Global law

Working papers

🚧 Compliance and Incentives: a couple to propel by the notion of “Incentive Compliance”

This working document serves as the basis for two conference given in the symposium made under the direction of Lucien Rapp, Les incitations, outils de la Compliance ("Incitations: Compliance Tools"). Référence : Frison-Roche, M.-A., Compliance et Incitations : un couple à propulser, in Faculté de droit de l'Université Toulouse-Capitole, et Journal of Regulation & Compliance (JoRC),Les incitations, outils de la Compliance, 12 décembre 2019, Toulouse.  This Working Paper has been the basis for two conferences in the colloquium in Toulouse (France) under the scientific direction of Lucien Rapp, about Les incitations, outils de la Compliance ("Incitations, as Compliance Tools"), on December 12, 2019, the first one about The sanction as incitation and the second one about Incitations and Compliance Law (synthesis of this colloquium). sur le thème de la sanction comme incitation, la seconde en synthèse de ce colloque sur  After it has been the basis for the article, to be published in the books Les outils de la Compliance and Compliance Tools in the Series Régulations & Compliance. Read a general presentation of this book.   - Summary of this Working Paper: Compliance and Incentives appear at first glance to be totally opposite. Not only because sanctions are at the heart of Compliance and that sanction is associated with constraint while incentive is associated with non-constrained1Voir cette question analysée d’une façon autonome, Frison-Roche, M.A., Résoudre la contradiction entre « sanction » et « incitation » sous le feu du Droit de la Compliance, 2020., but also because incentives are linked to self-regulation and that Compliance Law requires 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 others. Resign yourself to the waste that such a necessary choice would involve. But putting the terms thus is thinking poorly about the situations and reducing the fields of the solutions which they call for. If we take a rich definition of Compliance Law, we can on the contrary articulate Compliance and Incentives. To do this, the concept of “incentive Compliance” should be developed. This concept is not only appropriate, but it is necessary in a new conception of Sovereignty. For example for the digital Europe. -   Read the developments below.   

Working papers

The part and the all: the Amazon is related to what? For Brazil and the United States, the “part”; for France, the “All”. The issue is here

