'%20transform='translate(-1245%20-1388)'%3e%3cpath%20d='M1264.5%201438.05C1264.5%201426.7%201273.7%201417.5%201285.05%201417.5L1387.95%201417.5C1399.3%201417.5%201408.5%201426.7%201408.5%201438.05L1408.5%202025.95C1408.5%202037.3%201399.3%202046.5%201387.95%202046.5L1285.05%202046.5C1273.7%202046.5%201264.5%202037.3%201264.5%202025.95Z'%20stroke='%23FFFFFF'%20stroke-width='37.3333'%20stroke-miterlimit='8'%20fill='none'%20fill-rule='evenodd'/%3e%3cpath%20d='M1490.5%201435.83C1490.5%201425.71%201498.71%201417.5%201508.83%201417.5L1616.17%201417.5C1626.29%201417.5%201634.5%201425.71%201634.5%201435.83L1634.5%202028.17C1634.5%202038.29%201626.29%202046.5%201616.17%202046.5L1508.83%202046.5C1498.71%202046.5%201490.5%202038.29%201490.5%202028.17Z'%20stroke='%23FFFFFF'%20stroke-width='37.3333'%20stroke-miterlimit='8'%20fill='none'%20fill-rule='evenodd'/%3e%3cpath%20d='M1699.29%201449.98C1697.3%201439.76%201703.98%201429.85%201714.21%201427.87L1818.64%201407.57C1828.87%201405.58%201838.77%201412.26%201840.76%201422.48L1953.63%202003.18C1955.62%202013.41%201948.94%202023.31%201938.71%202025.3L1834.28%202045.6C1824.06%202047.58%201814.16%202040.9%201812.17%202030.68Z'%20stroke='%23FFFFFF'%20stroke-width='37.3333'%20stroke-miterlimit='8'%20fill='none'%20fill-rule='evenodd'/%3e%3cpath%20d='M1296%201495.92C1296%201490.99%201299.99%201487%201304.92%201487L1366.08%201487C1371.01%201487%201375%201490.99%201375%201495.92L1375%201598.08C1375%201603.01%201371.01%201607%201366.08%201607L1304.92%201607C1299.99%201607%201296%201603.01%201296%201598.08Z'%20fill='%23FFFFFF'%20fill-rule='evenodd'/%3e%3cpath%20d='M1523%201495.92C1523%201490.99%201526.99%201487%201531.92%201487L1593.08%201487C1598.01%201487%201602%201490.99%201602%201495.92L1602%201598.08C1602%201603.01%201598.01%201607%201593.08%201607L1531.92%201607C1526.99%201607%201523%201603.01%201523%201598.08Z'%20fill='%23FFFFFF'%20fill-rule='evenodd'/%3e%3cpath%20d='M1742.41%201505.25C1741.46%201500.39%201744.63%201495.69%201749.49%201494.74L1809.81%201483.02C1814.67%201482.07%201819.37%201485.25%201820.32%201490.11L1839.66%201589.61C1840.6%201594.47%201837.43%201599.17%201832.57%201600.11L1772.26%201611.84C1767.4%201612.78%201762.69%201609.61%201761.75%201604.75Z'%20fill='%23FFFFFF'%20fill-rule='evenodd'/%3e%3c/g%3e%3c/svg%3e)
DIS Arb DIS Arbitration Rules (2018)
ZivilrechtZivilprozessrecht
Schiedsverfahrensrecht
Article 1: Scope of Application
1.1
The Supplementary Rules for Corporate Disputes (“DIS-CDR”) set forth herein shall apply if the parties have referred to them in their arbitration agreement, either within or outside the articles of incorporation, or have otherwise agreed to their application.
The Supplementary Rules for Corporate Disputes (“DIS-CDR”) set forth herein shall apply if the parties have referred to them in their arbitration agreement, either within or outside the articles of incorporation, or have otherwise agreed to their application.
1.2
With respect to any arbitration, the version of the DIS-CDR in force on the date of its commencement pursuant to Article 6 of the Rules shall apply.
With respect to any arbitration, the version of the DIS-CDR in force on the date of its commencement pursuant to Article 6 of the Rules shall apply.
