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Feb. 2, 2023
Conferences
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► 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.
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🧮See the full programme of this event
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► 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.
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🚧See the slides used as a support of the presentation (in French)
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Feb. 2, 2023
Publications
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► Full Reference: M.-A. Frison-Roche, "Conforter le rôle du Juge et de l'Avocat pour imposer la Compliance comme caractéristique de l'État de Droit" ("Reinforce the Judge and the Attorney to impose Compliance Law as a characteristic of the Rule of Law"), in M.-A. Frison-Roche (dir.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 29-55.
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► This article is the introduction of the book.
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📝read the article (in French)
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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, La juridictionnalisation de la Compliance, in which this article is published
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► Summary of the article (done by the Journal of Regulation & Compliance): One can understand that the compliance mechanisms are presented with hostility because they seem designed to keep the judge away, whereas there is no Rule of Law without a judge. Solid arguments present compliance techniques as converging towards the uselessness of the judge (I). Certainly, we come across magistrates, and of all kinds, and powerful ones, but that would be a sign of imperfection: its ex-ante logic has been deployed in all its effectiveness, the judge would no longer be required... And the lawyer would disappear so with him...
This perspective of a world without a judge, without a lawyer and ultimately without Law, where algorithms could organize through multiple processes in Ex Ante the obedience of everyone, the "conformity" of all our behaviors with all the regulatory mass that is applicable to us, supposes that this new branch of Law would be defined as the concentration of processes which gives full effectiveness to all the rules, regardless of their content. But supposing that this engineer's dream is even achievable, it is not possible in a democratic and free world to do without judges and lawyers.
Therefore, it is imperative to recognize their contributions to Compliance Law, related and invaluable contributions (II).
First of all, because a pure Ex Ante never existed and even in the time of the Chinese legists, people were still needed to interpret the regulations because a legal order must always be interpreted Ex Post by who must in any case answer the questions posed by the subjects of law, as soon as the political system admits to attributing to them the right to make claims before the Judge. Secondly the Attorney, whose office, although articulated with the Judge's office, is distinct from the latter, both more restricted and broader since he must appear in all cases where the judicial figure puts himself in square, outside the courts. However, Compliance Law has multiplied this since not only, extending Regulatory Law, it entrusts numerous powers to the administrative authorities, but it also transforms companies into judges, in respect of which the attorneys must deal with.
Even more so, Compliance Law only takes its sense from its Monumental Goals. It is in this that this branch of the Law preserves the freedom of human beings, in the digital space where the techniques of compliance protect them from the power of companies by the way that the Compliance Law forces these companies to use their power to protect people. However, firstly, it is the Judges who, in their diversity, impose as a reference the protection of human beings, either as a limit to the power of compliance tools or as their very purpose. Secondly, the Attorney, again distinguishing himself from the Judge, if necessary, reminds us that all the parties whose interests are involved must be taken into consideration. In an ever more flexible, soft, and dialogical Law, everyone presenting himself as the "advocate" of such and such a monumental goal: the Attorney is legitimate to be the first to occupy this place.
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Feb. 2, 2023
Publications
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► Full Reference: M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, série "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, 490 p.
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► Presentation of this book: Sanctions, controls, appeals, deals: judges and lawyers are everywhere in the Compliance mechanisms, creating unprecedented situations, sometimes without a solution yet available. Even though Compliance was designed to avoid the judge and produce security by avoiding conflict. This jurisdictionalisation is therefore new. Forcing companies to prosecute and judge, a constrained role, perhaps against their nature. Leading to the adaptation of major procedural principles, with difficulty. Confronting arbitration with new perspectives. Putting the judge at heart, in mechanisms designed so that he is not there. How in practice to organize these opposites and anticipate the solutions? This is the challenge taken up by this book.
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📘 In parallel, the English version of this book, Compliance Jurisdictionalisation, is published in the series co-published by the Journal of Regulation & Compliance (JoRC) and Bruylant.
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🧮 This book comes after a cycle of colloquia organised in 2021 by the Journal of Regulation & Compliance (JoRC) and its Academic Partners.
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This volume is the continuation of the books dedicated to Compliance in the collection "Régulations & Compliance", founded and managed by Marie-Anne Frison-Roche, copublished by the Journal of Regulation & Compliance (JoRC) and Dalloz.