  Summary : In August 2019, about the fire devastating the Amazon, the French Minister of Ecology says that this fact "is not just the business of a state" (n'est pas que l'affaire d'un Etat). This assertion denies the postulates of Public International Iaw (I). This supposes a new system, based on the idea that the power of the State on its territory is erased when the object that is there is no longer related to this "part" but to the All that is Universe (II). Let's accept the augur. First question: if it is not only the case of a State, whose business is it? (III). Second question: to anticipate the other cases that fall under this regime, what should be the criteria in the name of which the All will have to prevail over the part and who will then take care of the case of which the "local" State is divested? (IV). Because the perspective goes beyond the environment, beyond Brazil, beyond the States. It leads to Compliance Law animated by "monumental goals" that are the concern for the Universe and humans, in a humanist spirit. Let's go.   - On August 27, 2019, on the French radio France Inter, Elisabeth Borne, French Minister of Ecology (Transition écologique) expresses it clearly:  "Quand on est sur un enjeu tel que l'Amazonie, ça n'est pas que l'affaire d'un État", that can be translated : "When we are on a stake such as the Amazon, it is not only the business of one State ". Starting from one case, "the Amazon", the Minister, thus taking up the position of the French President, associates a general consequence: "it is not only the affair of one State". This is not a trivial sentence.   This affirmation denies, and why not, the entire system of Public International Law (I). By a new reasoning based on the idea that the All prevails, as by an effect of nature, on the Part (II).   Admitting this, it leads to opening two sets of questions. The first is related to the following main question: if it is not only the case of one State, of which is this the concern (III)? The second set of questions revolves around the questioning of the criteria on behalf of which other cases must be seized in the name of "All " and how to do it (IV).     I. THE QUESTIONING OF THE CLASSIC SYSTEM OF PUBLIC INTERNATIONAL LAW   Since forever, but this is not suffcient to keep the system only for that, the world is legally organized around the concept of territory, which has as for corollary the notion – already more legal – of border. On this basis rests the postulate of International Law: parties, taking the legal form of States, which, if they have common interests, come into contact (A). Admittedly, the notion of "right of interference" has called into question that (B), but in the name of an altruism that does not destroy the territory. The new idea that appears here is that the territory would be no more than a part of an All, in the name of which one would be legitimate to speak, even to decide in the place of the State in whose territory an event takes place (C).   A. The postulate of Public (and Private) International Law: parties (States) which, because of common interests, are in contact The notion of State includes in its very definition the notion of territory (a territory, a population, institutions). Thus the State governs through its institutions what is happening on its territory. For example, if there is a fire, or a risk of fire, the State makes arrangements through all legal, financial, technical and human instruments available to it. It is accountable for what it does through its political and legal responsibility. When what is happening on its territory exceeds this one, in fact (epidemic, catastrophe with the consequences exceeding the borders, migrations, etc.) either according to its own opinion or according to that of the other States, the States, being sovereign subjects of Law in  the international system, act together on a pre-built legal basis: bilateral or/and multilateral treaties, having created legal integrated zones (like the European Union or the United States) or international institutions (like the IMF). A particular technique has been developed for several millennia – but here again the seniority is not sufficient to keep the system: diplomacy, anchored in each state in a particular ministry: the Ministry of Foreign Affairs, which each national government has. If one State totally excludes one phenomenon in the territory of another, the progressive procedure of ceasing diplomatic ties begins. This can result in wars. In the "case of the Amazon" both the President of Brazil and the President of the United States stick to the classical construction of Law. Indeed, the former asserted that the Amazon is in the territory of Brazil, thus falls under the jurisdiction of the power of the Brazilian State and the Brazilian Law, from which it follows that another State does not have to come to interfere. However, the French President takes the floor not as this forest extends also on a French territory but as it is the business of the World. On the contrary, the President of Brazil claims the closing effect, which excludes a third State from taking over directly something – even a difficulty – that takes place in the territory of another. The President of the US federal State has said that these are joint decisions between the President of Brazil and other heads of State, sovereign subjects of Law, who must agree to organize a solution to solve a local problem . Because in the same way that States can declare war, they can help each other. The whole Public (and Private) International Law is therefore based on this assumption: "parts" of the world, on which sovereign parties (States) have taken contact, because circumstances make something that falls within one of them or several others. This is precisely what is called into question. The notion of the "right of interference", whose evocation we hardly hear any more, had already done so. But on another basis.   B. The "right of interference": idea that somebody can directly interfere with what happens in a country , an idea that does not question the postulate of the International Maw, an idea that rests on something else: a " right for the other " The "right of interference" is the idea that in certain territories, things happen that are inadmissible. In memory of the jus cogens, a kind of "Natural Law" of Public International Law, Another, that could be another state, can come to meddle with what is happening in a territory that is closed, without declaring war. to the state that keeps its borders. It is the need of others, for example those who die in mass on this territory, or the nature that is devastated in the indifference of the State on whose soil the disaster is happening, which founds this "right" of another state to come and take charge. The foundation of this "right" is therefore a "duty".   