The recent news

► Full Reference: M.-A. Frison-Roche, " Definition of Proportionality and Definition of  Compliance Law", in M.-A. Frison-Roche (ed.), Compliance Monumental Goals, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, 2023, p.

___

► Article Summary: The use of Proportionality t always limit powers is only justified when it is about sanctions, but sanctions are only one tool among others in Compliance Law, intended moreover to have little place in this Ex Ante branch of Law. And returning to the very nature of Compliance Law, which relies on operators, private or public, because they are powerful, then using proportionality to limite powers is detrimental to Compliance Law. 

However, nothing requires that. Compliance Law is not an exception that should be limited. On the contrary, it is a branch of Law which carries the greatest principles, aimed at protecting human beings and whose Normativity lies in its "Monumental Goals": detecting and preventing future major systemic crisis (financial, health and climate ones).

However, literally the principle of Proportionality is: "no more powers than necessary, as many powers as necessary".

The second part of the sentence is independent of the first: this must be used.

Politics having fixed these Monumental Goals, the entity, in particular the company, must have, even tacitly, "all the necessary powers" to achieve them. For example, the power of vigilance, the power of audit, the power over third parties. Because they are necessary to fulfill the obligations that these "crucial operators" must perform as they are "in a position" to do so.

So instead of limiting the powers, the Principe of Proportionality comes to support the powers, to legitimize them and to increase them, so that we have a chance that our future is not catastrophic, perhaps better.

In this respect, Compliance Law, in its rich Definition, will itself have enriched the Principle of Proportionality.

____ 

🚧read the Working Paper, with technical developments, references, and hypertext links.

____

📘go to the general presentation of the book in which this article is published

____

► read the presentations of the other Marie-Anne Frison-Roche's contributions in this book: 

📝Compliance Monumental Goals, beating heart of Compliance Law, 

📝 Role and Place of Companies in the Creation and Effectiveness of Compliance Law in Crisis, 

📝 Assessment of Whistleblowing and the duty of Vigilance

________

♾️ follow Marie-Anne Frison-Roche on LinkedIn

♾️subscribe to the Newsletter MAFR Regulation, Compliance, Law 

____

► Full Reference: M.-A. Frison-Roche (ed.), Compliance Monumental Goals, series "Compliance and Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, 2023, 518 p.

____

► This book in a few words: Seize Compliance by its mind: its Monumental Goals. The notion of "monumental goals" of Compliance was proposed in 2016 by Marie-Anne Frison-Roche📎!footnote-2828. It has become explicit in the texts and the resolution of cases, for example to fight against climate change, make human beings effectively equal, force to be extraterritorially vigilant about suppliers. 

Compliance Monumental Goals are targeted ex ante by regulations, contracts, CSR, and international treaties. Creating an alliance between business and political authorities, aiming for a new form of sovereignty. The presence in litigation of these Monumental Goals of global dimension renews the responsibilities and the Judge office. Describing and conceiving these Monumental Goals makes it possible to anticipate Compliance Law, which is more powerful every day.

____

📕 In parallel, a book in French Les Buts Monumentaux de la Compliance, is published in the collection "Régulations & Compliance" co-published by the Journal of Regulation & Compliance (JoRC) and Dalloz. 

____

📅 This book follows a cycle of colloquia 2021 organized by the Journal of Regulation & Compliance (JoRC) and its universities partners. 

____

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

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

📘M.A. Frison-Roche (ed), Compliance Juridictionnalisation, 2022

📘M.-A. Frison-Roche (ed.), Compliance Tools, 2020

____

► 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. 

___

► General construction of the book: 

The book opens with an Introduction, ​which proposes the Monumental Goals as definition of Compliance Law putting them at its "beating heart", giving this new branch of law its originality and specificity, explaining what, in the History of the United States and Europe, gave birth to this singular corpus and justifies a substantial definition of Compliance Law. The concept of Monumental Goals is explained, justifying both systemic and political nature of Compliance Law, the practical consequences of which legal specific rules are thus better identified and limited, since Compliance Law does not lead to all-obedience. We can then determine what we can expect from this Law of the Future that is Compliance Law.

From there, the book unfolds in 5 chapters.

