Forum Shopping in international investment law forum planning, forum enhancement, and facilitation of procedure : assessment and limits
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Mohr Siebeck
[2017]
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| 245 | 1 | 0 | |a Forum Shopping in international investment law |b forum planning, forum enhancement, and facilitation of procedure : assessment and limits |c Björn P. Ebert |
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| adam_text | TABLE OF CONTENT
PREFACE V
OVERVIEW OF CONTENT VII
CHAPTER 1: INTRODUCTION 1
A. FORUM SHOPPING AS A GENERALLY LEGITIMATE TECHNIQUE
IN INTERNATIONAL INVESTMENT LAW? 3
B. COURSE OF ANALYSIS 5
I. PART 1: FORUM SHOPPING AS A GENERALLY LEGITIMATE
PROCEDURAL TECHNIQUE 6
II. PART 2: PARTICULAR LIMITATIONS TO FORUM SHOPPING 11
III. PART 3: POSSIBLE OPTIONS TO RESTRICT FORUM SHOPPING AND
CONCLUDING REMARKS 13
PARTI
FORUM SHOPPING
AS A GENERALLY LEGITIMATE PROCEDURAL TACTIC
CHAPTER 2: THE ORIGIN AND DEFINITION OF FORUM SHOPPING 17
A. MOTIVATION TO ENGAGE IN FORUM SHOPPING IN THE CONTEXT
OF INTERNATIONAL INVESTMENT 18
B. FORUM SHOPPING AS THE NATURAL CONSEQUENCE OF THE CURRENT STATE
OF INTERNATIONAL INVESTMENT LAW 21
I. MULTIPLE FORA DUE TO INHERENT FRAGMENTATION OF INTERNATIONAL
INVESTMENT LAW 23
II. ADDITIONAL FORA THROUGH OTHER FIELDS OF INTERNATIONAL LAW 28
III. INTERNATIONAL FORA PROVIDED BY NATIONAL INVESTMENT LEGISLATION 29
IV. INCREASE OF FORA THROUGH INVESTMENT CONTRACTS 29
V. SUMMARY 31
X TABLE OF CONTENT
C. DEFINITION AND CATEGORIES OF FORUM SHOPPING 31
I. INCONSISTENT UNDERSTANDING OF FORUM SHOPPING IN TERMS
OF APPRECIATION AND TERMINOLOGY 32
II. DEFINITION OF FORUM SHOPPING IN THE CONTEXT OF
INTERNATIONAL INVESTMENT LAW 34
1. A VALUE NEUTRAL DEFINITION - THE NEED FOR AN OBJECTIVE DEFINITION
WITHOUT ANTICIPATING THE ASSESSMENT OF THE PHENOMENON DESCRIBED 35
2. RESTRICTION ON INTERNATIONAL INVESTMENT LAW AND ARBITRATION 38
3. UNILATERAL OR BILATERAL FORUM SHOPPING? 38
4. CATEGORIES OF FORUM SHOPPING 39
(A) FORUM PLANNING: GAINING ORIGINAL ACCESS TO
INVESTMENT ARBITRATION 40
(B) FORUM ENHANCEMENT: ENLARGING OR GAINING ACCESS TO
INVESTMENT ARBITRATION 45
(C) FACILITATION OF PROCEDURE: EXPLOITATION OF
PROCEDURAL OPPORTUNITIES 45
5. DEFINITION OF FORUM SHOPPING IN INTERNATIONAL INVESTMENT LAW ... 46
D. SUMMARY 47
CHAPTER 3: FORUM SHOPPING S GENERAL LEGITIMACY
IN INTERNATIONAL INVESTMENT LAW 49
A. THE NORMATIVE FOUNDATIONS OF INTERNATIONAL INVESTMENT LAW 51
I. INTERNATIONAL INVESTMENT LAW CONCERNS THE DISTINCT INTERESTS
OF THREE PLAYERS 51
II. NORMATIVE FOUNDATIONS OF INTERNATIONAL INVESTMENT LAW 58
1. DESIRABILITY OF FOREIGN INVESTMENT:
PROMOTING AND FOSTERING FOREIGN INVESTMENT 58
(A) PROMOTING AND FOSTERING INTERNATIONAL INVESTMENT 58
(B) ESTABLISHING LEGAL PREDICTABILITY AND CERTAINTY 60
(C) ESTABLISHING EFFECTIVE DISPUTE SETTLEMENT MECHANISMS 62
2. DESIRE TO DEPOLITICISE INVESTMENT DISPUTES 63
