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CHAPTER 1 - INTRODUCTION1

Ⅰ.Competition Law in the EU Legal Order1

Ⅱ.Arbitration2

Ⅲ.Why this Book？3

Ⅳ.Scope of this Book7

Ⅴ.A Note on Terminology9

Ⅵ.Topography of EC Competition Law11

CHAPTER 2 - THE OBJECTIVES OF COMPETITION LAW19

Ⅰ.The Hallmarks of Modern Competition Law19

Ⅱ.EC Competition Law as a System of Modern Competition Law22

A.General22

B.The Primarily Public Nature of the Objectives of EC Competition Law22

C.The Dual Objectives of EC Competition Law25

CHAPTER 3 - THE ENFORCEMENT OF COMMUNITY LAW33

Ⅰ.Relations between Community Law and Member State Law33

A.General Principles33

B.Direct Effect under the EC Treaty34

C.The System of Enforcement of Private Rights under Community Law34

D.Competition Law Within the Community Legal Order35

1.General35

2.Direct Applicability of EC Competition Law36

Ⅱ.Modernisation38

A.Background38

B.Modernisation and Arbitration39

CHAPTER 4 - THE CONTENT OF EC COMPETITON LAW43

Ⅰ.The Relationship between Article 81 EC and Articles 82 EC43

Ⅱ.Article 81 EC44

A.The Text44

B.Analysis under Article 81 EC - General45

C.Objects and Effects45

D.De Minimis Notice48

E.Effects49

F.Analysing Effects52

G.Article 81（3） EC-Effiiciencies53

H.Block Exemptions and Related Notices56

1.General56

2.The Two Horizontal Cooperation Block Exemptions57

3.The R & D Block Exemption58

4.The Specialisation Block Exemption60

5.The Horizontal Cooperation Guidelines61

6.The Vertical Restraints Block Exemption66

7.The Verticals Guidelines67

8.The Subcontracting Notice68

9.The Technology Transfer Block Exemption69

10.The Technology Transfer Guidelines72

Ⅲ.Article 82 EC74

A.General74

B.Dominance75

C.Joint Dominance76

D.Signifiicance of Occupying a Dominant Position77

E.Abuse of a Dominant Position77

Ⅳ.Member State Government-Sponsored Distortions to Competition82

Ⅴ.EC Competition Law and Sectoral Regulation85

CHAPTER 5 - ARBITRABILITY89

Ⅰ.Powers of an Arbitral Tribunal to Decide Material Issues89

Ⅱ.Applicable Law90

Ⅲ.Arbitrability under Surveyed States’ Law92

Ⅵ.Competition Law93

A.Features of Competition Law Relevant to the Arbitrability Determination93

B.The Arbitrability of Competition Law under Surveyed States’ Law94

C.Comparison with Arbitrability of Competition Law under US Federal Law95

D.EU Law99

1.Pre-Modernisation99

2.Modernisation101

CHAPTER 6 - THE APPLICATION OF MANDATORY NORMS105

Ⅰ.Overview105

A.Four Questions105

B.The Responses in Brief105

1.Antinomy between International Arbitration and Assuring the Application of Mandatory Norms105

2.Duties upon Arbitrators107

3.Some Conclusions108

a.Arbitrators Will Properly Apply Mandatory Norms in Accordance with their Justified Claims108

b.Authority for Applying Mandatory Norms in Arbitrations109

c.Proper Role of Party Will in the Application of Mandatory Norms111

Ⅱ.Mandatory Norms in the Conflicts of Law System112

A.General112

1.Rules of Mandatory Application112

2.Applicable Law in the Absences of States’ Interests113

3.Choice of Law in the Presence of States’ Interests113

4.Types of Mandatory Norms114

5.Mandatory Norms and Public Policy115

6.The Specifiic Problem of Applying Mandatory Rules in Arbitrations117

B.The Application of Mandatory Norms by Courts118

1.Norms of the Forum118

2.Norms other than those of the Forum118

3.Competing Application of Two States’ Mandatory Norms119

4.The Rome Convention on the Law Applicable to Contractual Matters120

a.Scope of Application120

b.Treatment of Mandatory Norms under the Rome Convention120

c.Foreign Mandatory Norms under the Rome Convention120

d.Domestic Mandatory Norms under the Rome Convention123

e.Rome Convention Treatment of Foreign Mandatory Norms Reflects Widely Accepted Principles124

f.Further Authority Supporting Treatment of Mandatory Norms under the Rome Convention Model127

