Anti-suit injunctions in international commercial arbitration / by Olivier Luc Mosimann.
2010
K2400 .M67 2010 (Map It)
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Details
Author
Title
Anti-suit injunctions in international commercial arbitration / by Olivier Luc Mosimann.
Published
The Hague, The Netherlands : Eleven International Pub., [2010]
Copyright
©2010
Call Number
K2400 .M67 2010
ISBN
9789077596999
9077596992
9077596992
Description
x, 199 pages ; 25 cm.
System Control No.
(OCoLC)650217494
Bibliography, etc. Note
Includes bibliographical references and indexes.
Record Appears in
Gift
Purchased from the income of the Jaffe Fund
Gift
The Arthur W. Diamond Law Library
Purchased from the income of the Jaffe Fund
Table of Contents
Acknowledgments
xi
Introduction
1
ch. 1
Preliminary Considerations
3
1.
Jurisdictions Covered
3
2.
The Arbitration Agreement
4
2.1.
`Localized' or Delocalized Arbitration?
4
2.2.
The Obligation Not to Apply to a Court or Another Tribunal
5
3.
Terminology: Anti-Suit Injunction
7
4.
Categories of `Anti-Suit Injunctions' Covered
8
ch. 2
The Development of Anti-Suit Injunctions in Litigation
9
1.
England
9
1.1.
Historical Development
9
1.2.
Prerequisites for the Issuance of an Anti-Suit Injunction
11
1.2.1.
Personal Jurisdiction
11
1.2.2.
Discretion
12
1.2.2.1.
Equitable Right
12
1.2.2.1.1.
Alternative Forum Cases
14
1.2.2.1.2.
Single Forum Cases
15
1.2.2.1.3.
Protective Anti-Suit Injunctions
17
1.2.2.1.4.
Anti-Anti-Suit Injunctions
17
1.2.2.2.
Legal Right
18
1.2.3.
Comity
19
2.
USA
21
3.
Summary
22
ch. 3
Anti-Suit Injunctions Issued by State Courts in International Commercial Arbitration
23
1.
Prerequisites in England
23
1.1.
Legal Basis
23
1.2.
Personal Jurisdiction over Addressee of Injunction
24
1.3.
Breach of the Arbitration Agreement
25
1.4.
Discretion
26
1.4.1.
Vexatious or Oppressive Test?
27
1.4.2.
Exercise of Discretion
29
1.5.
Time of Application
31
1.6.
Comity
32
1.7.
Damages more Appropriate?
35
2.
Prerequisites in the USA
37
3.
Switzerland?
40
3.1.
Legal Basis
41
3.2.
Parallel Competence
42
3.3.
Prerequisites for Ordering the Interim Measure
44
3.4.
Comity or Rechtsschutzinteresse?
46
3.5.
Incompatibility with Swiss Legal System?
47
4.
Conformity of Anti-Suit Injunctions
48
4.1.
Compliance with the New York Convention
48
4.1.1.
With Respect to Art. II(3)
48
4.1.2.
With Respect to Art. V(2)(b)
51
4.2.
Compliance with the Principle of Competence-Competence
52
4.2.1.
Positive Effect of the Principle of Competence-Competence
52
4.2.2.
Negative Effect in General
52
4.2.3.
Negative Effect in Switzerland
55
4.2.4.
Negative Effect in England
55
4.2.5.
Negative Effect in the US
56
4.2.6.
Competence-Competence and Anti-Suit Injunctions
57
4.3.
Compliance with the Right of Access to Court
58
4.4.
Compliance with the Jurisdiction of the Arbitral Tribunal
59
4.5.
Compliance with Council Regulation (EC) No. 44/2001 or the 1988 Lugano Convention
61
4.5.1.
Historical Reasons for the Exclusion of Arbitration
62
4.5.2.
Case Law Preceding West Tankers
63
4.5.3.
Debate in Legal Doctrine
65
4.5.3.1.
Exclusion of Arbitration
66
4.5.3.2.
Incompatibility Irrespective of Exclusion?
69
4.5.4.
Opinion of the Advocate General
71
4.5.5.
Criticism of the Advocate General's Opinion
73
4.5.6.
Judgment of the European Court of Justice
75
4.5.7.
Criticism of the Judgment
75
4.5.8.
