Thesaurus : Doctrine
► Full Reference: Marty, F., The Case for Compliance Programs in International Competitiveness: A Competition Law and Economics Perspective, in Frison-Roche, M.-A. (ed.),Compliance Monumental Goals, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.
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► Article Summaryésumé de l'article (done by the Journal of Regulation & Compliance): The author analyzes economically the question of whether the compliance programs set up to respect competition rules are for the sole purpose of avoiding sanctions or also contribute to the goal of increasing the international economic performance of companies. which submit to them.
The author explains that companies integrate by duplication external standards to minimize the risk of sanctions, developing a "culture of compliance", which produces their competitiveness increase and the effectiveness of the legal and economic system. In addition, it reduces the cost of investment, which increases the attractiveness of the company.
In this, this presentation based on the postulate of the rationality of companies and investors, compliance programs can fall under self-regulation. The duplication of the law that they operate takes place largely according to "procedural" type methods.
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📝 go to the general presentation of the book 📘Compliance Monumental Goals, in which this article is published
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Thesaurus : Doctrine
► Full Reference: Segonds, M., Compliance, Proportionality and Sanction. The example of the sanctions taken by the French Anticorruption Agency, in Frison-Roche, M.-A. (ed.),Compliance Monumental Goals, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.
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► Article Summary: Before devoting the developments of his article to the sole perspective of sanctions imposed under "Anti-corruption Compliance", the author recalls in a more general way that, as is the sanction, Compliance is in essence proportional: Proportionality is inherent to Compliance as it conditions any sanction, including a sanction imposed under Compliance.
This link between Proportionality and Compliance has been underlined by the French Anti-Corruption Agency (Agence française anticorruption - AFA) with regard to risk mapping, which must measure risks to arrive at effective and proportional measures. This same spirit of proportionality animates the recommendations of the AFA which are intended to apply according to the size of the company and its concrete organisation. It governs sanctions even more, in that punitive sanctions refer on one hand to Criminal Law, centered on the requirement of proportionality. Punitive sanctions It governs sanctions even more, in that punitive sanctions refer on the other hand to the disciplinary power of the manager who, from other sources of law, must integrate the legal requirement of proportionality when he/she applies external and internal compliance norms.
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Thesaurus : Doctrine
► Full Reference: L. Aynès, "Comment l’arbitrage international peut être un renfort de l’Obligation de Compliance" ("How International Arbitration can reinforce the Compliance Obligation"), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, forthcoming.
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📕read the general presentation of the book, L'Obligation de Compliance, in which this contribution is published.
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► English summary of this contribution (done by te Journal of Regulation & Compliance - JoRC) : The author takes as his starting point the observation that International Arbitration and Compliance are a natural fit, since they are both a manifestation of globalisation, expressing an overcoming of borders, with arbitration being able to take on the Compliance Monumental Goals, since it has engendered a substantially global arbitral order.
But the obstacle lies in the fact that the source of arbitration remains the contract, with the arbitrator exercising only a temporary jurisdiction whose mission is given by the contract. Yet the advent of the global arbitral order makes this possible, with the arbitrator drawing on norms that may include the Compliance monumental goals and corporate commitments. In so doing, the arbitrator becomes an indirect organ of this emerging compliance law.
The contribution then suggests a second development, which could make the arbitrator a direct organ of compliance. For this to happen, the arbitrator must not only compel the fulfillment of an obligation to act, as is already the case with provisional measures, but also have a broader conception of the conflict for which a solution is required, or even free himself somewhat from the contractual source that surrounds it. This may well be taking shape, mirroring the profound transformation of the judge's office.
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► Full Reference: M.-A. Frison-Roche, "Concevoir l'Obligation de Compliance : faire usage de sa position pour participer à la réalisation des Buts Monumentaux de la Compliance" ("Conceiving the Compliance Obligation: Using its Position to take part in achieving the Compliance Monumental Goals"), in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2024, to be published
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📝read the article (in French)
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🚧read the bilingual Working Paper on the basis this contribution has been built, with more developments, technical references and hyperlinks.
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📕read a general presentation of the book, L'Obligation de Compliance, in which this article is published
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► English summary of this contribution: Rather than getting bogged down in definitional disputes, given that Compliance Law is itself a incipient branch of Law, the idea of this contribution is to take as a starting point the different regimes of so many different compliance obligations to which laws and regulations subject large companies: sometimes they must apply them to the letter and sometimes they are only penalised in the event of fault or negligence. This brings us back to the distinction between obligations of result and obligations of means.
Although it might be risky to transpose the expression and regime of contractual obligations to legal obligations, starting from this observation in the Compliance Evidentiary System of a plurality of obligations of means and of result, depending on whether we are dealing with this or that technical compliance obligation, we must first classify them. It would appear that this plurality does not constitute a definitive obstacle to the creation of a single definition of the Compliance Obligation. On the contrary, it makes it possible to clarify the situation, to trace the paths through what is so often described as a legal jumble, an unmanageable mass of regulations.
Indeed, insofar as the company obliged under Compliance Law participates in the achievement of the Monumental Goals on which this branch of Law is normatively based, a legal obligation which may be relayed by contract or even by ethics, it can only be an obligation of means, by virtue of this very teleological nature and the scale of the goals targeted, for example the happy outcome of the climate crisis which is beginning or the desired effective equality between human beings. This established principle leaves room for the fact that the behaviour required is marked out by processes put in place by structured tools, most often legally described, for example the establishment of a vigilance plan or regularly organised training courses (effectiveness), are obligations of result, while the positive effects produced by this plan or these training courses (efficacy) are obligations of means. This is even more the case when the aim is to transform the system as a whole, i.e. to ensure that the system is solidly based, that there is a culture of equality, and that everyone respects everyone else - all of which come under the heading of efficiency.
The Compliance Obligation thus appears unified because, gradually, and whatever the various compliance obligations in question, their intensity or their sector, its structural process prerequisites are first and foremost structures to be established which the Law, through the Judge in particular, will require to be put in place but will not require anything more, whereas striving towards the achievement of the aforementioned Monumental Goals will be an obligation of means, which may seem lighter, but corresponds to an immeasurable ambition, linked with these Goals. Moreover, because these structures (warning platforms, training, audits, contracts and clauses, etc.) only have meaning in order to produce effects and behaviour leading to changes converging towards the Monumental Goals, it is the obligations of means that are most important and not the obligations of result. The judge must also take this into account.
Finally, the Compliance Obligation, which therefore consists of this interweaving of multiple compliance obligations of result and means of using the Entreprise's position, ultimately aims at system efficiency, in Europe at system civilisation, for which companies must show not so much that they have followed the processes correctly (result) but that this has produced effects that converge with the Goals sought by the legislator (effects produced according to a credible trajectory). This is how a crucial economic operator, responsible Ex Ante, should organise itself and behave.
