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dc.contributor.author
Theologidou, Maria
en
dc.date.accessioned
2015-06-30T13:40:29Z
dc.date.available
2015-09-27T06:05:02Z
dc.date.issued
2015-06-30
dc.identifier.uri
https://repository.ihu.edu.gr//xmlui/handle/11544/627
dc.rights
Default License
dc.title
Interim measures in international commercial arbitration under the ICC, LCIA and DIS rules
en
heal.type
masterThesis
heal.keyword
Arbitration and award, International
en
heal.keyword
Court rules
en
heal.keyword
Dissertations, Academic
en
heal.language
en
heal.access
free
el
heal.license
http://creativecommons.org/licenses/by-nc/4.0
heal.recordProvider
School of Economics, Business Administration and Legal Studies, LLM in Transnational and European Commercial Law, Mediation, Arbitration and Energy Law
heal.publicationDate
2013-11
heal.bibliographicCitation
Theologidou Maria, 2013, Interim measures in international commercial arbitration under the ICC, LCIA and DIS rules, Master's Dissertation, International Hellenic University
en
heal.abstract
The present thesis deals with the important issue of interim measures in the context of International Arbitration. Interim measures of protection are an essential and indispensable part of international arbitration, promoting the effectiveness of the latter as a dispute resolution method. Without the possibility for interim relief, the whole arbitration process could be rendered meaningless because in the meantime irreparable harm may have occurred to one of the arbitrating parties. Interim measures are examined in this thesis with reference to the Arbitration Rules of three major International Arbitration Institutions, namely the International Court of Arbitration of the International Chamber of Commerce, the London Court of International Arbitration and the German Institution of Arbitration. The thesis aims to cover theoretical and practical aspects of the topic with the view to constitute a useful handbook for whoever is involved in the field of Arbitral Interim relief. Chapter A describes briefly the role of interim measures in the arbitral process, resolves issues of terminology and presents the Institutions examined. Chapter B focuses on the arbitrators‟ power to grant interim measures, defining and discussing its sources. Chapter C refers to the conditions for the granting of interim measures, examined under each particular Institution, while Chapter D does the same with reference to the types of interim relief available. Moreover, Chapter E addresses the major issue of enforceability of interim measures. Chapter F deals with Emergency Arbitral Interim Relief; the new 2012 ICC Rules are examined in detail here with regard to the Emergency Arbitrator Procedure established by them. Finally, Chapter G contains a conclusion of all individual aspects developed in the thesis. Finally, this thesis is elaborated as part of my studies in the LLM in Transnational and European Commercial Law and Alternative Dispute Resolution at the International Hellenic University during the academic year 2012-2013.
en
heal.tableOfContents
ABSTRACT ............................................................................................................................. 6 ACKNOWLEDGEMENTS ......................................................................................................... 7 A. INTRODUCTION ............................................................................................................. 7 1.0 ROLE AND IMPORTANCE OF INTERIM MEASURES TO THE ARBITRAL PROCESS ...... 8 1.1 TERMINOLOGY .......................................................................................................... 9 1.2 THE ARBITRAL INSTITUTIONS (ICC, LCIA, DIS) AT A GLANCE .................................. 10 i) ICC ............................................................................................................................... 10 ii) LCIA ............................................................................................................................. 11 iii) DIS ............................................................................................................................... 11 B. AUTHORITY TO GRANT INTERIM MEASURES ............................................................. 12 2.0 ARBITRATORS’ AUTHORITY TO ORDER INTERIM MEASURES ................................. 12 2.0.1 Sources of arbitrators’ power to order interim measures ............................. 12 a) International Arbitration Conventions ................................................................... 12 b) National Arbitration Laws ....................................................................................... 13 c) Institutional Arbitration Rules ................................................................................ 14 2.1 CO-EXISTENCE OF THE JURISDICTION OF COURTS AND TRIBUNALS IN PROVIDING INTERIM RELIEF ................................................................................................................... 16 2.1.1 Concurrent jurisdiction ................................................................................... 16 2.1.2 Doctrine of compatibility ................................................................................ 18 2.1.3 Complementary or Subsidiary jurisdiction of national courts and the Principle of Priority ........................................................................................................................ 