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► Full Reference: M.-A. Frison-Roche, "Naissance d'une branche du Droit : le Droit de la Compliance" ("Birth of a branch of Law: Compliance Law"), in Mélanges offerts à Louis Vogel. La vie du droit, LexisNexis - Dalloz - LawLex - LGDJ, 2024, pp.177-188.

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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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► English Summary of the article:  The study focuses on the various movements that have given rise to Compliance Law, with particular emphasis on Competition Law.

After a preliminary reflection on the construction of the legal system into branches of Law, their classification in relation to each other, the difficulty encountered in this respect by Economic Law, and the various movements that give rise to one of them, the diversity of which the branch subsequently keeps track of, the study is constructed in 4 parts.

To find out what gave rise to Compliance Law, the first part invites everyone to reject the narrow perspective of a definition that is content to define it by the fact of "complying" with the applicable regulations in the sens to obey them automatically. This has the effect of increasing the effectiveness of the regulations, but it does not produce a branch of Law, being only an efficiency tool like any other.

The second part of the study aims to shed light on what appears to be an "enigma", because it is often claimed that this is the result of a flexible method through the "soft law", or of an American regulation (for instance FCPA), or of as many regulations as there are occasions to make. Instead, it appears that in the United States, in the aftermath of the 1929 crisis, it was a question of establishing an authority and rules to prevent another atrocious collapse of the system, while in Europe, in 1978, in memory of the use of files about Jews, it was a question of establishing an authority and rules to prevent an atrocious attack on human rights. A common element that aims for the future ("never again"), but not the same object of preventive rejection. This difference between the two births explains the uniqueness and diversity of the two Compliance Law, the tensions that can exist between the two, and the impossibility of obtaining a global Compliance Law.

The third part analyses the way in which Competition Law has given rise to conformity mechanisms: they had only constituted a secondary branch which is a guarantee of conformity with competition regulations. Developed in particular through the soft law issued by the competition authorities, the result is a kind of "soft obedience", a well-understood collaboration of a procedural type through which the company educates, monitors and even sanctions, without going outside Competition Law, of which compliance  (in the sens of conformity) is the appendix. The distance between a conformity culture and Compliance Law can be measured here.

The fourth part aims to show that Competition Law and Compliance Law are two autonomous and articulated branches of Law. Since Compliance Law is a autonomous and strong branch of Law built around Monumental Goals, in particular the sustainability of systems and the preservation of the human beings involved so that they are not crushed by these systems  but benefit from them : the current challenge of European integration is to build the pillar of Compliance Law alongside the competitive pillar. Jurisdictions are in the process of doing this and articulating them.

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► Full reference: M.-A. Frison-Roche, "L’usage des puissances privées par le droit de la compliance pour servir les droits de l’homme" (Use of private companies by Compliance Law to serve Human Rights) , in J. Andriantsimbazovina (dir.), Puissances privées et droits de l'Homme. Essai d'analyse juridique, Mare Martin,  coll. "Horizons européens", 2024, pp. 279-295

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🚧read the  Bilingual Working Paper on which this article is based, with more technical developments, references and hypertext links

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► English Summary of this article: Following the legal tradition, Law creates a link between power with a legitimate source, the State, public power being its prerogative, while private companies exercise their power only in the shadow of this public power exercised ex ante.  The triviality of Economic Law, of which Competition Law is at the heart, consisting of the activity of companies that use their power on markets, relegates the action of the State to the rank of an exception, admissible if the State, which claims to exercise this contrary power, justifies it.  The distribution of roles is thus reversed, in that the places are exchanged, but the model of opposition is shared. This model of opposition exhausts the forces of the organisations, which are relegated to being the exception. However, if we want to achieve great ambitions, for example to give concrete reality to human rights beyond the legal system within which the public authorities exercise their normative powers, we must rely on a new branch of Law, remarkable for its pragmatism and the scope of the ambitions, including humanist ambitions, that it embodies: Compliance Law.

Compliance Law is thus the branch of Law which makes the concern for others, concretised by human rights, borne by the entities in a position to satisfy it, that is to say the systemic entities, of which the large companies are the direct subjects of law (I). The result is a new division between Public Authorities, legitimate to formulate the Monumental Goal of protecting human beings, and private organisations, which adjust to this according to the type of human rights and the means put in place to preserve them. Corporations are sought after because they are powerful, in that they are in a position to make human rights a reality, in their indifference to territory, in the centralisation of Information, technologies and economic, human, and financial means. This alliance is essential to ensure that the system does not lead to a transfer of political choices from Public Authorities to private companies; this alliance leads to systemic efficiency. The result is a new definition of sovereignty as we see it taking shape in the digital space, which is not a particular sector since it is the world that has been digitalised, the climate issue justifying the same new distribution of roles (II). 

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► Full Reference: M.-A. Frison-Roche, "Droit de la compliance et climat. Pour prévenir le risque et construire l'équilibre climatiques" ("Compliance Law and climate. Prevent the climate risk and build the climate balance"), in M. Torre Schaub, A. Stevignon and B. Lormeteau (ed.), Les risques climatiques à l'épreuve du droit, Mare & Martin, coll. "Collection de l'Institut des sciences juridique et philosophique de la Sorbonne", 2023, pp.73-83

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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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► Summary of the article: Compliance Law is beginning to emerge in climate topic, through the expression  "Climate Compliance Law", but the climate issue itself is the most perfect example of why General Compliance Law is made for.  It is indeed a new branch of Law, a global Law claiming to provide Ex Ante solutions here and now for global issues, so that in the future systemic catastrophies will not occur, will not happen: it is these "Monumental Goals" that give meaning, coherence, and simplicity to Compliance Law.

Compliance Law, linked to the Rule of Law principle, makes it possible to go beyond the choice often presented between the effectiveness of the protection of the planet and the renunciation of freedoms, in particular the freedom to do business and the freedom of individuals, especially the protection of their data.

