CHAPTER 1 - INTRODUCTION 1
Ⅰ.Competition Law in the EU Legal Order 1
Ⅱ.Arbitration 2
Ⅲ.Why this Book？ 3
Ⅳ.Scope of this Book 7
Ⅴ.A Note on Terminology 9
Ⅵ.Topography of EC Competition Law 11
CHAPTER 2 - THE OBJECTIVES OF COMPETITION LAW 19
Ⅰ.The Hallmarks of Modern Competition Law 19
Ⅱ.EC Competition Law as a System of Modern Competition Law 22
A.General 22
B.The Primarily Public Nature of the Objectives of EC Competition Law 22
C.The Dual Objectives of EC Competition Law 25
CHAPTER 3 - THE ENFORCEMENT OF COMMUNITY LAW 33
Ⅰ.Relations between Community Law and Member State Law 33
A.General Principles 33
B.Direct Effect under the EC Treaty 34
C.The System of Enforcement of Private Rights under Community Law 34
D.Competition Law Within the Community Legal Order 35
1.General 35
2.Direct Applicability of EC Competition Law 36
Ⅱ.Modernisation 38
A.Background 38
B.Modernisation and Arbitration 39
CHAPTER 4 - THE CONTENT OF EC COMPETITON LAW 43
Ⅰ.The Relationship between Article 81 EC and Articles 82 EC 43
Ⅱ.Article 81 EC 44
A.The Text 44
B.Analysis under Article 81 EC - General 45
C.Objects and Effects 45
D.De Minimis Notice 48
E.Effects 49
F.Analysing Effects 52
G.Article 81（3） EC-Effiiciencies 53
H.Block Exemptions and Related Notices 56
1.General 56
2.The Two Horizontal Cooperation Block Exemptions 57
3.The R & D Block Exemption 58
4.The Specialisation Block Exemption 60
5.The Horizontal Cooperation Guidelines 61
6.The Vertical Restraints Block Exemption 66
7.The Verticals Guidelines 67
8.The Subcontracting Notice 68
9.The Technology Transfer Block Exemption 69
10.The Technology Transfer Guidelines 72
Ⅲ.Article 82 EC 74
A.General 74
B.Dominance 75
C.Joint Dominance 76
D.Signifiicance of Occupying a Dominant Position 77
E.Abuse of a Dominant Position 77
Ⅳ.Member State Government-Sponsored Distortions to Competition 82
Ⅴ.EC Competition Law and Sectoral Regulation 85
CHAPTER 5 - ARBITRABILITY 89
Ⅰ.Powers of an Arbitral Tribunal to Decide Material Issues 89
Ⅱ.Applicable Law 90
Ⅲ.Arbitrability under Surveyed States’ Law 92
Ⅵ.Competition Law 93
A.Features of Competition Law Relevant to the Arbitrability Determination 93
B.The Arbitrability of Competition Law under Surveyed States’ Law 94
C.Comparison with Arbitrability of Competition Law under US Federal Law 95
D.EU Law 99
1.Pre-Modernisation 99
2.Modernisation 101
CHAPTER 6 - THE APPLICATION OF MANDATORY NORMS 105
Ⅰ.Overview 105
A.Four Questions 105
B.The Responses in Brief 105
1.Antinomy between International Arbitration and Assuring the Application of Mandatory Norms 105
2.Duties upon Arbitrators 107
3.Some Conclusions 108
a.Arbitrators Will Properly Apply Mandatory Norms in Accordance with their Justified Claims 108
b.Authority for Applying Mandatory Norms in Arbitrations 109
c.Proper Role of Party Will in the Application of Mandatory Norms 111
Ⅱ.Mandatory Norms in the Conflicts of Law System 112
A.General 112
1.Rules of Mandatory Application 112
2.Applicable Law in the Absences of States’ Interests 113
3.Choice of Law in the Presence of States’ Interests 113
4.Types of Mandatory Norms 114
5.Mandatory Norms and Public Policy 115
6.The Specifiic Problem of Applying Mandatory Rules in Arbitrations 117
B.The Application of Mandatory Norms by Courts 118
1.Norms of the Forum 118
2.Norms other than those of the Forum 118
3.Competing Application of Two States’ Mandatory Norms 119
4.The Rome Convention on the Law Applicable to Contractual Matters 120
a.Scope of Application 120
b.Treatment of Mandatory Norms under the Rome Convention 120
c.Foreign Mandatory Norms under the Rome Convention 120
d.Domestic Mandatory Norms under the Rome Convention 123
e.Rome Convention Treatment of Foreign Mandatory Norms Reflects Widely Accepted Principles 124
