Thesaurus : Doctrine

 Full Reference complète : Marty, F., L'apport des programmes de conformité à la compétitivité internationale : une perspective concurrentielle, in Frison-Roche, M.-A. (dir.), Les buts monumentaux de la Compliance, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published.


► English Summary of this 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.


📕go to the general presentation of the book, Les Buts Monumentaux de la Compliance, in which this article is published.



Référence complète : Grandjean, J.P., rapporteur, Rapport sur l'avocat chargé d'une enquête interne, Conseil de l'Ordre des Avocats, Paris, 8 mars 2016. 


Lire le rapport. 


Feb. 7, 2022

Editorial responsibilities : Direction of the collection "Cours-Série Droit privé", Editions Dalloz (33)

Référence complète : Cayrol, N., Procédure civile, 4ième éd., Coll. "Cours Dalloz-Série Droit privé", Dalloz, 2022, 569 p.


Présentation de l'ouvrage : L'étude de la procédure civile est indispensable à tous les étudiants désireux d'embrasser une « carrière judiciaire » : magistrat, avocat, huissier, etc. Par nombre d'aspects, la procédure civile est bien, en effet, un droit professionnel, un droit à l'usage des professionnels du procès. La matière figure d'ailleurs aux épreuves des concours et examens d'accès à ces professions.

Mais la procédure civile n'est pas seulement un droit professionnel : elle traite de problèmes qui intéressent tous les juristes, quels qu'ils soient, qu'ils pratiquent ou non la procédure. La connaissance des notions procédurales de base est nécessaire pour la bonne compréhension de nombreuses questions de droit.


Lire la table des matières.

Lire la quatrième de couverture.



📚Voir l'ensemble des ouvrages de la même collection "Cours Dalloz -Série Droit privé", créée et dirigée par Marie-Anne Frison-Roche,

et notamment ceux qui traitent des branches du Droit interférant avec la Procédure civile :

📕  Procédure pénale

📕  Procédures civiles d'exécution

📕  Institutions juridictionnelles




Sept. 23, 2021

Thesaurus : Doctrine

 Full Reference: Scemla, S. & Paillot, D., The supervisory authorities face difficulties to apprehend the rights of the defence in Compliance matters, in Frison-Roche, M.-A. (ed.),Compliance Jurisdictionalisationsérie "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.


 Article Summary(done by the Author) : Since 2016, French companies subject to the provisions of the so-called “Sapin 2” Law must implement eight stringent anti-corruption measures, such as a risk mapping, a whistleblowing procedure or a third-party due diligence procedure.

To ensure their compliance with these obligations, the Sapin 2 law created the Agence française anticorruption - AFA (French Anti-Corruption Agency), which had been assigned three missions: firstly, to help any person prevent and detect corruption; secondly, to control the quality and effectiveness of the anti-corruption programs deployed by the companies; and thirdly, to sanction any breaches, through its Sanctions Committee.

As pointed out by the French Conseil d’Etat, the powers devolved to the administrations have multiplied and became stratified. While the Conseil d'Etat suggests to improve both the conduct and the effectiveness of administrative controls by harmonising their practices and simplifying their prerogatives, it is urgent to remedy the numerous procedural failures that undermine the rights of defence.

In fact, the AFA exercises various powers when undertaking its controls. Some of these powers are not provided for by the Law, and most of them infringe fundamental rights and freedoms among which the adversarial principle and the freedom not to self-incriminate. For instance, the AFA does not necessarily draft minutes of the interviews it conducts, thus depriving the interviewee of the possibility to challenge the statements reported by the AFA to the Sanctions Committee.

From a more structural point of view, the scope of the AFA's mission is extremely broad. The Law allows the AFA to request the communication of "any professional document or any useful information", without defining the notion of usefulness. Also, the AFA considers that the entity cannot benefit from the legal privilege that would cover their documents, and considers that an entity who voluntarily hands over a document, without expressing any reserves, waives its right to the benefit of its legal privilege.

Apart from the severe consequences that could arise if another proceedings was to be initiated by a foreign authority, the concept of "voluntary handover" does not faithfully reflect the reality. Indeed, the controlled entities only cooperate under the threat of being prosecuted on the basis of an obstruction to the control, which compels them to communicate documents even when facing the risk of contributing to their own incrimination.

These many procedural deficiencies encountered during AFA controls must therefore be reformed, as recommended by the Conseil d’Etat, so as to require the authorities to take into account the rights of the defence.



📝 read the general presentation of the book in which this article is published


June 23, 2021

Thesaurus : Doctrine

 Full Reference: Bavitot, A., C., Le façonnage de l'entreprise par les accords de justice pénale négociée (("Shaping the company through negotiated Criminal Justice Agreements"), in Frison-Roche, M.-A. (dir.), La juridictionnalisation de la Compliancesérie "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) et Dalloz, à paraître. 


 Article Summary (done by the author): Negotiated justice is "the situation in which the criminal conflict is the object of a trade in the etymological sense of the term negotio, i.e. a debate between the parties to reach an agreement".

