RECOGNITION%AND ENFORCEMENT OF FOREIGN ARBITRAL AWARDS A GLOBAL COMMENTARY ON THE NEW YORK CONVENTI【2025|PDF下载-Epub版本|mobi电子书|kindle百度云盘下载】

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Introduction The New York Convention Fifty Years on： Overview and Assessment&Herbert Kronke1

Article Ⅰ&Hans Bagner19

Article Ⅱ&Dorothee Schramm， Elliott Geisinger， Philippe Pinsolle37

Article Ⅲ&Andreas Borner115

Article Ⅳ&Dirk Otto143

Article Ⅴ（1）（a）&Patricia Nacimiento205

Article Ⅴ（1）（b）&Andres Jana， Angie Armer， Johanna Klein Kranenberg231

Article Ⅴ（1）（c）&Nicola Christine Port， Scott Ethan Bowers， Bethany Davis Noll257

Article Ⅴ（1）（d）Patricia Nacimiento281

Article Ⅴ（1）（e）&Nadia Darwazeh301

Article Ⅴ（2）&Dirk Otto， Omaia Elwan345

Article Ⅵ&Nicola Christine Port， Jessica R.Simonoff， Scott Ethan Bowers415

Article Ⅶ&Dirk Otto443

Article Ⅷ&Dirk Otto475

Article Ⅸ&Ximena Fuentes479

Article Ⅹ&Ximena Fuentes483

Article Ⅺ&Dirk Otto493

Article Ⅻ&Dirk Otto497

Article ⅩⅢ&Nicola Christine Port， David Fuhr， Jessica R.Simonoff531

Article ⅩⅣ&Patricia Nacimiento541

Article ⅩⅤ&Patricia Nacimiento551

Article ⅩⅥ &Dorothee Schramm， Elliott Geisinger， Philippe Pinsolle555

Appendix1 Convention on the Recognition and Enforcement of Foreign Arbitral Awards （New York Convention， 1958）559

Appendix2 Recommendation Regarding the Interpretation of Article Ⅱ， Paragraph 2， and Article Ⅶ， Paragraph 1， of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards，565

Appendix3 Convention on the Execution of Foreign Arbitral Awards （Geneva Convention， 1927）569

Appendix4 Protocol on Arbitration Clauses （Geneva Protocol， 1923）573

References577

Index603

Introduction The New York Convention Fifty Years on： Overview and Assessment Herbert Kronke1

Ⅰ.The New York Convention and Transnational Commercial Law in Perspective1

Ⅱ.Reservations6

Ⅲ.Recognition and Enforcement7

Ⅳ.Judicial Review of Arbitral Awards8

Ⅴ.The Core Decision： Checks on Procedure11

Ⅵ.Relationship Between Different Regimes： The “More Favorable Rights” Principle11

Ⅶ.Asset Spotting and Forum Shopping13

Ⅷ.Formalities and Refusal of Recognition and Enforcement： The State of Things and a Look toward the Future17

Article Ⅰ &Hans Bagner19

Ⅰ.Introduction to Article I of the New York Convention20

A.Overview20

Ⅱ.Article I（1）： Scope of Application21

A.The Territorial Criterion： “Awards Made in the Territoty of [Another] State”21

1. Hiscox v.Outhwaite （England， 1991）22

2. The Titan Case （Sweden， 2005）23

B.Non-domestic Awards24

C.“Arising Out of Differences between Persons， Whether Physical or Legal”26

1. Public Entities as Legal “Persons”26

2. State Immunity27

（a） Societe Europeenne d’Etudes et d’Entreprises （S.E.E.E.） v.Socialist Federal Republic of Yugoslavia27

（b） Union of India v.Lief Hoegh & Co.28

（c） Immunity Defense Addressed by the Greek Courts29

D.Permanent Arbitral Tribunal： Article Ⅰ（2）29

Ⅲ.Reservations under Article Ⅰ（3）32

A.The First Reservation： Reciprocity32

B.The Second Reservation： Commercial Reservation32

1. Courts’ Interpretation of the Term “Commercial”33

Ⅳ.“One Country， Two Legal Systems”： Enforcement of Foreign Awards in Mainland China and Hong Kong36