f.Further Authority Supporting Treatment of Mandatory Norms under the Rome Convention Model 127
C.Differences between Courts and Arbitral Tribunals in Relation to Mandatory Norms 128
D.Application of Mandatory Norms in Arbitration Practice and Theory 129
1.Arbitration Practice 129
2.Legal Literature 134
E.Proper Approach to the Application of EC Competition Law by Arbitration Tribunals 139
1.Enforceable and Unenforceable Duty upon Arbitrators 139
2.Enforceable Obligations upon Arbitrators 141
a.Enforceable Obligations are only ever “Enforceable” on Arbitrators in an Indirect Sense 141
b.Provisions on Applicable Law in Arbitration Laws 141
c.Is there any Enforceable Obligation under Arbitration Laws to Determine the Applicable Law in a Certain Manner？ 142
d.Unsystematic and Virtually Adventitious Nature of Judicial Jurisdiction to Interfere with Arbitration Awards 144
3.Enforceable Obligations on Arbitrators and the Application of EC Competition Law 145
a.Courts of EU Member States 145
b.Courts of States Not Belonging to the EU 148
c.Competition Authorities 152
4.Unenforceable Duty on Arbitrators 154
5.Applying Mandatory Norms in Arbitration 156
Ⅲ.Must Arbitrators Raise Mandatory Norms of their Own Motion？ 158
A.General 158
B.Practical Limits on Arbitrators’ Obligation to Apply Mandatory Norms of their Own Motion 159
CHAPTER 7 - TAKING EC COMPETITION LAW SERIOUSLY 161
Ⅰ.Competition Law as Mandatory Norms 161
A.States’ Interests 161
B.The Territoriality Principle and Competition Law 163
1.Effects on Markets 163
2.Development of the Position under US Law 164
Ⅱ.The Application of EC Competition Law 169
A.Outer Limits of the Application of EC Competition Law 169
1.Qualifiied Effects 169
2.Respective Application of EC and Member State Competition Laws 172
a.Effect on Trade between the EU Member States 172
b.The Effect on Trade Guidelines 179
c.Subsidiarity 183
d.Proportionality 183
B.Complications under EU Law in Discerning which of its Norms are Mandatory 184
C.The EU’s Policy on Application of EC Competition Law 186
D.Limits to Application of EC Competition Law Inhering within the EU Legal Order Itself 189
1.Material Extent of Application of EC Competition Law 189
2.Limits due to Procedural Requirements of the Lex Fori 192
a.General 192
b.Van Schijndel 192
c.Peterbroeck 194
d.Eco Swiss 194
e.Conclusions on these Three Preliminary Reference Decisions of the ECJ 197
3.Competition between an EU Law Rule and a Substantive Member State Rule 207
4.The Origin of the EU Norm within the Community Legal Order 209
5.Application of Hard Core Prohibition More Compelling 215
6.Distinction as to Particular Objectives of EC Competition Law 217
7.Distinction in Relation to Effects of EC Competition Law 217
8.Distinction between Horizontal and Vertical Restraints 220
9.The Imperativity of Market Defimition under EC Competition Law 220
Ⅲ.The Imperativity Assessment by Arbitral Tribunals 221
A.General 221
B.Limitations Extending from the Arbitration Context 221
C.Assessment of the Objective Importance of Competition Law 221
D.Competing Public Policy Claims of Two or More States 227
Ⅳ.Are Arbitrators under an Obligation to Apply EC Competition Law of their own Motion？ 229
Ⅴ.The Supplementary Application of the Lex Arbitrii and the Lex Causae 230
CHAPTER 8 - EC COMPETITION LAW ASSISTANCE IN TERNATIONAL ARBITRATION 237
Ⅰ.Non-mandatory Statements of EC Competition Law 237
A.Commission Notices 237
B.Other Non-Binding Statements from the Commission 237
C.Treatment of Non-Binding Statements of EC Competition Law by Arbitrators 240
Ⅱ.Influence on Arbitral Tribunals of other Bodies’ prior Applications of Legal Norms 240
A.Critical Role of Prior administrative Findings in private Competition Law Proceedings 240
B.Bases upon which Arbitral Tribunals May Rely on Prior Determinations 241
