Working papers

🌐 follow Marie-Anne Frison-Roche on LinkedIn 🌐 subscribe to the Newsletter MAFR Regulation, Compliance, Law  - ► Full Reference: M.-A. Frison-Roche, Compliance contract, compliance clauses, working paper, September 2022. - ►Summary of this working paper:  Compliance Law has multiplied obligations. However, although Tort Law is emerging in Compliance issues and contracts are multiplying in practice, for the moment the relationship between Compliance Law and Contract Law is not very visible (I). However, there are contracts whose sole purpose is to give concrete form to Compliance, which creates a specific contract and must influence its implementation (II). Moreover, there is much to learn from the diversity of compliance stipulations scattered throughout a wide range of contracts (III). - 🔓read the developments below⤵️

🌐 follow Marie-Anne Frison-Roche on LinkedIn 🌐 subscribe to the Newsletter MAFR Regulation, Compliance, Law  - ► Full Reference: M.-A. Frison-Roche, The judge, the obligation of compliance and the company. The probationary compliance system, Working Paper, August 2022. - 📝this Working paper had been made for an article:  📕 published in its French version ("Le juge, l'obligation de compliance et l'entreprise. Le système probatoire de la compliance") in the book La juridictionnalisation de la Compliance, in the series 📚Régulations & Compliance  📘published in tis English version in the book Compliance Jurisdictionalisation, in the series 📚Compliance & Regulation - ► Summary of this Working Paper: To articulate the probationary system of compliance, it should first be admitted that Evidence is a general system, built on a "probationary square" functioning whatever the situation, and that it seems that Compliance Law rejects it, being incompatible with major probative principles, as soon as Compliance is defined as the obligation that companies would have to show (which is evidence) their respect for all the regulations applicable to them. But fortunately, Compliance does not have to receive this definition. Compliance Law consists of all the principles, institutions, rules, and decisions which, in an alliance between public authorities and crucial companies, tend in a substantial way to the achievement of Monumental Goals. A branch of Ex Ante Law that protects systems and the human beings involved in them, Compliance Law aims to detect and prevent so that in the future systems will be less harmful than they would be if we do nothing, even will be better. From this required action of companies, which requires the establishment of structures and series of behaviors, a specific probationary system emerges. It is composed firstly of specific proof objects, constituted on the one hand by the structures and on the other hand by the behaviors. Secondly, the specificity of compliance, often denounced, lies in the burden of proof, the burden of which rests on the company, but it is necessary to analyze the interference with the other branches of law, which compliance cannot have destroyed. . Thirdly, the scope of the probative issues is such that the means of proof have multiplied, according to the triptych of the effectiveness, efficiency and effectiveness expected of the compliance system itself regarding the Monumental Goals (and not the regulations). Fourthly, because Compliance Law is a branch of Ex Ante Law and the Judge is nevertheless at the center, it is logical that all efforts focus on the pre-constitution of evidence.   - 🔓read the developments below ⤵️

🌐 follow Marie-Anne Frison-Roche on LinkedIn 🌐 subscribe to the Newsletter MAFR Regulation, Compliance, Law  - ► Full reference: M.-A. Frison-Roche, Regulatory and Compliance Law, expression of the missions of a professional Order, Working Paper, July 2022. - 🎤 This Working Paper has been done as basis for an intervention in the Annual Congress of the French Professional Order of the Géomètres-Experts, September 15, 2022 (conference given in French)  - 🎥watch the short presentation of this speech (in French)  - 🎥watch the full speech given on 15 September 2022, based on this working paper - ► Summary of the Working Paper: Professional orders should not present themselves as exceptions, however legitimate they may be, in relation to a principle, which would be the competitive system, but as the expression of a principle. This principle is expressed by two branches of Law whose importance is constantly growing in European Law, liberal branches which are based on the conception of economic life and the definition of company, turned towards the future: the Regulatory Law and Compliance Law, two branches of Law at the same time related and distinct. Indeed, and this is the topic of the first part, Competition Law conceives professional orders as exceptions since these "corporations" constitute structural agreements. French domestic legal system both consolidates the professional orders by backing them up to the State, which would sub-delegate its powers to them, but involves them in the questioning by the European Union of the States and their tools. Most often the temptation is then to recall with a kind of nostalgia the times when the professional orders were the principle but, except to ask for a restoration, the time would be no more. A more dynamic approach is possible, in accordance with the more general evolution of Economic Law. Indeed, the Professional Order is the expression of a profession, a little-exploited concept in Economic Law, over which the Order exercises the function of "Second-level Regulator", the public authorities exercising the function of "First-level Regulator". The Banking and Financial Regulatory Law is built in this way and operates thank to that, at national, European, and global level. This is what should be linked. The Professional Orders therefore have the primary function of spreading a "Culture of Compliance" among the professionals they supervise and beyond them (clients and stakeholders). This culture of Compliance is developed regarding the missions which are concretized by the professionals themselves. Therefore, the second part of the Working Paper deals with the legal evolution of the notion of "Mission" which has become central in Economic and General Law, through the technique of the mission-based company. However, there are multiple points of contact between the raison d'être, the company with a mission and Compliance Law as soon as the latter is defined by the concrete and overly ambitious goals that it pursues. : the Monumental Goals. Each structure, for example the French Ordre des Géomètres-Experts, is legitimate to set the Monumental Goal that it pursues and that it inculcates, in particular the conception of territory and the living environment, joining what unites all the Monumental Goals of Compliance: concern for others. The French Ordre des Géomètres-Experts, is adequate because it has a more flexible relationship, both tighter and broader, with the territory than the State itself. By instilling this in professionals, the Professional Order develops in the practitioner an "ex ante responsibility", which is a pillar of Compliance Law, constituting both a charge and a power that the practitioner exercises, and of which the Professional Order must be the supervisor. - 🔓read the Working Paper⤵️