Ⅴ.Conclusion36

Article Ⅱ &Dorothee Schramm， Elliott Geisinger， Philippe Pinsolle37

Ⅰ.Introduction to Article Ⅱ38

A.Overview of Article Ⅱ38

B.Legislative History and Recent Developments39

C.Scope of Application of Article Ⅱ41

1. As Regards the Seat of the Arbitration41

2. Potentially Relevant Fact Situations43

D.Does the New York Convention Leave any Room at all for National Legislation？44

E.Relationship between Article Ⅱ and National Law46

Ⅱ.Article Ⅱ（1）49

A.General49

B.Requirements of a Valid Arbitration Agreement49

C.Necessary Content of the Arbitration Agreement50

D.Substance of the Arbitration Agreement51

1. Law Applicable to the Substance of the Arbitration Agreement54

2. nterpretation and Validity of Pathological Arbitration Clauses57

3. Substantive Validity of Arbitration Agreements by Reference62

4. Extension of the Arbitration Agreement to Non-signatories62

E.Arbitrability of the Subject-Matter69

Ⅲ.Article Ⅱ（2）73

A.General73

B.Interpretation of Article Ⅱ（2） Under UNCITRAL’s Recommendation and Article 7 of the UNCITRAL Model Law 200675

C.Arbitration Agreement Signed by the Parties80

D.Arbitration Agreement by Exchange of Documents80

1. The Object of the Exchange： Exchange of Writings81

2. Means of Exchange： Use of Modern Communication83

E.Arbitration Agreements Evidenced by a Text without Signature or Exchange of Documents85

F.Requirements as to Form in Case of Arbitration Agreement by Reference87

G.Extension of the Arbitration Agreement to Non-signatories93

H.Scope of the “in Writing” Requirement in Cases of Agency94

Ⅳ.Article Ⅱ（3）95

A.General95

B.The “Competence-Competence” Principle Under National Law95

1. Competence-Competence under French Law96

2. Competence-Competence under Swiss Law97

3. Competence-Competence under German Law99

C.Referral to Arbitration under Article Ⅱ（3）100

1. Scope of Application of Article Ⅱ（3）100

2. Requirements of Article Ⅱ（3）102

3. Agreements that Are “Null and Void， Inoperative or Incapable of Being Performed”103

4. Scope of Review by the National Courts109

5. Procedural Consequences of Article Ⅱ（3）110

Article Ⅲ &Andreas Borner115

Ⅰ.Introduction116

Ⅱ.Legislative History118

Ⅲ.Content120

A.Procedural Issues that Arise with Recognition （or Petitions for Exequatur or for Leave for Enforcement）121

1.Types of Proceedings， Where to Bring Them， and Other Restrictions that May Be Applied to Enforcement Proceedings121

（a） Type of Proceedings121

（b） International Competence and Links to the Enforcing Country123

（c） Immunity under International Law126

（d） Security for Court Fees and Costs as a Condition to Commence Recognition （such as Exequatur） Proceedings127

（e） Time Limits， Limitation Period127

（f） Remedies128

2.Changes to the Award to Enhance Its Enforceability129

（a） Specification of Currency， Tax， or Interest129

（b） Non-monetary Claims130

（c） Succession and Assignment130

3.Changes to the Award Because of Subsequent Events， in Particular Set-off131

B.Exclusivity of Recognition and Enforcement Proceedings133

1.Judgments Concerning Negative Declarations133

2.Recognition of a Foreign Judgment Concerning the Arbitral Award135

3.Award Creditor Seeking a Court Judgment Based on the Merits， Relying on the Arbitral Award Only by Way of Evidence135

