Food for thoughts

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► Full Reference: M.-A. Frison-Roche, Conditions required to promote the "contractualisation" of the Law, Working Paper, June 2023.

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🎤This Working Paper has been done as a basis for the closing conference of the colloquia La contractualisation du droit. Acte II, organised by the Société de législation comparée (SLC) and the Procuradoria Geral do Estado do Rio de Janeiro (PGE-RJ), on 19, 20 and 21 June 2023.

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📝It is also the basis of the article that will be published.

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► English Summary of the Working Paper : 

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🔓read the Working Paper⤵️

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► Full Reference: M.-A. Frison-Roche, "Favoriser ou pas la « contractualisation » du Droit" ("To favour or not the "contractualisation" of the Law"), final speech in Société de législation comparée (SLC) and Procuradoria Geral do Estado do Rio de Janeiro (PGE-RJ), La contractualisation du droit. Acte II, Paris, 21 June 2023.

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🧮See the full programme of this event (in French).

The conference is held in French

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► Full Reference: M.-A. Frison-Roche, "Compliance et droit processuel" ("Compliance and Procedural Law"), in B. Deffains, M.-A. Frison-Roche and J.-B. Racine (dir.), Journal of Regulation & Compliance (JoRC) and University Panthéon-Assas (Paris II), Compliance : Obligation, devoir, pouvoir, culture (Compliance : obligation, duty, power, culture), University Panthéon-Assas, Salle des Conseils, 14 June 2023.

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🧮See the full programme of this event

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🎤see the other speech made during the first day of this symposium : "L'obligation de compliance, entre volonté et consentement : obligation sur obligation vaut" ("Compliance Obligation, between will and consent: obligation on obligation works")  

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► Summary of the conference: After referring to the chapter in the book Compliance Jurisdictionalisation, which deals more specifically with Procedural Law!footnote-2987, the conference is built around 5 developments, each of which represents a progression.

The first development relates to the fact that the relationship between Compliance Law and Procedural Law is very difficult because it is often said that they simply have nothing to do with each other, or that they have everything to dislike each other. This is because Compliance is often reduced to processes, and to the mechanical place that algorithms could take in it, in taking care of everything.

Compliance would even have the purpose and effect of ensuring that the company and its managers never come into contact with a judge, the public prosecutor being their best ally in this respect.

Secondly, I recalled the very common idea that Procedural Law is a kind of 'tribute' that the rule of Law demands, which certainly weighs down companies when compared with companies living in systems in which there's not not such a price.

But many stress that Procedural Law could become a model. This can be justified and technically anticipated because it has already happened in Regulation Law, and Compliance Law is the deployment of it!footnote-2988.

In the third stage, I worked on the alliance between the two, with the procedure (rather than the process) modifying compliance and thereby reinforcing it, evoking the way in which this can manifest itself technically!footnote-2989.

In the fourth step, I looked for what would be the "naturally appropriate procedure" for Compliance: one that takes into account the duration and the development of "solutions", to which the notion of "sustainability", which is central in the substantive Law of Compliance, refers.

In a fifth stage, and devoting more time to this, I have pointed out where innovation should be the strongest: the proof, the probatory obligation being the "part totale" ("total part") of the compliance obligation. This major issue will be the subject of a series of symposiums held in 2024.

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► Full Reference: M.-A. Frison-Roche, Le rôle du Juge dans le déploiement du Droit de la Régulation en Droit de la Compliance (The role of the Judge in the deployment of Regulatory Law in Compliance Law), in Conseil d'État (French Administrative Supreme Court) and Cour de cassation (French Judiciaire Supreme Court of cassation), De la Régulation à la Compliance : quel rôle pour le Juge ? ("From Regulatory to Compliance : what role for the judge?"), speech constituting the "closing session" of the bi-annual joint symposium of the two High Courts, held at the Conseil d'Etat, Salle d'Assemblée générale, 2 June 2023.

The event was held in French.

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🧮See the full programme of this event (in French)

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🎥watch the interview given about the conclusion, done after the speech (in French)

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🧮read the general programme of the manifestation (in French)

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📚read the bibliographical dossier du participant. (participant's file made in French)

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🎥watch the general introductory speechs of Didier-Roland Tabuteau, Vice-Président du Conseil d'Etat, de Christophe Soulard, Premier Président de la Cour de cassation, and of François Molins, Procureur général près la Cour de cassation ;  and the interventions in the first session devoted to the path from the Regulatory to the Compliance with Marie-Anne Barbat-Layani, présidente de l'AMF, Jean-Yves Ollier, conseiller d'Etat, Daniel Calleja-Crespo, directeur général du service juridique de la Commission européenne andChristine Guegen, , première avocate générale de la chambre commerciale de la Cour de cassation