3. DISCRIMINATIVE NATURE OF INTERNATIONAL INVESTMENT LAW 66
4. INVESTMENT ARBITRATION AS AN EFFECTIVE AND NEUTRAL FORUM? 67
(A) THE DOCTRINE OF NATURAL FORUM 67
(B) INVESTMENT ARBITRATION AS THE NATURAL FORUM IN
INTERNATIONAL INVESTMENT LAW? 69
III. SUMMARY 75
B. FORUM SHOPPING DOES NOT GENERALLY INTERFERE WITH THE
NORMATIVE FOUNDATIONS OF INTERNATIONAL INVESTMENT LAW 75
I. FORUM SHOPPING AS A THREAT TO STATES POLICY AND
LAW MAKING POWER? 77
TABLE OF CONTENT XI
II. FORUM SHOPPING AS A THREAT TO LEGAL CERTAINTY AND PREDICTABILITY? ..
78
III. FORUM SHOPPING AS A THREAT TO INTERNATIONAL INVESTMENT LAW S
DISCRIMINATIVE NATURE ? 81
1. LEVEL-PLAYING FIELD AMONGST FOREIGN INVESTORS 81
2. LEVEL-PLAYING FIELD IN THE CONTEXT OF FOREIGN AND
DOMESTIC INVESTORS 82
3. LEVEL-PLAYING FIELD BETWEEN STATES AND INVESTORS 83
4. FORUM SHOPPING AS A THREAT TO STATES SOVEREIGNTY? 84
5. SUMMARY 85
IV. FORUM SHOPPING AS A MANIFESTATION OF A GLOBALISED WORLD OF
INTERNATIONAL INVESTMENT? - BILATERALISM VS. MULTILATERALISM? 86
V. CONCLUSION: FORUM SHOPPING IS A GENERALLY LEGITIMATE TECHNIQUE... 87
C. FORUM SHOPPING S GENERAL LEGITIMACY
WITH REGARD TO INVESTMENT CONTRACTS 89
D. SUMMARY 90
CHAPTER 4: FOUNDATION OF POTENTIAL LIMITATIONS TO FORUM SHOPPING 92
A. INTERNATIONAL INVESTMENT ARBITRATION S THREE SOURCES OF LAW 93
I. FORUM SHOPPING CONCERNS SEVERAL ASPECTS OF THE TERM
APPLICABLE LAW 93
II. THE APPLICABLE LAW IN INVESTMENT ARBITRATION 95
1. THE LAW APPLICABLE TO THE ARBITRAL PROCEEDINGS (THE LEX ARBITRI)...
95
(A) IN THE CONTEXT OF AD-HOC AND NON-ICSID
INSTITUTIONAL ARBITRATION 96
(B) IN THE CONTEXT OF ICSID ARBITRATION 99
2. THE LAW APPLICABLE TO THE ARBITRATION AGREEMENT 101
(A) IN THE CONTEXT OF INVESTMENT CONTRACT ARBITRATION 101
(B) IN THE CONTEXT OF INVESTMENT TREATY ARBITRATION 103
III. CONCLUDING REMARKS 105
B. FORUM SHOPPING S POTENTIAL LIMITATIONS
IN INVESTMENT TREATY ARBITRATION 106
I. POTENTIAL LIMITATIONS EXPLICITLY CONTAINED IN IIAS 106
1. LIMITATIONS THAT COULD DERIVE FROM STATES UNILATERAL CONSENT.... 107
2. POTENTIAL LIMITATIONS THAT COULD DERIVE FROM
PROCEDURAL RULES CONTAINED IN IIAS 108
II. FURTHER POTENTIAL LIMITATIONS DERIVED FROM THE APPLICABLE
PROCEDURAL LAW 110
1. GENERAL PRINCIPLES OF PUBLIC INTERNATIONAL LAW:
THE PRINCIPLE OF GOOD FAITH 110
(A) THE PRINCIPLE OF GOOD FAITH GOVERNS THE PERFORMANCE OF
RIGHTS AND OBLIGATIONS ILL
XII TABLE OF CONTENT
(B) THE PRINCIPLE OF GOOD FAITH AS A CORE PRINCIPLE OF
TREATY INTERPRETATION
13
(C) THE TWO SIDES OF THE COIN OF THE PRINCIPLE OF GOOD FAITH 115
2. THE NATIONALITY OF CLAIMS RULES AS A POTENTIAL LIMITATION? 115
III. POTENTIAL LIMITATIONS DERIVED FROM CONTRACTUAL LAW 117
C. FORUM SHOPPING S POTENTIAL LIMITATIONS
IN INVESTMENT CONTRACT ARBITRATION 117
D. SUMMARY 1 ^
CHAPTER 5: FORUM SHOPPING AS A MATTER OF ADMISSIBILITY 120
A. THE CONCEPTS OF JURISDICTION, COMPETENCE, AND ADMISSIBILITY 121