Climate is thus exemplary of the object of Monumental Goals of Compliance Law (I). The systemic risk that it now constitutes is analogous to Banking or Digital Systemic Risks and therefore calls for the application of identical legal Compliance Tools, formerly put in place for Banking Regulatory and Compliance Law, recently invented for Digital. Compliance Law, extending Regulation Law, itself from the precondition of the Sector and the Territory, is therefore the branch which makes it possible to put in place new legal solutions, either by force (judicial agreements, compliance programs, etc.), or by will (commitments, global charters, etc.).

Therefore, an alliance can exist between political and public authorities, and crucial economic operators (II), that the rise in power of the "raison d'être" is the sight and whose technical challenge is the collection of information that must be put in correlation. Scientists pooling Information, this public good, provided by public and private entities. The courts are at the center of this articulation between Compliance Law and Climate, which object is the Future.

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► Full Reference: M.-A. Frison-Roche & Arnoldo Wald, "Le cas Petrobras, une juste adéquation de la responsabilité pour protéger les personnes impliquées dans des systèmes globaux" ("The Petrobras case: the right balance of responsibility to protect those involved in global systems"), RIDC, July-September 2023, No. 3, pp. 563-582.

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► Summary of the article: This article briefly outlines the main aspects of corporate liability in the capital market under Brazilian law, arising from the company’s duty to inform shareholders and investors, followed by a commentary on the recent partial award in an arbitration brought by minority shareholders against Petrobras, which underlines the legitimacy of the minority shareholders to engage the company’s liability.

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► Full Reference: M.-A. rison-Roche., "The Principle of Active Systemic Proximity, a corollary of the renewal of the Principle of Sovereignty by Compliance Law", in M.-A. Frison-Roche (ed.), Compliance Monumental Goals, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.

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🚧 read the Bilingual Working Paper, with technical developments, references and links, basis of this article.

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► Summary of this Article:  Surprisingly, it is often in a quarrelsome, angry, dissatisfied tone that we first speak of Compliance, especially when Compliance takes a legal form, because it is then we talk about sanctions coming from afar. These sanctions would strike both extremely hard and in an illegitimate way, Law only therefore takes its part in Compliance to increase its brutality: the Law is what would prolong the war between States to better hit this kind of civilian population that would be the companies..., in a new kind of "planetary total war"...

Why so much detestation, which can only be generated by such a presentation?

Because, thanks to the power of Law, Compliance would therefore be the means for a State, finally found, to meddle in the affairs of others to serve its own interests, including those of its companies, to go to war against other States and to the companies they care about without even having to formally declare the war to them. Compliance Law would finally allow a State that is not even a strategist, just smarter, to leave its territory to regulate others. It is true that it seems even more exasperating that it would also be under the guise of virtue and good purposes. Thus, it is not possible to count the number of the writings that describe and comment on the occurrences of the expression "Trojan horse", "economic war", etc. There are thus more articles on this subject of Compliance Law as a means of going to dictate to subjects of law who are nevertheless subject to other legal systems their behavior and to sanction them for having failed to do so, than on all other technical Compliance matters.

As soon as the term "extraterritoriality" is dropped, the knives are drawn. The dejection of defeat... because who can fight against American power, American Law seducing everyone? The call for resistance, or at the very least for "reaction"... In any case, it would be necessary to put the analysis back on its true terrain: politics, conquest, war, so leaving the legal technique there, area which would be good for the naive and above all count the divisions amassed on each side of the borders, then note that only the United States would have had the ingenuity to count many of them, with their armada of judges, prosecutors and lawyers, with Compliance Law amassed like so many gold coins since the 1930s, American companies relaying the assault by internalizing Compliance Law through internal codes, law that is "soft" only in name, and community standards governing the planet according to American principles, the solution then consisting of line up as many of them as possible in reaction, then attempt to "block" the assault. Because if there is no Global Law, Compliance Law would have succeeded in globalizing American Law.

The technique of blocking laws would therefore be the happy outcome on which the forces should concentrate to restore "sovereignty", since Europe had been invaded, by surprise by some famous texts (FCPA) and some cases whose evocation (BNP case) to the French ear sounds like a Waterloo. Compliance Law would therefore only be a morne plaine...

But is this how we should understand the notion of Sovereignty? Has the so-called question of "the extraterritoriality of Compliance Law" not been totally biased by the question, certainly important but with both very precise and extremely specific outlines, of embargoes which have almost not related to Compliance Law?

The first thing to do is therefore to see more clearly in this kind of fight of extraterritoriality, by isolating the question of embargoes from other objects which should not be assessed in the same way (I).

This done, it appears that where Compliance Law is required, it must be effectively indifferent to the territory: because Compliance Law intervenes where the territory, in the very concrete sense of the land in which we are anchor is not present in the situation to be governed, situation to which our minds have so much difficulty adapting and which, however, is now the most common situation: finance, space, digital. If we want the idea of ​​civilization to remain there, that the notion of "limit" be central there. However, Sovereignty is not linked to omnipotence, it is the grandchildren who believe that, it is on the contrary linked to the notion of limits (II).

But if the limit had been naturally given to human beings by the territory, the ground on which we walk and the border on which we stumble and which protects us from aggression, if the limit had been naturally given to human beings by death and the oblivion into which our body and our imagination eventually fall. Indeed, technology erases both natural limits. The Law was the very reflection of these limits, since it was built on the idea of ​​life and death, with this idea that, for example, we could no longer continue to live after our death. Digital technology could challenge this. In the same way, Law had in the same "natural" way reflected the terrestrial borders, since Public International Law being internal Public Law, took care that each sovereign subject remained in its terrestrial borders and did not go beyond, without the agreement of others, Public International Law organizing both the friendly reception of the other, by treaties and diplomacy, as well as unfriendly entry, by the Law of War, while  Private International Law welcomes foreign legal systems if a extraterritorial element is already present in the situation.

