This dissertation delves into the subject of recognition and enforcement of foreign arbitral awards in Vietnam with an emphasis on the comparison with German law and judicial experience. Chapter I draws a broad picture of the development of arbitration law in Vietnam from the feudal period to the modern day. In this regard, various modern legal instruments enacted by the Vietnamese authorities, such as Decree 116/CP, the Ordinance of 2003 and the Arbitration Law of 2010, have been taken into detailed account. Not only written statutes but also case law, comprised of a wide range of situations where such legal instruments have been applied, are closely analysed and deliberated. Chapter II focuses on the core issue of research of the dissertation. The in-depth discussion of the recognition and enforcement of foreign arbitral awards in Vietnam begins with a brief depiction of the history of the matter through an analysis of assorted legal instruments, including the Ordinance of 1995, the Civil Procedure Code of 2004 (amended in 2011) and the Civil Procedure Code of 2015, as well as the case law of the Vietnamese jurisdictional courts. Thereby, specific features relating to the recognition and enforcement of foreign arbitral awards are carefully discussed based on a comparison between the Vietnamese and German statutes and case law.

The United Nations Convention on the Recognition and Enforcement of Foreign Arbitral Awards ("the New York Convention") has provided a unique legal framework for the recognition and enforcement of foreign arbitral awards and arbitration agreements. Having been adopted by 159 States at the time of this thesis, the New York Convention represents the most significant convention in the field. Having been in force almost 60 years, it is time to assess its meaning for international arbitration. This thesis first examines the contribution of the New York Convention to the development of arbitration to date and second explores whether it has a contemporary role to play. Focusing on both its contribution through its original objective and its effect on the development of a favourable attitude towards international arbitration by courts and legislators, the study demonstrates that the New York Convention has had an impact beyond that which its drafters intended. Regarding its contemporary relevance, the thesis argues that persistent issues in the enforcement of arbitral awards proves that the New York Convention has no active relevance for contributing to facilitate enforcement of arbitral awards.

No / A party to arbitration has the right to challenge an award if the party so chooses. A challenge may seek to vacate (annul or set aside), suspend, or remit the award to the arbitrator due to an error on the face of the award or due to an injustice in its rendering. The scheme for challenging an award is a vital aspect of the arbitration process and serves as a safeguard against corruption, arbitrariness, and bias, while also providing a mechanism for balancing the arbitral process. What is more critical in the annulment scheme, however, is the courts’ attitude toward a challenge to an award.This article discussesthe policy issuesthat English courts weigh when considering whether to annul an award. Additionally, it examines the question of annulment of awards on legal grounds, using English case law to indicate the approach Nigerian courts may take when asked to annul an award on the basis that the arbitrator’s ruling on a legal point is clearly erroneous. It contends and concludes that Nigerian courts’ pragmatic attitude to annulment claims based on arbitrator’s misconduct and/or improper ordering of arbitral procedures or awards will increase the efficacy of international arbitration in Nigeria, just as it does in England.

Substantive Review of Arbitral Awards in International Commercial Arbitration Arbitration is a form of alternative dispute resolution, which enables the parties to resolve their dispute outside the courts. The advantage of arbitration is especially its speed and effectiveness in resolving the dispute. In general, arbitration awards in international commercial arbitration are final and binding on both parties and cannot be challenged by any form of appeal. This master thesis aims to find the answer to the question under which circumstances the parties to the arbitration proceedings may reach a substantive review of arbitral awards. The first part of the master thesis (chapters 2, 3 and 4) examines the approach of the UNCITRAL Model Law, the New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards and the European Convention on International Commercial Arbitration to the substantive review of arbitral awards. The second part of the master thesis (chapters 5 and 6) deals with the legal framework for arbitration proceedings in the Czech Republic, Germany, Australia and the United Kingdom, with respect to the substantive review of arbitral awards. Using comparative method, the author compares the regulation of the arbitration proceedings in the selected jurisdictions. The last...

