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► Full Reference: Frison-Roche, M.-A. (ed.), Compliance Tools, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) & Bruylant, 2021. This book in English is the first title of this collection integrally dedicated to Compliance Law, in that it is the extension of Regulation Law.  - 📚  Read the titles of this series in English co-published by Bruylant.  📚   This collection in English is articulated with a collection co-published between the Journal of Regulation & Compliance and Dalloz. 📕Thus, in parallel, a book in French, Les Outils de la Compliance is published.  - 📅   This book is published after a  cycle of colloquiums organised by the Journal of Regulation & Compliance (JoRC) and Partners Universities. -   ► General Presentation of the collective book: The political dimension of Compliance Law lies in the goals it aims to achieve. To achieve them, the concern for these goals is internalized in "crucial operators", which may be obliged to concretize "monumental goals" set by public authorities. These public bodies control the Ex Ante reorganization that this implies for these companies and sanction Ex Post the possible inadequacy of the companies, which have become transparent to this end. The effectiveness and efficiency of this internalization, without which the statement of these goals is worth nothing, is based on the Compliance tools that are deployed. These appear to be very diverse but their substantial unity (topic which will be the subject of a forthcoming book) makes it possible to study the tools put in place from a unique perspective, by not isolating them in a particular branch of Law, Criminal law or International Law for example, but by measuring what is common to them, notably Anticipation, Trust, Commitment, Responsibility, Incentive, and so on. If the Compliance tools vary, it is rather not only according to the sectors, finance and banking appearing then as the advanced point of the general Compliance Law, for example in environmental matters, but also according to the countries and the cultures. It is in fact about them that legal cultures seem to oppose. The book aims to understand these "tools" by going beyond the description of each instrument, for which we already have many monographs, for analyzing them through the issues of Risks, required Expertises, Training. Sovereignty claims, Incentives, mechanical aptitude of Technologies. It is through these themes that are analyzed by the authors, experts in the field, what we always want to understand better: Compliance Programs, Whistle blowing, Mapping, Sanctions, Extraterritoriality, etc.   -     Read the summary of the book.    Read the foreword, summarizing all the contributions.     Présentation of the book contributions: 📝Amico, Th., Compliance or the passage from ex post to ex ante: A Copernican revolution for the criminal lawyer? 📝Banck, A., The maturity of the Compliance tool’s user, first criterion of the choice of the salient tool 📝Burlingame, Coppens R., Power, N, Lee, D.H., Anti-Corruption Compliance: Global Dimension of Enforcement and Risk Management 📝Calandri, L., Incentive(s) and Self-Regulation(s): which place for Compliance Law in the Audiovisual Sector?  📝Causse, H., Compliance Training: Through and Beyond Traditional Legal Training 📝Frison-Roche, M.-A., Describing, designing and correlating Compliance Tools to have a better use of it 📝Frison-Roche, M.-A., Building by Law the Unicity of Compliance Tools from the Definition of Compliance Law by its "Monumental Goals" 📝Frison-Roche, M.-A., Drawing up Risk Maps as an obligation and the paradox of the "Compliance risks" ​ 📝 Frison-Roche, M.-A., Incentives and Compliance, a couple to propel 📝 Frison-Roche, M.-A., Resolving the contradiction between sanctions and incentives under the fire of Compliance Law 📝 Frison-Roche, M.-A., Rights, primary and natural Compliance tools 📝 Frison-Roche, M.-A., Training: content and container of Compliance Law​ 📝 Galland, M., The Regulator's Inspection of the Effectiveness of the Compliance Tools Implemented by the Company 📝 Granier, C., The Normative Originality of Compliance by Design 📝 Guillaume, N., Compliance risk mapping: first insights of challenges, limits and good practices 📝Guttierez-Crespin, A., Audit of Compliance Systems​ 📝 Koenigsberg, S. and Barrière, F., The Development of Attorney's Compliance Expertise 📝 Larouer, M., The Manifestation of Incentives Mechanisms in French Compliance Law 📝 Merabet, S., Morality by Design 📝 Pailler, L., Technological Tools, Compliance by Design and GDPR: the Protection of Personal Data from Design 📝 Racine, J.-B., Geographical dominance in the choice and the use of Compliance Tools. Introductory remarks 📝Rapp, L., Incentive Theory and Governance of Space Activities 📝 Roda, J.-C., Compliance by design in antitrust: between innovation and illusion 📝 Salah, M., Conception and Application of Compliance in Africa 📝 Tardieu, H., Data Sovereignty and Compliance 📝 Thouret, T., Training and Compliance, Two Correlated Information Transmission Tools  

