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Stone on Private International Law in the European Union

Fourth Edition

Peter Stone

Within Europe the private international law rules have been harmonized to a very large extent by legislation adopted at EU level and case-law on the interpretation of this legislation. Recent developments include the entry into operation of revised versions of the Brussels I Regulation on civil jurisdiction and judgments and the Regulation on insolvency proceedings, as well as numerous decisions of the European Court and the English courts. The new edition of this authoritative work takes account of recent developments at both EU and UK levels.
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EXTENDED TABLE OF CONTENTS

Peter Stone

Preface

Table of cases

Table of legislation

PART I   INTRODUCTION

1   Introduction

A. PRIVATE INTERNATIONAL LAW AND ITS HARMONISATION  1.01

B. HARMONISATION AT EUROPEAN UNION LEVEL  1.05

C. CIVIL JURISDICTION AND JUDGMENTS  1.14

1. The Brussels I Regulation  1.14

2. The Lugano Conventions  1.19

3. The Hague Convention 2005  1.20

4. Uncontested claims  1.21

5. Small claims  1.23

6. Freezing orders  1.24

D. THE LAW APPLICABLE TO CIVIL OBLIGATIONS  1.25

1. The Rome I Regulation  1.25

2. The Rome II Regulation  1.27

E. FAMILY MATTERS  1.28

1. The Brussels IIA Regulation  1.28

2. The Rome III Regulation  1.31

3. The Hague Convention 1996  1.32

4. The Maintenance Regulation  1.34

5. Succession on death  1.37

6. Matrimonial property  1.38

7. Non-molestation orders  1.41

F. INSOLVENCY PROCEEDINGS  1.43

G. PROCEDURAL CO-OPERATION  1.48

1. Service of documents  1.48

2. Taking evidence  1.50

H. COMPANY LAW  1.51

I. THE EUROPEAN UNION AND THE HAGUE CONFERENCE  1.61

J. REMAINING GAPS  1.72

K. WITHDRAWAL BY THE UNITED KINGDOM  1.77

PART II   CIVIL JURISDICTION AND JUDGMENTS

2.   History, outline and scope

A. HISTORY  2.01

1. The Brussels I Regulation  2.01

2. The Brussels Convention  2.09

3. The Lugano Convention 2007  2.12

B. OUTLINE  2.18

C. MATERIAL SCOPE  2.31

1. Civil and commercial matters  2.32

2. The excluded matters  2.40

3. Family matters  2.44

4. Succession on death  2.48

5. Insolvency proceedings  2.51

6. Social security  2.64

7. Arbitration  2.65

(a) The New York Convention 1958  2.66

(b) The test of principal subject-matter  2.69

(c) Judicial proceedings principally concerned with an arbitration agreement  2.74

