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第一章 前言4

概述4

什么是仲裁4

为什么要仲裁4

优势6

潜在的缺点12

为什么在香港仲裁12

香港仲裁的机构支持16

香港国际仲裁中心16

特许仲裁员协会(东亚分会)18

香港仲裁司学会18

第二章 香港国际仲裁中心22

历史和组织结构22

香港国际仲裁中心提供的服务24

香港国际仲裁中心指定仲裁员的法律授权26

由香港国际仲裁中心管理仲裁程序26

简易形式仲裁、小额索偿和书面仲裁28

简易形式仲裁28

小额索偿程序28

香港国际仲裁中心书面仲裁程序30

香港国际仲裁中心《电子交易仲裁规则》32

域名争议32

香港海事仲裁组34

香港调解会34

香港国际仲裁中心案件统计34

第三章 法律结构44

前言44

香港仲裁历史46

加入《纽约公约》(1 977年)48

1982年修订案48

香港国际仲裁中心的成立(1985年)48

采用《示范法》(1 990年)50

采用《示范法》的理由50

“示范”法52

《示范法》适用于国际仲裁52

“国际”仲裁协议与“本地”仲裁协议52

选择适用或放弃适用54

1996年修订案56

香港和内地相互执行仲裁裁决安排(1997年至2000年)58

进一步改革(2000年)60

法律结构中的其它元素60

判例法60

高等法院规则60

执业指引62

第四章 仲裁协议66

概述66

仲裁协议的意义66

仲裁协议的定义68

“书面协议”要求70

因提述而并入的仲裁协议76

对仲裁协议的内容的正式要求76

香港仲裁示范条款80

临时仲裁80

适用《香港国际仲裁中心机构仲裁规则》的仲裁82

本地仲裁82

“放弃适用《示范法》”和“免除协议”条款84

适用《伦敦国际仲裁院仲裁规则》的仲裁84

适用《国际商会仲裁规则》的仲裁84

第五章 仲裁程序90

前言90

若干初步事项94

仲裁地94

法院的角色94

仲裁语言96

代表98

实体法98

保密性98

开始仲裁100

搁置诉讼102

国际仲裁102

本地仲裁104

仲裁庭106

仲裁员人数106

指定仲裁员106

仲裁员的资格和独立性110

对仲裁员的异议和撤换仲裁员110

仲裁员的义务和权力112

仲裁员报酬116

仲裁员的豁免权118

程序会议118

中期(初步)申请120

书面陈述：诉辩文件和案件陈述124

书面陈述的性质124

典型的陈述124

国际仲裁： 《示范法》的规定128

本地仲裁128

文件披露和审查128

仲裁费用的保证132

仲裁员费用的保证132

当事人费用的担保132

中间措施136

概述136

共享的权力138

针对境外仲裁程序，香港法院能否判给中间措施138

证据140

证据的种类140

证据规则140

仲裁庭关于证据的权力142

仲裁庭主动取证142

证人作证144

事实证人144

专家证人146

开庭146

国际仲裁146

本地仲裁148

开庭程序148

调解(或调停)150

裁决152

裁决的种类152

救济的性质154

作出决定154

格式和形式154

时限154

改正、解释裁决和作出追加裁决156

裁决的本地效力156

和解协议156

利息156

费用158

第六章 质疑、撤销和执行仲裁裁决164

前言164

质疑或撤销香港裁决164

撤销国际裁决的理由166

质疑本地裁决的理由168

在香港执行香港仲裁裁决170

承认和执行外国仲裁裁决172

执行《纽约公约》裁决172

执行非公约裁决178

第七章 香港和内地相互执行仲裁裁决182

前言182

在香港执行内地裁决184

在内地执行香港裁决186

《安排》的执行情况186

第八章 香港投资条约仲裁192

前言192

双边条约的作用194

依据香港双边条约开始仲裁196

香港双边条约中的实体规定198

公平和平等待遇198

国民待遇和最惠国待遇200

对征收的补偿202

汇回投资204

裁决的执行204

第九章 发展方向208

前言208

拟订的新仲裁条例的框架210

保密212

当事人的义务212

书面形式212

中间措施214

“缴存法院”制度214

指定仲裁员或公断人214

多名当事人216

对仲裁员的异议216

管辖权216

仲裁费用保证218

费用和收费218

执行218

“选择适用”的规定220

进展220

第十章 香港仲裁一百问224

基础知识224

在香港仲裁228

程序法和程序规则232

仲裁协议234

争议的准据法238

开始仲裁240

组成仲裁庭240

仲裁程序242

裁决250

执行裁决和对裁决提出异议252

索引260

案例索引260

法例索引266

国际条约索引268

索引275

Chapter 1 Introduction5

General5

What is arbitration?5

Why arbitration?5

Advantages7

Potential disadvantages13

Why Hong Kong?13

Institutional support for arbitration in Hong Kong17

The Hong Kong International Arbitration Centre17

The Chartered Institute of Arbitrators (East Asia Branch)19

The Hong Kong Institute of Arbitrators19

Chapter 2 The Hong Kong International Arbitration Centre23

History and organisation23

Services provided by the HKIAC25

Statutory powers of the HKIAC in relation to arbitrators27

Administered arbitration proceedings27

Short Form, Small Claims and Documents Only Proceedings29

Short Form Rules29

Small Claims Procedure29

The HKIAC Documents Only Procedure31

The HKIAC Electronic Transactions Arbitration Rules33

Domain name dispute resolution33

The Hong Kong Maritime Arbitration Group35

The Hong Kong Mediation Council35

HKIAC case load35

Chapter 3 The Legal Framework45

Introduction45

The history ofarbitration in Hong Kong47

Incorporating the New York Convention(1977)49

The 1982 amendments49

The establishment of the HKIAC(1985)49

Adoption ofthe Model Law(1990)51

Rationale for implementing the Model Law51

The“Model”Law53

The Model Law'S application to international arbitrations53

“International”V“domestic”arbitration agreements53

Opt in/opt out provisions55

The 1996 amendments57

Reciprocal enforcement between the Mainland and the Hong Kong SAR(1997-2000)59

Further reform(2000)61

Further elements ofthe legal framework61

Case law61

Rules ofthe High Court61

Practice Directions63

Chapter 4 The Arbitration Agreement67

General67

The significance of the arbitration agreement67

Arbitration agreement defined69

Requirement for“agreement in writing”71

Incorporation by reference77

Formal requirements regarding the content of arbitration agreements77

Model clause for arbitration in Hong Kong81

Ad hoc arbitration clause81