C. The new idea: a territory is only part of the Globe, whose fate is everyone's concern The idea is new because it is not based on altruism. And no more about self-interest. Yet, de facto and de jure , the Amazon is not on the sole territory of Brazil. France is particularly well placed to say something about it since part of the Amazon is on French territory. Thus the inaction of the main concerned Brazil directly affects the interest of France, a "forest" being a block that can not be divided. If we were in Property Law, we would say that we are in indivision with Brazil and that in this respect, with the other States on whose territories this forest extends, a solution must be found. Because of the indivisibility of this particular object which is this particular fores, it is necessary that the States whose territory is concerned have a say in the matter. But this is not the argument put forward by France, particularly by the President of the Republic. It is said that the whole world is concerned about the fate of the Amazon. It could be said that, in this respect, when what could be described as a "global forest" is well treated, its management does indeed fall within the power of Brazil, Brazilian companies and the Brazilian State, but when it is abused to the point of seeing its future compromised, when fires may make it disappear, then this forest appears not to be localized in Brazil but being located in the World, of which Brazil is only a part. This reasoning, which then gives voice to everyone, for in the world every state is included in it, is a new reasoning. The economic-political theory of the "commons" does not account for it because it is not a very legal theory.    II. THE NEW REASONING THAT COVERS THE CLASSIC REASONING OF PUBLIC INTERNATIONAL LAW The new reasoning adopted by the Minister consists in saying that the Amazon does not concern only Brazil. This forest should therefore be directly related to the World (A). This is a welcome change in the system but based on a paradox (B).   A. When the Amazon is in danger of death, then it should no longer be attached to this part of the World that is Brazil, but directly to the World This forest is presented as the "lung" of the planet, it is the "future" of humanity. In this, it can concern only one State, not even the one on whose territory this "Humanity good" is located.  As such, without the need to declare war to Brazil, another State may speak, for example the French State through the one that represents it in the international order, that is to say its President, to say what to do, since according to him the President of Brazil does not say or do what it is absolutely necessary to do for the whole planet and for the future of Humanity. This induces a complete renewal of international institutions. Indeed a direct attachment to the World and no longer to Brazil gives the forest object a special status because of a goal that exceeds Brazil: save the Amazon would impose because it would save the world. Therefore, it can no longer be the subject of Brazil, which would be like "dispossessed" by a goal that is imposed on it: to save the Amazon rainforest, even though it is mainly on its territory, while other States become legitimate to dispose of this object, even if the forest would not be in part in their territory, even if they would not be affected in their own interests. This contradicts all Public International Law; because the agreement of the political representatives of Brazil is no longer required and no one yet evokes the need to declare war to Brazil, and fortunately! Such an upheaval justifies that such an affirmation is accepted with difficulty. One understands better than first consequence, which is not so innocuous, one of the first rules of diplomacy which is the politeness, between the heads of state, with regard to the spouses of these , have be broken, that the remarks have slipped on personal questions, etc.   B. A welcome but paradoxical change in the system Why not change the system? This is difficult to admit, not only because it is brutal, but because it is paradoxical. The paradox is the following. It is recognized that the theme of the disappearance of borders by "globalization" no longer reproduces the reality of facts, especially not the Chinese situation, the digitalization having on the contrary allowed the construction of even stronger boundaries. What we called "globalization" now belongs to the pastWhat we called "globalization" now belongs to the past. So today we should recognize on one side the reality of borders – which had not disappeared or are reborn – but only to better step over them, since – based on the concern of the world – states, yet each in their borders, would be legitimate to go directly to intervene in the business of others.  The paradox is therefore, on the one hand, the rejection of the allegation of a de facto disappearance of borders by an economic interdependence, technology having denied "globalization" as a fact  and the linked resurgence of borders allowing States to affirm more than ever that they would be "sovereign masters at home", which should logically lead to let Brazil decide for the Amazon, while yet on the other side we witness the questioning of the postulate of Public International Law as recognition of sovereignty and construction from agreements between states, requiring the agreement of the state whose territory is concerned (except war), questioning which leads to allow all to meddle with the fate of the Amazon, as if there was no border. This paradox leads to two questions. The first question is: if "it's not juste one State affair", who's concerned? The second question is: after the "case of the Amazon", what are the other cases? And how are we going to provide solutions, if we no longer have the solutions of Public International Law, that is to say, the agreement of the country whose territory is concerned and which we do not want not go to war? If we have clear ideas on the answers to be given to these two sets of questions, then because indeed when the future of all is in progress it can not be the affair of a single State, it is necessary to question Public International Law. But do we have clear ideas on these two questions? And what are the possibilities for possible solutions?   See the text following below.

