WilmerHale

Experts

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Jonathan Lim
WilmerHale
Steven Finizio
Partner, Wilmer Cutler Pickering Hale and Dorr
WilmerHale
Trevor Cook
Partner, Wilmer Cutler Pickering Hale and Dorr LLP
WilmerHale
Contributions by WilmerHale

13

Confidentiality in international arbitration
Confidentiality in international arbitration
Practice notes

This Practice Note sets out what confidentiality and privacy obligations apply in international arbitration proceedings. The Practice Note covers whether there is a specific or implied confidentiality obligation between the parties, national legislation and case law on confidentiality, and the position on confidentiality under some of the key institutional arbitration rules, including those of the International Court of Arbitration of the International Chamber of Commerce (ICC) and the London Court of International Arbitration (LCIA). This topic may be referred to as: the confidential nature of arbitral proceedings; privacy in arbitration; the duty of confidentiality in international arbitration; the implied duty of confidentiality in arbitration; the rule or principle of confidentiality in international arbitration; is international arbitration confidential?; how far does confidentiality extend in international arbitration?; international arbitration as a confidential process; the advantages of confidentiality and privacy in international arbitration.

UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration
UNCITRAL Rules on Transparency in Treaty-based Investor-State Arbitration
Practice notes

This Practice Note considers the United Nations Commission on International Trade Law (UNCITRAL) Rules on Transparency in Treaty-based Investor-State Arbitration (the Transparency Rules). On 16 December 2013, the UN General Assembly adopted Resolution 68/109 that, among other things, requested that the UN Secretary-General publish the Transparency Rules. Accordingly, in February 2014, the Transparency Rules were duly published with an effective date of 1 April 2014. This Practice Note summarises the key provisions of the Transparency Rules. The Practice Note also covers the Mauritius Convention adopted in December 2014 by which the Transparency Rules will apply to disputes under bilateral and multilateral investment treaties. The Mauritius Convention entered into force on 18 October 2017. It discusses the application of this Convention and the Transparency Rules in cases governed by the Arbitration Rules of the Arbitration Institute of the Stockholm Chamber of Commerce (SCC) and the International Centre for the Settlement of Investment Disputes (ICSID).

UNCITRAL Rules—appointment of the arbitral tribunal
UNCITRAL Rules—appointment of the arbitral tribunal
Practice notes

This Practice Note considers how to appoint the tribunal (arbitrators) under the United Nations Commission on International Trade Law Arbitration Rules (UNCITRAL Rules) including what the default position is in the absence of agreement between the parties. As UNCITRAL is not an arbitral institution, this Practice Note discusses the use of an appointing authority if necessary. The Practice Note also covers challenges to, and replacement of, arbitrators in UNCITRAL proceedings.

UNCITRAL Rules—background and introduction
UNCITRAL Rules—background and introduction
Practice notes

This Practice Note provides an introduction to the United Nations Commission on International Trade Law (UNCITRAL) Arbitration Rules 1976 and 2010. The Practice Note also provides an overview of the UNCITRAL Rules and provides links to more detailed guidance on key aspects of those rules.

UNCITRAL Rules—costs
UNCITRAL Rules—costs
Practice notes

This Practice Note considers the costs provisions of the United Nations Commission on International Trade Law Arbitration Rules (the UNCITRAL Rules). The Practice Note also considers the ability to challenge the tribunal’s proposed and/or determined costs to the Permanent Court of Arbitration (PCA) or other relevant authority. The Practice Note contains links to the information on administering UNCITRAL arbitrations and discusses the information on UNCITRAL costs contained in the ICC Commission’s report on decisions on costs.

UNCITRAL Rules—evidence
UNCITRAL Rules—evidence
Practice notes

This Practice Note considers the provisions for dealing with matters of evidence in arbitrations under the United Nations Commission on International Trade Law Arbitration Rules (UNCITRAL Rules). The Practice Note covers documentary, witness (factual) and expert evidence.

