File #2684: "2019_Book_TowardsAUniformApproachToConfi.pdf"
Text
1|Acknowledgements|7
1|Contents|8
1|Abbreviations|15
1|Chapter 1: Introduction|17
1|Chapter 2: Sources|20
2|2.1 Introduction|20
2|2.2 Parties´ Agreement|21
2|2.3 International Arbitration Rules|24
3|2.3.1 Introduction|24
3|2.3.2 UNCITRAL Rules|25
3|2.3.3 LCIA Rules|26
3|2.3.4 Swiss Rules|26
3|2.3.5 ICC Rules|27
3|2.3.6 WIPO Rules|28
3|2.3.7 Oslo Rules|30
3|2.3.8 Intermediary Conclusions|30
2|2.4 National Legislation and Case Law|31
3|2.4.1 National Arbitration Laws|31
3|2.4.2 Case Law of National Courts|34
3|2.4.3 Other Potentially Relevant Rules of National Law|34
2|2.5 Confidentiality Orders|35
2|2.6 Arbitral Practice|36
3|2.6.1 Introduction|36
3|2.6.2 Arbitral Jurisprudence|36
3|2.6.3 Lex Mercatoria|38
3|2.6.4 Codified Rules|39
2|2.7 Overlap Between the Sources|39
2|2.8 Intermediary Conclusions|41
1|Chapter 3: Persons Subject to the Duty of Confidentiality|43
2|3.1 Introduction|43
2|3.2 Parties´ Duty of Confidentiality|44
3|3.2.1 Introduction|44
3|3.2.2 Express Rules and Agreement on the Parties´ Obligation of Confidentiality|44
3|3.2.3 Confidentiality As an Implied Obligation|45
4|3.2.3.1 Introduction|45
4|3.2.3.2 England|46
4|3.2.3.3 Singapore|48
4|3.2.3.4 Australia|49
4|3.2.3.5 United States|54
4|3.2.3.6 Sweden|56
4|3.2.3.7 France|57
4|3.2.3.8 Switzerland|60
4|3.2.3.9 Arbitral Practice and Analysis|62
3|3.2.4 Balance of the Interests Involved and Analysis of the Arguments for and Against Confidentiality|65
4|3.2.4.1 Introduction|65
4|3.2.4.2 Balance of the Various Interests Involved|65
5|3.2.4.2.1 Parties´ Interests to Maintain the Privacy of the Dispute|65
5|3.2.4.2.2 Interests Requiring Disclosure|65
4|3.2.4.3 Arguments for and Against Confidentiality as an Implied Obligation|67
5|3.2.4.3.1 Parties´ Expectations of Confidentiality and Attractiveness of Arbitration|67
5|3.2.4.3.2 Correlation Between Privacy of Hearings and Confidentiality|67
5|3.2.4.3.3 Differences in Regulation of Confidentiality|68
5|3.2.4.3.4 Legal Uncertainty|69
5|3.2.4.3.5 Myriad of Exceptions to Confidentiality|70
3|3.2.5 Applicable Law|70
3|3.2.6 Intermediary Conclusions|72
2|3.3 Arbitrators´ Duty of Confidentiality|73
3|3.3.1 Introduction|73
3|3.3.2 Basis for the Duty of Confidentiality|74
4|3.3.2.1 National Legislation|74
5|3.3.2.1.1 National Arbitration Laws|74
5|3.3.2.1.2 Contract Law Provisions|75
5|3.3.2.1.3 Other National Law Provisions|76
4|3.3.2.2 International Arbitration Rules and Ethical Rules of Professional Bodies and Associations|76
4|3.3.2.3 Express Contractual Provisions|77
3|3.3.3 Scope of the Duty of Confidentiality|77
4|3.3.3.1 In General|77
4|3.3.3.2 Confidentiality of Arbitrators´ Deliberations|79
3|3.3.4 Intermediary Conclusions|82
2|3.4 Duty of Confidentiality of Arbitration Institutions|83
2|3.5 Counsel´s Duty of Confidentiality|85
3|3.5.1 Introduction|85
3|3.5.2 Legal Privilege and Lawyer´s Duty of Confidentiality|87
3|3.5.3 Regulation of the Lawyer´s Duty of Confidentiality by International Law Instruments|90
