In the 20th century, Arbitration became one the most widely utilized form of dispute resolution in the field of international commerce. The use of Arbitration provides parties with more flexibility. This thesis examines one of the current trends in international arbitration - interim measures. Their purpose is to be able to react in situations when the proceedings are already pending or even before they actually commenced. They should significantly reduce the risk that the arbitral award may be frustrated or unenforceable. In these situations, it may be justifiable to interfere with parties' relationships. The thesis is focused particularly on the jurisdiction of an arbitral tribunal to issue interim measures and on the role of national courts in this field. In the terms of competence of arbitral tribunals, the legal basis of their jurisdiction and conditions necessary to issue interim measures are highlighted. In the case of the role of national courts, the thesis examines their ancillary function (interim measures issued by national courts) as well as their supervisory function (review of the interim measures issued by arbitral tribunals). The most important aspect is then the enforcement of interim measures. The very latest trend - emergency arbitrator proceedings - is not excluded. The thesis...

Esta dissertação analisa a exceção de ofensa à ordem pública como causa de recusa do reconhecimento e/ou execução da sentença arbitral estrangeira. Busca-se inicialmente determinar o conceito de ordem pública e sua extensão. Antes disso, contudo, elabora-se um breve panorama sobre sentença estrangeira e arbitragem comercial internacional, faz-se um apanhado histórico da homologação de sentença estrangeira no Brasil, analisa-se os aspectos gerais da homologação de sentenças arbitrais estrangeiras, as normas de origem interna e os tratados internacionais com vigência no Brasil, o procedimento homologatório e os pressupostos positivos e negativos da homologação. Após, analisa-se a ordem pública interna, internacional e transnacional, assim como a ordem pública processual e material. Em seguida, examina-se a extensão que a doutrina e a jurisprudência têm conferido ao conceito de ordem pública de que trata o art. V (2) (b) da Convenção de Nova Iorque e o art. 39, II da Lei nº. 9.307/96. Posteriormente, analisa-se alguns temas que já suscitaram questionamentos de ofensa à ordem pública, os casos já julgados pelo STF e STJ de homologação de sentenças arbitrais estrangeiras com alegação de ofensa à ordem pública e como o posicionamento do Judiciário, sob o enfoque da Análise Econômica do Direito, afeta os custos de transação dos negócios comerciais. Defende-se ao final do trabalho a necessidade de se restringir o campo de aplicação e o alcance dos questionamentos de ofensa à ordem pública. O objetivo do estudo é demonstrar que a ordem pública deve ser interpretada restritivamente e que a intervenção deve ser excepcional. / This Masters degree thesis analyzes the exception given to public policy offenses as a cause for the refusal of recognition and/or enforcement of foreign arbitral awards. This research initially attempts to define the concept of public policy and its extension. Prior to that, however, a brief analysis of foreign awards and international commercial arbitration as well as a historical overview of homologation in Brazil are drawn, and the general aspects of the recognition of foreign arbitral awards and the internal rules and international treaties which are effective in Brazil, the homologation proceeding itself, and both the positive and negative aspects of homologations are analyzed. Afterwards, the domestic, international and transnational public policies are analyzed, as well as the procedural and material public policy. Following, the meaning that the doctrine and jurisprudence have given to the concept of public policy presented in the Article V (2) (b) of the New York Convention, and in the Article 39 of Law No. II. 9.307/96 is examined. Later, some issues that have raised questionings related to public policy offenses are analyzed, as well as the cases already ruled by the Brazilian Supreme Court and the Superior Court of Justice for the homologation of foreign arbitral awards with alleged public order offenses and how the position of the judiciary, from the perspective of Economic Analysis of Law, affects transaction costs of business affairs. Finally, the need to limit both the scope of applications and the range of questionings concerning public policy offenses is defended. The main goal of this study is to demonstrate that public policy shall be strictly interpreted and that intervention must be exceptional.