Thus, the French legislator has succumbed to globalized mimicry by creating the Convention judiciaire d'intérêt public (Public Interest Judicial Agreement), first in matters of probity and then in environmental matters. What is the nature of this deal of justice? Validated by a judge's order, it does not entail any declaration of guilt, has neither the nature nor the effects of a judgment of conviction and is not registered in the judicial record. Possible at the investigation stage as well as at the pre-trial stage, the Public Interest Judicial Agreement is original in that it makes it possible to avoid either the prosecutor's proceedings or the judge's wrath.

A detailed study of the agreements signed shows that in order to negotiate in the best possible way, the company can and must shape itself. The company will shape the facts of its agreement, shape its charge and, finally, shape its sentence. The article offers a concrete analysis of these three dimensions of corporate shaping to better approach understanding the legal nature of negotiated criminal justice agreements.



📝 Consulter une présentation générale du volume dans lequel l'article est publié.


June 23, 2021

Thesaurus : Doctrine

 Full Reference: Heymann, J., La nature juridique de la "Cour suprême de Facebook", in Frison-Roche, M.-A. (dir.), La juridictionnalisation de la Compliancesérie "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published. 


 The summary below describes an article following the colloquium L'entreprise instituée Juge et Procureur d'elle-même par le Droit de la Compliance , co-organized by the Journal of Regulation & Compliance (JoRC) and the Faculté de Droit Lyon 3. This manifestation was designed under the scientific direction of Marie-Anne Frison-Roche and Jean-Christophe Roda and took place in Lyon on June 23, 2021.

In the book, the article will be published in Title I, devoted to: The Entreprise instituted Judge and Prosecutor of itself by Compliance Law.


 Article Summary (done by the author) : Taking place in the general theme aiming at making “words and things coincide”, the article offers some thoughts on the “conditions of the discourse” – in the sense in which Foucault understood it in his Archéologie des sciences humaines – relating to the phenomenon of “jurisdictionalization” of Compliance.

            The thoughts are more specifically focusing on the nature of the so-called “Supreme Court” that Facebook instituted to hear appeals of decisions relating to content on the digital social networks that are Facebook and Instagram. Is this really a “Supreme Court”, designed in order to “judge” the Facebook Group?

            A careful examination of the Oversight Board – i.e. the so-called “Supreme Court” created by Facebook – reveals that the latter, in addition to its advisory mission (which consists of issuing policy advisory opinions on Facebook’s content policies), exercises some form of adjudicative function. This is essentially conceived in terms of compliance assessment, of the content published on the social networks Facebook or Instagram with the standards issued by these corporations on the one hand, of content enforcement decisions taken by Facebook with the Law on the other hand. The legal framework of reference is yet rather vague, although its substantial content seems to be per se evolutive, based on the geographical realm where the case to be reviewed is located. An adjudicative function can therefore be characterized, even if the Oversight Board can only claim for a limited one.

            The author can ultimately identify the Oversight Board as a preventive dispute settlement body, in the sense that it seems to aim at avoiding any referral to state courts and ruling before any court’s judgement can be delivered. Some questions are thus to be raised, relating with both legitimacy and authority of such a Board. But whatever the answers will be, the fact remains that the creation of the Oversight Board by a private law company already reveals all the liveliness of contemporary legal pluralism.



📝 Consulter une présentation générale du volume dans lequel l'article est publié.




March 21, 2021

Compliance: at the moment

Updated: Jan. 14, 2021 (Initial publication: Dec. 14, 2020)


  Full Reference : Frison-Roche, M.-A., The Economic Attractiveness of Impartiality ("L'attractivité économique de l'impartialité"), in ""Economic Attractiveness, Judge Office and Impartiality. Thinking the judge Office" ("L'attractivité économique, l'office du juge et l'impartialité. Penser l'office du juge"), 



🎥 watch the conference (in French with English subtitles)



📝 read the colloquium program ( in French)

📝 see the general program of the cycle on the Judge Office.



📝 read François Ancel's article of 14th of January 2021 in the Receuil Dalloz and which report this colloquium (in French) 



📝 read the Working Paper, basis of this conference.

This Working Paper is significantly different from the conference because it was conceived befor the colloquia cycle beginning. In addition, since this manifestation was a Round Table, the conference has taken more into account previous conferences and what said the other two speakers.


📊 see the slides, basis of the conference (in French)

The slides could not be shown during the conference. Orally, it was appropriate to more develop the introductory remarks for emphasizing the human and unique dimension of the Judge Office, expected in economic matters. As a result, the second part of the conference was not given orally, so slides therefore remain the only media available.


  Summary of the conference : To fit into the ambition of this general colloquia cycle, which is to "Think the Judge Office" and in this round table which apprehends the imperative of economic attractiveness of this office, firstly emerges the seemingly contradictory relationship between this imperative and the distance that the judge must maintain. Thus it is often asserted that the judge should be internalized at this point in the "places", - an economic concept of great scope (to which the first part of the introduction is devoted, defining the "place" at the same time as a closed and porous space and as a "systemic litigant" -, that he/she should ipso facto lose his/her distance, that is to say his/her impartiality. As places are in competition, even if weighing on one hand the effectiveness of the place, and on the other hand the impartiality of a judge who is external to this place - Judge referring to the Law , Impartiality would necessarily emerge weakened. It would then be necessary on a case-by-case basis to get the judge to give the desired concessions...

