Third-party Funding in International Arbitration and its impact on procedure:
Saved in:
| Main Author: | |
|---|---|
| Format: | Thesis Book |
| Language: | English |
| Published: |
Alphen aan den Rijn, The Netherlands
Kluwer Law International
© 2016
|
| Series: | International arbitration law library
volume 35 |
| Subjects: | |
| Online Access: | http://www.kluwerarbitration.com/CommonUI/book-toc.aspx?book=TOC-Goeler-2015 Inhaltsverzeichnis |
| Item Description: | Includes bibliographical references (pages 439-462) and index |
| Physical Description: | XXXVI, 481 Seiten |
| ISBN: | 9789041150158 9041150153 |
Staff View
MARC
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| 245 | 1 | 0 | |a Third-party Funding in International Arbitration and its impact on procedure |c Jonas von Goeler |
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| 490 | 1 | |a International arbitration law library |v volume 35 | |
| 500 | |a Includes bibliographical references (pages 439-462) and index | ||
| 502 | |b Dissertation |c Universität Mannheim |d 2015 | ||
| 650 | 4 | |a Arbitration (International law) | |
| 650 | 4 | |a Arbitration (International law) |x Costs | |
| 650 | 4 | |a Third party litigation funding | |
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Record in the Search Index
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| adam_text | TABLE OF CONTENTS
FOREWORD XXIII
PREFACE XXVII
LIST OF ABBREVIATIONS XXIX
CHAPTER 1
INTRODUCTION 1
§1.01 THE DILEMMA OF COSTS IN INTERNATIONAL ARBITRATION AND A WAY OUT 1
§1.02 TERMINOLOGY: LITIGATION FUNDING AND THIRD-PARTY FUNDING 2
§1.03 LITIGATION FUNDING: PERSPECTIVES, PERCEPTIONS, AND EMOTIONS 3
§1.04 DEALING WITH REALITY: INTERNATIONAL ARBITRAL PROCEDURES INVOLVING
FUNDED PARTIES 4
§1.05 AIM AND METHOD OF THIS WORK 6
§1.06 SCOPE AND STRUCTURE OF THIS WORK 7
PART I
THIRD-PARTY FUNDING IN INTERNATIONAL ARBITRATION 9
CHAPTER 2
THE VARIOUS FORMS OF THIRD-PARTY FUNDING IN INTERNATIONAL ARBITRATION 11
§2.01 LITIGATION FUNDING AGREEMENTS 12
[A] CASE ASSESSMENT 13
[1] THE ASSESSMENT PROCESS 13
[A] INITIATIVE AND TIMING 13
[B] A MULTI-STEP PROCESS 14
[C] A MULTI-DISCIPLINARY AND RIGOROUS PROCESS 14
[D] TIME AND COSTS 16
[E] EXCLUSIVITY PERIOD, CONFIDENTIALITY AGREEMENT, AND
WAIVER OF COUNSEL S PROFESSIONAL SECRECY 17
VN
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[2] THE ASSESSMENT CRITERIA 18
[A] QUANTUM OF THE CLAIM 18
[B] INVESTMENT COSTS AND TIME UNTIL EXPECTED RECOVERY 19
[C] FACTS, LAW, AND EVIDENCE 20
[D] RESPONDENT SOLVENCY AND ENFORCEABILITY OF THE
AWARD 20
[E] THE CLAIMANT S LEGAL TEAM 21
[F] THE DECISION MAKERS INVOLVED 21
[G] PORTFOLIO MANAGEMENT CONSIDERATIONS AND
INVESTMENT POLICY 22
[H] PREVIOUS UNSUCCESSFUL ATTEMPTS AT OBTAINING
FUNDING FOR THE CLAIM 22
[3] THE ASSESSMENT METHODOLOGY 23
[A] APPROACHES 23
[B] THE CLAIM S PROBABILITY OF SUCCESS; SELECTION RATES 25
[4] CASE ASSESSMENT AND THE FUNDER S ABILITY TO EXERT CONTROL
OVER THE CLAIM 26
[B] THE LITIGATION FUNDING AGREEMENT: INVESTMENT AND RETURN 28
[1] THE FUNDER S INVESTMENT 28
[A] COST CATEGORIES 28
[B] CASE BUDGET 29
[2] THE FUNDER S RETURN 30
[C] THE LITIGATION FUNDING AGREEMENT AND ANCILLARY AGREEMENTS:
FURTHER ESSENTIAL TERMS 32
[1] OBLIGATIONS OF THE FUNDED PARTY RELATING TO CASE
ASSESSMENT AND CASE MONITORING 32
[2] RISK SHARING WITH COUNSEL 33
[3] PRIORITIES AGREEMENT 34
[4] CONTROL RIGHTS OF THE FUNDER 35
[5] TERMINATION RIGHTS OF THE FUNDER 35
[6] DISPUTE RESOLUTION CLAUSES 37
[7] CONFIDENTIALITY AGREEMENT AND NONDISCLOSURE AGREEMENT 38
[D] CASE MONITORING 39
[1] THE MONITORING PROCESS 39
[2] CASE MONITORING AND THE FUNDER S ABILITY TO EXERT CONTROL
OVER THE CLAIM 41
[A] CONTROL VIA CONTRACTUAL RIGHTS TO CONTROL STRATEGIC
DECISIONS 41
[B] CONTROL VIA CASE BUDGETING 42
[C] CONTROL VIA TERMINATION RIGHTS AND PROVISIONS ON
