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View translated passages only
Oxford Law Citator
Contents
Expand All
Collapse All
Preliminary Material
Foreword to the First Edition
Foreword to the Second Edition
Preface
Contents
Table of Cases
Table of Legislation
Hong Kong
Other National Legislation
Australia
China
New Zealand
Russia
Scotland
Singapore
Spain
Switzerland
United Kingdom
International Treaties, Conventions and Other Instruments
Arbitration Rules
Hong Kong International Arbitration Centre (HKIAC)
Practice Notes
List of Abbreviations
Main Text
1 Introduction to Arbitration in Hong Kong
Preliminary Material
1.01
A Hong Kong—‘Asia’s World City’
1.02
1.03
1.04
1.05
1.06
1 Strategic location
1.07
1.08
2 Strong industry expertise
1.09
1.10
1.11
1.12
3 Developed legal framework
1.13
1.14
1.15
4 Independent judiciary
1.16
1.17
5 Free choice of arbitral procedures, legal representation, and arbitrators
1.18
1.19
1.20
6 Access to interim measures from the mainland Chinese courts
1.21
1.22
1.23
1.24
1.25
1.26
1.27
7 Worldwide enforceability of Hong Kong awards
1.28
B HKIAC
1.29
1.30
1.31
1.32
C The Hong Kong Arbitration Community
1.33
1.34
1.35
1.36
1.37
1.38
D Investor-State Disputes
1.39
1.40
1.41
1.42
1.43
E The ‘China Connection’
1 Insights on China-related disputes
1.44
1.45
1.46
1.47
1.48
2 The Legal Arbitration Framework
Preliminary Material
A The Hong Kong Arbitration Ordinance
1 Historical development of Hong Kong arbitration law
2.01
2.02
2.03
2.04
2.05
2.06
2.07
2.08
2.09
2.10
2.11
2.12
2.13
2.14
2.15
2.16
2 Structure and scope of the Arbitration Ordinance
2.17
2.18
2.19
2.20
3 Key features of the Arbitration Ordinance
2.21
B Arbitration-Related Court System
2.22
2.23
2.24
2.25
2.26
C Judicial Support of Arbitration
2.27
2.28
2.29
2.30
2.31
D Interim Measures in Hong Kong Arbitrations
2.32
2.33
2.34
2.35
2.36
2.37
E Enforcement of Hong Kong Arbitral Awards
2.38
2.39
2.40
2.41
2.42
F Sovereign and Crown Immunity in Hong Kong
2.43
2.44
2.45
2.46
2.47
2.48
2.49
2.50
3 Introduction to HKIAC
Preliminary Material
3.01
3.02
3.03
A History of HKIAC
3.04
3.05
3.06
3.07
3.08
3.09
3.10
B Organizational Structure
3.11
1 HKIAC management bodies
3.12
3.13
3.14
3.15
(a) Finance and Administration Committee
3.16
(b) Appointments Committee
3.17
3.18
3.19
3.20
(c) Proceedings Committee
3.21
3.22
3.23
3.24
3.25
2 Nominations Committee
3.26
3.27
3 HKIAC Secretariat
3.28
3.29
3.30
3.31
4 HKIAC Users’ Council
3.32
5 HK45
3.33
3.34
C Arbitration at HKIAC
3.35
1 Administering arbitrations under the HKIAC Administered Arbitration Rules
3.36
3.37
3.38
(a) Use of technology
3.39
3.40
3.41
(b) Twin-track fee regime and standard terms of appointment
3.42
3.43
(c) HKIAC’s prima facie power to proceed
3.44
3.45
(d) Multiple-party and multiple-contract arbitrations
3.46
(e) Emergency arbitrator procedure
3.47
(f) Expedited procedure
3.48
(g) Early determination procedure
3.49
3.50
(h) Disclosure, costs, and confidentiality of third party funding
3.51
(i) Use of alternative means of dispute resolution
3.52
(j) Time of delivering arbitral awards
3.53
(k) No formal scrutiny process
3.54
2 Administering arbitrations under other rules issued by HKIAC
3.55
3.56
3 Administering arbitrations under the UNCITRAL Rules
3.57
3.58
3.59
3.60
3.61
4 Processing applications under the Interim Measures Arrangement
3.62
3.63
5 Administering disputes as a permanent arbitral institution in Russia
3.64
3.65
3.66
6 Providing administrative services in investor-State arbitrations
3.67
3.68
3.69
3.70
3.71
7 Acting as appointing authority in ad hoc arbitrations seated in Hong Kong
3.72
3.73
3.74
3.75
3.76
3.77
8 Appointing experts
3.78
3.79
D Mediation at HKIAC
3.80
3.81
3.82
3.83
3.84
3.85
3.86
3.87
3.88
3.89
3.90
E Adjudication Services
3.91
3.92
3.93
F Domain Name Disputes at HKIAC
3.94
3.95
3.96
3.97
3.98
1 Generic Top-Level Domains (gTLDs)
(a) Uniform Domain Name Dispute Resolution Policy (UDRP)
3.99
3.100
(b) Uniform Rapid Suspension System (URS)
3.101
3.102
(c) Trademark Post Delegation Dispute Resolution Procedure (Trademark—PDDRP)
3.103
(d) Registrar Transfer Dispute Resolution Policy (TDRP)
3.104
(e) cTLDs
3.105
3.106
3.107
3.108
(f) Internet keywords and wireless keywords
3.109
G Other Services at HKIAC
1 Hearing facilities
3.110
3.111
3.112
3.113
3.114
3.115
2 Tribunal secretary service and training
3.116
3.117
3.118
3.119
3.120
3.121
3 Fundholding service
3.122
3.123
4 Authentication service
3.124
5 Secretariat support service
3.125
H Case Statistics
3.126
3.127
4 Model Arbitration Clauses
Preliminary Material
4.01
A The Purpose of a Model Clause
4.02
4.03
4.04
4.05
B HKIAC Model Clauses
4.06
1 Model clause providing for arbitration under the HKIAC Administered Arbitration Rules
4.07
4.08
2 Model clause providing for arbitration administered by HKIAC under the UNCITRAL Rules
4.09
3 Model clause providing for ad hoc arbitration under the UNCITRAL Rules
4.10
4 Model clause providing for arbitration under the HKIAC Domestic Arbitration Rules
4.11
4.12
4.13
4.14
4.15
C Key Elements of the HKIAC Model Clause
4.16
1 Agreement to arbitrate
4.17
4.18
2 Scope of disputes covered
4.19
4.20
4.21
3 Selection of a seat of arbitration (or place of arbitration)
4.22
4.23
4.24
4.25
4.26
4.27
4 Designation of an arbitral institution and its rules
4.28
4.29
4.30
4.31
4.32
4.33
4.34
4.35
4.36
4.37
5 Number of arbitrators
4.38
4.39
4.40
6 Language of the arbitration
4.41
4.42
4.43
7 Law governing the arbitration agreement
4.44
4.45
4.46
4.47
4.48
4.49
4.50
4.51
D Other Considerations
1 Mandatory requirements under applicable laws
4.52
4.53
4.54
2 Conditions precedent
4.55
4.56
3 Procedural considerations
4.57
4.58
4.59
4.60
5 General Provisions (Articles 1–3)
Preliminary Material
5.01
A Article 1—Scope of Application
1 Article 1.1—Arbitration agreements to which the Rules apply
(a) Purpose
5.02
5.03
(b) Criteria
5.04
5.05
5.06
5.07
5.08
5.09
5.10
5.11
2 Article 1.2—Administration by HKIAC
5.12
5.13
5.14
5.15
3 Article 1.3: Arbitration agreements to which the Rules do not apply
5.16
5.17
5.18
4 Articles 1.4 and 1.5—Commencement of the Rules and grandfathering provisions
5.19
5.20
5.21
5.22
5.23
B Article 2—Interpretation of Rules
1 Article 2.1—Power to interpret the HKIAC Rules (2018)
5.24
5.25
2 Article 2.2—Reasons and finality of HKIAC’s decisions
(a) Reasons
5.26
(b) Finality
5.27
5.28
5.29
5.30
3 Article 2.3—Designation of HKIAC
5.31
5.32
5.33
4 Article 2.4—Definition of HKIAC
5.34
5 Articles 2.5–2.16—Definitions of Other Key Terms
5.35
(a) ‘Claimant’, ‘Respondent’, ‘party’, ‘additional party’, ‘arbitral tribunal’, ‘witness’, ‘claim’, ‘counterclaim’, ‘arbitration agreement’, and ‘language’
5.36
5.37
(b) ‘Award’
5.38
5.39
(c) ‘Seat’ of arbitration
5.40
5.41
(d) ‘Written communications’ and ‘communication’
5.42
6 Article 2.17—Schedules
5.43
5.44
7 Article 2.18—Practice notes and guidelines