The conference aim is to take the opposite position and to state that the Place - in particular because they must be strongly distinguished from the Markets, of which they were the ancestors - require a Judge, who is at the same time "singular", that is to say with a personality, a face, opinions, and in distance so that his/her imagination does not surprise Place. Indeed, these require a human Justice, and a not mechanical one and singular judges, of whom the juge des référés or the arbitrator are the epigone, meets this need. But for reducing their "margins of discretion", how Economy qualifies the Impartiality of a person who can never be neutral, the singular Judge's Office must be inserted into mechanisms reducing these margins. In this way, the Place may reach a Judge who is always more impartial, and in doing so the Place becomes always more attractive.

To achieve this in practice, the place expresses two legitimate expectations, as a "systemic litigant", whose satisfaction increases and the singular Judge's Impartiality and increases the Attractiveness of the Place as a space. This clearly shows that the Place's Attractiveness and the Judge's Impartiality, because judges are inserted into procedures, into institutions and into a "jurisdictional family", are not only not contradictory, but are on the contrary convergent, one fueling the other.

Concretely, and judicial practice shows it, it is necessary to consolidate the particular Judge's Impartiality by inserting him/her into collective processes. As it is necessary to promote a radiance of Impartiality by strengthening the "jurisdictional family".

To consolidate the singular Judge's Impartiality  by inserting him/her into collective processes, it is necessary to admit without hesitation the subjectivity of the judge, to seek it even. The reduction of the margins of discretion, definition of impartiality, being obtained by the inclusion of the judge in a procedure of which he /her alone is the master but in which he/her is not alone. This has the technical consequence that he/her is himself/herself in an adversarial debate, not only during the proceedings, but also before (in the media), inside the judgment (and the decision of the Criminal Chamber of 25 November 2020 is a model of that) and after the judgment. By that, the Judge shows that by his/her office he/she is in the future, as climate justice will show. In addition, to limit his/her margins of discretion, the singular judge must fit into a rational principle of coherence, vertical and horizontal. Vertical coherence, because he/she integrates what it is said and the technique of the "determining opinion" is to be encouraged, the singular judge having to avoid it only if he/she has "strong reasons" to do it. This is to follow  this general rule Comply or Explain (which is the very opposite of blind obedience). Horizontal coherence, because the singular judge either sticks to what he/she said, estoppel also being a rule of logic. But above all, the institution must extract as much as possible from " institutional doctrines", by all means, of which the annual reports are an example.

To consolidate the singular Judge's Impartiality by strengthening the notion and reality of the "Jurisdictional Family", it is necessary to have of it a broader conception, which could lead to "guidelines" common to various jurisdictions, and a stronger one, by integrating those surrounding the judge to lead to judgment. In this, the procedure before the Court of Justice of the European Union, working on a common file, is a model. If this community were even stronger, the Judge Office would be even more useful than it is already in the digital space.

Thus, Judges who are always human, always diverse, always singular, who listen, consider and adjust to the situation, who within a Jurisdictional Family fit into an Institutional Doctrine which transcends and supports them but which they transform if there is a strong reason to do so, a reason always expressed said: this is the embodied Impartiality that makes an economic and financial Place attractive.






Nov. 1, 2020

Newsletter MAFR - Law, Compliance, Regulation

Full reference: Frison-Roche, M.-A., Due process and Personal Data Compliance Law: same rules, one Goal (CJEU, Order, October 29, 2020, Facebook Ireland Ltd v/ E.C.)Newsletter MAFR - Law, Compliance, Regulation, 1st of November 2020

Read by freely subscribing other news of the Newsletter MAFR - Law, Compliance, Regulation

Read Marie-Anne Frison-Roche's interview in Actu-juridiques about this decision (in French)


Summary of the news: 

As part of a procedure initiated for anti-competitive behaviors, the European Commission has three times requested, between the 13th of March and the 11th of November 2019, from Facebook the communication of information, reitarated in a decision in May 2020.  

Facebook contests it alleging that the requested documents would contain sensitive personal information that a transmission to the Commission would make accessible to a too broad number of observers, while "the documents requested under the contested decision were identified on the basis of wideranging search terms, (...) there is strong likelihood that many of those documents will not be necessary for the purposes of the Commission’s investigation". 

The contestation therefore evokes the violation of the principles of necessity and proportionality but also of due process because these probatory elements are collected without any protection and used afterwards. Moreover, Facebook invokes what would be the violation of a right to the respect of personal data of its employees whose the emails are transferred. 

The court reminds that the office of the judge is here constraint by the condition of emergency to adopt a temporary measure, acceptable by the way only if there is an imminent and irreversible damage. It underlines that public authorities benefit of a presumption of legality when they act and can obtain and use personal data since this is necessary to their function of public interest. Many allegations of Facebook are rejected as being hypothetical. 