THE CONSEQUENCES OF SETTLEMENT 44
[D] RESTRICTIONS ON CONTROL DEPENDING ON APPLICABLE
LAW 45
VM
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[3] CASE MONITORING AND ALIGNMENT OF INTERESTS 46
[4] RESULT 48
[E] LITIGATION FUNDING AGREEMENTS FOR RESPONDENTS 49
[F] RELATED BUT LESS STANDARDIZED TRANSACTIONS: LITIGATION FINANCE 50
§2.02 OTHER FORMS OF THIRD-PARTY FUNDING 51
[A] SUCCESS BASED LEGAL FEE ARRANGEMENTS 51
[1] CONTINGENCY FEE ARRANGEMENTS 52
[2] CONDITIONAL FEE ARRANGEMENTS 52
[B] INSURANCE POLICIES 53
[1] LEGAL EXPENSES INSURANCE 53
[A] BEFORE-THE-EVENT INSURANCE 53
[B] AFTER-THE-EVENT INSURANCE 53
[2] LIABILITY INSURANCE 54
[A] BEFORE-THE-EVENT INSURANCE FOR LIABILITY 54
[B] AFTER-THE-EVENT INSURANCE FOR LIABILITY 54
[3] POLITICAL RISK INSURANCE IN THE CONTEXT OF INVESTMENT
PROTECTION 56
[C] LOAN AGREEMENTS 56
[D] CORPORATE FINANCE INSTRUMENTS 56
[E] FACTORING 57
[F] LEGAL AID 57
[G] STRATEGIC THIRD-PARTY FUNDING 58
§2.03 COMPARISON OF LITIGATION FUNDING WITH OTHER FORMS OF THIRD-PARTY
FUNDING 59
[A] QUALIFICATION OF THE LITIGATION FUNDING AGREEMENT AS AN
EXISTING TYPE OF CONTRACT UNDER GERMAN LAW AND FRENCH LAW 60
[1] GERMAN LAW: ATYPICAL SILENT PARTNERSHIP 60
[2] FRENCH LAW: CONTRACT SUI GENERIS 61
[B] THE DEBATE IN INTERNATIONAL ARBITRATION: IN SEARCH OF DEFINITIONS 61
[1] THE RELEVANCE AND PURPOSES OF DEVELOPING DEFINITIONS 62
[2] LITIGATION FUNDING AND OTHER FORMS OF THIRD-PARTY
FUNDING: DIFFERENCES AND SIMILARITIES 63
[A] LITIGATION FUNDING AS FOR-PROFIT FUNDING 63
[B] LITIGATION FUNDING AS A DIRECT INVESTMENT IN THE
CLAIM 64
[C] LITIGATION FUNDING AS A SPECIALIZED INVESTMENT IN
THE CLAIM 65
[D] LITIGATION FUNDING AND PROFESSIONAL RULES 65
[E] LITIGATION FUNDING AND THE ABILITY TO POOL AND
SPREAD RISK 66
[F] LITIGATION FUNDING AND SECONDARY MARKETS IN
LEGAL CLAIMS 66
[G] LITIGATION FUNDING AND SUCCESS BASED LEGAL FEE
ARRANGEMENTS 67
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[H] LITIGATION FUNDING AND INSURANCE 68
[I] LITIGATION FUNDING AND LOANS 68
[3] CONSEQUENCES FOR APPROACHING DISCLOSURE IN
INTERNATIONAL ARBITRATION PROCEEDINGS 68
[C] RESULT 70
CHAPTER 3
LITIGATION FUNDING IN INTERNATIONAL ARBITRATION 73
§3.01 THE RISE OF LITIGATION FUNDING AS A MEANS OF FINANCING
INTERNATIONAL
ARBITRATION PROCEEDINGS 74
[A] THE SUPPLY 74
[1] FUNDERS OF INTERNATIONAL ARBITRATION PROCEEDINGS 75
[2] CAPITAL RAISED AND INVESTMENT ACTIVITY 77
[B] THE DEMAND 80
§3.02 THE POLICY DEBATE: BENEFITS AND RISKS ASSOCIATED WITH LITIGATION
FUNDING IN INTERNATIONAL ARBITRATION 82
[A] POTENTIAL BENEFITS OF LITIGATION FUNDING 82
[1] PROMOTES ACCESS TO JUSTICE 82
[A] FINANCIALLY DISTRESSED AND FINANCIALLY STABLE PARTIES 83
[B] LIMITATIONS 84
[C] IMPECUNIOUS PARTIES AND AGREEMENT TO ARBITRATE 85
[2] LEVELS THE PLAYING FIELD 87
[B] POTENTIAL RISKS OF LITIGATION FUNDING 88
[1] COMMODIFIES CLAIMS 88
[2] STIRS UP DISPUTES 91
[A] CONTRIBUTES TO MORE ARBITRATION DISPUTES 91
[B] ENCOURAGES FRIVOLOUS CLAIMS 92
[3] DISCOURAGES SETTLEMENT 95
[4] BURDENS THE ATTORNEY-CLIENT RELATIONSHIP 96
[A] LITIGATION FUNDERS WILL ASSUME CONTROL 97
[B] THREATENS COUNSEL S INDEPENDENCE AND IMPARTIALITY 98
[C] COMPROMISES LOYALTY TO THE CLIENT 99
[D] CONFLICTS WITH PROFESSIONAL SECRECY OBLIGATIONS 100
[E] MIGHT CAUSE WAIVER OF OTHERWISE APPLICABLE
PRIVILEGE PROTECTION 101
[F] CREATES ADDITIONAL DUTIES FOR COUNSEL TO INFORM
AND TO ADVISE ABOUT LITIGATION FUNDING 101
[C] THE DEBATE IN THE CONTEXT OF INTERNATIONAL INVESTMENT
ARBITRATION 102
§3.03 THE REGULATION OF LITIGATION FUNDING IN INTERNATIONAL ARBITRATION
104
[A] STRUCTURING THE DISCUSSION 105
[B] THE ALF CODE 106
[C] FURTHER REGULATORY ATTEMPTS AND FUTURE DIRECTIONS 108
[1] HOLISTIC APPROACHES TO THE REGULATION OF LITIGATION FUNDING 109
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[A] GENERAL PROHIBITION 109