3|3.5.4 Regulation of the Lawyer´s Duty of Confidentiality in Domestic Laws|92
4|3.5.4.1 Introduction|92
4|3.5.4.2 Switzerland|93
5|3.5.4.2.1 Legal Basis of the Lawyer´s Professional Secrecy|93
5|3.5.4.2.2 Ratione Materiae Scope of the Lawyer´s Professional Secrecy|95
5|3.5.4.2.3 Lawyers Bound by the Lawyer´s Professional Secrecy|96
4|3.5.4.3 England and Wales|98
5|3.5.4.3.1 Legal Basis and Scope|98
5|3.5.4.3.2 Lawyers Bound by the Confidentiality Duty and Entitled to Legal Privilege|99
4|3.5.4.4 United States|101
5|3.5.4.4.1 Legal Basis and Scope|101
5|3.5.4.4.2 Lawyers Entitled to the Attorney-Client Privilege and Bound by the Confidentiality Duty|102
4|3.5.4.5 Comparative Law Analysis|103
3|3.5.5 Regulation of the Lawyer´s Duty of Confidentiality in International Arbitration|104
4|3.5.5.1 Introduction|104
4|3.5.5.2 Parties´ Representatives in International Arbitration|105
4|3.5.5.3 International Arbitration Law Instruments|106
4|3.5.5.4 Scope of the Counsel´s Duty of Confidentiality|107
4|3.5.5.5 Applicable Law|108
3|3.5.6 Intermediary Conclusions|110
2|3.6 Third Persons´ Duty of Confidentiality|112
3|3.6.1 Introduction|112
3|3.6.2 Basis of the Duty of Confidentiality|112
3|3.6.3 Fact Witnesses´ Duty of Confidentiality|114
4|3.6.3.1 Introduction|114
4|3.6.3.2 Legal Qualification of the Party-Witness Relationship|114
5|3.6.3.2.1 Qualification Under Swiss Law|116
4|3.6.3.3 Basis of the Witnesses´ Duty of Confidentiality|118
5|3.6.3.3.1 Party-Witness Contract|118
5|3.6.3.3.2 Employment Relationship|119
5|3.6.3.3.3 Institutional Arbitration Rules|119
4|3.6.3.4 Intermediary Conclusions|121
3|3.6.4 Expert Witnesses´ Duty of Confidentiality|122
3|3.6.5 Duty of Confidentiality of Tribunal Secretaries and Other Tribunal Auxiliaries|124
3|3.6.6 Duty of Confidentiality of Counsel Auxiliaries|125
3|3.6.7 Duty of Confidentiality of Other Third Persons|125
2|3.7 Intermediary Conclusions|126
1|Chapter 4: Content of the Duty of Confidentiality|128
2|4.1 Introduction|128
2|4.2 Information Subject to the Duty of Confidentiality|129
3|4.2.1 Introduction|129
3|4.2.2 Confidentiality of the Existence of the Arbitral Proceedings|129
4|4.2.2.1 National Arbitration Laws|130
4|4.2.2.2 Arbitration Rules|130
4|4.2.2.3 State Court Decisions|132
4|4.2.2.4 Legal Scholars´ Views|134
3|4.2.3 Other Potentially Confidential Matters|134
3|4.2.4 Intermediary Conclusions|136
2|4.3 Confidentiality Regarding Documents Exchanged in the Course of Arbitral Proceedings|136
3|4.3.1 Introduction|136
3|4.3.2 National Arbitration Laws|137
3|4.3.3 Arbitration Rules|138
3|4.3.4 English State Court Decisions|141
3|4.3.5 Legal Scholars´ Views|142
3|4.3.6 Intermediary Conclusions|143
2|4.4 Confidentiality Regarding Arbitral Awards and Orders|145
3|4.4.1 Introduction|145
3|4.4.2 International Arbitration Rules|147
3|4.4.3 National Arbitration Laws|148
3|4.4.4 State Court Decisions|149
3|4.4.5 Tensions Between Confidentiality and Publication of Arbitral Awards|150
4|4.4.5.1 Current Publication Practices|150
4|4.4.5.2 Systematic Publication of Arbitral Awards?|153
5|4.4.5.2.1 Consistent Arbitral Case Law|153