B. INVESTMENT TRIBUNALS APPROACH TO THE CONCEPT OF ADMISSIBILITY 126
C. FORUM SHOPPING SHOULD GENERALLY BE ADDRESSED
AS A MATTER OF ADMISSIBILITY 133
I. IS FORUM SHOPPING TO BE ADDRESSED BY TRIBUNALS EX OFFICIO
(PROPRIO MUTO)? 133
II. FORUM SHOPPING IN THE CONTEXT OF INVESTMENT TREATIES 135
1. FORUM SHOPPING AND TRIBUNALS JURISDICTION 136
2. OBJECTIONS TO THE ADMISSIBILITY OF A PARTICULAR CLAIM 136
(A) FORUM SHOPPING AS A MATTER OF ADMISSIBILITY RATIONE PERSONAE 136
(B) FORUM SHOPPING AS A MATTER OF ADMISSIBILITY RATIONE MATERIAE 138
(C) FORUM SHOPPING AS A MATTER OF ADMISSIBILITY RATIONE TEMPORIS 140
III. FORUM SHOPPING IN THE CONTEXT OF INVESTMENT CONTRACTS 141
IV. FORUM SHOPPING IN THE CONTEXT OF CONTRACT CLAIMS IN
INVESTMENT TREATY ARBITRATION 141
D. SUMMARY 143
PART 2
PARTICULAR LIMITATIONS TO FORUM SHOPPING
CHAPTER 6: LIMITATIONS TO THE TECHNIQUE OF FORUM PLANNING 147
A. STRUCTURING AN INVESTMENT IN ORDER TO BENEFIT FROM THE PROTECTION
OFFERED BY A PARTICULAR HA 147
I. THE NOTION OF CORPORATE NATIONALITY:
COUNTLESS POSSIBILITIES OF INVESTMENT STRUCTURING 150
1. CORPORATE NATIONALITY IN PUBLIC INTERNATIONAL LAW IN GENERAL 152
TABLE OF CONTENT XIII
2. CORPORATE NATIONALITY IN INTERNATIONAL INVESTMENT LAW 154
(A) IIAS PROVIDE FOR BROAD DEFINITIONS OF CORPORATE NATIONALITY .. 154
(B) THE ICSID CONVENTION S JURISDICTIONAL REQUIREMENTS
REGARDING LEGAL PERSONS 162
(C) PRELIMINARY CONCLUSIONS: THE ROLE OF CORPORATE NATIONALITY
IN INVESTMENT TREATY ARBITRATION 165
(D) INHERENT REQUIREMENTS ON CORPORATE NATIONALITY 167
I. SUBSTANTIVE CRITERIA FOR CORPORATE NATIONALITY THROUGH
INTERPRETATION? - RELEVANCE OF THE RULES OF NATIONALITY
OF DIPLOMATIC PROTECTION? 169
II. SUBSTANTIAL BUSINESS ACTIVITIES IN THE STATE OF INCORPORATION
AS A POTENTIAL SOLUTION? 171
III. CONTROL BY NATIONALS OF THE STATE OF INCORPORATION
AS A POTENTIAL SOLUTION - LIFTING THE CORPORATE VEIL? 176
IV. REQUIREMENT OF ACTUAL FOREIGN CAPITAL INVESTED IN THE
HOST STATE? 179
V. CONCLUSIONS 180
(E) NATIONALS OF THE HOST STATE AS THE ULTIMATE BENEFICIARY -
NECESSITY OF A DIFFERENT ASSESSMENT? 182
3. CONCLUSION: TENUOUS CONNECTION OF NATIONALITY OF
CORPORATE INVESTORS 182
LIMITATIONS TO THE TECHNIQUE OF INVESTMENT STRUCTURING 183
1. DENIAL OF BENEFITS CLAUSES AS AN EXPLICIT LIMITATION TO
FORUM PLANNING 184
(A) DENIAL OF BENEFITS CLAUSES -
THEIR PURPOSE AND ABILITY TO COUNTERACT FORUM SHOPPING .... 185
(B) SUBSTANTIVE REQUIREMENTS OF DENIAL OF BENEFITS CLAUSES 188
I. OWNERSHIP OR CONTROL EXERCISED BY THIRD STATES NATIONALS. 191
II. THE MEANING OF THE TERM THIRD STATES 194
III. REQUIREMENT OF SUBSTANTIAL BUSINESS ACTIVITIES 195
IV. ON WHAT POINT IN TIME HAVE THESE CONDITIONS TO BE MET?. 198
(C) IMPLEMENTING DENIAL OF BENEFITS CLAUSES PROCEDURALLY 199
I. STATES HAVE TO INVOKE DENIAL OF BENEFITS CLAUSES 200
II. REQUIRES INVOKING DOB CLAUSES PRIOR NOTICE
TO THE INVESTOR? 204
III. TIME LIMIT IN WHICH STATES HAVE TO INVOKE DENIAL
