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► Full reference : Frison-Roche, M.-A., Building by Law the Unicity of Compliance Tools from the Definition of Compliance Law by its "Monumental Goals", in Frison-Roche, M.-A. (ed.), Compliance Tools, serie "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Bruylant, 2021, pp. 35-46

Summary of the article : The "tools of Compliance" do not stack on top of each other. They form a system, thanks to a unity drawn from the goals that all these multiple and different tools serve: the "Monumental Goals" by which Compliance Law is defined.

All these tools are configured by these goals and for mastering all these techniques, it is essential to put them all in perspective of what Compliance Law is, which is designed teleologically with regard to its goals. Extension of Regulatory Law and like it, Compliance Law is built on a balance between the principle of competition and other concerns that public authorities claim to take care of. Compliance Law has moreover more "pretensions" in this respect, for example in environmental matters. All the means are then good, the violence of the tools marrying without difficulty with the voluntary commitments since it is the goals which govern this branch of Law.

As legal solutions adopted show, a common method of interpretation and common levels of constraint for all Compliance Tools result from this definition. Starting from the goals (in which legal normativity is housed), the interpretation of the different tools is thus unified. Moreover, the different degrees of constraint do not operate according to the consideration of sources (traditional legal criterion) but by the goals, according to the legal distinction between obligations of means and obligations of results which result from the articulation between tools, of which the establishment is an obligation of result, and the goal, of which the achievement is only an obligation of means.

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📝 Read the bilingual working paper on which rely this article.

📝 Read a general presentation of the book in which this article has been published.

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General reference : Frison-Roche, M.-A., Drawing up Risk Maps as an Obligation and the paradoxe of the "Compliance Risks", in Frison-Roche, M.-A. (ed.), Compliance Tools, serie "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Bruylant, 2021, p. 61-72

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Summary of the article :

There are few synthetic or theoretical studies on Risk Mapping even though it is in fact the Compliance central tool, perhaps because it is more a management tool than a legal one. Risk Mapping is often described but does not receive any other legal qualifications than being a "modality", suffering in this respect from an evil which affects the whole of Compliance, still little understood by Law, attention often so focused on the Ex Post (sanctions) while Compliance is by nature in the Ex Ante. Going from disarray to incomprehension, everyone can note the existence of "compliance risks" among the mapped risks, because if as so many affirm that it would be necessary to speak only of simple conformity as obedience, demonstrated in Ex Ante, to Law, how a sub-set of a tool would therefore have the same object as the set of Law that this tool serves ... This aporia can only be resolved if Compliance Law is defined substantially by its "monumental goals" which exceed obedience to regulations.

Consequently, Law taking up Risk Mapping, this mechanism may first appear as an ancillary obligation to the main obligation consisting in achieving "monumental goals". The ancillary obligation to draw up the maps is an obligation of result, while the main obligation to achieve the monumental goals is an obligation of means. These cartographies being very diverse and being only occasionally targeted by specific laws, it can also constitute only a legal fact or, through the play of various charters, a unilateral legal commitment. But it isnbecoming the basis of an autonomous legal obligation incumbent on enterprises in position to know certain risks, obligation referring to the existence of a subjective right tof knowing and measuring them ("right to be worried") which the third parties who are going to run them would hold, thus allowing them to choose to run them, or not.

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Read the bilingual working paper, with additional developments, technical references and hyperlinks, on which this article is based 

Read a general presentation of the book in which the article is published

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► Full Reference: Frison-Roche, M.-A. (ed.), Compliance Tools, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) & Bruylant, 2021.

This book in English is the first title of this collection integrally dedicated to Compliance Law, in that it is the extension of Regulation Law. 

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📚  Read the titles of this series in English co-published by Bruylant. 

📚   This collection in English is articulated with a collection co-published between the Journal of Regulation & Compliance and Dalloz.

📕Thus, in parallel, a book in French, Les Outils de la Compliance is published. 

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📅   This book is published after a  cycle of colloquiums organised by the Journal of Regulation & Compliance (JoRC) and Partners Universities.

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► General Presentation of the collective book: The political dimension of Compliance Law lies in the goals it aims to achieve. To achieve them, the concern for these goals is internalized in "crucial operators", which may be obliged to concretize "monumental goals" set by public authorities. These public bodies control the Ex Ante reorganization that this implies for these companies and sanction Ex Post the possible inadequacy of the companies, which have become transparent to this end. The effectiveness and efficiency of this internalization, without which the statement of these goals is worth nothing, is based on the Compliance tools that are deployed.

