International arbitration, as an essential part of any modern legal system, needs provisional measures to protect the rights and interests of the arbitration parties while they are awaiting the final decision of the tribunal. The existence of a legal framework enabling cross-border enforcement of such measures is of great importance in the EU, which allows free movement of citizens, assets and trade within its single European market. However, the enforcement of such measures within the EU lacks a legal framework. This is due, primarily, to two interrelated reasons. The first is the failure of international conventions to address the issue of the cross-border enforcement of provisional measures and to resolve jurisdictional uncertainties between arbitral tribunals and national courts. The second reason is that the EU's attempts to remedy the shortcomings created by international conventions -via the Judgment Regulation ("The Recast") and decisions of the CJEU- have ultimately subverted the very system it sought to enhance. The aggregate effect of this failure has been overall increased complexity. This thesis will try to answer three questions: 1) Is it possible to find a solution to deal with the uncertain positions of arbitration agreements and proceedings within the EU, and can the suggested solution be utilised to help the regulation and use of provisional measures?; 2) Is it possible to harmonise the different approaches taken by Member States’ arbitration rules on the jurisdictions of national courts and arbitral tribunals in respect of granting provisional measures?; 3) Is it possible to achieve a cross-border enforcement mechanism for tribunal-ordered and court–ordered provisional measures (in support of arbitration proceedings) in the EU?In order to answer these questions, the thesis proposes the following: (1) Recognising an exclusive jurisdiction for the seat court to decide on the existence of the arbitration agreement; (2) Providing an exclusive jurisdiction for the arbitral tribunal to rule on the existence of the arbitration agreement after its formation; (3) Recognition of a supervisory role for the seat court in granting provisional measures and (4) Enforcement of tribunal-ordered measures in the form of awards. It is hoped that these suggestions will help determine the jurisdictions of arbitration tribunals and national courts in respect of provisional measures and arbitration agreements. It will also create a viable framework for cross-border enforcement of tribunal-ordered and court–ordered provisional measures. It is hoped that these suggestions will consequently help improve the efficiency of arbitration as a valuable form of alternative dispute resolution.

The central subject of this thesis is the power of an arbitral tribunal to order a state to refrain from pursuing criminal proceedings against a commercial enterprise if such an investigation constitutes an abuse of power or an attempt to obtain an unfair procedural advantage or harass of the investor, rather than a legitimate exercise of the state’s police power. The first chapter addresses the nature of international arbitration and how different theoretical models may help to explain the limits of the arbitrators’ adjudicative powers and the attitude of various national legal orders and domestic courts to arbitration agreements, proceedings and awards. The second chapter analyzes different approaches to investment arbitration as a form of global governance, and reviews arbitral jurisprudence on the interaction between protection of foreign investment and states’ power to conduct criminal proceedings. The third chapter focuses on jurisprudence of the International Court of Justice (ICJ) and various arbitral tribunals on provisional measures affecting the conduct of criminal proceedings. It identifies key developments and trends in the jurisprudence, especially with respect to the rights that could be protected by such measures. Finally, the fourth chapter addresses the question how to balance the states’ right (or even an obligation) to combat global corruption and crime, one the one hand, and the due process rights accorded to private entities when their commercial and investment disputes are resolved through international arbitration, on the other hand. / Graduate / 2022-03-19

Esta dissertação de mestrado possui o objetivo de identificar as particularidades relacionadas à utilização das tutelas de urgência nos casos em que as partes convencionam submeter seus litígios atuais ou futuros à jurisdição arbitral (i.e., tutelas de urgência arbitrais) e explorar o seu tratamento sob a perspectiva do direito brasileiro. As tutelas de urgência arbitrais adquirem cada vez maior importância para o desenvolvimento da arbitragem e para que o processo arbitral seja efetivo, alcançando o resultado desejado pelo direito material. Esta dissertação, depois de breves considerações iniciais, analisou as principais características e tipos de tutelas de urgência arbitrais (capítulos 2 e 3). Em seguida, passou em revista as bases teóricas para a compreensão da competência dos árbitros com relação às tutelas de urgência (capítulos 4 e 5), com estudo específico do cenário do direito brasileiro (capítulo 6). Esta dissertação reviu em detalhas as questões polêmicas da fase pré-arbitral (tanto perante as cortes estatais quanto perante árbitros de emergência), assim como as questões pertinentes sobre o momento em que o árbitro precisa analisar o assunto na fase arbitral (capítulos 7, 8 e 9). Por fim, analisou a hipótese na qual os juízes são chamados a auxiliar na efetivação de tutelas de urgência proferidas por árbitros em arbitragens nacionais e estrangeiras (capítulo 10). / The arbitral provisional measures have an increasing importance for the development of arbitration and for the effectiveness of the arbitration process, reaching the result aimed by the substantive law. This dissertation, after brief preliminary considerations, analyzed the main characteristics and types of arbitral provisional measures (Sections 2 and 3). Afterwards, it has reviewed the theoretical basis for understanding of arbitrators competence with regard to provisional measures (Sections 4 and 5), specifically in relation to the Brazilian law (Section 6). This dissertation has performed a detailed review of the controversial issues in the pre-arbitral phase (regarding state courts and emergency arbitrators), and has also reviewed issues related to the moment in which the arbitrator needs to analyze such controversial subject during the arbitral phase (Sections 7,8,9). Finally, this paper analized the hypothesis in which judges are called to assist on the enforcement of provisional measures issued by arbitrators in domestic and international international arbitrations (Section 10).