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🎥watch the speechs in the second session devoted to the office of the judge with  Vincent Vigneau, président de la chambre commerciale de la Cour de cassation, François Ancel, conseiller à la première chambre civile de la Cour de cassatin, Astrid Mignon-Colombet, avocate à la Cour, Lucien Rapp, professeur à Toulouse-Capitol and Alain Seban, conseiller d'Etat ; the speechs of the third session dedicated to the Compliance new frontiers, with Christophe Chantepy, président de la section du contentieux du Conseil d'Etat, Roch-Olivier Maistre, président de l'Arcom, Paul Nihoul, juge au Tribunal de l'Union européenne, Jean-François Bohnert, procureur de la République financier, Joëlle Tolédano, professeure émérite à Dauphine ; the final session with Marie-Anne Frison-Roche

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🎥watch this final speech by Marie-Anne Frison-Roche, which formed the closing session of the event

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🚧read the bilingual Working Paper used as basis for the article to be published later

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💬read the interview given by Marie-Anne Frison-Roche and Alain Seban after the colloquia and entitled "Compliance : les cours suprêmes s’emparent de la question de ses enjeux juridictionnels" ("Compliance : the Supreme Courts take up the issue of its jurisdictional implications")

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► English presentation of this general conclusion: Having a definition of Compliance Law in mind, a definition around which there still seems to be so much dispute, is not required to understand that this Law is what will enable us to enter and deal with a new world and if this subject is so fascinating to young people who want to become lawyers, prosecutors, regulators or judges, even though they are not taught this subject, it is because they have understood that with Compliance Law they will be able to actively participate in this new world and build it. This is the way we want it to take it, with force and courage in a sort of collective adventure. In this way, the Judges have a monumental role to play, which is at the very heart of Compliance Law.

They will necessarily be so because demands and claims will converge on them from all sides, from Internet users, consumers, investors, associations and companies, and the Judge will have to respond. This has already started and is only just beginning. Judges must be prepared.

Four expectations are emerging as to what their role should be.

Firstly, judges must persist in their role as guardians of the Rule of Law, in a Compliance Law impregnated with technologies (algorithms) that could be described as insensitive.

Secondly, beyond this vital role as guardian of the Rule of Law, the Judge has a new role in the extraordinary deployment of Compliance Law, which is measured in terms of the novelty of the normative control it exercises, the commitments it supports, the remedies it finds and the sustainability it reinforces.

Thirdly, in the natural space of justice, the judge responds to parties who make claims of compliance, both as plaintiff and defendant, because the causes of compliance are systemic causes that deserve a new jurisdictional treatment.

Fourthly, given the novelty and scope of this innovative approach, all judges must converge in terms of content, qualifications, and methods if they are both to continue their traditional role as guardians of the Rule of Law and to be able to endure their new role, a dialogue in which they have so much to contribute to each other.

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► Full Reference: M.-A. Frison-Roche, "The Judge, the Compliance Obligation and the Company. The Compliance Evidence System", in M.-A. Frison-Roche, (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, coll. "Compliance & Regulation", 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 Jurisdictionalisation, in which this article is published

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► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): The article aims to identify the link that must be established between the company in its relationship with the compliance obligations it assumes and the judges to whom it is accountable in this respect: this link is established by evidence. The evidentiary system of proof has yet to be constructed, and it is the purpose of this long study to lay the groundwork. 

To this end, the article begins with a description of what is designated here as the "probatory square" in a "probatory system" that is superimposed on the system of rules of substantive legal system. This is all the more important because Compliance seems to be in frontal collision in its very principles with the general principles of the evidentiary system, in particular because it seems that the company would have to prove the existence of the Law or that it would have to bear in a definitive way the burden of proving the absence of violation, which seems to be contrary not only to the presumption of innocence but also to the principle of the freedom of action and of undertaking. In order to re-articulate Compliance Law, the obligations of compliance which legitimately weigh on the company, it is necessary to return to the probatory system specific to Compliance, so that it remains within the Rule of Law. This presupposes the adoption of a substantial definition of Compliance, which is not only compliance with the rules, which is only a minimal dimension, but implies that Compliance Law should be defined by the Monumental Goals on which the public authorities and the companies are in substantial alliance.

The evidentiary system of principle makes play between its four summits that are the burden of proof, the objects of proof this evidentiary square of principle, between the burden of proof, the means of proof and their admissibility. Compliance Law does not fall outside this evidential square, thus marking its full membership of the Rule of Law

In order to lay the foundations of the evidential system specific to Compliance Law, the first part of the article identifies the objects of proof which are specific to it, by distinguishing between the structural devices, on the one hand, and the expected behaviours, on the other. The first involves proving that the structures required to achieve the Monumental Goals of Compliance have actually been put in place. The object of proof is then the effectiveness of this implementation, which presents the effectiveness of the system. As far as behavioral obligations are concerned, the object of proof is the efforts made by the company to obtain them, the principle of proportionality governing the establishment of this proof, while the systemic efficiency of the whole reinforces the evidential system. However, the wisdom of evidence lies in the fact that, even though the principle remains that of freedom of evidence, the company must establish the effectiveness, efficiency, and effectiveness of the whole, independently of the burden of proof.

