► Full Reference: J.-S. Borghetti, "The Relation between Tort Law and Compliance Obligation", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

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📘read a general presentation of the book, Compliance Obligation, in which this article is published

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► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): The Author points out that in order to establish civil liability, it is first necessary to find fault, i.e. a deviation from an obligation, which will trigger a secondary obligation, that of reparation. But it can also be argued that it is from liability that this primary obligation arises, civil liability then revealing an obligation which existed only implicitly. That establishes a two-way relationship between liability and obligation. The Compliance Obligation illustrates this, in particular through the Obligation of Vigilance conceived by the French law of 2017.

The author therefore devotes the first part of his contribution to civil liability as a result of an Compliance Obligation, especially the Obligation of Vigilance. issued of the French law of 2017. After discussing whether the constraints generated by compliance should be classified as 'obligations', since there is no creditor, which therefore opens the way to liability in tort, he examines the conditions for incurring such liability, which are difficult, particularly with regard to the burden of proof and the demonstration of the causal link. The requirement concerning the latter may evolve in French law towards the admission of proportional causality, as is now accepted in certain cases in German case law.

In the second part of his contribution, the author deals with the hypothesis of civil liability as an indicator of a Compliance Obligation. He points out that the claims made, particularly in the cases of TotalOuganda (France) and Milieudefensie v. Shell (Netherlands) seek to obtain from the judge a such "revelation".

The author considers that it is not possible to draw from the  French 2017 law which refers to article 1240 of the French Civil Code on the liability because this article is referred to only in order to organise the consequences of a breach of article L.225-102-4 of the French Commercial Code organising the Obligation of Vigilance (article 1240 being therefore under the secondary obligation described above) and not to feed what this article L.225-102-4 requires under the primary obligation (defined above). 

On the other hand, the Shell judgment derives directly from civil liability an obligation to act. This is understandable if one takes the perspective and the measure of the future challenges posed, in this case in the area of climate change. But the author considers that it is up to the legislator to decide on such a development in Liability Law. 

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🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

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► Full Reference: F. Raynaud, "The administrative judge and compliance", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, coll. "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, 2023, p. 

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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:

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Impartiality is the quality, maybe the virtue, that is demanded of the judge, not only the one who is called like that but also the one who has the function to judge the others (maybe without this name).

It can not be defined as the absolute positive aptitude, namely the total absence of prejudice, the heroic aptitude for a person to totally ignore his or her personal opinions and personal history. This heroic virtue is nonsense because not only is it inaccurate, impossible but it is also not desirable because a person is not a machine. It must not be so because good justice is human justice. In this respect, impartiality refers to a philosophical conception of what is justice and what is Regulation, not machines, but systems that must keep the human person in their center (Sunstein).

Thus Impartiality is articulated with the subjective nature of the assessment not only inevitable but also desirable that the judge makes of situations. Because Law is reasonable, Impartiality is defined only negatively: the absence of bias.

Impartiality is defined first and foremost as a subjective and individual quality, namely, the prohibition on the person who makes a decision affecting the situation of others (as is the case of a judge) to a a personal interest in this situation. The constitutional prohibition of being "judge and party" is thus the expression of the principle of impartiality. This definition is in line with the otherwise general requirement of no conflict of interests.

Impartiality is defined secondly as an objective and individual quality, namely the prohibition for a person who has already known of the case to know again (because he or she has already had an opinion about it, this having constituted an objective pre-judgment).

Impartiality is defined thirdly as an objective and structural quality, which obliges the organ which takes judgments to "give to see" a structure that makes it fit for this impartiality, objective impartiality that third parties can see and which generates confidence in its ability to judge without bias. This theory of English origin has been taken up by European law in the interpretation given to the European Convention on Human Rights. The expression "apparent impartiality" has sometimes given rise to misunderstandings. Indeed, far from being less demanding (in that it is "only" to be satisfied with an appearance of impartiality and not of a true impartiality), it is rather a matter of demanding more, not only of a true impartiality, but also of an impartiality which can be seen by all. This leads in particular to the obligation of transparency, to which the institutions, notably the State, were not necessarily bound by the law.

For a long time the Regulator, in that it took the form of an Administrative Authority, was not considered a jurisdiction, it was long considered that it was not directly subject to this requirement. It is clear from the case law that the national courts now consider that the regulatory authorities are courts "in the European sense", which implies a fundamental procedural guarantee for the operators concerned

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. 

 

► Référence complète : S-M.. Cabon, "Théorie et pratique de la négociation dans la justice pénale", in M.-A. Frison-Roche & M. Boissavy (dir.), Compliance et Droits de la défense - Enquête interne, CIIP, CRPC, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", à paraître.

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📕consulter une présentation générale de l'ouvrage, Compliance et Droits de la défense - Enquête interne, CIIP, CRPC, dans lequel cet article est publié

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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : L'auteure définit la technique de "négociation" comme celle par laquelle "chaque interlocuteur va tenter de rendre compatibles par un jeu de coopération et de concessions mutuelles", ce qui va donc être utilisé dans la justice pénale française non pas tant par attraction du modèle américain, mais pour tenter de résoudre les difficultés engendrées par le flux des contentieux, le procédé s'étant élargi aux contentieux répressif, notamment devant les autorités administratives de régulation. Le principe en est donc la coopération du délinquant.

