Resources

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

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

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

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

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

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

Full reference : Guillaume, N., Compliance risk mapping: first insights of challenges, limits and good practices, in Frison-Roche, M.-A. (ed.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 73-80.   Read a general presentation of the book in which this article was published -   Summary of the article (by Marie-Anne Frison-Roche) The author gives an overview of what is risk mapping for a company, not only an obligation in certain cases, such as corruption, but also and beyond an excellent tool to design and control its strategy. He shows that this is due to the fact that legislation now incorporates the risk-based approach, companies having to use these maps, sometimes demanding to put them at the service of an overall strategy, even if their handling may lead to initiating responsibility of the company and its managers. The author emphasizes that the maps are very diverse because their objectives are themselves different, their users also being different (which implies different insights into the same risks). The author therefore identifies principles common to all maps, which always assess risks according to their probability of occurrence and the severity of their consequences if they materialize. It is also necessary to apprehend the "gross risk", seized in the absolute, and the "net risk" which integrates the company itself in this apprehension of the probability and the gravity, then release an acceptable level of risks for the company. On these common principles are superimposed specificities relating to the various risks, the author taking more particularly the risk of corruption, since Compliance Law gives it a great place. The mapping that is specific to the specific risk then becomes finer to be relevant, while the criteria used here will be abandoned in another mapping. The way of proceeding becomes common again, involving the commitment of the company's management bodies, internal surveys and interviews, benchmarks. If the company thus deploys the art of risk mapping, then they cease to be only a requirement of Law to which the company must comply in order to be a central tool in the overall risk prevention system and strategy design, feeding codes of conduct, design of training and supervision, to finally deploy in the company a "risk culture", which is essential.   -

Full reference : Galland, M., The Regulator's Inspection of the Effectiveness of the Compliance Tools Implemented by the Company, in Frison-Roche, M.-A. (ed.), Compliance Tools, serie "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 211-224.   Read a general presentation of the book in which the article has been published.    - Summary of the article (done by Marie-Anne Frison-Roche) The author underlines the complexity of the measure of the effectivity of compliance tools because the measure of the risks cannot be mechanical, the exercise is a cost whose the advantage does not appear immediately, the essential is in the behaviors that the firm masters with difficulty while these are results that are evaluated, because Compliance tools must be effective and produce tangible results.  To do that, the regulator intervenes in Ex Ante in order to the applicable texts are understandable by the firm and in order to the tool is working. When a noncompliance occurs, the regulator must beyond the sanction build on this measure of ineffectiveness to lead operators to improve their systems. Thus, it is in terms of "Compliance effort" that the regulator's control works, especially through the observation of an "embodied exemplarity".    Read the summaries of the other articles of the book.    -

Full reference : Granier, C., The Normative originality of Compliance by Design, in Frison-Roche, M.-A. (ed.), Compliance Tools, serie "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 287-298.   Read a general presentation of the book in which the article has been published.    - Summary of the article by Marie-Anne Frison-Roche: The author develops the idea that Compliance by design represents a "normative originality", in that it aims, through a complex relationship between the obligatory and the voluntary, to ensure the effectiveness of the "primary standards" contained in the "monumental goals" set by public authorities. The normativity of Compliance by design is original because these processes are situated since the implementation of technical processes, what is referred to by the expression "by design", which reinforces the Ex Ante dimension of Compliance Law, IT embedding this normativity in the structures themselves, by a marriage between technology and Compliance. It results from that an "automatized" application of the norm, integrated in an IT program, which for example blocks the access to some data if the user has nor correctly expressed his or her consent, chain of events mechanically caused by the effect of previous events (or non-events) (as in smart-contracts), a whole functioning in total Ex Ante, outside any feared state sanction perspective, the constraint being reinstated in technical aptitude. This primacy of the technique asks the question of the interpretation of norms thus incorporated, question that the authors let opened because it could lead to machines which interpret themselves the norms.  This automatized application is presented as more "efficient", essential quality in the Compliance atmosphere since like that the norm does not depend on private actors and can benefit from their technical power. But we measure now the author of secondary technical norms inserts itself norms that should be only at the first level, the firm integrating its own practices and values, Compliance by design being related to auto regulation.  Moreover, the author shows that in the conception of the norm, in its design, the question is to designate the author of the norm's integration in the algorithm and the modalities of the integration. The author being intern to the firm, this would constitute a privatization of the norm, since the norm, even secondary, cannot be totally deprived of value's integration, Compliance overwhelming the organization of Law sources. In a situation that the author calls an "unknown", except that "jurists-coders" appear, the lawyer is disqualified by its technical inability because it is about a technological integration, the transfer of the legal toward the algorithm, by the translation in a coding and then by the integration in the IT architecture of the firm, transforming the legal rules. For example, through the choice of the severity of the mechanical sanction chosen at the secondary level to give effectivity to an interdiction educated at the primary level. The author shows thus that this effectivity control of primary level norms, effectivity control that is implemented at the second level, directly impacts primary level norms. For example, deciding to ask the authorization, or the expression of a consent, or forbidding the access, when a content has been reproved by a primary level norm which does not precise the mode of control of this reprobation that Compliance by design must associate to it. But Compliance by design being not an auto regulation, public authorities control its implementation, as did the CNIL (French Data Regulator) for Androïd. This type of control will be developed.              Read the summaries of the other articles of the book.  -