C.Differences between Courts and Arbitral Tribunals in Relation to Mandatory Norms128

D.Application of Mandatory Norms in Arbitration Practice and Theory129

1.Arbitration Practice129

2.Legal Literature134

E.Proper Approach to the Application of EC Competition Law by Arbitration Tribunals139

1.Enforceable and Unenforceable Duty upon Arbitrators139

2.Enforceable Obligations upon Arbitrators141

a.Enforceable Obligations are only ever “Enforceable” on Arbitrators in an Indirect Sense141

b.Provisions on Applicable Law in Arbitration Laws141

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 Awards144

3.Enforceable Obligations on Arbitrators and the Application of EC Competition Law145

a.Courts of EU Member States145

b.Courts of States Not Belonging to the EU148

c.Competition Authorities152

4.Unenforceable Duty on Arbitrators154

5.Applying Mandatory Norms in Arbitration156

Ⅲ.Must Arbitrators Raise Mandatory Norms of their Own Motion？158

A.General158

B.Practical Limits on Arbitrators’ Obligation to Apply Mandatory Norms of their Own Motion159

CHAPTER 7 - TAKING EC COMPETITION LAW SERIOUSLY161

Ⅰ.Competition Law as Mandatory Norms161

A.States’ Interests161

B.The Territoriality Principle and Competition Law163

1.Effects on Markets163

2.Development of the Position under US Law164

Ⅱ.The Application of EC Competition Law169

A.Outer Limits of the Application of EC Competition Law169

1.Qualifiied Effects169

2.Respective Application of EC and Member State Competition Laws172

a.Effect on Trade between the EU Member States172

b.The Effect on Trade Guidelines179

c.Subsidiarity183

d.Proportionality183

B.Complications under EU Law in Discerning which of its Norms are Mandatory184

C.The EU’s Policy on Application of EC Competition Law186

D.Limits to Application of EC Competition Law Inhering within the EU Legal Order Itself189

1.Material Extent of Application of EC Competition Law189

2.Limits due to Procedural Requirements of the Lex Fori192

a.General192

b.Van Schijndel192

c.Peterbroeck194

d.Eco Swiss194

e.Conclusions on these Three Preliminary Reference Decisions of the ECJ197

3.Competition between an EU Law Rule and a Substantive Member State Rule207

4.The Origin of the EU Norm within the Community Legal Order209

5.Application of Hard Core Prohibition More Compelling215

6.Distinction as to Particular Objectives of EC Competition Law217

7.Distinction in Relation to Effects of EC Competition Law217

8.Distinction between Horizontal and Vertical Restraints220

9.The Imperativity of Market Defimition under EC Competition Law220

Ⅲ.The Imperativity Assessment by Arbitral Tribunals221

A.General221

B.Limitations Extending from the Arbitration Context221

C.Assessment of the Objective Importance of Competition Law221

D.Competing Public Policy Claims of Two or More States227

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 Causae230

CHAPTER 8 - EC COMPETITION LAW ASSISTANCE IN TERNATIONAL ARBITRATION237

Ⅰ.Non-mandatory Statements of EC Competition Law237

A.Commission Notices237

B.Other Non-Binding Statements from the Commission237

C.Treatment of Non-Binding Statements of EC Competition Law by Arbitrators240

Ⅱ.Influence on Arbitral Tribunals of other Bodies’ prior Applications of Legal Norms240

A.Critical Role of Prior administrative Findings in private Competition Law Proceedings240