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Thesaurus : Doctrine
► Full Reference: Auteur, "Titre", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published
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📘read a general presentation of the book, Compliance Obligation, in which this article is published
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► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): The author takes up the hypothesis of a Compliance Law defined by its Monumental Goals, the realisation of which is entrusted to "crucial operators" and confronts it with Tax Law. The link is particularly effective since these operators possess what governments need in this area: relevant Information.
Going further, Compliance Law can give rise to two types of obligations on the part of these operators, either towards others operators who need to be monitored, corrected or denounced, or towards themselves, when they need to make amends.
In the first part of this contribution, the author shows that Compliance Obligation reproduces the mechanism of a Tax Law which, for large companies, is embroiled in a process of increasing Globalisation. It enables Governments to aspire to the "Monumental Goals" of combating tax optimisation and impoverishing governments, victims of the erosion of the tax base, in the face of the strategies of companies that are more powerful than they are themselves, by using this very power of firms to turn it against them. Companies become the willing or de facto allies of governments, particularly when it comes to recovering tax debts, or assist them in their stated ambition to achieve social justice. In this way, the State "manages" Tax Law by cooperating with companies.
In the second part, the author outlines the contours of this business Compliance Obligation, which is no longer simply a matter of paying tax. Beyond this financial obligation, it is more a question of mastering Information, particularly when multinational companies are subject to specific tax reporting obligations and are required to reveal their tax strategy, presumed to be transparent and coherent within the group : this legal presumption gives rise to obligations to seek information and ensure coherence, since a single tax strategy is not self-evident in a group.
The author emphasises that companies have accepted the principles governing these new compliance obligations and are tending to transform these obligations, particularly Transparency, into a communication strategy, in line with the ESG criteria that have been developed and a desire for fruitful relations with stakeholders. Therefore the tax relations developed by major companies are being extended not only to the tax authorities, but also to NGOs, by incorporating a strong ethical dimension. This is leading to new strategies, particularly in the area of Vigilance.
The author concludes: "A n’en pas douter, l’obligation de compliance existe bel et bien en matière fiscale." ("There is no doubt that the Compliance Obligation does exist in tax matters").
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🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses
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Thesaurus : Doctrine
► Full Reference: D. Gutmann, "Droit fiscal et obligation de compliance" (Tax Law and Compliance Obligation), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, to be published
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► English summary of this contribution (done by the Journal of Regulation & Compliance): The author takes up the hypothesis of a Compliance Law defined by its Monumental Goals, the realisation of which is entrusted to "crucial operators" and confronts it with Tax Law. The link is particularly effective since these operators possess what governments need in this area: relevant Information.
Going further, Compliance Law can give rise to two types of obligations on the part of these operators, either towards others operators who need to be monitored, corrected or denounced, or towards themselves, when they need to make amends.
In the first part of this contribution, the author shows that Compliance Obligation reproduces the mechanism of a Tax Law which, for large companies, is embroiled in a process of increasing Globalisation. It enables Governments to aspire to the "Monumental Goals" of combating tax optimisation and impoverishing governments, victims of the erosion of the tax base, in the face of the strategies of companies that are more powerful than they are themselves, by using this very power of firms to turn it against them. Companies become the willing or de facto allies of governments, particularly when it comes to recovering tax debts, or assist them in their stated ambition to achieve social justice. In this way, the State "manages" Tax Law by cooperating with companies.
In the second part, the author outlines the contours of this business Compliance Obligation, which is no longer simply a matter of paying tax. Beyond this financial obligation, it is more a question of mastering Information, particularly when multinational companies are subject to specific tax reporting obligations and are required to reveal their tax strategy, presumed to be transparent and coherent within the group : this legal presumption gives rise to obligations to seek information and ensure coherence, since a single tax strategy is not self-evident in a group.
The author emphasises that companies have accepted the principles governing these new compliance obligations and are tending to transform these obligations, particularly Transparency, into a communication strategy, in line with the ESG criteria that have been developed and a desire for fruitful relations with stakeholders. Therefore the tax relations developed by major companies are being extended not only to the tax authorities, but also to NGOs, by incorporating a strong ethical dimension. This is leading to new strategies, particularly in the area of Vigilance.
The author concludes: "A n’en pas douter, l’obligation de compliance existe bel et bien en matière fiscale." ("There is no doubt that the Compliance Obligation does exist in tax matters").
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📕read the general presentation of the book, L'obligation de Compliance, in which this contribution is published
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Thesaurus : Doctrine
► Full Reference: G. Loiseau, "L’intensité de l’obligation de vigilance selon les secteurs : le cas des opérateurs numériques" (The intensity of the Duty of Vigilance in different sectors: the case of digital operators), in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, forthcoming
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📕read the general presentation of the book, L'obligation de Compliance, in which the contribution is published
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► English summary of this contribution (done by the Journal of Regulation & Compliance - JoRC) : L'auteur développe le cas des opérateurs numériques. Il souligne le paradoxe d'un Droit qui est parti d'un texte qui a posé le principe de l'irresponsabilité des hébergeurs, en raison de leur neutralité technique, pour aboutir au DSA et leur imposer des diligences, mais il rappelle que cette obligation n'apparaît qu'à partir d'un signalement qui est porté auprès de l'opérateur numérique et une interdiction expresse d'une obligation générale de surveiller les informations. Moreover, there is no general duty of vigilance incumbent on digital operators, even if recent case law seems to be tightening the role imposed on hosting providers.
The Monumental Goal here is to fight against illegal content, but freedom of expression must also be preserved and regulations vary according to the type of content, whereas the DSA has a more general conception, aims at a logic of accountability and prevention of systemic risks. But wanting to make platforms 'accountable' ex ante, without touching the liability regime ex post, may pose a problem.
The duty of vigilance will vary depending on whether the digital operator plays a passive or active role. This may lead platforms to adopt prior measures that may constitute structural obligations, with the trusted third party taking the form of a trusted signaller. The platform is thus made responsible for its own vigilance, but despite the possibility of enhanced vigilance, this does not have to extend to investigative measures. There are, however, specific enhanced vigilance obligations for very large platforms, justified by the risks involved and the types of content (terrorism, pornography).
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🦉This contribution est available in full text for persons following Professor Marie-Anne Frison-Roche teaching
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Thesaurus : Doctrine
► Full Reference: Deffains, B., Compliance and International Competitiveness, in Frison-Roche, M.-A. (ed.), Compliance Monumental Goals, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.
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► Article Summary: Compliance, which can be defined first and foremost as obedience to the law, is an issue for the company in that it can choose as a strategy to do or not to do it, depending on what such a choice costs or brings in. This same choice of understanding is offered to the author of the norm, the legislator or the judge, or even the entire legal system, in that it makes regulation more or less costly, and compliance with it, for companies. Thus, when the so-called “Vigilance” law was adopted in 2017, the French Parliament was criticized for dealing a blow to the “international competitiveness” of French companies. Today, it is on its model that the European Parliament is asking the European Commission to design what could be a European Directive. The extraterritoriality attached to the Compliance Law, often presented as an economic aggression, is however a consubstantial effect, to its will to claim to protect beyond the borders. This brings us back to a classic question in Economics: what is the price of virtue?