5.45
5.46
8 Article 2.19—Prevailing language of the Rules
5.47
C Article 3—Written Communications and Calculation of Time Limits
5.48
5.49
5.50
1 Article 3.1—Receipt of written communications
5.51
5.52
5.53
5.54
5.55
5.56
5.57
5.58
5.59
5.60
5.61
5.62
2 Article 3.2—Attempted communication
5.63
5.64
5.65
5.66
5.67
3 Article 3.3—Date of receipt
5.68
5.69
4 Article 3.4—Communications to multiple recipients
5.70
5.71
5 Articles 3.5 and 3.6—Time limits
(a) Calculation of time limits
5.72
5.73
5.74
(b) Amendment of time limits
5.75
5.76
6 Commencement of the Arbitration (Articles 4 and 5, Schedule 1)
Preliminary Material
6.01
6.02
A Article 4—Notice of Arbitration
1 Article 4.1
6.03
(a) Delivery of the Notice of Arbitration
6.04
6.05
6.06
6.07
(b) Processing the Notice of Arbitration
6.08
6.09
2 Article 4.2
6.10
6.11
6.12
6.13
6.14
6.15
6.16
6.17
6.18
6.19
6.20
3 Article 4.3
6.21
6.22
6.23
6.24
(a) A request for arbitration
6.25
6.26
6.27
(b) Contact details of the parties and their representatives
6.28
6.29
6.30
6.31
6.32
6.33
(c) The arbitration agreement(s) invoked
6.34
6.35
6.36
6.37
(d) A copy of the contract(s) or other legal instrument(s) out of or in relation to which the dispute arises, or reference thereto
6.38
6.39
6.40
6.41
(e) A description of the general nature of the claim and an indication of the amount involved, if any
6.42
6.43
6.44
(f) The relief or remedy sought
6.45
6.46
6.47
(g) A proposal as to the number of arbitrators
6.48
6.49
6.50
6.51
(h) The claimant’s proposal and comments regarding the designation of an arbitrator
6.52
6.53
6.54
6.55
6.56
6.57
6.58
(i) The existence of any funding agreement and the identity of any third party funder
6.59
6.60
6.61
6.62
(j) Confirmation of delivery
6.63
6.64
4 Article 4.4
6.65
6.66
6.67
6.68
6.69
6.70
5 Article 4.5
6.71
6.72
6 Article 4.6
6.73
6.74
6.75
6.76
6.77
7 Article 4.7
6.78
6.79
6.80
6.81
6.82
8 Article 4.8
6.83
6.84
6.85
B Article 5—Answer to the Notice of Arbitration
6.86
6.87
1 Article 5.1
(a) Time limit for submitting the Answer
6.88
6.89
(b) Form requirement
6.90
6.91
6.92
(c) Contact information of the respondent and its representatives
6.93
6.94
(d) Any plea that an arbitral tribunal constituted under these Rules lacks jurisdiction
6.95
6.96
(e) The respondent’s comments on the nature of the claim and the amount in dispute
6.97
6.98
(f) The respondent’s answer to the claimant’s relief or remedy
6.99
(g) The respondent’s proposal as to the number of arbitrators
6.100
6.101
6.102
(h) The respondent’s proposal and comments regarding the designation of an arbitrator
6.103
6.104
6.105
6.106
(i) The existence of any funding agreements and the identity of any third party funder
6.107
(j) Confirmation of delivery
6.108
6.109
2 Article 5.2
6.110
6.111
3 Article 5.3
6.112
6.113
6.114
4 Article 5.4
6.115
6.116
6.117
6.118
6.119
C Schedule 1—Registration and Administrative Fees
6.120
1 Schedule 1—paragraph 1.1
6.121
6.122
6.123
2 Schedule 1—paragraph 1.2
6.124
3 Schedule 1—paragraph 1.3
6.125
6.126
4 Schedule 1—paragraph 2.1
6.127
6.128
6.129
6.130
5 Schedule 1—paragraph 2.2
6.131
6 Schedule 1—paragraph 2.3
6.132
6.133
7 Schedule 1—paragraph 2.4
6.134
6.135
8 Schedule 1—paragraph 2.5
6.136
6.137
6.138
6.139
9 Schedule 1—paragraph 2.6
6.140
10 Schedule 1—paragraph 2.7
6.141
11 Schedule 1—paragraph 2.8
6.142
6.143
7 Arbitral Tribunal (Articles 6–12, Schedules 2 and 3)
Preliminary Material
7.01
7.02
7.03
A Article 6—Number of Arbitrators
7.04
7.05
7.06
7.07
1 Article 6.1
(a) The parties’ agreement on the number of arbitrators
7.08
7.09
7.10
7.11
7.12
7.13
7.14
(b) Determination of the number of arbitrators by HKIAC
7.15
7.16
7.17
7.18
7.19
2 Article 6.2
7.20
7.21
B Article 7—Appointment of a Sole Arbitrator
7.22
7.23
7.24
7.25
1 Article 7.1
7.26
7.27
7.28
2 Article 7.2
7.29
7.30
(a) Procedure for the appointment of a sole arbitrator by HKIAC
7.31
(b) Considerations for appointing a sole arbitrator
7.32
7.33
7.34
(c) Diversity in arbitrator appointments
7.35
7.36
3 Article 7.3
7.37
C Article 8—Appointment of Three Arbitrators
7.38
7.39
7.40
7.41
1 Article 8.1
7.42
(a) Appointment of co-arbitrators
7.43
7.44
7.45
7.46
7.47
7.48
(b) Appointment of the third and presiding arbitrator
7.49
7.50
7.51
7.52
7.53
2 Article 8.2
7.54
7.55
(a) Regular appointment procedure
7.56
7.57
(b) HKIAC’s power to appoint all arbitrators
7.58
7.59
7.60
7.61
7.62
7.63
7.64
7.65
7.66
7.67
7.68
7.69
7.70
7.71
7.72
3 Article 8.3
7.73
7.74
D Article 9—Confirmation of the Arbitral Tribunal
7.75
7.76
7.77
1 Article 9.1
7.78
7.79
7.80
7.81
7.82
7.83
7.84
7.85
7.86
7.87
2 Article 9.2
7.88
3 Article 9.3
7.89
7.90
E Article 10, Schedules 2 and 3—Fees and Expenses of the Arbitral Tribunal
7.91
7.92
7.93
7.94
1 Article 10.1
7.95
7.96
7.97
7.98
7.99
7.100
2 Article 10.2
7.101
7.102
7.103
7.104
3 Article 10.3
7.105
7.106
7.107
7.108
4 Schedule 2—section 1
7.109
7.110
7.111
7.112
7.113
5 Schedule 3—section 1
7.114
7.115
7.116
7.117
6 Schedules 2 and 3—section 2
7.118
7.119
7.120
7.121
7.122
7.123
7 Schedule 2—section 3
7.124
7.125
7.126
8 Schedule 3—section 3
7.127
7.128
9 Schedules 2 and 3—section 4
7.129
10 Schedules 2 and 3—section 5
7.130
7.131
11 Schedule 2—section 6
7.132
7.133
12 Schedule 3—section 6
7.134
7.135
7.136
7.137
7.138
7.139
7.140
7.141
13 Schedules 2 and 3—section 7
7.142
7.143
14 Schedules 2 and 3—section 8
7.144
7.145
15 Schedule 2—section 9
7.146
7.147
7.148
7.149
7.150
7.151
16 Schedule 2—section 10
7.152
7.153
7.154
7.155
F Article 11—Qualifications and Challenge of the Arbitral Tribunal
7.156
7.157
7.158
7.159
1 Article 11.1
(a) Duty of impartiality and independence
7.160
7.161
7.162
(b) Ongoing duty throughout the arbitration
7.163
2 Article 11.2
(a) The nationality requirement
7.164
7.165
7.166
(b) Determination of nationality
7.167
3 Article 11.3
7.168
7.169
4 Article 11.4
7.170
(a) Content of the Declaration
7.171
7.172
7.173
7.174
7.175
7.176
7.177
(b) Duty of disclosure
7.178
7.179
7.180
7.181
(c) Ongoing duty to disclose
7.182
7.183
7.184
5 Article 11.5
7.185
7.186
7.187
7.188
7.189
7.190
7.191
6 Article 11.6
7.192
7.193
(a) Justifiable doubts as to an arbitrator’s impartiality or independence
7.194
7.195
7.196
7.197
(b) Lack of qualifications agreed by the parties
7.198
7.199
(c) De jure or de facto unable to perform functions or failure to act without undue delay
7.200
7.201
7.202
7 Article 11.7
7.203
7.204
7.205
7.206
7.207
7.208
7.209
8 Article 11.8
7.210
7.211
7.212
9 Article 11.9
(a) Determination of the challenge by HKIAC
7.213
7.214
7.215
7.216
7.217
7.218
(b) Finality of HKIAC decision on challenge under Hong Kong law
7.219
7.220
(c) Status of proceedings while challenge pending
7.221
7.222
7.223
10 Article 11.10
7.224
7.225
G Article 12—Replacement of an Arbitrator
7.226
1 Article 12.1
7.227
7.228
7.229
2 Article 12.2
7.230
7.231
7.232
3 Article 12.3
