Whenever states’ rights to regulate and investor’s interests conflict with each other it is an unsolved question in investment treaty arbitration how one should balance those two positions. In particular, it is indefinite where to draw the line at what point states can actually exercise their rights without unlawfully violating the investor’s interests. A solution for this issue might be the proportionality test or analysis. Over the years, several tribunals approached proportionality, but took very different paths to understand and apply this legal concept. Especially, if one considers proportionality from its root in European and German law, some applications in investment treaty arbitration create confusion. Originating from a fixed methodological approach in the background of justifications of state measures, tribunals use proportionality in the process of defining and determining in contrast to the justification, as one would expect. Thus, it remains questionable which of those approaches is correct or if there is rather one correct application of proportionality in the context of investment treaty arbitration. This work argues in favour of proportionality being a legal concept which originates from German and European jurisprudence and migrated to international law. In international law it was established as a legal principle and subsequently adopted, inter alia, in investment treaty arbitration. Nevertheless, tribunals should be more careful when using proportionality. Especially, when naming and transferring a particular legal construct, it should not be used out of context. This endangers an award’s persuasiveness and furthers the fragmentation in international investment law. Tribunals should only refer to the ‘principle of proportionality’ or a ‘proportionality test/analysis’ when they actually apply it. And this application requires the concept to be used in the background of justification and not determination. Furthermore, the three/four significant steps must be followed in order to obtain the aimed proportional result.

Admissibility of illegally obtained evidence is one of the procedural issues in the investment treaty arbitration, on which the tribunals do not have the unified approach or point of view. Although, there are already cases where the tribunal have been faced with this problem, and this gives the ground for the thoughts about the topic. Provided the growing challenge for the tribunals on whether to admit or reject such evidence, this topic remains actual in the field of the arbitration.  The aim of the thesis is to highlight the legal issues, related to the admissibility of illegally obtained evidence in investment treaty arbitration. The thesis analyses three sub-issues: is illegally obtained evidence admissible in investment treaty arbitration, if it is admissible under which conditions and which types of illegally obtained evidence exist currently.

Made available in DSpace on 2016-04-26T20:24:08Z (GMT). No. of bitstreams: 1 Luiz Henrique Tamaki.pdf: 922552 bytes, checksum: 0fe39eaccce16b0105bb8e1d8f75de1b (MD5) Previous issue date: 2016-01-29 / This dissertation work proposes a brief study of the estoppel, as well as a review of the arbitration process, in order to finish up on the existence and applicability of estoppel in the arbitration process. To this end, we will briefly comment on the institutes of estoppel and the arbitration process, tracing its logical precepts and introducing the combination of both concepts / Neste trabalho de dissertação de mestrado propõe-se um breve estudo acerca do instituto da preclusão, assim como uma revisão sobre o processo de arbitragem, com a finalidade de concluir-se sobre a existência, aplicabilidade e limites da preclusão no processo de arbitragem. Para tanto, faremos breves comentários sobre os institutos da preclusão e do processo de arbitragem, traçando seus preceitos lógicos e introduzindo a conjugação de ambos os conceitos