But the Court analyzes the integrality of the evoked principles with regards with the very concrete case. But, crossing these principles and rights in question, the Court estimates that the European Commission did not respect the principle of necessity and proportionality concerning employees' very sensitive data, these demands broadening the circle of information without necessity and in a disproportionate way, since the information is very sensitive (like employees' health, political opinions of third parties, etc.). 

It is therefore appropriate to distinguish among the mass of required documents, for which the same guarantee must be given in a technique of communication than in a technic of inspection, those which are transferable without additional precaution and those which must be subject to an "alternative procedure" because of their nature of very sensitive personal data. 

This "alternative procedure" will take the shape of an examination of documents considered by Facebook as very sensitive and that it will communicate on a separate electronic support, by European Commission's agents, that we cannot a priori suspect to hijack law. This examination will take place in a "virtual data room" with Facebook's attorneys. In case of disagreement between Facebook and the investigators, the dispute could be solved by the director of information, communication and medias of the Directorate-General for Competition of the European Commission. 


We can draw three lessons from this ordinance: 

  1. This decision shows that Procedural Law and Compliance Law are not opposed. Some often say that Compliance guarantees the efficacy and that Procedure guarantees fundamental rights, the protection of the one must result in the diminution of the guarantee of the other. It is false. As this decision shows it, through the key notion of sensitive personal data protection (heart of Compliance Law) and the care for procedure (equivalence between communication and inspection procedures; contradictory organization of the examination of sensitive personal data), we see once again that two branches of Law express the same care, have the same objective: protecting people. 
  2. The judge is able to immediately find an operational solution, proposing "an alternative procedure" axed around the principle of contradictory and conciliating Commision's and Facebook's interests has shown that it was able to bring alternative solutions to the one it suspends the execution, appropriate solution to the situation and which equilibrate the interest of both parties. 
  3. The best Ex Ante is the one which anticipate the Ex Post by the pre-constitution of evidence. Thus the firm must be able to prove later the concern that it had for human rights, here of employees, to not being exposed to sanctioning pubic authorities. This Ex Ante probatory culture is required not only from firms but also from public authorities which also have to give justification of their action. 





May 28, 2020


Full reference: Frison-Roche, M.-A., L'impossible unicité juridique de la catégorie des "lanceurs d'alertes" ("The impossible legal unicity of the category of "whistleblowers""), in Chacornac, J. (dir.), Lanceurs d'alertes, regards comparatistes, ("Whistleblowers, comparative perspectives"), Publications of the Centre français de droit comparé ("French Comparative Law Center"), May 2020, Volume 21, p.13-31. 


Read the article (in French).   

Read the general presentation of the collective book in which this article is published

Read the bilingual working paper which had served of basis for this article. 

Read the presentation of the conference "Les lanceurs d'alertes: glose" (Whistleblowers: glose") and especially the slides elabored for the colloquium organized by the Centre français de droit comparé ("French Comparative Law Center") on 23th of November 2018 under the direction of Jérôme Chacornac


Introduction of the article

"Whistleblowers". This is a new expression. Which is a great success. Barely heard once, we hear it everywhere ...

A topic not of course or knowledge test, but rather a topic of daily conversation. Because it is spoken to us every day, in more or less gracious terms. For example President Donald Trump on October 1, 2019 declared to the press "want to question" the whistleblower who would have illegally denounced him and would not, according to him, have the right to conceal his identity, proof in this according to him of the lying character of his assertions against him, while his lawyer indicates on October 6, 2019 that he is not speaking on behalf of a single whistleblower thus taken to task but of a plurality of people who gave information against the President of the United States. Even the most imaginative screenwriters would not have written such brutal and rapid twists and turns. Spectators, we are waiting for the next episode, secretly hoping for the escalation.

And precisely if we go to the cinema, it is still a whistleblower whose dedication and success, we are told about, even the drama, for the benefit of global society, and in particular democracy, since the secrets are fought for the benefit of the truth. The Secret Man designates Mark Felt as the first whistleblower. Returning to what we often present as being a more "serious" media!footnote-1391, we listen to France-Culture and here is another story told by a historian who worked as an archivist on events that political power would have liked to keep hidden by possibly destroying their traces but which its trade led to preserve: here it is expressly presented to the studious listeners like a "whistleblower" .... While the same radio tries to find the one who could well be, as in a kind of contest the "first whistleblower"!footnote-1727? .... This rewriting of History can be defended because ultimately what did other Voltaire do for Calas, or Zola for Dreyfus?

It is also a subject of legislative discussion since in the United States the Dodd-Frank law of 2010 inserted in the law of 1934 which established the Securities & Exchanges Commission a complete device of remuneration and remuneration of the whistleblowers, whereas after having developed flexible but guiding lines in this regard in 2012!footnote-1698, the European Commission published on November 20, 2018 the text of what will become a Directive intended to give a unified European status to the character, in the system gradually developed to protect the one who was presented in 2018 as that "cannot be punished for having done what is right".