B.Bases upon which Arbitral Tribunals May Rely on Prior Determinations241

1.Distinction between Mandatory Norms and Applications of Mandatory Norms241

2.Treatment of Prior Decisions by Arbitrators242

a.Res Judicata242

b.Values Outside of those Behind Res Judicata246

c.Parallel between Foreign Mandatory Norms and Foreign Decisions and Awards246

3.Factors Affecting Degree of Arbitration Tribunals’ Reliance on Prior Determinations247

a.Rights of Defence247

b.Similarity of the Subject Matter of the Two Proceedings248

c.Institutional Competence of Prior Decision-Maker248

d.The Cogency of the Analysis249

e.Nature of the Prior Decision249

Ⅲ.Arbitration Tribunals’ Treatment of Prior Determinations on EC Competition Law249

A.General249

B.Authority of EC Competition Law Decisions under Member State Law250

C.Authority of EC Competition Law Decisions under Community Law251

1.General251

2.Community Courts252

3.The European Commission253

a.General253

b.Bases for the Authority of Commission Decisions under Community Law253

c.Application to Arbitral Tribunals256

d.Extent of Authority of Commission Decisions under Community Law256

4.Member State Competition Authorities260

5.Member State Courts261

D.Considerations Relevant to Arbitrators’Weighting of Prior EC Competition Law Determinations261Ⅹ261

1.Rights of the Defence261

2.Similarity of Issues262

3.Institutional Competence of First Decision Maker265

4.The Nature of the Decision269

Ⅳ.Effect on arbitral Proceedings of Conternporaneous Proceedings before other Bodies274

Ⅴ.Intervention of Commission and Member State Competition Authorities in Arbitration Proceedings278

A.The Modernisation Regulation278

B.Legal Nature of the Commission’s Intervention280

C.Basis upon which the Commission May Provide Assistance to Arbitration Tribunals282

D.Community Law Limits on Assistance to Arbitral Tribunals282

E.Confidentiality Restrictions under Arbitration Law289

CHAPTER9-OVERVIEW OF SUBSTANTIVE ANALYSIS IN PRACTICE295

Ⅰ.Gathering Evidence295

A.General295

B.Sources296

1.Authoritative or Persuasive Determinations from Other Bodies296

2.Assistance from Other Decision Makers296

3.Searches296

4.Production Orders297

5.Compelling of Witnesses298

6.Market Knowledge298

7.Economic Consultants300

8.Types of Analysis Frequently Conducted by Economic Consultants302

a.Empirical302

b.Econometrics303

9.Accountants304

Ⅱ.Market Power - A Foundational Concept304

Ⅲ.Determinations304

A.General306

B.Market Defiinition307

1.The Uses of Market Definition307

2.The Commission’s Treatment of Market Defiinition308

3.Other common Tests Used in Relation to Market Definition311

C.Market Share312

D.Drawing Conclusions from Market Shares312

E.Refiining Market Power Analysis315

F.Review of Issues Relating to Article 81（3） EC316

G.Dominance318

H.Distortions to Competition319

1.Demonstrating Effects on Competition319

2.Quantifying Damages320

CHAPTER 10 - LEGAL RELIEF323

Ⅰ.Public and Private Enforcement of EC Competition Law323

Ⅱ.Burden of Proof325

Ⅲ.Standard of Proof326

Ⅳ.Time Barring327

Ⅴ.Provisional Measures328

A.General328

B.Applicable Law329

C.Where to Apply for Interim Measures333

Ⅵ.Severance335

A.General335

B.Severance under Surveyed States’ Law336

1.Generally336

2.Severance under Swiss Law336

3.Severance under English Law337

4.Severance under French Law337

5.Severance under German Law338

6.Severance under Dutch Law338

Ⅶ.Damages338

A.General338

B.Components of Damages Claims342

1.General342

2.Violation of EC Competition Law343

3.Causation344

4.Damages345

5.Swiss Law346

6.English Law346

7.French Law347

8.German Law348

9.Dutch Law349

Ⅷ.Restitution350

A.General350

B.Swiss Law350

C.English Law351

D.French Law352

E.German Law352

F.Dutch Law352

BIBLIOGRAPHY353

INDEX363