Submitted by Filipe dos Santos (fsantos@pucsp.br) on 2018-06-14T12:37:13Z No. of bitstreams: 1 Frederico Gustavo de Souza e Straube.pdf: 1312599 bytes, checksum: 8841d4b404e321a2295e91f987c72bc6 (MD5) / Made available in DSpace on 2018-06-14T12:37:13Z (GMT). No. of bitstreams: 1 Frederico Gustavo de Souza e Straube.pdf: 1312599 bytes, checksum: 8841d4b404e321a2295e91f987c72bc6 (MD5) Previous issue date: 2018-03-14 / Corruption is a phenomenon as old as the history of mankind, common to developped countries, as well as to those in development. However, contrary to what happened in the past, it has received greater attention from international organizations and the academic world, mainly because of the collective and universal understanding of its harmful effects on society.International arbitration as a method of dissolving controversies is widely used by private individuals and also by public entities in international relations, especially in commercial trade and investments, and like any and all jurisdictional proceedings, it is not immune to the practice of corruption, whether in the relation between parties and arbitrators, or with witnesses and experts, with a view to subvert law and order in obtaining illicit advantages.Corruption, much more than a question of a cultural nature, is directly related to the efficiency and functioning of the institutions created by society. That is, the present study, without neglecting the influence of cultural factors, such as those in whose cultures are marked by strong patrimonialist bonds, aims at better understanding, describing and suggesting mechanisms of combat and prevention of corruption in order to mitigate a growing sense of mistrust and widespread insecurity in individuals and society as a whole. Thus, this work will seek, through the deductive / descriptive method, to dialogue with the theme and contribute to its problematic through the author's reflection on what he considers an "insufficiency" in the national and international literature, in order to bring some international cases and studies, as well as draw a parallel with Brazilian Law and domestic arbitration / A corrupção é um fenômeno tão antigo quanto a história da humanidade, comum aos Países desenvolvidos, bem como àqueles em desenvolvimento. Porém, contrariamente ao que ocorreu no passado, vem merecendo maior atenção por parte de organismos internacionais e do mundo acadêmico, principalmente em razão da compreensão coletiva e universal dos seus efeitos, nefastos para a sociedade. A Arbitragem Internacional em geral, método de dissolução de controvérsias bastante utilizado por particulares e também por entes públicos nas relações internacionais, sobretudo no comércio e em investimentos, como todo e qualquer procedimento jurisdicional não está imune à prática da corrupção, seja na relação entre as partes e os árbitros, seja com testemunhas e experts, com o objetivo de subverter a lei e a ordem para a obtenção de vantagens ilícitas.A corrupção, muito mais do que uma questão de natureza cultural, está diretamente relacionada à eficiência e ao funcionamento das instituições criadas pela sociedade. Ou seja, o presente estudo, sem desprezar a influência de fatores culturais, como aqueles em cujas culturas são marcadas por fortes vínculos patrimonialistas, visa melhor entender, descrever e sugerir mecanismos de combate e prevenção à corrupção para que se possa mitigar um crescente sentimento de desconfiança e insegurança generalizado nos particulares e na sociedade como um todo. Dessa forma,estetrabalho buscará por meio do método dedutivo/descritivo, dialogar com o tema e contribuir para a sua problemática por meio dareflexão do autor quanto ao que ele considera uma “insuficiência” na literatura nacional e também internacional, de maneira a trazer alguns casos e estudos internacionais, bem como traçar um paralelo com o Direito Brasileiro e a arbitragem doméstica