The second part of the article concerns those who bear the burden of proof in Compliance Law. The latter places the burden of proof on the company in principle, in view of its legal obligations. This burden comes from the legal origin of the obligations, which blocks the "round of the burden of proof". But in the interference of the different vertices of the evidentiary square, the question becomes more delicate when it comes to determining the contours of the compliance obligations that the company must perform. Moreover, the burden of proof may itself be the subject of proof, just as the company's performance of its legal obligations may also be the subject of contracts, which brings us back to the evidentiary system ordinarily applicable to contractual obligations. The situation is different when it comes to a "compliance contract" or when it comes to one or more compliance stipulations, concepts that are still not very well developed in Contract Law. 

Furthermore, as all branches of Law belong to a legal system governed by the Rule of Law, other branches of law interfere and modify the methods and solutions of proof. This is the case when the fact, which is the object of proof, can give rise to a sanction, the Law of repression imposing its own solutions in the matter of the burden of proof. 

In the third part of the article, the relevant means of proof in Compliance Law are examined, used in that Compliance Law is above all a branch of Law whose object is on the one hand information and on the other hand the Future. Open questions remain, such as whether companies could be forced by the Judge to build technologies to invent new means of proof. To show that they are indeed achieving the Monumental Goals they are charged with. 

In the fourth part, the vital character of the pre-constitution of evidence is shown, which is the reflection of the Ex-Ante nature of Compliance Law: evidence must be pre-constituted to avoid the very prospect of having to use it, by finding all the means to establish the effectiveness, efficiency and even the effectiveness of the various Compliance Tools. 

If companies do all this methodically, the Compliance evidence system will be established, in harmony with the general evidence system, Compliance Law and the Rule of Law.

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► Référence complète : M.-A. Frison-Roche, "Compliance-Vigilance-Régulation : que feront les juges demain ? Juges administratif, civil, pénal, commercial, européen, etc. Colloque 2 juin 2023", Newsletter MAFR Law, Compliance, Regulation, 29 mai 2023.

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🔴 Ce que les juges ont à nous dire sur la Compliance et la Régulation (2 juin 2023) 

Chacun perçoit que les juges sont très puissants dans le Droit de la compliance, par exemple dans le numérique ou en matière de vigilance. Ils le sont aujourd'hui, le seront encore plus demain. Mais comment vont-ils exercer cette puissance, comment conçoivent-ils leur rôle, comment vont-ils exercer leur office face aux régulateurs, aux entreprises, aux personnes impliqués dans des systèmes technologiques qui risquent de nous dépasser ? Le 2 juin 2023 le Conseil d'État et la Cour de cassation se réunissent pour discuter et formuler le rôle du juge dans ce passage qui s'opère du Droit de la régulation au Droit de la compliance. J'attends d'apprendre à travers ce que je vais écouter toute la journée et explicite ici le contenu, les enjeux et les modalités d'inscription de ce colloque conçu par nos deux Hautes juridictions.

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📧lire l'article ⤵️

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► Full Reference: M.-A. Frison-Roche, "Conclusions", in Ch. Maubernard et A. Brès (dir.), Institut de droit européen des droits de l'homme et Centre de droit de l'entreprise, Université de Montpellier, Le devoir de vigilance des entreprises : l'âge de la maturité?("The Entreprises duty of vigilance: the maturity age?") , Montpellier, May 25, 2023.

The conference is held in French.

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🧮see the manifestation programme (in French)

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🌐 read the report done on LinkedIn (in French)

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► English summary of this final speech of the manifestation: It is rather difficult to draw a conclusion after listening so many contributions. For three reasons: firstly, because of their richness and extreme diversity; secondly, because of the fact that we do not know whether the duty of vigilance is under the French law of 2017 (known as the Vigilance Law) or in other national, European and international texts or beyond or below the legal rules; thirdly, because we do not know what is meant by the "maturity" of a legal concept. But in the end, since the question posed by the title itself of the colloquium is Duty of Vigilance: the age of maturity? the answer is clearly: no.

But this is regrettable. It is therefore essential to explore the ways in which the duty of vigilance can mature.  If we find merit in this duty which has now entered the legal system, there are eight intersecting avenues, which must be exploited.

The first path is progression through the passage of time, rediscovering what in the past was already vigilance and what in the future will be its deployment.

The second way is to progress by fixing the vocabulary, because we are witnessing a great battle of words, overtly or covertly, in French or English.