7.233
8 Emergency Relief and Interim Measures of Protection (Articles 23 and 24, Schedule 4)
Preliminary Material
8.01
8.02
8.03
8.04
8.05
8.06
A Article 23.1 and Schedule 4—Emergency Relief from an Emergency Arbitrator
8.07
8.08
8.09
1 Article 23.1—application for emergency relief
(a) The need for emergency relief
8.10
8.11
8.12
8.13
(b) Definition of ‘emergency relief’
8.14
8.15
(c) Factors to be considered by an emergency arbitrator when granting emergency relief
8.16
8.17
8.18
(d) Types of emergency relief that can be granted by an emergency arbitrator
8.19
8.20
2 Schedule 4—paragraph 1
8.21
8.22
8.23
8.24
3 Schedule 4—paragraphs 2–3
(a) Service of an application for emergency relief
8.25
8.26
(b) Components of an application for emergency relief
8.27
8.28
4 Schedule 4—paragraph 4
8.29
8.30
8.31
8.32
8.33
5 Schedule 4—paragraph 5
8.34
8.35
8.36
8.37
6 Schedule 4—paragraph 6
8.38
7 Schedule 4—paragraph 7
8.39
8.40
8.41
8.42
8.43
8.44
8 Schedule 4—paragraph 8
8.45
8.46
8.47
9 Schedule 4—paragraph 9
8.48
10 Schedule 4—paragraph 10
8.49
8.50
8.51
8.52
8.53
11 Schedule 4—paragraph 11
8.54
12 Schedule 4—paragraphs 12 and 13
8.55
8.56
8.57
13 Schedule 4—paragraph 14
8.58
8.59
8.60
8.61
14 Schedule 4—paragraph 15
8.62
8.63
8.64
8.65
8.66
8.67
15 Schedule 4—paragraph 16
8.68
8.69
8.70
16 Schedule 4—paragraph 17
8.71
17 Schedule 4—paragraphs 18 and 19
8.72
8.73
18 Schedule 4—paragraph 20
8.74
8.75
19 Schedule 4—paragraph 21
8.76
20 Schedule 4—paragraph 22
8.77
B Articles 23.2–23.8—Interim Relief from an Arbitral Tribunal
8.78
8.79
8.80
1 Article 23.2—tribunal may order interim measures
8.81
8.82
2 Article 23.3—types of interim measures
(a) Definition of interim measures
8.83
(b) Types and forms of interim measures
8.84
8.85
8.86
8.87
8.88
(c) Other provisional measures available from arbitral tribunals under Hong Kong law
8.89
8.90
8.91
8.92
3 Article 23.4—factors to consider before ordering interim measures
8.93
8.94
8.95
8.96
8.97
4 Article 23.5—modification, suspension, or termination of interim measures
8.98
8.99
5 Article 23.6—security in connection with an interim measure
8.100
8.101
6 Article 23.7—material change in circumstances
8.102
7 Article 23.8—liability for costs and damages
8.103
8.104
C Article 23.9—Interim Relief from a Competent Authority
1 Article 23.9—request for interim measures by a court
8.105
(a) Advantages and disadvantages of seeking interim relief from courts and arbitral tribunals
8.106
8.107
(b) Statutory power of the Hong Kong courts to issue interim relief
8.108
8.109
8.110
8.111
8.112
8.113
8.114
8.115
8.116
8.117
8.118
D Article 24—Security for Costs
1 Article 24—order for security for costs
8.119
8.120
8.121
8.122
8.123
8.124
8.125
9 Conduct of the Arbitration (Articles 13–22, 25–26, 31–32)
Preliminary Material
9.01
A Article 13—General Provisions
9.02
1 Article 13.1—arbitral tribunal’s power to adopt suitable procedures
(a) The arbitral tribunal’s power to determine the procedures
9.03
9.04
9.05
9.06
(b) Subject to the HKIAC Rules
9.07
(c) Avoiding unnecessary delay or expense
9.08
9.09
(d) Having regard to the complexity of the issues, the amount in dispute, and the effective use of technology
9.10
9.11
9.12
9.13
(e) Ensuring equal treatment of the parties and a reasonable opportunity to present their case
9.14
9.15
9.16
9.17
9.18
9.19
9.20
9.21
9.22
2 Article 13.2—provisional timetable
9.23
9.24
9.25
3 Article 13.3—communication of documents or information
9.26
9.27
9.28
9.29
4 Article 13.4—appointment of a tribunal secretary
(a) Need for tribunal secretaries
9.30
9.31
9.32
9.33
(b) Appointment of a tribunal secretary
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9.35
9.36
9.37
(c) Appointment of an HKIAC Secretariat member as tribunal secretary
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9.39
9.40
9.41
9.42
(d) Impartiality and independence of a tribunal secretary
9.43
9.44
(e) Role of a tribunal secretary
9.45
9.46
9.47
9.48
9.49
(f) Remuneration of a tribunal secretary
9.50
9.51
9.52
5 Article 13.5—ensuring the fair and efficient conduct of the arbitration
9.53
9.54
9.55
9.56
6 Article 13.6—party representation
(a) Free choice of legal representation
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9.58
(b) Subject to Article 13.5
9.59
9.60
(c) Communication of the details of the party representatives
9.61
(d) Proof of authority
9.62
9.63
7 Article 13.7—changes or additions to a party’s legal representatives
9.64
8 Article 13.8—parties’ agreement to pursue other means of settling their dispute
9.65
9 Article 13.9—matters not expressly provided for in the Rules
9.66
9.67
10 Article 13.10—ensuring that an award is valid
9.68
9.69
B Article 14—Seat and Venue of the Arbitration
9.70
1 Article 14.1—seat of the arbitration
(a) Parties are free to agree on any seat of arbitration
9.71
9.72
9.73
9.74
9.75
9.76
9.77
9.78
(b) Hong Kong as the default seat
9.79
9.80
9.81
9.82
(c) The arbitral tribunal’s discretion to choose another seat
9.83
9.84
2 Article 14.2—venue of hearings and meetings
9.85
9.86
9.87
9.88
9.89
C Article 15—Language of the Arbitration
9.90
1 Article 15.1—communications in English or Chinese prior to determining the language of the arbitration
9.91
2 Article 15.2—arbitral tribunal’s power to determine the language of the arbitration
(a) Parties are free to agree on any language of arbitration
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9.93
(b) Languages used by HKIAC
9.94
9.95
9.96
9.97
(c) The arbitral tribunal must determine the language(s) of the arbitration absent party agreement
9.98
9.99
3 Article 15.3—translation of supporting materials
9.100
9.101
9.102
9.103
9.104
D Article 19—Jurisdiction of the Arbitral Tribunal
9.105
9.106
1 Article 19.1—arbitral tribunal’s power to rule on its own jurisdiction
9.107
9.108
9.109
9.110
2 Article 19.2—separability of the arbitration agreement
9.111
9.112
3 Article 19.3—plea of lack of jurisdiction
9.113
9.114
9.115
9.116
9.117
4 Article 19.4—jurisdictional questions raised prior to the constitution of the arbitral tribunal
9.118
9.119
9.120
5 Article 19.5—HKIAC’s decision concerning jurisdictional questions
9.121
9.122
9.123
9.124
9.125
9.126
9.127
6 Article 19.6—effect of the HKIAC’s decision regarding jurisdictional questions
9.128
E Articles 16–18 and 20–21—Written Submissions
9.129
9.130
9.131
9.132
1 Article 16.1—filing a Statement of Claim
(a) Form of the Statement of Claim
9.133
9.134
(b) The time limit for filing the Statement of Claim
9.135
9.136
(c) Delivery of the Statement of Claim
9.137
2 Article 16.2—contents of the Statement of Claim
9.138
9.139
3 Article 16.3—supporting materials annexed to the Statement of Claim
9.140
9.141
4 Article 16.4—varying the Statement of Claim’s requirements
9.142
5 Article 17.1—filing a Statement of Defence
9.143
6 Article 17.2—contents of the Statement of Defence