🌐 follow Marie-Anne Frison-Roche on LinkedIn 🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law  - ► Full Reference: Frison-Roche, M.-A. Compliance, Artificial Intelligence and Business Management: the right measure, Working Paper, June 2022.  - ► Summary of the Working Paper: Of the next European Regulation on artificial intelligence, the European Commission has a quite neutral conception of AI for obtaining a consensus between the Member States, while the Regulators and certain States have a more substantial conception of technology, wanting its power to be used to protect people, firstly from these new tools themselves, secondly from what is an amplification of the evils of the classic world, such as hate or misinformation. This is the reflection of two conceptions of Compliance. Firstly, Compliance can be defined as neutral processes that increase the effectiveness of what would be the obligation for companies or their desire for efficient risk management (in particular the consideration of "legal risks") to prove being "conform" to all regulations that are applicable to itself and all persons to whom the firm is accountable. This is often referred to as the "compliance obligation" or "obligation of conformity". This conception implies considerable practical consequences for the company which, in order to succeed in this "total exploit", would then have to resort to artificial intelligence tools constituting a "total and infallible solution", which mechanically generate for it the obligation to "know " all the "regulatory mass", to detect all "non-compliances", to conceive its relationship to the Law in terms of "risk of non-compliance", fully supported by Compliance by Design which could, without human intervention , eliminate legal risk and ensure "compliance total efficiency" in Ex Ante. The "legal price" of this technological dream is extremely high because all the "regulatory" requirements will then be transformed into obligations of result, any failure generating liability. The Compliance probationary system will become overwhelming for the company, both in terms of burden of proof, means of proof, and transfers, without exemption from proof. Objective responsibilities for others will multiply. The "law of conformity" will multiply Ex Ante systemic penalties, the border with criminal law being less and less preserved. It is essential to avoid this, both for businesses and for the Rule of Law. For this, we must use Artificial Intelligence to its proper extent: it may constitute a "massive aid", without ever claiming to be a total and infallible solution, because it is the human who must be at the center of the compliance system functioning thank to the firms and not the machinery. For this, it is necessary to adopt a substantial conception of Compliance Law (and not a sort of Conformity Law or Obedience Law). It does not at all cover all the applicable regulations and it is not at all "neutral", being in no way a series of processes. This new branch of Law is substantially built on Monumental Goals. These are either of a negative nature (preventing a systemic crisis from happening, in many but specific perspectives: banking, financial, health, climate, etc.), or of a positive nature (building a better balance, in particular between human beings, in the company and beyond). In this conception which appears increasingly strongly, artificial intelligence finds its place, more modest. As Compliance Law is based on information, Artificial Intelligence is essential to capture it and make first connections, first stages for successive analyses, done by human beings, making what is essential: the commitment of the company, both by the leaders and by all those who are "embarked" by a "culture of Compliance" which is at both built and common. This restores the required seal between Criminal Law and what can be asked of the mechanical use of Artificial Intelligence; this puts the obligation of means back as a principle. This restores the principal place to the lawyer and the compliance officer, so that the culture of compliance is articulated with the specificities of a sector and the identity of the company itself. Indeed, the culture of compliance being inseparable from a culture of values, Compliance by design requires a dual technique, both mathematical and legal culture. It is why European Compliance Law, because it is rooted in the European humanist tradition, is a model. -

  🌐follow Marie-Anne Frison-Roche on LinkedIn 🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law  - ► Full Reference: M.-A. Frison-Roche, Compliance Law and Climate. To prevent Climate Risk and build Climate Balance, January 2022. - 🎤 In its French version, this Working Paper had been written for a speech  for  the colloquium held under the scientific direction of Marta Torre-Schaub, Béatrice Lormeteau, & Anne Stevignon, Les risques climatiques à l’épreuve du droit Comment le droit fait-il face aux nouveaux risques engendrés par la crise climatique ? , at the University Panthéon-Sorbonne (Paris I), Amphithéâtre Liard, on March 17, 2022. - 📝it is also the basis of an article : "Droit de la compliance et climat. Pour prévenir le risque et construire l'équilibre climatiques" ("Compliance Law and climate. Prevent the climate risk and build the climate balance") - ► Summary of this Working Paper: Compliance Law is beginning to emerge in climate topic, through the expression  "Climate Compliance Law", but the climate issue itself is the most perfect example of why General Compliance Law is made for.  It is indeed a new branch of Law, a global Law claiming to provide Ex Ante solutions here and now for global issues, so that in the future systemic catastrophies will not occur, will not happen: it is these "Monumental Goals" that give meaning, coherence, and simplicity to Compliance Law. Compliance Law, linked to the Rule of Law principle, makes it possible to go beyond the choice often presented between the effectiveness of the protection of the planet and the renunciation of freedoms, in particular the freedom to do business and the freedom of individuals, especially the protection of their data. Climate is thus exemplary of the object of Monumental Goals of Compliance Law (I). The systemic risk that it now constitutes is analogous to Banking or Digital Systemic Risks and therefore calls for the application of identical legal Compliance Tools, formerly put in place for Banking Regulatory and Compliance Law, recently invented for Digital. Compliance Law, extending Regulation Law, itself from the precondition of the Sector and the Territory, is therefore the branch which makes it possible to put in place new legal solutions, either by force (judicial agreements, compliance programs, etc.), or by will (commitments, global charters, etc.). Therefore, an alliance can exist between political and public authorities, and crucial economic operators (II), that the rise in power of the "raison d'être" is the sight and whose technical challenge is the collection of information that must be put in correlation. Scientists pooling Information, this public good, provided by public and private entities. The courts are at the center of this articulation between Compliance Law and Climate, which object is the Future. -   🔓read the developments below⤵️ -