The complexity of the rules and the subtlety of the solutions do not modify the solidity of this base, always linking the Law to the material reality of this world which are our bodies, which appear and disappear and our "being" with them, and the earth squared by borders. Borders have always been crossed, International Commercial Law being only an economic and financial translation of this natural taste for travel which does not question the territory, human beings passing from one to another.

But the Global has arrived, not only in its opportunities, being not an issue because one can always give up the best, but also in global risks whose birth, development and result are not mastered and of which it is not relevant to thinking only of repairing the damage, because preventing risks from degenerating into a systemic catastrophe is what is at stake today. What if territory slips away and hubris seizes human beings who claim that technology could be the new wings leading a fortunate few to the sun of immortality? We could go towards a world that is both catastrophic and limitless, two qualifiers that classical philosophers considered identical.

Law being what brings measure, therefore limits in a world which, through technology, promises to some the deliverance of all these "natural" limits, could, by the new branch of Compliance Law, again inserting limits to a world which, without this contribution, would become disproportionate, some being able to dispose of others without any limit: in doing so, Compliance Law would then become an instrument of Sovereignty, in that it could impose limits, not by powerlessness but on the contrary by the force of Law. This explains why Compliance is so expressly linked to the political project of "Digital Sovereignty".

To renew this relationship between Law and Sovereignty, where the State takes a new place, we must think of new principles. A new principle is proposed here: the Principle of "Proximity", which must be inserted into the Ex-Ante and systemic Law that is Compliance Law. Thus inserted, the Principle of Proximity can be defined in a negative way, without resorting to the notion of territory, and in a positive way, to posit as being "close" what is close systemically, in the present and in the future, Compliance Law being a branch of Systemic Law having as its object the Future.

Thus, thinking in terms of Proximity consists of conceiving this notion as a Systemic Principle, which then renews the notion of Sovereignty and founds the action of entities in a position to act: Companies (III).

If we think of proximity not in a territorial way, the territory having a strong political dimension but not a systemic dimension, but if we think of systemic proximity in a concrete way through the direct effects of an object whose situation immediately impacts ours (as in the climatic space, or in the digital space), then the notion of territory is no longer primary, and we can do without it.

If the idea of ​​Humanism should finally have some reality, in the same way that a company donneuse d'ordre ("order giver") has a duty of Compliance regarding who works for it, this again meets the definition of Compliance Law as the protector of human beings who are close because they are internalized in the object consumers take. It is this legal technique that allows the transmission, with the thing sold, of the procedural right of action for contractual liability.

Therefore, a Principle of Active Systemic Proximity justifies the action of companies to intervene, in the same way that public authorities are then legitimate to supervise them in the indifference of the formal legal connection, principe of indifference already functioning in the digital space and in environmental and humanist vigilance.

It is therefore appropriate to no longer be hampered by what is a bad quarrel of the extraterritoriality of Compliance Law (I), to show the consubstantial Indifference to the territory of this new branch of Law (II) and to propose the formulation of a new Principle: the "Principle of Active Systemic Proximity (III).

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► See the general presentation of the book, 📘Compliance Monumental Goals, in which this article will be published

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

📝Compliance Monumental Goals, beating heart of Compliance Law, 

📝Definition of Principe of Proportionality and Definition of Compliance Law,

📝 Assessment of Whistleblowing and the duty of Vigilance

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► Référence complète : M.-A. Frison-Roche, "Fonder la compliance", in Revue de l'ACE, La compliance, n° spéc. n°157, septembre 2022, p.17-31.

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► Résumé de l'article : L'article traite le sujet en 20 étapes 

1. Pourquoi fonder les pratiques de compliance ? Pour des impératif pratiques 
2. Fonder les pratiques de compliance pour rendre supportables, car compréhensibles, les pouvoirs et les charges concentrés dans les outils de Compliance 
3. Fonder les pratiques de compliance pour maîtriser un savoir technique exponentiel 
4. Fonder les pratiques pour y trouver la part du Droit 
5. Fonder la Compliance sur les process d’efficacité 
6. Rendre supportable la Compliance fondée sur les process d’efficacité par un mix de procédure et d’éthique
7. Les professionnels de la Compliance fondée sur des process
8. La place particulière de l’avocat et du juge dans la Compliance fondée sur des process
9. Fonder la Compliance sur l’obligation de donner à voir par avance que l’on se conforme à la réglementation applicable
10. L’aporie de la Compliance fondée sur l’obligation de donner à voir par avance que l’on se conforme à la réglementation applicable 
11. Les charges engendrées de la Compliance fondée sur l’obligation de donner à voir par avance que l’on se conforme à la réglementation applicable 
12. L’impraticabilité de la Compliance fondée sur l’obligation de donner à voir par avance que l’on se conforme à la réglementation applicable
13. Fonder la Compliance sur des buts substantiels ponctuels
14. Les professionnels de la Compliance impliquées par la Compliance fondée sur des buts substantiels ponctuels 
15. Fonder la Compliance par des buts substantiels globaux et à venir
16. Fonder la Compliance par les Buts Monumentaux, négatifs et positifs
17. Les professionnels de la Compliance fondée sur les Buts Monumentaux
18. La place particulière de la population concernée et de l'Etat dans la Compliance fondée sur les Buts Monumentaux
19. La place particulière de l’avocat et du juge dans la Compliance fondée sur les Buts Monumentaux
20. L'avenir du Droit de l'Avenir

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🚧lire le document de travail bilingue, doté de références techniques supplémentaires et de liens hypertextes, ayant servi de base à cet article

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► Full Reference: M.-A. Frison-Roche, "Compliance, the new legal way for human values: towards an Ex Ante Responsibility", in Evolução do Direito no século XXI. Seus princípios e valores: ESG, Liberdade, Regulação, Igualdade e Segurança Jurídica. Homenagem ao Professor Arnoldo Wald, vol. 2, Direito Privado, São Paulo, Editora IASP, 2022, pp. 977-983

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► Summary of the article:  For the first time, the future is the first question for the Humanity. The classical legal conception of Tort Law concerns the Past, the philosophical conception of Hans Jonas, a Responsability for the Future, an Ex-Ante Responsability must become a legal notion. 

