Este trabalho visa analisar os efeitos da impecuniosidade da parte na instauração da arbitragem comercial. Como pano de fundo, têm-se a situação em que uma parte vinculada a uma convenção de arbitragem não possui os recursos financeiros exigidos para promover a instauração de uma arbitragem e, paralelamente, encontra-se impedida de resolver a controvérsia perante o Poder Judiciário. Caracterizada a situação de denegação de justiça, duas hipóteses de solução do problema serão analisadas. A primeira hipótese considera que a carência de recursos financeiros para instaurar uma arbitragem repercute no afastamento da convenção de arbitragem e permite que o litígio seja julgado pelo juiz togado. A segunda hipótese considera que a carência de recursos financeiros não repercute afastamento da convenção de arbitragem, todavia enseja sua adaptação para preservar a solução do litígio através da arbitragem. O trabalho então é dividido em quatro partes. A primeira parte trata da metodologia de pesquisa e delimitação do tema, bem como da definição de conceitos fundamentais. A segunda parte trata dos mecanismos de financiamento da arbitragem, uma ferramenta econômica de superação da carência de recursos da parte impecuniosa. A terceira parte versa sobre uma investigação da abordagem do tema na Alemanha, França e Portugal, em que são identificadas a aplicação das duas hipóteses de solução nos referidos sistemas jurídicos. A quarta parte é dedicada a análise do tema sobre a perspectiva brasileira. Mesmo não havendo posicionamento claro sobre o tema no Brasil, o regime jurídico sugere a possibilidade de adaptação da convenção de arbitragem como mecanismo de solução da denegação de justiça econômica. / The object of this dissertation is the effect of the claimant\'s impecuniosity at the start of an arbitration proceeding. The analysis considers situations where a claimant does not have enough financial resources to initiate an arbitration proceeding and, at the same time, cannot recourse to the national Courts. Against this background, two theses will be analyzed. The first one considers the arbitration clause inoperative and allows the parties to submit their case to the national Courts. The second thesis considers the arbitration clause valid and enforceable; however, this should be subject to adjustments to allow the access to arbitration. This dissertation is structured in four chapters. The first chapter addresses the methodology of research and basic concepts. The second chapter discusses mechanisms to finance the parties in the arbitration as an answer to parties impecuniosity. The third chapter focuses on a comparative research in the answers provided by the German, French and Portuguese Legal Systems to the problem of impecuniosity and arbitration. The final chapter analyzes the effects of impecuniosity and the initiation of arbitration under the Brazilian Law.

"Mémoire présenté à la Faculté des études supérieures en vue de l'obtention du grade de maîtrise en droit (LL.M.) (Option: droit des affaires )" / Le principe de l'autonomie de la clause compromissoire est un principe ambigu qui renfenne plusieurs volets. Dans son premier sens, ce principe signifie que la clause arbitrale doit être appréciée d'une manière indépendante du contrat auquel elle se rapporte. Cette conception de l'autonomie a pour conséquences de mettre la convention d'arbitrage à l'abri des causes d'invalidités qui peuvent affecter le contrat principal ainsi que la possibilité d'être régie par un droit différent. Cependant, l'évolution du principe d'autonomie a dépassé les limites de cette conception en faisant surgir un autre volet, à savoir, la validité de la convention d'arbitrage indépendamment de toute 101 étatique. Cet autre aspect de l'autonomie signifie que l'existence et la validité de la clause compromissoire doivent être examinées au regard de règles matérielles spéciales, abstraction faite de tout conflit de lois, mais avec pour limites le respect des règles d'ordre public international. Par ailleurs, le rattachement de ce principe à certains effets de la convention d'arbitrage s'avère délicat. En effet, le principe d'autonomie se trouve souvent assorti d'un autre grand principe de l'arbitrage international qui est celui de la «compétence-compétence ». Les liens étroits qu'entretiennent les deux principes génèrent un risque d'amalgame entre deux règles qui sont en réalité différentes. Sur un autre plan, serait mis en cause, au nom de l'incohérence juridique, le pouvoir du principe d'autonomie de «coexister» avec une autre caractéristique de la clause compromissoire, à savoir, sa transmissibilité. Nous essayerons alors de clarifier cette articulation «douteuse». / The autonomy of the arbitration clause is an ambiguous principle which contains several shutters. It's sometimes used - traditionally - to refer that the arbitration clause must (agreement) be treated and appreciated separately from the main contract. This conception of autonomy gives rise to two consequences: first, the arbitration agreement is unaffected by the invalidity of the main contract and second, it may be governed by a Law different from that governing the main contract. However, the evolution of this traditional sense has given another shutter to the principal of the autonomy which refers to the arbitration agreement from "all national laws". This new concept of autonomy is entirely different and which means that the existence and the validity of the arbitration clause must be examined under special material mIes, isolating the arbitration agreement from the conflict of laws but with full respect to the international law. In addition, the link this principle has with certain effects of the arbitration agreement proves to be delicate. Indeed, the principle of autonomy is often associated with another principle of the international arbitration which is kompetenz-kompetenz. The close links that the two principles maintain generate a risk of amalgam between two mIes which are actually different. On another level, would be blamed, in the name of the legal inconsistency, the capacity of the principle of autonomy "of coexisting" with another characteristic of the arbitration clause, namely, its transmissibility. We will try to clarify this "doubtful" articulation.