In order to fuel a debate that began several centuries ago, it is first of all on the side of the stakes that the analysis must be carried out. Indeed, the Law of Compliance, which is not only situated in Ex Ante, to prevent, detect, remedy, reorganize the future, but also claims to face more “monumental” difficulties than the classical Law. And it is specifically by examining the new instruments that the Law has put in place and offered or imposed on companies that the question of international competitiveness must be examined. The mechanisms of information, secrecy, accountability or responsibility, which have a great effect on the international competitiveness of companies and systems, are being changed and the measure of this is not yet taken.
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► Full Reference: M.-A. Frison-Roche, "Compliance Obligation, between Will and Consent: obligation upon obligation works", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published
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📝read the article
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🚧read the bilingual Working Paper which is the basis of this article, with additional developments, technical references and hyperlinks
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📘read a general presentation of the book, Compliance Obligation, in which this article is published
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► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): There is often a dispute over the pertinent definition of Compliance Law, but the scale and force of the resulting obligation for the companies subject to it is clear. It remains difficult to define. First, we must not to be overwhelmed by the many obligations through which the Compliance Obligation takes shape, such as the obligation to map, to investigate, to be vigilant, to sanction, to educate, to collaborate, and so on. Not only this obligations list is very long, it is also open-ended, with companies themselves and judges adding to it as and when companies, sectors and cases require.
Nor should we be led astray by the distance that can be drawn between the contours of this Compliance Obligation, which can be as much a matter of will, a generous feeling for a close or distant other in space or time, or the result of a calculation. This plurality does not pose a problem if we do not concentrate all our efforts on distinguishing these secondary obligations from one another but on measuring what they are the implementation of, this Compliance Obligation which ensures that entities, companies, stakeholders and public authorities, contribute to achieving the Goals targeted by Compliance Law, Monumental Goals which give unity to the Compliance Obligation. Thus unified by the same spirit, the implementation of all these secondary obligations, which seem at once disparate, innumerable and often mechanical, find unity in their regime and the way in which Regulators and Judges must control, sanction and extend them, since the Compliance Obligation breathes a common spirit into them.
In the same way that the multiplicity of compliance techniques must not mask the uniqueness of the Compliance Obligation, the multiplicity of sources must not produce a similar screen. Indeed, the Legislator has often issued a prescription, an order with which companies must comply, Compliance then often being perceived as required obedience. But the company itself expresses a will that is autonomous from that of the Legislator, the vocabulary of self-regulation and/or ethics being used in this perspective, because it affirms that it devotes forces to taking into consideration the situation of others when it would not be compelled to do so, but that it does so nonetheless because it cares about them. However, the management of reputational risks and the value of bonds of trust, or a suspicious reading of managerial choices, lead us to say that all this is merely a calculation.
Thus, the first part of the contribution sets out to identify the Compliance Obligation by recognising the role of all these different sources. The second part emphasises that, in monitoring the proper performance of technical compliance obligations by Managers, Regulators and Judges, insofar as they implement the Compliance Obligation, it is pointless to limit oneself to a single source or to rank them abruptly in order of importance. The Compliance Obligation is part of the very definition of Compliance Law, built on the political ambition to achieve these Monumental Goals of preserving systems - banking, financial, energy, digital, etc. - in the future, so that human beings who cannot but depend on them are not crushed by them, or even benefit from them. This is the teleological yardstick by which the Compliance Obligation is measured, and with it all the secondary obligations that give it concrete form, whatever their source and whatever the reason why the initial standard was adopted.
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► Full Reference: M.-A. Frison-Roche, "Conceiving the Compliance Obligation: Using its Position to take part in achieving the Compliance Monumental Goals", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published
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📝read the article
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🚧read the bilingual Working Paper which is the basis of this article, with additional developments, technical references and hyperlinks
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📘read a general presentation of the book, Compliance Obligation, in which this article is published
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► Summary of the article (done by the Journal of Regulation & Compliance - JoRC):
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Feb. 21, 2025
Organization of scientific events
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► Full Reference: M.-A. Frison-Roche & G. Loiseau (dir.), Durabilité de l'Internet : le rôle des opérateurs du système des noms de domaine. Compliance et régulation de l'espace numérique (Sustainability of the Internet: the role of the operators of the domain name system. Compliance and regulation of the digital space), Journal of Regulation & Compliance (JoRC) and Institut de Recherche Juridique de la Sorbonne (André Tunc - IRJS), Paris 1 Panthéon-Sorbonne University, 21 Fabruary 2025
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► General presentation of this symposium: The digital space has been built on and as a system. Its primary interest is of a negative nature: it consists of to be preserved against the prospect of systemic failure, of not collapsing. Like all other systems, this 'Monumental Goal' specific to the digital system justifies resources that incorporate this concern for the future. As with all systems, it integrates and relies on the specific technical nature of this system.
The digital space is largely based on the invention, technology and architecture of domain names. Domain names, as an addressing system, enable users to enter the digital space and find other Internet users. The uniqueness and solidity of the domain name system, entrusted to a single root and decentralisation, makes this community possible for those who use the digital space and ensures the technical durability required, without which the digital space would be compromised.
The architecture, operation, operators and what they do under the control of legislators, regulators, judges and legal subjects are therefore examined from a dual technical and legal perspective, in the light of the imperative of sustainability.
This allows to progress in 4 stages.
Firstly, to examine the permanence in time and space of the domain name system, insofar as it is the foundation of the Internet and the digital system. This technical construction gives rise to legal qualifications, not only for the present but also for the future, since the Web3 offers new technical solutions.
Secondly, this technical sustainability is an imperative that is built into the operators of the domain names themselves, which are inter-linked not only at national level but also at global level, this cross-linking being necessary for the security of the system. The State is present through public law techniques that enable surveillance, control and possible recovery.
Thirdly, it imposes constraints on the operators subject to them in order to serve this monumental goal of technical sustainability, and these constraints themselves generate as many powers as they need to usefully achieve this mission. This proportionality must be at the heart of the method and the requirements. The relationship between constraints and powers also stems from it.
Fourthly, this imperative of technical sustainability, which is global in nature, gives way to imperatives of societal sustainability, more localised in space and time, when domain name operators are called upon by the legitimate authors of binding standards, legislators in the first instance, to express concerns such as the protection of people involved in the digital space and whose rights are compromised or who are in danger.
This second type of sustainability, which is more localised and less inherent in the architecture of the Internet, is justified by the available power of the operators concerned and their adherence to social imperatives. The resulting constraints and powers are therefore not the same.
The 2 sustainabilities must then be articulated in a conception that is both teleological and pragmatic.