(a) Basic contents of the Statement of Defence
9.144
9.145
(b) Objection to the arbitral tribunal’s jurisdiction or the proper constitution of the tribunal
9.146
9.147
7 Article 17.3—counterclaims, set-off defences, and cross-claims
9.148
8 Article 17.4—supporting materials annexed to the Statement of Defence
9.149
9 Article 17.5—varying the Statement of Defence’s requirements
9.150
10 Article 18.1—amendments and supplements to claims or defences
9.151
9.152
9.153
9.154
9.155
9.156
11 Article 18.2—adjustment of HKIAC’s Administrative Fees and the arbitral tribunal’s fees
9.157
12 Article 20—further written statements
9.158
9.159
9.160
13 Article 21.1—time limits for written statements
9.161
14 Article 21.2—extension of time limits for written statements
9.162
9.163
9.164
F Article 22—Evidence and Hearings
9.165
1 Article 22.1—burden of proof
9.166
9.167
2 Article 22.2—assessment of evidence
9.168
9.169
9.170
3 Article 22.3—production of documents
(a) Document production process
9.171
9.172
9.173
9.174
9.175
(b) Documents that are relevant to the case and material to its outcome
9.176
9.177
(c) Admission and exclusion of evidence
9.178
9.179
9.180
4 Article 22.4—hearings
9.181
(a) The arbitral tribunal’s power to hold oral hearings
9.182
9.183
9.184
9.185
9.186
(b) Notice of hearing
9.187
9.188
5 Article 22.5—witnesses and experts
9.189
9.190
9.191
9.192
6 Article 22.6—translation and transcript
(a) Translation of oral statements
9.193
9.194
(b) Record of the hearing
9.195
9.196
7 Article 22.7—privacy of hearings and cross-examination
(a) Privacy of hearings
9.197
9.198
(b) Sequestration of witnesses or experts
9.199
9.200
G Article 25—Tribunal-Appointed Experts
9.201
9.202
1 Article 25.1—appointment of an expert by the arbitral tribunal
(a) Arbitral tribunal’s powers to appoint experts
9.203
9.204
9.205
9.206
(b) Terms of reference
9.207
(c) Expert to produce a written report
9.208
9.209
9.210
9.211
2 Article 25.2—provision of information to tribunal-appointed expert
9.212
9.213
3 Article 25.3—communication of tribunal-appointed expert report to the parties
9.214
9.215
9.216
4 Article 25.4—examination of tribunal-appointed expert by the parties
9.217
9.218
9.219
5 Article 25.5—impartiality and independence of tribunal-appointed expert
9.220
9.221
H Article 26—Default
9.222
9.223
9.224
1 Article 26.1—claimant’s failure to submit its written statement
9.225
9.226
9.227
9.228
2 Article 26.2—respondent’s failure to submit its written statement
9.229
9.230
9.231
3 Article 26.3—failure to present case
9.232
9.233
9.234
I Article 31—Closure of Proceedings
9.235
1 Article 31.1—closing the proceedings
9.236
9.237
9.238
9.239
2 Article 31.2—anticipated date for rendering an award
9.240
3 Article 31.3—anticipated date for rendering an award inapplicable to the Expedited Procedure
9.241
4 Article 31.4—reopening the proceedings
9.242
9.243
J Article 32—Waiver
9.244
1 Article 32.1—waiver of the right to object
9.245
9.246
9.247
9.248
9.249
2 Article 32.2—waiver of the objection to the validity and/or enforcement of an award
9.250
9.251
9.252
10 Complex Arbitrations (Articles 27–30)
Preliminary Material
10.01
10.02
10.03
10.04
10.05
10.06
10.07
10.08
10.09
10.10
A Article 27—Joinder of Additional Parties
10.11
10.12
10.13
10.14
10.15
10.16
1 Article 27.1—power of the arbitral tribunal and HKIAC to order joinder
(a) Definition of ‘additional party’
10.17
10.18
10.19
10.20
10.21
(b) Where constituted, the arbitral tribunal decides requests for joinder
10.22
10.23
(c) Where the arbitral tribunal is not yet constituted, HKIAC decides requests for joinder
10.24
10.25
10.26
10.27
(d) Prima facie basis for decision
10.28
(e) Definition of ‘an arbitration agreement under these Rules giving rise to the arbitration’
10.29
(f) ‘Including any arbitration under Articles 28 or 29’
10.30
10.31
10.32
10.33
(g) ‘All parties, including the additional party, expressly agree’
10.34
2 Article 27.2—effect of any decision to order joinder
10.35
10.36
3 Article 27.3—time limit for raising a Request for Joinder
10.37
4 Article 27.4—submission of Request for Joinder prior to the constitution of the arbitral tribunal
10.38
10.39
10.40
5 Article 27.5—submission of Request for Joinder after the constitution of the arbitral tribunal
10.41
6 Article 27.6—content of Request for Joinder
(a) Content of Request
10.42
10.43
10.44
(b) Express Request for Joinder
10.45
(c) Status of a joined party
10.46
(d) Existence of any funding agreement and the identity of any third party funder
10.47
(e) Confirming the communication of the Request for Joinder
10.48
10.49
7 Article 27.7—Answer to the Request for Joinder
(a) Not applicable where Request for Joinder submitted under Article 27.9
10.50
(b) Content of Answer
10.51
(c) Service of Answer to the Request for Joinder
10.52
(d) Objections to jurisdiction
10.53
(e) Objections to the constitution of the tribunal
10.54
10.55
10.56
10.57
10.58
(f) Additional party’s comments on particulars in the Request for Joinder
10.59
10.60
10.61
(g) Additional party’s answer to the relief or remedy sought in the Request for Joinder
10.62
(h) Claims by the additional party against any other party to the arbitration
10.63
(i) Existence of any funding agreement and the identity of any third party funder
10.64
(j) Confirming the communication of the Answer to the Request for Joinder and any supporting materials
10.65
8 Article 27.8—power to vary the content requirements
10.66
9 Article 27.9—additional party wishing to be joined to the arbitration
10.67
10.68
10.69
10 Article 27.10—parties’ comments on Request for Joinder
10.70
10.71
10.72
11 Article 27.11—date of commencement of arbitration against joined party
10.73
10.74
12 Article 27.12—waiver of the right to designate an arbitrator
10.75
10.76
13 Article 27.13—appointment of arbitrators
10.77
(a) ‘HKIAC may revoke any confirmation or appointment of an arbitrator’
10.78
10.79
10.80
10.81
10.82
(b) HKIAC ‘shall appoint the arbitral tribunal with or without regard to any party’s designation’
10.83
10.84
10.85
10.86
10.87
10.88
14 Article 27.14—consequences of revocation of confirmation or appointment
(a) Act or order before appointment revoked
10.89
10.90
10.91
(b) Entitlement to fees
10.92
(c) Limitation bars and similar rules or provisions
10.93
15 Article 27.15—adjustment of Administrative Fees or arbitral tribunal’s fees
10.94
10.95
B Article 28—Consolidation of Arbitrations
10.96
10.97
10.98
10.99
10.100
10.101
10.102
10.103
10.104
1 Article 28.1—conditions for consolidation
(a) Power to consolidate
10.105
10.106
10.107
(b) Article 28.1(a): consolidation with party agreement
10.108
10.109
10.110
10.111
(c) Article 28.1(b): claims under the same arbitration agreement
10.112
10.113
10.114
(d) Article 28.1(c): claims under more than one arbitration agreement
10.115
10.116
Common question of law or fact.