L'arbitrage commercial est un mode de règlement de différends qui présente des avantages et qui permet d'obtenir une solution alternative qui offre, en théorie, l'avantage d'une justice plus rapide, moins onéreuse et surtout plus discrète. Il faut citer aussi la recherche, par le recours à l'arbitrage, d'un juge plus qualifié. Or, on constate, parfois, que la procédure arbitrale se juridictionnalise et se juridiciarise. Ainsi si la volonté des parties reste déterminante à plusieurs niveaux : (choix de l'arbitre, choix du droit applicable, choix de la procédure etc.), il arrive un moment où l'une des parties se voit obligée de faire appel à la justice étatique pour apposer à la sentence arbitrale le sceau de la force exécutoire reconnu au jugement.Sur le plan pratique, l'exécution est l'étape la plus importante de l'arbitrage car elle est la mesure de l'efficacité de cette institution, elle est aussi un moment paradoxal sur le plan théorique. Œuvre d'un juge privé, la sentence arbitrale est confrontée aux ordres juridiques étatiques.Cette phase ultime de la procédure arbitrale est le plus souvent spontanée. Les statistiques diverses s'accordent à reconnaitre que dans la plus grande majorité des cas 90% à 95% des sentences arbitrales sont exécutées sans difficultés.Pour les 5 ou 10% restants, il est nécessaire d'avoir recours à la force coercitive des Etats dans lesquels l'exécution est poursuivie et, à cet égard, les conventions facilitant la reconnaissance et l'exécution des sentences arbitrales étrangères, en l'occurrence celle de New York du 10Juin 1958 ratifiée par 135 pays, a joué et joue encore un rôle fondamental.De ce fait le passage du volontaire au forcé s'avère indispensable chaque fois que l'une des parties refuse de se soumettre à la décision de l'arbitre.Il nous parait très utile d'aborder, primo dans un chapitre préliminaire les conventions internationales ainsi que les instruments internationaux facultatifs facilitant l'exécution des sentences arbitrales, secundo les techniques conditions et effets de la mise en exécution de la sentence arbitrale, tertio les obstacles que cette dernière peut rencontrer au niveau de son exécution, ce qui nous amène à poser les questions suivantes :Quel est le rôle joué par les conventions internationales pour faciliter la reconnaissance et l'exécution des sentences arbitrales internationales ?Le recours aux juridictions étatiques pour l'exequatur, peut-il remettre en cause la finalité principale du choix de l'arbitrage comme mode alternatif ?Peut-on alors douter ou remettre en cause l'aspect volontaire ou spontané dans l'exécution de la sentence arbitrale ?Et enfin quels sont les écueils que l'on pourra rencontrer au niveau de ce stade de la procédure arbitrale qu'est l'exécution de la sentence ? / Efficiency of execution of the Arbitration Awards in Arab countries