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► Speakers (they will speak in French, but the book to be published will be in English):
🎤Pierre Bonis, Chief Executive Officer of the Association française pour le nommage Internet en coopération (Afnic)
🎤Lucien Castex, Adviser of the Afnic Chief Executive Officer for Research internet and society and Internet governance
🎤Marie-Anne Frison-Roche, Full Professor of Regulatory and Compliance Law, Director of the Journal of Regulation & Compliance (JoRC)
🎤Claire Leveneur, Senior Lecturer at Paris-Est Créteil University
🎤Grégoire Loiseau, Full Professor at Paris 1 Panthéon-Sorbonne University
🎤Samir Merabet, Full Professor at the University of West Indies
🎤Antoine Oumedjkane, Senior Lecturer at Lille University
🎤Frédéric Sardain, attorney at law, Jeantet law firm
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read below a detailed presentation of this event⤵️
Feb. 7, 2025
Conferences
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► Full Reference: M.-A. Frison-Roche, "Compliance" et "conformité" : les distinguer/mieux les articuler afin que le DPO trouve sa juste place" ("Compliance Law" and "conformity" : distinguish between them/better articulate them so that the DPO finds their rightful place"), , in Association française des correspondants à la protection des données à caractère personnel (AFCDP), 19ème Université AFCDP des DPO - La gouvernance des données ("Data Governance"), Maison de la Chimie, Paris, 7 February 2025 , 10h-10h45.
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🧮 see this manifestation full program (in French)
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⬜ see les slides on which this conference is done (in French)
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► English Presentation of this conference: 'Compliance' and 'conformité' are often considered to be synonymous, notably in French in which the term "Compliance" is so often used to express only the "conformity" (conformité). This is a misunderstanding and a reduction, particularly of the role of professionals, notably DPOs. In fact, 'conformity' consists solely of ensuring that regulations are respected. Of course, an"active" conformity and "proven" conformity with these regulations, in particular the European GDPR. That and only that.
If that's the case, then on the one hand this task impossible, because no one can comply with all the regulations, and it's the obsession with avoiding or reducing penalties that actually replaces the desire to do the right thing. On the other hand, algorithms are going to replace the DPO, a human being, because algorithms will identify 'non-conformity', then conformity, then write it down by "smart" contracts.
But Compliance Law is more than conformity, which is only one of its tools. Compliance Law aim is to protect the human beings involved in the systems. Data protection is one of the best examples of this, and it underpins all the other areas of Compliance Law. Companies are asked to do less (obligation of means) and more: to help protect, by distinguishing between what must be revealed and what must be kept secret, sometimes to resolve conflicts between the 2 prescriptions, to educate, to make alliances.
To built a real "governance". In this human and humanist mission that anchors Europe, the algorithm is flat. We are waiting for the DPO. In this human and humanist mission that anchors Europe, the algorithm is flat. We are waiting for the DPO. There is the role of guardian of the spirit of the texts, of strategic aid for the data controller, of adjuster of complementary or contradictory subjective rights, of adjustment of the texts in the European puzzle of a Regulatory Europe, which is being put in place in the humanist tradition which is its own to preserve the durability of the systems to protect the people who are forcibly or voluntarily involved in them.
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Feb. 1, 2025
MAFR TV : MAFR TV - Surplomb
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► Full Reference: M.-A. Frison-Roche, "Monumental Goals, normative anchoring of Compliance Law", in Series of videos Overhang / Surplomb, 1st February 2025
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🌐watch on LinkedIn this video of the Series Surplomb/Overhang
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Jan. 2, 2025
MAFR TV : MAFR TV - Surplomb
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► Référence complète : M.-A. Frison-Roche, "La poursuite de l’institutionnalisation de l’Europe de la Compliance : création par le règlement du 31 mai 2024 de l’Autorité européenne de lutte contre le blanchiment d’argent et le financement du terrorisme (AMLA)", in série de vidéos Surplomb, 2 janvier 2025
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Dec. 20, 2024
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► Référence complète : M.-A. Frison-Roche, "Les contours géographiques de la Compliance", in série de vidéos Surplomb, 20 décembre 2024
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🌐visionner sur LinkedIn cette vidéo de la série Surplomb
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Nov. 5, 2024
Publications
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► Full Reference: M.-A. Frison-Roche, "Naissance d'une branche du Droit : le Droit de la Compliance" ("Birth of a branch of Law: Compliance Law"), in Mélanges offerts à Louis Vogel. La vie du droit, LexisNexis - Dalloz - LawLex - LGDJ, 2024, pp.177-188.
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📝read the article (in French)
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► English Summary of the article: The study focuses on the various movements that have given rise to Compliance Law, with particular emphasis on Competition Law.
After a preliminary reflection on the construction of the legal system into branches of Law, their classification in relation to each other, the difficulty encountered in this respect by Economic Law, and the various movements that give rise to one of them, the diversity of which the branch subsequently keeps track of, the study is constructed in 4 parts.
To find out what gave rise to Compliance Law, the first part invites everyone to reject the narrow perspective of a definition that is content to define it by the fact of "complying" with the applicable regulations in the sens to obey them automatically. This has the effect of increasing the effectiveness of the regulations, but it does not produce a branch of Law, being only an efficiency tool like any other.
The second part of the study aims to shed light on what appears to be an "enigma", because it is often claimed that this is the result of a flexible method through the "soft law", or of an American regulation (for instance FCPA), or of as many regulations as there are occasions to make. Instead, it appears that in the United States, in the aftermath of the 1929 crisis, it was a question of establishing an authority and rules to prevent another atrocious collapse of the system, while in Europe, in 1978, in memory of the use of files about Jews, it was a question of establishing an authority and rules to prevent an atrocious attack on human rights. A common element that aims for the future ("never again"), but not the same object of preventive rejection. This difference between the two births explains the uniqueness and diversity of the two Compliance Law, the tensions that can exist between the two, and the impossibility of obtaining a global Compliance Law.
The third part analyses the way in which Competition Law has given rise to conformity mechanisms: they had only constituted a secondary branch which is a guarantee of conformity with competition regulations. Developed in particular through the soft law issued by the competition authorities, the result is a kind of "soft obedience", a well-understood collaboration of a procedural type through which the company educates, monitors and even sanctions, without going outside Competition Law, of which compliance (in the sens of conformity) is the appendix. The distance between a conformity culture and Compliance Law can be measured here.
The fourth part aims to show that Competition Law and Compliance Law are two autonomous and articulated branches of Law. Since Compliance Law is a autonomous and strong branch of Law built around Monumental Goals, in particular the sustainability of systems and the preservation of the human beings involved so that they are not crushed by these systems but benefit from them : the current challenge of European integration is to build the pillar of Compliance Law alongside the competitive pillar. Jurisdictions are in the process of doing this and articulating them.
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Oct. 21, 2024
Publications
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► Full Reference: M.-A. Frison-Roche, "Devoir de vigilance : progresser" ("Duty of Vigilance: the Way Forward"), in Ch. Maubernard & A. Brès (eds.), Le devoir de vigilance des entreprises. L'âge de la maturité ? (The duty of vigilance. The age of maturity?), Bruylant, "Droit & Economie" Serie, 2024, pp. 221-251
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📝read the article (in French)
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🚧 read the bilingual Working Paper which is the basis of this article, with additional developments, technical references and hyperlinks
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► English Summary of the article: In 2017 in France the so-called Vigilance law expressed great ambition. So did the draft directive. But in 2024 the European institutions moderated this ambition by refusing to increase either the type of companies subject and the constraints to which the duty of vigilance is associated. The directive has essentially halted what was for some the "march of progress". Does the ambition no longer exist? Does the future lie in an extension of the philosophy of the duty of vigilance, i.e. companies that should always be more concerned about others? This would undoubtedly be reaching the "age of maturity", where others see the age of madness, because it would be a contradiction in terms to ask a company to be concerned about anything other than its own development.