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🏗️ General construction of this book:
The book begins by a double Introduction, the first (in free access) summarizing the book, the second, substantial, relating to the need to reinforce the Judge and the Lawyer to impose the Compliance Law as a characteristic of the Rule of Law.
The first Part is devoted to what is specific to Compliance Law. of Compliance: the transformation of companies into Prosecutors and Judges of themselves, even of others.
The second Part relates to Compliance general procedural Law, the procedure being the way between the dispute and the judgement.
The third Part continues this journey to the judge and aims to measure the influence of the reasoning and requirements of Compliance Law in dispute resolution methods where it was not, with some exceptions, present, but where it has a great future: Arbitration.
Because trial and judicial decision are inseparable, because legal techniques and the Rule of Law should not be divided but compliance techniques could paradoxically be the weapon of their dissociation, because the power to judge and the procedures surrounding the latter must not be dissociated, because therefore Compliance mechanisms and the Rule of Law must be thought out and practiced then, the rise in power of one must be the sign of the rise in power of the other, and not the price of the 'weakening of the Rule of Law, the fourth Part relates to the Judges in the Compliance mechanisms and culture.
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► Read in free access the article: M.A. Frison-Roche, "Lignes de force de l'ouvrage La Juridictionnalisation de la Compliance" (Lines of Forces of the book La juridictionnalisation de la Compliance).
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►Read below the summaries of each contribution of the book⤵️
Feb. 2, 2023
Publications
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► Full Reference: M.-A. Frison-Roche, "Lignes de force de l'ouvrage La juridictionnalisation de la Compliance" ("Main lines of the book La juridictionnalisation de la compliance"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 1-28.
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► This article constitutes the first part of the Introduction of the book; its access is free⤵️
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📕read a general presentation of the book, La juridictionnalisation de la Compliance, in which this article is published
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► Summary of the article (done by the Journal of Regulation & Compliance): This free access article ⤵️explains firstly the general purpose of the book and secondly how the book is structured in 4 parts.
Then, thirdly and following the table of contents, this article takes up in a few lines each of the contributions.
This is how the "main lines" of the book La juridictionnalisation de la compliance ("The Juridictionnalisation of Compliance") become even clearer
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🔓read this article in full text (in French) ⤵️
Jan. 25, 2023
Publications
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► Référence générale : Frison-Roche, M.-A. Les grands cas juridictionnellement résolus par le Droit de la compliance, document de travail, janvier 2023.
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🎤 Ce document de travail a été élaboré pour servir de base à une intervention sur ce thème, prenant place dans la formation de deux jours conçus par François Ancel et Marie-Anne Frison-Roche sur Le Droit de la Compliance pour l'Ecole nationale de la Magistrature, les 2 et 3 février 2023.
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► Résumé du document de travail : Le
Dec. 31, 2022
Antechronological CV
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► read the general presentation of Marie-Anne Frison-Roche
► travel to the future:
► travel to the past:
► go back to the general CV, bringing to several specific thematic CVs :
📜 Economic Law and Regulatory & Compliance Law
📜 Theory, Sociology & Philosophy of Law
►Academic Titles and diploma (for more details, s. general CV,) :
🎓 Full professor of University, first Class.
🎓 first place of the Agrégation des Facultés de Droit en droit privé et sciences criminelles (French National recruitment Contest for recrutement of University Professors in Private and Criminal Law), 1991,
🎓 PHD in Law, Paris Panthéon-Assas University, Summa Cum Laude ; thesis published.
🎓 Master in Private Law, Panthéon-Sorbonne University, Cum Laude
🎓 bachelor's in philosophy, Sorbonne University,
🎓 Master in Procedural Law, Panthéon-Assas University, Summa Cum Laude
Updated: Dec. 28, 2022 (Initial publication: July 10, 2022)
Publications
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► Full reference: M.A. Frison-Roche, Regulatory and Compliance Law, expression of the missions of a professional Order, Working Paper, July 2022.
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🎤 This Working Paper has been done as basis for an intervention in the Annual Congress of the French Professional Order of the Géomètres-Experts, September 15, 2022 (conference given in French)
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🎥watch the short presentation of this speech (in French)
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🎥watch the full speech given on 15 September 2022, based on this working paper
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► Summary of the Working Paper: Professional orders should not present themselves as exceptions, however legitimate they may be, in relation to a principle, which would be the competitive system, but as the expression of a principle. This principle is expressed by two branches of Law whose importance is constantly growing in European Law, liberal branches which are based on the conception of economic life and the definition of company, turned towards the future: the Regulatory Law and Compliance Law, two branches of Law at the same time related and distinct.