A first chapter is devoted to the "radioscopy" of this notion, in itself and branch of Law by branch of Law.

A second chapter aims to measure how the Monumental Goals are questioned by a crisis situation, for example in a health situation, but not in that example, if they aggravate it and must be discarded, or if, on the contrary, they are exactly conceived for this hypothesis. of crisis, risks, catastrophes and that it is advisable to exploit them, in particular in order, in this "test", to benefit from the alliance between the political authorities, public powers and crucial operators.

Once made explicit and tested, the Monumental Goals must find a sure way to be taken into account. This is why a third chapter aims to measure in principle and in practice how the Proportionality method can help the integration of Compliance, thus giving a new dimension to the Law without dragging it into insecurity and illegitimate grabbing of powers.

But because Compliance Monumental Goals express a very great ambition, the question of a bearable, even beneficial relationship with the international competitiveness of companies, standards and systems must be opened. This is the object of the fourth chapter.  

Finally, because the Monumental Goals express by nature a new ambition of the Law in a world which must not give up in what could be the prospect of its abyss, the fifth chapter has for object the relationship between the Monumental Goals of Compliance and Sovereignty.

____

► Table of Content :

INTRODUCTION

🕴️Frison-Roche, M.-A., 📝Compliance Monumental Goals, beating heart of Compliance Law

CHAPTER I. THE VERY IDEA OF MONUMENTAL GOALS, THE BEATING HEART OF COMPLIANCE LAW

🕴️Maistre, R.-O., 📝What monumental goals for the Regulator in a rapidly changing audiovisual and digital landscape? ;

🕴️Le Fur, A.-V., 📝Interest and “raison d’être” of the company: how do they fit with the Compliance Monumental Goals? ;;

🕴️Malaurie, M., 📝Monumental goals of Market Law. Reflection on the method

🕴️Peicuti, C. & 🕴️Beyssade, J.,📝The Feminization of Responsability positions in Companies as a Compliance Goal. Example of the banking sector

🕴️Petit, B., 📝The Arrangement of the Monumental Goals of Labor Law: a Moving and Often Paradoxical Whole

🕴️Vaquieri, J.-F.,📝 The "Monumental Goals" perceived by the company. The example of Enedis.

CHAPTER II. IMPLEMENTATION OF COMPLIANCE MONUMENTAL GOALS IN ARTICULATION OF THE MAJOR PRINCIPLE OF PROPORTIONALITY

🕴️Rapp, L., 📝Proportionality and Normativity

🕴️Bär-Bouyssière, B., 📝Practical obstacles to the effective place of Proportionality in Compliance

🕴️Meziani, L., 📝Proportionality in Compliance, the guarantee of public order in companies

🕴️Segonds, M., 📝Compliance, Proportionality and Sanction. The example of the sanctions taken by the French Anticorruption Agency 

🕴️Frison-Roche, M.-A., 📝Definition of Proportionality and Definition of Compliance

CHAPTER III. COMPLIANCE MONUMENTAL GOALS TESTED BY CRISIS SITUATIONS

🕴️Oumedjkane, A., 🕴️Tehrani, A. & Idoux, P., 📝Public Norms and Compliance in times of Crisis: Monumental Goals tested: Elements for a Problematic

🕴️Bonnet, J., 📝The Crisis, an opportunity to seize Compliance as a Mode of Communication by Public Authorities

🕴️Frison-Roche, M.-A., 📝Role and Place of Companies in the Creation and Effectiveness of Compliance Law in Crisis 

CHAPTER IV. EFFECTIVENESS OF COMPLIANCE MONUMENTAL GOALS AND INTERNATIONAL COMPETITIVENESS

🕴️Deffains, B., 📝The economic challenge of international competitiveness of Compliance

🕴️Marty, F., 📝The Case for Compliance Programs in International Competitiveness: A Competition Law and Economics Perspective

🕴️Frison-Roche, M.-A., 📝Assessment of Whistleblowing, and the obligation of Vigilance

CHAPTER V. COMPLIANCE SUPPORTED BY MONUMENTAL GOALS AND NEW WAY FO SOVEREIGNY

🕴️Bismuth, R., 📝Compliance and Sovereignty: ambiguous relationships

🕴️Pottier, S., 📝In favour of European compliance, a vehicle of economic and political assertion

________

Le Droit se prête si bien au cinéma au travers de ces deux personnages spectaculaires que sont le juge et l'avocat, et leur sorte d'accessoire sans lesquels ils n'existeraient pas que sont le coupable, l'innocent, la victime, le voleur, etc. Des branches du Droit!footnote-2827, le pénal y est le plus chatoyant et l'on retrouve peu de notaires ou de tous les autres personnages que l'étudiant en Droit apprend à connaître.

