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El. knyga: Private International Law and Arbitral Jurisdiction [Taylor & Francis e-book]

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"International commercial arbitration and litigation are often seen as competing fora, fields of law, or markets. This intersection is at its highest at the forefront of any proceedings, at the jurisdictional stage. The analysis of jurisdictional issues at the forefront of an arbitration has been confined in a descriptive analysis of the law and jurisprudence, dealing with jurisdictional intersections almost in a mechanistic manner. These are not, however, issues which can be treated as mere mechanical rules. They are issues pertaining to core notions of authority, sovereignty, their origins and their allocation. At the same time, the pragmatic and practical domination of party autonomy is a fact which cannot be disregarded when one considers the normative and theoretical foundations of any model of dealing with these issues. This book moves beyond an analysis of arbitration and jurisdiction clauses to reconcile theory and practice, and provides an underlying theoretical model to explain and regulate jurisdictional intersections at the early stages of an arbitration from a private international law perspective. It combines both an in-depth engagement with the theoretical literature as well as a close examination and analysis of its practical consequencesin the form of a restatement of the law of England and Wales. From a methodological perspective, it utilises contemporary theories in private international law to propose a coherent model of regulating arbitral jurisdictions which promotes autonomy and freedom of the parties at this stage. Demonstrating how the theoretical model can be applied in practice and second to provide a basis for a potential future top-down or bottom-up approach of adopting the proposed model, it includes a succinct and practical codification of the current state of affairs in relation to the whole spectrum of jurisdictional issues in England and Wales to serve as a useful tool for practitioners considering jurisdictional issues both from the perspective of State courts and fromthe perspective of arbitral tribunals, as well as academics researching in these areas"--

International commercial arbitration and litigation are often seen as competing fora, fields of law, or markets. This intersection is at its highest at the forefront of any proceedings, at the jurisdictional stage.



International commercial arbitration and litigation are often seen as competing fora, fields of law, or markets. This intersection is at its highest at the forefront of any proceedings, at the jurisdictional stage. The analysis of jurisdictional issues at the forefront of an arbitration has been confined in a descriptive analysis of the law and jurisprudence, dealing with jurisdictional intersections almost in a mechanistic manner. These are not, however, issues which can be treated as mere mechanical rules. They are issues pertaining to core notions of authority, sovereignty, their origins and their allocation. At the same time, the pragmatic and practical domination of party autonomy is a fact which cannot be disregarded when one considers the normative and theoretical foundations of any model of dealing with these issues. This book moves beyond an analysis of arbitration and jurisdiction clauses to reconcile theory and practice, and provides an underlying theoretical model to explain and regulate jurisdictional intersections at the early stages of an arbitration from a private international law perspective. It combines both an in-depth engagement with the theoretical literature as well as a close examination and analysis of its practical consequences in the form of a restatement of the law of England and Wales. From a methodological perspective, it utilises contemporary theories in private international law to propose a coherent model of regulating arbitral jurisdictions which promotes autonomy and freedom of the parties at this stage. Demonstrating how the theoretical model can be applied in practice and second to provide a basis for a potential future top-down or bottom-up approach of adopting the proposed model, it includes a succinct and practical codification of the current state of affairs in relation to the whole spectrum of jurisdictional issues in England and Wales to serve as a useful tool for practitioners considering jurisdictional issues both from the perspective of State courts and from the perspective of arbitral tribunals, as well as academics researching in these areas.