(d) Judicial proceedings brought in defiance of an arbitration agreement  2.76

(e) Anti-suit injunctions  2.80

(f) Recognition and enforcement of arbitral awards  2.86

8. External judgments  2.88

D. SPECIALISED CONVENTIONS AND EUROPEAN UNION MEASURES  2.89

1. Specialised conventions  2.89

2. Specialised European Union instruments  2.100

E. TEMPORAL SCOPE  2.104

3   Domicile

A. THE GENERAL RULES  3.01

B. LOCAL DEFENDANTS  3.06

1. Internal allocation  3.08

2. Forum non conveniens  3.10

3. Reflexive effect  3.16

C. OTHER EUROPEAN DEFENDANTS  3.21

1. Service in another Member State  3.24

D. EXTERNAL DEFENDANTS  3.36

1. Service abroad  3.41

E. THE CONCEPT OF DOMICILE  3.44

1. Individuals  3.47

2. Corporations and associations  3.55

4   Alternative jurisdiction

A. INTRODUCTION  4.01

1. Establishing jurisdiction  4.09

B. ORDINARY CONTRACTS  4.14

1. Introduction  4.14

2. Contractual matters  4.16

3. The relation between the claim and the contract  4.25

4. The obligation in question  4.29

5. Contracts for the sale of goods  4.32

6. Contracts for the provision of services  4.42

7. The Convention approach  4.54

C. TORTS  4.65

1. Tortious matters  4.66

2. Harmful events  4.77

(a) The general principles  4.77

(b) Product liability  4.84

(c) Defamation and privacy  4.86

(d) Economic torts  4.91

(e) Infringement of specific intellectual property rights  4.94

(f) Unfair competition  4.102

(g) Anti-competitive practices  4.103

(h) Torts involving company law  4.106

(i) Contribution between tortfeasors  4.108

(j) Equitable wrongs  4.109

(k) Restitutionary claims  4.111

3. Criminal proceedings  4.112

D. OWNERSHIP OF CULTURAL OBJECTS  4.114

E. SECONDARY ESTABLISHMENTS  4.115

1. A branch, agency or other establishment  4.116

2. Operations  4.118

F. TRUSTS  4.122

G. ADMIRALTY  4.129

5   Ancillary jurisdiction

A. CO-DEFENDANTS  5.04

B. THIRD-PARTY PROCEEDINGS  5.21

C. COUNTERCLAIMS  5.28

D. CLAIMS INVOLVING LAND  5.31

6   Protected contracts

A. INTRODUCTION  6.01

B. INSURANCE  6.05

1. Scope  6.05

2. Actions against an insurer  6.08

3. Actions brought by an insurer  6.17

4. Agreements on jurisdiction  6.20

C. CONSUMER CONTRACTS  6.26

1. Scope  6.26

(a) Substantive requirements  6.27

(b) Territorial requirements  6.37

2. Actions against a supplier  6.45

3. Actions against a consumer  6.48

4. Agreements on jurisdiction  6.50

D. EMPLOYMENT  6.53

1. Scope  6.53

2. Actions against an employer  6.61

3. Actions against an employee  6.70

4. Agreements on jurisdiction  6.71

7   Exclusive jurisdiction

A. OVERRIDING CHARACTER  7.01

B. PROPRIETARY RIGHTS IN LAND  7.04

C. TENANCIES OF LAND  7.11

D. COMPANY LAW  7.16

E. PUBLIC REGISTERS  7.25

F. INTELLECTUAL PROPERTY  7.26

1. National intellectual property rights  7.26

2. European patents  7.36

3. Unitary patents and the Unified Patent Court  7.43

(a) The unitary patent  7.49

(b) The Unified Patent Court  7.56

(c) The international jurisdiction of the UPC  7.65

(d) Choice of law in the UPC  7.74

4. EU trade marks  7.82

5. Community plant variety rights  7.102

6. Community designs  7.107

G. ENFORCEMENT OF JUDGMENTS  7.115

8   Submission

A. INTRODUCTION  8.01

B. SUBMISSION BY AGREEMENT  8.03

1. Introduction  8.03

2. Formal validity  8.05

(a) Agreements concluded in writing  8.06

(b) Agreements evidenced in writing  8.10

(c) Bilaterally established practices  8.11

(d) General commercial usages  8.12

(e) Corporate constitutions  8.17

(f) Third parties  8.19

(g) No additional requirements  8.24

3. Essential validity  8.26

(a) Permissible scope  8.27

(b) Excluded subject-matter  8.29

(c) Acceptable choice  8.31

(d) Defective consent  8.34

4. Interpretation  8.37

5. Effects  8.39

6. Reflexive effect  8.46

C. THE HAGUE CONVENTION 2005  8.49