Concept of the arbitration agreement from a comparative perspective The theme of this doctoral thesis is a detailed analysis of the concept of the arbitration agreement under international conventions, specifically the Convention on the Recognition and Enforcement of Foreign Arbitral Awards (the "New York Convention"), the European Convention on International Commercial Arbitration (the "European Convention"), under the UNCITRAL Model Law on International Commercial Arbitration (the "Model Law") and under Czech and German Law. The thesis covers all aspects of the arbitration agreement, analysing it from the perspective of material norms. The regulation of any conflict of rules is mentioned only if it is appropriate for an analysis of the substantive norms of the elements of an arbitration agreement. The individual chapters of this thesis address the concept and elementary characteristics of the arbitration agreement and the formal and material requirements, effects, extent and ending of the arbitration agreement. Special attention is paid to arbitration agreements concluded regarding disputes arising from and in connection with agreements entered into between consumers and entrepreneurs (sellers or suppliers), because the Czech regulation of such arbitration agreements was regarded as insufficient...

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.

"Mémoire présenté à la Faculté des études supérieures en vue de l'obtention du grade de LL.M. en droit option droit des affaires" / L'arbitrage évolue parallèlement et en accord au développement du commerce et des relations internationales s'accompagnant d'un accroissement des différends commerciaux de plus en plus complexes et spécialisés. En choisissant l'arbitrage, les parties excluent, de manière consensuelle, la compétence juridictionnelle des tribunaux étatiques. Ce droit à l'accès aux tribunaux étatiques se retrouve notamment à la Charte québécoise des droits et libertés de la personne. La validité d'une convention d'arbitrage dépend donc avant tout de la preuve de son existence et la preuve du consentement des parties s'y rattachant. La nécessité de l'écrit est donc un moyen de s'assurer du consentement des parties. La Convention de New York de 1958 énumère plusieurs de ces principes de forme. Son article 11(2), qui prévoit que la convention d'arbitrage doit être par écrit, n'est plus adapté aux réalités juridiques et commerciales d'aujourd'hui ni au développement du commerce électronique. Que peut être considéré comme un écrit afin de répondre aux exigences de l'article 1I(2)? Abordée par la CNUDCI, cette problématique quant au formalisme requis dans l'expression de la volonté des parties à se soumettre à l'arbitrage est d'une importance capitale dans la mesure des différentes interprétations qui existent à ce sujet tant au niveau du droit québécois et canadien qu'au niveau du droit international. Une réforme des dispositions législatives quant au formalisme écrit du consentement à l'arbitrage doit être mise en place et ce, soit par une réforme des dispositions législatives existantes ou par une mise à jour officielle de l'interprétation donnée aux dispositions actuelles en vigueur. / Arbitration has evolved in parallel and in accordance with the development of commerce and of international relations coming along with the rise of commercial disputes which are becoming increasingly complex and specialised. By choosing arbitration, the parties consensually exclude the jurisdiction ofState courts. This right to access State courts is protected namely in the Charter ofHuman Rights and Freedoms. The validity of an arbitration clause therefore depends above all on the proof of its existence and of the consent of the parties to that effect. The necessity of the written form becomes a mean that insures of the consent of the parties. The 1958 New York Convention enumerates several of those formal requirements. !ts section 11(2), which states that the arbitration clause has to be in written form, is not adapted to today's legal and commercial reality nor to the development of electronic commerce. What exactly is considered as ''written'' in order to respect the requirements of section 1I(2)? As addressed by UNCITRAL, the issue concerning the formalism required for the expression of the parties' intent to be subjected to arbitration is of a vital importance. Numerous interpretations exist in Canadian law as well as in International law. A reform of the existing legal provisions relating to the consent of arbitration needs to be implemented, either through a reform of the existing provisions or through an official process to update the interpretation given to the requirements that are a1ready in place.