Traditionally, the Legislator takes decision for the Future and the Judges takes ones for the Past, but now in front of the possible disparition of human beings on this planet, global and catastrophic perspective, all legal perspectives need to be used, breaking the classical repartition, in the priority of the future.  To do something, the Responsability must be put on everyone in a legal force, not only on the classical subject of Law and because of past behaviors, but because the operators, States, firms, or individuals, are "in position" to do so. 

This new "Ex-Ante Responsability" is an essential part of the Compliance Law, very new branche of Law, with an extraterritorial effect, to find immediate and active solutions for the future. Because the issue is global, international Arbitration is in position to apply the conception, because international arbitrators are the global judges.

This new conception of legal Ex-Ante Responsability, declared by courts, expressed human values, such as the concerns for the others, in concordance withe the humanist tradition of European and American Law, Compliance being not at all to obey regulations but to concretise an alliance a Monumental Goal, here for the preservation of human beings in the future, and the powers and the legal duties of corporate and people to do so. 

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► Full Reference: M.-A. Frison-Roche, Compliance contract, compliance clauses, working paper, September 2022.

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►Summary of this working paper:  Compliance Law has multiplied obligations. However, although Tort Law is emerging in Compliance issues and contracts are multiplying in practice, for the moment the relationship between Compliance Law and Contract Law is not very visible (I).

However, there are contracts whose sole purpose is to give concrete form to Compliance, which creates a specific contract and must influence its implementation (II). Moreover, there is much to learn from the diversity of compliance stipulations scattered throughout a wide range of contracts (III).

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► Full Reference: M.-A. Frison-Roche, "Les Buts Monumentaux, cœur battant du Droit de la Compliance" ("Monumental Goals, beating heart of Compliance Law"), in M.-A. Frison-Roche (ed.), Les Buts Monumentaux de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2022, p. 21-44.

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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, Les Buts Monumentaux de la Compliance, in which this article is published

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► Summary of the article:  Compliance Law can be defined as the set of processes requiring companies to show that they comply with all the regulations that apply to them. It is also possible to  define this branch of Law by a normative heart: the "Monumental Goals". These explain the technical new legal solutions, thus made them clearer, accessible and anticipable. This definition is also based on a bet, that of caring for others that human beings can have in common, a universality. 

Through the Monumental Goals, appears a definition of Compliance Law that is new, original, and specific. This new term "Compliance", even in non-English vocabulary, in fact designates a new ambition: that a systemic catastrophe shall not be repeated in the future. This Monumental Goal was designed by History, which gives it a different dimension in the United States and in Europe. But the heart is common in the West, because it is always about detecting and preventing what could produce a future systemic catastrophe, which falls under "negative monumental goals", even to act so that the future is positively different ("positive monumental goals"), the whole being articulated in the notion of "concern for others", the Monumental Goals thus unifying Compliance Law.

In this, they reveal and reinforce the always systemic nature of Compliance Law, as management of systemic risks and extension of Regulation Law, outside of any sector, which makes solutions available for non-sector spaces, in particular digital space. Because wanting to prevent the future (preventing evil from happening; making good happen) is by nature political, Compliance Law by nature concretizes ambitions of a political nature, in particular in its positive monumental goals, notably effective equality between human beings, including geographically distant or future human beings.

The practical consequences of this definition of Compliance Law by Monumental Goals are immense. A contrario, this makes it possible to avoid the excesses of a "conformity law" aimed at the effectiveness of all applicable regulations, a very dangerous perspective. This makes it possible to select effective Compliance Tools with regard to these goals, to grasp the spirit of the material without being locked into its flow of letters. This leads to not dissociating the power required of companies and the permanent supervision that the public authorities must exercise over them.

We can therefore expect a lot from such a definition of Compliance Law by its Monumental Goals. It engenders an alliance between the Political Power, legitimate to enact the Monumental Goals, and the crucial operators, in a position to concretize them and appointed because they are able to do so. It makes it possible to find global legal solutions for global systemic difficulties that are a priori insurmountable, particularly in climate matters and for the effective protection of people in the now digital world in which we live. It expresses values that can unite human beings.

In this, Compliance Law built on Monumental Goals is also a bet. Even if the requirement of "conformity" is articulated with this present conception of what Compliance Law is, this conception based on Monumental Law is based on the human ability to be free, while conformity law supposes more the human ability to obey.

Therefore Compliance Law, defined by the Monumental Goals, is essential for our future, while conformity law is not.

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► Full Reference: M.-A. Frison-Roche (ed.), Les Buts Monumentaux de la Compliance (Compliance Monumental Goals), coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2022, 520 p.

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📘In parallel, the English version of this book, Compliance Monumental Goals, is published in the collection co-published by the Journal of Regulation & Compliance (JoRC) and Bruylant. 

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📅This book comes after a cycle of colloquia 2021 organised by the Journal of Regulation & Compliance (JoRC)and its Universities partners. 

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📚This volume is one of the books dedicated to Compliance in the collection Régulations & Compliance: read the presentations of the other titles of this collection.

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► General presentation of the book: 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-2696. 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.

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🏗️General construction of the book: The book opens with a double Introduction, the first summarizing the book (in free access) ​and the second, more substantial, proposing  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 titles.

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

A second Title aims to measure how the Monumental Goals are questioned by a crisis, 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 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 considered. Therefore, a third Title 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 Title.  

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 Title has for object the relationship between the Monumental Goals of Compliance and Sovereignty.

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► Understand the book through the Table of Contents and the summaries of each article:

DOUBLE INTRODUCTION

🕴️M.-A. Frison-Roche, 📝Résumé de l'ouvrage Les buts monumentaux du droit de la compliance (free access : click here to read this article (in French)) 

🕴️M.-A. Frison-Roche, 📝Les Buts Monumentaux, cœur battant du Droit de la Compliance

I. LA NOTION DE BUTS MONUMENTAUX DE LA COMPLIANCE ("THE IDEA OF COMPLIANCE MONUMENTAL GOALS") 

🕴️R.-O. Maistre, 📝Quels buts fondamentaux pour le régulateur dans un paysage audiovisuel et numérique en pleine mutation ?