The third path is progression through the emergence of principles, or even a principle, rediscovered or invented.

The fourth path is progression through coherence brought to the legal system(s), which at present suffer from gaps and inconsistencies, which could be remedied by methods such as centralising litigation or, more radically, ignoring borders.

The fifth path is progression through the fact that it works, because vigilance techniques are those of Compliance, of which vigilance is the leading edge, and the challenge is to find solutions.

The sixth path is progression through using power of the legal system not only to create new areas of relevance - starting with the notion of vigilance, but also that of the value chain - but also to impose new indifferences, namely indifference to the figure of the market (to which laws prefer the company and the value chain) and indifference to borders.

The seventh path is progression through bringing perspectives closer together, in order to find solutions even when interests are opposed. This is where the two techniques of contract and mediation are very welcome.

The eighth path is progression through culture, because the culture of vigilance, like the culture of compliance, must be developed within companies and supply chains, and must become common to them and their stakeholders.

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🚧read the Working Paper written just after this oral conclusion in preparation for the article to be published.

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► Full Reference: M.-A. Frison-Roche, "Le PNF devrait avoir ouvertement compétence en matière de CJIP environnementale : la CJIP "Guy Dauphin Environnement" du 17 mai 2023" ("The French National Financial Prosecutor’s Office should have open jurisdiction over environmental Judicial Public Interest Agreement: the "Guy Dauphin Environnement" Judicial Public Interest Agreement of 17 May 2023"), Newsletter MAFR Law, Compliance, Regulation, 20 May 2023.

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🔴 The Judicial Public Interest Agreement GDE of 15 May 2023 or how the French National Prosecutor's Office is rightly meddling in Environmental Compliance

The Parquet National Financier (French National Financial Prosecutor’s Office) does not have jurisdiction over environmental matters, and this is regrettable. For it is very well placed to obtain, in particular for the benefit of associations, adequate measures for the future, which refers to the definition of Compliance Law. This is what he is actually achieving through the Convention judiciaire d'intérêt public - CJIP (Judicial Public Interest Agreement) GDE.

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📧read the article ⤵️

► Full Reference: Convention judiciaire d'intérêt public - CJIP (Judicial Public Interest Agreement), Parquet national financier - PNF (French National Financial Prosecutor's office) and Guy Dauphin Environnement, 15 May 2023.

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🏛️read the agreement (in French)

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📧read the article published in the Newsletter MAFR - Law, Compliance, Regulation, entitled "Le PNF devrait avoir ouvertement compétence en matière de CJIP environnementale : la CJIP "Guy Dauphin Environnement" du 17 mai 2023" ("The French National Financial Prosecutor’s Office should have open jurisdiction over environmental Judicial Public Interest Agreement: the "Guy Dauphin Environnement" Judicial Public Interest Agreement of 17 May 2023")

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► Référence complète : M. Brenaut, "Les fonctions sans le statut : de quelques hypothèses où le parquetier se fait juge pénal", Droit pénal, n°5, mai 2023, p. 17-21.

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► Résumé de l'article (fait par l'auteur) : "Le parquetier est-il devenu un juge pénal comme les autres ? La question posée par les professeurs Bonfils et Safi nous inspire une réponse en deux temps : oui, le parquetier ressemble à s'y méprendre à un juge pénal (juge d'instruction ou juge de condamnation), du moins si l'on considère certaines attributions qui lui sont désormais conférées ; non, il n'est pas, pour l'heure, un « juge comme les autres », au regard de son statut".

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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la professeure Marie-Anne Frison-Roche

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► Full Reference: Conseil d'État (French Council of State), 6th and 5th chambers reunited, 10 May 2023, n° 467982, Commune de Grande-Synthe (so-called Grande-Synthe III).

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🏛️read the decision (in French)

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► Référence complète : L. Martinet, V. Rouer et L. Bocquillon, "Premiers jugements sur le fondement de la loi sur le devoir de vigilance des entreprises : le juge des référés entre pédagogie et (sur)interprétation", Actu-Juridique, 3 mai 2023.

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► Résumé de l'article (fait par les auteurs) : Le 28 février 2023, le tribunal judiciaire de Paris s’est prononcé pour la première fois, en référé, sur l’application du devoir de vigilance issu de la loi n° 2017-399 du 27 mars 2017 dans une affaire relative au méga projet pétrolier mené par TotalEnergies et ses filiales en Ouganda et en Tanzanie, à la suite de l’assignation de différentes organisations non gouvernementales françaises et ougandaises. Cette affaire, la première du genre, s’inscrit dans la mise en œuvre d’une loi dont les députés français espéraient qu’elle «marque une rupture dans la mondialisation ».

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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la professeure Marie-Anne Frison-Roche

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► Full Reference: M.-A. Frison-Roche, The role of the Judge in the deployment of Regulatory Law through Compliance Law, Working Paper, April  2023.