These appear to be very diverse but their substantial unity (topic which will be the subject of a forthcoming book) makes it possible to study the tools put in place from a unique perspective, by not isolating them in a particular branch of Law, Criminal law or International Law for example, but by measuring what is common to them, notably Anticipation, Trust, Commitment, Responsibility, Incentive, and so on. If the Compliance tools vary, it is rather not only according to the sectors, finance and banking appearing then as the advanced point of the general Compliance Law, for example in environmental matters, but also according to the countries and the cultures. It is in fact about them that legal cultures seem to oppose.

The book aims to understand these "tools" by going beyond the description of each instrument, for which we already have many monographs, for analyzing them through the issues of Risks, required Expertises, Training. Sovereignty claims, Incentives, mechanical aptitude of Technologies. It is through these themes that are analyzed by the authors, experts in the field, what we always want to understand better: Compliance Programs, Whistle blowing, Mapping, Sanctions, Extraterritoriality, etc.

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Read the summary of the book. 

Read the foreword, summarizing all the contributions.  

Présentation of the book contributions:

📝Amico, Th., Compliance or the passage from ex post to ex ante: A Copernican revolution for the criminal lawyer?

📝Banck, A., The maturity of the Compliance tool’s user, first criterion of the choice of the salient tool

📝Burlingame, Coppens R., Power, N, Lee, D.H., Anti-Corruption Compliance: Global Dimension of Enforcement and Risk Management

📝Calandri, L., Incentive(s) and Self-Regulation(s): which place for Compliance Law in the Audiovisual Sector? 

📝Causse, H., Compliance Training: Through and Beyond Traditional Legal Training

📝Frison-Roche, M.-A., Describing, designing and correlating Compliance Tools to have a better use of it

📝Frison-Roche, M.-A., Building by Law the Unicity of Compliance Tools from the Definition of Compliance Law by its "Monumental Goals"

📝Frison-Roche, M.-A., Drawing up Risk Maps as an obligation and the paradox of the "Compliance risks" ​

📝 Frison-Roche, M.-A., Incentives and Compliance, a couple to propel

📝 Frison-Roche, M.-A., Resolving the contradiction between sanctions and incentives under the fire of Compliance Law

📝 Frison-Roche, M.-A., Rights, primary and natural Compliance tools

📝 Frison-Roche, M.-A., Training: content and container of Compliance Law​

📝 Galland, M., The Regulator's Inspection of the Effectiveness of the Compliance Tools Implemented by the Company

📝 Granier, C., The Normative Originality of Compliance by Design

📝 Guillaume, N., Compliance risk mapping: first insights of challenges, limits and good practices

📝Guttierez-Crespin, A., Audit of Compliance Systems​

📝 Koenigsberg, S. and Barrière, F., The Development of Attorney's Compliance Expertise

📝 Larouer, M., The Manifestation of Incentives Mechanisms in French Compliance Law

📝 Merabet, S., Morality by Design

📝 Pailler, L., Technological Tools, Compliance by Design and GDPR: the Protection of Personal Data from Design

📝 Racine, J.-B., Geographical dominance in the choice and the use of Compliance Tools. Introductory remarks

📝Rapp, L., Incentive Theory and Governance of Space Activities

📝 Roda, J.-C., Compliance by design in antitrust: between innovation and illusion

📝 Salah, M., Conception and Application of Compliance in Africa

📝 Tardieu, H., Data Sovereignty and Compliance

📝 Thouret, T., Training and Compliance, Two Correlated Information Transmission Tools

This scientific manifestation is placed under the scientific direction of Marie-Anne Frison-Roche, Pascale Idoux, Antoine Oumedjkane and Adrien Tehrani. It is organized by the Journal of Regulation & Compliance (JoRC) and by the Faculté de Droit et de Science Politique de l'Université de Montpellier (Centre de Recherches et d'Etudes Administratives de Montpellier and Centre du Droit de l'Entreprise).

This manifestation is part of the cycle of colloquia organized in 2021 around the general topic of Compliance Monumental Goals. 

The interventions will give rise to the production of articles which will be part of the books Les bus monumentaux de la Compliance and Compliance Monumental Goals which will be published in the Series Regulations & Compliance, coedited by the JoRC and Dalloz for the French version and by the JoRC and Bruylant for the English version. 

This manifestation will take place on Zoom on 17th of May 2021. 

Registrations: anouk.leguillou@mafr.fr 

Assistance to this event may be validated as part of the continuing education of lawyers.

In addition, scientific videos will be extracted and disseminated later.