🕴️A.V. Le Fur, 📝Intérêt et raison d’être de l’entreprise : quelle articulation avec les Buts Monumentaux de la Compliance ?  

🕴️A. Le Goff, 📝La part des banques dans la concrétisation des Buts Monumentaux de la Compliance

🕴️J.-F. Vaquieri,📝Les "Buts Monumentaux" perçus par l'entreprise. L'exemple d'Enedis

🕴️M. Malaurie-Vignal, 📝Les Buts Monumentaux du droit du marché. Réflexion sur la méthode

🕴️D. de La Garanderie, 📝Sur les Buts Monumentaux de la Compliance sociale

 🕴️C. Peicuti & 🕴️J. Beyssade, 📝La féminisation des postes à responsabilité dans les entreprises comme But de la Compliance. Exemple du secteur bancaire

🕴️I. Gavanon, 📝Le droit des données personnelles dans l’économie numérique à l’épreuve des Buts Monumentaux

🕴️B. Petit, 📝Les Buts Monumentaux du droit (européen) des relations de travail : un système mouvant aux équilibres à consolider   

🕴️G. Beaussonie, 📝Droit pénal et Compliance font-ils système ?

🕴️Ch. Huglo, 📝À quelles conditions le Droit climatique pourrait-il constituer un But Monumental prioritaire ?

II. MISE EN OEUVRE DES BUTS MONUMENTAUX DE LA COMPLIANCE EN ARTICULATION DU PRINCIPE MAJEUR DE LA PROPORTIONNALITÉ ("IMPLEMENTATION OF COMPLIANCE MONUMENTAL GOALS IN ARTICULATION OF THE MAJOR PRINCIPLE OF PROPORTIONALITY") 

🕴️L. Rapp, 📝Conformité, proportionnalité et normativité  

🕴️B. Bär-Bouyssière, 📝Les obstacles pratiques à la place effective de la proportionnalité dans la Compliance

🕴️A. Mendoza-Caminade, 📝Compliance, proportionnalité et évaluation

🕴️L. Meziani, 📝Proportionnalité en Compliance, garant de l’ordre public en entreprise

🕴️M. Segonds, 📝Compliance, proportionnalité et sanction 

 🕴️M.-A. Frison-Roche, 📝Définition du principe de proportionnalité et définition du Droit de la Compliance 

 III. LES BUTS MONUMENTAUX DE LA COMPLIANCE ÉPROUVÉS PAR LES SITUATIONS DE CRISES ("THE COMPLIANCE MONUMENTAL GOALS TESTED BY CRISIS SITUATIONS")

🕴️A. Oumedjkane, A. Tehrani et P. Idoux, 📝Normes publiques et Compliance en temps de crise : les Buts Monumentaux à l'épreuve. Éléments pour une problématique

🕴️J. Bonnet, 📝La crise, occasion de saisir la Compliance comme mode de communication des autorités publiques  

🕴️N. Sudres, 📝Gel hydroalcoolique, Covid-19 et Compliance. Des insuffisances de la démarche de conformité à l'émergence d'îlots de Compliance

🕴️M.-A. Frison-Roche, 📝Place et rôle des entreprises dans la création et l'effectivité du Droit de la Compliance en cas de crise 

IV. EFFECTIVITÉ DES BUTS MONUMENTAUX DE LA COMPLIANCE ET COMPÉTITIVITÉ INTERNATIONALE ("EFFECTIVENESS OF COMPLIANCE MONUMENTAL GOALS AND INTERNATIONAL COMPETITIVENESS") 

🕴️B. Deffains, 📝L’enjeu économique de compétitivité internationale de la Compliance

🕴️J.-Ch. Roda, 📝Compliance, enquêtes internes et compétitivité internationale : quels risques pour les entreprises françaises (à la lumière du droit antitrust) ?

🕴️F. Marty, 📝L'apport des programmes de conformité à la compétitivité internationale : une perspective concurrentielle

🕴️S. Lochmann, 📝Les agences de notation ESG et l'effectivité de la Compliance face à la compétitivité internationale

🕴️M.-A. Frison-Roche, 📝Appréciation du lancement d'alerte et de l'obligation de vigilance au regard de la compétitivité internationale  

V. LA COMPLIANCE PORTÉE PAR LES BUTS MONUMENTAUX, NOUVELLE VOIE DE SOUVERAINETÉ ("COMPLIANCE SUPPORTED BY MONUMENTAL GOALS AND NEW WAY OF SOVEREIGNTY") 

🕴️R. Bismuth, 📝Compliance et souveraineté : relations ambigües

🕴️L. Benzoni, 📝Commerce international, compétitivité des entreprises et souveraineté : vers une économie politique de la Compliance

🕴️M.-A. Boursier, 📝Les Buts Monumentaux de la Compliance : mode d'expression des États

🕴️S. Pottier, 📝Pour une Compliance européenne, vecteur d'affirmation économique et politique

🕴️Ch. André, 📝Souveraineté étatique, souveraineté populaire : quel contrat social pour la Compliance ?

🕴️M.-A. Frison-Roche, 📝Le principe de proximité systémique active, corollaire du renouvellement du principe de souveraineté par le Droit de la Compliance

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♾️ follow Marie-Anne Frison-Roche on LinkedIn

♾️ subscribe to the Newsletter MAFR Regulation, Compliance, Law 

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► Full Reference: M.-A. Frison-Roche, "Le principe de proximité systémique active, corolaire du renouvellement du principe de souveraineté par le Droit de la Compliance" ("The principle of active systemic proximity: corollary of the renewal of the principle of sovereignty by Compliance Law"), in M.-A. Frison-Roche (ed.), Les Buts Monumentaux de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2022, p. 501-520.