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🎤 This working paper was drawn up to serve as the basis for the concluding summary session of the colloquium organised by the Conseil d'Etat (French Administrative Supreme Court) and the Cour de cassation (French Judicial Supreme Court), De la régulation à la compliance: quel rôle pour le juge? ("From Regulation to Compliance: what role for the Judge?") held on 2 June 2023 at the Conseil d'Etat. 

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📝 This working paper also served as the basis for the article that concludes the book De la régulation à la compliance : quel rôle pour le juge, published by the La Documentation Française, 2024.

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► Working Paper Summary: 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 profound transformation this has brought about for the law and for 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 is a public law judge or a private law judge, in a greater unity of the legal system.

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🔓read the Working Paper below⤵️

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► Full Reference: M.-A. Frison-Roche & M. Boissavy, "Enquêtes internes : une activité en plein développement pour les avocats" ("Internal investigations: a growing business for attorneys"), interview with Miren Lartigue, Gazette du Palais, 25 April 2023.

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💬read the interview (in French)

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► Presentation of the interview by the journal (in French): "Inspirées des Anglo-saxons et boostées par la loi Sapin II du 9 décembre 2016, les enquêtes internes sont de plus en plus utilisées par les entreprises françaises pour vérifier la réalité de pratiques douteuses en leur sein, découvertes ou alléguées. Parce qu’il s’agit d’un nouveau champ d’activité pour les avocats, le Conseil national des barreaux (CNB) y a consacré une journée lors de son colloque organisé les 20 et 21 avril 2023 sur le thème « Avocat et droits de la défense dans les enquêtes internes et la justice négociée », qui a réuni 750 participants sur deux jours. Matthieu Boissavy et Marie-Anne Frison-Roche, qui ont participé à l’organisation de cet évènement, nous expliquent les contours de ce nouveau métier."

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► Questions asked (in French): 

• Quels sont la place et le rôle de l’avocat dans les enquêtes internes et pourquoi le CNB a-t-il souhaité organiser une journée consacrée à ce sujet ?
   
• ​​​Quel est leur rôle dans la réception des alertes ?
   
• Et dans l’enquête interne proprement dite ?
   
• Quelle est la complémentarité de l’avocat avec le juriste interne ?
   
• Quels sont outils utilisés pour le calcul des préjudices, la collecte et le traitement des données ?
   
• Comment s’applique la déontologie de l’avocat ?
   
• Et qu’en est-il des droits de la défense ?
   
• Quelle est l’étendue du secret professionnel de l’avocat ?

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Référence complète : AMF, Com. sanctions, Décision n° 4 du 24 avril 2023, Melanion Capital

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Lire la décision

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► Full Reference: Conseil d'État (French Council of State), 2nd and 7th chambers reunited, 21 April 2023, n° 464349, Société Orange.

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🏛️read the decision (in French)

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► Référence complète : M.-A. Frison-Roche, synthèses de chacune des 8 tables-rondes et synthèse finale, in Conseil National des Barreaux (CNB), L'avocat et les droits de la défense dans les enquêtes internes et la justice négociée, Paris, 20 et 21 avril 2023.

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🧮Consulter le programme complet de cette manifestation

🧮Retrouver le programme dans lequel les vidéos sont insérées

📕Consulter une première présentation de l'ouvrage dirigé par Marie-Anne Frison-Roche et Matthieu Boissavy.

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Dans la journée du 20 avril 2023

consacrée plus particulièrement aux enquêtes internes

🎥regarder le film de la première session, ayant pour thème : Des avocats dans les enquêtes internes : pourquoi, avec qui et avec quels outils ? cliquer ICI

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🎥regarder le film de la deuxième session, ayant pour thème : Quels droits de la défense et quelle déontologie de l'avocat dans une enquête interne ? cliquer ICI

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🎥regarder le film de la troisième session, ayant pour thème : Les enquêtes internes en  matière sociale :  cliquer ICI

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🎥regarder le film de la quatrième session, ayant pour thème : Les enquêtes internes dans la lutte anti-corruption et pour le respect du devoir de vigilance :  cliquer ICI (la synthèse porta à la fois sur cette 4ième session et sur l'ensemble de la journée)

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Dans la journée du 21 avril 2023

consacrée plus particulièrement à la CJIP et à la CRPC

🎥regarder le film de la première session, ayant pour thème : Théorie et pratique de la négociation dans la justice pénale cliquer ICI

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🎥regarder le film de la deuxième session, ayant pour thème : Le rôle du juge, du procureur, du justiciable et de l'avocat dans une CRPC et une CJIP cliquer ICI

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🎥regarder le film de la troisième session, ayant pour thème : Combinaison des CRPC et des CJIP : enjeux, défis et perspectives cliquer ICI

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🎥regarder le film de la quatrième session, ayant pour thème : Analyse comparative internationale de la justice négociée et prospective cliquer ICI

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🎥regarder le film de la troisième session, ayant pour thème : Combinaison des CRPC et des CJIP : enjeux, défis et perspectives cliquer ICI

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► Full Reference: M.-A. Frison-Roche, "Dans les causes systémiques : "délibérer" plutôt que "se disputer"" ("In systemic causes: 'deliberate' rather than 'argue'"), Newsletter MAFR - Law, Compliance, Regulation, 17 April 2023.