Full reference : Banck, A., The maturity of the Compliance tool’s user, first criterion of the choice of the salient tool, in Frison-Roche, M.-A. (ed.), Compliance Tools, serie "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, pp. 225-228.   Read a general presentation of the book in which the article has been published.    - Summary of the article (written by Marie-Anne Frison-Roche) The author insists on the practical necessity for the firm to show immediately the documents attesting of the reality of Compliance mechanisms. IT tools helps companies to do that, but the crucial point is that everyone in the firm appropriates these tools.  To obtain it, it is necessary that the Compliance officer does not necessarily choose the tool which suits him or her best and pleases him or her the most but rather suits the one who will handle it, for example commercial teams on the ground, monitoring that the tool integrates the specificity of the sector and of the firm. The adjustment of the softwares must meet a maturity of its users in the firm, which must have a "culture of compliance" to take advantage of its tools. Thus more rudimental tools can be more efficient if the culture of Compliance is still weak, sophisticated tools could be unuseful if a prior minimum basis is not reach.  The author thus shows the link to be made between the maturity of the users and the technicality of the tools, the two having to progress together.   Read the summaries of the other articles of the book.    -

► Full Reference: J. Bonnet, "La crise, occasion de saisir la compliance comme mode de communication des autorités publiques", in M.-A. Frison-Roche (ed.), Les Buts Monumentaux de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2022, pp. 297-306. - 📕read a general presentation of the book, Les Buts Monumentaux de la Compliance, in which this article is published - ► Summary of the article (done par the Author): This article is about the crisis, as an opportunity to seize Compliance as a mode of Communication by Public Authorities. Based on the French case of the ban on cycling during the health crisis issued by a simple ministerial tweet, the analysis aims to broaden the reflection on the consequences of the intensive and precious use of communication tools by public authorities. Because of the consequences and above all the risks for the legitimacy of the State and the law, public authorities could draw inspiration from the spirit and methods of compliance in order to produce communication and action that are both more effective, clearer, more in accordance with the law, all without renouncing the flexibility of the communicational means and incentive actions. -

► Full reference: ECHR, 3rd sect., 11 May 2021, Halet c. Luxembourg, n° 21884/18. - ► Read the judgment - ► See the judgment of the Grand chamber of the 14th February 2023 which overrules this decision. -

► Full Reference: Th. Thouret, "Formation et Compliance, deux outils corrélés de transmission d'information" ("Training and Compliance, two correlated information transmission tools"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 245-254. - 📕read a general presentation of the book, Les outils de la Compliance, in which this article is published - ► Summary of the article (done by the Journal of Regulation & Compliance): The author is based on the fact that in general Compliance Law aims to circulate information and that training, by nature, is a process for transmitting information, to bring the two together. Insofar as Compliance Law internalizes in "crucial operators" the obligation to circulate information (within it, vis-à-vis its stakeholders and the authorities, but also between crucial operators) , it is therefore logical that they develop training programs, not in an adjacent way but in a main way, because of this identity. Indeed, training is a means of obtaining that information is "well received", that is to say understood, assimilated and used by its recipient for what it was transmitted. The regulatory and supervisory authorities therefore control the effectiveness of obtaining this effect. The author finally takes two examples, one of spontaneous adoption of a Compliance training program, operated by Total group, the other of forced adoption, operated by Johnson & Johnson group, to illustrate its general demonstration. -

