The recent news
April 21, 2021
Publications
► Full Reference: M.-A. Frison-Roche, "Dresser des cartographies des risques comme obligation et le paradoxe des "risques de conformité"" ("Drawing up risk maps as an obligation and the paradoxe of the "compliance risks""), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 53-62.
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📝read the article (in French)
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🚧read the bilingual Working Paper which is the basis of this article, with additional developments, technical references and hyperlinks
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📕read a general presentation of the book, Les outils de la Compliance, in which this article is published
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► Summary of the article (done by the Journal of Regulation & Compliance): There are few synthetic or theoretical studies on Risk Mapping even though it is in fact the Compliance central tool, perhaps because it is more a management tool than a legal one. Risk Mapping is often described but does not receive any other legal qualifications than being a "modality", suffering in this respect from an evil which affects the whole of Compliance, still little understood by Law, attention often so focused on the Ex Post (sanctions) while Compliance is by nature in the Ex Ante. Going from disarray to incomprehension, everyone can note the existence of "compliance risks" among the mapped risks, because if as so many affirm that it would be necessary to speak only of simple conformity as obedience, demonstrated in Ex Ante, to Law, how a sub-set of a tool would therefore have the same object as the set of Law that this tool serves ... This aporia can only be resolved if Compliance Law is defined substantially by its "monumental goals" which exceed obedience to regulations.
Consequently, Law taking up Risk Mapping, this mechanism may first appear as an ancillary obligation to the main obligation consisting in achieving "monumental goals". The ancillary obligation to draw up the maps is an obligation of result, while the main obligation to achieve the monumental goals is an obligation of means. These cartographies being very diverse and being only occasionally targeted by specific laws, it can also constitute only a legal fact or, through the play of various charters, a unilateral legal commitment. But it isnbecoming the basis of an autonomous legal obligation incumbent on enterprises in position to know certain risks, obligation referring to the existence of a subjective right tof knowing and measuring them ("right to be worried") which the third parties who are going to run them would hold, thus allowing them to choose to run them, or not.
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April 21, 2021
Publications
► Full Reference: M.-A. Frison-Roche, "Résoudre la contradiction entre "sanction" et "incitation" sous le feu du Droit de la Compliance" ("Resolving the contradiction between "sanction" and "incentive" under the fire of Compliance Law"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 89-98
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📝read the article (in French)
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🚧read the bilingual Working Paper which is the basis of this article, with more developments, technical references and hyperlinks
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📕read a general presentation of the book, Les outils de la Compliance, in which this article is published
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► Summary of the article (done by the Journal of Regulation and Compliance): Compliance and Incentives appear at first glance to be totally opposite. For two major reasons. Firstly, because sanctions have a central place in Compliance Law and that the incentives suppose an absence of constraint on the operators. Secondly, because the incentives are linked to self-regulation and that Compliance Law assumes a strong presence of public authorities. Thus, one should choose: either Compliance or Incentives! Either the effectiveness of one or the effectiveness of the others; either the techniques of one, or the techniques of others; either the philosophy of one or the philosophy of the other. Resign oneself to the waste that such a necessary choice would imply. But to put the terms in this way amounts to thinking poorly about the situations and reducing the fields of the solutions they call for. If we take a rich definition of Compliance Law, we can on the contrary articulate Compliance and Incentives. From this perspective, sanctions can no longer become what blocks the use of incentives but, on the contrary, what constitutes them. Even more, the coupling between the Incentives and the requirements of Compliance Law must be strongly encouraged, as soon as the public authorities supervise in Ex Ante all the initiatives taken by the "crucial operators".
This article deals with the first issue. Indeed, the so-called incentive theory targets mechanisms which do not directly resort to constraint. They would therefore have little place in Compliance Law. But it seems saturated with sanction procedures. We can even say that it seems to put them at the center, the public authorities presenting the number of sanctions as a sign of success, while the companies seem obsessed with their prospects, the two concerns ending in such a strange convergence that are the Convention Judiciaire d'Intérêt Public (non-prosecution agreement).
The honest observer cannot help but be immediately uneasy. Indeed, it can only raise the definition of the sanction as a "constraint" triggered Ex Post, at the very heart of a Compliance Law which is presented as a set of Ex Ante mechanisms. Based on this contradiction in terms, should we give up the association and think that it would be wrong against the spirit to think of the sanction as an incentive?
It is undoubtedly in this connection that one perceives most clearly the clash of two cultures, which do not communicate, while technically they apply to the same situations. Indeed, because Compliance was designed by Finance, everything is a tool for it. Therefore, the tendency to think of the sanction only as an incentive is very strong in Compliance Law, manifests itself continuously and will not stop (I). But whatever the reasons for conceiving it this way, the principles of the rule of law cannot disappear and if we do not want them to be erased, then they must be articulated (II). This is an essential game (II).
This is why we can literally say that Compliance has set Criminal Law on fire by its conception, logical but closed in on itself, of sanctions as simple incentives. In order for Law to remain, however, we must hold a very firm definition of Compliance Law centered on its Monumental Goal, which is the protection of the person.