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🔴To deal with "systemic causes", including systemic cases of compliance, move from "argument" to "deliberation" from the start

Compliance Law involves systems, for example banking, financial, digital, health, etc. When a dispute is brought before a judge, this dimension remains, whether before a judge of the Law or a judge of the merits, whether before a civil, criminal, commercial, administrative or European judge, etc. The judge's office must be adapted accordingly. And this is in the process of being done.

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📧read the article ⤵️ 

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► Full Reference: M.-A. Frison-Roche & M. Boissavy, "Avocat et droits de la défense dans les enquêtes internes et la justice négociée" ("Attorneys and rights of the defence in internal investigations and negociated justice"), interview with Marina Brillié-Champaux, Dalloz Actu Étudiant, 6 April 2023.

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💬read the interview (in French)

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► Presentation of the interview by the journal (in French): "Futurs avocats, c’est à vous que s’adresse cette interview de Marie-Anne Frison-Roche, agrégée des Facultés de Droit, directrice du Journal of Regulation & Compliance (JoRC) et de Matthieu Boissavy, avocat aux barreaux de Paris et de New York, médiateur, membre du Conseil National des Barreaux, vice-président de la commission Libertés et droits de l’Homme. Les 20 et 21 avril 2023 le Conseil national des barreaux, sous l’impulsion de ses commissions Libertés et droits de l’Homme et Droit et Entreprise, organise un colloque sur le thème « Avocat et droits de la défense dans les enquêtes internes et la justice négociée ». Si vous êtes déjà dans la profession, il se peut que leurs réponses vous intéressent pour le respect du droit à la justice !"

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► Questions asked (in French): 

• En quoi consistent les enquêtes internes ?
   
• Qu’appelle-t-on la justice négociée ?
   
• Qu’attendez-vous de ce colloque ?

Le questionnaire de Désiré Dalloz

• Quel est votre meilleur souvenir d’étudiant ?
• Quels sont votre héros et votre héroïne de fiction préférés ?
• Quel est votre droit de l’Homme préféré ?

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► Full Reference: M.-A. Frison-Roche,The role of the Judge in the deployment of Regulatory Law in Compliance Law, Working Paper, June 2023. 

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🎤 this Working Paper has been elaborated to be the basis of the final speech in the colloque coorganised by the Conseil d'Etat (French Administrative Supreme Court) and the Cour de Cassation (French Judicial Supreme Court), De la Régulation à la Compliance: quel rôle pour le juge ?, the 2nd Juin 2023

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📝 It is also the basis for the article written in French that concludes the dossier published in La documentation française following the conference.

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► Summary of this Working Paper: The role of the Judge, a character who seems weak in Compliance Law, this branch of Law so powerful in a world where technology is developing an even more impressive power, could be to put the strength that is proper to him to continue to do: namely to be the guardian of the Rule of Law, which is not so obviously present because many of Compliance tools are in a way "insensitive" to what we are attached to (I).  The second role that we can expect of the Judge is that he should help to ensure the permanence of this Rule of Law, which relies to a large extent on him, in the face of a world that is opening up before us, which is unknown (mainly digital and climatic), and which Compliance Law wishes to grasp by renewing Regulatory Law (II). In what implies both a profound maintenance of a Judge that one would like to exclude by various agreements or replace by algorithms, and a profound transformation of an office turned towards the future (III), .... (IV).

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🔓read the Working Paper below⤵️

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► Full Reference: M.-A. Frison-Roche, "Face aux clauses de Compliance : le Juge (colloque du 7 avril 2023)" ("Facing Compliance clauses: the Judge (symposium of 7 April 2023)"), Newsletter MAFR - Law, Compliance, Regulation, 4 April 2023.

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Compliance Law is starting to be known; mainly through two blocks:

Firstly the spectacular sanctions by which it made as its entry in Europe by the "BNPP sanction" of 2014.

🔴M.-A. Frison-Roche, 📝Le Droit de la Compliance, 2016

Secondly, the accumulation of tools, legal and non-legal, with which companies have equipped themselves: plans to detect and prevent breaches, internal investigations, mapping, ad hoc training, etc.