In Europe, the Directive first approved by a Resolution of the European Parliament on April 16, 2019 on the protection of persons denouncing breaches of Union Law and then adopted on October 7, 2019 (Directive of the European Parliament and of the Council of European Union on the Protection of Persons who Report Violations of European Union Law, different title, it should be noted, will have to be transposed into the laws of the Member States within the next two years. , since only "violations of Union Law" are targeted, but the character of the "whistleblower" is more generally targeted: he is "whole"!footnote-1699.

In short, the whistleblower is a star!footnote-1390. A sort of historical figure, covered in blows and glory, going from Voltaire to Snowden, both of whom find themselves embodied on the screens!footnote-1681 ....,

Consecrated by law, which associates with it a legal regime of protection to such an extent that, like a Nessus tunic, it is this legal regime which will define the character and not the reverse. When we read the law of December 9, 2016 relating to transparency in the fight against corruption and the modernization of economic life, known as "Sapin 2", we notice that the Legislator makes much of this character, since 'he dedicates its chapter II to him!footnote-1682: "From the protection of whistleblowers", and that it is by his very protection that he formally opens the door of Right to him.

But why a plural? Admittedly when we read the recitals of the Community Directive of October 7, 2019 on the protection of whistleblowers!footnote-1702, it is only a list of all the subjects on which it is a good idea to protect them, which therefore prompts us to see in this plural only the index of this non-exhaustive list of subjects which it is good to tell us, a sign of the lack of definition of who should alert us. Reading the French law known as "Sapin 2" makes it less severe but more perplexing. Indeed, this plurality referred to by the title of the chapter devoted to "whistleblowers", there is no longer any question in the rest of the law, in the very definition which follows, article 6 which opens this chapter devoted to "whistleblowers" offering the reader immediately a singular since it begins as follows: "A!footnote-1684 whistleblower is a person ...". No mention of diversity. The art of legislative writing would however have required that the qualifying article not only be singular but that it should not yet be undefined. Stendhal if he had still deigned to have the law for bedside book would have wanted to find at the beginning of chapter a sentence like: "The!footnote-1683 whistleblower is a person ...".

Thus seem to contradict themselves within the law "Sapin 2 the very title which presents the character, in that it uses a defined plural (the) while the defining article which presents it is in the undefined singular (one). ...

Here is a first reason not to advance any more but in a very careful way, in this "step by step" that constitutes a reading word for word: a gloss. This consists of taking the expression itself literally. The second reason for this technical choice is that the gloss is well suited to the introduction of a collective work, thus allowing more targeted developments to take place in other contributions, on the techniques, the difficulties and the limits of this protection, or on its history, or the reasons for the arrival in French law of these whistleblowers and the way they develop, or not, elsewhere.

I am therefore going to content myself with taking this already legal expression to the letter: The (I) whistle (III). blowers (II). 




Aug. 29, 2019


L'ouvrage de Christophe André, Droit pénal spécial, vient de paraître dans sa 5ième édition, dans la collection Cours Dalloz - série Droit privé.

Il fût un temps où l'on ne faisait pas plus "spécial" que le Droit pénal spécial.

Déjà le Droit pénal, que l'on disait "autonome" était spécial (et merci à l'auteur d'en rappeler les bases en début d'ouvrage), mais en son sein l'on ressemblait l'ensemble de chacune des infractions. Un peu comme le Droit du contrat et les contrats spéciaux. 

Mais le Droit pénal spécial l'implique plus encore, parce que le Droit pénal général est lui-même spécial, puisqu'il est une exception au principe de liberté et que ce principe d'exception implique un isolement de chaque infraction close sur elle-même.  L'effet de catalogue serait de la nature même de ce Droit si "spécial". 

Comme l'écrit parfaitement Christophe André lorsqu'on arrive au Droit pénal spécial, alors on aborde un "droit très spécial". Il est d'ailleurs usuel de lui consacrer un ouvrage autonome....

Celui qui non seulement fait du Droit des affaires mais même travaille dans un entreprise sans faire particulièrement de Droit fera du Droit pénal des affaires dès l'instant par exemple qu'il s'occupe de gouvernance ou de relations avec les investisseurs. Les mécanismes de Compliance sont visés comme mettant en place un Droit qui n'a plus rien à voir avec le Droit pénal classique, construit même à l'inverse de celui-ci. 

C'est d'une façon liée que l'auteur s'inquiète en affirmant que toute cette pluie particulière de crimes et délits spéciaux, soustrait à un Droit pénal qui semble disparaître ferait naître un "droit d'exception". 

C'est vrai et c'est bien l'enjeu du "Droit de la Compliance" dans son rapport avec le Droit pénal. Qui ne fait que mettre encore plus nettement en valeur la question que ne l'avait déjà fait les rapports entre Droit de la Régulation et Droit pénal.

En effet, lorsqu'on affirme que la "répression" est l'arme principale du Régulateur, que le nombre de sanctions est la mesure de son succès, que les sanctions ne sont que l'outil nécessaire et naturel de l'efficacité de la règle ordinaire, tournant généralement autour de l'information et de la liberté d'aller et de venir (dont la liberté de la concurrence est dérivée), on ôte à la répression son caractère "spécial" pour la rendre ordinaire. Et par un oxymore dont les entreprises sentent chaque jour la pointe c'est en la rendant ordinaire que la répression devient un "droit d'exception", puisqu'il s'est affranchi d'un "principe d'exception" que posait le Droit pénal général.