Practical Consequences
77
4.5.9.
Should Arbitration Be Included into the Regulation?
78
4.5.9.1.
Suggested Amendments
79
4.5.9.2.
Views Opposing Amendment
80
4.5.9.3.
Proposed Solution
82
4.5.9.4.
Outlook
83
5.
Domestic Enforcement
84
5.1.
England
84
5.2.
Switzerland
86
6.
Enforcement Abroad
87
6.1.
Service of Anti-Suit Injunctions Abroad
87
6.2.
Enforcement of Anti-Suit Injunctions Abroad
87
6.3.
`Indirect Enforcement'
90
6.3.1.
In England
90
6.3.2.
In Switzerland
92
6.3.3.
Limited Effectiveness of `Indirect Enforcement'
93
ch. 4
Anti-Suit Injunctions Issued by the Arbitral Tribunal
95
1.
Order: Intrim or Final Relief?
95
2.
Availability of Interim Relief by the Arbitral Tribunal
98
3.
Legal Basis for Ordering an Anti-Suit Injunction
99
3.1.
Arbitration Agreement
99
3.2.
Arbitration Rules
103
3.3.
Lex arbitri
105
3.3.1.
England
106
3.3.2.
Switzerland
107
3.3.3.
Uncitral Model Law Jurisdictions
108
4.
Prerequisites
109
4.1.
Application by a Party
110
4.2.
Prima facie Establishment of Jurisdiction
110
4.3.
Prima facie Establishment of Case or Right
111
4.3.1.
Conduct of the Party Allegedly in Breach of the Arbitration Agreement
112
4.3.2.
Parties
114
4.3.3.
Claims
114
4.3.4.
Subject Matter
115
4.4.
Urgency
116
4.5.
Substantial Prejudice
117
4.6.
Proportionality
120
4.7.
Summary of the Prerequisites
122
5.
Sanctions by the Arbitral Tribunal
122
5.1.
In General
122
5.2.
Allocation of Costs as a Sanction?
124
5.3.
Damages
127
5.3.1.
English Case Law
127
5.3.2.
US Case Law
128
5.3.3.
Arbitral Case Law
128
5.3.4.
Under Swiss Law
129
5.3.5.
Damages as a Sanction?
130
5.4.
Contractual Penalties?
131
5.5.
Astreintes
133
5.5.1.
Astreintes in French Litigation
133
5.5.2.
No Astreintes by Swiss State Courts
134
5.5.3.
Astreintes in Arbitration?
135
5.5.3.1.
Imperium and Jurisdictio
135
5.5.3.2.
Legal Basis
135
5.5.3.3.
Enforcement of Astreintes
139
5.5.3.4.
Effectiveness of Astreintes as a Sanction
141
5.6.
Criminal Sanctions
141
5.7.
Adverse Inference
147
6.
Enforcement at the Seat of the Arbitration
148
6.1.
Contempt of Court
148
6.2.
State Court Support in Switzerland
149
7.
Recognition and Enforcement Abroad
150
7.1.
Under the New York Convention?
151
7.1.1.
Award
151
7.1.2.
Public Policy
154
7.2.
Under Council Regulation (EC) No. 44/2001 or the 1988 Lugano Convention?
155
7.3.
Under the Amended Model Law
155
7.4.
Under Swiss Law?
156
7.5.
Under English Law?
157
7.6.
Conclusions
157
8.
Practical Considerations
158
8.1.
Advisability of Relief by the Arbitral Tribunal
158
8.1.1.
Consideration of Practical Effects
158
8.1.2.
Effects on the Award?
158
8.2.
Procedural Order or Award?
160
ch. 5
Anti-Suit Injunctions and `Third Parties'
163
1.
Orders Against Parties to the Arbitral Proceedings
163
2.
Orders Against Non-Parties to the Arbitral Proceedings
165
2.1.
By State Courts
165
2.1.1.
Naming and Joining Parties
165
2.1.2.
Non-Signatories
166
2.1.3.
True Third Parties
167
2.2.
By Arbitral Tribunals
168
ch. 6
Comparison of Anti-Suit Injunctions Issued by State Courts and by Arbitral Tribunals
171
Summary
177
Index of Abbreviations
181
Index of Authorities
185