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Index

Practice of International Commercial Arbitration: A Handbook for Hong Kong Arbitrators

Page 209 Index Index AAA 34 adjudication 33 – 4 , 36 , 39 , 159 – 61 DEVB survey 159 – 60 SOPL, and 160 – 1 Tang Report 159 ADR initiatives 31 – 4 ADR support 154 – 61 agreement in writing 79 applications for further and better particulars 105 – 6 applications for interrogatories 105 – 6 applications for preliminary issues 105 applications to preserve property or conduct experiments 106 – 7 appointment of arbitrators Arbitration Ordinance, under 60 – 3 breaking deadlock 61 – 2 chairperson 60 challenge 62 conflicts of interest 63 – 70 see also conflicts of interest impartiality and independence, duty of 70 – 2 Model Law, under 60 – 3 more than two parties 62 number of 61 party autonomy, and 61 qualifications 62 termination, and 63 tribunal’s ruling on own competence 62 arbitral judicial order 23 – 5 arbitral rules discretion of tribunal 18 arbitration ad hoc 3 administered 2 – 3 meaning 2 arbitration agreement 2 challenge to tribunal’s jurisdiction 79 – 80 non-commercial contexts, in 6 who is bound by 24 arbitration–friendly financial centres 22 Arbitration Ordinance 1 , 27 – 8 arbitration rules sameness 59 arbitrations involving mainly private interests 187 – 93 arbitrations involving private and public interests 193 – 6 avoidance of legal systems of national courts 10 – 11 award 141 – 50 applications to set aside 171 – 4 background 147 discussion 147 drafting 144 – 50 formal 144 interest 148 – 50 interim 142 – 3 introduction 147 irrelevant matters 146 issues 148 judge becoming functus 143 – 4 meaning 142 merger, doctrine of 143 partial 142 – 3 preliminary matters 141 – 4 professional responsibility, and 146 reasons for 145 recognition or enforcement 146 statutory lien, and 143 structure 147 sub–issues 148 substance 145 terminology 141 – 2 BAC 38 barristers conflict of interest 64 – 7 Belt and Road Initiative 206 – 7 BIAC 38 capacity–building among jurisdictions 203 – 4 capacity–building among young arbitrators 204 – 6 case management 85 – 9 balancing act, as 86 enforceable award 85 failure to comply with order 87 notice of proceedings 86 – 7 time to comply with direction 88 challenges 198 – 207 China see mainland China infrastructure choice of arbitrator 8 – 9 choice of law 78 – 85 Article 7 of Model Law 78 convenience 82 Hague Principles 81 law of seat of arbitration 80 lex mercatoria 84 non–national body of law 82 party autonomy 81 “rules of law” 83 CIArb East Asia 29 CIArb Singapore Branch 34 CIETAC 37 CIETAC arbitration rules 50 – 3 appointment of tribunal 50 – 1 award 53 conduct of proceedings 51 – 2 pleadings 51 CIETAC Hong Kong 28 – 9 class arbitrations 183 – 6 CMAC 38 commercial meaning 5 competition law arbitrations 195 – 6 Page 210 complex arbitrations 177 – 86 consolidation 181 – 3 joinder 179 – 81 concordance of Model Law articles and Arbitration Ordinance sections 40 – 1 confidentiality 9 – 10 conflicts of interest 63 – 70 actual and apparent bias 66 – 8 challenge 68 duty of disclosure 70 Green List 67 Orange List 66 – 7 qualifications 63 – 4 Red List 66 repeated appointments 68 – 9 solicitors and barristers 64 – 7 consolidation 181 – 3 construction arbitrations 190 – 1 cost 11 – 12 costs of arbitration 150 – 2 bill of costs 152 following the event 151 party–and–party basis 151 – 2 provisional order 150 submissions 151 costs of international commercial arbitration challenges 201 – 3 costs of the tribunal 152 – 3 cross–examination 130 , 134 – 40 contradictory evidence 138 – 9 demeanour of witness 136 falsity, accusation of 137 fraud, allegations of 140 irrelevant matters 136 managing 134 – 140 protracted argument 139 shortening time for 135 Socratic dialogue 139 testing evidence 136 wasted time 134 direct submissions from advocates 20 – 21 documentary evidence 108 – 15 document, meaning 109 functions 113 general and specific discovery 108 – 10 practical considerations 113 – 15 Redfern Schedule 111 relevance 108 – 9 requests for disclosure 114 – 15 resisting disclosure 115 due process paranoia 11 – 12 emergency arbitrator 98 – 9 evidence 108 – 24 documentary see documentary evidence IBA Rules 110 – 12 expert witnesses 118 – 24 agreement as to 119 appointment by tribunal 120 CIArb Protocol 121 – 2 directions 118 – 19 , 120 foreign law 120 guidelines 121 hot–tubbing 122 sample order for directions 123 – 4 financial arbitrations 191 – 3 foreign law duty to apply 19 expert evidence 20 matter of fact, as 19 freezing orders 96 – 101 convention into Hong Kong order 96 – 7 ex parte 97 factors 100 – 1 risk of dissipation, and 99 security 97 Green List 67 Hague Choice of Court Agreements Convention 10 HKIAC 28 – 9 HKIAC administered arbitration rules 42 – 7 