C'est le principe d'efficacité qui continue à cela. 

Il paraît premier aux économistes.

Il paraît secondaire aux juristes.

Ce n'est pas une question théorique, c'est une question pratique.

Ainsi la décision de la Commission des sanctions de l'Agence Française Anticorruption, dans sa décision du 4 juillet 2019 est une parfaite illustration de cette tension. L'autorité de poursuite que constitue le président de l'AFA avait estimé que l'efficacité du système objectif et structurel de compliance justifiait une sanction sans avoir à prouver un comportement. La Commission des sanctions s'y refuse, dès l'instant que l'entreprise a suivi les recommandations émise par l'AFA, sauf au directeur de celle-ci a démontré un manquement malgré cela.

Comme quoi en matière de droit pénal tout est question de technique probatoire, cette articulation entre le droit pénal substantiel et la procédurale pénale, celle par laquelle ce Droit sort du sommeil dans lequel pourtant sa réussite voudrait qu'il demeure.






May 30, 2018

Thesaurus : 02. Cour de cassation

Feb. 1, 2018


Regardons par exemples les titres du journal Libération du 1ier février 2018 . Cn pourrait s'imaginer être en train de regarder les titres du Recueil Dalloz.
Le constat est : on y parle désormais de Droit sur plus de la moitié des articles.
De cela, il convient de tirer des conséquences.
Ce quotidien grand public, sous le titre "Toute l'actualité en direct", traite 5 informations en utilisant les titres suivants :
  • "Affaire Alexia Daval : une volte-face caméra"
  • "Chibanis discriminés : la justice passe, la SNCF devra payer"
  • "Lactalis "ne peut exclure" que des bébés aient consommé du lait contaminé entre 2005 et 2017
  • "Violences faites aux femmes ou terrorisme : des procès sous pression"
  • "La défenses de Jonathann Daval provoque un tollé"

Cela fait longtemps que l'on parle beaucoup de Droit. Les faits divers ont toujours passionnés. La sociologie a toujours regardé cette façon que le "grand public" a regardé cette représentation que la presse lui donne du Droit. L'affaire des sœurs Papin, qui intéressa aussi Lacan, étant sans doute le plus bel exemple.

Cela fait longtemps aussi que l'on observe dans les médias grand public une appréhension du Droit à travers les procès, alors que non seulement les procès ne sont qu'une partie du Droit, mais encore certains affirment qu'ils ne sont que la partie pathologique du Droit.

Ce qui est remarquable ici, c'est le fait que la plus grande partie de l'actualité du jour concerne le Droit (car l'information sur Lactalis est une information précontentieuse).

Quelles conséquences en tirer ?

Il convient d'apprendre le droit technique aux lecteurs des journaux, c'est-à-dire au "grand public", le Droit (par exemple le droit public, le droit de la responsabilité, le droit de la sécurité des produit, le droit du travail, pour prendre ceux correspondant à cette actualité du jour).

Or, si l'économie fait partie des programmes des lycées, le Droit en est absent. Alors même qu'on explique, à juste titre, qu'on doit inculquer davantage de sciences économiques.

Mais le Droit est une matière qui n'est pas enseignée du tout, sauf dans l'enseignement supérieur spécialisé.

Or, cela intéresse toute la population.Comme le montrent les titres d'un quotidien grand public.

Ne convient-il pas de rapprocher les deux faits, et d'en tirer des conséquences ?

La principale est la nécessité de donner à chacun les moyens de comprendre ces informations juridiques, parce que non seulement c'est important mais aussi parce que cela intéresse chacun (c'est donc un "intérêt aux deux sens du terme).

D'en trouver les voies et les moyens.





Oct. 31, 2017


Référence complète : D'Ambra, D. et Frison-Roche, M.-A., in Mélanges en l'honneur de Jean-Luc Vallens. Liber amicorum, Joly éditions - Lextenso, oct. 2017, p.293 à 303.


En organisant la "résolution bancaire" et en présentant celle-ci comme une "procédure collective spéciale", le Droit a-t-il le front de poser la question : l' État   est-il mortel ? Par nature, le droit des successions suppose la mortalité des êtres humains. Par nature, le droit des procédures collectives suppose la mortalité des entreprises. La résolution bancaire a été inventée récemment parce que pourraient mourir des opérateurs économiques peu ordinaires et intimes de l’ État , les banques qui s'adossent à celui-ci et lui empruntent sa puissance de création monétaire. Mais à l'inverse de la représentation que le Droit se fait des êtres humains et des entreprises, le Droit comme la politique  supposait l'immortalité de l’ État . Les marchés en évoquant sans cesse la "faillite des États" sont-ils en train de remettre en cause cela ?

La Résolution bancaire, si elle ne devait être qu'un espace de procédure collective, en ce qu'elle serait rattachée à des États eux-mêmes "en difficulté" ouvre cette question-là.