10.117
Same transaction or a series of related transactions.
10.118
10.119
10.120
10.121
10.122
10.123
10.124
Compatible arbitration agreements.
10.125
10.126
10.127
10.128
10.129
10.130
10.131
10.132
(e) Consolidation under Schedule 2 of the Arbitration Ordinance
10.133
10.134
10.135
2 Article 28.2—service of the Request for Consolidation
10.136
10.137
3 Article 28.3—content of the Request for Consolidation
10.138
10.139
10.140
10.141
10.142
4 Article 28.4—HKIAC’s power to vary the content requirements of the Request for Consolidation
10.143
5 Article 28.5—comments on the Request for Consolidation
10.144
10.145
10.146
6 Article 28.6—decision on Request for Consolidation
10.147
10.148
10.149
7 Article 28.7—consolidation without prejudice to earlier acts by a competent authority
10.150
10.151
8 Article 28.8—appointment of arbitrators
(a) Deemed waiver of right to designate arbitrators
10.152
10.153
10.154
(b) ‘HKIAC shall appoint the arbitral tribunal in respect of the consolidated proceedings with or without regard to any party’s designation’
10.155
(c) ‘HKIAC may revoke any confirmation or appointment of an arbitrator’
10.156
10.157
9 Article 28.9—revocation of appointment is without prejudice
(a) Act or order before confirmation or appointment revoked
10.158
(b) Entitlement to fees
10.159
(c) Limitation periods
10.160
10 Article 28.10—adjustment of Administrative Fees and tribunal’s fees
(a) HKIAC’s Administrative Fees
10.161
(b) Tribunal’s fees
10.162
10.163
10.164
(c) Costs of a consolidated arbitration
10.165
C Article 29—Single Arbitration under Multiple Contracts
10.166
10.167
10.168
1 Article 29.1—single arbitration under multiple contracts
10.169
10.170
10.171
10.172
10.173
10.174
10.175
10.176
D Article 30—Concurrent Arbitrations
10.177
10.178
1 Article 30.1—arbitral tribunal’s power to conduct two or more arbitrations concurrently
10.179
10.180
(a) Meaning of ‘concurrently’
10.181
10.182
(b) Criteria for concurrent arbitrations
10.183
Same arbitral tribunal constituted in each of the arbitrations
10.184
10.185
10.186
Common question of law or fact arises in all the arbitrations
10.187
2 Article 30.2—HKIAC’s power to adjust its Administrative Fees and the arbitral tribunal’s fees
10.188
10.189
11 Awards, Decisions, and Orders of the Arbitral Tribunal (Articles 33–40)
Preliminary Material
11.01
A Article 33—Decisions
1 Article 33.1—majority rulings
11.02
2 Article 33.2— procedural rulings
11.03
B Article 34—Costs of the Arbitration
1 Article 34.1—definition of costs
11.04
11.05
(a) Preliminary issues
11.06
11.07
11.08
(b) Heads of costs
11.09
(c) Factors relevant to the assessment of costs
11.10
11.11
11.12
11.13
11.14
2 Article 34.2— limiting recoverable legal fees
11.15
11.16
11.17
3 Article 34.3—apportionment of costs
11.18
(a) Costs follow the event
11.19
(b) Costs lie where they fall
11.20
(c) Issues-based allocation
11.21
4 Article 34.4—third party funding agreements and determination of the costs of the arbitration
11.22
11.23
5 Article 34.5—consolidated proceedings
11.24
6 Article 34.6—determination of costs following termination of proceedings prior to issuance of award
11.25
11.26
11.27
C Article 35—Form and Effect of the Award
1 Article 35.1—type of award
11.28
2 Article 35.2—form and binding nature of an award
(a) Final and binding effect of awards
11.29
11.30
11.31
(b) Waiver
11.32
11.33
3 Article 35.3—compliance with an award by the parties
11.34
11.35
4 Article 35.4—reasoning
(a) Duty to give reasons
11.36
11.37
11.38
11.39
(b) Form of reasons
11.40
(c) Exceptions to the duty to give reasons
11.41
11.42
11.43
5 Article 35.5—execution of the award
11.44
(a) Signatures of arbitral tribunal
11.45
11.46
(b) Date of the arbitral award
11.47
(c) Seat of arbitration
11.48
11.49
6 Article 35.6—transmission of the award
11.50
11.51
11.52
11.53
D Article 36—Applicable Law, Amiable Compositeur
1 Article 36.1—applicable law
11.54
11.55
(a) Parties’ choice of law
11.56
11.57
11.58
(b) Consequence of parties’ failure to designate a law
11.59
11.60
11.61
2 Article 36.2—amiable compositeur
11.62
11.63
11.64
3 Article 36.3—applicable contractual terms and trade usages
11.65
11.66
11.67
11.68
11.69
E Article 37—Settlement or Other Grounds for Termination
11.70
1 Article 37.1—termination of the arbitration prior to the constitution of the arbitral tribunal
11.71
2 Article 37.2—settlement of the dispute continuation of the arbitration becomes unnecessary or impossible
(a) Article 37.2(a)—Settlement of the arbitration
11.72
Termination order
11.73
11.74
Consent award
11.75
11.76
11.77
11.78
(b) Article 37.2(b)—Continuation of the arbitration is unnecessary or impossible
11.79
11.80
11.81
3 Article 37.3—communication of the termination order or consent award
11.82
(a) Termination order
11.83
11.84
(b) Consent award
11.85
11.86
F Article 38—Correction of the Award
1 Article 38.1—request for correction of an award by a party
11.87
11.88
11.89
2 Article 38.2—time limit within which a correction may be made
11.90
11.91
3 Article 38.3—corrections initiated by the arbitral tribunal
11.92
4 Article 38.4—further corrections
11.93
11.94
5 Article 37.5—form of corrections
11.95
11.96
G Article 39—Interpretation of the Award
1 Article 39.1—request for interpretation of an award by a party
11.97
11.98
11.99
2 Article 39.2—time limit within which an interpretation may be made
11.100
11.101
3 Article 39.3—further interpretation
11.102
11.103
4 Article 39.4—form of interpretation
11.104
11.105
H Article 40—Additional Award
1 Article 40.1—request for an additional award by a party
11.106
11.107
11.108
2 Article 40.2—time limit within which an additional award may be made
11.109
11.110
3 Article 40.3—additional award as a result of a correction or interpretation
11.111
11.112
3 Article 40.4—form
11.113
I Article 41—Deposits for Costs
1 Article 41.1—request for initial deposits
(a) Purpose of the request for initial deposits
11.114
(b) Timing of the request
11.115
(c) Amount of the initial deposit
11.116
11.117
11.118
11.119
11.120
(d) Payment of the initial deposit
11.121
11.122
11.123
11.124
11.125
11.126
2 Article 41.2—separate deposits
11.127
11.128
3 Article 41.3—supplementary deposits
11.129
11.130
4 Article 41.4—failure to pay
11.131
11.132
11.133
5 Article 41.5—payment on behalf of another party
11.134
6 Article 41.6—accounting in final award
11.135
7 Article 41.7—deposit holding accounts
11.136
12 Expedited Procedure and Early Determination Procedure (Articles 42–43)
Preliminary Material
12.01
A Article 42—Expedited Procedure
12.02
12.03
12.04
12.05
12.06
12.07
12.08
1 Article 42.1—application for the Expedited Procedure
12.09
12.10
12.11
12.12
12.13
(a) Amount in dispute
12.14
12.15
12.16
12.17
(b) Agreement by the parties
12.18
12.19
12.20
12.21