Article 2: Inclusion of Concerned Others
2.1
In disputes requiring a uniform decision binding all shareholders and the corporation, and in which a party intends to extend the effects of an arbitral award to any shareholder or the corporation who are not named parties to the arbitration (“Concerned Others”), the Concerned Others shall be granted the opportunity to join the arbitration pursuant to these DIS-CDR as a party or compulsory intervenor in the sense of Section 69 of the German Code of Civil Procedure (“Intervenor”). This applies, mutatis mutandis, to disputes that can be decided only by a uniform decision binding specific shareholders or the corporation.
In disputes requiring a uniform decision binding all shareholders and the corporation, and in which a party intends to extend the effects of an arbitral award to any shareholder or the corporation who are not named parties to the arbitration (“Concerned Others”), the Concerned Others shall be granted the opportunity to join the arbitration pursuant to these DIS-CDR as a party or compulsory intervenor in the sense of Section 69 of the German Code of Civil Procedure (“Intervenor”). This applies, mutatis mutandis, to disputes that can be decided only by a uniform decision binding specific shareholders or the corporation.
2.2
In its Request, the Claimant shall designate, in addition to the Respondent, any Concerned Others, providing the names and addresses of any shareholders or of the corporation itself to which the effects of the arbitral award shall extend, and shall request the DIS to also transmit the Request to the Concerned Others. In addition to what is required in Article 4.2 of the Rules, a number of copies of the Request sufficient for the designated Concerned Others shall be filed with the DIS in paper form as well as in electronic form.
In its Request, the Claimant shall designate, in addition to the Respondent, any Concerned Others, providing the names and addresses of any shareholders or of the corporation itself to which the effects of the arbitral award shall extend, and shall request the DIS to also transmit the Request to the Concerned Others. In addition to what is required in Article 4.2 of the Rules, a number of copies of the Request sufficient for the designated Concerned Others shall be filed with the DIS in paper form as well as in electronic form.
2.3
Concerned Others designated after expiry of the time limits provided in these DIS-CDR for designating Concerned Others may join the arbitration pursuant to Article 4.3 of these DIS-CDR.
Concerned Others designated after expiry of the time limits provided in these DIS-CDR for designating Concerned Others may join the arbitration pursuant to Article 4.3 of these DIS-CDR.
Article 3: Transmission of the Request and Invitation to Join the Proceedings
3.1
The DIS shall deliver the Request to the Respondent and the designated Concerned Others pursuant to Article 5.5 of the Rules. The DIS shall request the Concerned Others to inform the DIS in writing within one month following transmission of the Request whether they wish to join the arbitration on the Claimant’s or on the Respondent’s side, either as a party or as an Intervenor. The DIS shall inform the parties and all Concerned Others designated pursuant to Articles 2.2 or 9.4 of these DIS-CDR of any effected joinder.
The DIS shall deliver the Request to the Respondent and the designated Concerned Others pursuant to Article 5.5 of the Rules. The DIS shall request the Concerned Others to inform the DIS in writing within one month following transmission of the Request whether they wish to join the arbitration on the Claimant’s or on the Respondent’s side, either as a party or as an Intervenor. The DIS shall inform the parties and all Concerned Others designated pursuant to Articles 2.2 or 9.4 of these DIS-CDR of any effected joinder.
3.2
Within one month following the date of transmission of the Request, the Respondent may designate add itional Concerned Others, providing their addresses and requesting the DIS to transmit the Request to such additional Concerned Others. With its request, the Respondent shall file the number of copies of the Request in paper form as well as in electronic form required by Article 4.2 of the Rules. Article 3.1 of these DIS-CDR shall apply to any additional Concerned Others.
Within one month following the date of transmission of the Request, the Respondent may designate add itional Concerned Others, providing their addresses and requesting the DIS to transmit the Request to such additional Concerned Others. With its request, the Respondent shall file the number of copies of the Request in paper form as well as in electronic form required by Article 4.2 of the Rules. Article 3.1 of these DIS-CDR shall apply to any additional Concerned Others.