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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, Les Buts Monumentaux de la Compliance, in which this article is published

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► Summary of the article (done by the Journal of Regulation & Compliance): Surprisingly, it is often in a quarrelsome, angry, dissatisfied tone that we first speak of Compliance, especially when Compliance takes a legal form, because it is then we talk about sanctions coming from afar. These sanctions would strike both extremely hard and in an illegitimate way, Law only therefore takes its part in Compliance to increase its brutality: the Law is what would prolong the war between States to better hit this kind of civilian population that would be the companies..., in a new kind of "planetary total war"...

Why so much detestation, which can only be generated by such a presentation?

Because, thanks to the power of Law, Compliance would therefore be the means for a State, finally found, to meddle in the affairs of others to serve its own interests, including those of its companies, to go to war against other States and to the companies they care about without even having to formally declare the war to them. Compliance Law would finally allow a State that is not even a strategist, just smarter, to leave its territory to regulate others. It is true that it seems even more exasperating that it would also be under the guise of virtue and good purposes. Thus, it is not possible to count the number of the writings that describe and comment on the occurrences of the expression "Trojan horse", "economic war", etc. There are thus more articles on this subject of Compliance Law as a means of going to dictate to subjects of law who are nevertheless subject to other legal systems their behavior and to sanction them for having failed to do so, than on all other technical Compliance matters.

As soon as the term "extraterritoriality" is dropped, the knives are drawn. The dejection of defeat... because who can fight against American power, American Law seducing everyone? The call for resistance, or at the very least for "reaction"... In any case, it would be necessary to put the analysis back on its true terrain: politics, conquest, war, so leaving the legal technique there, area which would be good for the naive and above all count the divisions amassed on each side of the borders, then note that only the United States would have had the ingenuity to count many of them, with their armada of judges, prosecutors and lawyers, with Compliance Law amassed like so many gold coins since the 1930s, American companies relaying the assault by internalizing Compliance Law through internal codes, law that is "soft" only in name, and community standards governing the planet according to American principles, the solution then consisting of line up as many of them as possible in reaction, then attempt to "block" the assault. Because if there is no Global Law, Compliance Law would have succeeded in globalizing American Law.

The technique of blocking laws would therefore be the happy outcome on which the forces should concentrate to restore "sovereignty", since Europe had been invaded, by surprise by some famous texts (FCPA) and some cases whose evocation (BNP case) to the French ear sounds like a Waterloo. Compliance Law would therefore only be a morne plaine...

But is this how we should understand the notion of Sovereignty? Has the so-called question of "the extraterritoriality of Compliance Law" not been totally biased by the question, certainly important but with both very precise and extremely specific outlines, of embargoes which have almost not related to Compliance Law?

The first thing to do is therefore to see more clearly in this kind of fight of extraterritoriality, by isolating the question of embargoes from other objects which should not be assessed in the same way (I).

This done, it appears that where Compliance Law is required, it must be effectively indifferent to the territory: because Compliance Law intervenes where the territory, in the very concrete sense of the land in which we are anchor is not present in the situation to be governed, situation to which our minds have so much difficulty adapting and which, however, is now the most common situation: finance, space, digital. If we want the idea of ​​civilization to remain there, that the notion of "limit" be central there. However, Sovereignty is not linked to omnipotence, it is the grandchildren who believe that, it is on the contrary linked to the notion of limits (II).

But if the limit had been naturally given to human beings by the territory, the ground on which we walk and the border on which we stumble and which protects us from aggression, if the limit had been naturally given to human beings by death and the oblivion into which our body and our imagination eventually fall. Indeed, technology erases both natural limits. The Law was the very reflection of these limits, since it was built on the idea of ​​life and death, with this idea that, for example, we could no longer continue to live after our death. Digital technology could challenge this. In the same way, Law had in the same "natural" way reflected the terrestrial borders, since Public International Law being internal Public Law, took care that each sovereign subject remained in its terrestrial borders and did not go beyond, without the agreement of others, Public International Law organizing both the friendly reception of the other, by treaties and diplomacy, as well as unfriendly entry, by the Law of War, while  Private International Law welcomes foreign legal systems if a extraterritorial element is already present in the situation.

The complexity of the rules and the subtlety of the solutions do not modify the solidity of this base, always linking the Law to the material reality of this world which are our bodies, which appear and disappear and our "being" with them, and the earth squared by borders. Borders have always been crossed, International Commercial Law being only an economic and financial translation of this natural taste for travel which does not question the territory, human beings passing from one to another.

But the Global has arrived, not only in its opportunities, being not an issue because one can always give up the best, but also in global risks whose birth, development and result are not mastered and of which it is not relevant to thinking only of repairing the damage, because preventing risks from degenerating into a systemic catastrophe is what is at stake today. What if territory slips away and hubris seizes human beings who claim that technology could be the new wings leading a fortunate few to the sun of immortality? We could go towards a world that is both catastrophic and limitless, two qualifiers that classical philosophers considered identical.

Law being what brings measure, therefore limits in a world which, through technology, promises to some the deliverance of all these "natural" limits, could, by the new branch of Compliance Law, again inserting limits to a world which, without this contribution, would become disproportionate, some being able to dispose of others without any limit: in doing so, Compliance Law would then become an instrument of Sovereignty, in that it could impose limits, not by powerlessness but on the contrary by the force of Law. This explains why Compliance is so expressly linked to the political project of "Digital Sovereignty".

To renew this relationship between Law and Sovereignty, where the State takes a new place, we must think of new principles. A new principle is proposed here: the Principle of "Proximity", which must be inserted into the Ex-Ante and systemic Law that is Compliance Law. Thus inserted, the Principle of Proximity can be defined in a negative way, without resorting to the notion of territory, and in a positive way, to posit as being "close" what is close systemically, in the present and in the future, Compliance Law being a branch of Systemic Law having as its object the Future.