UNCITRAL Rules—powers of the arbitral tribunal
UNCITRAL Rules—powers of the arbitral tribunal
Practice notes

This Practice Note considers the powers of the arbitral tribunal in an arbitration conducted under the United Nations Commission on International Trade Law Arbitration Rules (UNCITRAL Rules). The Practice Note considers the tribunal’s ability to determine its own jurisdiction and award interim remedies (also referred to as interim measures or interim relief). The tribunal’s ability to join third parties (joinder) is also considered.

UNCITRAL Rules—procedure
UNCITRAL Rules—procedure
Practice notes

This Practice Note considers how an arbitration under the United Nations Commission on International Trade Law Arbitration Rules (UNCITRAL Rules) will proceed. The Practice Note considers issues from the notice of the arbitration through timing and scheduling, bifurcation of the proceedings, periods of time and communication, the statements of claim and defence, written submissions, evidence, interim measures, settlement and hearings through to the award.

UNCITRAL Rules—responding to a Notice of Arbitration
UNCITRAL Rules—responding to a Notice of Arbitration
Practice notes

This Practice Note considers how a respondent should respond to a Notice of Arbitration received pursuant to the United Nations Commission on International Trade Law Arbitration Rules (UNCITRAL Rules). The Practice Note considers what the response to the notice of arbitration must contain and how it should be delivered to the claimant.

UNCITRAL Rules—starting an arbitration
UNCITRAL Rules—starting an arbitration
Practice notes

This Practice Note considers how to start, initiate or commence an arbitration under the United Nations Commission on International Trade Law Arbitration Rules (UNCITRAL Rules). It considers what a Notice of Arbitration under the UNCITRAL Rules must contain, and what determines the date of commencement of arbitration under the UNCITRAL Rules.

Witness conferencing in arbitration
Witness conferencing in arbitration
Practice notes

This Practice Note discusses the practice of witness conferencing in international and domestic arbitration whereby witness evidence is taken simultaneously. This is often known as hot-tubbing or concurrent (expert) evidence. The Practice Note covers tribunal-led and counsel-led witness conferencing in arbitration. It considers the advantages and disadvantages (pros and cons) of witness conferencing and the relevant provisions in leading institutional arbitration rules. Witness conferencing can be used for expert witnesses and witnesses of fact in arbitration (arbitral) proceedings. The Practice Note also considers managing witness conferencing in remote hearings.

Other Work
Preliminary meeting in arbitration—checklist
Preliminary meeting in arbitration—checklist

This Checklist considers what you need to consider when preparing for a preliminary meeting in an (international) arbitration (whether institutional or ad-hoc).

Contributions by WilmerHale Experts

10

Directive 2014/57/EU on criminal sanctions for market abuse
Directive 2014/57/EU on criminal sanctions for market abuse
Practice notes

Regulation (EU) No 596/2014 on market abuse (the Market Abuse Regulation) and Directive 2014/57/EU on criminal sanctions for market abuse (CSMAD) introduced a new market abuse regime across the EU and came into effect on July 3 2016. This Practice note considers the criminal sanctions introduced under the new regime and the criminal sanctions in the UK for market abuse.

PCA Rules—appointing authority and the tribunal
PCA Rules—appointing authority and the tribunal
Practice notes

This Practice Note covers the automatic designation of the Secretary-General of the Permanent Court of Arbitration (PCA) as the appointing authority under the PCA Arbitration Rules 2012, how the tribunal is constituted under the PCA Rules and challenges to and replacements of arbitrators. The Practice Note also covers the exclusion of liability for the tribunal and persons appointed by it.

PCA Rules—background and commencing proceedings
PCA Rules—background and commencing proceedings
Practice notes

This Practice Note introduces the Permanent Court of Arbitration (PCA) and its Arbitration Rules 2012 (PCA Rules). The Practice Note also considers the scope of the PCA Rules, the role of the UNCITRAL Transparency Rules, the notice of arbitration, notices and calculating time in PCA arbitration proceedings, how to commence PCA arbitration proceedings, responding to the notice of arbitration proceedings, as well as party representation.