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April 21, 2021
Publications
General reference : Frison-Roche, M.-A. (ed.), Les outils de la Compliance, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) & Dalloz, 2021.
In parallel, the book is published in an English version Compliance Tools, co-edited by the Journal of Regulation & Compliance (JoRC) and Bruylant.
This book follows a cycle of conferences organized by the Journal of Regulation & Compliance and by its partner universities.
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See the collection Regulation & Compliance in which the book has been published.
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General presentation of the book : The political dimension of Compliance Law resides in the monumental goals that it aims for and which define it. These goals are internalized in "crucial operators", who willingly or by force must structure themselves and act to achieve "monumental goals", as set by public authorities and which may coincide with the interests of the enterprise. This one designs and controls the Ex Ante reorganization that this implies, under the public authorities supervision. Enterprises, even if their activities are not regulated, thus become transparent and must show the Compliance Tools effectively deployed to effectively achieve these goals. It is a major transformation of economic life in all countries because the Compliance Tools are adopted everywhere and have a global effect.
These appear to be very diverse but their unity is profound and bringing it out has the practical benefit of producing a legal regime that is as unified as possible, while allowing their adaptation country by country, sector by sector, enterprise by enterprise.
This book aims to understand these Compliance Tools to better anticipate the assessment that will be made by Regulators, Supervisors and Courts, as well as the new conceptions of the authors of legal texts which impose new ones every day, while companies must also imagine the most appropriate Compliance Tools.
This collective work specifically apprehends those on which we have few studies when we handle them on a daily basis, such as risk mapping or training or rights, letting more familiar tools shine through more transversal contributions, such as compliance programs, sanctions, whistleblowing or many sorts of settlements, agreements of public interest.
A first chapter takes a legal and economic approach. A second chapter emphasizes the role of risk mapping. A third chapter draws the game of incentives. A fourth chapter identifies the expertise required. A fifth chapter insists on geographic significance. A sixth chapter details the measurement of effectiveness. A seventh chapter explores training. The eighth chapter examines technological tools. The concluding article leads to rights.
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Read the presentations of the articles of the book :
- Amico, Th., La Compliance ou le passage de l'ex post à l'ex ante: une révision copernicienne pour l'avocat pénaliste ?
- Banck, A., La maturité de l’usager de l’outil de la Compliance, premier critère du choix de l’outil adéquat
- Benzoni, L., and Deffains, B., Approche économique des outils de la Compliance: finalités, effectivité et mesure de la Compliance "subie" et "choisie"
- Burlingame, R., Coppens, KK, Power, N. & Lee, D.H., Compliance : lutte internationale contre la corruption et gestion du risque
- Calandri, L., Incitation(s) et autorégulation(s): quelle place pour le Droit de la Compliance dans le secteur audiovisuel?
- Frison-Roche, M.-A., Décrire, concevoir et corréler les outils de la Compliance, pour en faire un usage adéquat
- Frison-Roche, M.-A., Compliance et incitations, un couple à propulser
- Frison-Roche, M.-A., Résoudre la contradiction entre incitations et sanctions sous le feu du Droit de la Compliance
- Frison-Roche, M.-A., Dresser des cartographie des risques comme obligation et le paradoxe des "risques de conformité"
- Frison-Roche, M.-A., Compliance : contenu et contenant du Droit de la Compliance
- Frison-Roche, M.-A., Les droits subjectifs, outils premiers et naturels du Droit de la Compliance
- Granier, C., L'originalité normative de la Compliance by design
- Guillaume, N., Cartographie des risques de compliance : premiers aperçus des enjeux,des limites et des bonnes pratiques
- Gutierriez-Crespin, A., L’audit du dispositif de compliance : un outil clé pour en vérifier la robustesse
- Koenigsberg, S. et Barrière, Fr, La construction de l'expertise de l'avocat en matière de compliance
- Merabet, S., La morale by design
- Tardieu, H., Souveraineté des données et Compliance
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April 15, 2021
Thesaurus : Doctrine
Référence complète : J.-S. Bergé, Les situations en mouvement et le droit, Dalloz, coll. « Méthodes du droit », 2021, 327 p.
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Lire le compte rendu par Jacques Commaille , à la revue Droit et Société.
March 31, 2021
Organization of scientific events
This scientific event is placed under the scientific responsibility of Marie-Anne Frison-Roche and Jean-Baptiste Racine. It is organized by the Journal of Regulation & Compliance (JoRC) and by the Centre de recherche sur la Justice et le Règlement des Conflits (CRJ) of the Panthéon-Assas (Paris II) University, with the active support of the International Chamber of Commerce ICC.
This event is the third colloquium of the 2021 colloquia cycle around the general theme of Compliance Juridictionnalization.
The different interventions will be then transformed into contributions in the books La juridictionnalisation de la Compliance and Compliance Juridictionnalization which will be published in the Regulation & Compliance serie, jointly published by the JoRC and Dalloz for the book in French and by JoRC and Bruylant for the book in English.
This colloquium will take place the 31st of March 2021.