[B] REGULATION ON THE ARBITRATION LEVEL 109
[C] REGULATION IN THE UNITED STATES 110
[D] REGULATION IN AUSTRALIA 110
[E] REGULATION IN FRANCE 111
[F] REGULATION ON THE EUROPEAN UNION LEVEL 111
[2] REGULATING FINANCIAL ASPECTS 111
[A] CAPITAL ADEQUACY 111
[B] CAPITAL MARKETS 112
[I] SECURITIZATION OF CLAIMS 112
[II] CORPORATE GOVERNANCE RULES FOR THE FUNDING
OF LISTED COMPANIES 113
[3] REGULATING PROFESSIONAL CONDUCT 116
[4] REGULATING PROCEDURAL ASPECTS 117
§3.04 SUMMARY 117
PART II
IMPACT OF THIRD-PARTY FUNDING ON ARBITRAL PROCEDURE 121
A FACT-FINDING AND EVIDENCE-TAKING 123
CHAPTER 4
DISCLOSURE OF THIRD-PARTY FUNDING IN INTERNATIONAL ARBITRATION
PROCEEDINGS 125
§4.01 NO GENERAL DUTY OR PRACTICE TO DISCLOSE THIRD-PARTY FUNDING AS
SUCH 126
[A] NO GENERAL DUTY OR PRACTICE TO DISCLOSE 126
[B] VOLUNTARY DISCLOSURE AND INADVERTENT DISCLOSURE 127
[C] DISCLOSURE FOR REASONS NOT LINKED TO THE ARBITRATION
PROCEEDINGS 128
[1] DISCLOSURES BY LISTED FUNDED PARTIES AND FUNDERS TO
COMPLY WITH PUBLIC DISCLOSURE REQUIREMENTS 128
[2] DISCLOSURE FOLLOWING DISPUTES BETWEEN FUNDED
PARTY AND FUNDER 128
[D] INTERIM RESULT 130
[E] STATUTORY DISCLOSURE RULES IN THE CONTEXT OF (CLASS) LITIGATION 130
§4.02 DUTIES TO DISCLOSE FACTS RELATED TO THIRD-PARTY FUNDING IN ORDER
TO
HANDLE SPECIFIC PROCEDURAL ISSUES 131
[A] HANDLING DISCLOSURE BASED ON ESTABLISHED RULES AND PRACTICES 132
[1] IBA GUIDELINES 2014 133
[2] STANDARDS GOVERNING DOCUMENT PRODUCTION 133
[A] ARBITRAL CASES HANDLING DISCLOSURE OF FUNDING
AGREEMENTS BASED ON GENERAL STANDARDS OF
DOCUMENT PRODUCTION 134
[B] APPROACHING DISCLOSURE OF FUNDING AGREEMENTS
BASED ON ARTICLES 3 AND 9 IBA RULES ON EVIDENCE 137
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[3] INTERIM RESULT 140
[B] TRENDS TOWARDS A GENERAL DUTY TO DISCLOSE THIRD-PARTY
FUNDING - AND WHY THEY SHOULD NOT BE FOLLOWED 141
[1] BROADER IMPLICATIONS OF THIRD-PARTY FUNDING INVOKED
TO JUSTIFY DISCLOSURE: A CLOSER LOOK 142
[A] REGULATING THE RELATIONSHIP BETWEEN FUNDED
PARTY AND FUNDER 142
[B] ENSURING PROCEDURAL EQUALITY 145
[C] TAKING INTO ACCOUNT ETHICAL RULES PROHIBITING THE
FUNDING STRUCTURE BEHIND A PARTY IN ARBITRATION 146
[D] PROCEDURAL GOOD FAITH AND COUNSEL S DUTY OF
CANDOUR 146
[E] ARBITRATOR PROACTIVITY 148
[2] INTERIM RESULT: APPROACHES TOWARDS DISCLOSURE -
THINKING INSIDE THE BOX VERSUS THINKING OUTSIDE THE BOX 149
[3] MAINTAINING THE CURRENT DISCLOSURE REGIME IS PREFERABLE 150
[A] IMPOSING GENERAL DISCLOSURE OF THIRD-PARTY
FUNDING IS UNWORKABLE 151
[B] IMPOSING GENERAL DISCLOSURE OF THIRD-PARTY
FUNDING IS UNNECESSARY 154
[C] ADDRESSING PRIVILEGE CONCERNS AND RISKS OF
ADVERSE INFLUENCE ON THE TRIBUNAL 158
§4.03 CONCLUSION 160
CHAPTER 5
PRIVILEGE PROTECTION OF DOCUMENTARY EVIDENCE AND THIRD-PARTY FUNDING 163
§5.01 PRIVILEGE AND WAIVER IN INTERNATIONAL ARBITRATION PROCEEDINGS:
LEGAL FRAMEWORK AND DISCRETIONARY APPROACHES 165
[A] LEX ARBITRI 165
[B] PARTY AGREEMENT 165
[C] ARBITRATOR DISCRETION 166
[D] RESULT AND CONSEQUENCES FOR THE FOLLOWING ANALYSIS 169
§5.02 PRIVILEGE APPLICABLE TO LITIGATION FUNDING-RELATED DOCUMENTS AND
POTENTIAL WAIVER OF PRIVILEGE BY EXCHANGE OF DOCUMENTS WITH
LITIGATION FUNDERS 169
[A] DISCLOSURE OF LITIGATION FUNDING IN THE CONTEXT OF DOCUMENT
PRODUCTION REQUESTS 171
[1] DISCLOSURE OF A LITIGATION FUNDER S EXISTENCE AS A
PRECONDITION FOR DOCUMENT PRODUCTION REQUESTS 171
[2] INTERRELATIONSHIP BETWEEN SPECIFICITY/RELEVANCE/
MATERIALITY AND PRIVILEGE DEFENCES 172
[3] CAN DOCUMENT PRODUCTION BE ORDERED DIRECTLY
AGAINST THE LITIGATION FUNDER? 173
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[B] DOCUMENTS CREATED BY COUNSEL AND SHARED WITH LITIGATION
FUNDERS 174
[1] ARGUMENTS AGAINST PRIVILEGE PROTECTION 175
[A] LEADER TECHS, V. FACEBOOK 175
[B] MAIN ARGUMENT FLOWING FROM LEADER TECHS, V.