20 2.2 LIMITATIONS ON ARBITRATORS’ AUTORITY TO ORDER PROVISIONAL MEASURES 21 C. CONDITIONS TO GRANT INTERIM MEASURES ............................................................ 24 3.0 IN GENERAL ............................................................................................................. 24 3.1 POSITIVE REQUIREMENTS ...................................................................................... 27 3.1.1. Prima facie establishment of jurisdiction ....................................................... 27 3.1.2 Prima facie establishment of the merits ........................................................ 28 3.1.3 Urgency ........................................................................................................... 29 3.1.4 Irreparable harm ............................................................................................. 29 3.1.5 Proportionality ................................................................................................ 30 4 3.1.6 Security for damages ...................................................................................... 30 3.2 NEGATIVE REQUIREMENTS ..................................................................................... 31 3.3 “NE ULTRA PETITA” – REQUEST FOR THE GRANT OF INTERIM MEASURES ........... 32 D. TYPES OF INTERIM MEASURES ................................................................................... 34 4.0 IN GENERAL ............................................................................................................. 34 4.1 DISCRETION OF THE ARBITRATORS TO TAKE “ANY” APPROPRIATE MEASURE UNDER THE ICC RULES ........................................................................................................ 35 a) Measures to preserve evidence ............................................................................. 36 b) Measures to regulate and stabilize parties’ relations during the proceedings ...... 36 c) Measures to secure enforcement .......................................................................... 37 d) Orders for interim payments .................................................................................. 38 4.2 SECURITY FOR COSTS UNDER THE LCIA RULES ....................................................... 38 4.3 THE “SUBJECT-MATTER OF THE DISPUTE” LIMITATION UNDER THE DIS RULES .... 40 E. ENFORCEMENT OF TRIBUNAL-ORDERED INTERIM MEASURES .................................. 42 5.0 FORM OF TRIBUNAL-ORDERED INTERIM MEASURES ............................................. 42 5.1 THE ENFORCEABILITY OF INTERIM MEAURES ........................................................ 44 5.1.1 The lack of arbitral coercive powers – Sanctions imposed by arbitrators...... 45 5.1.2 The national legal regimes for the enforceability of interim measures ................ 47 5.1.3 Enforcement of foreign provisional measures ............................................... 49 5.2 THE REVISED PROVISIONS OF THE UNCITRAL MODEL LAW ................................... 51 F. EMERGENCY ARBITRAL PROVISIONAL MEASURES ..................................................... 53 6.0 INTRODUCTION ....................................................................................................... 53 6.1 THE 1990 ICC RULES FOR A PRE-ARBITRAL REFEREE PROCEDURE ......................... 54 6.1.1 Introduction .................................................................................................... 54 6.1.2 Main features of the pre-Arbitral Referee Rules ........................................... 55 6.1.3 Powers and Liability of the Referee ................................................................ 56 6.1.4 The decision of the Referee ............................................................................ 57 6.2 THE NEW 2012 ICC RULES ....................................................................................... 57 6.2.1 Emergency Arbitrator Provisions .................................................................... 57 6.2.2 Key points of the EAP ...................................................................................... 59 6.2.3 Filing of the Application .................................................................................. 61 5 6.2.4 Emergency Arbitrator’s Decision .................................................................... 61 6.3 EXPEDITED FORMATION OF THE ARBITRAL TRIBUNAL (Art. 9 LCIA Rules) ............ 63 G. CONCLUSION .............................................................................................................. 66 APPENDIX I – 2012 ICC RULES OF ARBITRATION* .................................................................. 69 APPENDIX II – LCIA RULES* ..................................................................................................... 74 APPENDIX III – DIS RULES* ...................................................................................................... 76 BIBLIOGRAPHY ........................................................................................................................ 77
en
heal.advisorName
Rosenfeld, Dr. Friedrich
en
heal.committeeMemberName
Kaisis, Athanasios
en
heal.committeeMemberName
Rosenfeld, Friedrich
en
heal.committeeMemberName
Komninos, Komnios
en
heal.academicPublisher
School of Economic and Business Administration,LL.M in Transnational and European Commercial Law and Alternative Dispute resolutions
en
heal.academicPublisherID
ihu
heal.numberOfPages
82
heal.fullTextAvailability
false


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