Publication director

🏗️ copublishing and direction of the collection: 📚Régulations & Compliance

📚Publication of🕴️M.-A. Frison-Roche (ed.), 📕Pour une Europe de la Compliance (For the Europe of the Compliance), 2019

🌐 follow Marie-Anne Frison-Roche on LinkedIn 🌐 subscribe to the Newsletter MAFR Regulation, Compliance, Law - ► Full Reference: M.-A. Frison-Roche (ed.), Pour une Europe de la Compliance (For the Europe of the Compliance), series “Régulations & Compliance“, Dalloz, 2019, 124 p.  - This volume is the continuation of the books dedicated to Compliance in this collection. ► Read the presentations of the other books in the series: the following books: 🕴️M.-A. Frison-Roche (ed.), 📕Les outils de la Compliance, 2021 🕴️M.-A. Frison-Roche (ed.), 📕Les Buts Monumentaux de la Compliance, 2022 🕴️M.-A. Frison-Roche (ed.), 📕La juridictionnalisation de la Compliance, 2023 🕴️M.-A. Frison-Roche and M. Boissavy (eds.), 📕Compliance et droits de la défense. Enquête interne – CJIP – CRPC, 2024 🕴️M.-A. Frison-Roche (ed.), 📕L’Obligation de Compliance, 2025 🕴️M.-A. Frison-Roche (ed.), 📕Compliance et Contrat, forthcoming 🕴️L. Laref (ed.), 📕Compliance et vigilance bancaire, forthcoming 🕴️M.-A. Frison-Roche, 📕Le système juridique de l’adressage de l’Internet. Une structure multi-acteurs, gage de durabilité (The Legal System of Internet Addressing. A Multi-Stakeholder Structure, the Pledge of its Sustainability), forthcoming 🕴️M.-A. Frison-Roche (ed.), 📕Le système probatoire de la Compliance, forthcoming   the previous books: 🕴️N. Borga, J.-Cl. Marin and J.-Ch. Roda (eds.), 📕Compliance : l’entreprise, le régulateur et le juge, 2018 🕴️M.-A. Frison-Roche (ed.), 📕Régulation, Supervision, Compliance, 2017 🕴️M.-A. Frison-Roche (ed.), 📕Internet, espace d’interrégulation, 2016 📚Read the presentations of the other titles of the collection. - ► General presentation of the book: This book is written in French. The topic is : “For the Europe of the Compliance“. See below its general presentation in English.  The political dimension is intrinsic to the Compliance Law. Indeed, compliance mechanisms consist of internalizing in certains companies the obligation to implement goals of general interest set by Public Authorities. These public bodies control the Ex Ante reorganization that implies for these companies and punish Ex Post the possible structural inadequacy of these compagnies, becoming transparent for this purpose.  This new mode of governance establishes a continuum between Regulation, Supervision, Compliance (book published in 2017) and renew the links between Companies, Regulators and Judges1Frison-Roche, M.-A., Compliance, see.  This political dimension must be increased: the Compliance Law of Compliance must today be used to build Europe. One can observe not only the construction of the  European Compliance Law, object-by-object, sector-by-sector, purpose-by-purpose, but also the construction of the European Compliance Law that transcends and unifies them. Becoming independent of American Law and ceasing to be in reaction, even on the defensive, the Compliance Law contributes to the European project, offering it a higher ambition, that Europe can carry and, by this way, can carry the Europe itself, not only to preserve the European economy from corruption or money laundering, but by claiming the protection of nature and human beings. This is why the book describes the “reasons and objectives” of the Europe of the Compliance, which makes it possible to describe, detect and even predict the ways and means. - ► Understand the book through the Table of Contents and the summaries of each article:  🕴️M.-A. Frison-Roche, 📝Avant propos  🕴️K. Lenaerts, 📝Le juge de l’Union européenne dans une Europe de la compliance 🕴️M.-A. Frison-Roche, 📝Un droit substantiel de la compliance, appuyé sur la tradition européenne humaniste   I. LES RAISONS ET LES OBJECTIFS D’UNE EUROPE DE LA COMPLIANCE (THE REASONS AND OBJECTIVES OF THE EUROPE OF THE COMPLIANCE)  🕴️X. Musca, 📝Construire une Europe de la compliance en donnant une meilleure place aux entreprises 🕴️P. Vimont, 📝La place de la diplomatie dans l’avancée d’une Europe de la compliance 🕴️P. Sellal, 📝Les vertus de la compliance : une réponse possible aux faiblesses de l’Union européenne ? 🕴️J.-J. Daigre, 📝Compliance, entreprise et Europe   II. LES VOIES ET MOYENS D’UNE EUROPE DE LA COMPLIANCE  (THE WAYS AND MEANS OF THE EUROPE OF THE COMPLIANCE) 🕴️J.-Cl. Marin, 📝Quels outils pour la construction du droit de la compliance en Europe ? 🕴️M. Canto-Sperber, 📝La compliance et les définitions traditionnelles de la vertu 🕴️T. Bonneau, 📝Compliance et secteur bancaire et financier en Europe 🕴️C. Duchaine, 📝L’Agence française anticorruption, à l’appui de l’Europe de la compliance 🕴️D. Martin, 📝Les contraintes et les vertus de la compliance 🕴️A. de La Cotardière, 📝Construire une Europe de la compliance lisible pour les entreprises -