Thus, thinking in terms of Proximity consists of conceiving this notion as a Systemic Principle, which then renews the notion of Sovereignty and founds the action of entities in a position to act: Companies (III).

If we think of proximity not in a territorial way, the territory having a strong political dimension but not a systemic dimension, but if we think of systemic proximity in a concrete way through the direct effects of an object whose situation immediately impacts ours (as in the climatic space, or in the digital space), then the notion of territory is no longer primary, and we can do without it.

If the idea of ​​Humanism should finally have some reality, in the same way that a company donneuse d'ordre ("order giver") has a duty of Compliance regarding who works for it, this again meets the definition of Compliance Law as the protector of human beings who are close because they are internalized in the object consumers take. It is this legal technique that allows the transmission, with the thing sold, of the procedural right of action for contractual liability.

Therefore, a Principle of Active Systemic Proximity justifies the action of companies to intervene, in the same way that public authorities are then legitimate to supervise them in the indifference of the formal legal connection, principe of indifference already functioning in the digital space and in environmental and humanist vigilance.

It is therefore appropriate to no longer be hampered by what is a bad quarrel of the extraterritoriality of Compliance Law (I), to show the consubstantial Indifference to the territory of this new branch of Law (II) and to propose the formulation of a new Principle: the "Principle of Active Systemic Proximity (III).

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► Full Reference: Frison-Roche, M.-A.., La dynamique des Buts Monumentaux du Droit de la Compliance (("The Dynamics of the "Compliance Law Monumental Goals"), in Frison-Roche, M.-A. (dir.), Les buts monumentaux de la Compliance, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published.

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► English Summary of this Article:  This article constitutes the afterword of the book Les buts monumentaux de la Compliance.

Its purpose is to show the consistency of the book, in that the Monumental Goals themselves, by their normativity, give Uniqueness to Compliance Law, giving it simplicity and strength.

Restituting each of the contributions and articulating them all in an overall demonstration, this article highlights this consistency of the Compliance mechanisms which join the primary function of the Law: the protection of human beings, now and in the future.

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

📝 Les Buts Monumentaux, cœur battant du Droit de la Compliance

📝 Définition du Principe de Proportionnalité et Définition du Droit de la Compliance 

📝 Rôle et place des entreprises dans la création et l'effectivité du Droit de la Compliance en cas de crise 

📝 Appréciation du lancement d'alerte et de l'obligation de vigilance au regard de la compétitivité internationale

📝Le principe de proximité systémique active, corolaire du renouvellement du Principe de Souveraineté par le Droit de la Compliance

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This article is free access. 

Read the article in English⤵️

📝 lire la présentation générale du livre, Les Buts Monumentaux de la Compliance, dans lequel l'article est publié.

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► Lire les présentations des autres contributions de Marie-Anne Frison-Roche dans cet ouvrage : 

📝 Les Buts Monumentaux, cœur battant du Droit de la Compliance,

📝 Rôle et place des entreprises dans la création et l'effectivité du Droit de la Compliance en cas de crise 

📝 Appréciation du lancement d'alerte et de l'obligation de vigilance au regard de la compétitivité internationale

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🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR. Regulation, Compliance, Law

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► Full Reference: M.-A. Frison-Roche, The Hypothesis of the category of Systemic Cases brought before the Judge, Working Paper, October 2021 and April 2022.

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► This working paper has served as the basis for an introductory speech 🎤L'hypothèse de la catégorie des causes systémiques (The Hypothesis of the cateory of Systemic Cases), in a more general conference which I coordinated and moderated, 🧱L'office du juge et les causes systémiques, which is part of a general cycle covering Penser l'office du juge, specific conference attending the 9th May 2002 into the Grand Chamber of the Cour de cassation.  

This Working Paper was drawn up in October 2021 to build the conference on the assumption that among the diversity of "cases" brought to the courts by litigants, some constitute a specific category: "systemic cases", justifying treatment that is both specific (in that they are systemic, calling in particular for procedural solutions common to all and distinguishable from the treatment of non-systemic cases) and common treatment beyond the diversity of judges who deal with them (judicial and administrative judges, criminal and non-criminal judges, French and non-French judges, judges of the member-States legal orders and European Union judges, etc.). 

This working paper does not aim to deal with the whole subject, i.e. both to determine this category of "systemic causes" and the consequences that must be drawn from it for the judge's office, since that is the very purpose of the conference, which is built around several presentations: it aims to deal with the first part of the subject, i.e. the very existence of this new processual category, which is "systemic causes", leaving for other work the practical consequences to be drawn from it in the processual treatment that it calls for.

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📝This Working Paper is also the basis of a forthcoming article

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► Summary of the Working Paper: xx

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Read below the developments⤵️

► Full Reference: Frison-Roche, M.-A., Duty of Vigilance, Whistleblowing and International Competitiveness, Working Paper, September 2021.

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🎤 this Working Paper is the basis for a conference , in the colloquium Effectiveness of Compliance and International Competitiveness, co-organised  by the Journal of Regulation & Compliance (JoRC) and the Center for Law and Economics of the Panthéon-Assas University (Paris II),   November 4, 2021

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📝this Working Paper is also the basis for an article. This article is to be published ⤵

in its French version in the book 📕Les buts monumentaux de la Compliance, in the series 📚Régulations & Compliance

 in its English version in the book 📘Compliance Monumental Goals, in the series la collection 📚Compliance & Regulation

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► Working Paper Summary: The "Compliance Tools" are very diverse. If it has been chosen to study more particularly among these the obligation of vigilance and the whistleblower, these rather than others and to study them together, it is because they present in the perspective of the specific topic chosen, namely "international competitiveness", and for companies, and for economic zones considered, and for legal system inseparable from them, a uniqueness: these are mechanisms which release Information. 

By order of the law, the company will not only stop ignoring what it covered with the handkerchief that Tartuffe held out to it or that a conception of Company Law legitimately allowed it to ignore. This article does not examine if this revolution made by Compliance Law expresses in the legal system is on the one hand legitimate and on the other hand effective: the article measures what is happening at the regard to "international competitiveness".