FACEBOOK: LACK OF COMMON INTEREST WITH LITIGATION
FUNDER, IN PARTICULAR WHERE NO FUNDING AGREEMENT
HAS BEEN CONCLUDED 177
[I] APPROACHING THE COMMON INTEREST ISSUE FROM
A REASONABLE EXPECTATIONS PERSPECTIVE 178
[II] WHERE NO FUNDING AGREEMENT HAS BEEN
CONCLUDED 180
[III] RESULT: FORMAL DISTINCTION BETWEEN COMMON
LEGAL AND COMMERCIAL INTERESTS UNPERSUASIVE
FROM A REASONABLE EXPECTATIONS PERSPECTIVE 180
[C] BRAY & GILLESPIE MANAGEMENT LLC V. LEXINGTON
INSURANCE CO. 181
[D] LACK OF INDUSTRY-SPECIFIC CONFIDENTIALITY
REQUIREMENTS FOR LITIGATION FUNDERS 181
[2] ARGUMENTS IN FAVOUR OF PRIVILEGE PROTECTION 182
[A] MONDIS TECHNOLOGY LTD. V. LG ELECTRONICS, INC. 182
[B] DEVON IT, INC. V. IBM CORP. 184
[C] WALKER DIGITAL, LLC V. GOOGLE, INC. 186
[D] ARGUMENTS BY ANALOGY BETWEEN LITIGATION FUNDERS
AND OTHER THIRD PARTIES 187
[I] INDEPENDENT AUDITORS 187
[II] PROSPECTIVE BUYERS OF COMPANIES IN LITIGATION 188
[III] INSURERS AND COUNSEL OPERATING UNDER SUCCESS
BASED LEGAL FEE ARRANGEMENTS 188
[3] SUMMARY ASSESSMENT 190
[4] RESULT 192
[C] DOCUMENTS CREATED BY LITIGATION FUNDERS AND SHARED WITH
COUNSEL 192
[1] APPLICABILITY OF PRIVILEGE: DISCUSSION 192
[2] RESULT 194
[D] LITIGATION FUNDING AGREEMENTS AND RELATED COMMUNICATIONS 195
[1] APPLICABILITY OF PRIVILEGE 195
[A] INTERRELATIONSHIP WITH SPECIFICITY, RELEVANCE, AND
MATERIALITY 195
[B] DISCUSSION 196
[C] SYNTHESIS 198
[2] WAIVER OF APPLICABLE PRIVILEGE 199
[A] IN CASE OF VOLUNTARY DISCLOSURE 200
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[B] WHERE THE LITIGATION FUNDING AGREEMENT ENTERS THE
PUBLIC DOMAIN 200
§5.03 CONCLUSIONS: GUIDELINES 201
[A] GUIDELINE 5A 202
[B] GUIDELINE 5B 202
[C] GUIDELINE 5C 202
[D] CONCLUDING REMARKS 203
B ARBITRATION-SPECIFIC ISSUES 205
CHAPTER 6
JURISDICTIONAL ISSUES AND THIRD-PARTY FUNDING 207
§6.01 JURISDICTIONAL ISSUES IN INTERNATIONAL COMMERCIAL ARBITRATION 208
[A] THE FUNDER AS A NON-SIGNATORY TO THE ARBITRATION AGREEMENT 209
[B] RELEVANT PROCEDURAL SCENARIOS FOR DETERMINING JURISDICTION 210
[1] INCLUSION OF THE FUNDER AS AN ADDITIONAL PARTY BY
WAY OF JOINDER 210
[A] INCLUSION TO ESTABLISH LIABILITY 211
[B] INCLUSION TO ESTABLISH LIABILITY FOR COSTS 211
[C] OTHER POTENTIAL REASONS FOR INCLUSION 211
[D] PROCEDURAL MECHANISM: JOINDER 212
[2] SUBSTITUTION OF THE FUNDED PARTY BY VIRTUE OF
ASSIGNMENT OR SUBROGATION 212
[C] INCLUSION OF THE FUNDER AS AN ADDITIONAL PARTY TO THE
ARBITRATION 214
[1] IMPLIED CONSENT 214
[2] GROUP OF COMPANIES DOCTRINE 216
[3] NON-CONSENSUAL THEORIES 217
[A] ESTOPPEL 217
[B] ALTER EGO 218
[4] JURISDICTIONAL APPROACH 219
[5] RESULT AND CONSEQUENCES FOR THE CONDUCT OF ARBITRAL
PROCEEDINGS 219
[D] SUBSTITUTION OF THE FUNDED PARTY BY THE FUNDER 221
[1] ASSIGNMENT 221
[A] WHERE THE FUNDING AGREEMENT STIPULATES AN
EXPRESS ASSIGNMENT OF RIGHTS UNDER THE MAIN
CONTRACT 222
[B] WHERE THE FUNDING AGREEMENT DOES NOT STIPULATE
AN EXPRESS ASSIGNMENT 222
[2] SUBROGATION 223
[E] CONCLUSION: GUIDELINES 224
[1] GUIDELINE 6.01A 224
[2] GUIDELINE 6.01B 224
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[3] CONCLUDING REMARKS 224
§6.02 JURISDICTIONAL ISSUES IN INTERNATIONAL INVESTMENT ARBITRATION 225
[A] THIRD-PARTY FUNDING IN THE CONTEXT OF INVESTMENT TREATY
JURISDICTION 225
[B] THE FUNDED CLAIMANT AND THE FUNDING AGREEMENT S IMPACT
ON THE FUNDED CLAIM S ADMISSIBILITY 228
[1] ANALYSIS OF ARBITRAL CASE LAW 228
[A] CSOB V. SLOVAKIA 228
[B] COMPAFIIA DE AGUAS DEL ACONQUIJA S.A. AND
VIVENDI UNIVERSAL S.A. V. ARGENTINE REPUBLIC 230
[C] TEINVER S.A., TRANSPORTES DE CERCAM AS S.A. AND
AUTOBUSES URBANOS DEL SUR S.A. V. THE ARGENTINE
REPUBLIC 231
[D] ROSINVESTCO UK LTD. V. THE RUSSIAN FEDERATION 233
[E] SALUKA INVESTMENTS BV V. THE CZECH REPUBLIC 234
[F] QUASAR DE VALORES V. THE RUSSIAN FEDERATION 235
[G] L.E.S.I. - DIPENTA V. ALGERIA / BIVAC B.V. V.