L’étude de l’interprétation de la Convention des Nations Unies sur les contrats de vente internationale de marchandises du 11 avril 1980 (CVIM) révèle la nécessité de la mise en œuvre d’un principe d’interprétation autonome, également affirmé dans d’autres instruments juridiques (conventions onusiennes, Principes UNIDROIT). Le principe d’interprétation autonome, inhérent au droit transnational, impose la prise en compte du caractère international des normes à interpréter ainsi que la promotion de leur uniformité d’application. Il s’agit ainsi d’assurer l’autonomie des termes du texte juridique à interpréter. Le comblement des lacunes du texte, qui constitue le second versant de l’interprétation juridique, est opéré par le recours aux principes généraux sous-tendant le texte. Le recours aux règles de droit interne n’aura lieu qu’en dernier ressort. L’étude se propose d’évaluer la mise en œuvre du principe d’interprétation autonome lors de l’application de la CVIM. A cette fin, il convient d’observer l’attitude du juge français lors de l’application du texte, non sans examiner la jurisprudence internationale ainsi que les sentences arbitrales l’appliquant également. Certaines dispositions et expressions conventionnelles ont été privilégiées afin d’examiner leur interprétation (par exemple : le contrat de fourniture, la contravention essentielle, le raisonnable, l’article 78 imposant l’application d’intérêts à toute somme due sans en fixer le taux). Le principe de bonne foi, guidant l’interprétation de la CVIM est également décortiqué dans sa relation avec l’interprétation de la CVIM. Il ressort de l’étude que la jurisprudence française méconnait le principe d’interprétation autonome lors de l’application de la CVIM. La comparaison avec d’autres juridictions montre que certaines d’entre elles font état d’une meilleure considération des règles d’interprétation édictées dans la Convention (Allemagne, Italie). La jurisprudence arbitrale révèle des sentences particulièrement enclines à la mise en œuvre du principe d’interprétation autonome sans que cette pratique ne soit uniforme. Les arbitres du commerce international sont souvent dotés d’une culture internationaliste et surtout, ils ne relèvent d’aucun ordre juridique national. Ils sont par conséquent beaucoup moins susceptibles d’être influencés par des références de droit interne et ainsi plus à même d’opérer une interprétation autonome des textes internationaux qu’ils mettent en œuvre. Ceci étant, l’affirmation explicite de l’application d’un principe d’interprétation autonome est quasiment inexistante dans la jurisprudence arbitrale comme dans celle des tribunaux étatiques.La présente étude a pour ambition d’élargir la connaissance du principe d’interprétation autonome par les interprètes du droit matériel uniforme en utilisant la CVIM comme support de démonstration. Le rôle du principe d’interprétation autonome sera fondamental dans l’expansion et la bonne application du droit uniforme. En effet, cette méthode d’interprétation est à même de respecter l’objectif du droit uniforme. / When analyzing the United Nations Convention on Contracts for the International Sale of Goods adopted the 11 April 1980 (CISG), a principle of autonomous interpretation appears. This principle is stated in other legal texts (as United Nations conventions and UNIDROIT Principles). The principle of autonomous interpretation belongs to the transnational law and leads to take into account the international character of the legal provisions to be interpreted and to promote the uniformity of their application as “expressed” in the article 7 of the CISG. General principles underlying the CISG are used for gap-fillings which is the second side of legal interpretation. Using national laws is the ultimate resort.The principle of autonomous interpretation in the application of the CISG will be studied. For this purpose, judicial decisions and arbitral awards will be examined. Dispositions from the Convention have been chosen for their interpretation to be examined. The principle of good faith is also examined in its relation with the CISG interpretation. It will be observed that French case-law doesn’t acknowledge the principle of autonomous interpretation. Arbitral awards show a more important tendency to apply the principle of autonomous interpretation but there is no uniformity. The arbitrators in international trade have multicultural traditions and do not depend on a forum. Therefore they are less likely to be “influenced” by national “references” and so much more capable to interpret autonomously international dispositions. Nevertheless the “express” affirmation of a principle of autonomous interpretation is missing from arbitral awards and judicial decisions. This thesis aims to enlarge the acknowledgement of the principle of autonomous interpretation by the interpreters of uniform law using the CISG as a model. The function of the principle of autonomous interpretation will be fundamental to the expansion and to the correct application of uniform law. This method of interpretation is respectful of the objective of uniform law.

The enforcement mechanism of international investment arbitral awards is an es- sential safeguard for resolving investment disputes. Under the existing machinery, the ICSID Convention and the New York Convention provide an effective legal framework for the enforcement of international arbitral awards. Many countries have provided a favorable domestic statutory regime for investor-state arbitral awards enforcement.  With China's accession to the ICSID Convention and the signing of bilateral and multilateral investment treaties with many countries, China has become more open and active in international investment in recent years. At the same time, some legal risks in settling investment disputes have emerged. For instance, one of the most significant issues is whether investor-state arbitral awards can be ef- fectively enforced in the PRC.  Though the New York Convention was primarily designed to enforce commercial arbitral awards, it is widely accepted that it also permits the enforcement of awards against sovereign states. However, it is risky for overseas investors resort- ing enforcement in the PRC based on the New York Convention since China left the commercial reservation clause when acceding to the New York Convention.  Thus, the ICSID Convention is more beneficial for foreign investors when entering into contracts with the PRC. However, the execution of ICSID awards is subject to the domestic law of the enforcement forum, but China does not provide specific domestic legislation that complies with the ICSID Convention. Therefore, some legal obstacles should be carefully considered during the enforcement phase, such as sovereign immunity and public policy.  This thesis focuses on the enforcement regime of investor-state arbitral awards under the ICSID Convention and the New York Convention. It also predicts the legal risks of enforcing investor-state arbitral awards in the PRC, thus putting 2 forward suggestions for overseas investors and for improving the Chinese arbitra- tion legal system.

