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Reconceiving Extraterritorial Jurisdiction / C. Case Studies
Reconceiving Extraterritorial Jurisdiction / C. Case Studies
Contents
Chapter
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1–12
Titelei/Inhaltsverzeichnis
1–12
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13–31
A. Introduction
13–31
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I. Purpose and Scope of the Study
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II. Structure of the Argument
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III. Concepts and Definitions
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1. State Jurisdiction and State Sovereignty
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2. Extraterritoriality and Extraterritorial Jurisdiction
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3. The Concept of Jurisdiction in International Human Rights Treaties
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4. Categories of State Jurisdiction
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5. Regulation, Public Law and Jurisdiction
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32–73
B. Prescriptive Jurisdiction in Public International Law
32–73
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I. General Approaches
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1. The Case of the S.S. Lotus
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2. The Permissive Principles Approach under Customary International Law
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a) Territoriality
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aa) The Territoriality Principle and Cross-border Criminal Offenses
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bb) The US Presumption against Extraterritoriality
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b) The Effects Principle
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aa) The Effects Principle in Competition Law
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bb) The Effects Principle in Other Areas of Substantive Law
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c) Active Personality
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d) Passive Personality
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e) The Protective Principle
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f) The Universality Principle
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3. Treaty-based Extensions of Jurisdiction
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4. Territoriality-based Jurisdiction and the Internet
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II. Principles Restraining the Exercise of Jurisdiction
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1. Limitations according to General Principles in International Law
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a) Genuine Link
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b) Abuse of Rights
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c) Proportionality
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2. Comity
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3. Reasonableness
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74–259
C. Case Studies
74–259
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I. Focus and Structure
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II. Economic Sanctions
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1. Introduction
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a) Economic Sanctions under International Law
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b) Primary and Secondary Sanctions
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c) Overview of US Economic Sanctions
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aa) US Sanctions against Cuba
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bb) US Sanctions against Iran
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cc) US Sanctions against Russia
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2. The Extension of Personality-based Jurisdiction to Foreign Subsidiaries
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a) Practice in the United States
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b) Practice in Europe
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aa) The Personal Scope of EU Restrictive Measures
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bb) Diplomatic Protest against US Assertions of Control-based Jurisdiction
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cc) Jurisprudence with regard to US Assertions of Control-based Jurisdiction
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c) Comparative Normative Analysis
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3. Territoriality and US Dollar Transactions by non-US Financial Institutions
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a) Practice in the United States
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b) Practice in Europe
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c) Comparative Normative Analysis
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4. Secondary Trade Boycotts
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a) Practice in the United States
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b) Practice in Europe
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c) Comparative Normative Analysis
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5. Protection of Individual Rights
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a) Practice in the United States
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b) Practice in Europe
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6. Conclusion
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III. Non-Proliferation and Export Control
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1. Introduction
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2. International Instruments
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a) International Treaties
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b) Informal Multilateral Regimes
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c) Security Council Resolutions
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3. Jurisdiction Based on the ‘Nationality’ of Goods
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a) Practice in the United States
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b) Practice in China
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c) Practice in Europe
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d) Comparative Normative Analysis
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4. Jurisdiction Based on Voluntary Submission
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a) Practice in the United States
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b) Practice in Europe
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c) Comparative Normative Analysis
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5. Conclusion
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IV. Anti-Corruption
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1. Introduction
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2. Foundations of Transnational Anti-Corruption Regulation
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3. International Anti-Corruption Instruments
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a) The Jurisdictional Provisions of the OECD Anti-Bribery Convention
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b) The Jurisdictional Provisions of the UN Convention Against Corruption
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4. Regulation through Parent-Subsidiary Relationships
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a) Practice in the United States
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aa) The Jurisdictional Scope of the FCPA
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bb) Parent and Subsidiary Liability Based on the Accounting Provisions
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cc) Parent and Subsidiary Liability Based on the Agency Theory
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b) Practice in Europe
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aa) The UK Bribery Act 2010
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bb) The French Law Regarding Transparency, the Fight against Corruption and the Modernization of Economic Life
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c) Comparative Normative Analysis
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aa) The Assertion of Jurisdiction in respect of Corporate Group Policies
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bb) The Assertion of Control-based Jurisdiction under the FCPA
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5. Correspondent Account Jurisdiction under the FCPA
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6. Jurisdiction based on ‘business presence’
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a) Practice in the United States
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b) Practice in Europe
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aa) The UK Bribery Act 2010
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bb) The French Law Regarding Transparency, the Fight Against Corruption and the Modernization of Economic Life
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c) Comparative Normative Analysis
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7. Conclusion
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V. Business and Human Rights
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1. Introduction
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2. Foundations of Business and Human Rights