4.Other Types of Judgments136

C.Procedural Issues Particular to Enforcement Proceedings136

1.Provisional Enforcement136

2.Immunity for Certain Assets137

3.Enforcement by Way of Attaching a Claim （Garnishee Orders）138

D.Anti-Challenge Injunctions138

Ⅳ.Proposals for the Future140

Article Ⅳ &Dirk Otto143

Ⅰ.Purpose and Legislative History of the Provision145

A.Comparable Provision in the Old Geneva Convention145

B.Deliberations of the New York Conference146

C.Final Provision148

Ⅱ.Scope of Application149

A.General149

B.Difference between Recognition and Enforcement149

Ⅲ.Formal Requirements151

A.Submission of the Award151

1. Written Form152

2. Names of the Parties152

3. Signatures of Arbitrators153

4. Other Requirements Regarding the Award155

5. Interim and Partial Awards， Interim Measures155

6. Other Types of Arbitral Decisions158

B.Submission of Arbitration Agreement159

1. Material Validity of the Arbitration Agreement163

2. Material Validity of the Award168

3. What if No Written Agreement Can Be Provided168

（a） Earlier Court Decision Referred Parties to Arbitration168

（b） Arbitration Agreed to in Court Proceedings170

（c） Participation in Arbitration Proceedings Without Objections171

（d） Other Cases174

4. Impact of the UN Convention on the Use of Electronic Communications in International Contracts174

C.Authentication and Certification177

1. Authentication177

2. Law Governing Authentication178

3. Certification179

D.When Is “Authentication” or “Certification” Required179

E.Who can Authenticate/Certify？183

1. Public Authority184

2. Arbitration Institution or Other Person184

3. Right of Parties to Contractually Modify Requirements？186

F.Early Preparation for Enforcement of Award187

G.Article Ⅳ Supersedes Domestic Law187

1. No Other Requirements for Applicant Intended by Convention188

2. Award Need Not Be Declared Enforceable in Country of Origin188

3. Additional Requirements Imposed by Certain National Laws189

（a） Indonesia190

（b） India， Bangladesh190

（c） Bulgaria191

（d） Malaysia192

4.Enforcement and “Merger of Award”192

Ⅳ.Translation of Award and/or Arbitration Agreement193

A.Purpose of Clause and Comparison to Geneva Convention193

B.Certified Translation194

1. Does Article Ⅳ（2） Give the Enforcing Judge Discretion to Waive Translation？194

2. Time for Compliance with Formality195

3. What Is To Be Certified？195

4. Certified Translation According to the Lex Fori？196

Ⅴ.Changes of Parties and Assignment of Award？197

A.Change of Parties before Arbitration Award is Rendered197

1. Assignment of an Arbitration Contract197

2. Assignment of Claims under an Award198

B.Impact on Enforcement Proceedings199

Ⅵ.Set-off/Counterclaim as a Defense？200

A.Counterclaim Finally Adjudicated by Court200

B.Counterclaim Adjudicated by Arbitration201

C.Counterclaim Unadjudicated201

Ⅶ.Outlook202

Article Ⅴ（1）（a） &Patricia Nacimiento205

Ⅰ.General206

A.Overview Article Ⅴ206

B.Court Discretion207

C.Exhaustive List of Grounds209

D.Burden of Pleading and Burden of Proof210

E.Preclusion211

F.Res Judicata215

G.Waiver216

Ⅱ.Article Ⅴ（1）（a）216

A.Legislative History216

B.Incapacity of a Party218

1. Content218

2. Scope of Application218

3. Applicable Law219

4. Government Entities and State-Owned Companies220

C.Invalidity of Arbitration Agreement221

1. Scope of Application221

2. Power of Final Decision of State Courts222

3. Applicable Law224

（a） The Parties’ Choice of Law224

（b） Applicable Law in the Absence of a Choice of Law225

（c） Formal Validity of the Arbitration Agreement226

（d） Material Validity of the Arbitration Agreement227

Article Ⅴ（1）（b）&Andres Jana， Angie Armer， Johanna Klein Kranenberg231

Ⅰ.Introduction232

Ⅱ.Due Process Exception as Related to Public Policy Exception234

A.Due Process and Public Policy Exceptions Often Considered Jointly Despite Differing Burdens of Proof234

B.Invocation of Either the Due Process or Public Policy Exception Does Not Preclude Invocation of the Other237

Ⅲ.Law Applicable to Due Process Exception： Seat of Arbitration and Enforcing State Both Considered Relevant237

Ⅳ.Proper Notice under Article Ⅴ（1）（B）241

A.Meaning of “Proper Notice”241

B.Parties May Be Notified in Accordance with Contractual Provisions in Most Cases242