OF BENEFITS CLAUSES 209
IV. RETROSPECTIVE EFFECT OF DENIAL OF BENEFITS CLAUSES 213
V. BURDEN OF PROOF WITH REGARD TO THE SUBSTANTIVE
REQUIREMENTS OF DENIAL OF BENEFITS CLAUSES 216
(D) CONCLUSIONS 221
2. THE NATIONALITY REQUIREMENT OF CONTINUOUS NATIONALITY 223
XIV TABLE OF CONTENT
3. THE PRINCIPLES OF LIS ALIBI PENDENS AND REX JUDICATA
AS POTENTIAL LIMITATIONS? 224
III. PROCEDURAL IMPLEMENTATION OF LIMITATIONS TO THE TECHNIQUE
OF INVESTMENT STRUCTURING 225
1. LIMITATIONS THAT DERIVE FROM THE CONSENT TO ARBITRATION
CONCERN THE CONCEPT OF JURISDICTION 225
2. LIMITATIONS THAT DERIVE FROM DENIAL OF BENEFITS CLAUSES
CONCERN THE CONCEPT OF ADMISSIBILITY 225
IV. CONCLUSION: GENERAL LEGITIMACY OF INITIAL STRUCTURING OF INVESTMENTS
228
B. FORUM PLANNING THROUGH NEGOTIATING A FORUM SELECTION CLAUSE
(ARBITRATION AGREEMENT) 233
I. THE LAW APPLICABLE TO THE CONSENT TO ARBITRATION IN
INVESTMENT CONTRACTS 233
II. LIMITATIONS THAT DERIVE FROM THE APPLICABLE LAW 234
1. THE STATE S CAPACITY TO AGREE ON ARBITRATION 234
2. THE PRINCIPLE OF STATE IMMUNITY: WAIVER OF STATE IMMUNITY? 237
(A) WAIVER OF STATE IMMUNITY FROM JURISDICTION ~ IMPLICITLY
CONTAINED IN ARBITRATION AGREEMENT? 238
(B) WAIVER OF STATE IMMUNITY FROM EXECUTION POSSIBLE
ANDADVISABLE? 241
III. FACTUAL LIMITATIONS TO THE FORUM-SHOPPING TECHNIQUE
OF ARBITRATION AGREEMENTS 244
IV. FORUM SHOPPING BY ENTERING INTO AN ARBITRATION AGREEMENT
BELONGS TO THE CONCEPT OF JURISDICTION 245
V. CONCLUDING REMARKS 246
C. FORUM PLANNING THROUGH SELECTION OF THE SEAT OF THE ARBITRATION
IN NON-ICSID CONVENTION ARBITRATION 247
I. INTRODUCTORY REMARK: IMPORTANCE OF THE SEAT OF ARBITRATION 247
II. IN THE CONTEXT OF INVESTMENT CONTRACT ARBITRATION 248
1. THE JURIDICAL SEAT OF THE ARBITRATION 249
2. SELECTION OF THE SEAT OF THE ARBITRATION BY AGREEMENT OF THE PARTIES
250
3. SELECTION OF THE SEAT OF THE ARBITRATION FAILING A MUTUAL AGREEMENT
OF THE PARTIES 251
(A) DETERMINATION OF THE SEAT OF THE ARBITRATION UNDER THE ICC
RULES OF ARBITRATION 252
(B) DETERMINATION OF THE SEAT OF THE ARBITRATION UNDER THE
UNCITRAL RULES 253
III. IN THE CONTEXT OF INVESTMENT TREATY ARBITRATION 254
D. FORUM PLANNING UNDERTAKEN BY INDIVIDUAL INVESTORS 258
TABLE OF CONTENT XV
CHAPTER 7: LIMITATIONS TO THE TECHNIQUE OF FORUM ENHANCEMENT 260
A. INTRODUCTORY REMARKS: LEGITIMACY OF, AND POTENTIAL FORMS OF
RESTRUCTURING INVESTMENTS 261
I. LEGITIMACY OF RESTRUCTURING INVESTMENTS? 262
II. POTENTIAL FORMS OF RESTRUCTURING INVESTMENTS 264
B. RESTRUCTURING THROUGH TRANSFER OF SHARES 264
I. LIMITATIONS THAT DERIVE FROM JURISDICTIONAL REQUIREMENTS 265
1. LIMITATIONS THAT DERIVE FROM THE CRITERION RATIONE PERSONAE 265
2. LIMITATIONS THAT DERIVE FROM THE CRITERION RATIONE MATERIAE 266
3. LIMITATIONS THAT DERIVE FROM THE CRITERION RATIONE TEMPORIS .... 266
II. LIMITATIONS THAT DERIVE FROM PARTICULAR CLAUSES ADDRESSING
THE ADMISSIBILITY OF INVESTMENT CLAIMS (DENIAL OF BENEFITS CLAUSES) .