The manifestation will be live broadcasted on Zoom.
To register: https://u-paris2-fr.zoom.us/webinar/register/WN_sPSB4aUUQTWDWDnNcYt3sA
Presentation of the theme:
The arbitrator is the ordinary judge of international trade. It was natural that he or she encountered Compliance: by definition Compliance Law takes hold of the whole world and follows the paths of international trade while it can only be deployed with the help of institutions which, by nature are spreading around the world and need authorities like the Courts.
The conference is based on the already perceptible connection points between Compliance and Arbitration to better identify what is emerging for tomorrow: contradiction or convergence between the two; weakening or consolidation. We are already seeing the impact that Compliance can have on the arbitrator's treatment of corruption or the consideration of money laundering. More generally, where do we stand with the arbitrator's knowledge of the many technical issues related to compliance? Beyond these, will the courts and arbitrators be able to achieve the goals, themselves new, sometimes monumental, pursued by Compliance Law?
Through this joint exploration of these avenues, the fate of compliance clauses inserted in contracts, the relevance in the matter of private codes of conduct, etc. will be examined.
Tomorrow, as of today, is the arbitrator a full and complete judge of Compliance Law?
How, with what specificities and what controls?
Notably will speak:
- Mathias Audit, professeur à l'Université Panthéon-Sorbonne - Paris I (full professor at Sorbonne - University - Paris)
- Dominique Bourrinet, General Counsel of Société générale group
- Cécile Chainais, director of the Centre de Recherche sur la Justice et le Règlement des Conflits (CRJ) and professeur à l'Université Panthéon-Assas (Paris II) (Full professor at Panthéon-Assas (Paris II) University)
- Claire Debourg, professeure à l'Université Paris X- Nanterre (Full professor at Paris X - Nanterre)
- Marie-Anne Frison-Roche, professeur à Sciences Po - Paris (Full Professor at Sciences Po - Paris)) and Director of the Journal of Regulation & Compliance (JoRC)
- Catherine Kessedjian, professeur émérite de l'Université Panthéon-Assas (professor emeritus of Panthéon-Assas - Paris II University)
- Elie Kleiman, partner, Jones Day Law Firm
- Alexis Mourre, president of the ICC International Court of Arbitration
- Jean-Baptiste Racine, professeur à l'Université Panthéon-Assas - Paris II (Full Professor at Panthéon-Assas - Paris II University)
- François-Xavier Train, professeur à l'Université Paris X-Nanterre (Full Professor at Paris X-Nanterre University)
- Eduardo Silva-Romero, Dechert Law Firm
Read a detailed presentation of the colloquium below:
March 31, 2021
Conferences
► Référence complète : Frison-Roche, M.A., Ex Ante Compliance, in Gaia-X, Towards Automated Compliance in the Data Economy, en ligne, 31 mars 2021
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► Présentation générale de l'intervention : Cette courte intervention vise à expliquer l'apport essentiel du Droit de la Compliance pour la construction et la durabilité d'une structure comme GAIA-X.
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March 31, 2021
Conferences
Référence complète: Frison-Roche, M.-A.,Compliance et Arbitrage : un adossement, rapport de synthèse in Frison-Roche, M.-A. & Racine, J.-B. (dir.) Compliance et Arbitrage, Colloque coorganisé par le Journal of Regulation & Compliance (JoRC) et le Centre de recherches sur la Justice et le Règlement des Conflits (CRJ) de l'Université Panthéon-Assas (Paris II), avec le soutien de la Cour Internationale d'Arbitrage, Paris, 31 mars 2021.
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🗓️ Lire le programme de ce colloque
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✏️Le rapport de synthèse a été réalisé au fur et à mesure que se déroulait le colloque : se reporter aux notes prises durant le colloque.
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Voir le rapport de synthèse en vidéo
Voir l'intégralité du colloque en vidéo.
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📅 Ce colloque s'insère dans le cycle de colloques 2021 organisé par le Journal of Regulation & Compliance (JoRC) et ses partenaires autour de la Juridictionnalisation de la Compliance.
📕 Les interventions ont servi de première base à la réalisation d'un titre dans l'ouvrage dirigé par Marie-Anne Frison-Roche, dont la version française, La juridictionnalisation de la Compliance, est co-édité par le Journal of Regulation & Compliance (JoRC) et Dalloz.
📘 Elles ont été de la même façon la première base pour la version anglaise de l'ouvrage, Compliance Juridictionalisation, co-édité par le Journal of Regulation & Compliance (JoRC) et Bruylant.
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March 22, 2021
Conferences
General reference : Frison-Roche, M.-A., The Future of legal uncertainty notion with regards with the treatment of extraordinary situations: economic crisis (L'avenir de la notion d'insécurité juridique au regard du traitement des situations extraordinaires: crise économique), in "Insécurité juridique : émergence d'une notion ?", Cour de cassation, 22nd of March 2021.
Read the general program of the colloquium (in French)
See the first part of the colloquium (in French)
See the second part of the colloquium in which Marie-Anne Frison-Roche speaks (in French)