(c) In cases of exceptional urgency
12.22
12.23
12.24
12.25
12.26
12.27
(d) Discretion
12.28
12.29
12.30
12.31
12.32
2 Article 42.2—Expedited Procedure rules
12.33
(a) Number of arbitrators
12.34
12.35
12.36
12.37
12.38
12.39
12.40
(b) Time limits
12.41
(c) Pleadings
12.42
(d) Hearings
12.43
12.44
(e) Arbitral award
12.45
12.46
12.47
12.48
(f) Reasons for the arbitral award
12.49
12.50
3 Article 42.3—Disapplying the Expedited Procedure
12.51
12.52
12.53
12.54
12.55
B Article 43—Early Determination Procedure
12.56
12.57
12.58
12.59
12.60
12.61
12.62
12.63
1 Article 43.1—tribunal’s power to decide by way of EDP
12.64
12.65
12.66
12.67
12.68
12.69
12.70
12.71
2 Article 43.2—communicating the request for EDP
12.72
3 Article 43.3—timeliness of the request for EDP
12.73
12.74
4 Article 43.4—contents of the request for EDP
12.75
12.76
5 Article 43.5—decision on whether to proceed
12.77
12.78
6 Article 43.6—order/award on the points of law or fact
12.79
12.80
12.81
7 Article 43.7—decision as to whether the arbitration shall proceed
12.82
13 Other Provisions (Articles 44–46)
Preliminary Material
13.01
A Article 44—Disclosure of Third Party Funding of Arbitration
13.02
13.03
13.04
13.05
13.06
13.07
13.08
13.09
13.10
1 Article 44.1—duty of disclosure
13.11
13.12
13.13
13.14
2 Article 44.2—time of disclosure
13.15
13.16
13.17
13.18
13.19
13.20
13.21
13.22
3 Article 44.3—disclosure of changes
13.23
13.24
13.25
13.26
B Article 45—Confidentiality
13.27
13.28
13.29
1 Article 45.1 and 45.2—duty of confidentiality
13.30
13.31
13.32
13.33
2 Article 45.3—exceptions to the duty of confidentiality
13.34
13.35
13.36
13.37
13.38
13.39
13.40
13.41
13.42
13.43
3 Article 45.4 and 45.5—confidentiality of deliberations and awards
13.44
13.45
13.46
C Article 46—Exclusion of Liability
13.47
13.48
1 Article 46.1—exclusion of liability
13.49
13.50
13.51
13.52
13.53
2 Article 46.2—no duty to testify in legal or other proceedings
13.54
13.55
Further Material
Appendix 1 Summary of Advantages of Arbitrating in Hong Kong
Appendix 2 Summary of Advantages of Arbitrating at HKIAC
Appendix 3 Administered Arbitration Rules 2018
HONG KONG INTERNATIONAL ARBITRATION CENTRE ADMINISTERED ARBITRATION RULES
Introduction
Application
Effectiveness
Suggested Clauses
TABLE OF CONTENTS
s.I General Rules
Art.1— Scope of Application
Art.2— Interpretation of Rules
Article 3—Written Communications and Calculation of Time Limits
s.II Commencement of the Arbitration
Art.4— Notice of Arbitration
Art.5— Answer to the Notice of Arbitration
s.III The Arbitral Tribunal
Art.6— Number of Arbitrators
Art.7— Appointment of a Sole Arbitrator
Art.8— Appointment of Three Arbitrators
Art.9— Confirmation of the Arbitral Tribunal
Art.10— Fees and Expenses of the Arbitral Tribunal
Art.11— Qualifications and Challenge of the Arbitral Tribunal
Article 12—Replacement of an Arbitrator
s.IV Conduct of Arbitration
Art.13— General Provisions
Art.14— Seat and Venue of the Arbitration
Art.15— Language
Art.16— Statement of Claim
Art.17— Statement of Defence
Art.18— Amendments to the Claim or Defence
Art.19— Jurisdiction of the Arbitral Tribunal
Art.20— Further Written Statements
Art.21— Time Limits
Art.22— Evidence and Hearings
Art.23— Interim Measures of Protection and Emergency Relief
Art.24— Security for Costs
Art.25— Tribunal-Appointed Experts
Art.26— Default
Art.27— Joinder of Additional Parties
Art.28— Consolidation of Arbitrations
Art.29— Single Arbitration under Multiple Contracts
Art.30— Concurrent Proceedings
Art.31— Closure of Proceedings
Art.32— Waiver
s.V Awards, Decisions and Orders of the Arbitral Tribunal
Art.33— Decisions
Art.34— Costs of the Arbitration
Art.35— Form and Effect of the Award
Art.36— Applicable Law, Amiable Compositeur
Art.37— Settlement or Other Grounds for Termination
Art.38— Correction of the Award
Art.39— Interpretation of the Award
Art.40— Additional Award
Art.41— Deposits for Costs
s.VI Other Provisions
Art.42— Expedited Procedure
Art.43— Early Determination Procedure
Art.44— Disclosure of Third Party Funding of Arbitration
Art.45— Confidentiality
Art.46— Exclusion of Liability
Sch.1 Registration and Administrative Fees
1 Registration Fee
2 HKIAC’s Administrative Fees
Sch.2 Arbitral Tribunal’s Fees, Expenses, Terms and Conditions
1 Scope of Application and Interpretation
2 Payments to Arbitral Tribunal
3 Arbitral Tribunal’s Expenses
4 Administrative Expenses
5 Fees and Expenses Payable to Replaced Arbitrators
6 Fees and Expenses of Tribunal Secretary
7 Lien on Award
8 Governing Law
9 Arbitral Tribunal’s Fee Rates
10 Cancellation Fees
Sch.3 Arbitral Tribunal’s Fees, Expenses, Terms and Conditions
1 Scope of Application and Interpretation
2 Payments to Arbitral Tribunal
3 Arbitral Tribunal’s Expenses
4 Administrative Expenses
5 Fees and Expenses Payable to Replaced Arbitrators
6 Determination of Arbitral Tribunal’s Fees
7 Lien on Award
8 Governing Law
Sch.4 Emergency Arbitrator Procedures
Members of HKIAC Rules Revision Committee
Acknowledgements
Appendix 4 HKIAC Practice Notes
1 Scope of Application and Interpretation
2 Declaration of Acceptance and Statement of Impartiality and Independence
3 Payments to the Arbitral Tribunal
4 The Arbitral Tribunal’s Fees
5 The Arbitral Tribunal’s Expenses
6 Fees and Expenses of the Secretary to the Arbitral Tribunal
7 HKIAC’s Administrative Fees
8 Deposits for Costs
9 Administrative Support
1 Scope of Application and Interpretation
2 Declaration of Acceptance and Statement of Impartiality and Independence
3 Payments to the Arbitral Tribunal
4 The Arbitral Tribunal’s Fees
5 The Arbitral Tribunal’s Expenses
6 Fees and Expenses of the Secretary to the Arbitral Tribunal
7 HKIAC’s Administrative Fees
8 Deposits for Costs
9 Administrative Support
Practice Note on Consolidation of Arbitrations
Effective 1 January 2016
Practice Note on Challenges to Arbitrators
Effective 11 March 2019
Practice Note on Appointment of Arbitrators
Effective 28 September 2021
Appendix 5 Arbitrator’s Declaration of Acceptance and Statement of Availability, Impartiality, and Independence
Appendix 6 HKIAC Model Arbitration Clauses
Arbitration under the HKIAC Administered Arbitration Rules
Note:
Note:
Arbitration administered by HKIAC under the UNCITRAL Rules
Note:
Ad hoc arbitration under the UNCITRAL Rules
Note:
Domestic Arbitration under the HKIAC Domestic Arbitration Rules
Note:
Note:
Appendix 7 Hong Kong International Arbitration Centre Procedures for the Administration of Arbitration under the UNCITRAL Arbitration Rules
INTRODUCTION
MODEL ARBITRATION CLAUSES
I INTRODUCTORY RULES
Article 1—Scope of Application
Article 2—Arbitration Rules
Article 3—Appointing Authority
Article 4—Administrator
Article 5—Interpretation of the Procedures
Article 6—Notice of Arbitration
Article 7—Response to the Notice of Arbitration