It is therefore appropriate to consider this very hypothesis of an "age of maturity" as being an ambition maintained despite a European directive which, in its adopted version, is weakened and while the oppositions are intact (I). First of all, it must be admitted that the notion of "maturity" most often conceals a value judgment when applied to a legal concept (I.A.) and that this is blatantly obvious with regard to the duty of vigilance, which is considered by some and by nature by some as a good and by others as an evil (I.B).
In order not to remain in what appears to be trench warfare, we must not get too bogged down in the reference French legislation of 2017 and what appears to be a European stutter in 2024, arguing so loudly that we can hear them reasoning in print, by paying attention to less visible and now more promising avenues of progress (II). In fact, the duty of vigilance can progress simply by the passage of time (II.A), by a better definition of the vocabulary (II.B), by the consolidation of the principles of Responsibility and Dialogue (II.C), by the uniqueness of the jurisdictional route (II.D).
This last perspective of the progress that will be made possible in France by the uniqueness of the judicial route leads to a final avenue of progress. By their very nature, laws are jolts, all the more violent for being disputed. At the moment, if we want to make progress, these two other sources - the contract and the judge - must be favoured (III). The European directive is rightly concerned with access to the courts and takes a measured view of the effectiveness of contracts as a means of making the duty of vigilance effective, with the courts having to ensure that the contract does not destroy the spirit of the system. This is what the law already organises about the relationship between the contract, the judge and the duty of compliance (III.A). What is new in Europe in 2024 is the introduction of a Supervisor (III.B). Here again, vigilance is the "cutting edge" of Compliance Law, as it is an extension of Regulatory Law.
The result is that, through interpretation and the handling of principles, and to formulate a more general conclusion, it is the judge who holds and will hold the balance of the duty of vigilance.
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Oct. 9, 2024
Publications
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► Full Reference: M.-A. Frison-Roche, Monumental Goals, normative anchoring of Compliance, Working Paper, February 2025.
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🎬This working document has been drawn up to serve as basis to
the video Overhang👁 of the 1st February 2025: click HERE
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🎬🎬🎬In the collection of the Overhangs👁 It falls into the Notions category.
►Watch the complete collection of the Overhangs👁 : click HERE
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► Summary of this Working Paper: Compliance, of which conformity is only one instrument (the 2 should not be confused), must be understood through the ‘Monumental Goals’ : political ambitions pursued by the public authorities and internalised in the entities in a position to achieve them, i.e. large companies.
These Goals are Monumental in that they concern systems: ensuring that these systems do not collapse in the future = ‘Negative Monumental Goals’ (e.g. fight against corruption, against climate change); more ambitious still, they may aim to improve systems = ‘Positive Monumental Goals’ (e.g. effective equality between women and men).
Their systemic nature gives rise to Systemic Litigation.
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🔓read the developments below⤵️
Oct. 9, 2024
MAFR TV : MAFR TV - Surplomb
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► Référence complète : M.-A. Frison-Roche, "Les Buts Monumentaux, ancrage normatif de la Compliance", in série de vidéos Surplomb, 9 octobre 2024
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🌐visionner sur LinkedIn cette vidéo de la série Surplomb
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🎬visionner ci-dessous cette vidéo de la série Surplomb⤵️
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Sept. 19, 2024
Conferences
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► Full Reference: M.-A. Frison-Roche, "Comment s’adapter au Contentieux Émergent de la Compliance" ("How to adapt to Emerging Compliance Litigation"), in , Association nationale des juristes de banque (ANJB), September 19, 2024, Paris,
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This conference is being held with another speaker, Maître Jean-Pierre Picca.
It is followed by a discussion with the audience.
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🧮see the full programme of this manifestation
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► English Summary of this conference: Compliance Law is a new branch of Law, teleological in nature, whose legal normativity is rooted in its goals.These are systemic goals of preserving systems by detecting the risks that weaken them and preventing the failures that can destroy them. It is therefore an Ex Ante branch of Law, the implementation of which will weigh on the "entities" in a position to detect risks and prevent failures so that these systemic goals are achieved. As such, they are "Monumental Goals" in that they are political goals aimed at complete systems. It is therefore essential to distinguish between "conformity Law", which simply consists of "complying" with the applicable regulations, and Compliance Law, which consists of contributing to the achievement of these "Monumental Goals", either by force (legal obligation) or by choice (raison d'être, company with mission, contractual obligation, CSR). In this respect, Compliance Law is both much more limited in its aims and much more ambitious, since it is about building the future rather than mechanically complying with regulations.
The banking sector, which can be considered an exception to the principle of Competition, which is based on extreme mobility and the absence of rents, the destruction of the weakest, risk-taking, the lack of solidity of the operator posing no problem, appears to be the paragon of the principle of Compliance, which is based on the sustainability of systems ensured by the solidity of the operators themselves, their solidarity, the exchange of information, and integrated supervisors. For example, the duty of vigilance and the information about others, and the Regulation through Supervision were born in this sector, which has internalised this sectoral concern in the banks, itself the bearer of a general concern, particularly in the European conception of continental banking. the European Banking Union increasing this concern.
As a result, banks will internalise concerns about the future that go beyond safeguarding the banking sector, such as preventing systemic climate risk or educating the population or safeguarding people in vulnerable situations.
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The litigation that shall ensue is itself highly specific. The topic of this conference is to provide the keys to understanding how banks must play their part.
Emerging Compliance Litigation is systemic in nature. It is a reflection of the Ex Ante organisation whereby entities are asked to make a contribution to the achievement of Monumental Goals. In a dispute between two opposing parties, an individual or an NGO or a trade union or a municipality or a State and a bank, a conflict arises between what might be called the party claiming to represent the present and future interests of a system, for example the climate system or the social relations system, and the bank which has a legally imposed "compliance obligation" to help protect this system.
The author who described this perfectly was Chaïm Perelman, particularly in his 1978 book, Logique juridique, which describes audience circles.
We need to understand the systemic construction of the judicial instance.
The bank must not let to be confined itself solely to its role as litigant, while the other party, for example an NGO, in its role as guardian of "civil society" or the "climate system" or the "effective equality between human beings", going beyond this first circle between the litigants and brings the system itself into the proceedings.
This is where the adaptation has to take place.
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This adaptation is procedural, evidentiary and substantive.
The procedural adaptation must take place even before any litigation, since there is a continuum between Ex Ante and Ex Post, with the Judicial System itself being just one accountability method (rendering of accounts) among others. This accountability takes place in relation to a ‘mission’ that is entrusted to the banks in relation to the goals: prevention, detection and the fight against corruption, money laundering, climate change, etc., by building alliances, making good use of information (knowing how to take it, knowing how not to pass it on, knowing how to pass it on).
