Top

Published in:

2019 | OriginalPaper | Chapter

4. Content of the Duty of Confidentiality

Author : Elza Reymond-Eniaeva

Published in: Towards a Uniform Approach to Confidentiality of International Commercial Arbitration

Publisher: Springer International Publishing

Activate our intelligent search to find suitable subject content or patents.

search-config

AI-assisted search

Off

Abstract

Defining the content of the duty of confidentiality is no easy task. There is so much that can be included in the content of the duty of confidentiality. Some examples are: the mere existence of the arbitration, the nature of the dispute, the amount in dispute, the status of the case, the names of the parties, the names of counsel, the names of arbitrators, parties’ submissions, fact exhibits, documents produced in response to a request for production of documents, witness statements, expert reports, pleadings, transcripts of hearings, tribunal’s deliberations, the award itself, any details revealing the content of the award, etc.

Dont have a licence yet? Then find out more about our products and how to get one now:

Springer Professional "Wirtschaft+Technik"

Online-Abonnement

Mit Springer Professional "Wirtschaft+Technik" erhalten Sie Zugriff auf:

über 102.000 Bücher
über 537 Zeitschriften

aus folgenden Fachgebieten:

Automobil + Motoren
Bauwesen + Immobilien
Business IT + Informatik
Elektrotechnik + Elektronik
Energie + Nachhaltigkeit
Finance + Banking
Management + Führung
Marketing + Vertrieb
Maschinenbau + Werkstoffe
Versicherung + Risiko

Jetzt Wissensvorsprung sichern!

inform now

Springer Professional "Wirtschaft"

Online-Abonnement

Mit Springer Professional "Wirtschaft" erhalten Sie Zugriff auf:

über 67.000 Bücher
über 340 Zeitschriften

aus folgenden Fachgebieten:

Bauwesen + Immobilien
Business IT + Informatik
Finance + Banking
Management + Führung
Marketing + Vertrieb
Versicherung + Risiko

Jetzt Wissensvorsprung sichern!

inform now

previous chapter Persons Subject to the Duty of Confidentiality

next chapter Exceptions and Limitations to the Obligation of Confidentiality

See, for example, Lew (2011), pp. 106–107.

‘Privacy and Confidentiality in Arbitration Smart Charts’ (www.smartcharts.wolterskluwer.com, last visited on 13 September 2018) includes reports on such countries as Argentina, Australia, Bulgaria, Canada, China, Croatia, Cyprus, England and Wales, Finland, France, Germany, Ghana, Hong Kong, Hungary, India, Italy, Japan, Kazakhstan, Mexico, Netherlands, Nigeria, Pakistan, Philippines, Portugal, Romania, the Russian Federation, Serbia, Singapore, Slovakia, South Africa, South Korea, Sweden, Switzerland, Turkey, Ukraine, and the United States.

Rohner and La Spada (2013), para 11; Hollander (2014), p. 86.

Coppo (2013), p. 142.

Department of Economic Policy and Development of the City of Moscow v. Bankers Trust Co., [2003] EWHC 1377 (Comm), para 51; see below Sect. 5.3.2.3.3 for more details on the case.

Bleustein et autres v. Société True North et Société FCB International, Tribunal de commerce de Paris (Ord. réf.), 22 February 1999, in: Rev. Arb. 2003, Issue 1, 189–194.

Bleustein et autres v. Société True North et Société FCB International, Tribunal de commerce de Paris (Ord. réf.), 22 February 1999, in: Rev. Arb. 2003, Issue 1, 190.

Bleustein et autres v. Société True North et Société FCB International, Tribunal de commerce de Paris (Ord. réf.), 22 February 1999, in: Rev. Arb. 2003, Issue 1, 191.

Bleustein et autres v. Société True North et Société FCB International, Tribunal de commerce de Paris (Ord. réf.), 22 February 1999, in: Rev. Arb. 2003, Issue 1, 192.

Société True North et Société FCB International v. Bleustein et autres, Cour d’appel de Paris (14e Ch. B), 17 September 1999, in: Rev. Arb. 2003, Issue 1, 194–197.

G. Aïta v. A. Ojjeh, Cour d’appel de Paris (1ère Chambre suppl.), 18 February 1986, in: Rev. Arb. 1986, 583–584.

See above Sect. 3.2.3.7 for more details on this case.