267
III. INVESTMENTS CANNOT BE RESTRUCTURED ONCE A DISPUTE HAS ARISEN ....
267
1. RESTRUCTURING AN INVESTMENT IN ORDER TO SUBMIT CLAIMS
THAT ARE BASED ON PRIOR BREACHES OF AN IIA 271
(A) THE RULE OF CONTINUOUS NATIONALITY AS A POTENTIAL JUSTIFICATION? 271
(B) THE THESIS SUBMITTED AS AN INHERENT BARRIER TO INVESTMENT
TREATY ARBITRATION 274
I. THE JURISDICTIONAL CRITERION RATIONE TEMPORIS 274
II. THE JURISDICTIONAL CRITERION RATIONE PERSONAE: INTERPRETING
THE DISPUTE SETTLEMENT PROVISION 279
2. RELEVANCE OF THE PRINCIPLE OF GOOD FAITH AND PROHIBITION OF ABUSE
OF RIGHTS AS GENERAL PRINCIPLES OF LAW: ALLEGED SUBSEQUENT
BREACHES OF IIAS 281
(A) DISTINCTION TO THE AFOREMENTIONED APPROACH: GOOD FAITH
AS AN INHERENT LIMITATION 282
(B) THE JURISPRUDENCE OF INVESTMENT TREATY TRIBUNALS 285
I. PHOENIX ACTION, LTD. V. THE CZECH REPUBLIC 285
II. EUROPE CEMENT INVESTMENT & TRADE S. A. V.
REPUBLIC OF TURKEY 289
III. GUSTAV F W HAMESTER GMBH & CO KG V.
REPUBLIC OF GHANA 290
IV. PAC RIM CAYMAN LLC V. REPUBLIC OF EL SALVADOR 291
V. CONOCOPHILLIPS PETROZUATA B. V., ET AL. V. BOLIVARIAN
REPUBLIC OF VENEZUELA 295
VI. PHILIP MORRIS ASIA LIMITED V. THE COMMONWEALTH
OF AUSTRALIA 298
VII. TRANSGLOBAL GREEN ENERGY, LLC V. THE REPUBLIC OF PANAMA 304
(C) CRITICAL ASSESSMENT OF THE APPROACH 305
I. THE NOTION OF THE PRINCIPLE OF GOOD FAITH AND THE
PROHIBITION OF ABUSE OF RIGHTS 305
XVI TABLE OF CONTENT
II. DETERMINATION OF AN ABUSE OF PROCESS BASED ON AN
OBJECTIVE APPROACH 308
III. THE DECISIVE CRITERION: FORESEEABILITY OF THE FUTURE DISPUTE
AT THE TIME OF THE RESTRUCTURING 311
IV. JUSTIFICATION OF THE RESTRUCTURING: LEGITIMATE BUSINESS
PRACTICES 314
V. BURDEN OF PROOF REGARDING AN ABUSE OF PROCESS 316
VI. PROCEDURAL IMPLEMENTATION OF THE PRINCIPLE OF GOOD FAITH:
LIMITATIONS DERIVED FROM THE PRINCIPLE OF GOOD FAITH
CONCERN THE ADMISSIBILITY OF CLAIMS 317
(D) CONCLUDING REMARKS: A THREEFOLD TEST 320
3. CONCLUSION 323
C. FORUM ENHANCEMENT THROUGH TRANSFER OF CLAIMS 325
I. ASSIGNMENT OF CLAIMS AS A METHOD TO ESTABLISH JURISDICTION? 326
II. CONCLUSION 330
D. FORUM ENHANCEMENT
THROUGH NEGOTIATING A SUBMISSION AGREEMENT 331
E. FORUM PLANNING AND FORUM ENHANCEMENT
UNDERTAKEN BY NATURAL PERSONS 332
I. THE NOTION OF NATIONALITY OF INDIVIDUAL INVESTORS 333
1. THE NOTION OF NATIONALITY OF NATURAL PERSONS IN INTERNATIONAL LAW:
EFFECTIVE LINK PRINCIPLE 333
2. THE NOTION OF NATIONALITY OF NATURAL PERSONS IN INTERNATIONAL
INVESTMENT LAW 337
3. CONCLUDING REMARKS 343
II. NATIONALITY OF CONVENIENCE AS A FORUM-SHOPPING-TECHNIQUE? 345
1. THE MEANING OF THE TERM NATIONALITY OF CONVENIENCE 345
2. ACQUISITION OF A NATIONALITY OF CONVENIENCE AS A FEASIBLE OPTION? 346
(A) ARBITRAL JURISPRUDENCE ON NATIONALITIES OF CONVENIENCE 347