L'auteur souligne les satisfactions "pratiques" revendiqués, puisque les cas sont résolus, les sanctions sont acceptées, et les inquiétudes "théoriques", puisque des principes fondamentaux semblent écartés, comme les droits de la défense, l'affirmation étant faite comme quoi les avantages pratiques et le fait que rien n'oblige les entreprises à accepter les CJIP et les CRPC justifient que l'on ne s'arrête pas à ces considérations "théoriques".

L'article est donc construit sur la confrontation de "l'Utile" et du "Juste", parce que c'est ainsi que le système est présenté, l'utilité et le consentement étant notamment mis en valeur dans les lignes directrices des autorités publiques.

Face à cela, l'auteur examine la façon dont les textes continuent, ou pas, de protéger la personne qui risque d'être in fine sanctionnée, notamment dans les enquêtes et investigations, le fait qu'elle consente à renoncer à cette protection, notamment qu'elle apporte elle-même les éléments probatoires de ce qui sera la base de sa déclaration de culpabilité tandis que l'Autorité publique ne renonce pas encore au même moment à la poursuite étant problématique au regard du "Juste".

La seconde partie de l'article est donc consacrée à "l'Utile contraint à être Juste". A ce titre, l'auteur pense que l'indépendance du ministère public devrait être plus forte, à l'image de ce qu'est le Parquet européen, et le contrôle du juge judiciaire plus profond car la procédure actuelle de validation des CJIP semble régie par le principe dispositif, principe qui ne sied pas à la justice pénale.

 

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► Full Reference: L. Aynès, "How International Arbitration can reinforce the Compliance Obligation", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

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📘read a general presentation of the book, Compliance Obligation, in which this article is published

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► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): The author takes as his starting point the observation that International Arbitration and Compliance are a natural fit, since they are both a manifestation of globalisation, expressing an overcoming of borders, with arbitration being able to take on the Compliance Monumental Goals, since it has engendered a substantially global arbitral order.

But the obstacle lies in the fact that the source of arbitration remains the contract, with the arbitrator exercising only a temporary jurisdiction whose mission is given by the contract. Yet the advent of the global arbitral order makes this possible, with the arbitrator drawing on norms that may include the Compliance monumental goals and corporate commitments. In so doing, the arbitrator becomes an indirect organ of this emerging compliance law.

The contribution then suggests a second development, which could make the arbitrator a direct organ of compliance. For this to happen, the arbitrator must not only compel the fulfillment of an obligation to act, as is already the case with provisional measures, but also have a broader conception of the conflict for which a solution is required, or even free himself somewhat from the contractual source that surrounds it. This may well be taking shape, mirroring the profound transformation of the judge's office.

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🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

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► Full Reference:  B. Sillaman, "Taking the Compliance U.S. Procedural Experience globally", 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 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): The French legal system is evolving, organizing interaction between lawyers with regulators and prosecutors, specially in investigations about corruption or corporate misconduct, adopting U.S. negotiated resolutions such as the Convention judiciaire d'intérêt public, which encourages "collaboration" between them. 

The author describes the evolution of the U.S. DOJ doctrine and askes French to be inspired by the U.S. procedural experience, U.S. where this mechanism came from. Indeed, the DOJ released memoranda about what the "collaboration" means. At the end (2006 Memorandum), the DOJ has considered that the legal privilege must remain intact when the information is not only factual in order to maintain trust between prosecutors, regulators and lawyers.

French authorities do not follow this way. The author regrets it and thinks they should adopt the same reasoning as the American authority on the secret professionnel of the avocat, especially when he intervenes in the company internal investigation.

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🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

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The procedural guarantees enjoyed by a person whose situation may be affected by a forthcoming judgment are mainly the right of action, the rights of defense and the benefit of the adversarial principle.

The rights of the defense have constitutional value and constitute human rights, benefiting everyone, including legal persons. The mission of positive Law is to give effect to them in good time, that is to say from the moment of the investigation or custody, which is manifested for example by the right to the assistance of a lawyer or the right to remain silent or the right to lie. Thus the rights of the defense are not intended to help the manifestation of the truth, do not help the judge or the effectiveness of repression - which is what the principle of adversarial law does - they are pure rights, subjective for the benefit of people, including even especially people who may be perfectly guilty, and seriously guilty.

The rights of the defense are therefore an anthology of prerogatives which are offered to the person implicated or likely to be or likely to be affected. It does not matter if it possibly affects the efficiency. These are human rights. This is why their most natural holder is the person prosecuted in criminal proceedings or facing a system of repression. This is why the triggering of the power of a tribunal or a judge offers them in a consubstantial way to the one who is by this sole fact - and legitimately - threatened by this legitimate violence (one of the definitions of the State ).

The rights of the defense therefore begin even before the trial because the "useful time" begins from the investigation phase, from the searches, even from the controls, and continues on the occasion of appeals against the decision adversely affecting the decision. The legal action being a means of being a party, that is to say of making arguments in its favor, and therefore of defending its case, shows that the plaintiff in the proceedings also holds legal defense rights since he is not only plaintiff in the proceedings but he also plaintiff and defendant to the allegations which are exchanged during the procedure: he alleged to the allegation of his opponent is not correct.