Et précisément les professeurs de Droit qui enseignent cette immense matière sont presque absents des films. Le peu qu'ils y sont représentés est donc d'autant plus précieux.

Ainsi le film Just Cause, sorti en 1995, met en scène comme personnage principal, interprété par Sean Connery, Paul Amstrong, dans une histoire à rebondissements autour d'un jeune homme noir qui attend son exécution après sa condamnation pour avoir assassiner une petite fille atrocement, ce qu'il nie.

Sa grand-mère vient à une conférence où le professeur défend une position par principe hostile à la peine de mort, soulignant ce qu'il estime être la barbarie de l'électrocution, le nombre d'innocents exécutés et le pourcentage de noirs victimes d'erreurs judiciaires, débattant avec un collègue qui défend la peine de mort au nom des victimes ayant subi des atrocités.

L'on ne le revoit plus dans cette activité-là, où son titre de "professeur" lui est toujours donné, puisqu'il accepte le cas et commence alors pour lui une série d'aventures et de mésaventures.

Mais la représentation du professeur de droit est la suivante :

1. L'on comprend par la suite qu'il exerce à Harvard, qu'il a jadis aussi pratiqué, mais que depuis 25 ans il ne le fait plus. Il veut d'ailleurs refuser de prendre le cas car il considère qu'il ne "connait plus la réalité".

2. L'opposition est toujours faite entre lui, si savant dans les livres (qu'il se garde de citer) mais si ignorant des faits, en général et en particulier, le cas s'étant déroulé dans une petite ville du Sud des Etats-Unis.

L'on retrouve dans ce film l'idée commune que les professeurs de droit sont des sortes d'ânes savants, inaptes à comprendre vraiment ce qu'est la vie, par exemple qui sont les meurtriers et qui sont les victimes, qualifications pour lesquelles du sens commun est préférable (incarné par une institutrice) mais dont il est dépourvu, de par sa science juridique et de par sa classe sociale.

L'on retrouve ici sous ce personnage du "professeur de droit" la question du savant, ici le savant en droit, à comprendre les situations, à les reconstituer et à les qualifier, l'idée - fortement américaine - semblant être que l'enfermement dans un amphithéatre, ne sortant que pour faire des conférences tranchées, ne rendant peu apte.

♾️follow Marie-Anne Frison-Roche on LinkedIn

♾️subscribe to the Newsletter MAFR Regulation, Compliance, Law 

____

► Full reference: M.-A. Frison-Roche, , F. Ancel, N. Roret, "Les juges vont être de plus en plus présents dans le droit de la compliance" ("Judges will be more and more involved in Compliance Law"), interview with Olivia Dufour, Actu-Juridique, 1st March 2023.

____

💬read the interview (in French)

____

► Presentation of the interview by the journal (in French) : "À l’instigation du professeur Marie-Anne Frison-Roche, l’École nationale de la magistrature (ENM) a proposé pour la première fois début février une formation en compliance à destination des magistrats et des avocats. François Ancel, conseiller la Cour de cassation, Nathalie Roret, avocate et directrice de l’ENM et Marie-Anne Frison-Roche plaident d’une seule voix pour le renforcement du rôle des acteurs judiciaires dans la compliance."

____

► Questions asked (in French): 

• D’où est venue l’idée d’aborder ce droit en cours d’émergence qui semble encore très confidentiel ?