PCA Rules—costs
PCA Rules—costs
Practice notes

This Practice Note sets out how the costs of the arbitration are to be fixed in proceedings under the Permanent Court of Arbitration (PCA) Arbitration Rules 2012, including how the fees and expenses of the arbitrators are to be determined, how the parties’ legal costs are to be allocated and how and when deposits for the costs of the arbitration are to be paid.

PCA Rules—the award
PCA Rules—the award
Practice notes

This Practice Note covers how a tribunal is to a reach a decision or award under the Permanent Court of Arbitration (PCA) Arbitration Rules 2012 (the PCA Rules), and sets out the provisions on the form and effect of the award, applicable law or amiable compositeur, settlement or termination of proceedings in situations other than the issuance of an award. It also sets out how a party may apply for interpretation or correction of an award, and how a party may apply for an additional award.

PCA Rules—the proceedings
PCA Rules—the proceedings
Practice notes

This Practice Note covers the conduct of proceedings under the Permanent Court of Arbitration (PCA) Arbitration Rules 2012, and sets out the main provisions on how the parties’ arguments and evidence are to be presented, how jurisdictional objections and interim measures are to be dealt with, how hearings are to be conducted, and how proceedings are to be closed.

Post-award remedies under the arbitration rules of major arbitral institutions and those of UNCITRAL
Post-award remedies under the arbitration rules of major arbitral institutions and those of UNCITRAL
Practice notes

This Practice Note considers the limited grounds on which a party to international arbitration proceedings may apply for (or request) the correction, review and interpretation of an award to either the arbitral tribunal (or arbitrators) or the arbitral institution under the institutional arbitration rules of the International Court of Arbitration of the International Chamber of Commerce (ICC), the London Court of International Arbitration (LCIA), Hong Kong International Arbitration Centre (HKIAC), Singapore International Arbitration Centre (SIAC), Dubai International Arbitration Centre (DIAC), International Centre for Dispute Resolution (ICDR), as well as the arbitration rules of the United Nations Commission on International Trade Law (UNCITRAL). This Practice Note also discusses whether parties to such arbitration rules can challenge or appeal arbitral awards to the tribunal or the institution (where relevant), concluding that such steps are generally only available before the courts of the seat of the arbitration. This Practice Note also discusses whether parties to such arbitration rules can challenge or appeal arbitral awards before tribunals or arbitral institutions (where relevant), concluding that such steps are generally only available before the courts of the seat of the arbitration. This topic may be referred to as: applying (applications) to the tribunal to reconsider awards; addressing typographical or computational errors in awards; remedies for inadequate awards in international institutional arbitration; applying for additional awards in institutional arbitration.

SIAC Investment Arbitration Rules (2017)—an overview
SIAC Investment Arbitration Rules (2017)—an overview
Practice notes

This Practice Note provides an overview of the Singapore International Arbitration Centre (SIAC) Investment Arbitration Rules (SIAC IA Rules), which entered into force on 1 January 2017 and apply by agreement to investment arbitrations commenced on or after that date. It provides an introduction to the SIAC IA Rules, an overview of their structure, summarises the key procedural steps, and considers key features of the SIAC IA Rules.

Preliminary meeting in arbitration—agenda and submissions
Preliminary meeting in arbitration—agenda and submissions
Precedents

This is a Precedent preliminary meeting agenda and submissions for that meeting for use in arbitration proceedings. The Precedent sets out the key issues to be addressed at the procedural meeting and the directions sought from the arbitral tribunal.

Procedural Order for directions following preliminary meeting in arbitration
Procedural Order for directions following preliminary meeting in arbitration
Precedents

This is a Precedent Procedural Order for directions (often referred to as: Procedural Order Number One, PO No. 1, PO 1, PO1, or the first procedural order), which an arbitral tribunal (arbitrator(s)) may use to set out the directions for the arbitration following an initial procedural meeting (also called a directions hearing or a case management conference or meeting) in arbitral proceedings, whether ad hoc or institutional and whether in England and Wales under the Arbitration Act 1996 or at another arbitral seat. The Precedent includes the seat (or legal place) and language of the arbitration, directions for submissions and documentary, witness and expert evidence and a timetable for filing of skeleton arguments prior to a hearing. This document may be referred to as a model, template or example procedural order or PO.

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