5|4.4.5.2.2 Enhancing Transparency of the Arbitration|154
5|4.4.5.2.3 Improving the Quality of Arbitral Awards|154
5|4.4.5.2.4 Promotion of Arbitration as a Dispute Resolution Method|154
5|4.4.5.2.5 Making Arbitrations More Accessible for Users|155
5|4.4.5.2.6 Ad hoc v. Institutional Arbitrations and Choice of the Arbitration Institution|155
5|4.4.5.2.7 Appointing Arbitrators|155
5|4.4.5.2.8 Execution of Arbitral Awards|156
5|4.4.5.2.9 Privacy of the Parties|156
5|4.4.5.2.10 Additional Costs|156
5|4.4.5.2.11 Intermediary Conclusions|157
4|4.4.5.3 Form of Publication|158
5|4.4.5.3.1 Identification of the Parties|159
5|4.4.5.3.2 Names of the Arbitrators|160
5|4.4.5.3.3 Dissemination of Published Awards|161
3|4.4.6 Intermediary Conclusions|161
2|4.5 Confidentiality in Respect of Hearings|162
3|4.5.1 Introduction|162
3|4.5.2 Arbitration Law and Practice on Confidentiality of Hearings|163
4|4.5.2.1 Privacy of Hearings|163
4|4.5.2.2 Confidentiality of Documents and Information Surrounding Hearings|165
3|4.5.3 Correlation Between Privacy of Hearings and Confidentiality of Arbitration|165
2|4.6 Intermediary Conclusions|166
1|Chapter 5: Exceptions and Limitations to the Obligation of Confidentiality|168
2|5.1 Introduction|168
2|5.2 General Cases of Exceptions to the Confidentiality|171
3|5.2.1 Disclosure Required or Authorised by Law or Regulation|171
3|5.2.2 Disclosure Is Allowed by the Parties´ Consent|172
3|5.2.3 Disclosure Is Necessary to Seek Professional Advice|172
3|5.2.4 Documents Are Already in the Public Domain|173
2|5.3 Exceptions to the Parties´ Obligation of Confidentiality|173
3|5.3.1 Introduction|173
3|5.3.2 Recognition, Enforcement or Challenge of the Arbitral Award|174
4|5.3.2.1 In General|174
4|5.3.2.2 No Frivolous Claims|175
4|5.3.2.3 Permissible Leaks of Information Because of Openness of Court Proceedings|176
5|5.3.2.3.1 Introduction|176
5|5.3.2.3.2 Swiss Law and Practice|177
5|5.3.2.3.3 English Law and Practice|180
5|5.3.2.3.4 Law and Practice of the United States|181
5|5.3.2.3.5 Intermediary Conclusions|183
3|5.3.3 Disclosure in Parallel or Related Arbitral and Court Proceedings|183
3|5.3.4 Public Interest Exception|192
2|5.4 Exceptions and Limitations to the Scope of the Arbitrators´ Duty of Confidentiality|194
3|5.4.1 Introduction|194
3|5.4.2 Conflict Between the Arbitrators´ Duty of Confidentiality and the Duty to Testify|195
3|5.4.3 Exceptions to the Confidentiality of Deliberations?|197
3|5.4.4 Conflict Between the Arbitrators´ Duty of Confidentiality and the Duty of Disclosure in Cases of Serious Criminality|199
2|5.5 Intermediary Conclusions|200
1|Chapter 6: Remedies and Sanctions in Case of Confidentiality Breach|202
2|6.1 Introduction|202
2|6.2 Remedies in Case of Confidentiality Breach by the Parties|202
3|6.2.1 Confidentiality Orders|202
4|6.2.1.1 Competence of Arbitral Tribunals and State Courts to Issue a Confidentiality Order|203
4|6.2.1.2 Cases in Which State Court and Arbitral Tribunal Issued Confidentiality Orders|204
3|6.2.2 Damages|205
4|6.2.2.1 In General|205