Esta dissertação de mestrado possui o objetivo de identificar as particularidades relacionadas à utilização das tutelas de urgência nos casos em que as partes convencionam submeter seus litígios atuais ou futuros à jurisdição arbitral (i.e., tutelas de urgência arbitrais) e explorar o seu tratamento sob a perspectiva do direito brasileiro. As tutelas de urgência arbitrais adquirem cada vez maior importância para o desenvolvimento da arbitragem e para que o processo arbitral seja efetivo, alcançando o resultado desejado pelo direito material. Esta dissertação, depois de breves considerações iniciais, analisou as principais características e tipos de tutelas de urgência arbitrais (capítulos 2 e 3). Em seguida, passou em revista as bases teóricas para a compreensão da competência dos árbitros com relação às tutelas de urgência (capítulos 4 e 5), com estudo específico do cenário do direito brasileiro (capítulo 6). Esta dissertação reviu em detalhas as questões polêmicas da fase pré-arbitral (tanto perante as cortes estatais quanto perante árbitros de emergência), assim como as questões pertinentes sobre o momento em que o árbitro precisa analisar o assunto na fase arbitral (capítulos 7, 8 e 9). Por fim, analisou a hipótese na qual os juízes são chamados a auxiliar na efetivação de tutelas de urgência proferidas por árbitros em arbitragens nacionais e estrangeiras (capítulo 10). / The arbitral provisional measures have an increasing importance for the development of arbitration and for the effectiveness of the arbitration process, reaching the result aimed by the substantive law. This dissertation, after brief preliminary considerations, analyzed the main characteristics and types of arbitral provisional measures (Sections 2 and 3). Afterwards, it has reviewed the theoretical basis for understanding of arbitrators competence with regard to provisional measures (Sections 4 and 5), specifically in relation to the Brazilian law (Section 6). This dissertation has performed a detailed review of the controversial issues in the pre-arbitral phase (regarding state courts and emergency arbitrators), and has also reviewed issues related to the moment in which the arbitrator needs to analyze such controversial subject during the arbitral phase (Sections 7,8,9). Finally, this paper analized the hypothesis in which judges are called to assist on the enforcement of provisional measures issued by arbitrators in domestic and international international arbitrations (Section 10).

Arbitral provisional measures are of great importance in protecting the rights of the parties to an arbitration agreement. Arbitration as a dispute mechanism is becoming increasingly powerful due to the ability of tribunals and courts to grant and enforce provisional measures which make the final award meaningful. The importance of provisional measures has increased in recent years as more parties are seeking them, and is likely to grow still more in the coming years. This project examines the problems surrounding arbitral provisional measures in England and Wales; as such problems constitute a threat to current and future arbitration. The thesis aims to identify, analyse and offer solutions to those problems that impede arbitral proceedings. This thesis initially examines the roots and the legislative development of the powers of arbitral tribunals to grant provisional measures and the role of the courts in arbitral proceedings in England. The examination highlights the roots of the problems and demonstrates how the approach towards provisional measures in England has shifted in due course from judicial dominance to arbitral competence, and how the role of the courts has become subsidiary. Further, the analysis highlights the problem of arbitrators in the granting and enforcement of provisional measures across borders, due to the inadequacy of the current Arbitration Act 1996, which provides very limited power to tribunals under its S.38,39 and 48. Additionally, the research aims to demonstrate that arbitral tribunals should be given effective and actual authority to grant arbitral provisional measures in order to comply with the arbitration agreement (party autonomy). Since no dispute mechanism can stand alone as an island, the courts should only become involved in support of the process – subject to the arbitral Acts that provide them with exclusive jurisdiction –where this is necessary in order to avoid conflicting decisions. However, the power of the courts to aid arbitration in granting such measures is limited by Council Regulation (EC) 44/2001 of the European Union, of which England is a member. In international arbitration, timely application and enforcement of interim measures have a substantial effect on the possibility of the enforcement of a final arbitration award, especially when issues relating to the protection of assets or evidence arise before or during the course of proceedings. Hence the purpose of this project is to provide a brief analysis of the international practice regarding the enforcement of provisional measures in international arbitration.