G. Aïta v. A. Ojjeh, Cour d’appel de Paris (1ère Chambre suppl.), 18 February 1986, in: Rev. Arb. 1986, 583–584. This decision will also be addressed in the section dealing with the remedies against the parties in the case of a confidentiality breach (Sect. 6.2.2.1).

See, for example, Brown (2001), pp. 1001–1004; Müller (2005), p. 226; Gu (2004), p. 618; Berger and Kellerhals (2015), p. 1234.

Müller (2005), p. 226.

Gu (2004), p. 618.

Berger and Kellerhals (2015), para 1234.

Furrer (2008), p. 813.

See, e.g., Art. 22.2 of the ACICA Arbitration Rules; Art. 39 of the SIAC Rules.

See, e.g., Art. 26 of Schedule 1 to the Scottish Arbitration Act.

Hollander (2014), p. 87.

Bleustein et autres v. Société True North et Société FCB International, Tribunal de commerce de Paris (Ord. Réf.), 22 February 1999, in : Rev. Arb. 2003. Issue 1, 189–194. For more details on this case, see above Sect. 4.2.2.3).

Sam Luttrell, Isuru Devendra in their report on Australian regulation in ‘Privacy and Confidentiality in Arbitration Smart Charts’ (www.smartcharts.wolterskluwer.com, last updated in November 2016); Arts 14, 14A to 14I NZAA.

Art. 15 AIAA and Art. 2 NZAA.

Zuberbühler/Hofmann/Oetiker/Rohner, para 257.

In both 2008 and 2014 versions.

Rohner and La Spada (2013), para 10.

Art. 3.13 of the IBA Rules on Evidence.

See Sect. 7.4 proposing a text of the rules on confidentiality.

Dolling-Baker v. Merrett [1990] 1 WLR 1205.

Hassneh Insurance Co v Mew [1993] 2 Lloyd’s Rep 243.

Ali Shipping v. Shipyard Trogir [1997] EWCA Civ 3054.

Brown (2001), p. 1004; Furrer (2008), p. 813; Müller (2005), p. 227; Poudret and Besson (2007), para 374.

Poudret and Besson (2007), para 373.

Furrer (2008), pp. 815–816.

Müller (2005), p. 228.

See Sect. 7.4 proposing a text of the rules on confidentiality.

Art. 3.13 of the IBA Rules on Evidence.

See Sect. 7.4 proposing a text of the rules on confidentiality.

Cambridge online dictionary.

See, e.g., Art. 6 on Right to a fair trial in the ECHR.

See, e.g., 2010 International Arbitration Survey: Choices in International Arbitration, Queen Mary University, 29. Also see above Sect. 3.2.4 discussing balance of the interests involved and analysis of the arguments for and against confidentiality.

See, e.g., Kaufmann-Kohler (2007), p. 374; Born (2014), p. 3827; Perret (2007), p. 33.

See, e.g., Kaufmann-Kohler (2007), p. 374; Born (2014), p. 3827; Perret (2007), p. 33; also see Sect. 2.6.2.

See, for example, Arts 44(1) and 44(3) Swiss Rules; Arts 30(1) and 30(3) LCIA Rules; Art. 22(2) ACICA Rules; Art. 33 Abu Dhabi Rules; Art. 3 SCC Rules; Art. 34(5) UNCITRAL Rules; Art. 77 WIPO Rules.

Arts 12 and 13 Oslo Rules.

Nesbitt and Darowski (2015), p. 558.

Art. 44.3 DIS Rules.

Rohner and La Spada (2013), para 27.

Rohner and La Spada (2013), para 28.

Art. 8.2 Milan Rules.

Arts 14B, 2.1(b)(v) and (vi) NZAA.

See below Sect. 4.5.

Art. 14 of the NZAA.

Kawharu (2008), p. 406.

Arts 15(1) and 23C AIAA.

Art. 26 of the Scottish Arbitration Act.

Art. 5 of the Norwegian Arbitration Act of 14 May 2004.

Art. 38(1) of the International Commercial Arbitration Law of Cost Rica.

Art. 5 of the Norwegian Arbitration Act of 14 May 2004 and Art. 38(1) of the International Commercial Arbitration Law of Cost Rica.

See above Sect. 3.2.3 on the implied duty of confidentiality.

