |
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175 | (10) |
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7.6.1 Article X:1: an amendment as a formal correction |
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175 | (3) |
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7.6.2 Article LX:3: a waiver as a stopgap measure |
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178 | (4) |
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7.6.3 Article IX:2: an authoritative interpretation as a flexible correction |
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182 | (1) |
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7.6.4 Article IV:1: a more flexible alternative |
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183 | (2) |
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185 | (2) |
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8 China's policy space for adopting `export duties plus' under GATT Article XX |
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187 | (24) |
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8.1 Tests under Articles XX(b) and XX(g) |
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189 | (6) |
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8.1.1 Article XX(b): Local pollution |
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189 | (3) |
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8.1.2 Article XX(g): Global pollution |
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192 | (2) |
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8.1.3 Comparing different policy spaces under Articles XX(b) and XX(g) |
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194 | (1) |
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8.2 First condition of the chapeau: `arbitrary or unjustifiable discrimination between countries where the same conditions prevail' |
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195 | (7) |
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8.2.1 Do `the same conditions' prevail? |
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196 | (1) |
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8.2.2 Is such discrimination `arbitrary or unjustifiable'? |
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197 | (3) |
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8.2.3 Differential `export duties plus' might be permitted for fighting climate change |
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200 | (2) |
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8.3 Second condition of the chapeau: `disguised restriction on international trade' |
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202 | (4) |
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8.3.1 Distinguishing between active discrimination and passive discrimination |
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202 | (1) |
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8.3.2 The irrelevance of the hidden protectionist aim |
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203 | (2) |
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8.3.3 Additional limits on the use of differential `export duties plus' |
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205 | (1) |
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8.4 A reality check on Chinas environmental policies targeting consumption |
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206 | (3) |
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209 | (2) |
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9 Implications of `Greening' the WTO ban on Chinese export duties |
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211 | (12) |
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9.1 Lessons for addressing trade-related environmental concerns |
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211 | (4) |
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9.1.1 Balancing environmental and economic interests |
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211 | (1) |
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9.1.2 Hard cases make bad law |
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212 | (2) |
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9.1.3 Moderation of extreme judicial outcomes is possible, but would be difficult |
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214 | (1) |
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9.2 Loosening the grip of precedent within the WTO's legal framework |
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215 | (2) |
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9.3 Preventing circumvention of WTO rules: aluminium sector as an example |
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217 | (4) |
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221 | (2) |
Index |
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223 | |