1.Distinction between Mandatory Norms and Applications of Mandatory Norms 241
2.Treatment of Prior Decisions by Arbitrators 242
a.Res Judicata 242
b.Values Outside of those Behind Res Judicata 246
c.Parallel between Foreign Mandatory Norms and Foreign Decisions and Awards 246
3.Factors Affecting Degree of Arbitration Tribunals’ Reliance on Prior Determinations 247
a.Rights of Defence 247
b.Similarity of the Subject Matter of the Two Proceedings 248
c.Institutional Competence of Prior Decision-Maker 248
d.The Cogency of the Analysis 249
e.Nature of the Prior Decision 249
Ⅲ.Arbitration Tribunals’ Treatment of Prior Determinations on EC Competition Law 249
A.General 249
B.Authority of EC Competition Law Decisions under Member State Law 250
C.Authority of EC Competition Law Decisions under Community Law 251
1.General 251
2.Community Courts 252
3.The European Commission 253
a.General 253
b.Bases for the Authority of Commission Decisions under Community Law 253
c.Application to Arbitral Tribunals 256
d.Extent of Authority of Commission Decisions under Community Law 256
4.Member State Competition Authorities 260
5.Member State Courts 261
D.Considerations Relevant to Arbitrators’Weighting of Prior EC Competition Law Determinations261Ⅹ 261
1.Rights of the Defence 261
2.Similarity of Issues 262
3.Institutional Competence of First Decision Maker 265
4.The Nature of the Decision 269
Ⅳ.Effect on arbitral Proceedings of Conternporaneous Proceedings before other Bodies 274
Ⅴ.Intervention of Commission and Member State Competition Authorities in Arbitration Proceedings 278
A.The Modernisation Regulation 278
B.Legal Nature of the Commission’s Intervention 280
C.Basis upon which the Commission May Provide Assistance to Arbitration Tribunals 282
D.Community Law Limits on Assistance to Arbitral Tribunals 282
E.Confidentiality Restrictions under Arbitration Law 289
CHAPTER9-OVERVIEW OF SUBSTANTIVE ANALYSIS IN PRACTICE 295
Ⅰ.Gathering Evidence 295
A.General 295
B.Sources 296
1.Authoritative or Persuasive Determinations from Other Bodies 296
2.Assistance from Other Decision Makers 296
3.Searches 296
4.Production Orders 297
5.Compelling of Witnesses 298
6.Market Knowledge 298
7.Economic Consultants 300
8.Types of Analysis Frequently Conducted by Economic Consultants 302
a.Empirical 302
b.Econometrics 303
9.Accountants 304
Ⅱ.Market Power - A Foundational Concept 304
Ⅲ.Determinations 304
A.General 306
B.Market Defiinition 307
1.The Uses of Market Definition 307
2.The Commission’s Treatment of Market Defiinition 308
3.Other common Tests Used in Relation to Market Definition 311
C.Market Share 312
D.Drawing Conclusions from Market Shares 312
E.Refiining Market Power Analysis 315
F.Review of Issues Relating to Article 81（3） EC 316
G.Dominance 318
H.Distortions to Competition 319
1.Demonstrating Effects on Competition 319
2.Quantifying Damages 320
CHAPTER 10 - LEGAL RELIEF 323
Ⅰ.Public and Private Enforcement of EC Competition Law 323
Ⅱ.Burden of Proof 325
Ⅲ.Standard of Proof 326
Ⅳ.Time Barring 327
Ⅴ.Provisional Measures 328
A.General 328
B.Applicable Law 329
C.Where to Apply for Interim Measures 333
Ⅵ.Severance 335
A.General 335
B.Severance under Surveyed States’ Law 336
1.Generally 336
2.Severance under Swiss Law 336
3.Severance under English Law 337
4.Severance under French Law 337
5.Severance under German Law 338
6.Severance under Dutch Law 338
Ⅶ.Damages 338
A.General 338
B.Components of Damages Claims 342
1.General 342
2.Violation of EC Competition Law 343
3.Causation 344
4.Damages 345
5.Swiss Law 346
6.English Law 346
7.French Law 347
8.German Law 348
9.Dutch Law 349
Ⅷ.Restitution 350
A.General 350
B.Swiss Law 350
C.English Law 351
D.French Law 352
E.German Law 352
F.Dutch Law 352
BIBLIOGRAPHY 353
INDEX 363