They take many forms and do not need to be expressly provided for in texts, since they are principled and constitutionally benefit from a broad interpretation (ad favorem interpretation). This is the right to be a party (for example the right of intervention, the right of action - which some distinguish from the rights of the defense - the right to be questioned, such as the right to be brought into question (or examination), right to be assisted by a lawyer, right to remain silent, right not to incriminate oneself, right of access to the file, right to intervene in the debate (the rights of the defense thus crossing the adversarial principle), right to appeal, etc.

It is essential to qualify an organ as a tribunal because this triggers for the benefit of the person concerned the procedural guarantees, including the rights of the defense, which on the basis of Article 6 of the European Convention on Human Rights man was made about the Regulators yet formally organized in Independent Administrative Authorities (AAI). This contributed to the general movement of jurisdictionalization of Regulation.

►Référence complète : Galli, M., Une justice pénale propre aux personnes morales : Réflexions sur la convention judiciaire d'intérêt public , Revue de Sciences Criminelle, 2018, pp. 359-385.

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► Full reference: M.A. Frison-Roche, “Si l'heureux stratagème probatoire du Roi Salomon n'avait pas fonctionné (If King Solomon's probationary strategy hadn't worked)”, in Collective Book dedicated to Professor Pierre Crocq, Liber Amicorum, LGDJ-Lextenso, 2026, pp. 713–723.

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📝Read the article (in French)

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🚧Read the bilingual working document on which this article is based

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► Introduction to the article:

As renowned and significant in biblical scholarship as it is in legal culture and imagination, Solomon’s Judgement is a procedural measure, an evidential stratagem (I). But even a King cannot be certain of the success of an investigative measure that his authority allows him to impose; nothing guarantees the success of the evidential stratagem he has devised, that is to say, the discovery of the truth. The investigative measure he devised presupposes a maternal love that leads the woman—who might prefer to continue disputing—to choose instead not to keep the child and to leave him in a state of death, a mere inert prey to the claim of appropriation made by the plaintiff. It is the woman’s virtue that enables the Judge’s wisdom. The evidence stratagem might not have worked (II). This is scarcely considered, as King Solomon is always portrayed as wise and the mother as preferring the child to herself. But if we step outside the Book of Kings, where virtue reigns—that of the mother as well as that of the judge—to confront the passion of the woman who smothered her newborn in the night and now seeks the force of justice to seize the second, one might reflect, whilst wandering through the lobby of a courthouse, that it is all too often the case that adults put themselves before children. What if the second mother had put herself before the child? What would have happened if the judge’s order, already being carried out, had not been halted by the virtue of the defendant?  (III). What would the King then have done to exercise his office as Judge justly, since the truth would not have been accessible to him? (IV). If one changes an element of the narrative, because justice is human, because passions drive the parties, because children are often the silent victims on both sides, is justice still possible?

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► Full reference: M.A. Frison-Roche, “Considérer la géographie juridique africaine pour y réussi l'obligation de vigilance" (Taking into account the legal landscape in Africa to fulfil the Vigilance Obligation), in E. Da Allada (ed.), Devoir de vigilance, quelles perspectives africaines ? (The Vigilance Duty: what African perspectives?), Lefebvre-Dalloz, “Thèmes et Commentaires” series, 2026, pp. 235–235.

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📝Read the article (in French)

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🚧read the bilingual working document on which this article is based

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🎤read the presentation of the conference  which summarised this topic

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► Summary of the article: The French ‘Vigilance’ Act of 2017 incorporated the technical provisions and the spirit of the ‘Sapin 2’ Act of 2016. They share a common ambition. They have been, and remain, a source of both controversy and fervour. At their heart lies the establishment of a “compliance obligation”, for which vigilance techniques form the “vanguard” in serving a grand ambition: to protect systems from present and future risks in order to safeguard the people involved in them.

The passion that continues to surround the Vigilance Act – which gave rise to the CS3D Directive – is not a good thing, because the law and passion are never allies. Some are passionately committed to the triumph of vigilance by forcing companies to perform miracles, whilst others are passionately committed to the destruction of all the legislation that has established the very concept of this compliance law, built upon these monumental humanist goals.

But let us recognise that in these debates on the Duty of Care, which is being legally implemented across value chains,  Africa is often cited as an example in a general discussion. It is not often considered as a distinct case in its own right. No account is taken of its strengths or its own legal mechanisms, even though value chains – particularly industrial ones – so often lead to it, both now and in the future. Through analyses of the duty of care, Africa is perceived as a place of retribution or of a new form of paternalism, and when its future is considered, prospects seem to be lacking, even though the very purpose of compliance – and therefore of due diligence – is the future. 

If we take a less confrontational view and focus more on the ‘legal geography’ of African countries and their social and inter-state structures  social and inter-state structures, we can see that concern for others – both present and future – which ultimately constitutes the Monumental Aim of Compliance Law and thus of the Duty of Vigilance – is more prevalent in Africa than it is in Europe, which is now built upon legal individualism. This concern for others is reflected in legal mechanisms akin to mediation and various legal structures that our own institutions would do well to take on board – our legislators before adopting legislation, and our judges, who could listen to them as amici curiae before always reaching a decision.

