April 21, 2021

Thesaurus : Doctrine

BANCK, Aurélie🕴️

📝La maturité de l’utilisateur d'un outil de Compliance, premier critère du choix de l’outil adéquat, in 🕴️M.-A. Frison-Roche (ed.), 📕Les outils de la Compliance

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â–ş Full Reference: A. Banck, "La maturitĂ© de l’utilisateur d'un outil de Compliance, premier critère du choix de l’outil adĂ©quat" ("The maturity of the Compliance Tool’s user, first criterion of the choice of the salient tool"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "RĂ©gulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 209-212.


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


â–ş Summary of the article (done by the Journal of Regulation & Compliance): The author insists on the practical necessity for the firm to show immediately the documents attesting of the reality of Compliance mechanisms. IT tools helps companies to do that, but the crucial point is that everyone in the firm appropriates these tools. 

To obtain it, it is necessary that the Compliance officer does not necessarily choose the tool which suits him or her best and pleases him or her the most but rather suits the one who will handle it, for example commercial teams on the ground, monitoring that the tool integrates the specificity of the sector and of the firm. The adjustment of the softwares must meet a maturity of its users in the firm, which must have a "culture of compliance" to take advantage of its tools. Thus more rudimental tools can be more efficient if the culture of Compliance is still weak, sophisticated tools could be unuseful if a prior minimum basis is not reach. 

The author thus shows the link to be made between the maturity of the users and the technicality of the tools, the two having to progress together.


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