Presentation of the topic: In the overall problematic of "Monumental goals", this conference retains a particular case: that of the crisis and the emergency situation that it generates.

First of all, in general, does the importance of public norms in the emergency context engendered by a crisis situation imply a marginalization of Compliance? Don't private actors also have their place in these circumstances, at the service of the "monumental goals" that the public authorities want to maintain, or even which appear specifically?

Secondly, more concretely, we have been living for many months in a health crisis. By taking it as a framework and, within it from particular cases, how public and private actors react, act, adjust? and how do the courts assess these movements?

Going from the most general to the most specific, this conference aims to identify criteria, limits, of what could be specific rules when the emergency of a crisis meets Compliance, and will examine specific situations.

Working method: The conference is therefore built on a general issue, which was the subject of a "working paper", written by Antoine Oumedjkane, Adrien Tehrani and Pascale Idoux, on which the speakers will have thought in advance and from which they are intended to study the question from their particular perspective.

The conference, which is essentially interactive, therefore begins with an outline of the main lines of this general work. It is followed by the examination of concrete practical cases.

They are as follows:

1️⃣ hydroalcoholic gel, its manufacture, price, availability,

2️⃣ information and regulation on all media in Covid period

3️⃣ the use of the bicycle during the state of health emergency

A first conclusion, thematically limited, will relate to Revealed by the crisis situation, the place of private initiative in Compliance Law.

A second, more general, undoubtedly open-ended conclusion is drawn from this confrontation between general reflection and concrete cases which must be resolved in a particular crisis.

Will speak: 

• Jean-Bernard Auby, Emeritus Professor of Sciences po (Paris)

• Julien Bonnet, Professor at Montpellier University and member of the CERCOP

• Guylain Clamour, Dean of Montpellier Law School

• Marie-Anne Frison-Roche, agrégée des Facultés de droit, Professor of Regulation and Compliance Law at Sciences Po (Paris) and Director of the Journal of Regulation & Compliance (JoRC)

• Pascale Idoux, Professor at Montpellier University 

• Pascale Léglise, adjointe au directeur des libertés publiques et des affaires juridiques (Deputy Director of Civil Liberties and Legal Affairs) of the Ministère de l'intérieur (Home Ministry)

• Michèle Léridon, Member of the Conseil supérieur de l'audiovisuel (French Media Regulator), President of the working group Pluralisme, déontologie, supervision des plateformes en ligne (Pluralism, Deontology, Supervision of Online Platforms)

• Antoine Oumedjkane, Researcher of the Centre de recherche et d'études administratives (Research and Administrative Studies Center) of Montpellier University

• Nelly Sudres, Maître de conférences at Montpellier University and member of the Centre de Recherches et d'Etudes Administratives (Research and Administrative Studies Center) of Montpellier University

• Adrien Tehrani, Professor at Montpellier University and member of the Centre du Droit de l'Entreprise (Company Law Center)

• Xavier Vallad, Group Legal Director, Intermarché

⤵️Read a more detailed presentation of the manifestation below:

Référence complète: Frison-Roche, M.-A., La place des entreprises dans la création et l'effectivité du Droit de la Compliance en cas de crise in  (dir.) Les normes publiques et la Compliance en temps de crise : les buts monumentaux à l'épreuve, colloque coorganisé par le Journal of Regulation & Compliance (JoRC) et la Faculté de droit de Montpellier, 17 mai 2021.

Consulter les slides sur lesquelles s'appuie cette conférence.

Regarder la vidéo de cette conférence. 

Lire le programme général de ce colloque

Lire le document de travail sur la base duquel la conférence a été élaborée.

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Ce colloque s'insère dans le cycle de colloques 2021 organisé par le Journal of Regulation & Compliance (JoRC) et ses partenaires autour des Buts monumentaux de la Compliance.

Les interventions serviront de première base à la réalisation d'un ouvrage dirigé par Marie-Anne Frison-Roche, dont la version française, Les Buts monumentaux de la Compliance,  est co-éditée par le JoRC et Dalloz et dont la version anglaise, Compliance Monumental Goals, est co-éditée par le JoRC et Bruylant. 

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Résumé de la conférence : Il s'agit d'observer la façon dont les entreprises agissent lorsque la crise advient et l'impact produit sur les "Buts Monumentaux de la Compliance". Il apparaît que les entreprises ont aidé, soit sur l'ordre des Autorités publiques, soit de leur propre initiative. Toute "épreuve" étant une "preuve", la leçon à tirer de la preuve sanitaire est à retirer face à la crise environnementale dont nous sommes déjà informés.