Article 8—Communications
II COMPOSITION OF THE ARBITRAL TRIBUNAL
Article 9—The List-Procedure
Article 10– Challenge of Arbitrators
III ARBITRAL PROCEEDINGS
Article 11—HKIAC’s Prima Facie Power to Proceed
Article 12—Place of Hearing
Article 13—HKIAC’s Assistance on Procedural Matters
IV COSTS AND AWARDS
Article 14—Fees of Arbitrators
Article 15—HKIAC’s Administrative Fees
Article 16—Deposits of Costs
Article 17—Release of Award(s)
Article 18—Registration of Award(s)
V OTHER PROVISIONS
Article 19—Exclusion of Liability
SCHEDULE 1 FEES
Effective 1 January 2015
1 Registration Fee
2 Arbitrator Fees and Expenses
3 Payments to Arbitral Tribunal
4 HKIAC’s Administrative Fees
5 Administrative Expenses
6 Lien on Award
APPENDIX 8 HKIAC Guidelines on the Use of a Secretary to the Arbitral Tribunal
1 Scope of Application and General Provisions
2 Appointment and removal of a secretary
3 Duties
4 Remuneration
Appendix 9 Hong Kong Arbitration Ordinance (Cap 609)
Part 1 Preliminary
1 Short title
2 Interpretation
3 Object and principles of this Ordinance
4 UNCITRAL Model Law to have force of law in Hong Kong
5 Arbitrations to which this Ordinance applies
6 Application
Part 2 General Provisions
7 Article 1 of UNCITRAL Model Law (Scope of application)
8 Article 2 of UNCITRAL Model Law (Definitions and rules of interpretation)
9 Article 2A of UNCITRAL Model Law (International origin and general principles)
10 Article 3 of UNCITRAL Model Law (Receipt of written communications)
11 Article 4 of UNCITRAL Model Law (Waiver of right to object)
12 Article 5 of UNCITRAL Model Law (Extent of court intervention)
13 Article 6 of UNCITRAL Model Law (Court or other authority for certain functions of arbitration assistance and supervision)
14 Application of Limitation Ordinance and other limitation enactments to arbitrations
15 Reference of interpleader issue to arbitration by court
16 Proceedings to be heard otherwise than in open court
17 Restrictions on reporting of proceedings heard otherwise than in open court
18 Disclosure of information relating to arbitral proceedings and awards prohibited
Part 3 Arbitration Agreement
19 Article 7 of UNCITRAL Model Law (Definition and form of arbitration agreement)
20 Article 8 of UNCITRAL Model Law (Arbitration agreement and substantive claim before court)
21 Article 9 of UNCITRAL Model Law (Arbitration agreement and interim measures by court)
22 Whether agreement discharged by death of a party
Part 3A Enforcement of Emergency Relief
22A. Interpretation
22B. Enforcement of emergency relief granted by emergency arbitrator
Part 4 Composition of Arbitral Tribunal
23 Article 10 of UNCITRAL Model Law (Number of arbitrators)
24 Article 11 of UNCITRAL Model Law (Appointment of arbitrators)
25 Article 12 of UNCITRAL Model Law (Grounds for challenge)
26 Article 13 of UNCITRAL Model Law (Challenge procedure)
27 Article 14 of UNCITRAL Model Law (Failure or impossibility to act)
28 Article 15 of UNCITRAL Model Law (Appointment of substitute arbitrator)
29 Death of arbitrator or person appointing arbitrator
30 Appointment of umpire
31 Functions of umpire in arbitral proceedings
32 Appointment of mediator
33 Power of arbitrator to act as mediator
Part 5 Jurisdiction of Arbitral Tribunal
34 Article 16 of UNCITRAL Model Law (Competence of arbitral tribunal to rule on its jurisdiction)
Part 6 Interim Measures and Preliminary Orders
35 Article 17 of UNCITRAL Model Law (Power of arbitral tribunal to order interim measures)
36 Article 17A of UNCITRAL Model Law (Conditions for granting interim measures)
37 Article 17B of UNCITRAL Model Law (Applications for preliminary orders and conditions for granting preliminary orders)
38 Article 17C of UNCITRAL Model Law (Specific regime for preliminary orders)
39 Article 17D of UNCITRAL Model Law (Modification, suspension, termination)
40 Article 17E of UNCITRAL Model Law (Provision of security)
41 Article 17F of UNCITRAL Model Law (Disclosure)
42 Article 17G of UNCITRAL Model Law (Costs and damages)
43 Article 17H of UNCITRAL Model Law (Recognition and enforcement)
44 Article 17I of UNCITRAL Model Law (Grounds for refusing recognition or enforcement)
45 Article 17J of UNCITRAL Model Law (Court-ordered interim measures)
Part 7 Conduct of Arbitral Proceedings
46 Article 18 of UNCITRAL Model Law (Equal treatment of parties)
47 Article 19 of UNCITRAL Model Law (Determination of rules of procedure)
48 Article 20 of UNCITRAL Model Law (Place of arbitration)
49 Article 21 of UNCITRAL Model Law (Commencement of arbitral proceedings)
50 Article 22 of UNCITRAL Model Law (Language)
51 Article 23 of UNCITRAL Model Law (Statements of claim and defence)
52 Article 24 of UNCITRAL Model Law (Hearings and written proceedings)
53 Article 25 of UNCITRAL Model Law (Default of a party)
54 Article 26 of UNCITRAL Model Law (Expert appointed by arbitral tribunal)
55 Article 27 of UNCITRAL Model Law (Court assistance in taking evidence)
56 General powers exercisable by arbitral tribunal
57 Arbitral tribunal may limit amount of recoverable costs
58 Power to extend time for arbitral proceedings
59 Order to be made in case of delay in pursuing claims in arbitral proceedings
60 Special powers of Court in relation to arbitral proceedings
61 Enforcement of orders and directions of arbitral tribunal
62 Power of Court to order recovery of arbitrator’s fees
63 Representation and preparation work
Part 8 Making of Award and Termination of Proceedings
64 Article 28 of UNCITRAL Model Law (Rules applicable to substance of dispute)
65 Article 29 of UNCITRAL Model Law (Decision-making by panel of arbitrators)
66 Article 30 of UNCITRAL Model Law (Settlement)
67 Article 31 of UNCITRAL Model Law (Form and contents of award)
68 Article 32 of UNCITRAL Model Law (Termination of proceedings)
69 Article 33 of UNCITRAL Model Law (Correction and interpretation of award; additional award)
70 Award of remedy or relief
71 Awards on different aspects of matters
72 Time for making award
73 Effect of award
74 Arbitral tribunal may award costs of arbitral proceedings
75 Taxation of costs of arbitral proceedings (other than fees and expenses of arbitral tribunal)
76 Costs in respect of unqualified person
77 Determination of arbitral tribunal’s fees and expenses in case of dispute
78 Liability to pay fees and expenses of arbitral tribunal
79 Arbitral tribunal may award interest
80 Interest on money or costs awarded or ordered in arbitral proceedings
Part 9 Recourse Against Award
81 Article 34 of UNCITRAL Model Law (Application for setting aside as exclusive recourse against arbitral award)
Part 10 Recognition and Enforcement of Awards
82 Article 35 of UNCITRAL Model Law (Recognition and enforcement)
83 Article 36 of UNCITRAL Model Law (Grounds for refusing recognition or enforcement)