► Full Reference : L. Pailler, "Les outils technologiques, la Compliance by design et le RGPD : la protection des données dès la conception" ("Technological tools, Compliance by design and GDPR: the protection of personal data from design"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, pp. 279-286. - 📕read a general presentation of the book, Les outils de la Compliance, in which this article is published - ► Summary of the article (done by the Journal of Regulation & Compliance): The author considers that the GDPR has changed the "paradigm" of data protection for the bearer in Compliance, in that the data controllers must ensure the effectiveness of the rules defined by the Regulation, which they make accounts. In addition, the data, processed by the algorithm, is a “means of compliance” described and is used for vigilance plans and all the other tools, this brick being common to all Compliance Law. To respect Law, and in particular to protect people, Compliance by design continues to integrate "compliance" from the design of its tools through standard techniques (Privacy Enhancing Technologies – Pet's), legalized by the GDPR. The author analyzes the technological means of data protection from the design of the tool, which complement Law and the contract. They are part of the "measures" required to protect people, for example transfers to third countries, these technological means being classified according to their degree of effectiveness. If the principle is free in the choice of technology, but Law requires and controls that it be not only effective but also robust, easy to use and compatible with the tools of use. The author emphasizes that the notion of "effectiveness" encompasses these particular requirements. This effectiveness, which must be proven a priori ("documented") is checked by the Authorities in the appropriateness of the measurement techniques, their effective implementation and their concrete effect. Even if this is only subject to the state of the art, it must develop its technical resources, helped by the authorities (cf. "compliance pack" of the CNIL (French data regulator)). Even if the powers were aimed at optimizing costs, he must bear them, the context and the purpose of the processing do not ultimately become proportional. So if the risk is very high for people, it will be necessary to insert techniques and protectors other than those of Compliance Law. -

► Full Reference: C. Granier, "L’originalité normative de la Compliance by design" ("The normative originality of Compliance by design"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 267-278. - 📕read a general presentation of the book, Les outils de la Compliance, in which this article is published - ► Summary of the article (done by the Journal of Regulation & Compliance): The author develops the idea that Compliance by design represents a "normative originality", in that it aims, through a complex relationship between the obligatory and the voluntary, to ensure the effectiveness of the "primary standards" contained in the "monumental goals" set by public authorities. The normativity of Compliance by design is original because these processes are situated since the implementation of technical processes, what is referred to by the expression "by design", which reinforces the Ex Ante dimension of Compliance Law, IT embedding this normativity in the structures themselves, by a marriage between technology and Compliance. It results from that an "automatized" application of the norm, integrated in an IT program, which for example blocks the access to some data if the user has nor correctly expressed his or her consent, chain of events mechanically caused by the effect of previous events (or non-events) (as in smart-contracts), a whole functioning in total Ex Ante, outside any feared state sanction perspective, the constraint being reinstated in technical aptitude. This primacy of the technique asks the question of the interpretation of norms thus incorporated, question that the authors let opened because it could lead to machines which interpret themselves the norms.  This automatized application is presented as more "efficient", essential quality in the Compliance atmosphere since like that the norm does not depend on private actors and can benefit from their technical power. But we measure now the author of secondary technical norms inserts itself norms that should be only at the first level, the firm integrating its own practices and values, Compliance by design being related to auto regulation.  Moreover, the author shows that in the conception of the norm, in its design, the question is to designate the author of the norm's integration in the algorithm and the modalities of the integration. The author being intern to the firm, this would constitute a privatization of the norm, since the norm, even secondary, cannot be totally deprived of value's integration, Compliance overwhelming the organization of Law sources. In a situation that the author calls an "unknown", except that "jurists-coders" appear, the lawyer is disqualified by its technical inability because it is about a technological integration, the transfer of the legal toward the algorithm, by the translation in a coding and then by the integration in the IT architecture of the firm, transforming the legal rules. For example, through the choice of the severity of the mechanical sanction chosen at the secondary level to give effectivity to an interdiction educated at the primary level. The author shows thus that this effectivity control of primary level norms, effectivity control that is implemented at the second level, directly impacts primary level norms. For example, deciding to ask the authorization, or the expression of a consent, or forbidding the access, when a content has been reproved by a primary level norm which does not precise the mode of control of this reprobation that Compliance by design must associate to it. But Compliance by design being not an auto regulation, public authorities control its implementation, as did the CNIL (French Data Regulator) for Androïd. This type of control will be developed.  -