The procedure, i.e. the way in which something is done, must reflect a substantial element, in that it engenders a ‘sense of responsibility’: the purpose of Compliance Law is to ‘make powers accountable’ and to build on positions of power. The proper procedure is to make ‘good use of one's power’ for the benefit of others. Techniques for ‘taking others into consideration’ are an essential element. Consideration by the person who agrees to exercise power (the power to finance, the power to gather information, the power to organise together, the power to contract).
Evidentiary’ adaptation: indifference of evidentiary obligations and rights to the procedural position of the parties. The firm has a ‘Compliance Obligation’ even if it is the defendant in the proceedings. The object of proof is given to it by the Monumental Goals that the Law or its own will require it to help achieve. Its burden is to show that it is helping to achieve these goals, by acting for the future (for example, by knowing its customers, or by taking into account the interests of its stakeholders, etc.).
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► Structure of the speech:
I. The current situation: suffering the harmful consequences of reducing Compliance Law to the mechanics of "conformity".
II. The opportunity for banks to adapt by understanding Compliance Law and going beyond the mechanics of conformity: the European puzzle, its apparent complexity, its architectural clarity (CSRD/CS3D/DSA).
III. The opportunity for banks not to allow themselves to be trapped in proceedings that are merely sanctions, transferred from Ex Post to Ex Ante: the emergence of Systemic Compliance Litigations before the Ordinary Law Courts (French Law of 2017 on Vigilance; Paris Court of appeal decisions of 18 June 2024).
IV. What is expected of banks in Systemic Compliance and Vigilance Litigations before the Ordinary Courts, reflecting the dialogue and action required by Compliance Law (article to be published).
V. The opportunity for banks to adapt to the new evidentiary dimension of emerging Compliance and Vigilance Litigation (article to be published).
VI. The opportunity for banks to adapt to the new Ex Ante dimension of Systemic Compliance and Vigilance Litigation, Litigation which deals with the future (article to be published).
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► A few bibliographical references:
🕴️M.-A. Frison-Roche, 📝Compliance Law, 2016
🕴️M.-A. Frison-Roche, 📝Compliance and conformity: distinguish them in order to articulate them, 2024
🕴️M.-A. Frison-Roche, 📝Duty of Vigilance: the way forward, 2024
🕴️M.-A. Frison-Roche, 📝Systemic Litigation, 2024
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June 13, 2024
Interviews
► Full reference: M.-A. Frison-Roche, "Entreprises et compliance : une justice et des juges plus offensifs" ("Companies and compliance: more aggressive courts and judges"), interview conducted by Jean-Philippe Denis as part of a series of interviews on Compliance Law, in Fenêtres ouvertes sur la gestion (Open windows on management), broadcast by J.-Ph. Denis, Xerfi Canal, recorded December 12, 2023, released on June 14, 2024.
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🌐consult the December 2023 presentation of the interview on LinkedIn
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🎥watch the interview video on LinkedIn, with English subtitles
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🧱consult the general presentation of this series of interviews on Compliance Law
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► Starting point: Since 2016, Marie-Anne Frison-Roche has been building Compliance Law, notably through a collection co-published in French with Editions Dalloz and co-published in English with Editions Bruylant:
🧱read the presentation in English of the series in French, Régulations & Compliance ➡️click HERE
🧱read the presentation of the series in English, Compliance & Regulation ➡️click HERE
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► Summary of interview:
Jean-Philippe Denis. Question :
Marie-Anne Frison-Roche. Answer. :
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J.-Ph D. Q. : Thus
MaFR. A. : Yes,
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J.-Ph. D. Q. : Thus
MaFR. A. : Yes,
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May 29, 2024
Editorial responsibilities : Direction of the collection Compliance & Regulation, JoRC and Bruylant
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► Full Reference: M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published
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📕In parallel, a book in French L'Obligation de compliance, is published in the collection "Régulations & Compliance" co-published by the Journal of Regulation & Compliance (JoRC) and Dalloz.
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📚This book is inserted in this series created by Marie-Anne Frison-Roche for developing Compliance Law.
read the presentations of the other books of this Compliance Series:
🕴️M.A. Frison-Roche (dir.), 📘Le système probatoire de la compliance, 2025
🕴️M.A. Frison-Roche (ed), 📘Compliance Juridictionnalisation, 2023
🕴️M.A. Frison-Roche (ed), 📘Compliance Monumental Goals, 2022
🕴️M.-A. Frison-Roche (ed.), 📘Compliance Tools, 2021
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► go to the general presentation of this 📚Series Compliance & Regulation, conceived, founded et managed by Marie-Anne Frison-Roche, co-published par the Journal of Regulation & Compliance (JoRC) and Bruylant.
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🧮the book follows the cycle of colloquia 2023 organised by the Journal of Regulation & Compliance (JoRC) and its Universities partners.
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► general presentation of the book: Compliance is sometimes presented as something that cannot be avoided, which is tantamount to seeing it as the legal obligation par excellence, Criminal Law being its most appropriate mode of expression. However, this is not so evident. Moreover, it is becoming difficult to find a unity to the set of compliance tools, encompassing what refers to a moral representation of the world, or even to the cultures specific to each company, Compliance Law only having to produce incentives or translate this ethical movement. The obligation of compliance is therefore difficult to define.
This difficulty to define affecting the obligation of compliance reflects the uncertainty that still affects Compliance Law in which this obligation develops. Indeed, if we were to limit this branch of law to the obligation to "be conform" with the applicable regulations, the obligation would then be located more in these "regulations", the classical branches of Law which are Contract Law and Tort Law organising "Obligations" paradoxically remaining distant from it. In practice, however, it is on the one hand Liability actions that give life to legal requirements, while companies make themselves responsible through commitments, often unilateral, while contracts multiply, the articulation between legal requirements and corporate and contractual organisations ultimately creating a new way of "governing" not only companies but also what is external to them, so that the Monumental Goals, that Compliance Law substantially aims at, are achieved.
The various Compliance Tools illustrate this spectrum of the Compliance Obligation which varies in its intensity and takes many forms, either as an extension of the classic legal instruments, as in the field of information, or in a more novel way through specific instruments, such as whistleblowing or vigilance. The contract, in that it is by nature an Ex-Ante instrument and not very constrained by borders, can then appear as a natural instrument in the compliance system, as is the Judge who is the guarantor of the proper execution of Contract and Tort laws. The relationship between companies, stakeholders and political authorities is thus renewed.
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🏗️general construction of the book
The book opens with a double Introduction. The first, which is freely accessible, is a summary of the book, while the second, which is substantial, deals with the future development of the compliance obligation in a borderless economic system.
The first part is devoted to the definition of the Compliance Obligation.
The second part presents commitments and contracts, in certain new or classic categories, in particular public contracts, and compliance stipulations, analysed and qualified regarding Compliance Law and the various relevant branches of Law.