► Full reference: M.-A. Frison-Roche, Conceiving Power, Working Paper, December 2021 - 📝 This Working Paper serves as the basis for an article to be published in the collective book drawn up in tribute to Professor Emmanuel Gaillard.    - ► Working Paper summary: In 1985, Emmanuel Gaillard's central work came out under the title Le pouvoir en droit privé  (The Power in Private Law)📎¹Gaillard, E., Le pouvoir en droit privé, préf. Cornu. G., coll. ..., Economica, 1985., but when it was defended in 1981, his thesis directed by Dean Cornu was entitled La notion de pouvoir en droit privé (The notion of Power in Private Law) 📎²Gaillard, E., La notion de pouvoir en droit privé, thèse .... ; . Let's give full force to the original title of the thesis.   The deletion of the term notion perhaps implies that by defining something the essential is done, that there would be something of a pleonasm in aiming at The notion of Power and The Power, as Law likes to economise on words.   But it was indeed a renewed, simpler and more powerful conception of the notion of Power, containing the entire regime necessarily imputed, that this work imposed, henceforth illuminating positive Law. Emmanuel Gaillard's definition, on the other hand, goes beyond Private Law. We would gladly have argued in favour of retaining the heading for the term Notion, proposing instead to dispense with the reference to Private Law alone …. Perhaps it was because the concept is so vast that in this seminal thesis its scope was restricted to Private Law, since the author already had to account for the sheer multiplicity of manifestations in this part of the legal system; Or perhaps it was because the concept of 'Power' is so familiar in Public Law that it would have needed less definition in Public Law (which, moreover, is so diversely proposed in this more political area, which is already careful on principle to distinguish between powers, which must always be plural in order to be separated), and that it was therefore reasonable to want to arrive at a single concept of Power in Private Law, where the notion of subjective rights is more familiar.  However, Emmanuel Gaillard's definition of Power as a prerogative placed, by legal rule or contract, in the hands of the person invested with them for the benefit, at least in part, of others, covers both Public and Private Law. This even contributes to the solidity of this thesis and explains why it flourishes today in legal systems where the distinction between Private Law and Public Law is weakening. The power of this definition lies in its simplicity. Simple and brave minds are often the most fruitful. As Dean Gérard Cornu points out in his preface, the author, in particular because he bases himself more on positive law, for example that relating to the powers of corporate officers, does not get bogged down in discussions between authors only to end up preferring one over the other. He arrives at a definition that is close to our everyday experience: the one we experience when we collect an envelope on behalf of someone else and the agent asks us in what capacity we claim to be doing this on his behalf. We then show him our 'power', the legal power to do so for the benefit of the person to whom the letter is addressed, and can thus exercise the power to withdraw the letter, even though it is personal. When legal and common sense come together, it is a good omen, not only in terms of form, because everyone can understand it and the Law must remain comprehensible, but also in terms of substance, because everyone must be able to control the exercise of a power that is exercised for and over others. For this letter addressed to someone else, the person who has been able to take it by virtue of the power conferred on him/her, could just as easily open it and read it, then destroy it or give it to the worst enemy of the person to whom it was addressed. In Power, there is always might to do, and the danger to others that Power contains therefore.  This highly legal definition of Power not only distances the holder from his/her own interests, but also channels the Power thus granted to the person who benefits from it. In this respect, Emmanuel Gaillard not only distinguished between Power and subjective right, but also identified the right amount of power required for this power to effectively fulfill this 'Mission', through the notion of abuse of power, when the holder uses for other beneficiaries this power that was conferred on him/her for this sole purpose. What is more, this concept makes it possible to distinguish Power from discretionary force, because the holder of Power thereby exercises factual , by acting for others, deciding for others, deciding on others. Because Power is inseparable from might, but might must remain the means of power and no more, the Law shall produce the antibodies that are not only the theory of abuse of power but also an Ex Ante responsibility that accounts must always be rendered, either to the other for whom everything is done or to a third party. For this third party is often there from the outset, the guardianship judge for example: because the Power was put in place because of the beneficiary's weakness, both in himself/herself and because of the situation, an impartial and disinterested third party is needed to ensure proper execution from the outset, without there even being a dispute. In this respect, how useful this thesis is for thinking about what Supervision is today!   This thesis, so clear, so simple and so strong, goes beyond Private or Civil Law. It is both much more restrictive than the more factual and political definition of Oower, which would be the ability to do something, and much broader than the usual definitions, since it embraces and legitimises de jure all situations where a person acts legally for the benefit of another.  Dean Cornu shows, moreover, in two sentences that such a notion of power also captures the office of the judge, who has power over others only to serve them 📎³"En droit processuel, l'office du juge aurait donné à l'auteur un renfort. Pour le juge, il n'est point de pouvoir sans devoir. Au-delà de la distinction de ce qu'il a obligation de faire ou faculté d'apprécier, il y a toujours, au creux de ce qu'il peut, le sceau de ce qu'il doit, un devoir gardien - comme un âme - de l'exercice du pouvoir." (p.5).. The definition corresponds to the mission of one who has power only to fulfill his office. It suits so well the conception we have today of Administration, especially if it takes the form of independent authorities. Moreover, Power thus contains its own limit in its very definition, since others are present in it: the holder has power only to serve others. From then on, it is only a power because it is a kind of Charge. Emmanuel Gaillard immediately uses the term: "Un individu se voit confier une charge qu'il exerce dans un intérêt au moins partiellement distinct du sien propre"  ("An individual is entrusted with an office which he exercises in an interest at least partially distinct from his own") 📎⁴n°3, p.9. . Dean Carbonnier, who reformed the legislation in this area 📎⁵🕴️J. Carbonnier, 📗Essai sur les lois, 1992 (on the guardianship).,, emphasised that the guardian has a public duty because the State entrusts him/her with a child. In the same way parental authority is a charge on the parents for the benefit of the children. More generally, Power is a burden that the Law places on a person to satisfy the interests of another. This definition offered by Emmanuel Gaillard in 1981, anchored in Private Law only insofar as it is the entire legal system, is premonitory of the Regulatory and Compliance Law as it unfolds today. It would be enough to continue the Gaillard's sentences, as if they had been half-written, to finish them 40 years later and find in them the mechanisms of Supervision of companies by public authorities which are now in place not to reduce their power but to ensure that they exercise it for the benefit of others 📎⁶S. in a general way, 🕴️M.-A. Frison-Roche (ed.), 📕Régulation, Supervision, Compliance, 2017.. The whole evolution of Company Law and Financial Law is here. Between the lines of this thesis, which develops the notion of duty 📎⁷Cornu, préface précitée : "Tous les pouvoirs sont, à double face, des pouvoirs-devoirs" (p.5)., we can also see what positive Law is developing today, in particular through the 'duty of Vigilance', this personal responsibility for the benefit of others (I). The definition of Power thus conceived contains within itself its regime and enables us to anticipate it better today: because the holder exercises Power only for others, at least partially, he is consubstantially accountable for it, responsibility being only one form of this accountability; because this service must be effective and others must benefit fully from it, because unlike the subjective right which allows the holder freely not to use his might, Power has never been the 'most absolute' availability to use his/her might: it is even the opposite. It is the expression of a Power assigned to a purpose, compelling the holder to use his/her Power to that end.  But it is equally necessary for the holder to have all the might to do so, otherwise the very notion of 'Power' is meaningless. This is the definition that should be given to the principle of Proportionality: the person on whom the Power rests must have not more power than is necessary, but all the power necessary to achieve the Monumental Goals for which the Power has been entrusted to him/her, so that others may derive full benefit from it (II).  In today's positive Law, the definition of Power as a Duty is found not only in Private Law but also in Public Law, not least because pure might, i.e. those that do not account for the use of their might, are in decline while concern for others is on the increase. The days of discretionary powers are over, and the increased independence of those who exercise Power over others requires them to be accountable. Beyond this Accountability, the personal Responsibility of those who have the Power to serve others is being established. But, no doubt because the Law is slow to evolve, the correlative idea that the holder of Power must have all the powers required to carry out his/her mission is less entrenched:  As Emmanuel Gaillard has shown, the Law has only gone part of the way in sanctioning excesses of power, when the holder uses his/her power for other goals, but it has not yet clearly established that the holder – sometimes forced – of a Power is legitimate in using all the means required to achieve the result for which this Power, i.e. a charge and a duty, has been conferred on him/her.   No doubt we need to read Emmanuel Gaillard's thesis again in all its potential, to imagine the reading we could do today of what he could have written as if on blank pages that would write themselves, a magical thesis where everything is already there, a thesis so short (250 pages) and so beautiful, so dense that it already contains the Law of the Future. The Law of the Future 📎⁸On Compliance Law as a Law of the Future, s. 🕴️M.-A. Frison-Roche, 📝Compliance Monumental Goals, beating heart of Compliance Law, in 🕴️M.-A. Frison-Roche (ed.), 📘Compliance Monumental Goals, 2023. On the consequences for Liability Law, which is now looking to the Future, s. 🕴️M.-A. Frison-Roche, 🚧Ex Ante Responsibility, 2021.  where there must be much more responsibility for the benefit of others📎⁹Sur la notion de "Responsabilité Ex Ante", v. Frison-Roche, M.-A., La responsabilité Ex Ante", in Archives de Philosophie du Droit, La responsabilité, 2022. and powers since this notion includes others who are the beneficiaries. Droit de l'Avenir where Emmanuel Gaillard will be present, in particular thanks to this work of doctrine offered in 1981.  So that, in practical terms, those who are entrusted with looking after others – for example, today all companies obliged by Compliance Law to look after others so that they are not destroyed by hatred in the digital space, by corruption in the economic system or by climate change in a projected future – do not find themselves challenged by the same Law for the means of exercising this power for the benefit of others, for example when this involves 'judging'. Dean Cornu himself emphasised the identity of the two offices. -                         Lire les développement ci-dessous⤵ - 🌐 follow Marie-Anne Frison-Roche on LinkedIn 🌐follow Marie-Anne Frison-Roche on Instagram 🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law 