If we turn our attention to the African continent, where a segment of the value chains operates, and to the way work is organised, it becomes clear that here too, legislation and sanctions are not the whole story. Compliance techniques that make use of soft law and the contractual arrangements underpinning the chains themselves can remove the element of abstraction that is, by its very nature, inherent in general legislation. Making progress through contracts, under the scrutiny and with the support of the courts, is an approach that could prove more fruitful than well-intentioned legislation – which served as a catalyst – given the prominent role of Contract Law within OHADA.

This serves to enhance the judge’s importance. The judicialisation of compliance is also linked to the growing connection between compliance and contracts. However, it appears that not only can European judges specialising in due diligence thus rule on matters concerning Africa – a continent they can only know from a distance (though it is the lot of every judge to be an outsider) – but African and inter-state courts, notably through OHADA, can address the duty of care because value chains are constituted by contracts. By developing it not as a foreign concept to be assimilated, but as something that expresses the very heart of the law in Africa: concern for others, solidarity, and the search for compromises and solutions to ensure that the social and environmental – that is to say, human – system continues to thrive tomorrow.

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► Full Reference: M.A. Frison-Roche, "La part du gracieux dans le traitement juridictionnel de la compliance (The role of Discretionary Jurisdictio in the judicial treatment of Compliance cases)", in Mélanges Dominique d'Ambra, Liber Amicorum, Lefebvre-Dalloz, 2026, pp.175-196.

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📝read this article (in French) 

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🚧read the bilingual Working Paper, base of this article

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► English summary of this article: Based on the definition of Judicial Office, the procedural principles that derive from it and the consequent powers that judges exercise, the objet of this study is to measure the degree of discretion that exists in the judicial treatment of compliance, without direct consideration for the dispute between litigants. This part is very ignored, when it should be given top priority. Indeed, because Systems are involved in compliance cases brought before civil or commercial judges, we are seeing a development of this discretionary element in judicial fonction. Discretionary matters differ from unilateral discretionary procedures, and this discretionary element relates to what the judge examines, possibly in the context of a dispute.

The first part of this contribution therefore aims to describe the natural development of the discretionary power of the judge to deal with compliance cases brought before them. This role stems from the fact that, even when triggered by a dispute, what is submitted to the judge is a situation composed of a system, which cannot defend its interests before the civil or commercial judge in this Systemic Litigation arising from the very nature of Compliance Law and the Compliance Obligations it engenders on systemic entites. Moreover, it is the Future whose interests must be considered and protected, which the judge must do directly.

This leads to the second part of the contribution, calling for a rethinking of the procedure and the role of the Compliance Judge, so that ex gratia matters can be dealt with. The judge must therefore verify that there are no conflicts of interest between the litigants, including hidden ones, and must learn about the systems involved. The inquisitorial principle must therefore be strengthened. But at the same time, since the primary aim is not to settle a dispute but to resolve a systemic problematic situation, the judge must facilitate the movements of the parties, and the adversarial principle must also be strengthened. Must be encouraged this activation of a powerful and discretionary approach, not as an exception but as a principle fully articulated with a contentious principle, with the dispute being only a means used by the necessary parties to enable systemic compliance situations to be resolved.

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► Référence complète : E da Allada. (dir.), Devoir de vigilance. Quelles perspectives africaines ?, Lefebvre-Dalloz, coll. "Thèmes & Commentaires, 2026, sous presse.

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►Voir notamment la présentation des contributions :

 

► Référence complète  : Conseil constitutionnel, déc.  n°25-1184 QPC, 6 mars 2026, Conseil national des barreaux et autres

[Expérimentation d’une contribution pour la justice économique due pour chaque instance devant le tribunal des activités économiques]

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►lire la décision

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► Full Reference: M.-A. Frison-Roche, "General Procedural Law, prototype of the Compliance Obligation", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2026, forthcoming.

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📝read the article

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🚧read the bilingual Working Paper on the basis this article has been written, with more developments, technical references and hyperlinks

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📘read a general presentation of the book, Compliance Obligation, in which this article is published

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► Summary of this article: At first glance, General Procedural Law seems to be the area the least concerned by the Compliance Obligation, because if the person is obliged by it, mainly large companies, it is precisely, thanks to this Ex Ante, in order to never to have to deal with proceedings, these path that leads to the Judge, that Ex Post figure that in return for the weight of the compliance obligation they have been promised they will never see: any prospect of proceedings would be seeming to signify the very failure of the Compliance Obligation (I).

But not only are the legal rules attached to the Procedure necessary because the Judge is involved, and increasingly so, in compliance mechanisms, but they are also rules of General Procedural Law and not a juxtaposition of civil procedure, criminal procedure, administrative procedure, etc., because the Compliance Obligation itself is not confined either to civil procedure or to criminal procedure, to administrative procedure, etc., which in practice gives primacy to what brings them all together: General Procedural Law (II).

In addition to what might be called the "negative" presence of General Procedural Law, there is also a positive reason, because General Procedural Law is the prototype for "Systemic Compliance Litigation", and in particular for the most advanced aspect of this, namely the duty of vigilance (III). In particular, it governs the actions that can be brought before the Courts (IV), and the principles around which proceedings are conducted, with an increased opposition between the adversarial principle, which marries the Compliance Obligation, since both reflect the principle of Information, and the rights of the defence, which do not necessarily serve them, a clash that will pose a procedural difficulty in principle (V).