Submitted by Filipe dos Santos (fsantos@pucsp.br) on 2018-06-15T12:34:32Z No. of bitstreams: 1 Maristela Aparecida Dutra.pdf: 2203754 bytes, checksum: 0eb02694fce075e8adc05108a6ce7590 (MD5) / Made available in DSpace on 2018-06-15T12:34:32Z (GMT). No. of bitstreams: 1 Maristela Aparecida Dutra.pdf: 2203754 bytes, checksum: 0eb02694fce075e8adc05108a6ce7590 (MD5) Previous issue date: 2018-04-04 / This thesis proposes the application of arbitration as an alternative form of dispute resolution in family law this vein, there was a brief specificity of family conflicts as well as a historical overview and legislative developments in family law in the Brazilian legal system.extrajudicial means of conflict resolution, as well as the limits and possibilities of any obstacles currently encountered when access to the Brazilian judiciary for application of arbitration in family law was analyzed. One must not forget that the concept of family has undergone numerous changes and the extended follow these social changes, to better fulfill the ideal of justice, based on the constitutional principle of human dignity, existential minimum,without neglecting the principle of objective good faith and social function of the contract.In the study of arbitration, are analyzed its features, convention species, differences between arbitration clause and arbitration, seeking also list the advantages and disadvantages of arbitration proceedings in relation to national court proceedings.As this work is geared to family law, it was made a deepening of the legal concept of the family, its importance and specific principles, passing by institutes such as the stable union and its dissolution, divorce, food, child custody, and visits parental alienation.an analysis of the interdisciplinary nature of family law has been made,reason which concludes the paper proposing the use of arbitration as an alternative way to resolve conflicts in family relationships, presenting the country jurisprudence on arbitration in this matter, as well as foreign experience on the world stage.Finally, this thesis sought to present the main issues concerning arbitrability in Brazilian law, with a hint of legislative change to the Arbitration Act, seeking the effectiveness of this institute in family law / A presente tese propõe a aplicação da arbitragem como forma alternativa de solução de conflitos no Direito de Família. Neste diapasão, foi realizado um breve trabalho da especificidade dos conflitos familiares, bem como um apanhado histórico e evolução legislativa do direito de família no ordenamento jurídico brasileiro. Foi analisado os meios extrajudiciais de solução de conflitos, bem como os limites e possibilidades de eventuais óbices atualmente encontrados ao acesso ao poder judiciário brasileiro para aplicação da arbitragem no direito de família. Não se pode olvidar que o conceito de família que vem sofrendo inúmeras mudanças, devendo o direito acompanhar essas mudanças sociais, para melhor cumprir o ideal de justiça, tendo por base o princípio constitucional da dignidade da pessoa humana, mínimo existencial, sem descurar do princípio da boa-fé objetiva e função social do contrato. No estudo do procedimento arbitral, são analisadas suas características, espécies de convenção, diferenças entre cláusula compromissória e compromisso arbitral, procurando, igualmente, elencar as vantagens e desvantagens do processo arbitragem em relação ao processo judicial estatal. Como o presente trabalho está voltado para o Direito de Família, foi feito um aprofundamento sobre o conceito jurídico de família, sua importância e princípios específicos, perpassando por institutos como a união estável e sua dissolução, o divórcio, alimentos, guarda dos filhos, visitas e alienação parental. Foi feita uma análise da interdisciplinaridade do Direito de Família, razão pela qual se conclui a tese propondo o uso da arbitragem como forma alternativa de solucionar conflitos nas relações de família, apresentando a jurisprudência pátria sobre arbitragem nesta matéria, bem como a experiência estrangeira no cenário mundial. Por fim, procurou a presente tese apresentar as principais questões no tocante a arbitrabilidade no direito brasileiro, apresentando uma sugestão de alteração legislativa para a Lei de Arbitragem, buscando a efetividade deste instituto no direito de família

O presente estudo trata do procedimento amigável e da arbitragem como métodos de solução de controvérsias envolvendo a dupla tributação no âmbito das convenções internacionais celebradas por diversos países. Com efeito, em virtude do desenvolvimento das tratativas comerciais, são recorrentes as discussões relativas à soberania dos países e ao limite de sua competência tributária, sendo que as convenções internacionais para evitar a dupla tributação surgiram como mecanismos para conciliação dos interesses dos Estados Contratantes e de seus contribuintes. Ocorre, contudo, que os acordos internacionais nem sempre são suficientes para dirimir todos os conflitos envolvendo a dupla tributação, exigindo-se a adoção de outros mecanismos, i.e. procedimento amigável e arbitragem, conforme previstos no artigo 25, da Convenção Modelo da Organização para Cooperação e Desenvolvimento Econômico. O procedimento amigável permite a negociação entre dois ou mais países visando solucionar eventual conflito surgido no âmbito da aplicação da convenção internacional, bem assim a integração de seu conteúdo e a resolução de problemas interpretativos que podem desvirtuar seu fim. A arbitragem, por sua vez, possibilita a composição pacífica dos Estados Contratantes mediante a submissão da controvérsia à apreciação de um tribunal arbitral composto por sujeitos altamente capacitados e com expertise sobre a matéria. A despeito das inúmeras vantagens apresentadas por esses mecanismos, o Brasil não adota o procedimento amigável e ainda não incluiu a arbitragem em suas convenções internacionais, de modo que é imperativo o estudo de referido tema para o incremento e a harmonização das relações internacionais mantidas pelo país e seus contribuintes. / The present study deals with the mutual agreement procedure and arbitration as methods of resolving disputes involving double taxation in tax treaties signed by several countries. Indeed, due to the development of commercial trades are currently the discussions on the sovereignty of states and the limit of its tax competence, so the tax treaties for the avoidance of double taxation have emerged as mechanisms for reconciling the interests of the Contracting States and its taxpayers. However, these tax treaties are not always sufficient to resolve all conflicts of double taxation by requiring the adoption of other mechanisms, such as mutual agreement procedure and arbitration as provided for in Article 25 of the Model Convention of the Organization for Economic Co-operation and Economic Development. The mutual agreement procedure allows the negotiation between two or more countries to resolve any conflicts arising in the scope of tax treaty, as well as the integration of content and the resolution of interpretive issues that can prejudice its finality. Arbitration, on the other side, enables the peaceful settlement of the Contracting States through the submission of the dispute before an arbitral tribunal composed of highly trained individuals and expertise on the matter. Despite the many advantages presented by these mechanisms, Brazil does not adopt the mutual agreement procedure and the arbitration is not yet included in their tax treaties, so it is imperative the study of theme for the improvement and harmonization of international relations retained by country and its taxpayers.