► Full Reference: M.-A. Frison-Roche,  Support from Compliance Law for day-to-day management of Competition Law, Working Paper, Octobre 2021. - ► This working paper has been drawn up as a basis for a contribution to the Amicorum Liber for Professor Laurence Idot, published in 2022 - ► Working Paper Summary: Competition Law has become so huge and just "regulations" that one would give up trying to understand it as a whole, preferring to become a specialist in one of its parts. This would be to lose sight of the simple and strong reason which unites the whole and gives it its breath: Freedom. Freedom experienced by the person in his daily economic action, Freedom kept by Competition Law, always returning to its principle: Free Competition. This is why the European Union places a so great emphasis on Competition. To build it and keep it effective, "Competition Policy" is articulated with Competition Law, but if authorities and judges do not blame companies for their power, they do not rely on it. To do this, they must then be supported by Compliance Law, which strongly encourages companies to act for the effectiveness and the promotion of Competition principles. Competition Law thus slips from the Ex Post to the Ex Ante, with the commitments of companies leading them to stop being passive and punished in order to become convinced players and educators of the others. Something pleasant for a great professor of Competition Law, to whom tribute is paid here. - 🔓read the Working Paper below⤵ -  🌐follow Marie-Anne Frison-Roche on LinkedIn  🌐follow Marie-Anne Frison-Roche on Instagram 🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

► Full Reference: Frison-Roche, M.-A., Duty of Vigilance, Whistleblowing and International Competitiveness, Working Paper, September 2021. -   🎤 this Working Paper is the basis for a conference , in the colloquium Effectiveness of Compliance and International Competitiveness, co-organised  by the Journal of Regulation & Compliance (JoRC) and the Center for Law and Economics of the Panthéon-Assas University (Paris II),   November 4, 2021 - 📝this Working Paper is also the basis for an article. This article is to be published ⤵ in its French version in the book 📕Les buts monumentaux de la Compliance, in the series 📚Régulations & Compliance  in its English version in the book 📘Compliance Monumental Goals, in the series la collection 📚Compliance & Regulation - ► Working Paper Summary: The "Compliance Tools" are very diverse. If it has been chosen to study more particularly among these the obligation of vigilance and the whistleblower, these rather than others and to study them together, it is because they present in the perspective of the specific topic chosen, namely "international competitiveness", and for companies, and for economic zones considered, and for legal system inseparable from them, a uniqueness: these are mechanisms which release Information.  By order of the law, the company will not only stop ignoring what it covered with the handkerchief that Tartuffe held out to it or that a conception of Company Law legitimately allowed it to ignore. This article does not examine if this revolution made by Compliance Law expresses in the legal system is on the one hand legitimate and on the other hand effective: the article measures what is happening at the regard to "international competitiveness". Compliance Law is therefore be examined here through its instruments, and not in relation to its normativity. In fact, its instruments are intended to provide Information and to make this information available, in its presentation, in its intelligibility and in the hands of those who are able to use Information in perspective of the Compliance Monumental Goals, achieving them.  Regarding this central notion of Information, international competitiveness will be more particularly concerned because Compliance Law will oblige the company itself to seek out, then expose to everyone's eyes, in particular its competitors, its weaknesses, its projects, its alliances, its flaws. This does not pose a problem if its competitors themselves are often subject to this new branch of Law, which goes far beyond transparency, which is already a new mechanism because a company is not a transparent organization and Competition Law that governs ordinary businesses never required this. But if they are not subject to this incredibly special branch of Law that is Compliance Law, then there is a distortion of competitiveness by the very fact of the Law. It is possible to pretend that the markets like virtue, that they give it credit because they are themselves based on the idea of "promise", which is ultimately based on a moral concept, but this provision of Information to others, while others remain opaque, is a major problem of competitiveness, which the legal requirement of "loyal commercial practices" only very partially considers. Therefore, it is necessary to first examine what is the economic and financial power of the information captured by the company on itself thank to Compliance Law making available to all but firstly to the compagny itself through the whistblowing mechanism, organised by the laws, differently in the US and Europe (I). Compliance Law also obliges companies to be accountable not only for what they do but also for what others do for them. Through the obligation of Vigilance, objective Ex Ante obligation and duty, the company obtains a power of Information on others which could well resolve what is often presented as the dispute aporetic of the extraterritoriality of Compliance Law, thus making accountable companies hitherto protected by their "preserved" legal system and thereby affected by the effectiveness of Compliance Law (II). - read below the developments

► Full Reference: M.-A. Frison-Roche, The Hypothesis of the category of Systemic Cases brought before the Judge, Working Paper, October 2021 and April 2022. - ► This working paper has served as the basis for an introductory speech 🎤L'hypothèse de la catégorie des causes systémiques (The Hypothesis of the cateory of Systemic Cases), in a more general conference which I coordinated and moderated, 🧱L'office du juge et les causes systémiques, which is part of a general cycle covering Penser l'office du juge, specific conference attending the 9th May 2002 into the Grand Chamber of the Cour de cassation.   This Working Paper was drawn up in October 2021 to build the conference on the assumption that among the diversity of "cases" brought to the courts by litigants, some constitute a specific category: "systemic cases", justifying treatment that is both specific (in that they are systemic, calling in particular for procedural solutions common to all and distinguishable from the treatment of non-systemic cases) and common treatment beyond the diversity of judges who deal with them (judicial and administrative judges, criminal and non-criminal judges, French and non-French judges, judges of the member-States legal orders and European Union judges, etc.).  This working paper does not aim to deal with the whole subject, i.e. both to determine this category of "systemic causes" and the consequences that must be drawn from it for the judge's office, since that is the very purpose of the conference, which is built around several presentations: it aims to deal with the first part of the subject, i.e. the very existence of this new processual category, which is "systemic causes", leaving for other work the practical consequences to be drawn from it in the processual treatment that it calls for. - 📝This Working Paper is also the basis of a forthcoming article - ► Summary of the Working Paper: xx - Read below the developments⤵️ - 🌐follow Marie-Anne Frison-Roche on LinkedIn 🌐follow Marie-Anne Frison-Roche on Instagram 🌐subscribe to the Newsletter MAFR. Regulation, Compliance, Law

Full Reference: Frison-Roche, M.-A., Notes pour une synthèse sur le vif pour le colloque "Les Buts Monumentaux de la Compliance : radioscopie d'une notion" (Notes for an on the fly synthesis for the Colloquium "The Compliance Monumental Goals: Radioscopy for a Notion"), September 16, 2021.  -   ► Read the general programme of the Colloquium Compliance Law Monumental Goals ► Read the  presentation of the synthesis Report, notably its Summary.  - ► Methodology: The topic is not treated in a strictly personal point of view, as it will be in the book on The Compliance Monumental Goals, in an article devoted to "Defining Compliance Monumental Goals  and their branch of Law", more personal article. It will be even more clearly the expression of a personal vision of the definition of what is "Compliance" and what is "Compliance Law", with in particular the distinctions that should be done, in particular with "conformity" because these are these "Monumental Goals", a notion proposed in 2016  which makes it possible to distinguish the procedural notion of "conformity" (just obey) and the substantive notion of "Compliance Law". This article will include the multiple academic and technical references that should be done to do this.  But in the time allotted in a day's collloquium and because the purpose of a synthesis is to highlight on the spot what was common in the contributions heard, the document is based only on the different speechs made and is not enriched with technical references, nor does it refer to personal works. -   🔻read below the notes exhaustely taken

