This working paper has served as a basis for an article subsequently published in French in the Law Journal Recueil Dalloz (see Compliance et personnalité, Recueil Dalloz, 2019).
It is enriched with notes, references and links.
Summary: Compliance Law is often presented as empty and a mechanical set of procedures, in which human beings do not matter. It is the opposite.
The concern of human beings justifies it fights against the legal technique of the personality. Indeed as Compliance Law is an legal construction around Information and even in its core function of prevention of the systemic risks and its markets protection, the Compliance Law sets the requirement to know "genuinely" the person who is "relevant" – behind the legal person – for the purpose set, for example the fight against corruption or money laundering, establishing in principe what are only exception in Corporate Law or Competition Law.
In a more European conception of Compliance Law, as Law of direct protection of human beings beyong legal personnalities, from near the company and even far, humans being the real and effective beneficiaries of the new branch of Law.
- S. for ex. Germain.M. & Magnier, V., Les sociétés commerciales, 2017, : "Malgré la diversité des formes juridiques, il existe un caractère commun à toutes les sociétés : elles ont la personnalité morale" (p.144).
- Sur la notion d' "entreprises cruciales", dont les banques, les gestionnaires de place et d'infrastructure essentielle sont les épigones, v. Frison-Roche, M.-A., Proposition pour une notion : l'opérateur cruciale, 2006.
- Sur ce lien essentiel, le Droit de la Compliance internalisant dans certaines entreprises les ambitions portées sur certains systèmes de Régulation, v. Frison-Roche, M.-A., Du Droit de la Régulation au Droit de la Compliance, 2017.
- Jestaz, Ph., Le Droit et le Beau, in Archives de philosophie du Droit, Droit et Esthétique, 1996.
- On the relations between Law and Architecture, s. Pierre Caye, Architecture et République, 2018.
- For an critique of this conception, s. Supiot.A, Prendre la responsabilité au sérieux, 2015.
- On the definition of Compliance and Compliance Law, s. Frison-Roche, M.-A., Compliance Law, 2016.
S. also Bilingual Dictionary of Regulation and Compliance Law. - Couret, A., Le bénéficiaire effectif, 2018
- ’OCDE, An Analysis of the Crime of Bribery of Foreign Public Officials, 2014.
- Frison-Roche, M.-A., le nouveau personnage du Lanceur d'alerte, 2019.
- Couret, A. et Rapp, L., Les 100 mots du Droit des affaires, coll. "Que Sais-Je ?", PUF, 2000, p.17.
- About this movement, s. Investissement responsable : l'essor, et spécialement Boujnah, S. Place boursière : promouvoir un modèle européen, 2019.
- Frison-Roche, M.-A., Entreprise, Regulator, Judge : think Compliance by these three characteres, 2018.
- Frison-Roche, M.-A., Compliance : before, now, after, 2017.
- Frison-Roche, M.-A, (dir.), Pour une Europe de la Compliance, 2019.
- Frison-Roche, M.-A., What Compliance Law can build relying on the European humaninst tradition, 2019.