Grounds for Refusing Recognition and Enforcement


  1. Grounds for Refusing Recognition and Enforcement
    • Incapacity of the parties

NYC, Art V(1)(a): ‘The parties to the agreement referred to in article II were, under the law applicable to them, under some incapacity’

  • Invalidity or illegality of the arbitration reference

NYC, Art V(1)(a): ‘the said agreement is not valid under the law to which the parties have subjected it or, failing any indication thereon, under the law of the country where the award was made’

  • Breach of due process

NYC, Art V(1)(b): ‘The party against whom the award is invoked was not given proper notice of the appointment of the arbitrator or of the arbitration proceedings or was otherwise unable to present his case’

  • Substantive jurisdiction of arbitral tribunal

NYC, Art V(1)(c)

  • Procedure or composition of the arbitral tribunal contrary to the agreement of the parties or the law of the place of arbitration

NYC, Art V(1)(d): ‘The composition of the arbitral authority or the arbitral procedure was not in accordance with the agreement of the parties, or, failing such agreement, was not in accordance with the law of the country where the arbitration took place’



  • Award not yet binding, set aside or suspended

NYC, Art V(1)(e): ‘The award has not yet become binding on the parties, or has been set aside or suspended by a competent authority of the country in which, or under the law of which, that award was made’

  • Subject matter of dispute not arbitrable

NYC, Art V(2)(a): ‘Recognition and enforcement of an arbitral award may also be refused if the competent authority in the country where recognition and enforcement is sought finds that: (a) The subject matter of the difference is not capable of settlement by arbitration under the law of that country’

  • Award contrary to public policy

NYC, Art V(2)(b): ‘Recognition and enforcement of an arbitral award may also be refused if the competent authority in the country where recognition and enforcement is sought finds that: (b) The recognition or enforcement of the award would be contrary to the public policy of that country’

  • Partial Enforcement While Challenge Pending at the Seat?