► Full Reference: M.-A. Frison-Roche, Ex Ante Responsibility, Working Paper, December 2021. - 📝This Working Paper has been the basis for an article written in French, "La responsabilité Ex Ante", published in the Archives de Philosophie du droit (APD), in the book 📗La Responsabilité (2022). - ►  Working Paper Summary: Quel est le temps auquel s'articule la responsabilité ? La question est si classique que toutes les réponses ont été dessinées : si l'on est responsable plus aisément par rapport au temps, car l'on peut alors plus aisément faire un lien entre la situation appréhendée, sa réalisation dans le passé la rendant plus facilement connaissable, et le poids de "responsabilité" que l'on impute sur une personne, l'on peut articuler la responsabilité avec le futur. Si l'on brise le poids de cette responsabilité avec un évènement ou une situation, par exemple. Le Principe Responsabilité de Jonas ou l'Ethique de la Responsabilité font ainsi voyager la Responsabilité dans le temps, par un rapport entre le Droit et l'Ethique.  D'ailleurs l'on pourrait soutenir que le Droit peut faire ce qu'il veut et imputer une responsabilité à quiconque pour le temps qu'il désigne, par exemple désigne comme porteur d'une responsabilité, c'est-à-dire d'un poids, celui qu'il veut. Le "responsable" serait alors le titulaire d'une sorte de "poids pur", qui le charge parce que le Droit l'a voulu pour le temps qu'il veut, par exemple un devoir d'agir pour que le futur soit dessiné comme le veut le Droit, alors même que le Responsable n'a rien à se reprocher dans le passé.  Mais les Cours constitutionnelle défendent un rapport minimal entre la Responsabilité et le poids que celle-ci fait porter une personne, fut-t-elle morale, gardant ainsi le lien consubstantiel entre le Droit et la Morale, la technique juridique de la Responsabilité ne pouvant équivaloir à celle d'un prélèvement obligatoire. Ainsi l'idée d'une Responsabilité Ex Ante est simple dans son principe (I). Elle est celle d'un poids juridiquement posé sur une personne soit par elle-même (engagement), soit par la Loi ou par le Juge sur une personne de faire quelque chose pour que n'advienne pas quelque chose qui adviendrait ou pour qu'advienne quelque chose qui n'adviendrait pas si elle ne le faisait pas. Mais les conditions juridiques pour admettre un tel poids alors même que le lien avec une situation passée serait brisé est plus difficile (II). On continue certes continuer à voir dans le futur le passé, ce qui facilite le voyage dans le temps, et fonda par exemple le contrôle Ex Ante du contrôle des concentrations. Mais l'on peut se briser même de cette facilité et regarder non plus le rapport entre le passé et le futur, mais le présent et le futur : ce que l'on sait déjà aujourd'hui du futur, ce qui met en jeu le rapport entre le Droit et la Science ; ce que l'on observe de l'emprise de la personne présente sur le moment présent, c'est-à-dire le Pouvoir, ce qui fait en jeu le rapport entre le Droit et l'Economie politique. Dans cette dimension-là, la contrainte de la Responsabilité Ex Ante est alors maniée par le Juge, dont l'office lui-même devient un office Ex Ante. Les pouvoirs obligés Ex Ante par une telle responsabilité maniée par le Juge étaient les personnes en situation de pouvoir, sont non seulement les entreprises, mais encore les Etats, qui perdent le privilège – partagé avec les contractants – de disposer juridiquement du futur, et notamment en leur sein le Législateur.  Une telle révolution, qui se déroule sous nos yeux, s'explique parce qu'il faut agir maintenant pour que le futur ne soit pas catastrophique. La science nous informe qu'il le sera entéléchiquement. Il est donc juridiquement requis de désigner des responsables, non pas parce qu'ils auraient fait quelque chose, la dimension Ex Post n'étant pas le sujet, mais pour qu'ils fassent quelque chose, la Responsabilité Ex Ante étant un élément central de cette nouvelle branche du Droit qu'est le Droit de la Compliance.   

🌐follow Marie-Anne Frison-Roche on LinkedIn 🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law  - ► Full Reference: M.-A. Frison-Roche, Monumental Goals, beating heart of Compliance Law, Working Paper, August 2021 - 📝This Working Paper is the basis for the article, "Les buts monumentaux, cœur battant du droit de la compliance", constituting the introduction ⤵ 📕in its French version, of the book Les buts monumentaux de la Compliance, in  the Series 📚Régulations & Compliance  📘in its English version, of the book, Compliance Monumental Goals, in the Series 📚Compliance & Regulation - ► Summary of the Working Paper: Compliance Law can be defined as the set of processes requiring companies to show that they comply with all the regulations that apply to them. It is also possible to  define this branch of Law by a normative heart: the "Monumental Goals". These explain the technical new legal solutions, thus made them clearer, accessible and anticipable. This definition is also based on a bet, that of caring for others that human beings can have in common, a universality.  Through the Monumental Goals, appears a definition of Compliance Law that is new, original, and specific. This new term "Compliance", even in non-English vocabulary, in fact designates a new ambition: that a systemic catastrophe shall not be repeated in the future. This Monumental Goal was designed by History, which gives it a different dimension in the United States and in Europe. But the heart is common in the West, because it is always about detecting and preventing what could produce a future systemic catastrophe, which falls under "negative monumental goals", even to act so that the future is positively different ("positive monumental goals"), the whole being articulated in the notion of "concern for others", the Monumental Goals thus unifying Compliance Law. In this, they reveal and reinforce the always systemic nature of Compliance Law, as management of systemic risks and extension of Regulation Law, outside of any sector, which makes solutions available for non-sector spaces, in particular digital space. Because wanting to prevent the future (preventing evil from happening; making good happen) is by nature political, Compliance Law by nature concretizes ambitions of a political nature, in particular in its positive monumental goals, notably effective equality between human beings, including geographically distant or future human beings. The practical consequences of this definition of Compliance Law by Monumental Goals are immense. A contrario, this makes it possible to avoid the excesses of a "conformity law" aimed at the effectiveness of all applicable regulations, a very dangerous perspective. This makes it possible to select effective Compliance Tools with regard to these goals, to grasp the spirit of the material without being locked into its flow of letters. This leads to not dissociating the power required of companies and the permanent supervision that the public authorities must exercise over them. We can therefore expect a lot from such a definition of Compliance Law by its Monumental Goals. It engenders an alliance between the Political Power, legitimate to enact the Monumental Goals, and the crucial operators, in a position to concretize them and appointed because they are able to do so. It makes it possible to find global legal solutions for global systemic difficulties that are a priori insurmountable, particularly in climate matters and for the effective protection of people in the now digital world in which we live. It expresses values that can unite human beings. In this, Compliance Law built on Monumental Goals is also a bet. Even if the requirement of "conformity" is articulated with this present conception of what Compliance Law is, this conception based on Monumental Law is based on the human ability to be free, while conformity law supposes more the human ability to obey. Therefore Compliance Law, defined by the Monumental Goals, is essential for our future, while conformity law is not. - Read the developments below⤵️