4|6.2.2.2 Penalty Clause or Liquidated Damages|209
3|6.2.3 Termination of the Arbitration Agreement|211
3|6.2.4 Other Remedies|214
2|6.3 Remedies and Sanctions in Case of Confidentiality Breach by Arbitrators|215
2|6.4 Remedies in Case of Confidentiality Breach by Arbitration Institution|217
2|6.5 Remedies and Sanctions in Case of Confidentiality Breach by Counsel|218
2|6.6 Remedies in Case of Confidentiality Breach by Third Persons|219
2|6.7 Intermediary Conclusions|220
1|Chapter 7: Possibility of Uniform Rules on Confidentiality|222
2|7.1 Introduction|222
2|7.2 Consensus on Confidentiality Is Possible|222
3|7.2.1 Parties´ Implied Duty of Confidentiality and the Myriad of Exceptions|222
3|7.2.2 Confidentiality Is Not an Obstacle to Publication of Arbitral Awards|224
2|7.3 Towards a Uniform Approach Through Harmonization of National Arbitration Laws|225
2|7.4 Proposed Text for the Rules on Confidentiality|227
1|Chapter 8: Conclusions|229
2|8.1 Persons Bound by a Duty of Confidentiality|229
2|8.2 Content of the Duty of Confidentiality|230
2|8.3 Handling Exceptions to the Duty of Confidentiality|231
2|8.4 Remedies and Sanctions for Breach of the Duty of Confidentiality|232
2|8.5 Final Conclusions|233
1|Table of Cases|235
2|ICC Arbitration Awards and Procedural Orders|235
2|Iran-United States Claims Decisions|236
2|Investment Arbitration Decisions and Procedural Orders|236
2|National Decisions|236
3|Australia|236
3|England|236
3|France|237
3|New Zealand|237
3|Singapore|238
3|Sweden|238
3|Switzerland|238
3|The United States|239
1|Bibliography|240
1|Contents|8
1|Abbreviations|15
1|Chapter 1: Introduction|17
1|Chapter 2: Sources|20
2|2.1 Introduction|20
2|2.2 Parties´ Agreement|21
2|2.3 International Arbitration Rules|24
3|2.3.1 Introduction|24
3|2.3.2 UNCITRAL Rules|25
3|2.3.3 LCIA Rules|26
3|2.3.4 Swiss Rules|26
3|2.3.5 ICC Rules|27
3|2.3.6 WIPO Rules|28
3|2.3.7 Oslo Rules|30
3|2.3.8 Intermediary Conclusions|30
2|2.4 National Legislation and Case Law|31
3|2.4.1 National Arbitration Laws|31
3|2.4.2 Case Law of National Courts|34
3|2.4.3 Other Potentially Relevant Rules of National Law|34
2|2.5 Confidentiality Orders|35
2|2.6 Arbitral Practice|36
3|2.6.1 Introduction|36
3|2.6.2 Arbitral Jurisprudence|36
3|2.6.3 Lex Mercatoria|38
3|2.6.4 Codified Rules|39
2|2.7 Overlap Between the Sources|39
2|2.8 Intermediary Conclusions|41
1|Chapter 3: Persons Subject to the Duty of Confidentiality|43
2|3.1 Introduction|43
2|3.2 Parties´ Duty of Confidentiality|44
3|3.2.1 Introduction|44
3|3.2.2 Express Rules and Agreement on the Parties´ Obligation of Confidentiality|44
3|3.2.3 Confidentiality As an Implied Obligation|45
4|3.2.3.1 Introduction|45
4|3.2.3.2 England|46
4|3.2.3.3 Singapore|48
4|3.2.3.4 Australia|49
4|3.2.3.5 United States|54
4|3.2.3.6 Sweden|56
4|3.2.3.7 France|57
4|3.2.3.8 Switzerland|60
4|3.2.3.9 Arbitral Practice and Analysis|62
3|3.2.4 Balance of the Interests Involved and Analysis of the Arguments for and Against Confidentiality|65
4|3.2.4.1 Introduction|65
4|3.2.4.2 Balance of the Various Interests Involved|65