Le principe de l'autonomie de la clause compromissoire est un principe ambigu qui renfenne plusieurs volets. Dans son premier sens, ce principe signifie que la clause arbitrale doit être appréciée d'une manière indépendante du contrat auquel elle se rapporte. Cette conception de l'autonomie a pour conséquences de mettre la convention d'arbitrage à l'abri des causes d'invalidités qui peuvent affecter le contrat principal ainsi que la possibilité d'être régie par un droit différent. Cependant, l'évolution du principe d'autonomie a dépassé les limites de cette conception en faisant surgir un autre volet, à savoir, la validité de la convention d'arbitrage indépendamment de toute 101 étatique. Cet autre aspect de l'autonomie signifie que l'existence et la validité de la clause compromissoire doivent être examinées au regard de règles matérielles spéciales, abstraction faite de tout conflit de lois, mais avec pour limites le respect des règles d'ordre public international. Par ailleurs, le rattachement de ce principe à certains effets de la convention d'arbitrage s'avère délicat. En effet, le principe d'autonomie se trouve souvent assorti d'un autre grand principe de l'arbitrage international qui est celui de la «compétence-compétence ». Les liens étroits qu'entretiennent les deux principes génèrent un risque d'amalgame entre deux règles qui sont en réalité différentes. Sur un autre plan, serait mis en cause, au nom de l'incohérence juridique, le pouvoir du principe d'autonomie de «coexister» avec une autre caractéristique de la clause compromissoire, à savoir, sa transmissibilité. Nous essayerons alors de clarifier cette articulation «douteuse». / The autonomy of the arbitration clause is an ambiguous principle which contains several shutters. It's sometimes used - traditionally - to refer that the arbitration clause must (agreement) be treated and appreciated separately from the main contract. This conception of autonomy gives rise to two consequences: first, the arbitration agreement is unaffected by the invalidity of the main contract and second, it may be governed by a Law different from that governing the main contract. However, the evolution of this traditional sense has given another shutter to the principal of the autonomy which refers to the arbitration agreement from "all national laws". This new concept of autonomy is entirely different and which means that the existence and the validity of the arbitration clause must be examined under special material mIes, isolating the arbitration agreement from the conflict of laws but with full respect to the international law. In addition, the link this principle has with certain effects of the arbitration agreement proves to be delicate. Indeed, the principle of autonomy is often associated with another principle of the international arbitration which is kompetenz-kompetenz. The close links that the two principles maintain generate a risk of amalgam between two mIes which are actually different. On another level, would be blamed, in the name of the legal inconsistency, the capacity of the principle of autonomy "of coexisting" with another characteristic of the arbitration clause, namely, its transmissibility. We will try to clarify this "doubtful" articulation. / "Mémoire présenté à la Faculté des études supérieures en vue de l'obtention du grade de maîtrise en droit (LL.M.) (Option: droit des affaires )"

Memoria (licenciado en ciencias jurídicas y sociales)