Finally, and this "prototype" status is even more justified, because Compliance Law has given companies jurisdiction over the way in which they implement their legal Compliance Obligations, it is by respecting and relying on the principles of General Procedural Law that this must be done, in particular through not only sanctions but also internal investigations (VI).

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► Référence complète : M.-A. Frison-Roche, "L'émergence du contentieux contractuel impliquant la Compliance par la convergence des matières", in Journal of Regulation & Compliance (JoRC) et Université Jean Moulin - Lyon 3 (,..), Le contentieux contractuel impliquant la Compliance : aspects procéduraux et juridictionnels,  Faculté de droit, Lyon, 29 mai 2026.

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🧮consulter le programme complet de la manifestation

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📶consulter les slides

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🚧Lire le document de travail bilingue sur la base duquel cette conférence est bâti

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Lire la présentation des deux autres interventions dans ce colloque :

🎥Le maniement du temps dans le contentieux contractuel impliquant la Compliance : de l’urgence au temps long

🎥Le jugement adéquat dans le contentieux contractuel impliquant la Compliance et son exécution efficace

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🌐Lire le compte-rendu de la conférence et de la manifestation sur LinkedIn

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📝Cette conférence sera la base d'une contribution dans l'ouvrage, 📕Compliance et Contrat, 

à paraître dans la collection 📚Régulations & Compliance, ouvrage coédité par le Journal of Regulation & Compliance (JoRC) et Lefebvre-Dalloz.

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► Présentation de cette conférence introductive du colloque : S'insérant dans un cycle de colloques sur Compliance et Contrat, ce colloque porte sur une hypothèse procédurale et juridictionnelle précise : celle d'un contentieux contractuel qui est porté devant le "juge du contrat", qu'il soit civil ou commercial, devant lequel est alléguée une obligation de compliance. Quels effets procéduraux et juridictionnels cela produit-il ?

⛏️Aller plus loin  :

🕴🏻M.-A. Frison-Roche (codir.), ⚙️Compliance et Contrat, 2026

🕴🏻M.-A. Frison-Roche, 📝Obligation de Compliance : construire une structure de compliance produisant des effets crédibles au regard des Buts Monumentaux visés par le Législateur, in 🕴🏻M.-A. Frison-Roche, 📕L'obligation de compliance, 2025

De nature introductive, ce premier développement vise à décrive la façon dont la question systémique de la compliance doit entrer dans un litige contractuel (la question de la transformation de principe que cela entre sur ce litige est traité par Thibault Goujon-Béthan, qui en montre les spécificités que cela produit.

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Après avoir rappelé en premier lieu ce qu'est l'obligation de compliance à laquelle certaines organisations sont assujetties et en second lieu souligné le mouvement de juridictionnalisation de la compliance, la conférence décrit tout d'abord la façon dont cette "obligation systémique de compliance va pénétrer dans le contentieux contractuel et va ensuite analyser comment de ce fait la "matière systémique de la compliance" va s'articuler au litige contractuel.

Cette hypothèse est encore assez peu étudiée car, en restreignant l'obligation de compliance à la "conformité", produit un rapport unilatéral à la "masse réglementaire", le contrat (et le contentieux lié) y aurait peu de place.

Au mieux, le contrat serait un "objet passif", la réglementation écrivant ou effaçant des clauses, ce qui est davantage un contentieux réglementaire qu'un contentieux contractuel.

Le développement des "contrats de compliance" et des "clauses de compliance", issus de l'autonomie de la volonté change cela, transposant leur nature systémique et téléologique dans le contentieux qu'un cocontractant ou un tiers va porter devant le juge ordinaire du contrat.

Ce sont surtout les stratégies d'un contractant qui vont insérer dans les éléments du litige la compliance, impliquant donc celle-ci. L'on trouve des décisions de justice qui l'illustrent. Une partie au contrat évoquera son obligation de compliance pour obtenir l'exécution d'une obligation que le contrat ne prévoit pas, ou pour obtenir l'engagement de la responsabiilité contractuelle du cocontractant, ou pour se soustraire à une demande d'exécution de son obligation contractuelle. Dans une stratégie plus globale, le litigant peut évoque son obligation systémique de compliance pour destituer le juge du contrat, ou au contraire pour conférer à celui des pouvoirs que celui-ci n'a pas d'ordinaire.

Cette pénétration stratégique va faire se rencontrer la "matière contractuelle et la "matière de la compliance", la matière étant aussi ce par quoi le juge est saisi. Alors la matière contractuelle est souvent bilatérale, singulière et belligueuse, alors que la "matière de la compliance" est de nature systèmique (ce dont les contentieux répressif et administratif rendent davantage compte) et comprend un part essentiel de gracieux.

⛏️Aller plus loin  :

🕴🏻M.-A. Frison-Roche, 📝Contrat de compliance, clauses de compliance, 2022

🕴🏻M.-A. Frison-Roche, 📝 La part du gracieux dans le traitement juridictionnel de la compliance ,in  📗Mélanges en l'honneur de Dominique d'Ambra, 2026

🕴🏻M.-A. Frison-Roche, 📝Contrat de compliance, clauses de compliance, 2022

🕴🏻M.-A. Frison-Roche, 🏛️Mission donnée par le garde des Sceaux, ministre de la Justice, Droit de la Compliance, Travaux en cours, 2025 - 2026.