(B) POSSIBLE AREA OF APPLICATION OF THE EFFECTIVE LINK PRINCIPLE? .. 348
(C) CONCLUSION 352
3. INVOKING OR RELYING ON A NATIONALITY OF CONVENIENCE IN CASE
OF DUAL NATIONALS 352
4. CONCLUDING REMARKS 355
III. FURTHER FORUM-SHOPPING POSSIBILITIES 356
1. ESTABLISHMENT OF A CORPORATE VEHICLE SUBSEQUENT TO THE MAKING
OF THE INVESTMENT 357
2. NATIONALS OF THE HOST STATE AS THE ULTIMATE BENEFICIARY -
NECESSITY OF A DIFFERENT VALUATION? 358
(A) PRIMA FACIE FOREIGN CORPORATE INVESTOR OWNED OR CONTROLLED
BY HOST STATE NATIONALS 358
TABLE OF CONTENT XVII
(B) LOCALLY INCORPORATED INVESTOR ULTIMATELY OWNED OR CONTROLLED
BY HOST STATE NATIONALS 364
(C) CONCLUDING REMARKS 368
IV. INDIVIDUALS, THE ROLE OF NATIONALITY, AND FORUM SHOPPING 368
CHAPTER 8: LIMITATIONS TO THE TECHNIQUE OF
FACILITATION OF PROCEDURE 371
A. EXERCISING THE CHOICE: MULTIPLE FORA - SEVERAL TRIES? 371
I. THE CHOICE PROVIDED BY A SINGLE IIAS:
SEVERAL FORA FOR INTERNATIONAL ARBITRATION 374
II. THE CHOICE BETWEEN DOMESTIC COURTS AND TRIBUNALS AND
INVESTMENT TREATY ARBITRATION 375
1. FORK-IN-THE-ROAD CLAUSES AS LIMITATIONS TO THE CHOICE? 376
2. JURISDICTIONAL PRINCIPLES AS LIMITATIONS TO THE CHOICE OF FORUM? ..
381
(A) THE PRINCIPLE OF RES JUDICATA AND ITS APPLICABILITY IN
INVESTMENT TREATY ARBITRATION 382
(B) THE PRINCIPLE OF LIS ALIBI PENDENS
AND ITS APPLICABILITY IN INVESTMENT TREATY ARBITRATION 385
(C) CONCLUDING REMARKS: THE PRINCIPLE OF COMITY AS A SOLUTION? . 388
3. CONTRACTUAL FORUM SELECTION CLAUSES
AS A BAR TO INVESTMENT TREATY ARBITRATION? 389
(A) POTENTIAL OF FORUM SELECTION CLAUSES TO MITIGATE
MULTIPLE PROCEEDINGS: IN RELATION TO DOMESTIC COURTS 391
(B) POTENTIAL OF FORUM SELECTION CLAUSES TO MITIGATE MULTIPLE
PROCEEDINGS: IN RELATION TO INVESTMENT TREATY TRIBUNALS 393
(C) CAN INVESTORS WAIVE THEIR RIGHTS TO ACCESS INVESTMENT
TREATY ARBITRATION? 399
(D) CONCLUDING REMARKS: THE CRUCIAL DICHOTOMY OF TREATY
AND CONTRACT CLAIMS 401
III. THE CHOICE BETWEEN SEVERAL INVESTMENT TREATY TRIBUNALS 401
1. THE CASE OF INVESTMENT TREATY ARBITRATIONS UNDER DIFFERENT BITS.. 403
2. THE CASE OF INVESTMENT TREATY ARBITRATION UNDER OVERLAPPING IIAS 407
3. RELATIONSHIP OF INVESTMENT TREATY TRIBUNALS IS GOVERNED
BY THE PLURALITY OF IIAS 411
IV. CONCLUSIONS: POTENTIAL OF MULTIPLE PROCEEDINGS IS INHERENT IN
INTERNATIONAL INVESTMENT LAW 411
B. FORUM SHOPPING BY INVOKING MOST-FAVOURED-NATION CLAUSES 414
I. THE BEGINNING OF THE STORY AND ITS SUBSEQUENT DEVELOPMENT 417
1. THE DECISION IN EMILIO AGUSTIN MAFFEZINI V.
THE KINGDOM OF SPAIN 418
2. THE SUBSEQUENT JURISPRUDENCE OF INVESTMENT TRIBUNALS,
STATE PRACTICE, AND SCHOLARLY COMMENTS 422
XVIII TABLE OF CONTENT
(A) INVESTMENT TREATY TRIBUNALS REASONING FOR AND AGAINST