► Full Reference: Frison-Roche, M.-A, Reinforce the judge and the lawyer to impose Compliance Law as a characteristic of the Rule of Law, Working Paper, August 2021. - 🎤 this working document has been made to prepare some elements of the opening intervention in the symposium Quels juges pour la Compliance) ? (Which judges for Compliance?), co-organized by the Journal of Regulation & Compliance and the Institut Droit Dauphine, held at the Paris Dauphine University on September 23, 2021, constituting the first part of the intervention. - 📝it has been also the basis for an article:  📕 published in its French version in the book La juridictionnalisation de la Compliance, in the collection📚Régulations & Compliance  📘published in its English version in the book Compliance Jurisdictionalisation, in the collection 📚Compliance & Regulation - ► Summary of the Working Paper: One can understand that the compliance mechanisms are presented with hostility because they seem designed to keep the judge away, whereas there is no Rule of Law without a judge. Solid arguments present compliance techniques as converging towards the uselessness of the judge (I). Certainly, we come across magistrates, and of all kinds, and powerful ones, but that would be a sign of imperfection: its ex-ante logic has been deployed in all its effectiveness, the judge would no longer be required… And the lawyer would disappear so with him… This perspective of a world without a judge, without a lawyer and ultimately without Law, where algorithms could organize through multiple processes in Ex Ante the obedience of everyone, the "conformity" of all our behaviors with all the regulatory mass that is applicable to us, supposes that this new branch of Law would be defined as the concentration of processes which gives full effectiveness to all the rules, regardless of their content. But supposing that this engineer's dream is even achievable, it is not possible in a democratic and free world to do without judges and lawyers. Therefore, it is imperative to recognize their contributions to Compliance Law, related and invaluable contributions (II). First of all, because a pure Ex Ante never existed and even in the time of the Chinese legists¹ L’empire chinois n’a semble-t-il jamais apprécié les juges, ne leur faisant place que sous la forme de serviteurs purs de l’Etat, qu’ils soient des enquêteurs, des punisseurs et de gardiens de l’ordre public. Sur cet aspect du Droit chinois, v. … ; sur cette période particulièrement sanglante des légistes, où le principe de « certitude » de la législation a été portée à ses nues, v. …, people were still needed to interpret the regulations because a legal order must always be interpreted Ex Post by who must in any case answer the questions posed by the subjects of law, as soon as the political system admits to attributing to them the right to make claims before the Judge. Secondly the Attorney, whose office, although articulated with the Judge's office, is distinct from the latter, both more restricted and broader since he must appear in all cases where the judicial figure puts himself in square, outside the courts. However, Compliance Law has multiplied this since not only, extending Regulatory Law, it entrusts numerous powers to the administrative authorities, but it also transforms companies into judges, in respect of which the attorneys must deal with. Even more so, Compliance Law only takes its sense from its Monumental Goals²🕴️Frison-Roche, M.-A. (ed.), 📘​Compliance Monumental Goals, 2022.. It is in this that this branch of the Law preserves the freedom of human beings, in the digital space where the techniques of compliance protect them from the power of companies by the way that the Compliance Law forces these companies to use their power to protect people. However, firstly, it is the Judges who, in their diversity³The topic of this study is general. For a more analytical perspective, s.. 🕴️Frison-Roche, M.-A., « The function of the Judge in Compliance Law », in 🕴️Frison-Roche, M.A. (ed.), 📘Compliance Jurisdictionalisation, 2023. , impose as a reference the protection of human beings, either as a limit to the power of compliance tools⁴🕴️Frison-Roche, M.-A. (ed.), 📘Compliance Tools, 2021.  or as their very purpose. Secondly, the Attorney, again distinguishing himself from the Judge, if necessary, reminds us that all the parties whose interests are involved must be taken into consideration. In an ever more flexible, soft and dialogical Law, everyone presenting himself as the "advocate" of such and such a monumental goal: the Attorney is legitimate to be the first to occupy this place. - 🔓read the Working Paper developments below⤵️

►Full reference: Frison-Roche, M.-A., Definition of Principe of Proportionality  and  definition of Compliance Law,  Working Paper, July  2021. -   🎤 this Working Paper is the basis for a conference in the colloquium Compliance and Proportionality. From the control of Proportionality to the proportionality of the control, to be helded in Toulouse, France, on the 14th October 2021.   📝It constitutes the basis for an article:  📕 this article will be published in its French version in the book  Les buts monumentaux de la Compliance, in the Series    Régulations & Compliance  📘  in its English version in the book Compliance Monumental Goals, in the Series    Compliance & Regulation - ► Working Paper Summary: Measuring the relationship between the Principle of Proportionality and Compliance Law depends entirely on the Definition chosen for Compliance Law. Let us first take the definition of Compliance Law as a simple "mode of effectiveness" of the rules to which we hold (I). The more we stick to this procedural definition of Compliance Law as a mode of effectiveness of the rules, the less it is easy to detect specificities in the application of the Principle of proportionality in compliance mechanisms. There are certainly many examples of the application of the principle of proportionality, but the addition and variety of examples are not enough to sculpt an original relationship between Proportionality and Compliance.   However, this exercise is not wasted. In fact, in the confusion which still marks the emergence of Compliance Law, the legal nature of the compliance mechanisms remains contested. However, the imposition of Proportionality, not only as it is an obligation but as a limitation of powers in this first definition focusing on Efficiency, recalls that Compliance, conceived as " process ", would then in any case be admissible at the very least as a" Procedure ", anchored in the Rule of Law Principle, therefore self-limititation expression.   But Proportionality is then like a cold shower in compliance, since it is defined by self-limitation in a Law which would be defined by effectiveness as its only definition…  Ineffectiveness In Efficiency…: it is no longer a relation, it is then an opposition which is established between the two terms … In this definition of Compliance Law, there is no other choice than to put process in this sort of  squaring circle because in this procedural Compliance Definition, as a method of effectiveness, of effectiveness and efficiency of the rules estimated more important more than others, it must however be admitted that Compliance Law, as any branch of the Law, without denying its very legal nature, must be anchored in the Rule of Law Principle. By the principle of proportionality, this new branch of Law is forced to anchor classic solutions from Constitutional, Public or Criminal Law,  the Principle of Proportionality prohibiting the Compliance of be just a process. The Repression  Law  has a large part in this conception and the Proportionality Principle reminds it of the part that Criminal Law still takes (with difficulty and for the moment …) in the admission of ineffectiveness that the Law demands, particularly in the face of Compliance technologies. In this first definition, the Proportionality Principle thus reminds Compliance, entirely held in the idea of ​​Efficiency that it is a "Law" of Compliance" and anchored in the Rule of Law Principle, it must limit its Effectiveness . It is therefore a kind of "price" that these techniques pay, with regret …, to the Rule of Law and in particular to the freedoms of human beings. There is a strong temptation not to want to pay this price. For example by affirming that there is a new technological world, which the new system, entirely in algorithms, will promote in a move away from the Law, rejected towards the Old World. Frequently proposed, or set up for instance in China. Others say that we must "do the balance". But when you balance Efficiency performance and Efficiency self-limitation, you know very well who will win …   But why not look rather on the side of a Definition of Compliance Law where, on the contrary, the two concepts, instead of opposing each other, support each other!   Indeed, Compliance Law is then defined as an extension of Regulatory Law as a set of rules, institutions, principles, methods and decisions taking their meaning and normativity for specific Goals. . In this definition, which is both specific and substantial, these "Monumental Goals" are systemic and require that all means be mobilized for them to be achieved. Future and negative in nature (events that must not happen) but also future and positive in nature (events that must occur), Compliance Law does not apply to all the rules whose  effectiveness required, but this specific type of "Monumental Goals", in an alliance between the political authorities in charge of the future of human groups and the entities in a position to mobilize its means. The method is then different. It is no longer a question of entrenching and the prospect of repression fades into the background. A reversal occurs. Proportionality ceases to be what limits Efficiency to become what increases Efficiency. As soon as Goals have be precised, Proportionality is not the consequence of the limitation (as in the principle of "necessity" of Criminal Law, insofar as the latter is an exception), it is the consequence of the fact that any legal mechanism is a "Compliance Tool", which only has meaning in relation to a "Monumental Goal". It is therefore essential to set the "Goal Monumental Goals". As this is where the legal normativity of Compliance is housed, the control must first and foremost relate to that. Then all the Compliance Tools must adjust in a "proportionate way", that is to say effective to its goals: as much as it is necessary, not more than it is necessary. According to the principle of economy (which is also called the "principle of elegance" in mathematics). In consequence, the rule contrary to the Principle of Proportionality is: the rule useless to achieve the goal. The unnecessary rule is the disproportionate rule: this is how the judicial review of excessive sanctions should be understood, not by the notion of "the limit" but not by the notion of "the unnecessary". Everything then depends on the legal quality of the goal. De jure – and this would deserve to be a requirement at constitutional level, the goal must always be clear, understandable, non-contradictory, attainable. This increases the office of the Judge. This renews the power of the Legislator in a conception which ceases to be discretionary. But the Legislator retains the prerogative of determining the Monumental Goals, while the Judge controls the quality of the formulation that he makes of them, in order to be able to measure the proportionality of the means which are put in front by the State and the Companies, while Companies can rally to the Monumental Goals of the Politics by making an alliance with them, but certainly not instituting others in an autonomous way because they are not normative political entities, whereas they are free to determine the means necessary to achieve these goals, the Judge controlling the proportionality mechanism that makes this new system work. The case law of the German Constitutional Court expresses this conception. It is fully consistent with what Compliance Law is in what is the one Monumental Goal containing all the systemic Monumental Goals: the protection of the human being. -  