This paper is about the arbitration in China ant he recognition of the foreign arbitral awards in China and Peru. The author indicates how the arbitration and the dispute settlement were in China, also he says that the Chinese commercial opening produced that China adopted inside its legal system the commercial arbitration. Above this line, he says that the main instrument regarding the recognition and enforcement of the foreign arbitral awards in China and Peru is the New York Convention. About the proceeding of this recognition and enforcement of the foreign arbitral awards it is said how it is performed in the Chinese and Peruvian Law. The author ads that China and Peru should have a mutual awareness proceeding of the dispute settlement to ensure the mutual investments. / El presente trabajo versa sobre el arbitraje en China y el reconocimiento de los laudos arbitrales extranjeros en China y Perú. El autor indica cómo era el arbitraje y la solución de controversias en China, también señala que la apertura comercial china generó que acoja dentro de su ordenamiento jurídico al arbitraje comercial. Sobre esa línea, señala que el principal instrumento sobre el reconocimiento y ejecución de los laudos extranjeros en China y Perú es la Convención de Nueva York. Sobre el procedimiento del reconocimiento y ejecución de los laudos extranjeros se dice cómo se realiza en el derecho chino y en el peruano. El autor añade que China y Perú deberían tener un proceso de conocimiento mutuo de solución de controversias para asegurar las inversiones mutuas.

A tese discute o problema dos terceiros na arbitragem. Ela distingue os planos substantivo (contratual) e processual (jurisdicional) da arbitragem e, portanto, o status de parte e terceiro com relação, respectivamente, à convenção de arbitragem e ao processo arbitral. Depois de desenvolver as premissas teóricas na Parte 1, a Parte 2 expõe as teorias contratuais e societárias por meio das quais um não-signatário pode ficar vinculado à convenção de arbitragem, com destaque para a extensão a todos os acionistas da companhia da cláusula compromissória estatutária, bem como para a aplicação do princípio da boa-fé objetiva (teoria dos atos próprios, estoppel) para impedir com que determinados signatários burlem a convenção de arbitragem ao incluir terceiros no polo passivo da demanda ou, ainda, para impor a arbitragem a não-signatários que derivaram um benefício do contrato inter alios. Na Parte III, a atenção volta-se para o processo e a sentença arbitral. Expõe-se uma teoria dos efeitos da sentença, buscando-se explicar a sua potencial eficácia ultra partes com base: a) na necessidade de realizar o direito da contraparte à tutela jurisdicional (adquirente do direito litigioso, sucessores post rem judicatam); e b) na identificação de nexos de prejudicialidade-dependência permanente entre as relações jurídicas no plano do direito material (terceiro titular de situação dependente). Refutam-se, em passo seguinte, teorias que preconizam o valor absoluto da sentença. Oferece-se, como núcleo da tese, uma reconstrução dogmática das modalidades de intervenção de terceiro, buscando adaptá-las à arbitragem para alcançar, em cada situação, um justo equilíbrio entre as expectativas contratuais das partes originárias e a natureza privada da arbitragem, de um lado, e os efeitos da sentença perante terceiros, de outro. Conclui-se que, em alguns casos, legitima-se o terceiro a intervir voluntariamente, mesmo contra ou independentemente da vontade das partes, se ele estiver sujeito aos efeitos da sentença. Em hipótese excepcionalíssimas, ademais, a parte pode sujeitar um terceiro aos efeitos de intervenção, provocando a sua assistência no processo arbitral. / The thesis addresses the problems of third parties in arbitration. It distinguishes the substantive (contractual) and procedural dimensions of arbitration and, hence, the status of parties and third parties in connection with, respectively, the arbitration agreement and the arbitral proceedings. After spelling out theoretical premises in Part 1, Part 2 covers the contractual and corporate theories by which a non-signatory may be bound by the arbitration agreement, highlighting the extension to all shareholders of the agreement in the corporate bylaws, as well as the application of the equitable doctrine of estoppel to bar certain signatories from avoiding the arbitration agreement by including third parties as defendants or even to impose arbitration onto non-signatories who derived a benefit from the contract inter alios. In Part III, my attention turns to the proceedings and the arbitral award. I set out a doctrine of the effects of judgments, seeking to explain their potential effects on third parties based: a) on the prevailing need to preserve the counterpartys right to a binding declaration on its asserted claims (acquirers, successors post rem judicatam); b) the identification of substantive ties between legal relationships that make the third parties rights permanently dependent on the situation between the parties. I then refute theories ascribing absolute value to the award vis-à-vis third parties. As the core of the thesis, I offer a doctrinal reconstruction of third party interventions, seeking to adapt them to arbitration in order to achieve, in each situation, a fair balance between the contractual expectations of the original parties and the private nature of arbitration, in one hand, and the effects of the award on third parties, on the other. I conclude that a third party should be allowed to intervene, albeit against the will of the parties, if it is subject to the concrete effects of the arbitral award. In exceptional situations, moreover, a party may vouch in a third party, who will then be bound by the determinations of factual and legal issues made in the award.