• En effet, on croit souvent savoir ce qu’est la compliance, en la confondant avec la conformité, pouvez-vous expliquer ce qui les distingue ?​​

• On constate, en lisant le programme de la formation, que toutes les branches du droit sont concernées par la compliance depuis le droit des sociétés jusqu’au pénal en passant par les contrats et la responsabilité. Pouvez-vous nous donner des exemples ?​

• Comment se redistribuent les rôles entre les avocats, les juges et les entreprises dans cette nouvelle configuration qu’est la compliance ?​

• En quoi est-ce important pour les magistrats d’appréhender ce nouvel univers ?​

• Ces transformations sont-elles cantonnées à la compliance ou peuvent-elles sortir de son champ ?​

• Par exemple qu’en est-il de la question très controversée du rôle de l’avocat à l’égard du juge ?​

• Avez-vous constaté lors de cette formation une amélioration du dialogue entre les différents acteurs ?​

• Cette formation va-t-elle être instituée de manière permanente dans la formation des magistrats et des avocats ? Une autre manifestation est-elle prévue ?

________

♾️follow Marie-Anne Frison-Roche on LinkedIn

♾️subscribe to the Newsletter MAFR Regulation, Compliance, Law 

____

► Full reference: M.-A. Frison-Roche, "Les notaires "agents d'effectivité de la compliance"", interview with  Sarah Bertone, Solution Notaire Hebdo, 9 February 2023.

____

💬read the interview (in French)

____

► Presentation of the interview by the journal (in French): "Souvent envisagée comme un ensemble des processus visant à s’assurer du respect de certaines réglementations et/ou valeurs éthiques par les professionnels, la compliance est aujourd’hui encore mal appréhendée. Marie-Anne Frison-Roche, professeur de droit, spécialisée en droit de la régulation et de la compliance, nous explique en quoi le notariat trouve pourtant toute sa place dans cette démarche."

____

► Questions asked (in French): 

• Quelle conception de la compliance doit-on adopter pour être efficace ? 

• En quoi ces organisations sont-elles clés ?

• Concrètement, puisque ces organisations anciennes se révèlent si adéquates, ont-elles besoin de s’adapter ?

• Ne faudrait-il pas que ces professions se modifient ?

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche, "Instaurer l'insécurité juridique comme principe, outil de prévention des crises systémiques catastrophiques totales" ("Establishing legal uncertainty as a principle and a tool for preventing total catastrophic systemic crises"), in G. Gerqueira, H. Fulchiron et N. Nord (eds.), Insécurité juridique : l'émergence d'une notion ?, Société de législation comparée, coll. "Colloques", vol. 53, 2023, pp. 153-167. 

___

📝read the article (in French)

____

🚧read the bilingual Working Papier which is the basis of the conference and this article

____

🎤watch the conference of March 22, 2021 that took place in the Cour de cassation (French Court de cassation) and for which this reflection was globally led

____

► English Summary of the article: "whatever it takes". In 2015, Mario Draghi used this formula to aim for the defence of the European currency, when the Euro was in danger of collapsing under the dance of the speculators who would be enriched by its collapse. Rarely has a formula been more violently political and more strongly prescriptive. It contributed to his being dubbed "Super Mario", as in the video game. The formula was used again in 2020 by the Président de la République Française (President of the French Republic) in the face of the financial turmoil caused by the health crisis that led to similar calculations. It goes beyond the mere "financial cost". With this formula, the President of the European Central Bank stated that the economic crisis in Europe was such that the institution would do everything in its power to put an end to it, without any limits; that all those who, by their behaviour, even supported by their legal prerogatives, in this case the speculators, because they were destroying the economic and financial system, would come up against this and would themselves be swept away by the Central Bank because the latter's mission, in that it is absolutely to safeguard the Euro itself, would prevail "quoi qu'il en coûte" ("whatever the cost"). At one point, the master stood up. If the royal position is the seated position, when he listens and judges, it is by rising that he shows his acceptance of also being the master, because he is in charge of more and will use everything to win.

More broadly, we might consider drawing up a positive concept of legal uncertainty (which is bound to please the Hegelians), increasing legal certainty: this would make it possible to associate a clearer legal regime with the hypotheses of legal uncertainty. Indeed, rather than sweeping Law under the carpet, which explains many of the tensions between the Conseil constitutionnel (French Constitutional Council) and the Conseil d'État (Council of State) on the one hand, and the legislator and the government on the other, concerning the "État d'urgence" ("State of emergency"), we could set out the conditions in which legal uncertainty makes it possible to set aside or limit rules.