C.Time Limits for Notice244

D.Party Objecting to Enforcement Must Prove Lack of Notice245

Ⅴ.Party Facing Enforcement Must Have Had an Opportunity To Present a Case246

A.To Present a Case， Party Must Have Opportunity To Reply to Allegations and Evidence of Other Side246

B.An Arbitral Tribunal Need Not Consider All Evidence a Party Wishes to Present248

C.Language of the Proceedings Need Not Be That of the Parties251

D.Party Must Have Been Prejudiced by Lack of Opportunity to Present Case252

E.Active Participation in the Arbitration Waives Due Process Objection253

Ⅵ.Due Process Exception Does Not Operate To End Party Autonomy by Imposing Specific Procedural Requirements256

Article Ⅴ（1）（c） &Nicola Christine Port， Scott Ethan Bowers， Bethany Davis Noll257

Ⅰ.Introduction258

A.Overview258

B.General Principles259

C.Application of Ⅴ（1）（c） Defense259

D.Narrow Construction and Presumption That Arbitrators Acted Within Scope of Authority260

E.Relation to Other Defenses Under Local Law262

F.Legislative History264

Ⅱ.The Arbitration Agreement and the Arbitrator’s Mandate265

Ⅲ.Scope of the Arbitrator’s Authority266

A.Time Calculations266

B.Consolidation of Arbitrations267

C.Decisions Made Nunc pro Tunc267

D.Decisions to Disregard a Substantive Contractual Provision268

E.Ultra Petita268

F.Death of the Arbitrator271

G.Extraneous or Outside Evidence271

Ⅳ.Tribunal’s Choice of Substantive Law272

A.Particular Legal Theort Chosen by the Tribunal272

B.Particular Body of Substantive Law Chosen by Tribunal272

Ⅴ.Kompetenz-Kompetenz273

Ⅵ.Arbitrability of Statutory Claims275

Ⅶ.Partial Enforcement276

A.Infra Petita277

Ⅷ.Parties to the Contract277

Ⅸ.Applicability of an Arbitration Clause in an Earlier Agreement to Disputes Concerning a Later Agreement279

Article Ⅴ（1）（d） &Patricia Nacimiento281

Ⅰ.Introduction282

Ⅱ.Applicable Law283

A.Party Autonomy283

1.Limits of Party Autonomy284

2.Direct Restrictions by National Mandatory Law？285

3.Form of the Choice-of-Law Provision287

B.Law of the Country Where the Arbitration Took Place288

Ⅲ.Composition of the Arbitral Authority and Incorrect Procedure288

A.Composition of the Arbitral Authority288

1.Improper Composition as a Ground to Refuse Recognition and Enforcement288

2.Examples of Potentially Defective Tribunal Composition290

B.Incorrect Procedure293

C.Causality/Substantiality298

D.Preclusion299

Article Ⅴ（1）（e） &Nadia Darwazeh301

Ⅰ.Introduction302

A.An Overview of Article Ⅴ（1）（e）303

B.Drafting History Culminating in the Adoption of Article V（1）（e）304

1. Shortcomings of the Geneva Framework305

2. The New York Convention Sought to Address the Geneva Framework Shortcomings306

（a） Limitation of Available Defenses to Enforcement306

（b） Elimination of the “Double Exequatur” Requirement306

（c） The Enforcing Courts Have Discretion to Refuse the Enforcement of Awards308

Ⅱ.Grounds for Refusing the Enforcement of Awards Under Article Ⅴ（1）（e）311

A.The Award is Not “Binding”311

1. Should the Concept of “Binding” Be Given an Autonomous Meaning？312

2. Should the Concept of “Binding” Be Determined According to the Law of the Country of Origin？313

3. The Meaning of “Binding” Differs From Country to Country314

（a） Australia314

（b） Belgium314

（c） People’s Republic of China315

（d） France315

（e） Germany316

（f） Italy316

（g） Netherlands317

（h） Sweden317

（i） Switzerland318

（j） United States318

B.The Award Has Been Set Aside319

1. Where Can an Award Be Set Aside？319

（a） “The Country In Which the Award Was Made” Means the Place of Arbitration320

（b） “Under the Law of Which the Award Was Made” Refers to the Applicable Arbitration Law321

