🎤Préalable : ce qu'est l'obligation de Compliance (Prerequisite: the Compliance Obligation), in 🧮L'arbitrage international en renfort de l'obligation de Compliance

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► Full Reference: M.-A. Frison-Roche, "Préalable : ce qu'est l'obligation de Compliance" ("Prerequisite: the Compliance Obligation"), in L. Aynès, M.-A. Frison-Roche, J.-B. Racine and E. Silva-Romero (dir.), L'arbitrage international en renfort de l'obligation de Compliance (International Arbitration in support of the Compliance Obligation), Journal of Regulation & Compliance (JoRC) and Institute of World Business Law of the ICC (Institute), Conseil Économique Social et Environnemental (CESE), Paris, February 9, 2024

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🧮see the full programme of this event

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🌐consult on LinkedIn a general presentation of this event, which links to a presentation of each speech (in French)

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🧱consult the scientific direction sheet of this event, which gives an account of the various speeches made

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🔲see the slides used to support the presentation (in French)

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🎤see a presentation of the conference "Préalable : ce qu'est un engagement" ("Prerequisite: the Commitment"), given at the same symposium

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🎤see a presentation of the conference "Le renforcement des engagements de Compliance par le renvoi Ex Ante à l'arbitrage international" ("Reinforcing Compliance commitments by referring Ex Ante to International Arbitration") which was finally not pronounced but will be the subject of an 📝article in the forthcoming book 📘Compliance Obligation 

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► Presentation of the conference: I have first dealt with the very definition of the Compliance Obligation.

After showing that the relationship between Compliance Law and International Arbitration will naturally develop, because the companies subject to it are international, because they contractualise their legal Compliance obligations and because Compliance is being jurisdictionalised📎!footnote-3379, the arbitrator being the natural judge since he is a global judge and the judge of the contract, I pointed out that Compliance Law does not simply entrust arbitration with the task of preventing evils, such as corruption pacts, but that it creates positive obligations for companies: to detect and prevent behaviour whose systemic effect is deleterious.

This culture of compliance is achieved either through compliance contracts📎!footnote-3380 (which outsource the handling of audits, alerts, the drawing up of plans, etc.), or through compliance clauses📎!footnote-3380, which are inserted into distribution or supply contracts, etc.; arbitration clauses are linked to these. Thus, the alliance between Compliance and Contract is an indirect mode of alliance between Arbitration and Compliance Obligation.

The obligation of Compliance which then takes concrete form consists for the company not in making effective Ex Ante all the regulations which apply to it (conception of conformity which is at once unreasonable, blind and impossible), but in making its best efforts, which it must make visible (see Compliance Evidence System📎!footnote-3381) to achieve Monumental Goals.

These Monumental Goals are systemic. The aim is to protect systems from collapse (Negative Monumental Goals) or to make them better (Positive Monumental Goals)📎!footnote-3382. By making companies accountable, via this Ex Ante Law whose object is the future, the systemic evils of corruption, money laundering, discrimination, climate change and hatred are combated, thus finding substantial unity. The Positive Monumental Goals aim to engender sustainability, security, respect for human beings, etc. in systems, be they banking, financial, digital, climatic, etc.

The role of the Judge, and therefore also that of the Arbitrator, is renewed.

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