Article 4: Joinder
4.1
If Concerned Others join the arbitration as a party within the time limit provided for in Article 3 or Article 9.4 of these DIS-CDR, they shall become a party to the arbitration with all rights and duties pertaining thereto as of the date on which their declaration of joinder is filed with the DIS. If they join as an Intervenor, they shall be entitled to the rights of a compulsory Intervenor as provided for in Section 69 of the German Code of Civil Procedure. Upon their joinder, Concerned Others are entitled to designate additional Concerned Others. Article 3.2 of these DIS-CDR shall apply, mutatis mutandis, with regard to any such additional designated Concerned Others.
If Concerned Others join the arbitration as a party within the time limit provided for in Article 3 or Article 9.4 of these DIS-CDR, they shall become a party to the arbitration with all rights and duties pertaining thereto as of the date on which their declaration of joinder is filed with the DIS. If they join as an Intervenor, they shall be entitled to the rights of a compulsory Intervenor as provided for in Section 69 of the German Code of Civil Procedure. Upon their joinder, Concerned Others are entitled to designate additional Concerned Others. Article 3.2 of these DIS-CDR shall apply, mutatis mutandis, with regard to any such additional designated Concerned Others.
4.2
If a designated Concerned Other does not join the arbitration within the provided time limit, such Concerned Others shall be deemed to have waived participation in the arbitration, without prejudice to the right to join the arbitration at a later point in time pursuant to Article 4.3 of these DIS-CDR.
If a designated Concerned Other does not join the arbitration within the provided time limit, such Concerned Others shall be deemed to have waived participation in the arbitration, without prejudice to the right to join the arbitration at a later point in time pursuant to Article 4.3 of these DIS-CDR.
4.3
Designated Concerned Others may join the arbitration at any time, provided that they do not raise objections to the composition of the arbitral tribunal, and either
Designated Concerned Others may join the arbitration at any time, provided that they do not raise objections to the composition of the arbitral tribunal, and either
(i) such Concerned Others accept the arbitration as it stands at the time of their joinder,
or
(ii) the arbitral tribunal in its discretion decides to approve the joinder of such Concerned Others.
In addition, the first and second sentences of Article 4.1 of these DIS-CDR shall apply, mutatis mutandis.
Article 5: Continuous Information of Concerned Others
5.1
Unless Concerned Others have expressly waived in writing their right thereto, the arbitral tribunal shall inform, pursuant to Article 4.4 of the Rules, the designated Concerned Others who have not joined the arbitration of the progress of the arbitration by transmitting to the provided addresses of the Concerned Others copies of all Submissions of the parties or of Intervenors as well as any decisions and procedural orders of the arbitral tribunal. This shall apply to other communications from the arbitral tribunal to the parties or Intervenors only insofar as it may be reasonably assumed that such communications are relevant to a subsequent decision of any Concerned Others to join the arbitration. If the DIS transmits decisions by the arbitral tribunal to the parties, the DIS instead of the arbitral tribunal shall transmit such decisions to any designated Concerned Others who have not joined the arbitration.
Unless Concerned Others have expressly waived in writing their right thereto, the arbitral tribunal shall inform, pursuant to Article 4.4 of the Rules, the designated Concerned Others who have not joined the arbitration of the progress of the arbitration by transmitting to the provided addresses of the Concerned Others copies of all Submissions of the parties or of Intervenors as well as any decisions and procedural orders of the arbitral tribunal. This shall apply to other communications from the arbitral tribunal to the parties or Intervenors only insofar as it may be reasonably assumed that such communications are relevant to a subsequent decision of any Concerned Others to join the arbitration. If the DIS transmits decisions by the arbitral tribunal to the parties, the DIS instead of the arbitral tribunal shall transmit such decisions to any designated Concerned Others who have not joined the arbitration.
5.2
Concerned Others who have not joined the arbitration are not entitled to attend case management conferences or the oral hearing.
Concerned Others who have not joined the arbitration are not entitled to attend case management conferences or the oral hearing.
Article 6: Extension or Amendment of the Subject Matter of the Claim; Withdrawal of a Claim
6.1
An extension or amendment of the subject matter of the claim (including any counterclaim pursuant to Articles 7.5 to 7.9 of the Rules and any joinder of additional parties pursuant to Article 19 of the Rules) or, in case of a shareholder resolution dispute, the extension of the claim to other resolutions, is only admissible with the consent of all Concerned Others.