PARAGUAY 236
[H] ABACLAT AND OTHERS V. THE ARGENTINE REPUBLIC /
AMBIENTE UFFICIO S.P.A. AND OTHERS V. THE
ARGENTINE REPUBLIC / GIOVANNI ALEMANNI AND
OTHERS V. THE ARGENTINE REPUBLIC 237
[2] SUMMARY ASSESSMENT: GUIDELINES 239
[A] GUIDELINE 6.02A: FUNDING AGREEMENT DOES NOT
AFFECT JURISDICTION IF EFFECTIVE AFTER THE INITIATION OF
PROCEEDINGS 240
[B] GUIDELINE 6.02B: TRANSFER OF ECONOMIC INTEREST TO
THE FUNDER BEFORE INITIATION OF PROCEEDINGS DOES
NOT AFFECT JURISDICTION 240
[C] GUIDELINE 6.02C: TRANSFER OF CASE CONTROL TO THE
FUNDER BEFORE INITIATION OF PROCEEDINGS DOES NOT
AFFECT JURISDICTION 241
[I] WHY TRANSFER OF CASE CONTROL MIGHT MATTER 242
[II] HOW TO EVALUATE WHETHER A RELEVANT TRANSFER
OF CASE CONTROL HAS OCCURRED 242
[III] RESULT 244
[D] GUIDELINE 6.02D: TRANSFER OF THE CLAIM TO THE
FUNDER BEFORE INITIATION OF PROCEEDINGS AFFECTS
JURISDICTION 244
[C] THE FUNDER AS CLAIMANT AND THE LIMITS OF TREATY CLAIM
ASSIGNMENT 245
[1] THE DEFINITION OF INVESTMENT 245
[2] THE PRINCIPLE NEMO POTIOREM POTEST TRANSFERE QUAM IPSE
HABET 247
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[3] TREATY SHOPPING AND THE LIMITS OF FREE ASSIGNABILITY 248
[A] TREATY SHOPPING 248
[B] LIMITS OF FREE ASSIGNABILITY IN THE ABSENCE OF
TREATY SHOPPING? 249
[4] CONCLUDING REMARK 249
§6.03 CONCLUSION AND OUTLOOK 250
CHAPTER 7
IMPARTIALITY AND INDEPENDENCE OF ARBITRATORS AND THIRD-PARTY FUNDING 253
§7.01 WHEN TO DISCLOSE: EVALUATING RELATIONSHIPS BETWEEN ARBITRATORS,
LITIGATION FUNDERS, AND FUNDED PARTIES 255
[A] THE REQUIREMENT OF ARBITRATOR IMPARTIALITY AND INDEPENDENCE 255
[1] ARBITRATION LAWS AND RULES 255
[2] IBA GUIDELINES 2014 257
[A] OVERVIEW OF RELEVANT CHANGES 257
[B] AMENDMENTS RELATING TO FUNDING: ANALYSIS 259
[I] GENERAL STANDARD 6 259
[II] GENERAL STANDARD 7 263
[3] OWN APPROACH: A BROADER CONCEPT OF AFFILIATE BASED
ON THE IBA GUIDELINES 2004 263
[B] A BROADER CONCEPT OF AFFILIATE BASED ON THE IBA GUIDELINES
2004: APPLICATION TO SELECT SITUATIONS AND EXAMPLES 267
[1] ONE OF THE PARTIES IS FUNDED BY A LITIGATION FUNDER THAT
SUPPORTS A CLIENT OF THE ARBITRATOR S LAW FIRM IN A
SEPARATE DISPUTE 267
[A] MATERIALITY 267
[B] INVOLVEMENT WITH THE CLAIM 268
[C] RESULT 269
[2] THE ARBITRATOR S LAW FIRM CURRENTLY RENDERS
PROFESSIONAL SERVICES FOR THE LITIGATION FUNDER 269
[3] THE ARBITRATOR IS BIASED TOWARDS OR AGAINST PARTIES
SUPPORTED BY LITIGATION FUNDERS 271
[A] BIAS TOWARDS PARTIES SUPPORTED BY LITIGATION FUNDERS 271
[B] BIAS AGAINST PARTIES SUPPORTED BY LITIGATION FUNDERS 272
[4] THE ARBITRATOR HAS REPEATEDLY BEEN APPOINTED THANKS
TO THE SAME LITIGATION FUNDER 274
[C] CONCLUSIONS 275
§7.02 HOW TO DISCLOSE: IMPLEMENTING DISCLOSURE TO PREVENT CONFLICTS OF
INTEREST 276
[A] THE RISKS FOR ARBITRATOR IMPARTIALITY AND INDEPENDENCE ARISING
FROM UNDISCLOSED THIRD-PARTY FUNDING 276
[1] WHEN FUNDING IS DISCOVERED IN THE COURSE OF THE
ARBITRAL PROCEEDINGS 276
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[2] WHEN FUNDING IS DISCOVERED AFTER THE RENDITION OF THE
ARBITRAL AWARD
[3] RESULT
[B] THE DIFFERENT APPROACHES TO COUNTER THESE RISKS
[1] MANDATORY DISCLOSURE OF THIRD-PARTY FUNDING
(SUPPORTED BY ARBITRAL INSTITUTIONS)
[2] DUTY OF FUNDED PARTY AND FUNDER TO DISCLOSE POTENTIAL
CONFLICTS
[3] DISCUSSION
[A] THE ADVANTAGES OF MANDATORY DISCLOSURE
[B] THE DISADVANTAGES OF MANDATORY DISCLOSURE
[I] LACK OF CONCEPTUAL CLARITY; SPLIT CONFLICTS
STANDARDS
[II] LACK OF COHERENCE AND FEASIBILITY: THE
THIRD-PARTY FUNDING CONFLICTS CHECK TORPEDO
[III] INTERNAL REVIEW BY ARBITRAL INSTITUTIONS RAISES
DUE PROCESS CONCERNS
[IV] THE IDEA TO PROHIBIT ARBITRATORS FROM TAKING
INTO ACCOUNT FUNDING OTHER THAN IN RELATION TO
CONFLICTS OF INTEREST IS PATERNALISTIC
[V] WHO WOULD BE WILLING AND ABLE TO ENFORCE
MANDATORY DISCLOSURE?