► Full Reference : J.-B. Racine, "Propos introductifs. La prégnance géographique dans le choix et l'usage des outils de la Compliance" ("Introductory remarks. Geographical dominance in the choice of Compliance Tools"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 157-164. - 📕read a general presentation of the book, Les outils de la Compliance, in which this article is published - ► Summary of the article (done by the Journal of Regulation & Compliance): The author correlates Compliance Law and "Global Law" and underlines the balance of power that the former expresses, in particular on the part of the United States and even if it therefore "tends to become universal" , the particularities remain, if only in the implementation. Focusing more particularly on "Compliance Tools", a comparison is made between several contributions of the volume, to establish that, in a definitive and desirable way, the Compliance mechanisms include both a global dimension and a local dimension. -

► Full Reference: M. Larouer, "La manifestation des mécanismes incitatifs dans le Droit français de la Compliance" ("The Manifestation of Incentives Mechanisms in French Compliance Law"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 99-106. - 📕read a general presentation of the book, Les outils de la Compliance, in which this article is published - ► Summary of the article (done by the Journal of Regulation & Compliance): The author develops in the introduction the idea that Law itself accepts the notion of incentive as being consubstantial with it, relying in particular on codes of conduct. Then the article develops demonstrations of incentive Law as a tool of complicity, first of all in the fight against corruption: the decision of the Sanctions Commission of the Agency Française Anticorruption (French Anti-Corruption Agency) shows that the recommendations of this Agency encourage the company to comply, protecting it from a sanction if it submits to it but does not prevent it from organizing in any other way. In addition, the judgment of the Commercial Chamber of the Court de Cassation (cassation court) stated that the breach of a contractual obligation which is however only the resumption of a constraint lodged in a compliance program which targets a third party justifies the termination of the contract. . More generally, the author shows that the legal system encourages companies to integrate Compliance by publishing vigilance plans and extra-financial performance, while noting that companies do not always do so. The article also concludes that French Compliance Law in its use of incentives is only at its "beginnings". -

► Full Reference : Th. Amico, "La Compliance ou le passage de l'ex post à l'ex ante. Une révolution copernicienne pour l'avocat pénaliste ?" ("Compliance or the passage from ex post to ex ante: a Compernican revolution for the criminal lawyer?"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 145-154. - 📕read a general presentation of the book, Les outils de la Compliance, in which this article is published - ► Summary of the article (done by the Journal of Regulation & Compliance): After referring to various definitions of Compliance Law, the author insists on the usefulness of the criminal lawyer in that he, familiar with the Ex-Post that constitutes the sanction, can be of good advice. in the Ex-Ante in which new compliance mechanisms are being developed, such as risk mapping or third-party assessment. Addressing the punitive dimension of Compliance Law, the author shows that the criminal lawyer therefore naturally has a place there, whether it concerns the powers exercised by an administrative authority or the criminal law itself. In that he can "anticipate criminal proceedings", the criminal lawyer is therefore best able to ensure that the company does not expose itself to them, in particular in a good mastery of internal investigations, thus ruling out the criminal risk. -

► Full Reference : R. Burlingame, K. Coppens, N. Power and D.H. Lee, "Compliance : lutte internationale contre la corruption et gestion des risques" ("Compliance: international anti-corruption and risk management"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 181-192. - 📕read a general presentation of the book, Les outils de la Compliance, in which this article is published - ► Summary of the article (done by the Journal of Regulation & Compliance): The authors show that the authors certainly face a diversity of legal systems due to their multiple localization, but in reality in terms of fight against corruption the French authority, the English authority and the American authority develop similar requirements in a common spirit. Indeed by reading the texts, in particular soft law, issued by the French Anticorruption Agency, the Department of Justice and the Serious Fraud Office, it appears that the primary concern is in the effectiveness of the compliance program adopted by companies. The authorities of the three countries also stress the need for the company's governing bodies to actively promote and disseminate the culture of anti-corruption compliance. For the three authorities, it is more precisely necessary that this program be adapted and tailor-made, that the governing body commits itself to its effective compliance and that a code of conduct, effective training and communication actions, the program to be based on structural internal investigation and whistleblowing mechanisms, and refer to an evaluation. The authors show that beyond the specificities of each of the systems, the three authorities are united in the fight against corruption, which reduces the insecurity of internationally exposed companies. -