APPLYING MFN CLAUSES TO DISPUTE SETTLEMENT PROVISIONS:
DIFFERENT NORMATIVE APPROACHES 428
(B) THE DICHOTOMY OF JURISDICTION AND ADMISSIBILITY
IN RECENT JURISPRUDENCE 434
3. CONCLUDING REMARKS 442
II. APPLICABILITY OF MFN CLAUSES TO PROCEDURAL STANDARDS OF INVESTMENT
PROTECTION: JUSTIFICATION OF AN APPROACH TO DISTINGUISH BETWEEN
JURISDICTION AND ADMISSIBILITY 443
1. THE PURPOSE AND THE ORDINARY MEANING OF MFN TREATMENT
ALLOWS FOR APPLICATION OF MFN CLAUSES 446
2. WHAT IS A MORE FAVOURABLE TREATMENT RELATING TO
DISPUTE SETTLEMENT? 450
3. LIMITATIONS TO MFN CLAUSES APPLICABILITY TO DISPUTE SETTLEMENT
PROVISIONS: THE DISTINCTION BETWEEN JURISDICTION AND
ADMISSIBILITY 454
(A) ARE MAFFEZINI V. SPAIN S PUBLIC POLICY BASED EXCEPTIONS
JUSTIFIED? 455
(B) DISTINGUISHING BETWEEN JURISDICTION AND ADMISSIBILITY
RESPECTS THE SCOPE OF STATES CONSENT 457
(C) PRINCIPLES OF INTERNATIONAL ARBITRATION DO NOT HINDER MFN
CLAUSES APPLICABILITY TO MATTERS OF ADMISSIBILITY 461
4. CONSEQUENCES OF SUCH AN APPROACH FOR FORUM SHOPPING:
CHERRY-PICKING? 463
5. A REASONABLE APPROACH THAT HAS BEEN INHERENT IN ARBITRAL
JURISPRUDENCE TO DATE 468
III. CONCLUSIONS 469
C. FORUM SHOPPING DURING RECOGNITION, ENFORCEMENT, OR EXECUTION
OF ARBITRAL AWARDS 471
PART 3
POSSIBLE OPTIONS TO RESTRICT
FORUM SHOPPING AND CONCLUDING REMARKS
CHAPTER 9: PROSPECT AND POSSIBLE OPTIONS FOR STATES
TO LIMIT FORUM SHOPPING 475
A. SPECIFYING (PROCEDURAL) PROVISIONS OFHAS 476
I. NARROWING THE SCOPE OF DISPUTE SETTLEMENT PROVISIONS 477
1. REDEFINING CORPORATE NATIONALITY 478
TABLE OF CONTENT XIX
(A) POTENTIAL NEGATIVE EFFECTS OF THE CURRENT STATE OF LAW 478
(B) WHICH CRITERION IS BEST SUITED TO BE INTRODUCED TO FOSTER
THE QUALITY OF THE BOND OF NATIONALITY? 479
(C) PROPOSAL FOR REDEFINING CORPORATE NATIONALITY IN INTERNATIONAL
INVESTMENT LAW 482
2. NATURAL PERSONS: CLARIFYING THE POSITION OF DUAL NATIONALS 483
II. SPECIFYING THE APPLICATION OF DENIAL OF BENEFITS CLAUSES 485
1. SUBSTANTIVE REQUIREMENTS OF THE DENIAL OF BENEFITS 488
2. BURDEN OF PROOF REGARDING THE SUBSTANTIVE REQUIREMENTS 489
3. TIMELINESS OF THE EXERCISE OF THE RIGHT 490
4. CONSEQUENCES OF AN EFFECTIVE AND SUCCESSFUL EXERCISE OF THE RIGHT 492
B. CODIFYING THE JURISPRUDENCE ON THE PRINCIPLE OF GOOD FAITH? 492
C. THE ISSUE OF MOST-FAVOURED-NATION TREATMENT AND
PROCEDURAL STANDARDS OF INVESTMENT PROTECTION 494
CHAPTER 10: CONCLUDING REMARKS 497
A. NATIONALITY IN INVESTMENT TREATY ARBITRATION:
TENUOUS CONNECTION 499
B. THE LEGITIMACY AND ILLEGITIMACY OF STRUCTURING AND RESTRUCTURING
INVESTMENTS: A THIN DIVIDING-LINE 502
C. UNRESOLVED ISSUES THAT ARE BEYOND THE SCOPE
OF THE PRESENT RESEARCH 507
D. FORUM SHOPPING IS A REALITY IN INTERNATIONAL INVESTMENT LAW 509
BIBLIOGRAPHY 511
TABLE OF CASES 533