🔴M.-A. Frison-Roche (dir), 📘Compliance Tools, 2021

But what is the "compliance obligation" in the name of which these fearful and heavy sanctions are pronounced and these new and multiple tools are put in place?

We do not have a very clear idea.

That is why the Journal of Regulation & Compliance (JoRC) and its partner universities have chosen to focus on the topic of the Compliance Obligation in a series of symposiums held in 2023.

🔴JoRC, 🏗️L'obligation de compliance, 2023

It could be said that the company is "obliged" by Compliance because it is obliged by the Law, as Compliance would only mean obeying "regulations" (a term used to describe everything that is obligatory, from the Constitution to ethical charters, etc.). The English vocabulary "comply with" suggests this, as does the Chinese practice of Compliance. The difference would then only be the fact that the company shows its "stakeholders" that it does in fact respect all these texts that commit it.

But the practice and the jurist remember that what is sometimes considered as the heart of the Law, since Roman Law, is Obligations Law, having as its object Contract Law and Tort Law.

Yet, in practice, companies have put contracts concerning compliance everywhere, and they are relatively little studied.

🔴M.-A. Frison-Roche, 📝Contrat de compliance, clauses de compliance, 2023

These may be entire contracts whose very purpose is to entrust another with the task of fulfilling all or part of the compliance obligation incumbent on the company, with regard to personal data.

These may be clauses inserted in contracts with another purpose, for instance sales contracts in a value chain, where the company stipulates that the other company will also ensure compliance obligations for itself or for the other company, e.g. detect and prevent corruption, be vigilant, etc.

Contract Law has already taken on compliance in practice, especially in long-term economic transactions with an international dimension.

The judge has always been present in Obligation Law.

How is the triangle articulated: Judge - Compliance - Obligation?

The Judge has been present from the outset in the development of the Compliance Obligation through criminal liability, administrative liability and the obligation for the company to become a judge of itself, particularly through internal investigations.

🔴M.-A. Frison-Roche (dir.), 📘Compliance Jurisdictionalisation, 2023

The Judge is also present through Obligation Law stricto sensu, first of all through liability, which is transformed under the effect of the compliance system, which operates more in the logic of "accountability" and generates legal mechanisms of "ex ante liability".

🔴M.-A. Frison-Roche, 📝La responsabilité Ex Ante, pilier du Droit de la Compliance, 2022

In contractual matters, the Judge will intervene, in particular with regard to the stipulations which, in the contracts which form the architecture of the value chains, ensure the efficacy (and no longer only the effectiveness) of the duty of vigilance.

The Judge will then intervene under the French law of 2017, known as the "Vigilance Law",

🔴M.-A. Frison-Roche, 🚧Vigilance, Buts Monumentaux de la Compliance et "Société vigilante", 2023

but also, because the Judge is the "judge of the contract", he will intervene as such.

To identify the Obligation of Compliance, 

🔴M.-A. Frison-Roche (dir.), 📘Compliance Obligation, 2024

it is therefore necessary to analyse the way in which the Judge apprehends or should in the future apprehend contracts and compliance clauses.

That's why, in the above-mentioned cycle of symposiums, a symposium is being held on 7 April 2023. It is co-organised by the Journal of Regulation & Compliance (JoRC) and the Law Faculty of Perpignan, and has been designed under the scientific direction of Walid Chaiehloudj and Marie-Anne Frison-Roche.

🧮Le juge face aux clauses et aux contrats de compliance (The Judge facing clauses and contrats of compliance)

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► Full Reference: M.-A. Frison-Roche & M. Boissavy, "Colloque : « Avocat et droits de la défense dans les enquêtes internes et la justice négociée »" ("Symposium: "Lawyers and rights of the defence in internal investigations""), interview with Olivia Dufour, Actu-Juridique, 3rd April 2023.

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💬read the interview (in French)

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► Presentation of the interview by the journal (in French): "Le Conseil national des barreaux (CNB) organise les 20 et 21 avril prochains un colloque intitulé « Avocat et droits de la défense dans les enquêtes internes et la justice négociée ». Matthieu Boissavy, avocat aux barreaux de Paris et de New York, médiateur et vice-président de la commission Libertés et droits de l’Homme du Conseil national des barreaux et Marie-Anne Frison-Roche, professeure de droit, directrice du Journal of Regulation and Compliance nous expliquent les enjeux de ces nouvelles pratiques judiciaires qui bousculent le rôle traditionnel des acteurs de la justice, qu’il s’agisse des avocats ou des magistrats."

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► Questions asked (in French): 

• Le CNB organise les 20 et 21 avril prochains un colloque sur le thème : Avocats et droits de la défense dans les enquêtes internes et la justice négociée. Pourquoi ce choix ?​

• La compliance n’est-elle pas en train de bouleverser le métier d’avocat ? ​​​

• Comment cela se traduit-il en pratique ?​

• Quelles sont les implications déontologiques, ne faut-il pas inventer de nouvelles règles ?