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► Full Reference: M.-A. Frison-Roche, Arbitration consideration of Compliance Obligation for a sustainable Arbitration Place", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2026, forthcoming.

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📝read the article

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📘read a general presentation of the book, Compliance Obligation, in which this article is published

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► Summary of this article: The first part of this study assesses the evolving relationship between Arbitration Law and Compliance Law, which depends on the very definition of the Compliance Obligation (I). Indeed, these relations have been negative for as long as Compliance has been seen solely in terms of "conformity", i.e. obeying the rules or being punished. These relationships are undergoing a metamorphosis, because the Compliance Obligation refers to a positive and dynamic definition, anchored in the Monumental Goals that companies anchor in the contracts that structure their value chains.

Based on this development, the second part of the study aims to establish the techniques of Arbitration and the office of the arbitrator to increase the systemic efficiency of the Compliance Obligation, thereby strengthening the attractiveness of the Place (II). First and foremost, it is a question of culture: the culture of Compliance must permeate the world of Arbitration, and vice versa. To achieve this, it is advisable to take advantage of the fact that in Compliance Law the distinction between Public and Private Law is less significant, while the concern for the long term of contractually forged structural relationships is essential.

To encourage such a movement to deploy the Compliance Obligation, promoting the strengthening of a Sustainable Arbitration Place (III), the first tool is the contract. Since contracts structure value chains and enable companies to fulfill their legal Compliance Obligation but also to add their own will to it, stipulations or offers relating to Arbitration should be included in them. In addition, the adoption of non-binding texts can set out a guiding principle to ensure that concern for the Monumental Goals is appropriate in order the Compliance Obligation to be taken into account by Arbitrators.

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🌐Follow Marie-Anne Frison-Roche on LinkedIn

🌐s'abonner à la Newsletter MAFR Regulation, Compliance, Law

🌐Subscribe to the video newsletter MAFR Overhang

🌐Subscribe to the MaFR Law & Art newsletter

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► Full reference: M.-A. Frison-Roche, "Le maniement du temps dans le contentieux contractuel impliquant la Compliance : de l’urgence au temps long (The management of time in contractual litigation involving compliance: from urgency to the long term)", in Journal of Regulation & Compliance (JoRC) and Jean Moulin – Lyon 3 University, Contractual disputes involving compliance: procedural and jurisdictional aspects,  Faculty of Law, Lyon, 29 May 2026.

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🧮view the full programme for the event (in French)

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📶view the slides (in French)

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🚧Read the bilingual working paper on which this conference is based

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Read the présenation of the other two papers presented at this conference:

🎥The emergence of contractual disputes involving compliance due to the convergence of legal areas

🎥Appropriate adjudication in contractual disputes involving compliance and its effective enforcement

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📝This lecture will form the basis of a contribution to the book, 📕Compliance et Contrat  with English summaries) 

To be published in the 📚Regulations & Compliance series, a book co-published by the Journal of Regulation & Compliance (JoRC) and Lefebvre-Dalloz.

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► Overview of this conference : 

⛏️Find out more  :

🕴🏻J.-M. Coulon and 🕴🏻M.-A. Frison-Roche (eds.), Le temps dans la procédure (Time in Legal Proceedings), 19966

🕴🏻M.-A. Frison-Roche, ⚙️Compliance and Contracts,

 

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🌐Follow Marie-Anne Frison-Roche on LinkedIn

🌐Subscribe to the Newsletter MAFR Regulation, Compliance, Law

🌐Subscribe to the video newsletter MAFR Overhang

🌐Subscribe to the Newsletter MaFR Law & Art

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► Full Reference: M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2026, to be published

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📕In parallel, a book in French L'Obligation de compliance, is published in the collection "Régulations & Compliance" co-published by the Journal of Regulation & Compliance (JoRC) and Lefebvre-Dalloz. 

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📚This book is inserted in this series created by Marie-Anne Frison-Roche for developing Compliance Law.

 read the presentations of the other books of this Compliance Series:

• further books:

🕴️M.A. Frison-Roche (ed.), 📘Compliance Evidential System, 2027

🕴️M.A. Frison-Roche (ed.), 📘Compliance and Contract, 2027

 

• previous books:

​🕴️M.A. Frison-Roche (ed), 📘Compliance Juridictionnalisation, 2023

🕴️M.A. Frison-Roche (ed), 📘Compliance Monumental Goals, 2022

🕴️M.-A. Frison-Roche (ed.), 📘Compliance Tools, 2021

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► go to the general presentation of this 📚Series ​Compliance & Regulation, conceived, founded et managed by Marie-Anne Frison-Roche, co-published par the Journal of Regulation & Compliance (JoRC) and Bruylant. 

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🧮the book follows the cycle of colloquia organised by the Journal of Regulation & Compliance (JoRC) and its Universities partners.

