Anti-Suit Injunctions in International Commercial Arbitration

Olivier Luc Mosimann

• Publisher: Eleven International Publishing
• Year: 2010
• Topic: Law
• eBook ISBN:
  9789460944291
• Subtopic: Arbitration, Negotiation & Mediation in Law
• Index: Law

Anti-suit injunctions are orders restraining a party from commencing or continuing proceedings before a state court and can be issued by a court or arbitral tribunal. This book examines if and when anti-suit injunctions can be ordered, and it contemplates their legal conformity. It deals with jurisdictions familiar with anti-suit injunctions (e.g. England and the US) and compares these with the legal setting in Switzerland. The analysis not only relies on publicly available material, but also on confidential arbitral case law. Besides information on arbitral proceedings reported directly by arbitrators, the book takes into consideration unpublished material from proceedings conducted under the International Chamber of Commerce Rules and the International Arbitration Rules of Zurich Chamber of Commerce (now replaced by the Swiss Rules).

Table of contents

• Cover
• Table of Contents
• Acknowledgments
• Introduction
• Chapter 1: Preliminary Considerations
• 1. Jurisdictions Covered
• 2. The Arbitration Agreement
• 2.1. ‘Localized’ or Delocalized Arbitration?
• 2.2. The Obligation Not to Apply to a Court or Another Tribunal
• 3. Terminology: Anti-Suit Injunction
• 4. Categories of ‘Anti-Suit Injunctions’ Covered
• Chapter 2: The Development of Anti-Suit Injunctions in Litigation
• 1. England
• 1.1. Historical Development
• 1.2. Prerequisites for the Issuance of an Anti-Suit Injunction
• 1.2.1. Personal Jurisdiction
• 1.2.2. Discretion
• 1.2.2.1. Equitable Right
• 1.2.2.1.1. Alternative Forum Cases
• 1.2.2.1.2. Single Forum Cases
• 1.2.2.1.3. Protective Anti-Suit Injunctions
• 1.2.2.1.4. Anti-Anti-Suit Injunctions
• 1.2.2.2. Legal Right
• 1.2.3. Comity
• 2. USA
• 3. Summary
• Chapter 3: Anti-Suit Injunctions Issued by State Courts in International Commercial Arbitration
• 1. Prerequisites in England
• 1.1. Legal Basis
• 1.2. Personal Jurisdiction over Addressee of Injunction
• 1.3. Breach of the Arbitration Agreement
• 1.4. Discretion
• 1.4.1. Vexatious or Oppressive Test?
• 1.4.2. Exercise of Discretion
• 1.5. Time of Application
• 1.6. Comity
• 1.7. Damages more Appropriate?
• 2. Prerequisites in the USA
• 3. Switzerland?
• 3.1. Legal Basis
• 3.2. Parallel Competence
• 3.3. Prerequisites for Ordering the Interim Measure
• 3.4. Comity or Rechtsschutzinteresse?
• 3.5. Incompatibility with Swiss Legal System?
• 4. Conformity of Anti-Suit Injunctions
• 4.1. Compliance with the New York Convention
• 4.1.1. With Respect to Art. II(3)
• 4.1.2. With Respect to Art. V(2)(b)
• 4.2. Compliance with the Principle of Competence-Competence
• 4.2.1. Positive Effect of the Principle of Competence-Competence
• 4.2.2. Negative Effect in General
• 4.2.3. Negative Effect in Switzerland
• 4.2.4. Negative Effect in Engl
• 4.2.5. Negative Effect in the US
• 4.2.6. Competence-Competence and Anti-Suit Injunctions
• 4.3. Compliance with the Right of Access to Court
• 4.4. Compliance with the Jurisdiction of the Arbitral Tribunal
• 4.5. Compliance with Council Regulation (EC) No. 44/2001 or the 1988 Lugano Convention
• 4.5.1. Historical Reasons for the Exclusion of Arbitration