An extension or amendment of the subject matter of the claim (including any counterclaim pursuant to Articles 7.5 to 7.9 of the Rules and any joinder of additional parties pursuant to Article 19 of the Rules) or, in case of a shareholder resolution dispute, the extension of the claim to other resolutions, is only admissible with the consent of all Concerned Others.
6.2
A complete or partial withdrawal of a claim is admissible without the consent of the Concerned Others, unless a Concerned Other objects within one month after having been informed of the intended withdrawal of such claim and the arbitral tribunal acknowledges the Concerned Other’s legitimate interest in the continuation of the arbitration.
A complete or partial withdrawal of a claim is admissible without the consent of the Concerned Others, unless a Concerned Other objects within one month after having been informed of the intended withdrawal of such claim and the arbitral tribunal acknowledges the Concerned Other’s legitimate interest in the continuation of the arbitration.
Article 7: Sole Arbitrator
7.1
If the arbitral tribunal is comprised of a sole arbitrator, the parties and Intervenors may jointly nominate the sole arbitrator within one month following the date of transmission of the Request to the Respondent and to all Concerned Others, or, in case of an admissible joinder of a Concerned Other, within one month following such joinder.
If the arbitral tribunal is comprised of a sole arbitrator, the parties and Intervenors may jointly nominate the sole arbitrator within one month following the date of transmission of the Request to the Respondent and to all Concerned Others, or, in case of an admissible joinder of a Concerned Other, within one month following such joinder.
7.2
If the Respondent and the Concerned Others have received the Request at different times, the time limit shall be calculated by reference to the time of receipt by the party or Concerned Other who last received the Request. If Concerned Others join the arbitration at different points in time, the time limit shall be calculated by reference to the last such joinder.
If the Respondent and the Concerned Others have received the Request at different times, the time limit shall be calculated by reference to the time of receipt by the party or Concerned Other who last received the Request. If Concerned Others join the arbitration at different points in time, the time limit shall be calculated by reference to the last such joinder.
7.3
Where the parties and the Intervenor do not reach an agreement on the sole arbitrator within the time limits provided in Articles 7.1 and 7.2 of these DIS-CDR, upon request of any Claimant, Respondent, or Intervenor, the sole arbitrator shall be selected and appointed by the Appointing Committee pursuant to Article 13.2 of the Rules. The third sentence of Article 11 of the Rules shall apply; however, for purposes of such provision, Intervenors shall be deemed equal to parties.
Where the parties and the Intervenor do not reach an agreement on the sole arbitrator within the time limits provided in Articles 7.1 and 7.2 of these DIS-CDR, upon request of any Claimant, Respondent, or Intervenor, the sole arbitrator shall be selected and appointed by the Appointing Committee pursuant to Article 13.2 of the Rules. The third sentence of Article 11 of the Rules shall apply; however, for purposes of such provision, Intervenors shall be deemed equal to parties.
Article 8: Three-Member Arbitral Tribunal
8.1
If the arbitral tribunal is comprised of three arbitrators, the Request, in deviation from Article 5.2 (vii) of the Rules, need not contain the nomination of an arbitrator. Notwithstanding the above, any nomination made shall be deemed to be a proposal.
If the arbitral tribunal is comprised of three arbitrators, the Request, in deviation from Article 5.2 (vii) of the Rules, need not contain the nomination of an arbitrator. Notwithstanding the above, any nomination made shall be deemed to be a proposal.
8.2
Within one month following the date of transmission of the Request to the Respondent and all Concerned Others, or in case of an admissible joinder within one month thereafter, the parties and any Intervenors on Claimant’s and on Respondent’s side, respectively, shall jointly nominate a co- arbitrator. Article 7.2 of these DIS-CDR shall apply, mutatis mutandis.
Within one month following the date of transmission of the Request to the Respondent and all Concerned Others, or in case of an admissible joinder within one month thereafter, the parties and any Intervenors on Claimant’s and on Respondent’s side, respectively, shall jointly nominate a co- arbitrator. Article 7.2 of these DIS-CDR shall apply, mutatis mutandis.