• Qu’est-ce que la CJIP a changé dans le métier d’avocat ?

• Quels sont les nouveaux risques pour l’avocat ?

• Cela modifie-t-il les relations entre avocats, parquet et juges du siège ?

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► Full Reference: ECHR, 5th sect., 30 March 2023, François Ruffin vs France and Association Fakir vs France, req. n° 29854/22 and 29863/22.

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🏛️read the decision (in French)

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► Référence complète : J. Gallois, "Approche comparative des caractéristiques principales de la convention judiciaire d'intérêt public. À propos des dernières CJIP rendues en application de l'article 41-1-2 du code de procédure pénale en 2022", AJ Pénal, mars 2023, pp.127-131

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► Résumé de l'article (fait par l'auteure) : "La fin de l'année 2022 a été assurément placée sous le signe de la convention judiciaire d'intérêt public (CJIP). En effet, pas moins de trois accords ont été conclus en moins de trois mois par le parquet national financier (PNF) et plusieurs enseignements peuvent en être tirés.".

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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche

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► Référence complète : M.-A. Frison-Roche, "synthèse", in I. Grossi (dir.), La société vigilante, Université d'Aix-Marseille, Institut de Droit des Affaires, 24 mars 2023.

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► lire la présentation de l'introduction du colloque, également opérée : "Les buts monumentaux de la vigilance"

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🧮Consulter le programme complet de cette manifestation

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Cette réflexion finale a servi de base à un article ; La vigilance, pièce du puzzle européen. Lire le document de travail sous-jacent.

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► Présentation de la synthèse : La synthèse du colloque a été réalisée sur le vif, à partir des notes prises au fur et à mesure du déroulement de la journée. L'écoute des uns et des autres a fait ressortir 4 points qu'il aurait été difficile d'isoler dans une partie du droit positif, parce qu'il a été manifeste que les propos ont porté parfois sur la Compliance, parfois sure l'obligation de vigilance, parfois sur le devoir de vigilance et le plus souvent sur la loi du 27 mars 2017, laquelle a donc servi de porte d'entrée à l'ensemble des réflexions. Mais elle n'a été qu'une porte d'entrée.

Le premier point est justement l'impression d'une ampleur de tantôt de "gloire" et tantôt d'"indignité" qui ont été déversées sur cette loi Vigilance. Les intervenants ont donc fortement divergé.

Le deuxième point est l'impression à l'inverse générale et commune, pour que les orateurs s'en félicitent, s'en inquiètent, s'en réjouissent ou s'en effondrent, d'un grand mouvement auquel nous assistons et que la Vigilance traduit ou/et porte.

Le troisième point est la multiplicité des branches du Droit qui sont utilisées ou touchées, là encore qu'on s'en réjouisse ou pas, et la nécessité de dépasser ces branches du Droit. Face à la Vigilance, des disciplines peuvent apparaître en opposition, tandis que des branches du Droit semblent entrer comme en résistance. La majorité des intervenants ont souligné que les branches du Droit, cette loi n'étant alors que l'expression d'un mouvement plus vaste, la Vigilance dépassant la Loi Vigilance, sont activées et transformées. Il en est ainsi du Droit international et du Droit processuel. L'idée étant que la Vigilance pourrait bien être l'expression d'une branche du Droit spécifique et nouvelle : le Droit de la compliance. Au-delà de la compréhension de ce qui se passe, l'enjeu technique est d'articuler les branches du Droit concernées, notamment dans le rapport entre dispositions spéciales et principes, entre Droit spécial et Droit commun.

Le quatrième point est l'absence de définition de la vigilance. L'on en a peu davantage entendu de ce que pourrait être une "entreprise vigilante"...L'existence d'un devoir portant sur une situation précise suffit-elle à transformer toute l'entreprise et que devient-elle alors dans son entier ?  Art pratique, le Droit n'aime pas les mystères. Car comment bien manier un instrument juridique dont la définition varie, dont on ne connaît que le régime, lequel varie au gré des réglementations, diverses et changeantes, ? Peut-elle varier selon les secteurs, selon les entreprises, selon les divers contrats qui sont partout ? 

Peut-être, en conclusion et comme cela fût évoqué par certains, au-delà de la directive attendue sur la Corporate Sustainability Due Diligence, c'est plus largement dans le puzzle des définitions que le Droit de l'Union européenne est en train de construire, en corrélation avec le reporting extra-financier, que l'on pourra trouver, dans la conception systémique et humaniste portant l'identité européenne, voire sa souveraineté, ce qui donne sens et simplicité à la Vigilance.

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✏️lire les notes prises sur le vif pour opérer la synthèse

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📝lire l'article publié suite à cette conférence

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