Consulter une présentation générale de l'ouvrage.


Lire le working paper bilingue ayant servi de base à l'article, s'appuyant sur le Dictionnaire bilingue du Droit de la Régulation et de la Compliance, comprenant des références, des notes de bas de page développant certains poins et des liens menant vers des documents.


Les étudiants de Sciences po peuvent lire l'article via le Drive dans le dossier "MAFR - Régulation".

March 22, 2017

Thesaurus : Doctrine

Référence complète : Salomon, R., La coexistence nécessaire d'infractions pénales et de manquements administratifs en matière d'abus de marché, in Salomon, R. (dir.), Le contentieux boursier : entre répression pénale et sanction administrative, dossier Bul. Joly Bourse, mars-avril 2017, p.132-137.


Lire la présentation générale du dossier dans lequel l'article a été publié.


Les étudiants de Sciences po peuvent lire l'article via le drive dans le dossier "MAFR - Régulation"

Feb. 3, 2016

Thesaurus : 03. Conseil d'Etat

Référence complète : C.E., sous-section 6 et 1 réunies, Président de l'Autorité des marchés financiers (AMF).


Lire l'arrêt.

June 1, 2015

Thesaurus : Doctrine

Référence complète : M., Mezaguer, Approche transactionnelle et garanties procédurales en droit antitrust de l'Union européenne in Revue de l'Union européenne, n° 389, 2015, p. 353.



Les étudiants de Sciences-Po peuvent lire l'article via le drive " MAFR – Régulation & Compliance "

March 20, 2015


Le 18 mars 2015, Conseil constitutionnel a rendu sur QPC la décision M. John L.. et autres, que chacun va appeler "la décision EADS".

Il est clair que le cumul de poursuite à la fois pour manquement d'initié et pour délit d'initié est déclaré non-conforme à la Constitution. Enfin.

La question pertinente est celle de la portée de la décision.

La lecture de la décision montre que sa portée est considérable. En effet, la jurisprudence jusqu'ici, Conseil d'Etat et Conseil constitutionnel confondus, affirmaient per se  qu'une sanction administrative ete qu'une sanction pénale n'ont pas la même nature.

Or, dans la Décision EADS, c'est fini : le Conseil constate que délit d'initié et manquement d'initié ont la même nature. Dès lors, le cumul n'est pas possible.

Il va falloir pour tous les autres cas, devant toutes les autres Autorités de concurrence et de régulation, examiner si la sanction administrative et la sanction pénale ont de fait la même nature ou non. Au cas par cas.

Le droit a donc changé le 18 mars 2015. Le Conseil constitutionnel montre que l'efficacité, socle de ces mécanismes de cumul, n'est pas tout et que les principes de procédure, par exemple non bis in idem, dès l'instant qu'il y a identité de nature, prévalent.

Accéder à l'article de presse.

Voir ci-dessous les liens pertinents vers les décisions et institutions citées citées.

Feb. 17, 2015


À affaire célèbre, arrêt fameux.

Rendu le 17 février 2015, l'arrêt de la Cour d'appel de Paris dans ce qu'il est convenu d'appeler "l'affaire Tapie" était très attendu.

On se souvient que la sentence arbitrale du 7 juillet 2008 a estimé que lors de la cession des titres de la société Adidas, le Crédit Lyonnais avait commis des fautes dans le conseil qu'il devait au vendeur, le groupe Tapie, octroyant en conséquence une indemnisation à celui-ci pour un montant élevé.

Le CDR, structure privée de defeasance adossée à l'EPFR, structure de l'État, avait tenté plusieurs types de recours contre la sentence, dont un recours en révision. Pour réussir, celui-ci doit s'appuyer sur des "éléments nouveaux et déterminants". En outre, s'il s'agit d'un arbitrage interne (et non pas d'un arbitrage international), la Cour d'appel de Paris si elle accueille une telle voie de recours peut décider de se substituer au Tribunal arbitral et connaître de l'affaire au fond.

Le reste de l'arrêt peut paraître factuel, le dossier civil étant largement alimenté par le dossier pénal, puisque désormais une instance pénale en cours n'oblige plus le juge civile à suspendre le cours du procès qui se déroule devant lui et lui permet au contraire de puiser dans le premier dossier .

L'on se demande ainsi si l'on ait enfin à la fin de l'histoire. Ainsi en est-il de l'obligation ou non de Bernard Tapie de rembourser immédiatement les fonds reçus. Sans doute, puisque les parties sont remises en l'état du fait de la rétractation de la sentence. Dès lors, il lui faut bien rendre ce qu'il est censé n'avoir jamais reçu. Mais parce que l'arrêt ne lui ordonne pas expressément, ne va-t-il pas opposer une inertie contraignant les demandeurs à soit solliciter de la Cour une interprétation de son arrêt soit aller devant le juge de l'exécution ?

Mais l'arrêt contient également une discussion juridique de fond. En effet, suivant que l'arbitrage est "interne" ou "international", les règles de droit changent. C'est pourquoi les parties se sont beaucoup disputées à ce propos. La Cour d'appel de Paris choisit de qualifier l'arbitrage d' "arbitrage interne" : bien joué, puisque cela lui permet de trancher le litige au fond après avoir rétracté la sentence au titre de l'action en révision.