Provisional measures indicated by international courts and quasi-judicial organs in human rights cases Abstract Whenever human rights are at stake there should be quick response of the authority dealing with the situation. Provisional measures are therefore useful tool how to prevent irreparable harm. The aim of my thesis is to analyse provisional measures indicated by various human rights adjudicators from different continents. Main focus is put on legal provisions empowering international courts and quasi-judicial organs to indicate provisional measures, examining whether provisional measures are legally binding, exploring the extent to which international forums indicate provisional measures and highlighting some specific types of provisional measures. The approach is description with elements of comparison. The thesis is composed of six chapters. Chapter one is introductory and defines the concept of provisional measures and its main characteristics and conditions for use. Chapters two to five are dealing with various courts and quasi-judicial organs on the universal level and in Europe, Africa and the Americas. Chapter two is subdivided into two parts. Part one examines International Court of Justice, which is not strictly speaking human rights adjudicator and is not allowing individual complaints, but...

During an arbitration, a party may need to request the arbitral tribunal to order interim measures to secure a meaningful award. However, the parties may face issues relating to enforceability and hence the effectiveness of the arbitral tribunal’s interim decision. If the arbitral tribunal is seated in Sweden, under the current Swedish Arbitration Act (SAA), a decision on interim measures is not enforceable in the form of an order. This raises the issue whether such a decision could be made enforceable if issued in the form of an arbitral award. The SAA is currently undergoing a revision with the aim to increase the attractiveness of Swedish arbitration, for both Swedish and foreign parties. The Government Commission (Commission) proposed in its report in 2015 that an express legislative provision be introduced specifically empowering an arbitral tribunal to order an interim measure in the form of an order or an award. This would be consistent with relevant Arbitral Rules. A decision in form of an award would potentially be enforceable. The Government decided not to follow the Commission’s proposal in the proposed legislation referred to the Law Council on Legislation. The Commission implied that interim measures may be enforceable in Sweden, if made in the form of an award. Through the use of a legal dogmatic and legal analytical method this thesis concludes that there is an uncertainty as to whether interim measures, in the form of an award, can be enforced in Sweden. Parties can probably give the arbitral tribunal such authority to grant interim measures that are final and binding in character, if this is provided for in their arbitration agreement. For example, parties could vest the arbitral tribunal with such power by referring to arbitration rules that provide for such interim relief, as is provided in SCC and ICC Arbitral Rules. It is also concluded that the enforceability depends on whether the award was rendered by a tribunal sitting in/outside of Sweden. The Swedish Supreme Court has stated that “award” within the meaning of the New York Convention (NYC) should, as a rule, be construed according to the law of the seat of the arbitration. This may allow for enforcement of interim measures in the form of an award. However, due to the general, but not conclusive, view that the NYC does not apply to interim measures, no certain conclusions can be made. Furthermore, it is argued, because of this ambiguity, that Sweden fails to offer parties and arbitrators a modern and effective arbitral regime, which may hamper Sweden’s ambitions in attracting foreign parties to arbitrate in Sweden. Therefore, Sweden should introduce a possibility for the arbitral tribunal to grant enforceable interim measures.

A presente dissertação tem por objetivo a análise jurídica e a demonstração do cabimento da tutela de urgência na homologação da sentença estrangeira. Para alcançá-lo estuda a homologação de sentença estrangeira, a tutela de urgência em suas modalidades de tutela cautelar e tutela antecipada, nesta incluída a tutela específica das obrigações de fazer ou não fazer e de entrega de coisa e analisa precedentes jurisprudenciais do Supremo Tribunal Federal sobre o tema. O estudo sinaliza a importância do assunto e critica as decisões do Supremo Tribunal Federal que negaram a tutela de urgência em procedimentos de homologação de sentenças estrangeiras. O fundamento constitucional da tutela de urgência no princípio do acesso à justiça, compreendido em seu sentido de efetividade da jurisdição, desponta como um dos dois argumentos nucleares da posição defendida na dissertação. Considera o trabalho que este princípio constitui um dos princípios gerais de direito comuns a todos os Estados civilizados. Por outro lado, a análise da natureza jurídica constitutivo-integrativa da sentença na ação de homologação, bem como o efeito que possui a sentença estrangeira de fazer nascer a pretensão à homologação proporcionam uma interpretação do artigo 483 do Código de Processo Civil compatível com a tutela de urgência, emergindo como o segundo argumento principal da dissertação. Na conclusão elabora-se a síntese da argumentação demonstrativa da posição assumida na dissertação. / This dissertation aims to present the juridical analysis and the admissibility of interim protection and provisional measures in the recognition of foreign judgments. In order achieve its ends, it studies the recognition of foreign judgments, interim protection and provisional measures, including its application to the obligations to do or not to do a specific thing and to deliver a certain thing, and it analyses the decisions of the Federal Supreme Court on the subject. The work highlights the importance of the issue and criticizes the precedents of the Supreme Court that did not grant interim protection and provisional measures in the recognition of foreign judgments. Interim protection and provisional measures are based in the constitutional principle of access to justice, in its meaning of the effective rendering of judgment. This is the first core argument of the thesis that this dissertation defends, as this principle is one of those general principles of law recognized in all civilized States. On the other hand, the analysis of the constitutive and integrative nature of the final judgment in the recognition of foreign judgment, together with the effect of the foreign judgment of the right of action to its recognition render an interpretation of article 483 of the Code of Civil Procedure compatible with interim protection and provisional measures. This is the second core argument of this dissertation. The conclusion of the work provides a summary of the arguments that sustain the position that it defends.