1. Introduction  8.49

2. The scope of the Convention  8.55

3. Reservations and extensions  8.66

4. Direct jurisdiction  8.69

5. Recognition and enforcement  8.72

D. SUBMISSION BY APPEARANCE  8.73

9   Concurrent proceedings

A. INTRODUCTION  9.01

B. SIMILAR ACTIONS  9.11

1. The mechanism  9.11

2. The same cause of action  9.17

3. The same parties  9.24

4. The time of seisin  9.26

5. Relation with other provisions  9.31

6. Concurrent exclusive jurisdiction  9.38

7. External proceedings  9.40

C. RELATED ACTIONS  9.44

1. Scope  9.44

2. Mechanism  9.49

3. External proceedings  9.55

D. ANTI-SUIT INJUNCTIONS  9.57

10   Provisional measures and taking evidence

A. INTRODUCTION  10.01

B. PROVISIONAL MEASURES  10.02

1. Article 35 of the Brussels I Regulation  10.02

2. Other restrictions under European law  10.13

C. TAKING EVIDENCE  10.14

1. The request to take evidence  10.17

2. Performance of the request  10.19

3. Refusal  10.22

4. Taking evidence directly  10.24

11   Recognition and enforcement of judgments

A. INTRODUCTION  11.01

1. Scope  11.01

2. Judgments  11.07

3. Recognition and enforcement  11.12

4. Authentic instruments and court settlements  11.17

5. Other EU measures  11.24

B. SUBSTANTIVE REQUIREMENTS  11.25

1. No review of the merits  11.29

2. No review of jurisdiction (with minor exceptions)  11.31

(a) The general rule  11.31

(b) The exception for insurance, consumer and employment contracts, and exclusive jurisdiction by subject-matter  11.35

(c) The exception for existing agreements with external countries  11.37

(d) The transitional exception  11.41

(e) The exception relating to provisional measures  11.47

(f) Further exceptions under the Lugano Convention 2007  11.49

3. Public policy  11.51

(a) Procedural unfairness  11.58

(b) Non-procedural factors  11.63

4. Inadequate notice of the original action  11.67

5. Civil proceedings ancillary to a criminal prosecution  11.77

6. Irreconcilable judgments  11.78

C. THE HAGUE CONVENTION 2005  11.86

12   Enforcement procedure

A. INTRODUCTION  12.01

B. THE ORIGINAL VERSION OF CHAPTER III  12.08

1. Introduction  12.08

2. The initial application  12.11

3. Provisional enforcement pending appeal  12.19

4. The normal appeal  12.21

5. The further appeal  12.29

6. Measures of execution  12.32

C. THE REVISED VERSION OF CHAPTER III  12.34

1. Enforcement procedure  12.34

2. Refusal procedure  12.43

13   Other legislation on judgments

A. THE UNCONTESTED CLAIMS REGULATION  13.02

1. Scope  13.05

2. Certification  13.09

3. The minimum procedural standards  13.14

4. Enforcement  13.20

5. Court settlements and authentic instruments  13.24

B. THE PAYMENT ORDER REGULATION  13.26

1. The application  13.30

2. Enforcement  13.39

3. Review in the State of origin  13.42

C. THE SMALL CLAIMS PROCEDURE  13.46

1. The European small claims procedure  13.49

2. Recognition and enforcement  13.61

PART III   CHOICE OF LAW IN RESPECT OF OBLIGATIONS

14   The proper law of a contract

A. INTRODUCTION  14.01

1. The Rome I Regulation  14.01

2. Material scope  14.09

(a) Excluded transactions  14.13

(b) Excluded terms  14.18

(c) Excluded issues  14.19

3. Other EU measures  14.26

4. International conventions  14.33

5. Factual complexities  14.38

6. Outline of the Rome I Regulation  14.43

B. THE PROPER LAW – EXPRESS CHOICE  14.47

C. THE PROPER LAW – IMPLIED CHOICE  14.69

D. THE PROPER LAW – CLOSEST CONNECTION  14.81

1. The main presumption  14.86

(a) Identifying the characteristic performer  14.91

(b) Identifying the relevant residence  14.98

(c) Rebutting the presumption  14.104

2. The minor presumptions  14.115

(a) Contracts relating to land  14.116

(b) Sales of goods by auction  14.118

(c) Contracts concluded within a multilateral market in financial instruments  14.119