5|3.2.4.2.1 Parties´ Interests to Maintain the Privacy of the Dispute|65
5|3.2.4.2.2 Interests Requiring Disclosure|65
4|3.2.4.3 Arguments for and Against Confidentiality as an Implied Obligation|67
5|3.2.4.3.1 Parties´ Expectations of Confidentiality and Attractiveness of Arbitration|67
5|3.2.4.3.2 Correlation Between Privacy of Hearings and Confidentiality|67
5|3.2.4.3.3 Differences in Regulation of Confidentiality|68
5|3.2.4.3.4 Legal Uncertainty|69
5|3.2.4.3.5 Myriad of Exceptions to Confidentiality|70
3|3.2.5 Applicable Law|70
3|3.2.6 Intermediary Conclusions|72
2|3.3 Arbitrators´ Duty of Confidentiality|73
3|3.3.1 Introduction|73
3|3.3.2 Basis for the Duty of Confidentiality|74
4|3.3.2.1 National Legislation|74
5|3.3.2.1.1 National Arbitration Laws|74
5|3.3.2.1.2 Contract Law Provisions|75
5|3.3.2.1.3 Other National Law Provisions|76
4|3.3.2.2 International Arbitration Rules and Ethical Rules of Professional Bodies and Associations|76
4|3.3.2.3 Express Contractual Provisions|77
3|3.3.3 Scope of the Duty of Confidentiality|77
4|3.3.3.1 In General|77
4|3.3.3.2 Confidentiality of Arbitrators´ Deliberations|79
3|3.3.4 Intermediary Conclusions|82
2|3.4 Duty of Confidentiality of Arbitration Institutions|83
2|3.5 Counsel´s Duty of Confidentiality|85
3|3.5.1 Introduction|85
3|3.5.2 Legal Privilege and Lawyer´s Duty of Confidentiality|87
3|3.5.3 Regulation of the Lawyer´s Duty of Confidentiality by International Law Instruments|90
3|3.5.4 Regulation of the Lawyer´s Duty of Confidentiality in Domestic Laws|92
4|3.5.4.1 Introduction|92
4|3.5.4.2 Switzerland|93
5|3.5.4.2.1 Legal Basis of the Lawyer´s Professional Secrecy|93
5|3.5.4.2.2 Ratione Materiae Scope of the Lawyer´s Professional Secrecy|95
5|3.5.4.2.3 Lawyers Bound by the Lawyer´s Professional Secrecy|96
4|3.5.4.3 England and Wales|98
5|3.5.4.3.1 Legal Basis and Scope|98
5|3.5.4.3.2 Lawyers Bound by the Confidentiality Duty and Entitled to Legal Privilege|99
4|3.5.4.4 United States|101
5|3.5.4.4.1 Legal Basis and Scope|101
5|3.5.4.4.2 Lawyers Entitled to the Attorney-Client Privilege and Bound by the Confidentiality Duty|102
4|3.5.4.5 Comparative Law Analysis|103
3|3.5.5 Regulation of the Lawyer´s Duty of Confidentiality in International Arbitration|104
4|3.5.5.1 Introduction|104
4|3.5.5.2 Parties´ Representatives in International Arbitration|105
4|3.5.5.3 International Arbitration Law Instruments|106
4|3.5.5.4 Scope of the Counsel´s Duty of Confidentiality|107
4|3.5.5.5 Applicable Law|108
3|3.5.6 Intermediary Conclusions|110
2|3.6 Third Persons´ Duty of Confidentiality|112
3|3.6.1 Introduction|112
3|3.6.2 Basis of the Duty of Confidentiality|112
3|3.6.3 Fact Witnesses´ Duty of Confidentiality|114
4|3.6.3.1 Introduction|114
4|3.6.3.2 Legal Qualification of the Party-Witness Relationship|114
5|3.6.3.2.1 Qualification Under Swiss Law|116
4|3.6.3.3 Basis of the Witnesses´ Duty of Confidentiality|118
5|3.6.3.3.1 Party-Witness Contract|118
5|3.6.3.3.2 Employment Relationship|119
5|3.6.3.3.3 Institutional Arbitration Rules|119
4|3.6.3.4 Intermediary Conclusions|121