A presente dissertação tem por objetivo a análise jurídica e a demonstração do cabimento da tutela de urgência na homologação da sentença estrangeira. Para alcançá-lo estuda a homologação de sentença estrangeira, a tutela de urgência em suas modalidades de tutela cautelar e tutela antecipada, nesta incluída a tutela específica das obrigações de fazer ou não fazer e de entrega de coisa e analisa precedentes jurisprudenciais do Supremo Tribunal Federal sobre o tema. O estudo sinaliza a importância do assunto e critica as decisões do Supremo Tribunal Federal que negaram a tutela de urgência em procedimentos de homologação de sentenças estrangeiras. O fundamento constitucional da tutela de urgência no princípio do acesso à justiça, compreendido em seu sentido de efetividade da jurisdição, desponta como um dos dois argumentos nucleares da posição defendida na dissertação. Considera o trabalho que este princípio constitui um dos princípios gerais de direito comuns a todos os Estados civilizados. Por outro lado, a análise da natureza jurídica constitutivo-integrativa da sentença na ação de homologação, bem como o efeito que possui a sentença estrangeira de fazer nascer a pretensão à homologação proporcionam uma interpretação do artigo 483 do Código de Processo Civil compatível com a tutela de urgência, emergindo como o segundo argumento principal da dissertação. Na conclusão elabora-se a síntese da argumentação demonstrativa da posição assumida na dissertação. / This dissertation aims to present the juridical analysis and the admissibility of interim protection and provisional measures in the recognition of foreign judgments. In order achieve its ends, it studies the recognition of foreign judgments, interim protection and provisional measures, including its application to the obligations to do or not to do a specific thing and to deliver a certain thing, and it analyses the decisions of the Federal Supreme Court on the subject. The work highlights the importance of the issue and criticizes the precedents of the Supreme Court that did not grant interim protection and provisional measures in the recognition of foreign judgments. Interim protection and provisional measures are based in the constitutional principle of access to justice, in its meaning of the effective rendering of judgment. This is the first core argument of the thesis that this dissertation defends, as this principle is one of those general principles of law recognized in all civilized States. On the other hand, the analysis of the constitutive and integrative nature of the final judgment in the recognition of foreign judgment, together with the effect of the foreign judgment of the right of action to its recognition render an interpretation of article 483 of the Code of Civil Procedure compatible with interim protection and provisional measures. This is the second core argument of this dissertation. The conclusion of the work provides a summary of the arguments that sustain the position that it defends.

Interim Measures are viewed as an essential means to protect parties‘ rights in international commercial arbitration disputes. Most Arbitration Laws and Rules have recognised the arbitral tribunal‘s power to grant such measures. The success of this system relies on the court‘s assistance of the tribunal during the process. This relationship between the tribunal and the court is something vague under Egyptian Law, since there are no clear rules addressing the matter. Hence, this research examines the theories that explain the tribunal‘s authority and the relationship with the authority of the court. This study uses a comparative analytical approach in terms of analyzing relevant legal texts to determine the optimal legal approach to the issue. The purpose of the study is to address deficiencies in the Egyptian law – the Code of Civil Procedure and Egyptian Arbitration Law – and compare it with English, Scottish Arbitration Acts and international arbitration systems, laws, and practices. The findings of this research offer several recommendations that could help achieve a successful and smooth arbitration process. This study identifies and explains types of interim measures and explores the international practice of every type. It gives some important recommendations for future development and improvement of the Egyptian law. It also makes general recommendations that would help improve the efficiency of the English and Scottish laws.