Full Reference : Amico, Th., Compliance or the passage from ex post to ex ante: a Compernican revolution for the criminal lawyer?, in M.-A. (ed.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 165-172.   See the General Presentation of the book   - Article Summary (done by Marie-Anne Frison-Roche) After referring to various definitions of Compliance Law, the author insists on the usefulness of the criminal lawyer in that he, familiar with the Ex Post that constitutes the sanction, can be of good advice. in the Ex Ante in which new compliance mechanisms are being developed, such as risk mapping or third party assessment. Addressing the punitive dimension of Compliance Law, the author shows that the criminal lawyer therefore naturally has a place there, whether it concerns the powers exercised by an administrative authority or the criminal law itself. In that he can "anticipate criminal proceedings", the criminal lawyer is therefore best able to ensure that the company does not expose itself to them, in particular in a good mastery of internal investigations, thus ruling out the criminal risk.   Read the other articles summaries.     -      

Full reference : Gutierrez-Crespin, A., Audit of Compliance systems, in Frison-Roche, M.-A., "Compliance Tools" , in M.-A. (dir.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 151-158.   Read a general presentation of the volume in which the article has been published   - Summary of the article (by Marie-Anne Frison-Roche) The author identifies what characterizes a "Compliance audit". Different from a "Compliance program", which is an instrument of constraint, and even from an internal investigation, which aims to detect breaches, the Compliance audit aims to measure the risks of discrepancy in relation to Compliance requirements. or even identify areas for improvement. From this definition, it is explained how concretely a Compliance audit is carried out, by a risk-based approach, and who are the actors (internal and external to the company).   Read the other summaries   -

Full Reference : Calandri, L, Incentive(s) and Self-Regulation(s): what place for Compliance Law in the Audiovisual Sector?, in M.-A. (ed.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 131-140.   See the General Presentation of the book   - Article Summary (done by Marie-Anne Frison-Roche) The author has taken the audiovisual sector, "pilot" in the matter, to measure very precisely the way in which in France the jurisprudence of the Conseil d'État (French Council of State) has introduced a logic of Compliance by leaving the operators free to organize themselves, while supervising them. After allowing, by the 2016 decisions Fairvest and Société Numéricable, the judicial control of acts of Soft Law, in particular those issued by the French Audiovisual Regulator, the Conseil d'État has organized a more flexible relation between Sector and Regulator, the author referring the Regulator's declaration that he is not the "gendarme" of this sector. The French Council of State isolates among its acts those which are only incentive and escape the control by the judge, in the same way as acts of soft law adopted by the companies of the sector, expression of a self-regulation, They also escape litigation and are therefore also "unjustifiable". The author concludes that this completely renovates the governance of the sector, the Regulator by becoming more the arbiter and the supervisor of this new soft law.   Read the other articles summaries.     -      

Full reference : Burlingame, R., Coppens, K, Power, N. & Lee, D.H., Anti-Corruption Compliance: Global Dimension of Enforcement and Risk Management, in M.-A. (dir.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 199-208.   Read a general presentation of the volume in which the article has been published. -   Summary of the article (by Marie-Anne Frison-Roche) The authors show that the authors certainly face a diversity of legal systems due to their multiple localization, but in reality in terms of fight against corruption the French authority, the English authority and the American authority develop similar requirements in a common spirit. Indeed by reading the texts, in particular soft law, issued by the French Anticorruption Agency, the Department of Justice and the Serious Fraud Office, it appears that the primary concern is in the effectiveness of the compliance program adopted by companies. The authorities of the three countries also stress the need for the company's governing bodies to actively promote and disseminate the culture of anti-corruption compliance. For the three authorities, it is more precisely necessary that this program be adapted and tailor-made, that the governing body commits itself to its effective compliance and that a code of conduct, effective training and communication actions, the program to be based on structural internal investigation and whistleblowing mechanisms, and refer to an evaluation. The authors show that beyond the specificities of each of the systems, the three authorities are united in the fight against corruption, which reduces the insecurity of internationally exposed companies.   Consult the summaries of the other articles composing the book.   -