A proposta deste trabalho é atribuir à arbitragem funcionalidades contratuais e institucionais que ultrapassam a simples solução de disputas privadas. Com base na literatura econômica e jurídica, constrói-se a previsão de arbitragem como uma cláusula contratual capaz de estimular a confiança, reduzir oportunismos e criar uma comunidade de interesses a favorecer o cumprimento das obrigações, especialmente em se tratando de contratos de natureza relacional. No âmbito institucional, a cláusula compromissória é tomada como instrumento apto a gerar maior coordenação social entre os indivíduos, com impactos positivos sobre o grau de investimentos realizados, a confiança entre os agentes envolvidos e a segurança jurídica. Para confirmação do argumento realiza-se estudo empírico na indústria de construção e infraestrutura, bem como estudo de caso a respeito de projeto de desenvolvimento estratégico denominado Cairu-2030. O objetivo é o confronto entre a prática da arbitragem e as hipóteses teóricas lançadas, para chegar-se a uma visão mais realista acerca do instituto da arbitragem. Com base nesse confronto defende-se a necessidade de refuncionalização do instituto, com resgate de sua ética de confiança e de uma ótica de aprendizado institucional. A refuncionalização permite que teoria e prática se alinhem, com prevalência de economias sobre as deseconomias da arbitragem. / The purpose of this work is to attribute to arbitration certain contractual and institutional functionalities that would allow the institute to go beyond a method of private dispute resolution. With grounds in the economic and legal literatures, the arbitration clause is construed as a contractual provision capable of stimulating trust, reducing opportunism and creating a community of interest favouring the compliance of obligations, particularly in the context of relational contracts. In the institutional perspective, the arbitration clause is seen as a provision that can cope with collective action dilemmas, with a positive impact in terms of investment, trust and legal certainty. To test the argument, the work develops an empirical test in the construction and infrastructure industry, as well as a case study in the strategic development plan named Cairu-2030. The intention is to confront the practice of arbitration vis-à-vis the theoretical hypothesis studied, in order to achieve a realistic perspective on arbitration. It is argued that arbitration needs to undergo a process of re-functionalization to recover its original ethics of trust and its perspective of institutional learning. The argument of re-functionalization is the way to align theory and practice of arbitration, so that the economies can prevail over the diseconomies of arbitration.