The third part develops the responsibilities attached to the compliance obligation.
The fourth part refers to the institutions that are responsible for the effectiveness, efficiency, and efficacy of the compliance obligation, including the judge and the international arbitrator.
The fifth part takes the Obligation or Duty of Vigilance as an illustration of all these considerations.
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COMPLIANCE OBLIGATION : OVERVIEW
Section 1 ♦️ Main Aspects of the Book L'Obligation de Compliance, by 🕴️Marie-Anne Frison-Roche
Section 2 ♦️ Conceiving the unicity of the Compliance Obligation without diluting it, by 🕴️Marie-Anne Frison-Roche
TITLE I.
IDENTIFYING THE COMPLIANCE OBLIGATION
CHAPTER I: NATURE OF THE COMPLIANCE OBLIGATION
Section 1 ♦️ Will, Heart and Calculation, the three marks surrounding the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche
Section 2 ♦️ Debt, as the basis of the compliance obligation, by 🕴️Bruno Deffains
Section 3 ♦️ Compliance Obligation and Human Rights, by 🕴️Jean-Baptiste Racine
Section 4 ♦️ Compliance Obligation and changes in Sovereignty and Citizenship, by 🕴️René Sève
CHAPTER II: SPACES OF THE COMPLIANCE OBLIGATION
Section 1 ♦️ Industrial Entities and Compliance Obligation, by 🕴️Etienne Maclouf
Section 2 ♦️ Compliance, Value Chains and Service Economy, by 🕴️Lucien Rapp
Section 3 ♦️ Compliance and conflict of laws. International Law of Vigilance-Conformity, based on recent applications in Europe, by 🕴️Louis d'Avout
TITLE II.
ARTICULATING THE COMPLIANCE OBLIGATION WITH BRANCHES OF LAW
Section 1 ♦️ Constitutional dimensions of the Compliance Obligation, by 🕴️Stéphane Mouton
Section 2 ♦️ Tax Law and Compliance Obligation, by 🕴️Daniel Gutmann
Section 3 ♦️ General Procedural Law, prototype of the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche
Section 4 ♦️ Corporate and Financial Markets Law facing the Compliance Obligation, by 🕴️Anne-Valérie Le Fur
Section 5 ♦️ The Relation between Tort Law and Compliance Obligation, by 🕴️Jean-Sébastien Borghetti
Section 6 ♦️ Environmental and Climate Compliance, by 🕴️Marta Torre-Schaub
Section 7 ♦️ Competition Law and Compliance Law, by 🕴️Jean-Christophe Roda
Section 8 ♦️ The Compliance Obligation in Global Law, by 🕴️Benoît Frydman
Section 9 ♦️ Transformation of Labour Relations and Vigilance Obligation, by 🕴️Stéphane Vernac
Section 11 ♦️ Judge of Insolvency Law and Compliance Obligations, by 🕴️Jean-Baptiste Barbièri
TITLE III.
COMPLIANCE : GIVE AND TAKE THE MEANS TO OBLIGE
CHAPTER I: CONVERGENCE OF SOURCES
Section 1 ♦️ Compliance Obligation, between Will and Consent: obligation upon obligation works, by 🕴️Marie-Anne Frison-Roche
Section 2 ♦️ What a Commitment is, by 🕴️Marie-Anne Frison-Roche
Section 3 ♦️ Cybersecurity and Compliance Obligation, by 🕴️Michel Séjean
Section 4 ♦️ Place of Hope in the Ability to Apprehend the Future, by 🕴️
Section 5 ♦️ Legal Constraint and Company Strategies in Compliance matters, by 🕴️Jean-Philippe Denis & Nathalie Fabbe-Costes
CHAPTER II: INTERNATIONAL ARBITRATION IN SUPPORT OF THE COMPLIANCE OBLIGATION
Section 1 ♦️ Reinforcing Compliance Commitments by referring Ex Ante to International Arbitration, by
Section 2 ♦️ The Arbitral Tribunal's Award in Kind, in support of the Compliance Obligation, by 🕴️Eduardo Silva Romero
Section 3 ♦️ The use of International Arbitration to reinforce the Compliance Obligation: the example of the construction sector, by 🕴️Christophe Lapp & 🕴️Jean-François Guillemin
Section 4 ♦️ The Arbitrator, Judge, Supervisor, Support, by 🕴️Jean-Baptiste Racine
Section 5 ♦️ How International Arbitration can reinforce the Compliance Obligation, by 🕴️Laurent Aynès
TITLE IV.
VIGILANCE, SPEARHEAD OF THE COMPLIANCE OBLIGATION
CHAPTER I: INTENSITIES OF THE VIGILANCE OBLIGATION, SPEARHEAD OF THE COMPLIANCE SYSTEM
Section 1 ♦️ Systemic Articulation between Vigilance, Due Diligence, Conformity and Compliance: Vigilance, Total Share of the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche
Section 2 ♦️ Intensity of the Vigilance Obligation by Sectors: the case of Financial Operators, by 🕴️Anne-Claire Rouaud
Section 3 ♦️ Intensity of the Vigilance Obligation by Sectors: the case of Banking and Insurance Operators, by 🕴️Mathieu Françon
Section 4 ♦️ Intensity of the Vigilance Obligation by Sectors: the case of Digital Operators, by 🕴️Grégoire Loiseau
Section 5 ♦️ Intensity of the Vigilance Obligation by Sectors: the case of Energy Operators, by 🕴️Marie Lamoureux
CHAPTER II: VARIATIONS OF TENSIONS GENERATED BY THE VIGILANCE OBLIGATION, SPEARHEAD OF THE COMPLIANCE SYSTEM
Section 1 ♦️ Rethinking the Concept of Civil Liability in the light of the Duty of Vigilance, Spearhead of Compliance, by 🕴️Mustapha Mekki
Section 2 ♦️ The transformation of governance and due diligence, by 🕴️Véronique Magnier
Section 3 ♦️ Technologies available, prescribed or prohibited to meet Compliance and Vigilance requirements, by 🕴️Emmanuel Netter
CHAPTER III: NEW MODALITIES OF THE COMPLIANCE OBLIGATION, HIGHLIGHTED BY THE VIGILANCE IMPERATIVE
Section 1 ♦️ How the Vigilance Imperative fits in with International Legal Rules, by 🕴️Bernard Haftel
Section 2 ♦️ Contracts and clauses, implementation and modalities of the Vigilance Obligation, by 🕴️Gilles J. Martin
Section 3 ♦️ Proof that Vigilance has been properly carried out with regard to the Compliance Evidence System, by 🕴️Jean-Christophe Roda
TITLE V.