Full reference : Pailler, L., Technological Tools, Compliance by Design and GDPR: the Protection of Personal Data from Design, in M.-A. (dir.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 299-306   Consult an overview of the volume in which the article was published.   - Summary of the article (by Marie-Anne Frison-Roche) The author considers that the GDPR has changed the "paradigm" of data protection for the bearer in Compliance, in that the data controllers must ensure the effectiveness of the rules defined by the Regulation, which they make accounts. In addition, the data, processed by the algorithm, is a “means of compliance” described and is used for vigilance plans and all the other tools, this brick being common to all Compliance Law. To respect Law, and in particular to protect people, Compliance by design continues to integrate "compliance" from the design of its tools through standard techniques (Privacy Enhancing Technologies – Pet's), legalized by the GDPR. The author analyzes the technological means of data protection from the design of the tool, which complement Law and the contract. They are part of the "measures" required to protect people, for example transfers to third countries, these technological means being classified according to their degree of effectiveness. If the principle is free in the choice of technology, but Law requires and controls that it be not only effective but also robust, easy to use and compatible with the tools of use. The author emphasizes that the notion of "effectiveness" encompasses these particular requirements. This effectiveness, which must be proven a priori ("documented") is checked by the Authorities in the appropriateness of the measurement techniques, their effective implementation and their concrete effect. Even if this is only subject to the state of the art, it must develop its technical resources, helped by the authorities (cf. "compliance pack" of the CNIL (French data regulator)). Even if the powers were aimed at optimizing costs, he must bear them, the context and the purpose of the processing do not ultimately become proportional. So if the risk is very high for people, it will be necessary to insert techniques and protectors other than those of Compliance Law. -   Consult the summaries of the other articles composing the book.   -

Full reference : Koenigsberg, S. et Barrière, Fr, Th., The Development of Attorney's Compliance Expertise , in M.-A. (dir.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 159-164.   Consult an overview of the volume in which the article was published.   - Summary of the article (by Marie-Anne Frison-Roche) The authors observe that many law firms are now developing expertise in compliance, either in departments or in teams. They emphasize that this expertise is achieved through specialization, which makes it possible to support companies, in Ex Ante (for example in mergers) and in Ex Post (in litigation) in continuum between the two. Moreover, this expertise is built in a collaborative way between the team of lawyers and the company concerned, which reinforces this necessary continuity. -   Consult the summaries of the other articles composing the book.

Full reference : Larouer, M., The Manifestation of Incentives Mechanisms in French Compliance Law, in M.-A. (dir.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 113-122. Consult an overview of the volume in which the article was published. - Summary of the article (by Marie-Anne Frison-Roche) The author develops in the introduction the idea that Law itself accepts the notion of incentive as being consubstantial with it, relying in particular on codes of conduct. Then the article develops demonstrations of incentive Law as a tool of complicity, first of all in the fight against corruption: the decision of the Sanctions Commission of the Agency Française Anticorruption (French Anti-Corruption Agency) shows that the recommendations of this Agency encourage the company to comply, protecting it from a sanction if it submits to it but does not prevent it from organizing in any other way. In addition, the judgment of the Commercial Chamber of the Court de Cassation (cassation court) stated that the breach of a contractual obligation which is however only the resumption of a constraint lodged in a compliance program which targets a third party justifies the termination of the contract. . More generally, the author shows that the legal system encourages companies to integrate Compliance by publishing vigilance plans and extra-financial performance, while noting that companies do not always do so. The article also concludes that French Compliance Law in its use of incentives is only at its "beginnings".   Consult the summaries of the other articles composing the book.   -

Full reference : Tardieu, H., Data Sovereignty and Compliance , in M.-A. (dir.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 123-130. Consult an overview of the volume in which the article was published.   - Summary of the article (by Marie-Anne Frison-Roche) After having considered that Europe had in terms of power "lost the battle" of personal data, the author asks for the same error, linked to a lack of interest at the start, not be repeated concerning "company data". The European Commission having affirmed its will in 2020, it is now necessary to build a "European ecosystem" for the sharing of industrial data in confidence. For this, the author explains that it is necessary to develop "incentives for the sharing of company data", in order to increase their available volume and fuel common progress in Artificial Intelligence between European companies and to use common complementary data, which 'none could generate alone, allowing the creation of new services. These incentives can be new and adapted "regulations", but also the adoption by the industry of a "common data model". But the author stresses that it is necessary to go, by experiments allowed by the "regulatory sandboxes". This will allow the deployment of data sharing, with Compliance being able to contribute to it, a path for a sovereign Europe of shared industrial data, a monumental objective which can thus be achieved. - Consult the summaries of the other articles composing the book.   -