(d) Contracts for the carriage of goods  14.120

15   Contractual issues and exceptions

A. PARTICULAR ISSUES  15.01

1. Interpretation, performance and discharge  15.03

2. Essential validity and formation  15.07

3. Formal validity  15.16

4. Capacity  15.21

5. Representation  15.24

(a) The scope of the exclusion  15.25

(b) Actual authority  15.27

(c) Other authority  15.28

6. Procedure  15.30

7. Remedies  15.31

8. Time-limitation  15.34

9. The consequences of nullity  15.35

10. Voluntary assignment and contractual subrogation  15.40

(a) Assignment and garnishment  15.48

(b) Assignment and insolvency proceedings  15.52

(c) Block assignments and indirectly held securities  15.53

11. Legal subrogation  15.55

12. Recourse between debtors  15.57

13. Set-off  15.59

B. PUBLIC POLICY AND OVERRIDING INTERESTS  15.61

1. Public policy of the forum country  15.64

2. Overriding interests of the forum country  15.70

3. Overriding interests of a third country  15.77

16   Protected contracts

A. INTRODUCTION  16.01

B. CONSUMER CONTRACTS  16.02

1. Scope  16.02

(a) Financial services  16.07

(b) The territorial requirement  16.12

2. The protective regime  16.18

3. The Directives on substantive consumer law  16.23

C. CARRIAGE OF PASSENGERS  16.28

D. EMPLOYMENT CONTRACTS  16.32

1. Scope  16.32

2. The protective regime  16.37

3. The Directive on the posting of workers  16.47

E. INSURANCE CONTRACTS  16.50

1. The Rome Convention and the insurance Directives  16.50

2. The scope of the Rome I Regulation  16.52

3. The effect of the Rome I Regulation  16.56

4. Large risks and mass risks  16.60

5. The law governing large risks  16.64

6. The law governing mass risks  16.68

7. Compulsory insurance  16.78

17   Torts

A. INTRODUCTION  17.01

1. The Rome II Regulation  17.01

2. Material scope  17.05

3. Territorial scope  17.20

4. Other EU Legislation  17.22

5. Existing international conventions  17.27

B. THE MAIN RULES  17.29

1. Introduction  17.29

2. The law of the common habitual residence  17.36

3. The law of the place of direct injury  17.48

4. The law of the manifestly closer connection  17.54

5. Agreements choosing the applicable law  17.69

6. Public policy and overriding rules  17.73

C. VARIOUS ISSUES  17.76

1. Liability  17.77

2. Damages and other remedies  17.81

3. Some collateral matters  17.91

18   Some particular torts

A. PRODUCT LIABILITY  18.02

1. The scope of Article 5  18.05

2. The cascade of rules  18.09

B. UNFAIR COMPETITION  18.39

C. RESTRICTIONS OF COMPETITION  18.44

D. INTELLECTUAL PROPERTY  18.47

E. ENVIRONMENTAL DAMAGE  18.51

F. INDUSTRIAL DISPUTES  18.54

19   Restitution

A. INTRODUCTION  19.01

B. UNJUST ENRICHMENT  19.07

1. Existing relationships  19.09

2. Stand-alone claims  19.15

C. UNAUTHORISED AGENCY  19.17

D. PRE-CONTRACTUAL DEALINGS  19.19

PART IV   FAMILY MATTERS

20   Matrimonial proceedings

A. INTRODUCTION  20.01

1. The Brussels IIA Regulation  20.01

2. The Rome III Regulation  20.05

3. External agreements on family matters  20.07

4. Scope  20.10

B. DIRECT JURISDICTION  20.14

1. The unified grounds  20.16

(a) Habitual residence  20.17

(b) Nationality or domicile  20.25

(c) Extended jurisdiction  20.28

2. Residual grounds  20.29

3. Exercise of jurisdiction  20.34

(a) Declining jurisdiction of the court’s own motion  20.35

(b) Concurrent proceedings  20.36

(c) External proceedings  20.43

(d) Provisional measures  20.44

4. Choice of law  20.46

C. RECOGNITION OF MATRIMONIAL DECREES  20.55

1. Transitional provisions  20.63

D. NON-MOLESTATION ORDERS  20.76

21   Parental responsibility

A. INTRODUCTION  21.01

1. The Brussels IIA Regulation  21.01

2. The Hague Convention 1996  21.06

3. Other international conventions  21.09

4. Scope  21.12

B. DIRECT JURISDICTION  21.24

1. Structure  21.24

2. The child’s habitual residence  21.28

3. Modification of access orders  21.51

4. Jurisdiction after abduction  21.52

5. Jurisdiction by agreement  21.57

6. The child’s presence  21.66

7. Residual grounds  21.68

8. Transfer between courts  21.70

9. Examination as to jurisdiction or admissibility  21.82

10. Concurrent proceedings  21.84

11. External proceedings  21.90

12. Provisional measures  21.92

(a) Interim measures under the Hague Convention 1996  21.99

13. Return under the Hague Convention 1980  21.102

C. RECOGNITION AND ENFORCEMENT OF CUSTODY ORDERS  21.126

1. Scope  21.126

2. Grounds for refusal of recognition and enforcement  21.135

(a) Placement in institutional care or with a foster family in another Member State  21.146

