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Recognition and Enforcement of Annulled Foreign Arbitral Awards

An Analysis of the Legal Framework and its Interpretation in Case Law and Literature

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Claudia Alfons

When state A, in which an arbitral award was rendered, decides to annul the award in accordance with its national laws, it does not necessarily mean the award is effectively null and void. Rather, the initially prevailing party X may still be granted enforcement of the award in state B. The situation gets even worse, if a second arbitration is conducted in state A, this time rendering an award in favour of the former underlying party Y. Now party Y may in turn – successfully – seek the enforcement of the second award. This book aims to analyse the legal framework and the national case law resulting in such out-comes and gives recommendations how legal certainty may be assured – de lege lata and de lege ferenda.

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Foreword .......................................................................................................... 5 List of Abbreviations ........................................................................................ 13 A. Introduction ................................................................................................ 15 I. International Arbitration Today ........................................................ 15 II. Need for Free Circulation of Arbitral Awards .................................. 16 1. Substance of Recognition and Enforcement ................................ 16 a) Scope of Recognition .............................................................. 17 b) Scope of Enforcement ............................................................. 17 2. Relevant Legislation on Recognition and Enforcement .............. 18 3. Moot Case .................................................................................... 19 4. Purpose of the Subsequent Examination ..................................... 20 B. International Jurisdiction on Recognition and Enforcement ...................... 21 I. First Conventions on International Arbitration ................................ 21 1. Geneva Protocol (1923) ............................................................... 22 2. Geneva Convention (1927) .......................................................... 22 II. New York Convention on the Recognition and Enforcement of Foreign Arbitral Awards (1958) ............................. 23 1. Historical Development ............................................................... 23 2. Core Characteristics ..................................................................... 25 3. General Applicability ................................................................... 27 4. Arbitration Agreement ................................................................. 28 5. Arbitral Award ............................................................................. 28 a) Identifi cation of Arbitral Awards ............................................. 29 b) Determination of the Binding Nature ..................................... 31 c) Preclusion of Révision au Fond .............................................. 36 d) Ordre Public Exception ........................................................... 37 8 6. Application for Recognition and Enforcement ............................ 43 7. Reasons for Refusal of Enforcement ........................................... 44 Incapacity of the Parties or Invalidity of the Arbitration Agreement ....................................................... 45 Violation of Due Pro cess ......................................................... 46 c) Non-Compliance with the terms of the Arbitration Agreement ....................................................... 46 Irregularities in the Composition of the Arbitral Tribunal or in the Arbitral Proceeding ......... 47 Non-Binding nature, Setting aside or Suspension of the Award ................................................. 47 f) Lack of Arbitrability ............................................................... 49 g) Breach of the National Ordre Public ....................................... 50 h) General Remarks on the Enforcement Defences of Article V .................................. 50 8. Effects on National Law .............................................................. 50 9. Intertemporality of the New York Convention ............................ 52...

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