Indeed, and this is the topic of the first part, Competition Law conceives professional orders as exceptions since these "corporations" constitute structural agreements. French domestic legal system both consolidates the professional orders by backing them up to the State, which would sub-delegate its powers to them, but involves them in the questioning by the European Union of the States and their tools. Most often the temptation is then to recall with a kind of nostalgia the times when the professional orders were the principle but, except to ask for a restoration, the time would be no more.
A more dynamic approach is possible, in accordance with the more general evolution of Economic Law. Indeed, the Professional Order is the expression of a profession, a little-exploited concept in Economic Law, over which the Order exercises the function of "Second-level Regulator", the public authorities exercising the function of "First-level Regulator". The Banking and Financial Regulatory Law is built in this way and operates thank to that, at national, European, and global level. This is what should be linked.
The Professional Orders therefore have the primary function of spreading a "Culture of Compliance" among the professionals they supervise and beyond them (clients and stakeholders). This culture of Compliance is developed regarding the missions which are concretized by the professionals themselves.
Therefore, the second part of the Working Paper deals with the legal evolution of the notion of "Mission" which has become central in Economic and General Law, through the technique of the mission-based company. However, there are multiple points of contact between the raison d'être, the company with a mission and Compliance Law as soon as the latter is defined by the concrete and overly ambitious goals that it pursues. : the Monumental Goals.
Each structure, for example the French Ordre des Géomètres-Experts, is legitimate to set the Monumental Goal that it pursues and that it inculcates, in particular the conception of territory and the living environment, joining what unites all the Monumental Goals of Compliance: concern for others. The French Ordre des Géomètres-Experts, is adequate because it has a more flexible relationship, both tighter and broader, with the territory than the State itself.
By instilling this in professionals, the Professional Order develops in the practitioner an "ex ante responsibility", which is a pillar of Compliance Law, constituting both a charge and a power that the practitioner exercises, and of which the Professional Order must be the supervisor.
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🔓read the Working Paper⤵️
Dec. 8, 2022
Conferences
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► Référence complète : M.-A. Frison-Roche, "La compliance, perspective dynamique pour exprimer la raison d'être des commissaires de justice", in Table-ronde sur "Professions réglementées, ambitions et enjeux", Congrès annuel national des Commissaires de justice, Paris, 8 décembre 2022.
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►lire le programme complet du congrès et 🎥regarder la présentation du colloque par le président du Congrès
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►présentation de l'intervention : Ce premier congrès annuel national des Commissaires de justice, réunissant pour la première fois la profession réformée, a débuté par un débat de 2 heures animé par une journaliste, débat entre les autres professions, les autorités publiques (Autorité de la concurrence, Chancellerie), ayant pour ma part à y apporter le regard académique :
Ce débat fut particulièrement animé et vivant, ne serait-ce qu'en raison de la configuration des lieux, chacun étant placé pour entrer dans un dialogue :
🎤 J'y pris la parole en premier pour insister sur le fait que les "professions" sont des structures qui ont un grand avenir, en ce qu'elles s'articulent avec le système économique libéral, qu'elles sont par nature régulées et porteuses de régulation, dans des systèmes qui, pour demeurer libéraux, vont en avoir de plus en plus besoin. Cela est pertinent pour la profession des Commissaires de justice qui procurent de la sécurité, via de l'incontestabilité reposant aussi sur le lien entre celle-ci et les faits, et qui assurent l'effectivité des engagements en gardant le souci du lien social.
🎤 J'ai repris la parole lorsque la place de la Compliance fut évoquée. Dépassant l'exigence de "conformité", qui n'est qu'un outil de la Compliance, j'ai montré l'avenir du Droit de la Compliance, notamment dans l'Europe qui associe dynamisme économique, souci des personnes et de l'environnement, et l'alliance que cela implique entre les Autorités politiques et publiques et les entités susceptibles de participer à la concrétisation de ces Buts Monumentaux de la Compliance.
📕 Pour aller plus loin : M.-A. Frison-Roche (dir.), Les buts monumentaux de la compliance, 2022.
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regarder la présentation du colloque par le président du Congrès