► Full reference: Frison-Roche, M.-A., Notes taken for the summary report of the colloquium of Droit et Commerce, La concurrence dans tous ses états ("Competition in all its states"), June 26, 2021. This text is the translation of the notes taken in French (this colloquium was in French. - Notes' Summary: The opinions around the "Competition in all its states" highlighted the choices available for what could be this branch of Law tomorrow: choice of a political nature between various possible definitions of Competition Law.  In method, the main thing is that this definition be clear. For this, this definition must be based on a principle and that the goal pursued by competition law is simple, so that in a second step, competition law can be easily articulated on the one hand with other branches of law. (by the care of the judge, in particular), on the other hand with "policies", such as "competition policy", then other policies (by the care of political authorities, especially European). In essence, two conceptions of principle are opposed: either Competition Law will want to appropriate the goals of other branches, such as those of Regulatory and Compliance Law, or Competition Law will have the modesty to remain anchored in its definition as Market Law. This is the crossroads where we are. -   ► Method: Because of the richness and diversity of the comments made, in order to keep to the time limit, some passages have not been repeated orally. Because it is a synthesis, the document is only based on what was said and does not include technical references, nor does it refer to personal work.   ► Articulation  of the notes taken while listening to the different interventions of the successive speakers: During two days, listening to all the interventions on "Competition Law in all its states" has brought out the choices that are offered for what could be tomorrow this branch of law: they are choices of a political nature between various possible definitions of what should be Competition Law. The most important thing is undoubtedly that this definition be clear; in order to be clear, it must be based on principle and the goal pursued by Competition Law must be simple, in order to be articulated with other branches of law (by the judge, in particular), and with "policies", such as "competition policy", and then other policies (by political authorities, in particular European ones). The speakers proposed various, even opposing conceptions of what Competition Law should be, but all agreed on the fact that it has suffered many shocks and that, without a doubt, its recovery requires a common "culture" of Competition. The evolution has attacked the very pillars of Competition Law in order to better reconstruct it by moving it from a mainly Ex Post perspective to a mainly Ex Ante perspective, by giving relevance to the objects themselves, notably to data, by taking into consideration human beings. The evolution can take place by internalizing the perspectives of Regulation and Compliance in a Competition Law that becomes hypertrophied and political, which raises the question of the legitimacy of this "holistic" conception; it can also take place by a Competition Law that remains "self-centered" on its technical notions of market, price, etc., but articulates with the other branches of Law, economic or not. This is a political choice It is in the hands not only of the States and the Parliaments, particularly with regard to the digital space, but also, and above all, in the hands of the supreme courts, a category to which the Court of Justice of the European Union belongs and to which everyone has constantly referred. Read the notes below in full