A tese discute o problema dos terceiros na arbitragem. Ela distingue os planos substantivo (contratual) e processual (jurisdicional) da arbitragem e, portanto, o status de parte e terceiro com relação, respectivamente, à convenção de arbitragem e ao processo arbitral. Depois de desenvolver as premissas teóricas na Parte 1, a Parte 2 expõe as teorias contratuais e societárias por meio das quais um não-signatário pode ficar vinculado à convenção de arbitragem, com destaque para a extensão a todos os acionistas da companhia da cláusula compromissória estatutária, bem como para a aplicação do princípio da boa-fé objetiva (teoria dos atos próprios, estoppel) para impedir com que determinados signatários burlem a convenção de arbitragem ao incluir terceiros no polo passivo da demanda ou, ainda, para impor a arbitragem a não-signatários que derivaram um benefício do contrato inter alios. Na Parte III, a atenção volta-se para o processo e a sentença arbitral. Expõe-se uma teoria dos efeitos da sentença, buscando-se explicar a sua potencial eficácia ultra partes com base: a) na necessidade de realizar o direito da contraparte à tutela jurisdicional (adquirente do direito litigioso, sucessores post rem judicatam); e b) na identificação de nexos de prejudicialidade-dependência permanente entre as relações jurídicas no plano do direito material (terceiro titular de situação dependente). Refutam-se, em passo seguinte, teorias que preconizam o valor absoluto da sentença. Oferece-se, como núcleo da tese, uma reconstrução dogmática das modalidades de intervenção de terceiro, buscando adaptá-las à arbitragem para alcançar, em cada situação, um justo equilíbrio entre as expectativas contratuais das partes originárias e a natureza privada da arbitragem, de um lado, e os efeitos da sentença perante terceiros, de outro. Conclui-se que, em alguns casos, legitima-se o terceiro a intervir voluntariamente, mesmo contra ou independentemente da vontade das partes, se ele estiver sujeito aos efeitos da sentença. Em hipótese excepcionalíssimas, ademais, a parte pode sujeitar um terceiro aos efeitos de intervenção, provocando a sua assistência no processo arbitral. / The thesis addresses the problems of third parties in arbitration. It distinguishes the substantive (contractual) and procedural dimensions of arbitration and, hence, the status of parties and third parties in connection with, respectively, the arbitration agreement and the arbitral proceedings. After spelling out theoretical premises in Part 1, Part 2 covers the contractual and corporate theories by which a non-signatory may be bound by the arbitration agreement, highlighting the extension to all shareholders of the agreement in the corporate bylaws, as well as the application of the equitable doctrine of estoppel to bar certain signatories from avoiding the arbitration agreement by including third parties as defendants or even to impose arbitration onto non-signatories who derived a benefit from the contract inter alios. In Part III, my attention turns to the proceedings and the arbitral award. I set out a doctrine of the effects of judgments, seeking to explain their potential effects on third parties based: a) on the prevailing need to preserve the counterpartys right to a binding declaration on its asserted claims (acquirers, successors post rem judicatam); b) the identification of substantive ties between legal relationships that make the third parties rights permanently dependent on the situation between the parties. I then refute theories ascribing absolute value to the award vis-à-vis third parties. As the core of the thesis, I offer a doctrinal reconstruction of third party interventions, seeking to adapt them to arbitration in order to achieve, in each situation, a fair balance between the contractual expectations of the original parties and the private nature of arbitration, in one hand, and the effects of the award on third parties, on the other. I conclude that a third party should be allowed to intervene, albeit against the will of the parties, if it is subject to the concrete effects of the arbitral award. In exceptional situations, moreover, a party may vouch in a third party, who will then be bound by the determinations of factual and legal issues made in the award.