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a) Corporate Social Responsibility and Business and Human Rights
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b) Historic Development of Business and Human Rights at the International Level
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c) The UN Guiding Principles
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3. Extraterritoriality in Business and Human Rights
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a) Extraterritorial Jurisdiction as a Matter of Permission
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b) Extraterritorial Jurisdiction as a Matter of Obligation
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4. Regulation through Parent-Subsidiary or Lead-Supplier Relationships
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a) Trade, Procurement and Investment Measures
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aa) Practice in the United States
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bb) Practice in Europe
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b) Mandatory Supply Chain Regulation
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aa) Practice in the United States
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bb) Practice in Europe
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c) Disclosure and Transparency Requirements
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aa) Practice in the United States
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bb) Practice in Europe
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d) Comparative Normative Analysis
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5. Transnational Human Rights Litigation
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a) Practice in the United States
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b) Practice in Europe
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aa) Amicus Curiae Briefs in the Kiobel Proceedings
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bb) Transnational Human Rights Litigation in Europe
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c) Comparative Normative Analysis
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aa) Jurisdiction over Corporations Domiciled in the Forum State
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bb) Jurisdiction over Corporations Domiciled in Third States
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6. Conclusion
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VI. Synthesis: The Deficient Territoriality-based System
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1. The Normative Inconsistency of Territoriality
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a) Market Access Regulation Conditioned on Extraterritorial Circumstances
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b) Parent-based Regulation of Multinational Corporations
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c) Regulation of Conduct Based on Only Fleeting Territorial Connections or Based on Territorial ‘Presence’
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2. The Restriction to Considerations of State Sovereignty
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3. Conclusion
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260–324
D. The Way Forward
260–324
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I. Arguing for a New Approach to Jurisdiction in International Law
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1. Alternative Approaches to Solve Concurrent Jurisdiction
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a) Substantive Harmonization
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b) Cooperation
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2. The History of the Territoriality Principle
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3. Extraterritorial Jurisdiction regulated by the Principle of Non-Intervention
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4. Extraterritorial Jurisdiction as an Exercise of Public Authority
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II. Theoretical Considerations
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1. Legitimacy: Democracy and Community Interests
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a) Territoriality, Nationality and Democracy
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aa) Territoriality
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bb) Nationality
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cc) Conclusion
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b) Universality and Community Interests
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c) Proximity, Community Interests and the Rule of Law
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2. Individual Interests and State Jurisdiction
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a) The Potential for Individuals to Shape State Jurisdiction
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b) Individual Fairness as a Principle Restraining the Exercise of Jurisdiction
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c) Individual Rights Catalysing the Exercise of Jurisdiction
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3. Conclusion
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III. A more Desirable Framework
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1. Practical Requirements and Objectives of the New Framework
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2. The Variables Determining the Legitimacy of Extraterritorial Jurisdiction
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a) Proximity and Substantial Connection
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b) Legitimate Interest and the Subject Matter of Regulation
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c) The Intrusiveness of the Measure
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3. The Relationship between the Variables
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a) The Abuse of Rights Test
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b) The Proportionality Test
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aa) True Conflicts
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bb) False Conflicts
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4. Procedural Safeguards, Reasoning and Participation
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5. Application of the Framework in Practice
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a) Market Access Regulation Conditioned on Extraterritorial Circumstances
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b) Parent-based Regulation of Multinational Corporations
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c) Regulation Based on Individual Consent of the Affected
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6. Pre-empting Some Potential Objections
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325–329
E. Conclusion
325–329
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330–342
Deutschsprachige Zusammenfassung
330–342
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A. Einleitung
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B. Die Regelungshoheit im Völkerrecht
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C. Fallstudien zur Staatenpraxis
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D. Ein neuer Ansatz
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E. Ausblick
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343–350
Table of Cases
343–350
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Permanent Court of International Justice
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International Court of Justice
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Human Rights Committee
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International Criminal Tribunal for the former Yugoslavia
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International Criminal Tribunal for Rwanda
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African Commission on Human and People’s Rights
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European Court of Human Rights
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Inter-American Commission on Human Rights
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Inter-American Court of Human Rights
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Court of Justice of the European Union
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European Commission
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WTO Appellate Body and WTO Panel
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US Supreme Court
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US Federal Appeals Court
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US Federal District Court
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US State Courts
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Other US Case Documents
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British Cases
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German Cases
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French Cases
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Dutch Cases
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Israeli Cases
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Hong Kong Cases
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351–368
Bibliography
351–368
Details
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Reconceiving Extraterritorial Jurisdiction , page 74 - 259
C. Case Studies
Autoren
Kevin Li
DOI
doi.org/10.5771/9783748933212-74
ISBN print: 978-3-8487-8984-9
ISBN online: 978-3-7489-3321-2
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