2. The Effect of an Annulled Award on Its Enforcement Varies from Country to Country324

（a） The Territorial Approach326

（i） People’s Republic of China329

（ii） Germany329

（iii） Italy330

（iv） Netherlands330

（v） Sweden331

（vi） Switzerland331

（b） The Delocalized Approach331

（i） France334

（ii） United States337

（iii） England340

（iv） The Parties’ Agreement To Exclude Set-Aside Proceedings341

C.The Award Has Been Suspended342

Ⅲ.Conclusion343

Article Ⅴ（2） &Dirk Otto， Omaia Elwan345

Ⅰ.Purpose and Legislative Histoty of the Provision346

A.Provisions of the Draft Convention347

B.Provisions of the Geneva Convention347

C.General Remarks348

Ⅱ.Subject Matter Not Capable of Settlement by Arbitration348

A.Choice of Law to Determine Arbitrability349

B.Typical Situations Where Arbitrability May Be Questioned349

1. Disputes Between a Company and Its Shareholders349

2. Administrative Contracts350

3. Act of State Doctrine353

4. Agency Agreements354

5. Bankruptcy355

6. Mandatory Legal Requirements355

（a） Competition and Cartel Issues356

（1） The US Position and the Look Back Doctrine356

（2） European Union357

（3） Australia and New Zealand357

（4） Other Countries358

（5） Second Look Doctrine358

（b） Securities Transactions359

（c） Consumer Contracts360

（d） Trade Sanctions and Embargoes361

（e） Tort Claims362

（f） Supra-National Laws362

7. Other “Non-arbitrable” Situations363

Ⅲ.Violation of Public Policy365

A.Concepts of Public Policy May Change367

B.Preclusion368

C.Applicable Law369

D.Examples and Case Law Relating to Public Policy369

1. Impartiality of the Arbitrator as a Violation of Public Policy369

2. Allegations of Bribery or Illegality as a Violation of Public Policy372

3. Fraud as a Violation of Public Policy374

4. Award Without Reasons as a Violation of Public Policy375

5. Violation of Time Limits as a Violation of Public Policy377

6. Violation of Laws as a Violation of Public Policy378

（a） Bankruptcy Laws378

（b） Competition Laws382

（c） Consumer Protection Laws384

（d） Exchange Control Restrictions384

（e） Export/Import Restrictions and Other Government Restrictions386

7. Lack of Due Process as a Violation of Public Policy387

（a） Right to Be Heard387

（b） Violation of Procedural Laws389

（c） Islamic Legal Principles390

（d） Opportunity to Present Evidence390

8. Other Examples （A to Z）391

（a） Violation of Public Policy Affirmed391

（b） No Violation of Public Policy394

E.Waiver and Estoppel406

F.Impact of Arbitration Award or Judgment of a Court at Place of Arbitration on Defenses Under Article Ⅴ410

Ⅳ.Remedy： Refusal of Enforcement410

Ⅴ.Is Partial Recognition and Enforcement Possible？413

Article Ⅵ &Nicola Christine Port， Jessica R.Simonoff， Scott Ethan Bowers415

Ⅰ. Introduction416

Ⅱ.Legislative History417

Ⅲ.Application of Article Ⅵ： Adjournment Applications419

A.Overview419

B.Single Factor Approach： Using Probability of Success as a Threshold for Granting Adjournment Applications421