Brocker and Löf (2013), p. 201; Heuman (2003), p. 14; Shaughnessy (2006), pp. 316–317; Madsen (2007), p. 194.

Judgment of the Supreme Court of Sweden rendered in 2000 in Case N T 1881-99: The Bulbank Case, in: Stockholm Arbitration Report, Volume 2, 2000, 137–160.

See Sect. 4.3.4.

Hassneh Insurance Co v Mew [1993] 2 Lloyd’s Rep 243.

Ali Shipping v. Shipyard Trogir [1997] EWCA Civ 3054.

The Judicial Committee of the Privy Council is the court of final appeal for the UK overseas territories and Crown dependencies, and for those Commonwealth countries that have retained the appeal to Her Majesty in Council or, in the case of Republics, to the Judicial Committee (http://jcpc.uk/).

From 1999 to 2004, this Journal was called the Stockholm Arbitration Report (SAR), and then from 2005 to 2009, the Stockholm International Arbitration Review (SIAR).

The advantage of the publications of the Yearbook Commercial Arbitration and the ITA Arbitration Report is that they are searchable online on the Kluwer arbitration website.

http://www.kluwerarbitration.com/ (last visited on 13 September 2018).

For more details, see the article of Kenji Tashiro, Quest for a Rational and Proper Method for the Publication of Arbitral Awards.

http://globalarbitrationreview.com/news/ (last visited on 13 September 2018).

See, e.g., Mourre (2013), pp. 63–64.

Karton (2012), p. 475.

Karton (2012), pp. 475–476, with further references.

We could examine the issue of systematic publication of arbitral awards in the section dealing with exceptions to the duty of confidentiality, but opted to do it while discussing the problem of tensions between confidentiality and publication of arbitral awards.

See, e.g., Born (2014), pp. 2822–2823; Mourre (2013); Buys (2003); Fernandez-Armesto (2012); Karton (2012); Lew (1982).

Karton (2012), p. 457.

Lew (1982), p. 226.

Karton (2012), p. 462.

Lew (1982), p. 226.

Lew (1982), pp. 229–231.

Buys (2003), p. 136.

Lew (1982), p. 227.

Mcllwrath and Schroeder (2013), p. 95.

Buys (2003), p. 136.

See above Sect. 3.2.4.2.1 discussing the parties’ interests to maintain the privacy of the dispute.

Karton (2012), p. 480.

Lew (1982), p. 225.

100

Karton (2012), p. 482.

101

Karton (2012), p. 447.

102

Art. 39.1 SIAC Rules.

103

Art. 32.12 SIAC Rules.

104

Sali (2013), p. 73.

105

Malatesta and Sali (2013), pp. 29–37.

106

Malatesta and Sali (2013), p. 29, point 1 of the Preamble.

107

Karton (2012), pp. 447–486.

108

Lew (1982), p. 232.

109

Karton (2012), p. 479.

110

Art. 2.4 of the Milan Guidelines.

111

Karton (2012), p. 478.

112

See, e.g., Malatesta (2013), p. 51; Karton (2012), p. 478; Lew (1982), p. 228.

113

Malatesta (2013), p. 51.

114

Lew (1982), p. 228.

115

Karton (2012), p. 479.

116

Karton (2012), p. 479.

117

https://iccwbo.org/media-wall/news-speeches/icc-court-announces-new-policies-to-foster-transparency-and-ensure-greater-efficiency/ (last visited on 13 September 2018).

118

https://iccwbo.org/media-wall/news-speeches/icc-court-announces-new-policies-to-foster-transparency-and-ensure-greater-efficiency/ (last visited on 13 September 2018).

119

https://iccwbo.org/media-wall/news-speeches/icc-court-announces-new-policies-to-foster-transparency-and-ensure-greater-efficiency/ (last visited on 13 September 2018).

120

https://iccwbo.org/media-wall/news-speeches/icc-court-announces-new-policies-to-foster-transparency-and-ensure-greater-efficiency/ (last visited on 13 September 2018).

121

www.globalarbitrationreview.com/news/article/34453/icc-publish-arbitrator-names-crack-down-delay/ (last visited on 13 September 2018).

122

See, for example, Arts 44(1) and 44(3) Swiss Rules; Arts 30(1) and 30(3) of the LCIA Rules; Art. 22(2) of the ACICA Rules; Art. 33 of the Abu Dhabi Rules; Art. 3 of the SCC Rules; Art. 12 of the Oslo Rules; Art. 34(5) of the UNCITRAL Rules; Art. 77 of the WIPO Rules.