Full reference : Merabet, S. La morale by design , in M.-A. (dir.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 307-318. Consult an overview of the volume in which the article was published.   - Summary of the article (by Marie-Anne Frison-Roche) After having wondered about the relationship between Law and Morality, for which it is difficult to find points of contact, the author advances the hypothesis that the latter could find a space of concretization in the technology of artificial intelligence, even though many are worried about the deleterious effects of it. The author considering that Compliance is only a method while ethics would be the way in which morality is incorporated in a relaxed way in Law, the technology known as Artificial Intelligence could therefore express the moral rule ("compliance by design could be the appropriate tool to ensure the effectiveness of moral rules without falling into the excesses envisaged"). The author draws on examples to estimate that thus technology for on the one hand expressing the moral rule and on the other hand making it effective. The moral rule can thus be drawn up in a balanced way since it is jointly developed between the State and the economic operators, this collaboration taking the form of general principles adopted by the State using the means chosen by the company. Its content would also be characterized by the search for a "right balance", which would be found by this distribution between the primary moral principles whose expression would be the act of the State and the secondary moral principles whose expression would be delegated to companies. Taking therefore what would be the principles of Compliance, the author applies them to Artificial Intelligence, showing that these technologies include not only the principle of neutrality but also the ethical principles of non-maliciousness, even of benevolence. (first principles) that companies then decline into secondary principles. Therefore, "compliance can usefully be used to convert these fundamental moral principles into derived moral rules, a source of greater effectiveness.". Thus resulting in a "moral by design", the overall system has an additional effectiveness tool. This supposes that the fundamental and derived rules are of an acquired moral quality because for the moment the technological tool can only ensure their effectiveness and not the moral quality of the implemented rules. In determining the "moral rules of application", the company has margins of freedom, used through technological tools.   -   .       Consult the summaries of the other articles composing the book.   -

Full reference : Rapp, L., Incentive Theory and Governance of Space Activities, in M.-A. (dir.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 83-100   Consult an overview of the volume in which the article was published.   - Summary of the article (done by the author) The article studies the conditions for an application of the theory of incentives to the problems currently posed by the governance of space activities. These activities have been enriched by the presence of numerous private operators, without the market that is being set up having yet been properly regulated. The accumulation of debris in close space highlights the difficulty of maintaining a situation where only national laws govern in the absence of a specialized international organization and in the insufficiency of the international treaties in force. This article shows the contributions of the behavioral approach in Law and economics and the interest that there would be in developing it. - Consult the summaries of the other articles composing the book.   -

Full reference : Causse, H., Compliance Training: Through and Beyond Traditional Legal Training , in M.-A. (dir.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 231-244.   Read a general presentation of the volume in which the article has been published   - Summary of the article (by Marie-Anne Frison-Roche) The author emphasizes that not only Compliance training is required by Law but also that it is necessary. To conceive and practice it, it is certainly necessary to integrate new knowledge, often outside Law, but it is also necessary to preserve the qualities of the classical teaching of classical Law. This is why training is an essential aid and asset for companies. The article shows that the international dimension specific to the subject and that the cultural confrontation it translates must be inserted into traditional legal systems, training succeeding by highlighting the practical imperatives of which Compliance relays the concern. To achieve this, the author maintains that it is above all the classical qualities of the lawyer and the teacher that are required; classical Law thus finding a revival, as teaching methods are revitalized by this new Compliance Law. Its teaching must therefore be anchored both in traditional legal principles and in techniques specific to Compliance mechanisms.   -     Read other summaries   -

Full reference : Thouret, Th., Training and Compliance, Two Correlated Information Transmission Tools, in M.-A. (dir.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 265-274. Consult an overview of the volume in which the article was published.   - Summary of the article (by Marie-Anne Frison-Roche) The article is based on the fact that in general Compliance Law aims to circulate Information and that Training, by nature, is a process for transmitting information, bringing both together. Insofar as Compliance Law internalizes in "crucial operators" the obligation to circulate information (within it, vis-à-vis its stakeholders and the authorities, but also between crucial operators) , it is therefore logical that they develop training programs, not in an adjacent way but in a main way, because of this identity. Indeed, training is a means of obtaining that information is "well received", that is to say understood, assimilated and used by its recipient for what it was transmitted. The regulatory and supervisory authorities therefore control the effectiveness of obtaining this effect. The author finally takes two examples, one of spontaneous adoption of a Compliance training program, operated by Total group, the other of forced adoption, operated by Johnson & Johnson group, to illustrate its general demonstration.   -   Consult the summaries of the other articles composing the book.   -