[VI] MANDATORY DISCLOSURE IS UNNECESSARY
[C] INTERIM RESULT
[C] RESULT
CHAPTER 8
CONFIDENTIALITY IN INTERNATIONAL ARBITRATION PROCEEDINGS AND THIRD-PARTY
FUNDING
§8.01 THE EXISTENCE AND SCOPE OF CONFIDENTIALITY IN COMMERCIAL AND ICSID
ARBITRATION: OVERVIEW
[A] INTERNATIONAL COMMERCIAL ARBITRATION
[B] ICSID ARBITRATION
§8.02 CONFLICTS BETWEEN CONFIDENTIALITY AND LITIGATION FUNDING
[A] DISCLOSURES FROM FUNDED PARTIES TO FUNDERS FOR PURPOSES OF
CASE ASSESSMENT AND CASE MONITORING
[1] CONFIDENTIALITY INTERESTS AFFECTED
[A] TRIAL BY PRESS RELEASE
[B] DISTRACTION FROM AND AGGRAVATION OF THE DISPUTE
[C] MISUSE OF INFORMATION OBTAINED BY THE FUNDER FOR
FUTURE TRANSACTIONS
[D] DO CONFIDENTIALITY OBLIGATIONS APPLY ALREADY
DURING CASE ASSESSMENT?
[2] POTENTIAL EXCEPTIONS TO CONFIDENTIALITY
279
280
280
281
282
283
283
283
283
285
286
287
288
289
290
291
293
294
295
296
298
299
299
300
301
301
301
302
XVN
TABLE OF CONTENTS
[A] DISCLOSURE TO PROTECT THE FUNDED PARTY S RIGHTS 302
[B] DISCLOSURE TO ADVISORS 304
[C] INTERIM RESULT 305
[3] ASSESSMENT 305
[A] EXCEPTION TO CONFIDENTIALITY SHOULD APPLY 306
[B] SCOPE OF THE EXCEPTION: HOW TO PROTECT
CONFIDENTIALITY INTERESTS 306
[C] DISCLOSURE OF CONFIDENTIAL INFORMATION ONLY TO
DISCLOSED FUNDERS? 308
[D] POTENTIAL CONSEQUENCES OF UNDISCLOSED FUNDING
AND ISSUES ASSOCIATED WITH DISCLOSURE 309
[E] INTERIM RESULT 311
[4] RESULT 312
[B] DISCLOSURES FROM LISTED FUNDED PARTIES AND FUNDERS TO THE
PUBLIC TO COMPLY WITH STATUTORY DISCLOSURE REQUIREMENTS 314
[1] PUBLIC DISCLOSURE EXCEPTIONS TO CONFIDENTIALITY
AND THE DISCLOSURE OF FUNDING 314
[A] DISCLOSURE OF INTERNATIONAL ARBITRATIONS 315
[B] DISCLOSURE OF FUNDING OF INTERNATIONAL ARBITRATIONS
BY LISTED FUNDED COMPANIES 316
[C] DISCLOSURE OF FUNDING OF INTERNATIONAL ARBITRATIONS
BY LISTED FUNDERS 318
[2] INTERIM RESULT: TRANSPARENCY PREVAILS 318
[3] HOW TO PROTECT CONFIDENTIALITY INTERESTS 320
[A] LIMITING THE AMOUNT AND TYPE OF INFORMATION
DISCLOSED TO THE PUBLIC 320
[B] REASONABLE LIMITS REGARDING DISCLOSURE OF
ARBITRATION 320
[C] REASONABLE LIMITS REGARDING DISCLOSURE OF FUNDING
OF AN ARBITRATION 321
[D] PUBLIC DISCLOSURE ONLY FOLLOWING DISCLOSURE OF
LISTED FUNDER TO THE OPPONENT AND THE TRIBUNAL? 322
[4] RESULT 324
[C] OTHER CONFLICTS 325
[1] PRIVACY OF ARBITRAL HEARINGS AND ATTENDANCE OF THE
FUNDER 326
[2] SUBMISSIONS OF THE FUNDER AS AMICUS CURIAE 327
[3] LITIGATION FUNDING AND ACCOUNTABILITY TOWARDS THE PUBLIC 327
§8.03 CONCLUSIONS: GUIDELINES 328
[A] GUIDELINE 8A 328
[B] GUIDELINE 8B 329
[C] CONCLUDING REMARKS 329
XVIN
TABLE OF CONTENTS
C COSTS 331
CHAPTER 9
SECURITY FOR COSTS AND THIRD-PARTY FUNDING 333
§9.01 THE TRIBUNAL S POWER TO ORDER SECURITY FOR COSTS AND RELEVANT
CRITERIA 334
[A] POWER TO ORDER SECURITY FOR COSTS 334
[B] SYNTHESIS OF RELEVANT CRITERIA 336
§9.02 THE IMPACT OF LITIGATION FUNDING ON ORDERING SECURITY FOR COSTS
338