• 4.5.2. Case Law Preceding West Tankers
• 4.5.3. Debate in Legal Doctrine
• 4.5.3.1. Exclusion of Arbitration
• 4.5.3.2. Incompatibility Irrespective of Exclusion?
• 4.5.4. Opinion of the Advocate General
• 4.5.5. Criticism of the Advocate General’s Opinion
• 4.5.6. Judgment of the European Court of Justice
• 4.5.7. Criticism of the Judgment
• 4.5.8. Practical Consequences
• 4.5.9. Should Arbitration Be Included into the Regulation?
• 4.5.9.1. Suggested Amendments
• 4.5.9.2. Views Opposing Amendment
• 4.5.9.3. Proposed Solution
• 4.5.9.4. Outlook
• 5. Domestic Enforcement
• 5.1. England
• 5.2. Switzerland
• 6. Enforcement Abroad
• 6.1. Service of Anti-Suit Injunctions Abroad
• 6.2. Enforcement of Anti-Suit Injunctions Abroad
• 6.3. ‘Indirect Enforcement'
• 6.3.1. In England
• 6.3.2. In Switzerland
• 6.3.3. Limited Effectiveness of ‘Indirect Enforcement’
• Chapter 4: Anti-Suit Injunctions Issued by the Arbitral Tribuna
• 1. Order: Interim or Final Relief?
• 2. Availability of Interim Relief by the Arbitral Tribunal
• 3. Legal Basis for Ordering an Anti-Suit Injunction
• 3.1. Arbitration Agreement
• 3.2. Arbitration Rules
• 3.3. Lex arbitri
• 3.3.1. England
• 3.3.2. Switzerland
• 3.3.3. UNCITRAL Model Law Jurisdictions
• 4. Prerequisites
• 4.1. Application by a Party
• 4.2. Prima facie Establishment of Jurisdiction
• 4.3. Prima facie Establishment of Case or Right
• 4.3.1. Conduct of the Party Allegedly in Breach of the Arbitration Agreement
• 4.3.2. Parties
• 4.3.3. Claims
• 4.3.4. Subject Matter
• 4.4. Urgency
• 4.5. Substantial Prejudice
• 4.6. Proportionality
• 4.7. Summary of the Prerequisites
• 5. Sanctions by the Arbitral Tribunal
• 5.1. In General
• 5.2. Allocation of Costs as a Sanction?
• 5.3. Damages
• 5.3.1. English Case Law
• 5.3.2. US Case Law
• 5.3.3. Arbitral Case Law
• 5.3.4. Under Swiss Law
• 5.3.5. Damages as a Sanction?
• 5.4. Contractual Penalties?
• 5.5. Astreintes
• 5.5.1. Astreintes in French Litigation
• 5.5.2. No Astreintes by Swiss State Courts
• 5.5.3. Astreintes in Arbitration?
• 5.5.3.1. Imperium and Jurisdictio
• 5.5.3.2. Legal Basis
• 5.5.3.3. Enforcement of Astreintes
• 5.5.3.4. Effectiveness of Astreintes as a Sanction
• 5.6. Criminal Sanctions
• 5.7. Adverse Inference
• 6. Enforcement at the Seat of the Arbitration
• 6.1. Contempt of Court
• 6.2. State Court Support in Switzerland
• 7. Recognition and Enforcement Abroad
• 7.1. Under the New York Convention?
• 7.1.1. Award
• 7.1.2. Public Policy
• 7.2. Under Council Regulation (EC) No. 44/2001 or the 1988 Lugano Convention?
• 7.3. Under the Amended Model Law
• 7.4. Under Swiss Law?
• 7.5. Under English Law?
• 7.6. Conclusions
• 8. Practical Considerations
• 8.1. Advisability of Relief by the Arbitral Tribunal
• 8.1.1. Consideration of Practical Effects
• 8.1.2. Effects on the Award?
• 8.2. Procedural Order or Award?
• Chapter 5: Anti-Suit Injunctions and ‘Third Parties’
• 1. Orders Against Parties to the Arbitral Proceedings
• 2. Orders Against Non-Parties to the Arbitral Proceedings
• 2.1. By State Courts
• 2.1.1. Naming and Joining Parties
• 2.1.2. Non-Signatories
• 2.1.3. True Third Parties
• 2.2. By Arbitral Tribunals
• Chapter 6: Comparison of Anti-Suit Injunctions Issued by State Courts and by Arbitral Tribunals
• Summary
• Index of Abbreviations
• Index of Authorities