123

See, for example, Arts 44(1) and 44(3) Swiss Rules; Arts 30(1) and 30(3) LCIA Rules; Art. 22(2) ACICA Rules; Art. 33 Abu Dhabi Rules; Art. 3 SCC Rules; Art. 34(5) UNCITRAL Rules; Art. 77 WIPO Rules; Art. 14B, Art. 2.1(b)(v) and (vi) NZAA; Art. 15(1) and 23C AIAA; Art. 26 of the Scottish Arbitration Act.

124

Art. 12 of the Oslo Rules; Art. 5 of the Norwegian Arbitration Act of 14 May 2004; Art. 38(1) of the International Commercial Arbitration Law of Cost Rica.

125

Born (2014), p. 2234.

126

Born (2014), p. 2812; Poudret and Besson (2007), para 371; Blackaby et al. (2015), para 2.164.

127

Art. 6(1) of the ECHR and Art. 30(3) of the Swiss Federal Constitution.

128

TF 4A_612/2009, 10.02.2010, recital 4.1; Berger and Kellerhals (2015), para 1230.

129

Hassneh Insurance Co v Mew [1993] 2 Lloyd’s Rep 243.

130

Esso Australia Resources Ltd. and Others v. Sidney James Plowman and Others, Arbitration International, Volume 11 No. 3, 1995, 241.

131

Esso Australia Resources Ltd. and Others v. Sidney James Plowman and Others, Arbitration International, Volume 11 No. 3, 1995, 241.

132

See, e.g., ICC Rules (art 26.3), ACICA Rules (Art. 22.1), Swiss Rules (Art. 25.6), SCC Rules (Art. 32.3), LCIA Rules (Art. 19.4), WIPO Rules (Art. 55(c)), ICAC Rules (Art. 30.1), SIAC Rules (Art. 24.4), CEPANI Rules (Art. 23.6).

133

SCC Rules (Art. 32.3), LCIA Rules (Art. 19.4), WIPO Rules (Art. 55(c)), ACICA Rules (Art. 22.1), SIAC Rules (Art. 24.4).

134

Swiss Rules (Art. 25.6), ICAC Rules (Art. 30.1).

135

ICC Rules (Art. 26.3).

136

Swiss Rules (Art. 25.6), SCC Rules (Art. 32.3), WIPO Rules (Art. 55(c)), ACICA Rules (Art. 22.1), SIAC Rules (Art. 24.4), LCIA Rules (Art. 19.4).

137

ACICA Rules (Art. 22.1), LCIA Rules (Art. 19.4).

138

ICC Rules (Art. 26.3), CEPANI Rules (Art. 23.6).

139

LCIA Rules (Art. 19.4).

140

Art. 2(1) NZAA. Art. 15(1) AIAA contains a similar provision.

141

Hassneh Insurance Co v Mew [1993] 2 Lloyd’s Rep 243.

142

Esso Australia Resources Ltd. and Others v. Sidney James Plowman and Others, Arbitration International, Volume 11 No. 3, 1995.

Berger B, Kellerhals F (2015) International and domestic arbitration in Switzerland, 3rd edn. Staempfli, Bern

Blackaby N, Partasides C et al (2015) Redfern and hunter on international arbitration, 6th edn. Oxford University Press

Born GB (2014) International commercial arbitration, 2nd edn. Walters Kluwer

Brocker S, Löf K (2013) Chapter 8, the proceedings. In: Franke U, Magnusson A et al (eds) International arbitration in Sweden: a practitioner’s guide. Kluwer Law International, pp 153–236

Brown AC (2001) Presumption meets reality: an exploration of the confidentiality obligation in international commercial arbitration. Am Univ Int Law Rev 16(4):969–1025

Buys CJ (2003) The tensions between confidentiality and transparency in international arbitration. Am Rev Int Arbitr 14:121–138

Coppo B (2013) Confidentiality in the arbitration rules of the Milan Chamber. In: Malatesta A, Sali R (eds) The rise of transparency in international arbitration/the case for the anonymous publication of arbitral awards. Juris, New York, pp 137–153