[A] GENERAL CRITERIA NOT AFFECTED BY THE PRESENCE OF A FUNDER 338
[B] FINANCIAL CIRCUMSTANCES OF DIE FUNDED PARTY AND RELATED
QUESTIONS OF EVIDENCE 339
[1] DISCLOSURE OF FUNDING-RELATED FACTS TO ASSESS THE
SECURITY FOR COSTS REQUEST 339
[2] FUNDING AGREEMENT AS AN INDICATION OF THE FUNDED
PARTY S GENERAL FINANCIAL SITUATION 341
[3] FUNDING AGREEMENT AS ADDITIONAL QUANTITATIVE FACTOR
DUE TO INCREASED DEFENCE COSTS? 343
[C] FUNDING AS A MATERIAL CHANGE OF CIRCUMSTANCES? 344
[1] STARTING POINT: THE CONCLUSION OF A LITIGATION
FUNDING AGREEMENT 344
[2] ARBITRAL CASE LAW 346
[A] ORDER OF ICC TRIBUNAL DATED 3 AUGUST 2012 346
[I] SUMMARY 346
[II] COMMENT 347
[B] GUARACACHI AND RURELEC V. BOLIVIA 349
[C] COMMERCE GROUP CORP. AND SAN SEBASTIAN GOLD
MINES V. EL SALVADOR 350
[D] RSM PRODUCTION CORPORATION V. SAINT LUCIA 352
[I] SUMMARY 352
[II] COMMENT 353
[E] KARDASSOPOULOS AND FUCHS V. GEORGIA 355
[3] INTERIM RESULT 355
[A] THE SITUATION IN INVESTMENT ARBITRATION 356
[B] THE SITUATION IN COMMERCIAL ARBITRATION 356
[D] CONDUCT OF THE FUNDED PARTY 357
[1] BAD FAITH: MOVING ASSETS TO SHIELD AGAINST LIABILITY 357
[2] OBTAINING LITIGATION FUNDING WHILE FUNDER IS NOT
RESPONSIBLE FOR ADVERSE COSTS 358
[E] POLICY CONSIDERATIONS 360
[1] AVOIDING ASYMMETRIES IN TREATMENT BETWEEN CLAIMANTS
AND RESPONDENTS 360
[A] ORDERING SECURITY PAYMENT AGAINST RESPONDENTS? 360
XIX
TABLE OF CONTENTS
[B] HOLDING RESPONDENTS LIABLE FOR THE COST OF POSTING
SECURITY? 361
[2] RISK OF STIFLING (EXCEPTIONALLY) MERITORIOUS CLAIMS? 362
[A] DOES A RESPONDENT ACT IN BAD FAITH BY SEEKING
SECURITY FROM A FUNDED CLAIMANT? 362
[B] THE FUTURE OF THE CLAIM WHERE THE TRIBUNAL ORDERS
SECURITY PAYMENT 362
[3] ORDERING SECURITY PAYMENT DIRECTLY AGAINST A LITIGATION
FUNDER? 363
[4] CONSIDERING SECURITY FOR COSTS ORDERS AGAINST FUNDED
PARTIES CREATES ADDITIONAL COSTS AND DELAYS 364
§9.03 CONCLUSIONS: GUIDELINES 365
[A] GUIDELINE 9A 365
[B] GUIDELINE 9B 365
[C] GUIDELINE 9C 365
[D] GUIDELINE 9D 366
[E] GUIDELINE 9E 366
CHAPTER 10
AWARDING OF COSTS AND THIRD-PARTY FUNDING 367
§10.01 ALLOCATION OF PARTY COSTS: OVERVIEW 369
[A] LEX ARBITRI: MANDATORY AND NON-MANDATORY PROVISIONS ON
COSTS ALLOCATION 370
[B] PARTY AGREEMENT 371
[C] ARBITRATOR DISCRETION 372
[1] GENERAL FACTORS 372
[A] DOMESTIC RULES ON COSTS ALLOCATION 372
[B] CASE-SPECIFIC FACTORS SUSCEPTIBLE TO AFFECT THE
APPLICABLE COSTS ALLOCATION SCHEME 373
[2] FUNDING-SPECIFIC FACTORS 374
[D] TRENDS IN ARBITRAL PRACTICE 375
§10.02 RECOVERY OF COSTS BY THE PREVAILING FUNDED PARTY 377
[A] FUNDED LEGAL COSTS AND FUNDING COSTS CONTINGENT ON SUCCESS 377
[1] DID THE FUNDED PARTY INCUR COSTS AT ALL WHERE THEY
HAVE BEEN PAID BY A THIRD PARTY? 378
[A] THE SIGNIFICANCE OF THE APPLICABLE COSTS PROVISIONS 379
[B] REQUIREMENTS: ARBITRAL CASE LAW 380
[I] SUPPLIER V. FIRST DISTRIBUTOR, SECOND DISTRIBUTOR 381
[II] ICC CASE NO. 13645 381
[III] PRICE WATERHOUSE SARL AND PW CONSEIL SARL V.