The idea proposed is therefore that in "extraordinary situations", legal uncertainty would be a dimension, or even a principle which would be admissible. And developing this first point, it is proposed that the hypothesis of an "economic crisis" justifies a dimension, or even a principle of "legal uncertainty". But this first assertion needs to be tested. Is an economic crisis, a concept that needs to be defined, if it is to have such a major reversal effect, such an extraordinary 'situation'? Furthermore, to deal with this extraordinary situation constituted by an 'economic crisis', how much legal uncertainty would be legally acceptable, or even legally claimed? Could we even conceive of a reversal of principle that would bring applicable Law to an economic crisis under the aegis of legal uncertainty? In such a case, the question that then arises is to determine the conditions and criteria for emerging from the economic crisis, or even to determine the elements of perspective of an economic crisis, which could justify in advance the admission of an injection of legal uncertainty. Above all, Law has control over the future.

The economic crisis should therefore be legally defined as an exceptional situation, before stressing that Regulation and Compliance Law, because on the one hand we move from crisis to crisis and on the other hand the whole system aims to avoid and manage the future crisis in advance or to exclude it; this is particularly true of health and climate issues (the way the health crisis was managed was to 'decree' that the State should initiate an economic crisis), which means that legal insecurity is no longer seen as a distant exception, a failure to be combated, but as a lever that can be used to influence the future.

________

♾️ follow Marie-Anne Frison-Roche on LinkedIn

♾️subscribe to the Newsletter MAFR Regulation, Compliance, Law 

____

► Full Reference: Ancel, F. & Frison-Roche, M.A., Droit de la compliance ("Compliance Law", French National School for the Judiciary (Ecole nationale de la magistrature - ENM), 

This teaching is given in French.

_____

► Presentation of the Teaching: The two-day session is designed for magistrates and practicing lawyers who are not necessarily specialized, to enable them, based on concrete cases, to understand the issues, objectives, and methods of compliance mechanisms in companies, including the increasing judicialization and the supranational dimension strengthen, modifying the office of the judge and the role of lawyers.

The analysis is made from the angle of Civil Law (contract, tort), Company Law, Labor Law and Criminal Law, but also governance, financial markets, regulatory, climate and digital issues.

____

► Organisation of the Teaching: this teaching is open to all judicial members and lawyers. Enrollments are made at the French National School for the Judiciary.

________

♾️ follow Marie-Anne Frison-Roche on LinkedIn

♾️subscribe to the Newsletter MAFR Regulation, Compliance, Law 

____

► Full Reference : M.-A. Frison-Roche, "Droit de la compliance : Tour d'horizon" ("Compliance Law: Overview"), in Droit de la compliance (Compliance Law), French National School for the Judiciary (Ecole nationale de la magistrature - ENM), Paris, 2 February 2023.

This conference is given in French.

____

🧮See the full programme of this event

____

► Presentation of the conference:

Compliance Law is mysterious in itself, because it is still in creation, because its presence and power are felt, but it is difficult to grasp it. It is necessary, however, because it deals with the most important, even the most dramatic, facts and carries with it the greatest ambitions. Magistrates must also "make the effort" to participate in the "adventure of Compliance Law", because it affects, and even overturns, all subjects, and because the Prosecutor and the Judge play an increasing role in it.

Because the purpose of this conference is to introduce the two days of a training course designed for magistrates and open to lawyers, it only provides an "overview" of, so that we do not get lost in the sprawling regulations, the global mechanisms and the political ambitions that permeate them.

This is why, without going into any of the subjects, it is about opening up four ways of entering what is a branch of Law that is being born before our eyes:

1. Understanding Compliance Law through "regulations"

2. Understanding Compliance Law through "tools"

3. Understanding Compliance Law through "methods"

4. Understanding Compliance Law through "goals"

The four approches are legitimate because the four dimensions are articulated in positive Law.

But the more positive Law is consolidated, the more its normativity through the goals that give normativity, or even a simplicity without which the whole is not humanly controllable.

These Goals are monumental and Europe bears them more and better than other areas of the world.

____

🚧See the slides used as a support of the presentation (in French)

________