THE JUDGE AND THE COMPLIANCE OBLIGATION
Section 1 ♦️ Present and Future Challenges of Articulating Principles of Civil and Commercial Procedure with the Logic of Compliance, by 🕴️Thibault Goujon-Bethan
Section 2 ♦️ Mediation, the way forward for an Effective Compliance Obligation, by 🕴️Malik Chapuis
Section 3 ♦️ The Judge required for an Effective Compliance Obligation, by 🕴️Marie-Anne Frison-Roche
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April 18, 2024
Publications
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____
► Full reference: M.-A. Frison-Roche, "L’usage des puissances privées par le droit de la compliance pour servir les droits de l’homme" (Use of private companies by Compliance Law to serve Human Rights) , in J. Andriantsimbazovina (dir.), Puissances privées et droits de l'Homme. Essai d'analyse juridique, Mare Martin, coll. "Horizons européens", 2024, pp. 279-295
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🚧read the Bilingual Working Paper on which this article is based, with more technical developments, references and hypertext links
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► English Summary of this article: Following the legal tradition, Law creates a link between power with a legitimate source, the State, public power being its prerogative, while private companies exercise their power only in the shadow of this public power exercised ex ante. The triviality of Economic Law, of which Competition Law is at the heart, consisting of the activity of companies that use their power on markets, relegates the action of the State to the rank of an exception, admissible if the State, which claims to exercise this contrary power, justifies it. The distribution of roles is thus reversed, in that the places are exchanged, but the model of opposition is shared. This model of opposition exhausts the forces of the organisations, which are relegated to being the exception. However, if we want to achieve great ambitions, for example to give concrete reality to human rights beyond the legal system within which the public authorities exercise their normative powers, we must rely on a new branch of Law, remarkable for its pragmatism and the scope of the ambitions, including humanist ambitions, that it embodies: Compliance Law.
Compliance Law is thus the branch of Law which makes the concern for others, concretised by human rights, borne by the entities in a position to satisfy it, that is to say the systemic entities, of which the large companies are the direct subjects of law (I). The result is a new division between Public Authorities, legitimate to formulate the Monumental Goal of protecting human beings, and private organisations, which adjust to this according to the type of human rights and the means put in place to preserve them. Corporations are sought after because they are powerful, in that they are in a position to make human rights a reality, in their indifference to territory, in the centralisation of Information, technologies and economic, human, and financial means. This alliance is essential to ensure that the system does not lead to a transfer of political choices from Public Authorities to private companies; this alliance leads to systemic efficiency. The result is a new definition of sovereignty as we see it taking shape in the digital space, which is not a particular sector since it is the world that has been digitalised, the climate issue justifying the same new distribution of roles (II).
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📝read the article (in French)
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April 4, 2024
Thesaurus : Doctrine
► Full Reference: Conseil d'État (French Administrative Supreme Court) & Cour de cassation (French Judiciary Supreme Court), De la régulation à la compliance : quel rôle pour le juge ? Regards croisés du Conseil d'Etat et de la Cour de cassation, ("From Regulatory Law to Compliance Law: what role for the Judge?"), La Documentation française, coll. "Droits et Débats", 2024, 241 p.
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📗read the coverback (in French)
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📗read the table of content (in French)
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► Summary of this book : "Compliance, sometimes translated in French by the word "conformité" ("conformity"), is an extension of Regulatory Law and represents from it a new and decisive step forward.
Compliance brings together all the mechanisms implemented within an organisation to achieve general interest goals (security, sustainability), thereby countering systemic risks. By relying on the rules, legal and ethical standards that embody these values, which are imposed on them and internalised by them, enterprises can both prevent the risk of sanctions and participate in this alliance between public authorities, economic operators and stakeholders to detect and prevent future systemic disasters.
Organisé par le Conseil d’État et la Cour de cassation, le colloque du 2 juin 2023 analyse ce changement de paradigme créé par cette nouvelle branche du droit.".
Organised by the Conseil d'État (French Administrative Supreme Court) and the Cour de cassation (French Judiciary Supreme Court), the conference on 2 June 2023, basis of this book, has analysed this paradigm shift created by this new branch of law: Compliance Law.
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📝read the presentation in English of the concluding contribution of Marie-Anne Frison-Roche : "Le rôle du juge dans le déploiement du droit de la régulation par le droit de la compliance"
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📝read the presentation in English of the contribution of François Ancel : "Quel rôle pour le juge aujourd’hui dans la compliance ? Quel office processuel du juge dans la compliance ?"
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April 4, 2024
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► Full Reference: M.-A. Frison-Roche, "Le rôle du juge dans le déploiement du droit de la régulation par le droit de la compliance" ("Synthesis: The role of the Judge in the deployment of Regulatory Law through Compliance Law"), Synthesis in Conseil d'État (French Council of State) and Cour de cassation (French Court of cassation), De la régulation à la compliance : quel rôle pour le juge ? Regards croisés du Conseil d'Etat et de la Cour de cassation - Colloque du 2 juin 2023, La Documentation française, "Droits et Débats" Serie, 2024, pp. 173-182
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🚧read the bilingual Working Paper which is the basis of this article, with additional developments, technical references and hyperlinks
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► Presentation of this concluding article: It is remarkable to note the unity of conception and practice between professionals who tend to work in administrative jurisdictions and professionals who tend to work in judicial jurisdictions: they all note, in similar terms, an essential movement: what Regulatory Law is, how it has been transformed into Compliance Law, and how in one and even more so in the other the Judge is at the centre of it.
Judges, as well as Regulators and European officials, explain this and use different examples to illustrate the far-reaching changes it brings to the Law and to the companies responsible for increasing the systemic effectiveness of the rules through the practice and dissemination of a Culture of Compliance.
The role of the judge participating in this Ex Ante transformation is renewed, whether he/she is a judge of Public Law or a judge of Private Law, in a greater unity of the legal system.
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► English Summary of this article: The tug-of-war between 'Compliance' and 'conformity', which is exhausting us, obscures what is essential, i.e. the great novelty of a branch of law that assumes a humanist vision expressing the ambition to shape the future so that it is not catastrophic (preventing systems from collapsing), or even better (protecting human beings in these systems).
The article begins by describing the emergence of Compliance Law, as an extension of Regulatory Law and going beyond it. This new branch of law takes account of our new world, brings its benefits and seeks to counter these systemic dangers so that human beings could be their beneficiaries and are not crushed by them. This branch of Ex Ante Law is therefore political, often supported by public Authorities, such as Regulatory Authorities, but today it goes beyond sectors, as shown by its cutting edge, the Obligation of Vigilance.
The "Monumental Goals" in which Compliance Law is normatively anchored imply a teleological interpretation, leading to an "empowerment" of the crucial operators, not only States but also companies, responsible for the effectiveness of the many new Compliance Tools.
The article goes on to show that Judges are increasingly central to Compliance Law. Lawsuits are designed to make companies more accountable. In this transformation, the role of the judge is also to remain the guardian of the Rule of Law, both in the protection of the rights of the defence and in the protection of secrets. Efficiency is not what defines Compliance, which should not be reduced to a pure and simple method of efficiency, which would lead to being an instrument of dictatorship. This is why the principle of Proportionality is essential in the judge's review of the requirements arising from this so powerful branch of Law.
The courts are thus faced with a new type of dispute, of a systemic nature, in their own area, which must not be distorted: the Area of Justice.
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📝read article (in French)
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