TABLE OF TREATIES 547
INDEX 553
|
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| id | DE-604.BV044430235 |
| illustrated | Not Illustrated |
| indexdate | 2024-12-24T06:07:48Z |
| institution | BVB |
| isbn | 9783161553240 3161553241 |
| language | English |
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| physical | XIX, 557 Seiten |
| publishDate | 2017 |
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| series | Tübinger rechtswissenschaftliche Abhandlungen |
| series2 | Tübinger rechtswissenschaftliche Abhandlungen |
| spellingShingle | Ebert, Björn P. Forum Shopping in international investment law forum planning, forum enhancement, and facilitation of procedure : assessment and limits Tübinger rechtswissenschaftliche Abhandlungen Forum Shopping (DE-588)7527901-0 gnd Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 gnd Internationales Wirtschaftsrecht (DE-588)4027461-5 gnd Investition (DE-588)4027556-5 gnd |
| subject_GND | (DE-588)7527901-0 (DE-588)4162055-0 (DE-588)4027461-5 (DE-588)4027556-5 (DE-588)4113937-9 |
| title | Forum Shopping in international investment law forum planning, forum enhancement, and facilitation of procedure : assessment and limits |
| title_auth | Forum Shopping in international investment law forum planning, forum enhancement, and facilitation of procedure : assessment and limits |
| title_exact_search | Forum Shopping in international investment law forum planning, forum enhancement, and facilitation of procedure : assessment and limits |
| title_full | Forum Shopping in international investment law forum planning, forum enhancement, and facilitation of procedure : assessment and limits Björn P. Ebert |
| title_fullStr | Forum Shopping in international investment law forum planning, forum enhancement, and facilitation of procedure : assessment and limits Björn P. Ebert |
| title_full_unstemmed | Forum Shopping in international investment law forum planning, forum enhancement, and facilitation of procedure : assessment and limits Björn P. Ebert |
| title_short | Forum Shopping in international investment law |
| title_sort | forum shopping in international investment law forum planning forum enhancement and facilitation of procedure assessment and limits |
| title_sub | forum planning, forum enhancement, and facilitation of procedure : assessment and limits |
| topic | Forum Shopping (DE-588)7527901-0 gnd Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 gnd Internationales Wirtschaftsrecht (DE-588)4027461-5 gnd Investition (DE-588)4027556-5 gnd |
| topic_facet | Forum Shopping Internationale Schiedsgerichtsbarkeit Internationales Wirtschaftsrecht Investition Hochschulschrift |
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