Made available in DSpace on 2016-04-26T20:24:19Z (GMT). No. of bitstreams: 1 Thomas Law.pdf: 1275572 bytes, checksum: 98183030b6c760470e7582142b05e99a (MD5) Previous issue date: 2016-03-09 / This Master s Thesis focuses on the acknowledgement and enforcement of foreign arbitral awards in Brazil, based on the theoretical and practical research in the fields of civil procedural law and international law, considering it includes a study on the different international laws, conventions and treaties on international commercial arbitration, as well as on the acknowledgement and enforcement of arbitral awards. The first part of the study refers to the events of direct enforcement and nationalization of foreign arbitral awards, according to the new legal provisions of the New Brazilian Code of Civil Procedure. The second part of the study covers the assessment of the ratification process of foreign arbitral awards before the Superior Court of Justice (STJ), considering Brazil s new Code of Civil Procedure, the new internal rules of the Superior Court of Justice, the Arbitration Law and the New York Convention. The thesis also covers two cases, specifically, judged by the Superior Court of Justice: SEC No. 2,410 (Ferrocarriles versus Supervia Concessionária de Transportes Ferroviário S/A) and SEC No. 826 (Ssangyong Corporation versus Eldorado Indústrias Plásticas Ltda). Finally, after the reflection on the research conducted, one argues nationalization of the foreign arbitral award is possible given the new provisions included in Brazil s new Code of Civil Procedure and the acknowledgement thereof by the Superior Court of Justice, in the possibility of nationalization of the arbitral award in the Appeal to the Superior Court of Justice No. 1.231.554 / A presente dissertação de mestrado trata do reconhecimento e da execução da sentença arbitral estrangeira no Brasil. É uma pesquisa teórica e prática das áreas de direito processual civil e direito internacional, uma vez que aborda as mais diversas legislações internacionais e convenções que tratam da arbitragem comercial internacional e o reconhecimento e execução dos laudos arbitrais. Na primeira parte do estudo, serão analisadas as hipóteses de execução direta e nacionalização do laudo arbitral estrangeiro conforme novos dispositivos legais oriundos do Novo Código de Processo Civil. Na segunda parte, será abordado o processo homologatório de sentenças arbitrais estrangeiras perante o Superior Tribunal de Justiça tendo em vista o Novo Código de Processo Civil, o novo regimento interno do Superior Tribunal de Justiça, a Lei de Arbitragem e a Convenção sobre o Reconhecimento e a Execução de Sentenças Arbitrais Estrangeiras ("Convenção de Nova Iorque"). Paralelamente, dois casos, em especial, julgados pelo Superior Tribunal de Justiça, são objeto de análise e investigação: a SEC n. 2.410(Ferrocarriles versus Supervia Concessionária de Transportes Ferroviário S/A) e a SEC n.826 (Ssangyong Corporation versus Eldorado Indústrias Plásticas Ltda). Por fim, após a reflexão do trabalho investigativo, propõe-se concluir pela nacionalização do laudo arbitral estrangeiro levando em consideração as novidades trazidas no novo Código de Processo Civil e o reconhecimento pelo Superior Tribunal de Justiça da possibilidade da nacionalização do laudo arbitral no REsp 1.231.554