Fernandez-Armesto J (2012) The time has come/A plea for abandoning secrecy in arbitration. Les Cahiers de l’Arbitrage, No. 3

Furrer A (2008) The duty of confidentiality in international arbitration. In: Mélanges en l’honneur de Pierre Tercier. Genève

Gu W (2004) Confidentiality revisited: blessing or curse in international commercial arbitration. Am Rev Int Arbitr 15:607

Heuman L (2003) Arbitration law of Sweden: practice and procedure. Juris, New York

Hollander P (2014) Confidentiality under Art. 44 Swiss rules. In: Voser N (ed) 10 Year of Swiss rules of international arbitration. ASA Special Series No. 44. Juris

Karton J (2012) A conflict of interests: seeking a way forward on publication of international arbitral awards. Arbitr Int 28(3):447–486CrossRef

Kaufmann-Kohler G (2007) Arbitral precedent: dream, necessity or excuse. Arbitr Int 23(3):357–378CrossRef

Kawharu A (2008) New Zealand’s arbitration law receives a tune-up. Arbitr Int 24(3):405–422CrossRef

Lew JDM (1982) The case for the publication of arbitration awards. In: The art of arbitration/ Essays on international arbitration/ Liber Amicorum Pieter Sanders 12 September 1912–1982. Kluwer, p 223

Lew JDM (2011) The arbitrator and confidentiality. In: Dossier of the ICC Institute of world business law: is arbitration only as good as the arbitrator? Status, powers and role of the arbitrator

Madsen F (2007) Commercial arbitration in Sweden, 3rd edn. Oxford University Press, New York

Malatesta A (2013) Confidentiality in international commercial arbitration. In: Malatesta A, Sali R (eds) The rise of transparency in international arbitration/ The case for the anonymous publication of arbitral awards. Juris, New York, pp 39–51

Malatesta A, Sali R (eds) (2013) The rise of transparency in international arbitration/ The case for the anonymous publication of arbitral awards. Juris, New York

Mcllwrath M, Schroeder R (2013) Users need more transparency in international arbitration. In: Malatesta A, Sali R (eds) The rise of transparency in international arbitration/ The case for the anonymous publication of arbitral awards. Juris, New York, pp 87–106

Mourre A (2013) The case for the publication of arbitral awards. In: Malatesta A, Sali R (eds) The rise of transparency in international arbitration/ The case for the anonymous publication of arbitral awards. Juris, New York, pp 53–72

Müller C (2005) La confidentialité en arbitrage commercial international: un trompe-l’oeil. ASA Bull 23(2):216–240

Nesbitt S, Darowski M (2015) LCIA arbitration rules, Article 30. In: Mistelis LA (ed) Concise international arbitration, 2nd edn. Kluwer Law International, pp 558–560

Perret F (2007) Is there a need for consistency in international commercial arbitration? In: Banifatemi Y (ed) Precedent in international arbitration. International Arbitration Institute Seminar, Paris

Poudret JF, Besson S (2007) Comparative law of international arbitration, 2nd edn. Sweet & Maxwell, London

Rohner T, La Spada F (2013) Commentary of Article 44 of the Swiss rules of international arbitration. In: Zuberbühler T, Müller C, Habegger P (eds) Swiss rules of international arbitration, commentary, 2nd edn. Zurich-Basel-Geneva

Sali R (2013) Transparency and confidentiality: how and why to publish arbitration decisions. In: Malatesta A, Sali R (eds) The rise of transparency in international arbitration/ the case for the anonymous publication of arbitral awards, New York, pp 73–85

Shaughnessy P (2006) The Swedish approach towards arbitration. In: Heuman L, Jarvin S (eds) The Swedish arbitration act of 1999, five years on: a critical review of strengths and weaknesses. Juris, New York

Title: Content of the Duty of Confidentiality
Author: Elza Reymond-Eniaeva
Publisher: Springer International Publishing
Book: Towards a Uniform Approach to Confidentiality of International Commercial Arbitration
Print ISBN: 978-3-030-19002-6

Electronic ISBN: 978-3-030-19003-3

Copyright Year: 2019
DOI: https://doi.org/10.1007/978-3-030-19003-3_4

Springer Professional

Abstract

Please log in to get access to your license.

Dont have a licence yet? Then find out more about our products and how to get one now:

Springer Professional "Wirtschaft+Technik"

Springer Professional "Wirtschaft"