Reports

📓 L’apport du Droit de la Compliance dans la Gouvernance d’Internet (The contribution of Compliance Law in the Governance of Internet))

► Full Reference: M.-A. Frison-Roche, L'apport du Droit de la Compliance dans la Gouvernance d'Internet  (The contribution of Compliance Law to the Internet Governance), Report asked by the French Government, published the 15th of July 2019, 139 p. - ► Report Summary. Governing the Internet? Compliance Law can help. Compliance Law is for the Policy Maker to aim for global goals that they require to be achieved by companies in a position to do so. In the digital space built on the sole principle of Liberty, the Politics must insert a second principle: the Person. The respect of this One, in balance with the Freedom, can be required by the Policy Maker via Compliance Law, which internalises this specific pretention in the digital companies. Liberalism and Humanism become the two pillars of Internet Governance. The humanism of European Compliance Law then enriches US Compliance law. The crucial digital operators thus forced, like Facebook, YouTube, Google, etc., must then exercise powers only to better achieve these goals to protect persons (against hatred, inadequate exploitation of data, terrorism, violation of intellectual property, etc.). They must guarantee the rights of individuals, including intellectual property rights. To do this, they must be recognized as "second level regulators", supervised by Public Authorities. This governance of the Internet by Compliance Law is ongoing. By the European Banking Union. By green finance. By the GDPR. We must force the line and give unity and simplicity that are still lacking, by infusing a political dimension to Compliance: the Person. The European Court of Justice has always done it. The European Commission through its DG Connect is ready.   ► 📓 Read the reporte (in French) 📝 Read the Report Summary in 3 pages (in English) 📝 Read the Report Summary in 6 pages (in English) -   ►  Plan of the Report (4 chapters): an ascertainment of the digitization of the world (1), the challenge of civilization that this constitutes (2), the relations of Compliance mechanisms as it should be conceived between Europe and the United States, not to mention that the world is not limited to them, with the concrete solutions that result from this (3) and concrete practical solutions to better organize an effective digital governance, inspired by what is particularly in the banking sector, and continuing what has already been done in Europe in the digital field, which has already made it exemplary and what it must continue, France can be force of proposal by the example (4). -   📝  Read the written presentation of the Report done by Minister Cédric O (in French). 🏛 Listen to the oral  presentation of the Report by Minister Cédric O durant the parliamentary discussion of the law against hate contente on the Internet (in French). -   💬 Read the interview published the 18 July 2019 : "Gouvernance d'Internet : un enjeu de civilisation" ( "Governing Internet: an Issue of Civilization"), given in French,  📻 Listen the Radio broadcast of July 21, 2019 during which its consequences are applied to the cryptocurrency "Libra" (given in French) 🏛 Presentation of the Report to the Conseil Supérieur de l'Audiovisuel- CSA (French Council of Audiovisual) on Septembre 5, by a discussion with its members presentation (in French) 💬 Read the  Interview published the 20 December 2019 : "Le droit de la compliance pour réguler l'Internet" ("Compliance Law for regulate Internet"), given in French -     read below the 54 propositions of the Report ⤵️ - 🌐 follow Marie-Anne Frison-Roche on LinkedIn 🌐follow Marie-Anne Frison-Roche on Instagram 🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law 

Articles in a non-legal collective publication

FRISON-ROCHE, Marie-Anne

Creating “Regulation Law” at Dauphine

Full reference: Frison-Roche, M.-A., Creating "Regulation Law" at Dauphine, in Huault, I. and Bouchard, B. (ed.), 50 years of Research in Dauphine. 1968-2019, 2019, pp. 110-114 Read Marie-Anne Frison-Roche's article (in French)   Read also:  The foreword of the book written by Bruno Bouchard (in French) The preface of the book written by Ivar Ekeland (in French) The table of contents of the book (in French)

Books

🏗️ direction of the collection: 📚Droit et Économie

L’ordre public économique (Economic Public Order)