Le principe du contradictoire post-arbitral en matière d’arbitrage international est établi dans la majorité des systèmes juridiques. Toutefois, les décisions des juges étatiques montrent que l’adhésion générale à ce concept masque d’importantes différences concernant sa portée et son application. Cette thèse ne vise point à établir une description théorique du contenu du principe, elle propose une analyse qualitative, dont l’objectif essentiel est la vérification de son individualité, et non le fait qu’il est une simple application du principe civiliste classique. Loin de constater l’adoption définitive d’un concept arbitral autonome, la solution retenue démontre l’opportunité et, donc, le besoin de sa légitimation, ayant un impact direct sur la circulation des sentences arbitrales internationales. En fin de compte, hors de tout encadrement statique, il y a lieu de détecter, à travers la progression de l’étude, une évolution logique et une activité d’apurement au niveau du droit comparé. Cette évolution, d’un principe classique vers un concept arbitral international, à lecture contractuelle et non-statutaire, contenant une règle d’égalité, puis vers un outil technique en état de disparition, ne peut que dévoiler la période d’agonie dans laquelle se place le concept en cause. Cet aboutissement ne contribue pas seulement à souligner les errements conceptuels préjudiciables en jurisprudence comparée, il concourt également à marquer l’un des traits les plus émancipatoires du processus arbitral international. Dans cette optique, une telle conjoncture participerait à l’accélération de la privatisation de la justice arbitrale internationale. / The post-arbitral adversarial principle in international arbitration is established in most legal systems. However, decisions of state judges show that general support for this concept masks significant differences in terms of its scope and application. This thesis does not aim to outline a theoretical description of the principle’s content ; it provides a qualitative analysis, the main objective of which is to ascertain its individuality, and not the fact that it is a mere application of the classic civil principle. Far from establishing the definitive adoption of an autonomous arbitral concept, the solution demonstrates the appropriateness and, therefore, the need for its legitimation, and has a direct impact on the movement of international arbitral awards. Ultimately, beyond any static framework, through the progress of the study, a logical development and regularisation activity with respect to comparative law should be detected. This development, from a classical principle to an international arbitration concept, to a contractual and non-statutory reading, containing a rule of equality, and thereafter to a technical tool which is disappearing, can only reveal the death throes in which the concept in question finds itself in. This outcome not only serves to highlight the detrimental conceptual errors in comparative case law, it also helps to mark one of the most emancipatory features of the international arbitration process. In this respect, such a situation would contribute to the accelerated privatisation of international arbitration proceedings.

L'arbitrage évolue parallèlement et en accord au développement du commerce et des relations internationales s'accompagnant d'un accroissement des différends commerciaux de plus en plus complexes et spécialisés. En choisissant l'arbitrage, les parties excluent, de manière consensuelle, la compétence juridictionnelle des tribunaux étatiques. Ce droit à l'accès aux tribunaux étatiques se retrouve notamment à la Charte québécoise des droits et libertés de la personne. La validité d'une convention d'arbitrage dépend donc avant tout de la preuve de son existence et la preuve du consentement des parties s'y rattachant. La nécessité de l'écrit est donc un moyen de s'assurer du consentement des parties. La Convention de New York de 1958 énumère plusieurs de ces principes de forme. Son article 11(2), qui prévoit que la convention d'arbitrage doit être par écrit, n'est plus adapté aux réalités juridiques et commerciales d'aujourd'hui ni au développement du commerce électronique. Que peut être considéré comme un écrit afin de répondre aux exigences de l'article 1I(2)? Abordée par la CNUDCI, cette problématique quant au formalisme requis dans l'expression de la volonté des parties à se soumettre à l'arbitrage est d'une importance capitale dans la mesure des différentes interprétations qui existent à ce sujet tant au niveau du droit québécois et canadien qu'au niveau du droit international. Une réforme des dispositions législatives quant au formalisme écrit du consentement à l'arbitrage doit être mise en place et ce, soit par une réforme des dispositions législatives existantes ou par une mise à jour officielle de l'interprétation donnée aux dispositions actuelles en vigueur. / Arbitration has evolved in parallel and in accordance with the development of commerce and of international relations coming along with the rise of commercial disputes which are becoming increasingly complex and specialised. By choosing arbitration, the parties consensually exclude the jurisdiction ofState courts. This right to access State courts is protected namely in the Charter ofHuman Rights and Freedoms. The validity of an arbitration clause therefore depends above all on the proof of its existence and of the consent of the parties to that effect. The necessity of the written form becomes a mean that insures of the consent of the parties. The 1958 New York Convention enumerates several of those formal requirements. !ts section 11(2), which states that the arbitration clause has to be in written form, is not adapted to today's legal and commercial reality nor to the development of electronic commerce. What exactly is considered as ''written'' in order to respect the requirements of section 1I(2)? As addressed by UNCITRAL, the issue concerning the formalism required for the expression of the parties' intent to be subjected to arbitration is of a vital importance. Numerous interpretations exist in Canadian law as well as in International law. A reform of the existing legal provisions relating to the consent of arbitration needs to be implemented, either through a reform of the existing provisions or through an official process to update the interpretation given to the requirements that are a1ready in place. / "Mémoire présenté à la Faculté des études supérieures en vue de l'obtention du grade de LL.M. en droit option droit des affaires"