Mais la qualification est un art juridique contrôlée par la Cour de cassation. Après une longue évolution jurisprudentielle, le Code de procédure civile a fini par qualifier l'arbitrage international par l'objet sur lequel il porte : un "intérêt du commerce international". Est-ce le cas en l'espèce ?


Dec. 17, 2014


Toulouse School of Economics, Conference in Law and Economics

Organizers : Simone M. Sepe and Jean Tirole

Read the program.

Read The Working Paper (in French and in English)

See the speech plan

See the slides

Aug. 31, 2014


L'ouvrage de Stéphane Voisard est très intéressant car il montre que des personnes privées sont intégrées par la puissance publique pour que le système de supervision des banques soit efficace. Il faut mais il suffit que ces personnes soient des experts fiables et crédibles.

Il montre tout à la fois que c'est une conception assez générale du droit administratif.

Son ouvrage démontre que cet état du droit et de sa pratique dépasse la distinction du droit public et du droit privé. 

Aug. 29, 2014


Lire l'arrêt.

Les comptes de campagne politique sont examinés par un organisme ad hoc, la Commission Nationale des comptes de campagne (CNCCFP).

La presse voulant toujours en savoir plus, l'idée de Médiapart a été d'utiliser le droit d'accès aux documents administratifs, mis en place par la loi du 17 juillet 1978.

Arguant de ce droit fondamental, le journal demande à la Commission des comptes de campagne la communication des questions et des réponses entre les rapporteurs et les candidats, à propos de la campagnes présidentielles de 2007.

La Commission refuse. Le journal saisit le Tribunal administratif de Paris, qui ordonne la communication forcée.

Mais la Commission des comptes de campagne non seulement frappe d'un pourvoi au fond le jugement du 3 juin 2014, mais encore vient obtenir par l'arrêt du 23 juillet 2014 rendu par le Conseil d'Etat la suspension de l'exécution du jugement.

En effet, le Conseil d'Etat estime que la question de savoir si la loi du 17 juillet 1978, c'est-à-dire l'existence même d'un droit d'accès aux documents administratifs, aux documents concernés par un litige à propos des comptes de campagne politique, se pose.

Elle se pose juridiquement. Elle se pose politiquement.


Aug. 23, 2014

Editorial responsibilities : Direction of the collection "Cours-Série Droit privé", Editions Dalloz (33)

This "course", the 5th edition just out, shows how civil procedure is a major discipline of private law insofar as it contributes to realize the rights of persons. The procedure is the law of the civil trial, it organizes it.

This manual explains in the first part, the principles that govern individual right granted to a litigant access to a judge. In the second part, it details the main mechanisms that govern the conduct of civil cases.

Primarily designed for the attention of undergraduate and master, this book will also interest those who are eager to know and understand the progress of the civil trial.

Aug. 6, 2014


In its judgment of 23 July 2014, MM. B., A. et C., the Conseil d'Etat (French Council of State) shall transmit a  Question prioritaire de constitutionnalité - QPC (Priority Question of Constitutionality) to the Conseil constitutionnel  (French Constitutional Council) about the compliance of the procedural organization of the Cour de discipline budgétaire et financière - CDBF (French Court of fiscal and financial discipline) in terms of constitutional principle impartiality.

Indeed, the jurisprudence of the Constitutional Council has incorporated in the constitutional corpus the principle of impartiality, objectively designed   as judicial jurisprudence and the jurisprudence of the European Court of Human Rights have done and have imposed the organs exercising power sanction must give to see their impartiality (definition of the "objective impartiality") to third parties who must have confidence in this body which has power to impose sanctions.

Aug. 5, 2014


Political power has often difficulties, or takes a long time to admit the principles of law, such as express the judges.

So it was quite certain that the penalty proceedings held before the Autorité de Régulation des Communications Electroniques et de la Poste -ARCEP  (French Regulatory Authority for Electronic Communications and Post, as the investigation body and the judgment body were not sufficiently distinct crumpled the constitutional principle of impartiality.

It was acquired about 15 years. Yet the organization has continued.

It has been enough that an operator has been sanctioned. He used the procedure of Question Prioritairre de Constitutionnalité -Q.P.C.  Priority Question of Constitutionality) and Numéricable July 5, 2013 decision by the Constitutional Council came to declare that any sanction proceedings before ARCEP unconstitutional, because of objective procedural partialité, thus causing difficulty to the regulator.

It took until the 0rdonnance of March 12, 2014 and finally the decree of 1st August 2014 to organize an efficient sanctions procedure, making this time an intern wall within the ARCEP between the services responsible for the instruction and those which are responsible for judging.

The great judge Pierre Drai used to say: "Ne pas respecter le droit coûte cher (Do not respect the law is expensive)".

We see here that this is true also for the Government which writes laws and regulations. So, for months, the regulator has been without power, to the delight of the operators, who often are tacticians or turbulent.