Full Reference: Frison-Roche, M.-A., The Judge-Judge ; articulating words and things in the face of the challenging conflict of interest born by Compliance Law, Working Paper, June 22, 2022. -   🎤 This Working Paper had been made to prepare a conference (done in French). This conference took place in the Academic Colloquium, L'entreprise instituée Procureur et Juge d'elle-même par le Droit de la Compliance, in Lyon, the 23rd  June 2021. - 📝this Working Paper is the basis of an article to be published  📕 in its French version in the book La juridictionnalisation de la Compliance, in the Series  Régulations & Compliance 📘 in its English version in the book  Compliance Juridictionnalisation, in the Series  Compliance & Regulation -   ► Working Paper Summary: Puisque le thème de cette réflexion générale sur L'entreprise instituée Juge et Procureur d'elle-même par le Droit de la Compliance porte sur un ensemble d'autres réflexions soucieuses de l’ajustement des mots et des choses, la façon dont le rapport entre les uns et les autres évoluent, ce travail va porter sur la question de savoir si cette évolution est radicale ou pas, lorsqu'on parle de "juge". Car, "juger" c'est un mot que le Droit a disputé à d'autres discipline¹Archives de Philosophie du Droit, Le jugement, ... Kant, etc.s, mais qu'il s'est approprié pour non pas tant avoir davantage de pouvoirs, par exemple celui de surveiller et de punir, mais au contraire s'imposer des limites, puisqu'à celui qui juge il a mis aux pieds les chaines de la procédure, ce qui rend supportable pour l'autre un tel pouvoir exercé²La procédure est ainsi ce qui fonde le procès de Nuremberg, lui-même berceau de la Justice internationale, alors même que l'Ordre juridique international n'existe pas. . C'est pourquoi ceux qui veulent le pouvoir de juger voudraient souvent n'en avoir pas le titre, car avoir de jure  le titre de juge c'est être soumis au régime corrélé, c'est se soumettre à l'exactitude procédurale. Le Droit repère qui juge et oblige ce si-puissant à la procédure. Mais il a aussi le pouvoir d'instituer juge et tous les personnages du procès. Il le fait d'ordinaire avec clarté en distinguant les uns des choses. C'est si important que ce conseil a valeur constitutionnelle. Ainsi, non seulement celui qui juge doit être nommé ainsi mais l'appareillage procédurale qui va avec le personnage et qui constitue à la façon une façon de faire et des droits fondamentaux, ne sont pas "concédés" par bonté ou dans un second temps : c'est un bloc. Si l'on ne voulait pas avoir à supporter les droits processuels, il ne fallait vouloir être juge. Certes on pu en conclure que la procédure serait donc devenue "substantielle" ; par cette élévation, il s'agit plutôt de dire que la procédure ne serait plus une "matière servante": c'est une sorte de déclaration d'amour pour la procédure, tant qu'on affirme qu'à l'acte de juger, d'enquêter ou de poursuivre, sont "naturellement" attachées les droits pour celui qui risque d'en être l'objet. Le Droit de la Compliance, à la recherche d'alliés pour atteindre les Buts Monumentaux pour l'atteinte desquels il a été institué, va requérir, voire exiger d'entreprises privées qu'elle aillent elles-mêmes rechercher, c'est-à-dire enquêter, des faits susceptibles de lui être reprochés. Le Droit de la Compliance va aussi exiger qu'elles poursuivent les personnes ayant commis ces faits. Il va encore exiger qu'elles sanctionnent les faits que des personnes ont commis en son nom. On le comprend bien du point de vue de l'efficacité Ex Ante. La confusion est souvent très efficace. Par exemple il est plus efficace que celui qui poursuit soit aussi celui qui instruise et qui juge, puisqu'il connait bien le dossier. D'ailleurs il est plus efficace qu'il prenne aussi les règles, ainsi il connait mieux que quiconque "l'esprit" des textes. Cela fut souvent souligné en Droit de la Régulation.  Mais tout cela ne va pas de soi. Pour deux raisons, l'une extérieur et l'autre intérieure.  La première raison, extérieure, tient que l'on ne pourrait pas "nommer" juge qui ne l'est pas. Cela serait trop facile, car il suffirait alors de désigner quiconque, voire de le faire soi-même pour s'approprier le régime qui va avec, pouvoir notamment d'obtenir qu'autrui obéisse alors même qu'il n'est pas subordonné ou qu'il transmette des informations, alors même qu'il serait concurrent : il faudrait alors rappeler seul le juge pourrait se nommer juge ! et dans ce temps nouveau, voilà que des entreprises seraient juges, procureurs, enquêteurs ! Les temps seraient donc si graves et en si grand désordre qu'il faudrait en revenir à cette tautologie là… ³Confucius affirmait que la seule mais suffisante façon de rappeler l'ordre dans le Royaume est de nommer "mère" la mère et "fils" le fils. Mais sommes-nous dans une telle radicalité ? D'ailleurs, les juges ont-ils "l'apanage" du jugement et le Droit n'admet-il pas cela depuis longtemps ? Dès l'instant que la procédure est là en Ex Ante et le contrôle du juge en Ex Post ?   La seconde raison, interne à l'entreprise, tient à ce que l'entreprise enquête sur elle-même, se juge elle-même, se sanctionne elle-même. Or, la personne morale n'exprimant sa volonté qu'à travers soit ses organes, l'on souligne en pratique les difficultés pour un même être humain de formuler des griefs, en tant qu'il est le mandataire de la personne morale, à la personne physique qu'il est lui-même. Les deux intérêts des deux ne sont pas les mêmes, sont souvent opposés, et comment les secrets de l'un peuvent être tenus à l'égard de l'autre. C'est tout le mystère, voire l'artifice de la personnalité morale qui apparaît et l'on comprend mieux que le Droit de la Compliance ne veut plus utiliser cette notion étrange. Car toues les règles de procédure ne peuvent masquer que se poursuivre soi-même n'a pas plus de sens que de contracter avec soi-même. Ce conflit d'intérêts est impossible à résoudre car nommer un même individu x puis le nommer y, en déclarant ouverte la dispute entre eux n'a pas de sens.  Ce dualisme impossible à admettre dès l'instant qu'il s'agit de faire jouer ces fonctions à l'égard des mandataires sociaux peut retrouver vie en instituant des tiers de confiance qui vont porter les secrets et les oppositions.  Par exemple par la désignation de deux avocats distincts par l'être humain mandataire et l'être humain dirigeant, chaque avocat pouvant avoir des secrets l'un pour l'autre et s'opposer l'un à l'autre. Ces espaces de reconstitution des oppositions si "naturelles" en procédure entre celui qui juge et celui qui est jugé peuvent aussi avoir prendre la forme technologique des plateformes : là où il n'y a plus personne, là où le process a remplacé la procédure, il n'y a plus non plus de jugement humain. L'on mesure ainsi que la crainte des conflits d'intérêts est si forte que l'on se résigne à dire que seule la machine serait "impartiale", dérisoire conception de l'impartialité contre laquelle il convient de lutter. Cela permet alors d'aboutir à une dernière question : l'entreprise peut-elle prétendre exercer le pouvoir juridictionnel de poursuivre et de juger et d'enquêter sans même se prétendre ni procureur, ni juge d'instruction, ni tribunal ? L'avantage serait de pouvoir se soustraire au régime juridique que le Droit classique attache à ses mots-là, principalement les droits de la défense, les droits d'action et le principe de publicité de la justice.  Quand Facebook dit "réagir" à la décision du 5 mai 2021 adoptée par ce qui ne serait qu'un Oversight Board pour décider pourtant "en conséquence" une suspension de 2 ans du compte de Donald Trump, l'art des qualifications semble être utilisé afin d'éviter toute contrainte de régime.  Mais cet art de l'euphémisme est bien ancien. Ainsi les Etats, lorsqu'ils voulurent accroître la répression, présentèrent la transformation du système comme un adoucissement de celui-ci à travers la "dépénalisation" du Droit économique, transféré des tribunaux correctionnels aux AAI. L'efficacité en fût grandement accrue, puisque les garanties de la procédure pénales ont cessé de s'appliquer. Mais 20 ans plus tard, les mots retrouvèrent leur chemin vers les choses : sous le Droit pénal, dormait la "matière pénale", qui requière la même "impartialité". Un juge un jour l'affirma et tout fut changé. Attendons donc ce qu'en diront les Cours, puisqu'elles sont les maîtres des qualifications, comme le dit l'article 12 du Code de procédure civil, qu'écrivit Motulsky. 

Full Reference: Frison-Roche, M.-A. Place and Role of Companies in the Creation and Effectiveness of Compliance Law in Crisis, Working Paper, May 2021.  -   This Working Paper has been elaborated as basis for a conference in the colloquium of Mai 17, 2021 (done in French: Normes publiques et Compliance en temps de crise : les buts monumentaux à l'épreuve. This video is made with English substitutes.  It is also the basis for an article in the book Compliance Monumental Goals, the English version of which is co-published by the Journal of Regulation & Compliance (JoRC) and Bruylant. Summary: This article has a very topic: the place of private Companies, with regard to the chapter's issue: "the ordeal of a crisis". The crisis constitutes a "test", that is to say, it brings evidence. Let us take it as such. Indeed, during the health crisis, it appears that Companies have helped the Public Authorities to resist the shock, to endure and to get out of the Crisis. They did so by force, but they also took initiatives in this direction. From this too, we must learn lessons for the next crisis that will come. It is possible that this has already started in the form of another global and systemic crisis: the environmental crisis. In view of what we have been able to observe and the evolution of the Law, of the standards adopted by the Authorities but also by the new case law, what can we expect from Companies in the face of this next Crisis, willingly and strength    Lire ci-dessous les développements.