Different interpretations of the New York Convention’s Article V(1)(e) have caused inconsistencies regarding how courts deal with applications for enforcement of annulled foreign arbitral awards. Court cases from various Contracting States display that the courts have adopted different approaches to this matter. With the rising number of challenges of awards, the issue has become increasingly important. The author examines international case law to analyze the issue of enforcement of annulled arbitral awards with the purpose of suggesting a possible Swedish approach. A number of aspects support the view that national courts have discretion when deciding whether to enforce a foreign arbitral award notwithstanding that has been annulled in the country of origin. Both the New York Convention and the Swedish Arbitration Act leaves narrow room for the court to exercise this discretion. The author suggests that enforcement of an annulled foreign arbitral award should be possible in Sweden under certain exceptional circumstances. If the competent authority in the country where the award was made annuls the award for reasons totally unacceptable from a Swedish point of view, the option to enforce the foreign arbitral award in Sweden should still be available. This approach is in line with the wording and purpose of both the New York Convention and the Swedish Arbitration Act. The suggested Swedish approach would not cause any serious uncertainty for the parties to the arbitration, but would create a necessary safety-valve for the courts to avoid having to refuse enforcement of a foreign arbitral award when it has been set aside for obscure reasons or by a corrupt court. As is evident from international case law, the interpretation and application of Article V(1)(e) of the New York Convention varies depending on what country enforcement is sought. To avoid contributing to further inconsistencies, it is necessary for Swedish authorities and practitioners to consider the issues addressed in the study.

Les règles de droit international privé applicables aux obligations alimentaires présentent trois caractéristiques principales. Primo, elles sont de source principalement internationale. Outre quelques règles de droit commun subsistantes, elles proviennent de six conventions de La Haye, d’un règlement européen, d’une convention adoptée sous l’égide des Nations-Unies et de conventions bilatérales et multilatérales. Secundo, elles s’insèrent au sein du mouvement contemporain de spécialisation de la discipline, ce qui implique un démantèlement des grandes catégories juridiques composant le statut personnel. Tertio, au carrefour de plusieurs intérêts, elles sont d’une particulière complexité. L’étude des obligations alimentaires à caractère international nous permet alors dedresser un bilan critique du droit international privé contemporain de la famille produit de manière désorganisée par la Conférence de La Haye et l’Union européenne. Bien évidemment, l’internationalisation des sources a permis des avancées certaines des méthodes du droit international privé. Parallèlement, elle a profondémentmétamorphosé la discipline en l’orientant vers la satisfaction d’intérêts politiques propres aux producteurs de normes au détriment de ses objectifs traditionnels. Prenant acte de ces observations, nous proposons un renouvellement du mode de production normative. L’amélioration des règles critiquables passe forcément par une réorganisation des rôles de l’État, de l’Union européenne et de la Conférence de La Haye dans l’élaboration du droit international privé. / The rules of Private International Law which could be applied to the maintenance obligations have three main characteristics. First of all, they are mainly from an International source. Some of the rules of International Law come from six Hague Conventions, an European regulation, a convention adopted under the United Nations’auspices, bilateral and multilateral conventions. Secondly, they take part in the discipline specialization through the contemporary movement which conclude the abolition of the main legal categories making up the personal status. Thirdly, they have a particular complexity being at the crossroad of several interests. The study of the maintenance obligations at an international scale allows us to critically asses the contemporary private international family law produced in the disorganized manner by the Hague Conference and the European Union. To be clarify it more, the internationalization of its sources allowed clear advance in the private international law methods. At the same time, it has changed the discipline fundamentally by focusing on the satisfaction of the norm setters’ political interests at the expense of its traditional goal. Taking note of these observations, we propose a renewal of the norms’ production method. Indeed, the questionable rules necessarily improve through the reorganization of the roles of the state, the European Union and the Hague Conference in the development of the private international law.