3. Access orders and orders for return  21.151

4. Transitional provisions  21.161

22   Maintenance and property

A. INTRODUCTION  22.01

B. MAINTENANCE OBLIGATIONS  22.04

1. The legislation  22.04

2. Scope  22.09

3. Existing international conventions  22.16

4. Transitional provisions  22.17

5. Direct jurisdiction  22.19

6. Choice of law  22.37

7. Recognition and enforcement  22.48

(a) Recognition and enforcement under Section 1  22.53

(b) Recognition and enforcement under Section 2  22.64

(c) Public bodies as applicants for enforcement  22.70

C. MATRIMONIAL AND PARTNERSHIP PROPERTY  22.71

1. The legislation  22.71

2. Scope  22.74

3. Direct jurisdiction  22.79

(a) Matrimonial property  22.79

(b) Partnership property  22.91

4. Choice of law  22.97

(a) Matrimonial property  22.97

(b) Partnership property  22.109

5. Recognition and enforcement of decisions  22.114

6. Authentic instruments and court settlements  22.116

23   Succession on death

A. INTRODUCTION  23.01

1. Material scope  23.03

2. Other legislation  23.15

B. CHOICE OF LAW  23.18

1. The main choice of law rules  23.18

2. Habitual residence and closest connection  23.22

3. Nationality and choice  23.26

4. The scope of the lex successionis  23.28

5. Testamentary dispositions  23.33

6. Formal validity of testamentary dispositions  23.37

7. Declarations as to acceptance, waiver or limitation  23.41

8. Renvoi  23.45

C. JUDICIAL JURISDICTION  23.50

1. The main rules  23.51

2. The exception for nationality and choice  23.53

3. External assets  23.58

4. Exercise of jurisdiction  23.59

D. RECOGNITION AND ENFORCEMENT  23.61

E. THE EUROPEAN CERTIFICATE OF SUCCESSION  23.66

PART V   INSOLVENCY

24   Main insolvency proceedings

A. INTRODUCTION  24.01

B. SCOPE  24.08

1. Types of proceeding covered  24.08

(a) The original Regulation  24.08

(b) The new Regulation  24.11

2. Excluded debtors  24.24

(a) The original Regulation  24.24

(b) The new Regulation  24.25

(c) Insurance undertakings and credit institutions  24.26

3. External debtors  24.28

4. Transitional provisions  24.30

(a) The original Regulation  24.30

(b) The new Regulation  24.32

C. JURISDICTION OVER MAIN PROCEEDINGS  24.33

1. Corporate debtors  24.37

2. Individual debtors  24.43

3. Opening of proceedings and concurrent proceedings  24.51

4. Derivative actions  24.55

D. CHOICE OF LAW  24.59

1. The general rule  24.59

2. Some substantive rules  24.66

3. Forestalling secondary proceedings  24.69

4. Various exceptions  24.77

(a) Rights in rem  24.78

(b) Immovable or registered property  24.82

(c) Reservation of title to goods  24.83

(d) Certain existing contracts  24.84

(e) Set-off  24.87

(f) Payment systems and financial markets  24.88

(g) Invalidation of detrimental acts  24.90

(h) Pending actions  24.96

E. JUDGMENTS IN MAIN PROCEEDINGS  24.100

1. The principle and the exceptions  24.100

2. The position of the liquidator or insolvency practitioner  24.109

3. Related judgments  24.113

25   Other insolvency proceedings

A. SECONDARY PROCEEDINGS  25.02

1. The opening of a secondary proceeding  25.02

2. The effects of a secondary proceeding  25.13

B. INDEPENDENT TERRITORIAL PROCEEDINGS  25.26

C. CORPORATE GROUPS  25.33

1. Co-operation and communication  25.35

2. Group co-ordination proceedings  25.38

Index