La crise montre la place et le rôle des entreprises pour que tout d'abord survive l'effectivité du Droit de la Compliance par le souci maintenu de ses buts, grâce à l'aide requise ou spontanée des entreprises.

Mais plus encore l'on a pu observer des entreprises actives en raison de leur "position" pour des buts qui n'étaient pas les leurs, comme l'environnement. L'on retrouve alors la définition générale du Droit de la Compliance comme l'alliance en Ex Ante entre Autorités publiques et opérateurs privés cruciaux, pour maîtriser le futur. Ce sont les juges qui les assignent à cette alliance, ici et maintenant.  La crise sanitaire en accélère la construction.

Full Reference: Frison-Roche, M.-A. Place and Role of Companies in the Creation and Effectiveness of Compliance Law in Crisis, Working Paper, May 2021. 

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This Working Paper has been elaborated as basis for a conference in the colloquium of Mai 17, 2021 (done in French: Normes publiques et Compliance en temps de crise : les buts monumentaux à l'épreuve.

This video is made with English substitutes. 

It is also the basis for an article in the book Compliance Monumental Goals, the English version of which is co-published by the Journal of Regulation & Compliance (JoRC) and Bruylant.

Summary: This article has a very topic: the place of private Companies, with regard to the chapter's issue: "the ordeal of a crisis". The crisis constitutes a "test", that is to say, it brings evidence. Let us take it as such.

Indeed, during the health crisis, it appears that Companies have helped the Public Authorities to resist the shock, to endure and to get out of the Crisis. They did so by force, but they also took initiatives in this direction. From this too, we must learn lessons for the next crisis that will come. It is possible that this has already started in the form of another global and systemic crisis: the environmental crisis. In view of what we have been able to observe and the evolution of the Law, of the standards adopted by the Authorities but also by the new case law, what can we expect from Companies in the face of this next Crisis, willingly and strength 

Lire ci-dessous les développements.

Academics did a study on how people who work in investment banks kill themselves on the job.

The death of a 21-year-old intern, having worked three days without sleeping, in the Goldman Sachs bank, the testimonies of young people explaining that they work non-stop, undoubtedly contributed to testimonies, relayed in the press, specialized or generalist, but also university studies.

Indeed, two academics published a research no longer on the rules applicable within investment banks, which took measures to force their employees and their interns (since the victim was an intern) to rest on Sundays but on journeys based on data accessible by taxi companies.

As a result, the reaction of the people was not to rest: it was to increase the daily working time, to leave even later after dark.

Research shows that this phenomenon increases during the summer, that is to say precisely when the people who work are more trainees, that is to say those who want to "prove themselves": As the authors say: "Cette analyse, menée avec mon ex-collègue de doctorat de la Aalto University School of Business (Finlande), montre que, lorsque les banques ont mis en place des politiques de travail sans samedi, cela a incité les employés à travailler tard le soir en semaine pour compenser. Ces résultats sont plus marqués pendant les semaines de stages d’été, lorsque les banques d’investissement emploient un grand nombre d’étudiants désireux de faire leurs preuves en travaillant dur." (“This analysis, conducted with my ex-doctoral colleague from Aalto University School of Business (Finland), shows that when banks implemented work policies without Saturday, it prompted employees to work late nights on weekdays to compensate. These results are most marked during the summer internship weeks, when investment banks employ large numbers of students eager to prove themselves by working hard. ")

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Let's go back to the Industry series.

An expert has shown all the points on which it does not correspond to "reality", on such and such a point.

The cinema is reality — not even in the reconstitution of such or such a point, it reproduces it by throwing on the screen what is the idea which moves in the facts.

This series begins with the death of a trader, who died of work.

It tells exactly the life, how to qualify it ..., let's say "the crazy life" of those who work there.

It is hardly bearable to watch.

In any case, it is exactly the image of what these two academics are saying.

► Full Reference: M.-A. Frison-Roche, "Décrire, concevoir et corréler les outils de la Compliance, pour en faire un usage adéquat" ("Describing, conceiving and correlating Compliance Tools, in order to use them adequately"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. Régulations & Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 3-24.

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📝read the article (in French)

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📕read a general presentation of the book, Les outils de la Compliance, in which this article is published

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► Summary of the article (done by the Journal of Regulation & Compliance): The article is the general introduction to the book on Compliance tools. In its first part it develops the overall problematic. In its second part, it presents each of the contributions, placed in the overall construction of the work.

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