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► general presentation of the book: Compliance is sometimes presented as something that cannot be avoided, which is tantamount to seeing it as the legal obligation par excellence, Criminal Law being its most appropriate mode of expression. However, this is not so evident. Moreover, it is becoming difficult to find a unity to the set of compliance tools, encompassing what refers to a moral representation of the world, or even to the cultures specific to each company, Compliance Law only having to produce incentives or translate this ethical movement. The obligation of compliance is therefore difficult to define.

This difficulty to define affecting the obligation of compliance reflects the uncertainty that still affects Compliance Law in which this obligation develops. Indeed, if we were to limit this branch of law to the obligation to "be conform" with the applicable regulations, the obligation would then be located more in these "regulations", the classical branches of Law which are Contract Law and Tort Law organising "Obligations" paradoxically remaining distant from it. In practice, however, it is on the one hand Liability actions that give life to legal requirements, while companies make themselves responsible through commitments, often unilateral, while contracts multiply, the articulation between legal requirements and corporate and contractual organisations ultimately creating a new way of "governing" not only companies but also what is external to them, so that the Monumental Goals, that Compliance Law substantially aims at, are achieved. 

The various Compliance Tools illustrate this spectrum of the Compliance Obligation which varies in its intensity and takes many forms, either as an extension of the classic legal instruments, as in the field of information, or in a more novel way through specific instruments, such as whistleblowing or vigilance. The contract, in that it is by nature an Ex-Ante instrument and not very constrained by borders, can then appear as a natural instrument in the compliance system, as is the Judge who is the guarantor of the proper execution of Contract and Tort laws. The relationship between companies, stakeholders and political authorities is thus renewed.

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🏗️general construction of the book

The book opens with a substantial Introduction, putting the different sort of obligations of compliance in legal categories for showing that companies must build structures of compliance (obligation of result) and act to contribute with states and stakeholders to reach Monumental Goals (obligation of means). 

The first part is devoted to the definition of the Compliance Obligation. 

The second part presents the articulation of Compliance obligation with the other branchs of Law, because the specific obligation is built by Compliance Law, as new substantial branch of Law but also by many other branchs of Law.

The third part develops the pratical means established to obtained the Compliance Obligation to be effective, efficace and efficient.

The fourth part takes the Obligation  of Vigilance as an illustration of all these considerations and the discussion about the future of this sparehead fo the Compliance Obligation . 

The fifth part refers to the place and the role of the judges, natural characters for any obligation. 

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TABLE OF CONTENTS 

 

ANCHORING THE SO DIVERSE COMPLIANCE OBLIGATIONS IN THEIR NATURE, REGIMES AND FORCE TO BRING OUT THE VERY UNITY OF THE COMPLIANCE OBLIGATION, MAKING IT COMPREHENSIBLE AND PRACTICABLE 

 

🔹 Compliance Obligation: building a compliance structure that produces credible results withe regard to the Monumentals Goals targeted by the Legislator, by 🕴️Marie-Anne Frison-Roche

 

TITLE I.

IDENTIFYING THE COMPLIANCE OBLIGATION

 

CHAPTER I: NATURE OF THE COMPLIANCE OBLIGATION

Section 1 🔹 Will, Heart and Calculation, the three marks surrounding the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche

Section 2 🔹 Debt, as the basis of the compliance obligation, by 🕴️Bruno Deffains

Section 3 🔹 Compliance Obligation and Human Rights, by 🕴️Jean-Baptiste Racine

Section 4 🔹 Compliance Obligation and changes in Sovereignty and Citizenship, by 🕴️René Sève

Section 5 🔹 The definition of the Compliance Obligation in Cybersecurity, by 🕴️Michel Séjean

 

CHAPTER II: SPACES OF THE COMPLIANCE OBLIGATION

Section 1 🔹 Industrial Entities and Compliance Obligation, by 🕴️Etienne Maclouf

Section 2 🔹 Compliance, Value Chains and Service Economy, by 🕴️Lucien Rapp

Section 3 🔹 Compliance and conflict of laws. International Law of Vigilance-Conformity, based on applications in Europe, by 🕴️Louis d'Avout 

 

TITLE II.

ARTICULATING THE COMPLIANCE OBLIGATION WITH OTHER BRANCHES OF LAW

 

Section 1 🔹 Tax Law and Compliance Obligation, by 🕴️Daniel Gutmann

Section 2 🔹 General Procedural Law, prototype of the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche

Section 3 🔹 Corporate and Financial Markets Law facing the Compliance Obligation, by 🕴️Anne-Valérie Le Fur

Section 4 🔹 Transformation of Governance and Vigilance Obligation, by 🕴️Véronique Magnier

Section 5 🔹 The Relation between Tort Law and Compliance Obligation, by 🕴️Jean-Sébastien Borghetti

Section 6 🔹 Environmental and Climate Compliance, by 🕴️Marta Torre-Schaub

Section 7 🔹 Competition Law and Compliance Law, by 🕴️Jean-Christophe Roda

Section 8 🔹 The Compliance Obligation in Global Law, by 🕴️Benoît Frydman & 🕴️Alice Briegleb

Section 9 🔹 Environmental an Climatic Dimensions of the Compliance Obligation, by 🕴️Marta Torre-Schaub

Section 10 🔹 Judge of Insolvency Law and Compliance Obligations, by 🕴️Jean-Baptiste Barbièri

 

TITLE III.