3|3.6.4 Expert Witnesses´ Duty of Confidentiality|122
3|3.6.5 Duty of Confidentiality of Tribunal Secretaries and Other Tribunal Auxiliaries|124
3|3.6.6 Duty of Confidentiality of Counsel Auxiliaries|125
3|3.6.7 Duty of Confidentiality of Other Third Persons|125
2|3.7 Intermediary Conclusions|126
1|Chapter 4: Content of the Duty of Confidentiality|128
2|4.1 Introduction|128
2|4.2 Information Subject to the Duty of Confidentiality|129
3|4.2.1 Introduction|129
3|4.2.2 Confidentiality of the Existence of the Arbitral Proceedings|129
4|4.2.2.1 National Arbitration Laws|130
4|4.2.2.2 Arbitration Rules|130
4|4.2.2.3 State Court Decisions|132
4|4.2.2.4 Legal Scholars´ Views|134
3|4.2.3 Other Potentially Confidential Matters|134
3|4.2.4 Intermediary Conclusions|136
2|4.3 Confidentiality Regarding Documents Exchanged in the Course of Arbitral Proceedings|136
3|4.3.1 Introduction|136
3|4.3.2 National Arbitration Laws|137
3|4.3.3 Arbitration Rules|138
3|4.3.4 English State Court Decisions|141
3|4.3.5 Legal Scholars´ Views|142
3|4.3.6 Intermediary Conclusions|143
2|4.4 Confidentiality Regarding Arbitral Awards and Orders|145
3|4.4.1 Introduction|145
3|4.4.2 International Arbitration Rules|147
3|4.4.3 National Arbitration Laws|148
3|4.4.4 State Court Decisions|149
3|4.4.5 Tensions Between Confidentiality and Publication of Arbitral Awards|150
4|4.4.5.1 Current Publication Practices|150
4|4.4.5.2 Systematic Publication of Arbitral Awards?|153
5|4.4.5.2.1 Consistent Arbitral Case Law|153
5|4.4.5.2.2 Enhancing Transparency of the Arbitration|154
5|4.4.5.2.3 Improving the Quality of Arbitral Awards|154
5|4.4.5.2.4 Promotion of Arbitration as a Dispute Resolution Method|154
5|4.4.5.2.5 Making Arbitrations More Accessible for Users|155
5|4.4.5.2.6 Ad hoc v. Institutional Arbitrations and Choice of the Arbitration Institution|155
5|4.4.5.2.7 Appointing Arbitrators|155
5|4.4.5.2.8 Execution of Arbitral Awards|156
5|4.4.5.2.9 Privacy of the Parties|156
5|4.4.5.2.10 Additional Costs|156
5|4.4.5.2.11 Intermediary Conclusions|157
4|4.4.5.3 Form of Publication|158
5|4.4.5.3.1 Identification of the Parties|159
5|4.4.5.3.2 Names of the Arbitrators|160
5|4.4.5.3.3 Dissemination of Published Awards|161
3|4.4.6 Intermediary Conclusions|161
2|4.5 Confidentiality in Respect of Hearings|162
3|4.5.1 Introduction|162
3|4.5.2 Arbitration Law and Practice on Confidentiality of Hearings|163
4|4.5.2.1 Privacy of Hearings|163
4|4.5.2.2 Confidentiality of Documents and Information Surrounding Hearings|165
3|4.5.3 Correlation Between Privacy of Hearings and Confidentiality of Arbitration|165
2|4.6 Intermediary Conclusions|166
1|Chapter 5: Exceptions and Limitations to the Obligation of Confidentiality|168
2|5.1 Introduction|168
2|5.2 General Cases of Exceptions to the Confidentiality|171
3|5.2.1 Disclosure Required or Authorised by Law or Regulation|171
3|5.2.2 Disclosure Is Allowed by the Parties´ Consent|172
3|5.2.3 Disclosure Is Necessary to Seek Professional Advice|172
3|5.2.4 Documents Are Already in the Public Domain|173