Arbitration under the HKIAC Administered Arbitration Rules83

Domestic arbitration clause83

“Opting out of Model Law”and exclusion agreement clauses85

Arbitration under the London Court of International Arbitration Rules85

Arbitration under the ICC Rules of Arbitration85

Chapter 5 Arbitration Procedure91

IntrOduction91

Some preliminary matters95

The place of arbitration95

The role of the courts95

The language of the arbitration97

Representation99

The applicable substantive law99

Confidentiality99

Commencement of the arbitration101

Stay of court proceedings103

International arbitrations103

Domestic arbitrations105

The arbitral tribunal107

Number of arbitrators107

Appointment of arbitrators107

Qualifications and independence of arbitrators111

Challenge,removal and replacement of arbitrators111

Duties and powers ofarbitrators113

Remuneration of arbitrators117

Immunity of arbitrators119

The preliminary meeting(case conference)119

Interlocutory(preliminary) applications121

Written submissions:pleadings and statements of case125

Nature of written submissions125

Typical submissions125

International arbitrations: Model Law provisions129

Domestic arbitrations129

Discovery and inspection129

Security for costs133

Security for the arbitrator's fees and expenses133

Security for the parties' costs133

Interim measures of protection137

Generally137

Concurrent powers139

Can a Hong Kong court grant interim measures of protection in relation to foreign arbitral proceedings?139

Evidence141

Types of evidence141

Rules of evidence141

Powers of tribunal in relation to evidence143

Evidence obtained by the tribunal on its own143

Witness testimony145

Witnesses of fact145

Expert witnesses147

Hearings147

International arbitrations147

Domestic arbitrations149

The order of proceedings149

Conciliation (or mediation)151

The award153

Types of awards153

Nature of relief155

Decision-making155

Form and formalities155

Time limits155

Powers to correct, interpretation of awards and additional awards157

Effect of awards locally157

Settlement agreements157

Interest157

Costs159

Chapter 6 Challenging, Setting Aside and Enforcing Arbitral Awards Introduction165

Challenging and setting aside arbitral awards made in Hong Kong165

Grounds for setting aside international awards167

Grounds for challenging domestic awards169

Enforcement in Hong Kong of arbitral awards made in Hong Kong171

Recognition and enforcement of foreign awards173

Enforcement of New York Convention awards173

Enforcement of non-Convention awards179

Chapter 7 Reciprocal Enforcement of Hong Kong and Mainland Arbitral Awards Introduction183

Enforcement of Mainland awards in Hong Kong185

Enforcement of Hong Kong awards in Mainland China187

The arrangement in practice187

Chapter 8 Investment Treaty Arbitration in Hong Kong193

Introduction193

Functions of a BIT195

Commencement of arbitrations under Hong Kong's BITs197

Substantive protections under Hong Kong's BIT?199

Fair and equitable treatment199

National treatment and most favoured nation treatment ("MFN")201

Compensation for expropriation203

Repatriation of investment205

Enforcement of awards205

Chapter 9 Future Directions209

Introduction209

Structure of proposed new Arbitration Ordinance211

Confidentiality213

Duties of parties213

Writing213

Interim measures215

Payment into court215

Appointment of arbitrators and umpires215

Multiple parties217

Challenge of arbitrators217

Jurisdiction217

Security for costs219

Costs and fees219

Enforcement219

Opting in provisions221

Progress221

Chapter 10 Hong Kong Arbitration: 100 Questions&Answers Background225

Arbitration in Hong Kong229

Procedural laws and rules233

The arbitration agreement235

The governing law of the dispute239

Commencing an arbitration241

Appointing a tribunal241

Arbitration procedure243

The award251

Enforcing and challenging awards253

Finding Aids261

Table of Cases261

Table of Statutes267

Table of International Conventions269

Index270