COMPLIANCE: GIVE AND TAKE THE MEANS TO OBLIGE

 

CHAPTER I: COMPLIANCE OBLIGATION: THE CONVERGENCE OF SOURCES

Section 1 🔹 Compliance Obligation upon Obligation works, by 🕴️Marie-Anne Frison-Roche

Section 2 🔹 Conformity technologies to meet Compliance Law requirements. Some examples in Digital Law, by 🕴️Emmanuel Netter

Section 3 🔹 Legal Constraint and Company Strategies in Compliance matters, by 🕴️Jean-Philippe Denis & 🕴️Nathalie Fabbe-Coste

Section 4 🔹 Opposition and convergence of American and European legal systems in Compliance Rules and Systems, by 🕴️Raphaël Gauvain & 🕴️Blanche Balian

Section 5 🔹 In Compliance Law, the legal consequences for Entreprises of their Commitments and Undertakings, by 🕴️Marie-Anne Frison-Roche

 

CHAPTER II: INTERNATIONAL ARBITRATION IN SUPPORT OF THE COMPLIANCE OBLIGATION

Section 1 🔹 How International Arbitration can reinforce the Compliance Obligation, by  🕴️Laurent Aynès

Section 2 🔹 Arbitration consideration of Compliance Obligation for a Sustainable Arbitration Place, by 🕴️Marie-Anne Frison-Roche

Section 3 🔹 The Arbitral Tribunal's Award in Kind, in support of the Compliance Obligation, by 🕴️Eduardo Silva Romero

Section 4 🔹 The use of International Arbitration to reinforce the Compliance Obligation: the example of the construction sector, by 🕴️Christophe Lapp 

Section 5 🔹 The Arbitrator, Judge, Supervisor, Support, by 🕴️Jean-Baptiste Racine

 

TITLE IV.

VIGILANCE, SPEARHEAD OF THE COMPLIANCE OBLIGATION

Section 1 🔹 Vigilance Obligation, Spearheard and Total Share of the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche

 

CHAPTER I: INTENSITIES OF THE VIGILANCE OBLIGATION, SPEARHEAD OF THE COMPLIANCE SYSTEM

Section 2 🔹 Intensity of the Vigilance Obligation by Sectors: the case of Financial Operators, by 🕴️Anne-Claire Rouaud

Section 3 🔹 Intensity of the Vigilance Obligation by Sectors: the case of Digital Operators, by 🕴️Grégoire Loiseau

Section 4 🔹 Intensity of the Vigilance Obligation by Sectors: the case of Energy Operators, by 🕴️Marie Lamoureux

 

CHAPTER II: GENERAL EVOLUTION OF THE VIGILANCE OBLIGATION

Section 1 🔹 Rethinking the Concept of Civil Liability in the light of the Duty of Vigilance, Spearhead of Compliance, by 🕴️Mustapha Mekki

Section 2 🔹 Contracts and clauses, implementation and modalities of the Vigilance Obligation, by 🕴️Gilles J. Martin

Section 3 🔹 Proof that Vigilance has been properly carried out with regard to the Compliance Evidence System, by 🕴️Jean-Christophe Roda

Section 4 🔹 Compliance, Vigilance and Civil Liability: put in order and keep the Reason, by 🕴️Marie-Anne Frison-Roche

 

Title V.

THE JUDGE AND THE COMPLIANCE OBLIGATION

Section 1 🔹 Present and Future Challenges of Articulating Principles of Civil and Commercial Procedure with the Logic of Compliance, by 🕴️Thibault Goujon-Bethan

Section 2 🔹 The Judge required for an Effective Compliance Obligation, by 🕴️Marie-Anne Frison-Roche

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CONCLUSION

THE COMPLIANCE OBLIGATION: A BURDEN BORNE BY SYSTEMIC COMPANIES GIVING LIFE TO COMPLIANCE LAW  

(conclusion and key points of the books, free access)

 

 

 

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► Référence complète : M.-A. Frison-Roche, "Le jugement adéquat dans le contentieux contractuel impliquant la Compliance", in Journal of Regulation & Compliance (JoRC) et Université Jean Moulin - Lyon 3 (,..), Le contentieux contractuel impliquant la Compliance : aspects procéduraux et juridictionnels,  Faculté de droit, Lyon, 29 mai 2026.

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🧮consulter le programme complet de la manifestation

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📶consulter les slides

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🚧Lire le document de travail bilingue sur la base duquel cette conférence est bâti

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Lire la présentation des deux autres interventions dans ce colloque :

🎥L'émergence du contentieux contractuel impliquant la Compliance par la convergence des matières

🎥Le temps  

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📝Cette conférence sera la base d'une contribution dans l'ouvrage, 📕Compliance et Contrat, 

à paraître dans la collection 📚Régulations & Compliance, ouvrage coédité par le Journal of Regulation & Compliance (JoRC) et Lefebvre-Dalloz.

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► Présentation de cette conférence : 

⛏️Aller plus loin  :

🕴🏻J.-M. Coulon et 🕴🏻M.-A. Frison-Roche (codir.), Le temps dans la procédure ⚙️Compliance et Contrat, 19966

🕴🏻M.-A. Frison-Roche, ⚙️Compliance et Contrat,

 

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