PRICEWATERHOUSECOOPERS INTERNATIONAL LIMITED 382
[IV] QUASAR DE VALORES V. THE RUSSIAN FEDERATION 382
[V] SYNTHESIS 383
[C] CONCLUSION: GUIDELINES 386
XX
TABLE OF CONTENTS
[I] GUIDELINE 10A 386
[II] GUIDELINE 10B 386
[2] AMOUNT OF RECOVERABLE COSTS: ACTUAL LEGAL EXPENSES OR
FUNDER S RETURN? 387
[A] LIMITS IMPOSED BY APPLICABLE COSTS PROVISIONS 388
[B] REASONABLENESS: POLICY PERSPECTIVE 388
[I] NO COSTS RECOVERABLE AT ALL WHERE A PARTY
NEED ONLY PAY THEM IN CASE OF SUCCESS? 388
[II] KARDASSOPOULOS AND FUCHS V. GEORGIA: NO
PRINCIPLE WHY ANY SUCH THIRD PARTY FINANCING
ARRANGEMENT SHOULD BE TAKEN INTO CONSIDERATION
IN DETERMINING THE AMOUNT OF RECOVERY BY THE
CLAIMANTS OF THEIR COSTS 390
[III] INTERIM RESULT 392
[IV] NO COSTS RECOVERABLE WHEN INCURRED UNDER
CONTINGENCY FEE ARRANGEMENTS? 393
[C] REASONABLENESS: CONSENT PERSPECTIVES 394
[I] PERSPECTIVE OF THE FUNDED PARTY 394
[II] PERSPECTIVE OF THE OPPONENT 394
[III] DECISION 395
[D] INTERIM RESULT: LEGAL COSTS SHOULD BE RECOVERABLE
AS IF NO FUNDING AGREEMENT EXISTED 396
[E] LEVEL OF SUBSTANTIATION AND DUTY TO DISCLOSE IN
COSTS SUBMISSIONS 398
[I] WHERE THE FUNDED PARTY CLAIMS THE HIGHER
FEES PAYABLE TO THE FUNDER 399
[II] WHERE THE FUNDED PARTY CLAIMS FEES BASED ON
A NORMAL HOURLY RATE 401
[III] CONCLUDING REMARK 404
[3] AMOUNT OF RECOVERABLE COSTS: THE SIGNIFICANCE OF
DOMESTIC LAWS ON FUNDING 404
[A] WHERE ETHICAL RULES PROHIBIT SPECIFIC FUNDING
STRUCTURES 404
[I] APPROACHING THE ISSUE: RECOGNITION AND
ENFORCEMENT OF COST RULINGS CONNECTED WITH AN
AGREEMENT THAT MAY VIOLATE PUBLIC POLICY 405
[II] SITUATION UNDER THE STANDARDS OF THE NEW YORK
CONVENTION 406
[B] WHERE COST RULES ALLOW OR PROHIBIT RECOVERY OF
FUNDING COSTS 407
[I] PARTIES EXPECTATIONS STEMMING FROM THEIR
HOME JURISDICTIONS 407
[II] COSTS RULES AT THE SEAT OF THE ARBITRATION 408
XXI
TABLE OF CONTENTS
[4] CONCLUSIONS: GUIDELINES ON THE LOSING PARTY S
LIABILITY FOR COSTS 410
[A] GUIDELINE 10A 410
[B] GUIDELINE 10B 410
[C] GUIDELINE 10C 410
[D] GUIDELINE LOD 411
[E] GUIDELINE LOE 411
[B] FUNDING COSTS NOT CONTINGENT ON SUCCESS 411
[1] COSTS FOR CASE ASSESSMENT 412
[2] COSTS FOR BEFORE-THE-EVENT INSURANCE POLICY 413
[3] INTEREST CHARGED ON LOAN 414
[C] FUNDING COSTS AS DAMAGES 414
§10.03 RECOVERY OF COSTS BY THE PREVAILING NON-FUNDED PARTY FROM THE
FUNDER 416
[A] COSTS AWARD FROM AN ARBITRAL TRIBUNAL AGAINST THE FUNDER 416
[1] CASE LAW FROM NATIONAL COURTS IN SUPPORT OF COSTS
AWARDS AGAINST FUNDERS 416
[2] SIGNIFICANCE OF THE CASE LAW FOR INTERNATIONAL ARBITRATION 418
[A] SIGNIFICANCE FOR COSTS AWARDS FROM ARBITRAL
TRIBUNALS 419
[B] JUDICIAL ASSISTANCE? 421
[B] DAMAGES AWARD FROM A STATE COURT AGAINST THE FUNDER 423
PART HI
SUMMARY 425
CHAPTER 11
SUMMARY OF PART I AND PART II 427
§11.01 SUMMARY OF PART I 427
§ 11.02 SUMMARY OF PART II 431
CHAPTER 12
CONCLUDING REMARKS 437
BIBLIOGRAPHY 439
TABLE OF CASES AND ARBITRAL AWARDS 463
INDEX 475
XXN
|
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| id | DE-604.BV043495096 |
| illustrated | Not Illustrated |
| indexdate | 2024-07-10T07:27:14Z |
| institution | BVB |
| isbn | 9789041150158 9041150153 |
| language | English |
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| physical | XXXVI, 481 Seiten |
| publishDate | 2016 |
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| publisher | Kluwer Law International |
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| series | International arbitration law library |
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| spelling | Goeler, Jonas von 1986- (DE-588)1094903329 aut Third-party Funding in International Arbitration and its impact on procedure Jonas von Goeler Alphen aan den Rijn, The Netherlands Kluwer Law International © 2016 XXXVI, 481 Seiten txt rdacontent n rdamedia nc rdacarrier International arbitration law library volume 35 Includes bibliographical references (pages 439-462) and index Dissertation Universität Mannheim 2015 Arbitration (International law) Arbitration (International law) Costs Third party litigation funding Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 gnd rswk-swf (DE-588)4113937-9 Hochschulschrift gnd-content Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 s DE-604 International arbitration law library volume 35 (DE-604)BV021465758 35 http://www.kluwerarbitration.com/CommonUI/book-toc.aspx?book=TOC-Goeler-2015 SWB Datenaustausch application/pdf http://bvbr.bib-bvb.de:8991/F?func=service&doc_library=BVB01&local_base=BVB01&doc_number=028911608&sequence=000001&line_number=0001&func_code=DB_RECORDS&service_type=MEDIA Inhaltsverzeichnis |
| spellingShingle | Goeler, Jonas von 1986- Third-party Funding in International Arbitration and its impact on procedure International arbitration law library Arbitration (International law) Arbitration (International law) Costs Third party litigation funding Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 gnd |
| subject_GND | (DE-588)4162055-0 (DE-588)4113937-9 |
| title | Third-party Funding in International Arbitration and its impact on procedure |
| title_auth | Third-party Funding in International Arbitration and its impact on procedure |
| title_exact_search | Third-party Funding in International Arbitration and its impact on procedure |
| title_full | Third-party Funding in International Arbitration and its impact on procedure Jonas von Goeler |
| title_fullStr | Third-party Funding in International Arbitration and its impact on procedure Jonas von Goeler |
| title_full_unstemmed | Third-party Funding in International Arbitration and its impact on procedure Jonas von Goeler |
| title_short | Third-party Funding in International Arbitration and its impact on procedure |
| title_sort | third party funding in international arbitration and its impact on procedure |
| topic | Arbitration (International law) Arbitration (International law) Costs Third party litigation funding Internationale Schiedsgerichtsbarkeit (DE-588)4162055-0 gnd |
| topic_facet | Arbitration (International law) Arbitration (International law) Costs Third party litigation funding Internationale Schiedsgerichtsbarkeit Hochschulschrift |
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