appointment of tribunal 43 award 46 – 7 conduct of proceedings 44 – 6 pleadings 44 HKIArb 29 Hong Kong infrastructure 27 – 34 adjudication 33 – 4 ADR initiative 31 – 4 Advisory Committee on Promotion of Arbitration 29 – 30 Department of Justice 29 government support 29 – 30 judicial support 30 Law Reform Commission 30 legislation 27 – 8 med–Arb 31 – 3 mediation 31 organizations 28 – 9 ICC 34 ICC Arbitration Rules 56 – 8 appointment of tribunal 56 award 58 conduct of proceedings 57 – 8 pleadings 57 ICC Hong Kong 28 ICDR – Singapore 34 impartiality and independence, duty of 70 – 2 empirical bases, and 71 infrastructure 27 – 41 mainland China see mainland China infrastructure Singapore see Singapore infrastructure intellectual property arbitrations 193 – 4 interest award, and 148 – 50 interim measures 93 – 107 American Cyanamid test 100 balancing exercise 99 – 100 emergency arbitrator 98 – 9 full and frank disclosure 98 powers 93 – 6 preliminary order 98 section 56 , Arbitration Ordinance 94 – 5 interlocutory matters 93 – 107 international arbitration definition 3 , 4 investment treaty arbitrations 6 , 196 – 7 investor–state arbitration 6 joinder 179 – 81 joinder of parties 24 – 5 judicial support 162 – 76 applications for recognition and enforcement of awards 174 – 5 applications to set side award 171 – 4 Astro Nusantara case 162 – 3 exercise of powers 167 – 75 good faith 164 interlocutory orders in aid of arbitration 169 – 71 jurisdictional challenges 167 – 9 powers 163 – 7 public interest 163 specific power 165 – 7 weak waiver 165 law of seat as source of validity 16 – 21 criticisms of theory 17 laws of enforcing states as source of validity 21 – 3 Geneva Convention 21 – 2 New York Page 211 Convention 22 recognition and enforcement of awards 21 – 3 lex mercatoria 84 mainland China infrastructure 37 – 9 adjudication 39 ADR initiatives 38 – 9 government support 38 judicial support 38 legislation 37 Med–arb 39 mediation 38 – 9 organizations 37 – 8 Mareva injunctions 96 – 101 maritime arbitration 187 – 90 Med–arb 31 – 3 , 36 , 39 , 157 – 8 disadvantages 157 – 8 safeguards 158 mediation 31 , 36 , 38 – 9 , 154 – 7 advantages 155 Apology Ordinance 157 definition 154 evaluative 156 facilitative 156 narrative 156 styles 156 success of 157 transformative 156 MINLAW 35 Model Law 5 , 13 – 14 concordance of articles with Arbitration Ordinance sections 40 – 41 harmonisation of regulatory framework, and 17 most closely connected meaning 4 multi–contract arbitrations 177 – 86 multi–party arbitrations 177 – 86 New York Convention 5 – 6 , 14 – 15 Orange List 66 – 7 order for directions no.1 73 – 8 challenge to jurisdiction, and 77 comprehensive order 76 detailed timetable 77 initial order 74 – 5 time to submit defence 77 – 8 party autonomy 25 PCA 29 , 34 place meaning 3 pleadings 74 – 6 importance of 76 real issues 76 second round of 75 popularity 7 – 11 statistics 7 – 8 procedure 73 – 8 Redfern Schedule 111 Red List 66 rules 42 – 59 SAC 38 sample comprehensive order for directions no.1 90 – 2 documentary evidence 90 – 1 expert reports 91 – 2 factual without evidence 91 hearing 92 pleadings 90 SCIA 37 seat of arbitration 3 – 4 security for costs 101 – 5 amount 102 – 3 claim and counterclaim, and 103 – 4 principles 101 – 2 respondent, order against 103 sanction if not provided 103 serious risks, and 102 SHIAC 37 SIAC 34 arbitration rules 47 – 50 appointment of tribunal 47 – 8 award 49 – 50 conduct of proceedings 48 – 9 pleadings 48 SIArb 34 SICC 198 – 200 Singapore infrastructure 34 – 6 adjudication 36 ADR initiatives 36 government support 35 judicial support 35 legislation 34 Med–arb 36 mediation 36 MINLAW 35 organizations 34 specialized arbitrations 187 – 97 specialized commercial arbitrations 187 – 96 start of arbitrations 73 – 89 state meaning 3 substantive hearing 125 – 31 adjournment 128 – 9 cards on the table approach 129 chess clock procedure 127 – 8 closing submissions 130 – 1 cross–examination 130 directions 127 document alone 125 , 126 examination in chief 129 – 30 interlocutory applications 128 oral 126 – 7 oral opening submissions 129 time for 127 written closing submissions 125 – 6 terminology 2 – 7 third party funding 183 – 6 transnational law as source of validity 23 – 5 Model Law 25 trial 125 – 40 maintaining level playing field 131 – 4 sanctions for misconduct 133 UNCITRAL 13 – 14 UNCITRAL arbitration rules 53 – 6 appointment of tribunal 54 award 55 – 6 conduct of proceedings 55 pleadings 54 – 5 WIPO Arbitration and Mediation Centre 34 witnesses 115 – 22 coaching 131 – 2 direction for attendance 117 exchange of statements 116 expert 118 – 24 see also expert witnesses factual 115 – 18 new evidence 116 oath or affirmation 116 – 17 statements 117 – 18 Page 212

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