Recognition and enforcement in civil and commercial matters
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RECOGNITION and ENFORCEMENT in CIVIL and COMMERCIAL MATTERS. A.A.H. van Hoek 2003. OUTLINE. Background and content of the Brussels I Regulation Conditions for recognition and enforcement Effects of and problems with of recognition and enforcement. REGULATION 44/2001 IN CONTEXT.

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RECOGNITION and ENFORCEMENT in CIVIL and COMMERCIAL MATTERS

A.A.H. van Hoek 2003


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OUTLINE

  • Background and content of the Brussels I Regulation

  • Conditions for recognition and enforcement

  • Effects of and problems with of recognition and enforcement



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The Way to Brussels I

Article 220 EEC-Treaty (293 ECT)

The member states shall, so far as necessary, enter into negotiations with each other with a view to securing for the benefit of their nationals.…. The simplification of formalities governing the reciprocal recognition and enforcement of judgments of courts or tribunals and of arbitral awards.


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The Brussels Convention

  • 1968: Belgium; France; Germany; Italy; Luxembourg; The Netherlands

  • 1978: Denmark, Ireland, UK

  • 1982: Greece

  • 1989: Portugal, Spain


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The Lugano Convention

1988: EC Member States + EFTA Member States: Austria, Norway, Sweden, Finland, Iceland, Switzerland

1997: Austria, Sweden, Finland accede to Brussels I

2002: Poland accedes to Lugano


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The Brussels I Regulation

  • Based on Article 65 EC-Treaty

  • Community instrument

  • Reservation of Denmark: recital 21

  • Special status of overseas territories: Article 68 Reg. jo Article 299 EC-Treaty


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Conflicts of Treaties 1

  • Application ratione materiae: Article 1

  • Territorial application:

    • Jurisdiction

    • Lis pendens alibi

    • Recognition and enforcement


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Jurisdiction

  • Domicile of defendant:

    • Article 2, 3 and 4

    • Additional jurisdiction: Articles 5, 6

  • Exclusive jurisdiction: Article 22 (16)

  • Choice of forum: Article 23 (17)


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3INSTRUMENTS

Regulation/Brussels/Lugano

domicile of defendant

EEA

+ Poland

exclusive ground

M-S

(-DK)

choice of forum

DK

OT


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Other Inter- and Supranational Instruments

  • Bilateral treaties between member states of the conventions/regulation

  • Multilateral conventions on specific subject matters: transportation, maintenance

  • Bilateral conventions with third countries

  • Secundary community legislation: directive on the posting of workers


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Conflicts of Treaties 2

  • Priority of EC-law: Article 67

  • Bilateral treaties between member states: Article 69/70: application ratione materiae

  • Specific Conventions: Article 71

  • Third Countries: Article 72


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Article 1

  • Civil and commercial matters: C-271/00, C-266/01

  • Family law issues: case 143/78, C-220/95

  • Bankruptcy

  • Social security: C-271/00

  • Arbitration: C-190/89, C-391/95



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Elements of a Judgment

  • Facts: procedure to establish the facts, rules on evidence

  • Law: acceptance of equivalence of norm(s) applied

  • Conclusion: legal reasoning, fair hearing

  • Sanction/remedy


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Conditions of Recognition and/or Enforcement

  • Jurisdiction

  • Notice

  • Fair trial (procedural public policy)

  • Substantive public policy

  • Conflicting judgments

  • (Finality of the judgment/executory force)


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Procedure for Recognition and Enforcement

  • Automatic recognition: Article 33

  • Exequatur:

    • Ex parte initial procedure: Article 41

    • Appeal: Article 43 ff

      No ex officio refusal of exequatur!


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Jurisdiction: Article 35

  • No test of jurisdiction by recognizing court

  • Exceptions:

    • Consumers and insurance

    • Exclusive jurisdiction

    • ‘Article 4’ conventions

  • Jurisdiction is not part of public policy

    • Krombach v Bamberski


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Notification: Article 34 sub 2

  • Default judgment: autonomous

    • C-172/91, C-78/95

  • In due form: court of origin/international instruments

    • Case 166/80, case 305/88

  • Timely: recognizing court

    • Case 166/80, case 49/84

  • ‘Local remedies’


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Public Policy

  • Substantive

    • Declaratory part – remedy

    • Natural justice – public interest rules

  • Procedural: Article 6 ECHR


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Public Policy (Cont.)

  • Manifest breach

  • Result in the particular case

  • Member state – European Court of Justice


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Articles 81/82 EC-Treaty

  • Eco Swiss v Benetton C-126/97: Article 81/82 are part of community public policy

  • Renault v Maxicar C-38/98: no public policy for the application of Article 34 sub 1

    • Restrictive interpretation?

    • Harmonized rule of law

    • Common system of adjudication/ interpretation


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Article 6 ECHR

  • ECtHR: Pellegrini v Italy

  • ECJ: Krombach v Bamberski

  • Dutch Supreme Court: local remedies


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Irreconcilable judgments

  • Relationship with lis pendens alibi and related actions (Articles 27, 28)

  • Relationship with res iudicata

  • Judgments between

  • Same parties

  • Entailing legal consequences which are mutually exclusive



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Effects of a Judgment

  • Res iudicata effect: the relationship between parties is determined by the judgment

  • Ne bis in idem: parties are estopped to retry the same issue

  • Title for enforcement


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Types of Judgments

  • Declaratory judgments: facts, law, appreciation of facts e.g. dismissal of a claim

  • Constitutive judgments: change/create a legal situation e.g. annullment of a patent

  • Condemnatory judgments: contain a sanction/remedy e.g. damages/restraining order


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Recognition Models

  • Assimilation / equal treatment

  • Home country control

  • Reciprocity / cumulation / public policy exception


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Conflict Rules for Recognition and Enforcement

  • Effects of the judgment = country of origin

    • Hofmann v. Krieg, case 145/86

  • Enforcement = recognizing country

    • Article 22 sub 5

    • Article 40


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Binding Effect

  • Parties: who

  • Cause of action: what

    • Law + facts

    • Collateral estoppel


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Enforcement

  • Exclusive jurisdiction of court of country of enforcement Article 22 sub 5

  • Payment and other intervening circumstances: case 145/86, C-267/97

  • Remedies: Contempt of court, fines etc

  • Time limits


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Exequatur

  • Parties

  • Full or partial exequatur

  • Legal representation

  • Time limits

  • Costs

  • Formalities

  • Review


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