84 Enforcement of arbitral awards
85 Evidence to be produced for enforcement of arbitral awards
86 Refusal of enforcement of arbitral awards
87 Enforcement of Convention awards
88 Evidence to be produced for enforcement of Convention awards
89 Refusal of enforcement of Convention awards
90 Order for declaring party to New York Convention
91 Saving of rights to enforce Convention awards
92 Enforcement of Mainland awards
93. (Repealed 1 of 2021 s. 4)
94 Evidence to be produced for enforcement of Mainland awards
95 Refusal of enforcement of Mainland awards
96 Mainland awards to which certain provisions of this Division do not apply
97. (Repealed 1 of 2021 s. 5)
98 Saving of certain Mainland awards
98A. Enforcement of Macao awards
98B. Enforcement of Macao awards partially satisfied
98C. Evidence to be produced for enforcement of Macao awards
98D. Refusal of enforcement of Macao awards
Part 10A Third Party Funding of Arbitration
98E Purposes
98F Interpretation
98G Meaning of third party funding of arbitration
98H Meaning of funding agreement
98I. Meaning of funded party
98J. Meaning of third party funder
98K. Particular common law offences do not apply
98L. Particular tort does not apply
98M. Other illegality not affected
98N. Limited application of Part 10A for non-Hong Kong arbitration
98O. Part 10A not applicable to lawyers acting for parties in arbitration
98P. Code of practice may be issued
98Q. Content of code of practice
98R. Process for issuing code of practice
98S. Non-compliance with code of practice
98T. Communication of information for third party funding of arbitration
98U. Disclosure about third party funding of arbitration
98V. Disclosure about end of third party funding of arbitration
98W. Non-compliance with Division 5
98X. Appointment of advisory body and authorized body
Part 11 Provisions that may be Expressly Opted for or Automatically Apply
99 Arbitration agreements may provide expressly for opt-in provisions
100 Opt-in provisions automatically apply in certain cases
101 Opt-in provisions that automatically apply under section 100 deemed to apply to Hong Kong construction subcontracting cases
102 Circumstances under which opt-in provisions not automatically apply
103 Application of provisions under this Part
Part 11A Arbitrations Relating to Intellectual Property Rights
103A Interpretation
103B Interpretation: IPR
103C. Interpretation: IPR dispute
103D. IPR disputes may be arbitrated
103E. Effect of award involving IPR
103F. Recourse against award involving IPR
103G. Recognition and enforcement of award involving IPR
103H. Judgments entered in terms of award involving IPR
103I. Validity of patent may be put in issue in arbitral proceedings
103J. Arbitral proceedings in relation to short-term patents
Part 12 Miscellaneous
104 Arbitral tribunal or mediator to be liable for certain acts and omissions
105 Appointors and administrators to be liable only for certain acts and omissions
106 Rules of court
107 Making an application, etc. under this Ordinance
108 Decision, etc. of Court under this Ordinance
Part 13 Repeal, Savings and Transitional Provisions
109.(Omitted as spent—E.R. 3 of 2015)
110 Effect of repeal on subsidiary legislation
111 Savings and transitional provisions
Part 14 (Omitted as spent—E.R. 3 of 2015)
112.(Omitted as spent—E.R. 3 of 2015)Schedule 1 [s. 2]UNCITRAL Model Law on International Commercial Arbitration
s.1 Interim measures
s.2 Preliminary orders
s.3 Provisions applicable to interim measures and preliminary orders preliminary orders
s.4 Recognition and enforcement of interim measures
s.5 Court-ordered interim measures
Schedule 2[ss. 2, 5, 23, 73, 81, 99, 100, 101 & 102]Provisions that may be Expressly Opted for or Automatically Apply
1 Sole arbitrator
2 Consolidation of arbitrations
3 Decision of preliminary question of law by Court
4 Challenging arbitral award on ground of serious irregularity
5 Appeal against arbitral award on question of law
6 Application for leave to appeal against arbitral award on question of law
7 Supplementary provisions on challenge to or appeal against arbitral award
Schedule 3
Part 1 Savings and Transitional Provisions Relating to Commencement of this Ordinance
1 Conduct of arbitral and related proceedings
2 Appointment of arbitrators
3 Settlement agreements
4 Appointment of members of the Appointment Advisory Board
Part 2 Savings and Transitional Provisions Relating to Commencement of Arbitration (Amendment)
1 Conduct of arbitral and related proceedings
Part 3 Savings and Transitional Provisions Relating to Arbitration (Amendment) Ordinance 2017
1 Conduct of arbitral and related proceedings
Schedule 4
Appendix 10 Arbitration (Appointment of Arbitrators and Mediators and Decisions on Number of Arbitrators) Rules (Cap 609C)
Part 1 Preliminary
1 (Omitted as spent—E.R. 2 of 2014)
2 Interpretation
3 Constitution of Appointment Advisory Board
4 Appointments to Appointment Advisory Board
5 Appointment Advisory Board to be consulted
Part 3 Appointment of Arbitrator
6 Procedure for requesting for appointment of arbitrator
7 Appointment of suitable person as arbitrator by HKIAC
Part 4 Number of Arbitrators
8 Procedure for seeking decision on number of arbitrators
9 Decision by HKIAC on number of arbitrators
Part 5 Appointment of Mediator
10 Procedure for applying for appointment of mediator
11 Appointment of suitable person as mediator by HKIAC
Part 6 General
12 Additional forms
13 Fees
13A. Time limits
14 Arbitration (Appointment of Arbitrators and Umpires) Rules repealed
15 Transitional
Schedule: [rr. 6, 8 & 10]
Appendix 11 HKIAC Case Statistics
Appendix 12 Statistics on Enforcement of Arbitral Awards in Hong Kong (2009 to 2020)
Enforcement of Awards in Hong Kong: 2009
Enforcement of Awards in Hong Kong: 2010
Enforcement of Awards in Hong Kong: 2011
Enforcement of Awards in Hong Kong: 2012
Enforcement of Awards in Hong Kong: 2013
Enforcement of Awards in Hong Kong: 2014
Enforcement of Arbitration Awards in Hong Kong in the year of 2015
Enforcement of Arbitration Awards in Hong Kong in the year of 2016
Enforcement of Arbitration Awards in Hong Kong in the year of 2017
Enforcement of Arbitration Awards in Hong Kong in the year of 2018
Enforcement of Arbitration Awards in Hong Kong in the year of 2019
Enforcement of Arbitration Awards in Hong Kong in the year of 2020
Index
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Appendix 3 Administered Arbitration Rules 2018
Michael Moser, Chiann Bao
From:
A Guide to the HKIAC Arbitration Rules (2nd Edition)
Michael J Moser, Chiann Bao
Content type:
Book content
Product:
International Commercial Arbitration [ICMA]
Published in print:
22 March 2022
ISBN:
9780198853169
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