Foreword xi
Preface xii
List of Abbreviations
xv
Table of Cases
xvii
1 Introduction
1(21)
1.1 Arbitral Jurisdiction in Private International Law and Arbitration
1(4)
1.1.1 Jurisdiction as Adjudicatory Competence in Cross-Border Disputes
1(3)
1.1.2 Jurisdiction, Arbitration, and Party Autonomy
4(1)
1.2 Recurring Themes
5(9)
1.2.1 Arbitral Jurisdiction and Parallel Proceedings in International Commercial Disputes
6(1)
1.2.2 Private International Law Analysis of Arbitral Jurisdiction: Comparison, Parallels, and Transposition
7(2)
1.2.3 Economic Globalisation, Global Law, and Arbitral Jurisdiction
9(2)
1.2.4 Jurisdictional Focus: Arbitral Jurisdiction in England and Wales
11(3)
1.3 The Enquiry
14(8)
1.3.1 Research Question
14(2)
1.3.2 Contribution to Knowledge
16(1)
1.3.3 Scope
17(1)
1.3.4 Structure
18(4)
2 Globalisation and Commercial Disputes
22(16)
2.1 Globalisation and the Rise of Private Actors in International Commerce
23(4)
2.2 State Interests in Private Commercial Disputes
27(3)
2.3 Private Interests and Risks in International Commercial Transactions and Disputes
30(3)
2.4 Arbitration, Merchants, and International Commercial Disputes
33(5)
2.4.1 Arbitration as a Dispute Resolution Method for Merchants
33(3)
2.4.2 Arbitral Jurisdiction in the Context of International Commercial Disputes
36(2)
3 Cross-Border Jurisdiction in Commercial Disputes
38(15)
3.1 Jurisdictional Issues in International Commercial Disputes
38(7)
3.1.1 Jurisdictional Disputes and Private International Law
38(1)
3.1.2 Tactical Nature of Jurisdictional Disputes
39(2)
3.1.3 Party Autonomy and Jurisdiction
41(4)
3.2 Jurisdictional Issues in International Arbitration
45(8)
3.2.1 Traditional Doctrinal Approach to Arbitral Jurisdiction
45(6)
3.2.2 Jurisdictional Intersections
51(2)
4 Party Autonomy in Private International Law and Arbitration
53(21)
4.1 Traditional Paradigms of Private International Law and Party Autonomy
55(3)
4.2 Creature of Contract or Creature of Party Autonomy?
58(3)
4.3 Arbitration Agreements as an Expression of Party Autonomy in International Commercial Arbitration
61(10)
4.3.1 Common Law--Contractual Paradigm
61(5)
4.3.2 Civil Law Approach--Procedural Contracts
66(2)
4.3.3 Dual Nature and Effects of Arbitration Agreements
68(3)
4.4 Arbitration, Party Autonomy, and International Commercial Dispute Settlement
71(3)
5 Existing Approaches for Regulating Arbitral Jurisdiction
74(25)
5.1 Regulation of Jurisdictional Issues in International Instruments
74(5)
5.1.1 New York Convention 1958
74(2)
5.1.2 Parallels from the 2005 Hague Convention on Choice of Court Agreements
76(3)
5.2 Regulation of Arbitral Jurisdiction in a Comparative Context
79(8)
5.2.1 New French Code of Civil Procedure--A Rule of Temporal Priority
79(2)
5.2.2 United States of America--Separability as a Delineating Mechanism
81(4)
5.2.3 Germany--Abandoning a Rule of Contractual Competence-Competence
85(2)
5.3 Theoretical Models of Regulating Arbitral Jurisdiction
87(12)
5.3.1 Rau's Solar System
87(2)
5.3.2 Paulsson's Presumptive Allocation of Authority
89(3)
5.3.3 Reversing the Default Position
92(7)
6 A Global Law Model for Arbitral Jurisdiction
99(22)
6.1 A Contemporary Private International Law Proposal on Arbitral Jurisdiction: From Subordination to Synergy
99(12)
6.1.1 Fitting Party Autonomy to the Traditional Paradigms or Changing the Paradigm?
99(2)
6.1.2 Arbitral Jurisdiction in a Shifting Paradigm of Dispute Resolution
101(3)
6.1.3 Horizontal Model of Arbitral Jurisdiction
104(7)
6.2 Adopting the Proposed Model
111(10)
6.2.1 Top-Down Adoption Via Multilateral Treaties and Model Laws
111(2)
6.2.2 Arbitral Jurisdiction and State Regulatory Competition
113(1)
6.2.3 Private Regulation and Arbitral Jurisdiction
114(4)
6.2.4 Horizontal Choice and English Commercial Arbitration and Litigation
118(3)
7 Arbitral Jurisdiction from a State Court's Perspective
121(58)
7.1 Stay of Proceedings
121(1)
7.1.1 Stay of Proceedings Under Section 9 Arbitration Act 1996
122(7)
7.1.2 Inherent/Case Management Stays
129(4)
7.1.3 Restated Approach
133(4)
7.2 Declarations of Validity: Cost Management Tools or Jurisdictional Encroachment?
137(10)
1.2.1 Declaration Under Section 32 of the Arbitration Act 1996
138(3)
7.2.2 Powers Under Section 72 of the Arbitration Act 1996
141(3)
7.2.3 Restated Approach
144(3)
7.3 Enforcement of Arbitration Agreements: Traditional and Equitable Remedies
147(20)
7.3.1 Court-Ordered Anti-Suit Injunctions
147(7)
7.3.2 Specific Performance Order: The Positive Obligation
154(10)
7.3.3 Restated Approach
164(3)
7.4 Enforcement of Arbitration Agreements: Damages
167(7)
7.4.1 Damages in the Law and Practice of England and Wales
167(4)
7.4.2 Restated Approach
171(3)
7.5 Post-award Intersections; Jurisdictional Review and Control
174(5)
7.5.1 Grounds and Standard of Review
174(2)
7.5.2 Conflict of Judgments
176(3)
8 Arbitral Jurisdiction: Issues Before Arbitral Tribunals
179(38)
8.1 Competence to Decide Jurisdictional Issues Redux
79(107)
8.2 Stay of Arbitration Proceedings
186(2)
8.3 Enforcing the Arbitration Agreement: Arbitral Enforcement Orders
188(16)
8.3.1 Jurisdiction to Grant Arbitral Enforcement Orders
188(5)
8.3.2 Enforcement
193(7)
8.3.3 Restated Approach
200(4)
8.4 Monetary Sanctions and Damages as Tools Bolstering Arbitral Enforcement Orders
204(8)
8.4.1 Monetary Sanctions
204(4)
8.4.2 Enforcing the Arbitration Agreement with a Damages Award
208(4)
8.5 Contractual Undertakings
212(5)
9 Conclusions: Arbitral Jurisdiction Architecture
217(3)
Bibliography 220(12)
Index 232
Faidon Varesis is Teaching Fellow at National Kapodistrian University of Athens, Greece. He has completed his Ph.D. at the University of Cambridge on 'Regulation of Arbitral Jurisdiction: a Private International Law Proposal' and he has taught at Cambridge, Oxford, Milan, and Athens. His research interests focus on International Commercial Arbitration and Conflict of Laws. He holds an M.Jur. (Distinction) from the University of Oxford having already completed an LLM in Civil law (Summa cum Laude) and an LLB (Summa cum Laude) from the National and Kapodistrian University of Athens, Greece.

Aside from his academic endeavours, he is a qualified attorney practicing in international commercial and investment arbitration, as well as representing clients in international transactions.