2|5.3 Exceptions to the Parties´ Obligation of Confidentiality|173
3|5.3.1 Introduction|173
3|5.3.2 Recognition, Enforcement or Challenge of the Arbitral Award|174
4|5.3.2.1 In General|174
4|5.3.2.2 No Frivolous Claims|175
4|5.3.2.3 Permissible Leaks of Information Because of Openness of Court Proceedings|176
5|5.3.2.3.1 Introduction|176
5|5.3.2.3.2 Swiss Law and Practice|177
5|5.3.2.3.3 English Law and Practice|180
5|5.3.2.3.4 Law and Practice of the United States|181
5|5.3.2.3.5 Intermediary Conclusions|183
3|5.3.3 Disclosure in Parallel or Related Arbitral and Court Proceedings|183
3|5.3.4 Public Interest Exception|192
2|5.4 Exceptions and Limitations to the Scope of the Arbitrators´ Duty of Confidentiality|194
3|5.4.1 Introduction|194
3|5.4.2 Conflict Between the Arbitrators´ Duty of Confidentiality and the Duty to Testify|195
3|5.4.3 Exceptions to the Confidentiality of Deliberations?|197
3|5.4.4 Conflict Between the Arbitrators´ Duty of Confidentiality and the Duty of Disclosure in Cases of Serious Criminality|199
2|5.5 Intermediary Conclusions|200
1|Chapter 6: Remedies and Sanctions in Case of Confidentiality Breach|202
2|6.1 Introduction|202
2|6.2 Remedies in Case of Confidentiality Breach by the Parties|202
3|6.2.1 Confidentiality Orders|202
4|6.2.1.1 Competence of Arbitral Tribunals and State Courts to Issue a Confidentiality Order|203
4|6.2.1.2 Cases in Which State Court and Arbitral Tribunal Issued Confidentiality Orders|204
3|6.2.2 Damages|205
4|6.2.2.1 In General|205
4|6.2.2.2 Penalty Clause or Liquidated Damages|209
3|6.2.3 Termination of the Arbitration Agreement|211
3|6.2.4 Other Remedies|214
2|6.3 Remedies and Sanctions in Case of Confidentiality Breach by Arbitrators|215
2|6.4 Remedies in Case of Confidentiality Breach by Arbitration Institution|217
2|6.5 Remedies and Sanctions in Case of Confidentiality Breach by Counsel|218
2|6.6 Remedies in Case of Confidentiality Breach by Third Persons|219
2|6.7 Intermediary Conclusions|220
1|Chapter 7: Possibility of Uniform Rules on Confidentiality|222
2|7.1 Introduction|222
2|7.2 Consensus on Confidentiality Is Possible|222
3|7.2.1 Parties´ Implied Duty of Confidentiality and the Myriad of Exceptions|222
3|7.2.2 Confidentiality Is Not an Obstacle to Publication of Arbitral Awards|224
2|7.3 Towards a Uniform Approach Through Harmonization of National Arbitration Laws|225
2|7.4 Proposed Text for the Rules on Confidentiality|227
1|Chapter 8: Conclusions|229
2|8.1 Persons Bound by a Duty of Confidentiality|229
2|8.2 Content of the Duty of Confidentiality|230
2|8.3 Handling Exceptions to the Duty of Confidentiality|231
2|8.4 Remedies and Sanctions for Breach of the Duty of Confidentiality|232
2|8.5 Final Conclusions|233
1|Table of Cases|235
2|ICC Arbitration Awards and Procedural Orders|235
2|Iran-United States Claims Decisions|236
2|Investment Arbitration Decisions and Procedural Orders|236
2|National Decisions|236
3|Australia|236
3|England|236
3|France|237
3|New Zealand|237
3|Singapore|238
3|Sweden|238
3|Switzerland|238
3|The United States|239
1|Bibliography|240