Full reference : Laget-Annamayer, A. (ed.), L'ordre public économique ("Economic Public Order"), coll. "Droit et Économie", Lextenso – LGDJ éditions, 2018, 397p.   This collective book is published in French.    This is the 32nd volume published in this collection.   Often launched as an all-encompassing expression, both by the doctrine and by the judge, public economic order remains a mysterious concept whose substance and contours are difficult to know, simply because it is liable to fluctuate according to its apprehension and depending on the economic and social context. Yet the expression has become widely used, almost incantatory, like a label, and there is therefore undoubtedly a gap between its invocation and its meaning in Law. It is to this discrepancy, and in an attempt to reduce the mystery, that this work is devoted. Not stopping at the only vision of public economic order in internal Public Law, he tries to seek the meanings of it in Comparative Law, in European and International Law, without omitting the historical, privatist or economic vision. It is therefore to this rich overview treated by specialists from different legal fields and beyond that this book invites. It does not aim to put an end to the debate, but on the contrary to arouse it in the context of reflections on the relationship between Law and Economics of which everyone knows the importance. Authors are : Olivier Baillet, Jacques Caillosse, Aurélien Camus, Jacques Chevallier, Dominique Custos, Pierre Delvolvé, Samuel Ferey, Sébastien Hourson, Pascale Idoux, Jean-Philippe Kovar, Aurore Laget-Annamayer, Jérémy Martinez, Francesco Martucci, Jeanne Mesmin d’Estienne, Claire Mongouachon, Eric Naim-Gesbert, Guillaume Richard, Jean-Marc Sorel, Pascal de Vareilles-Sommières.   Read the forth of cover. Read the Table of Contents.   See the whole collection in which this book is published

Working papers

Enterprise, Regulator, Judge: Thinking Compliance by these three characters

This working paper has served  as a basis for an article written in French in the book Compliance : Entreprise, Régulateur, Juge ("Compliance: Enterprise, Regulator, Judge"), published in May 2018 in the Regulations Series of Dalloz editions (Paris). See the other books published in this collection (presentation in French), directed by Marie-Anne Frison-Roche (presentation in English). ABSTRACT: The Company, the Regulator and the Judge are three key figures for the construction of an emerging Compliance Law. An important risk lies in a confusion of their respective roles, the company becoming a regulator, the regulator becoming a board of a place that goes to the conquest of others, the judge standing back. It is appropriate that each plays his role and that their respective function is not distorted. If this confusion is avoided, then the points of contact can multiply and one observes it. But as soon as everyone remains in its place, we can go further than these points of contact and if they agreed, the three characters can reach common goals. This is all the more legitimate since Compliance Law, as Regulation Law, is teleological in nature, which makes these branches of law profoundly political. These common goals are technical, such as risk prevention. They can be more political and higher, if there is a shared will, without ever one of the characters being captured by another: it is then to concern by the human being. The designation of this common goal to the Company, the Regulator and the Judge can be expressed in one word: Europe.

Publication director

🏗️ direction of the collection: 📚Cours Dalloz – Série Droit privé

📚Publication of : 🕴️Jean-Baptiste RACINE and 🕴️Fabrice SIIRIAINEN, 📕Droit du commerce international (International Trade Law), 3rd ed.

► Full Reference : J.-B. Racine and F. Siiriainen, Droit du commerce international (International Trade Law), 1st ed. 2007 – 3rd ed., 2018, Dalloz, “Cours Dalloz-Série Droit privé” Series, 496 p. - ► General presentation of the book (written in French) : International trade law has become a fundamental discipline at a time of globalisation of the economy. It is a particular law: a law composite by nature, made up of national and international, public and private rules, which combines conflict rules and substantive rules and which knows the particular phenomenon of the lex mercatoria. Besides the sources of international trade law, fed in particular by the World Trade Organization (WTO), the book studies the operators of international trade, namely companies and States, the operations of international trade (sale, transport, distribution, subcontracting, transfer of intellectual property rights, etc.) and finally international trade litigation through its emblematic figure: arbitration. - 📕Read the back cover (in French) - 📕Read the table of contents (in French) - 📚See the entire collection in which the book is published. -

Publication director

🏗️ direction of the collection: 📚Droit et Économie

La petite entreprise