Oct. 14, 2021

Thesaurus : Doctrine


📝 Practical obstacles to the effective place of Proportionality in Compliance, in 📘Frison-Roche, M.-A. (ed.), "Compliance Monumental Goals"

to read this presentation totally in English↗️ click on the British flag

► Full Reference: Bär-Bouyssière, B., Practical obstacles to the effective place of Proportionality in Compliance, in Frison-Roche, M.-A. (ed.),Compliance Monumental Goals, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.


► Article Summary:  The article is based on the undisputed assertion that Proportionality is inherent in Compliance, in particular when this takes the form of a sanction, but the author compares this assertion with its practical implementation.

The author notes that in all the compliance mechanisms, in particular in Competition Compliance, companies have difficulties in practice in satisfying with their obligations in Ex Ante because the standards are very heavy, expensive and difficult to understand, as they have difficulty. in Ex Post to obtain that the authorities do not make a disproportionate use of them, and to obtain that the courts effectively protect them from that.

These practical difficulties are due above all to the diversity of the standards concerned, those who create them as well as those who interpret them having to do so without excess, about what it is very difficult to obtain control. In addition, the weight of the implementation of compliance standards is not correlated with the concrete and financial ability of diverses companies to do so and the design of standards does not always integrate this correlation.

Faced with this, companies then tend to do more than is necessary, in order not to incur sanctions in the doubt, and moreover because the people in charge of the effectiveness of their compliance standards have in the mind not to engage their own responsibility, which encourages them to over-apply compliance obligations, when there should be a fair and strict relationship of necessity, that is to say this desired proportionality, this additional cost being a useless excess for all.

Finally, a practical difficulty is due to the violence, in itself necessary, of the sanctions, in the face of which the companies seek in Ex Post to show the disproportionate nature, but do not have very sure means of proof.

This is why it is often on the ground of rhetoric and of the conviction that enterprises are placed in practice, more than on that of the mathematical calculation of proportionality.



📝 see the general presentation of the book, Compliance Monumental Goals, in which this article is published




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