1. Australia422

2. Belgium423

3. Hong Kong423

C.Multi-Factor Approach to Adjournment Applications424

1. Canada425

2. Cayman Islands427

3. England427

4. Germany429

5. Netherlands429

6. Sweden430

7. United States of America430

D.Refusal to Grant Adjournment Applications433

1. France433

Ⅳ.Application of Article Ⅵ： Security434

A.Overview434

B.Case Law436

1. United States of America436

（a） Form of Security437

（b） Amount of Security437

（c） Waiver of Sovereign Immunity437

2. Canada438

3. England439

4. Hong Kong440

5. Australia441

6. Cayman Islands441

Article Ⅶ &Dirk Otto443

Ⅰ.Purpose and History444

A.Corresponding Provision of Geneva Convention444

B.Modification to the Original Proposal445

Ⅱ.Significance and Meaning of Subsection 1446

A.Other Treaties446

1. Important Arbitration Conventions446

2. The Convention’s Relationship to Other Treaties446

B.More Favorable Laws448

1. Use of “More Favorable Laws”448

2. Critical Analysis450

3. “More Favorable Rights” Provision May Only Be Used to Ease Enforcement452

Ⅲ.Replacement of the Geneva Convention and Protocol452

A.History of Subsection 2453

B.Current Status of the Geneva Convention454

1. Convention on the Execution of Foreign Arbitral Awards454

2. Protocol on Arbitration Clauses460

C.Current Status468

1. Myanmar469

2. British Dependencies and Overseas Territories469

3.Former British Dependencies470

4.New Zealand Territories and Former Territories472

Article Ⅷ &Dirk Otto475

Ⅰ.Purpose and History475

A.Subsection 1： Who May Join476

B.Technique of Ratification477

Ⅱ.Practical Significance478

Article Ⅸ &Ximena Fuentes479

L.Purpose and History479

Ⅱ.Current State Parties to the Convention480

Ⅲ.Alternatives to Accession for Special Administrative Regions within the Territory of a Contracting State482

Article Ⅹ &Ximena Fuentes483

Ⅰ.Introduction484

Ⅱ.Historical Development of Article Ⅹ484

Ⅲ.Declarations Concerning Territorial Scope of Application According to the UN Treaty Series487

Ⅳ.Action Taken by Former Dependent Territories with Regard to the NY Convention490

Article Ⅺ &Dirk Otto493

Ⅰ.History494

Ⅱ.Impact of Article Ⅺ495

Article Ⅻ &Dirk Otto497

Ⅰ.Purpose and History498

Ⅱ.Deposit of Instruments of Ratification/Accession498

A.Domestic Application of the Convention498

B.Evidence Requirements499

Ⅲ.Retroactive Effect of Convention501

A.Award Made in a Country Before Convention Entered into Force for that Country502

B.Award Made Before the Enforcing State Became Party to the Convention504

C.Arbitration Agreements Signed Before Convention’s Entry into Force505

D.Status of the Convention507

Article ⅩⅢ &Nicola Christine Port， David Fuhr， Jessica R.Simonoff531

Ⅰ.Introduction532

Ⅱ.Purpose of ArticleⅩⅢ532

Ⅲ.Denunciation of Treaties Generally533

Ⅳ.Why Have States Refrained from Denouncing the Convention？534

A.Public Policy Exception to Award Enforcement535

B.Reservations to Convention Provisions535

C.No Sanctions for Refusal to Enforce Awards538

Article ⅩⅣ &Patricia Nacimiento541

Ⅰ.Introduction541

A.Overview： Reciprocity Clauses in International Context541

B.Legislative History542

Ⅱ.Content544

A.Significance of Article ⅩⅣ544

B.Relationship between Article ⅩⅣ and Article I（3）545

Article ⅩV &Patricia Nacimiento551

Ⅰ.General/Introduction552

Ⅱ.Content of Article ⅩV552

Ⅲ.List of Declarations of Subscribing States553

Article ⅩⅥ &Dorothee Schramm， Elliott Geisinger， Philippe Pinsolle 555

Ⅰ.Overview of Article ⅩⅥ555

Ⅱ.Authentic Languages and Interpretation of the New York Convention556

Appendix 1 Convention on the Recognition and Enforcement of Foreign Arbitral Awards （New York Convention， 1958）559

Appendix 2 Recommendation Regarding the Interpretation of Article Ⅱ， Paragraph 2， and Article Ⅶ， Paragraph 1， of the Convention on the Recognition and Enforcement of Foreign Arbitral Awards，565

Appendix 3 Convention on the Execution of Foreign Arbitral Awards （Geneva Convention， 1927）569

Appendix 4 Protocol on Arbitration Clauses （Geneva Protocol， 1923）573

References577

Index603