8.3
Where the parties and any Intervenors on Claimant’s or on Respondent’s side do not jointly nominate an arbitrator within the time limit provided for in Article 8.2 of these DIS-CDR, the two co-arbitrators shall be selected and appointed by the Appointing Committee pursuant to Article 13.2 of the Rules.
Where the parties and any Intervenors on Claimant’s or on Respondent’s side do not jointly nominate an arbitrator within the time limit provided for in Article 8.2 of these DIS-CDR, the two co-arbitrators shall be selected and appointed by the Appointing Committee pursuant to Article 13.2 of the Rules.
8.4
Articles 12.2 and 12.3 of the Rules shall apply to the nomination and appointment of the President of the arbitral tribunal; however, for purposes of such provisions, Intervenors shall be deemed equal to parties.
Articles 12.2 and 12.3 of the Rules shall apply to the nomination and appointment of the President of the arbitral tribunal; however, for purposes of such provisions, Intervenors shall be deemed equal to parties.
Article 9: Consolidation of Jurisdiction in Case of Parallel Proceedings
9.1
Where multiple arbitrations concerning the same subject matter have been initiated that require a uniform decision applying to all parties and Concerned Others, Articles 9.2 to 9.4 of these DIS-CDR shall apply.
Where multiple arbitrations concerning the same subject matter have been initiated that require a uniform decision applying to all parties and Concerned Others, Articles 9.2 to 9.4 of these DIS-CDR shall apply.
9.2
The arbitration that has been commenced at an earlier point in time (the “Primary Arbitration”) shall preclude an arbitration commenced at a later point in time (the “Secondary Arbitration”). The Secondary Arbitration shall be inadmissible.
The arbitration that has been commenced at an earlier point in time (the “Primary Arbitration”) shall preclude an arbitration commenced at a later point in time (the “Secondary Arbitration”). The Secondary Arbitration shall be inadmissible.
9.3
The priority of multiple requests for arbitration shall be determined by the time of filing of each Request with the DIS. To prove the exact time of day at which the Request was filed with the DIS, the Request (with or without attachments thereto, pursuant to Article 6.1 of the Rules) shall, in deviation from Articles 4.1 and 4.2 of the Rules, always also be sent by fax or email. In case of doubt, the DIS shall determine the priority of multiple requests for arbitration in its discretion. If the DIS considers prima facie that the case described in Article 9.1 of these DISCDR exists, it shall so inform the parties and the designated Concerned Others of the pending arbitration.
The priority of multiple requests for arbitration shall be determined by the time of filing of each Request with the DIS. To prove the exact time of day at which the Request was filed with the DIS, the Request (with or without attachments thereto, pursuant to Article 6.1 of the Rules) shall, in deviation from Articles 4.1 and 4.2 of the Rules, always also be sent by fax or email. In case of doubt, the DIS shall determine the priority of multiple requests for arbitration in its discretion. If the DIS considers prima facie that the case described in Article 9.1 of these DISCDR exists, it shall so inform the parties and the designated Concerned Others of the pending arbitration.
9.4
If the Claimant in the Secondary Arbitration has filed its Request within the time limit provided for in Article 3.1 of these DIS-CDR, it may join the Primary Arbitration as a designated Concerned Other. In such case, the Request shall be deemed to constitute a joinder to the Primary Arbitration as a designated Concerned Other. Such Claimant shall become an additional claimant in the Primary Arbitration, unless it objects within the time limit for joinder provided in Article 3.1 of these DIS-CDR. Such additional claimant may participate in the constitution of the arbitral tribunal pursuant to Articles 7 or 8 of these DIS-CDR and name additional Concerned Others in the Primary Arbitration pursuant to Article 4.1 of these DIS-CDR. Insofar as Articles 7 and 8 of these DIS-CDR make reference to the time of the joinder of a Concerned Other for the calculation of time limits, it shall be deemed, for the purposes of this Article 9.4 of these DIS-CDR, that the joinder has occurred on the day on which the time limit for joining the arbitration pursuant to Article 3.1 of these DIS-CDR has expired. If the Claimant in the Secondary Arbitration expressly consents to join the Primary Arbitration before the expiry of the time limit provided for in Article 3.1 of these DIS-CDR, the time of consent shall apply for the calculation of time limits. If the Claimant in the Secondary Arbitration files timely objections, or if it files the Request after the time limit provided in Article 3.1 of these DIS-CDR has expired, such Claimant shall not be considered a party to the Primary Arbitration. Irrespective thereof, the Secondary Arbitration is inadmissible. The foregoing is without prejudice to the Claimant’s rights pursuant to Article 4.3 of these DIS-CDR.