O presente trabalho versa sobre o controle da atividade do árbitro. Parte-se da premissa de que o papel desempenhado pelo árbitro na condução do processo - denominado atividade do árbitro em contraposição ao resultado dessa atividade: a resposta jurisdicional - está sujeito a desvios. A assunção dessa função pode ser viciada, já que o exercício da arbitragem somente é admitido dentro de determinados limites e condicionado ao consentimento das partes. Da mesma forma, as providências adotadas pelo árbitro no curso do processo podem apresentar inconsistências em relação às disposições legais e contratuais a elas aplicáveis. Diante disso, investiga-se de que forma tais desvios podem ser controlados, estudando-se, para tanto, (i) os órgãos responsáveis por tal controle, (ii) o momento em que tal controle pode ocorrer, (iii) os mecanismos pelos quais tal controle é admitido, e (iv) os vícios na atividade que ensejam controle. / This paper addresses the control of arbitrators role in developing arbitration. It assumes that the role of the arbitrator in developing arbitration what contrasts with the role in deciding the case is subject to irregularities. The assumption of the arbitrators function can be irregular, as arbitration is authorized only within certain limits and conditions and if the parties agree with it. Besides, the steps taken in developing the arbitration might violate legal and contractual rules applied to it. Given that, this paper deals with how such irregularities can be controlled, analyzing (i) the courts responsible for such control, (ii) the moment when this control is allowed (iii) its legal remedies, and (iv) which irregularities authorize control.

The subject of the conflict of laws and arbitration in intellectual property rights is a complicated topic to research, because the normal rules of private international law and arbitration can be affected by the special characteristics of patents and trademarks. Some rules of these subjects might need to be reformed and in some cases there are principles that should be created to successfully handle cross-border disputes concerning patents and trademarks. Establishment of a special court with supranational jurisdiction may be required to resolve these types of disputes. Recently, this subject has been given enormous attention around the world. While the academics, legislators and forums in developed states have broadly discussed the subject of conflict of laws and arbitration in intellectual property rights, in Saudi Arabia, it has not been given noticeable attention. This thesis intends to make a significant contribution to Saudi law and provide appropriate approaches on the subject of conflict of laws and arbitration in intellectual property rights. The topics which will be covered in this thesis are the rules of international jurisdiction, the rules of choice of law, the rules for enforcement of foreign judgments and the rules of arbitration. The modification and the enhancement of the rules of private international law and arbitration established in Saudi law will be recommended and the arguments for each suggested approach will be presented.

L'idée de cette thèse sur le droit international des investissements concernant les entreprises d'État trouve son origine dans l'impressionnant développement économique de ces dix dernières années. D'une part, ce dernier donne une pertinence considérable à ce thème compte tenu de son actualité. D'autre part, il existe un intérêt considérable pour les problèmes juridiques laissés en suspens par ces entités. Cette thèse commence par un chapitre préliminaire dans lequel la forme juridique de ces institutions est analysée, à la fois avec une évaluation empirique et du point de vue du droit national et international applicable à ces sujets. L'analyse empirique approfondie qui n'a pas encore été réalisée dans les recueils de contributions examinés s'est révélée fondamentale, car certaines des questions juridiques concernant les entreprises d'État ne pourraient vraiment pas être abordées sans une telle approche. Le corps plus juridique de la thèse, consacré uniquement à l'analyse juridique, est composé de trois parties et présente deux principaux pôles d'intérêt : le premier est lié à la compréhension des implications juridiques de ces entités et le second, plus large, vise à comprendre le traitement qui a été réservé à ces organes dans les différends examinés. Ce traitement peut nous renseigner au niveau systémique sur le droit international des investissements, qui a également nécessité une comparaison ciblée avec l'arbitrage commercial et avec le droit commercial international. / The idea of a thesis on state enterprises in international investment law finds its roots in their impressive economic development during the last decade, which, on one hand, gives considerable relevance to this theme given its inherent actuality and, on the other hand, there is a considerable interest in the juridical problems that these entities leave open. The thesis consists of a preliminary chapter, were the legal form of these institutions has been analyzed, from both an empirical assessment and the standpoint of national and international law applicable to these subjects. The empirical, in-depth analysis, not yet reached in the collections of examined contributions, turned up as fundamental, because some of the legal issues concerning state enterprises cannot really be tackled without such an approach. The more juridical body of the thesis, devoted only to legal analysis is composed of three parts and has two main poles of interest: the first linked to the understanding of the legal implications of these entities and a second, and, wider one, aimed at understanding what the treatment of these bodies, occurred in the dispute cases examined, can tell us at a systemic level about international investment law, which has required also a targeted comparison with commercial arbitration and international trade law.