►Full reference : Roda, J.-Ch., Compliance by design: between innovation and illusion, , in M.-A. (dir.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 277-286. -   Consult an overview of the volume in which the article was published. - ►Summary of the article (done by the Journal of Regulation & Compliance): It is a question of studying what seems to be the requirement of the European Commission to know an "antitrust compliance by design", which seems for the moment a rather confused idea but answering the hypothesis of violation of Competition Law through so-called "smart" technologies, for example aligning prices without intervention. The Author takes up the solutions already identified, but he does not include the automatic internal reporting of a situation inciting anti-competitive behavior justifying greater vigilance on the part of the company itself because Compliance by design must, according to him, integrate the rules themselves and not just being a simple warning system. In the same way, the "transparency of algorithms" will make it possible in Ex Post to sanction those who have programmed or to consider their use as aggravating, which is not a mechanism by design in the strict sense, since this does not in itself produce respect for the rule. In Competition Law, Compliance by design is therefore "the coding of the goals of Competition Law, with relatively simple instructions: do not set prices collectively, do not exchange a particular category of information" and block access to sensitive information. It could go further, towards a kind of education, the software "learning" to refuse to perform tasks leading to offenses. Law could incite this by a responsibility, which is in germ. But the author believes that for the moment there are obstacles, not so much legal as technical. It is indeed necessary that lawyers and computer scientists understand each other …, and therefore agree to think a little differently, and both. We can do it. But the complexity of Competition Law, associated with the margins of interpretation, are such, but their binary translation is almost impossible. In economic technology, the same pitfalls will be found, for example in the calculation of market power, determining in Antitrust Compliance by design. Not to mention the ethical aspect of Competition Law, which is difficult to encode. -   Consult the summaries of the other articles composing the book.   -

Full reference : Salah, M. M., Conception and Application of Compliance in Africa , in Frison-Roche, M.-A. (ed.), Compliance Tools, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) / Bruylant, 2021, pp. 183-198.   Consult an overview of the volume in which the article was published.   - Summary of the article (summary done by Marie-Anne Frison-Roche) The author presents the way in which Compliance, which may seem "insurmountable" in Africa in particular with regard to corruption, even terrorism, a gravity offset by the prevalence of the group's solidarity on the Weberian conception of Law, nevertheless aims to  "deploy" in Africa. He describes the way in which in certain African countries the Compliance mechanisms have been established, under the influence of international institutions requiring first of all the autonomy of economic structures vis-à-vis social structures and then relaxing them so that they are more "human" and therefore more "sustainable". Under the aegis of the United Nations, anti-corruption programs have been particularly deployed. But the African Union and sub-regional organizations have also helped design and implement anti-corruption programs, for example through the adoption of uniform laws. In addition, the extraterritorial effect of foreign laws, in particular the FCPA, Bribery Act and Sapin 2, increases this anchoring of Compliance. The article shows that Compliance, legally translated, has  transformed classical Law branches. Firstly, banking and financial law welcomes it more readily, since it tends to be globally standardized, African legal systems participating in this globalization, and imposes on financial institutions and beyond a general obligation of vigilance, in particular as regards the risk of money laundering and terrorist financing, an obligation to alert and specific criminal liability of legal persons. Secondly, all African legislation has for purpose to fight against  corruption through Compliance, which mainly requires prevention. But the author measures the Compliance tools' effectiveness ("that is to say their ability to produce the desired results") which is often still limited in Africa. This is mainly due to the conjunction between the size of the informal sector, notably hampering 'identification" of the actors, and the weakness of the State structures which, allied to the low level of banking services and the still weak culture of writing and recording, leaves the system without crucial operators who could be entrusted with the realization of Compliance Law. The author concludes that it is not the risk of national sanction that leads operators to respect the Compliance rules but the fear of losing markets by the external threat of international actors and the damage to their local and abroad reputation. The weakness of State structures affecting the effectiveness of Compliance as it affects everything thing, the author underlines that Compliance tools must be strengthened but also reinforce the more general mechanisms, such as judicial review. More specifically, Compliance should be less expensive because African States often cannot bear it cost, only the subsidiaries of large foreign private groups can do so, which leads to abandoning Compliance at the will of the private sector, a phenomenon regrettable, whereas public supervisors do not have the means to exercise their political and technical control function. -   Consult the summaries of the other articles composing the book.