If the Claimant in the Secondary Arbitration has filed its Request within the time limit provided for in Article 3.1 of these DIS-CDR, it may join the Primary Arbitration as a designated Concerned Other. In such case, the Request shall be deemed to constitute a joinder to the Primary Arbitration as a designated Concerned Other. Such Claimant shall become an additional claimant in the Primary Arbitration, unless it objects within the time limit for joinder provided in Article 3.1 of these DIS-CDR. Such additional claimant may participate in the constitution of the arbitral tribunal pursuant to Articles 7 or 8 of these DIS-CDR and name additional Concerned Others in the Primary Arbitration pursuant to Article 4.1 of these DIS-CDR. Insofar as Articles 7 and 8 of these DIS-CDR make reference to the time of the joinder of a Concerned Other for the calculation of time limits, it shall be deemed, for the purposes of this Article 9.4 of these DIS-CDR, that the joinder has occurred on the day on which the time limit for joining the arbitration pursuant to Article 3.1 of these DIS-CDR has expired. If the Claimant in the Secondary Arbitration expressly consents to join the Primary Arbitration before the expiry of the time limit provided for in Article 3.1 of these DIS-CDR, the time of consent shall apply for the calculation of time limits. If the Claimant in the Secondary Arbitration files timely objections, or if it files the Request after the time limit provided in Article 3.1 of these DIS-CDR has expired, such Claimant shall not be considered a party to the Primary Arbitration. Irrespective thereof, the Secondary Arbitration is inadmissible. The foregoing is without prejudice to the Claimant’s rights pursuant to Article 4.3 of these DIS-CDR.
Article 10: Confidentiality
Article 44 of the Rules shall also apply to all designated Concerned Others.
Article 11: Extension of Effects of the Arbitral Award
11.1
The effects of an arbitral award extend to those Concerned Others that have been desig-nated as such within the time limits provided in these DIS-CDR, regardless of whether they have availed themselves of the opportunity to join the arbitration as a party or as an Interv enor. The shareholders designated as Concerned Others within the provided time limits agree to recognize the effects of an arbitral award rendered in accordance with these DIS-CDR.
The effects of an arbitral award extend to those Concerned Others that have been desig-nated as such within the time limits provided in these DIS-CDR, regardless of whether they have availed themselves of the opportunity to join the arbitration as a party or as an Interv enor. The shareholders designated as Concerned Others within the provided time limits agree to recognize the effects of an arbitral award rendered in accordance with these DIS-CDR.
11.2
The effects of an arbitral award also extend to those Concerned Others that have been designated as such after the time limits provided in these DIS-CDR, but that have joined the arbitration as a party or as an Intervenor. These Concerned Others also agree to recognize the effects of an arbitral award rendered in accordance with these DIS-CDR.
The effects of an arbitral award also extend to those Concerned Others that have been designated as such after the time limits provided in these DIS-CDR, but that have joined the arbitration as a party or as an Intervenor. These Concerned Others also agree to recognize the effects of an arbitral award rendered in accordance with these DIS-CDR.
Article 12: Costs
12.1
Concerned Others who have not joined the arbitration as a party or as an Intervenor are not entitled to reimbursement of costs.
Concerned Others who have not joined the arbitration as a party or as an Intervenor are not entitled to reimbursement of costs.
12.2
When calculating the costs pursuant to Annex 2 of the Rules (Schedule of Costs), a designated Concerned Other shall be treated as a party.
When calculating the costs pursuant to Annex 2 of the Rules (Schedule of Costs), a designated Concerned Other shall be treated as a party.
Quelle: DIS
Import: