Crucial operator

Reférence complète : Frison-Roche, M.-A., Les fonctions de la Compliance. Un choix politique à faire ("The functions of Compliance. A political choice to do"), in  Borga, N. et Roda, J.-Ch. (dir.), La compliance : nouveaux enjeux pour les entreprises, nouveaux rôles pour les juristes ? ("Compliance: new challenges for companies, new roles for lawyers?"), Centre du Droit de l'entreprise Louis Josserand, Université Lyon IIII Jean Moulin, France, Lyon, 2 juin 2017. Read the program (in French) Summary of the conference : Compliance mechanisms are being constituted in "Compliance Law", new branch of Economic Law. Its functions are determined by the goals. But the goals are "monumental", since it is nothing less than the end of corruption, trading in influence, arms trafficking, international terrorism, trafficking in human beings, selling of human organs, the effective safeguard of environmental protection, safeguarding the planet, access to culture for all, preservation of civilization, the effectiveness of human rights … The goals of a company are not a priori of this order, even if every firm understands that it is clever to appear amiable. By comparing the two types of goals, a difference of nature is measured. By the Compliance Law, companies are therefore invited to "get out of themselves. Consequently, the functions that shape the contours of Compliance Law transform those who are the "subjects of law", the enterprises: these are the subjects, insofar as they are agents of legality. But this can not be the case for all companies. If the effect of Compliance were to be generalized to all companies, this would be catastrophic and would make no sense. However, who firmly and precisely drew the circle of "legal subjects eligible to be the legality agent" of Compliance? With the considerable costs and responsibilities that go with it? If it has not been the Legislator, it will have to be the Judge. Because the judge is guardian of the spirit of Law and guardian of legal orders. Especially if it is a global legal order. - Moreover, companies are not only passive subjects of Compliance Law – which would be the case of a misunderstood Compliance Law – but are also active subjects of Compliance Law. Indeed, these "monumental goals" which draw the functions of the Compliance are exactly the same as those of the Corporate Social Responsibility. Thus, if the Compliance is conceived of only as an immense and empty submission of all undertakings to total regulation, the result will be an opposition between the regulatory power and the will of undertakings, a concrete opposition between public authorities and companies. If, on the other hand, we conceive Compliance Law as that by which "crucial enterprises" like the Regulators are moving towards the realization of "monumental goals, then Compliance Law crystallizes a" Trust Pact""between the two, Which goes beyond the borders and becomes a means of regulating globalization. This second conception is the future of European Law. -   See the slides (in French). Read the working paper on which the conference is based (working paper in English)

TRANSLATED SUMMARIES ENGLISH “Acting in a neutral way” is an oxymoron. “Companies often require however that States use their powers in a neutral way (eg tax neutrality). In regulated sectors, some are right or even duty , of not being neutral. Firstly, it is the State, which requires the market for other purposes, other temporalities and other values​​. Secondly, they are also the “crucial operators”, which are sort of regulators of second degree, such as transmission system operators or companies capital markets firms. The difficulty increases when the systeme requires neutrality of regulators and judges, when first build economic policy and the second create jurisprudence. Their consistency, impartiality and rationality can create an objectifiable neutralitys FRENCH «Agir de façon neutre» est un oxymoron. «Les entreprises ont souvent besoin, cependant, que les États utilisent leurs pouvoirs de manière neutre (neutralité fiscale par exemple). Dans les secteurs réglementés, certains ont le droit ou même le devoir de ne pas être neutre. Tout d’abord, c’est l’État, qui insère le marché à d’autres fins, d’autres temporalités et d’autres valeurs. En second lieu, ils sont aussi les «opérateurs crucial», qui sont des sortes de régulateurs du second degré : par exemple les opérateurs de réseaux de transport ou de entreprises de marchés financiers. La difficulté augmente lorsque le systeme économique et politique exige la neutralité des autorités de régulation et des juges, alors que les premiers construisent la politique économique et les seconds construisent la jurisprudence. Le respect qu’ils doivent avoir de l’impartialité et d’une rationalité suffisamment objectivables pourra permettre cette objectivité requise.

Full reference: CJCE, 4th of June 2002, Decision C-483/99, Commission v/ France (Total) Read the decision