Compliance Law is therefore be examined here through its instruments, and not in relation to its normativity. In fact, its instruments are intended to provide Information and to make this information available, in its presentation, in its intelligibility and in the hands of those who are able to use Information in perspective of the Compliance Monumental Goals, achieving them. 

Regarding this central notion of Information, international competitiveness will be more particularly concerned because Compliance Law will oblige the company itself to seek out, then expose to everyone's eyes, in particular its competitors, its weaknesses, its projects, its alliances, its flaws. This does not pose a problem if its competitors themselves are often subject to this new branch of Law, which goes far beyond transparency, which is already a new mechanism because a company is not a transparent organization and Competition Law that governs ordinary businesses never required this. But if they are not subject to this incredibly special branch of Law that is Compliance Law, then there is a distortion of competitiveness by the very fact of the Law.

It is possible to pretend that the markets like virtue, that they give it credit because they are themselves based on the idea of "promise", which is ultimately based on a moral concept, but this provision of Information to others, while others remain opaque, is a major problem of competitiveness, which the legal requirement of "loyal commercial practices" only very partially considers.

Therefore, it is necessary to first examine what is the economic and financial power of the information captured by the company on itself thank to Compliance Law making available to all but firstly to the compagny itself through the whistblowing mechanism, organised by the laws, differently in the US and Europe (I). Compliance Law also obliges companies to be accountable not only for what they do but also for what others do for them. Through the obligation of Vigilance, objective Ex Ante obligation and duty, the company obtains a power of Information on others which could well resolve what is often presented as the dispute aporetic of the extraterritoriality of Compliance Law, thus making accountable companies hitherto protected by their "preserved" legal system and thereby affected by the effectiveness of Compliance Law (II).

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read below the developments

► Référence complète : Frison-Roche, M.-A., Le principe de proximité systémique active, corolaire du renouvellement du Principe de Souveraineté par le Droit de la Compliance, document de travail, octobre 2021

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🎤 Ce document de travail avait été élaboré pour servi de base à l'intervention de clôture du colloque Effectivité de la Compliance et Compétitivité internationale, coorganisé par le Journal of Regulation & Compliance (JoRC) et le Centre de recherche en Droit et en Économie de l'Université Panthéon-Assas (Paris II), se tenant le 4 novembre 2021, Salle des Conseils, Université Panthéon-Assas (Paris II). 

🚧Il était corrélé à un premier document de travail ayant pour thème l'Appréciation du lancement d'alerte et de l'obligation de vigilance au regard de la compétitivité internationale, élaboré également pour ce colloque. 

La gestion du temps n'a permis que la prise de parole sur ce thème-ci relatif aux techniques juridiques du lancement d'alerte et de l'obligation et devoir de vigilance.

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📝Ce présent document de travail a donc été ultérieurement utilisé pour constituer la base d'un article, Le principe de proximité systémique active, corolaire du renouvellement du Principe de Souveraineté par le Droit de la Compliance, lequel est publié⤵

📕dans sa version française dans l'ouvrage Les buts monumentaux de la Compliance, dans la collection 📚 Régulations & Compliance

 📘dans sa version anglaise dans l'ouvrage Compliance Monumental Goals, dans  la collection 📚 Compliance & Regulation

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► Résumé du document de travail : Les rapports entre le Droit de la Compliance et la notion de Souveraineté sont abîmés par une mauvaise querelle de départ, souvent appelée celle de "l'extraterritorialité du Droit de la Compliance", elle-même qualifiée en tant que telle comme une attaque à la Souveraineté des Etats, une sorte de guerre contre cette sorte de population civile que sont "ses" entreprises, frappées par des sanctions économiques. Dans une confusion juridique générale, oscillant entre panique et rage, entre le cas pourtant si particulier des embargos décrétés par un Etat contre un autre, une contamination s'est faite avec la question plus vaste des sanctions économiques internationales, puis avec le Droit de la Compliance, lui-même réduit ainsi à n'être qu'une petite partie du Droit pénal international.

Le Droit de la Compliance, présenté comme outil masqué de guerre entre Etats, en a été d'une part profondément dénaturé. D'autre part, toutes les forces ont été mobilisées pour "réagir" et frapper en retour ou à tout le moins "bloquer", ou, si l'on ne pouvait rien faire d'autre, recopier l'arsenal, limitant la Compliance à la question de la corruption.

C'était réduire le Droit de la Compliance à peu, alors que nous avons tant besoin de sa force et qu'il exprime au contraire la puissance du Juridique lui-même dans un espace supra-national où les Etats sont peu présents. Ils sont peu présents parce que le territoire lui-même s'y dérobe et que les Etats demeurent liés au territoire. Or, la finance, le numérique et le spatial, ces grands enjeux de Régulation ont besoin de limites, parce que les êtres humains, même faibles, ne doivent pas être broyés par plus forts qu'eux. Non, la civilisation, essentiellement liée à la limite, ne doit pas se perdre dans ces nouveaux espaces. 

Or, la Souveraineté ne s'exprime pas dans la toute-puissance, ce sont les petits-enfants et les tyrans qui pensent cela. Elle s'exprime dans la limite, que le sujet se donne et qu'il donne. Le Droit de la Compliance, prolongeant en cela le Droit de la Régulation, est ce qui est en train de donner des limites à ces trois espaces sans territoire que sont la finance, le numérique et le spatial. En ce qu'il appréhende directement les risques globaux qui se jouent des territoires, par exemple le risque climatique. En ce qu'il limite les discours de haine qui nie l'idée de civilisation dans l'espace numérique. En ce qu'il se saisit directement de l'avenir. En ce qu'il noue directement une alliance entre les Autorités politiques et les Opérateurs cruciaux en Ex Ante 

C'est pourquoi sur la base du Droit de la Compliance l'Europe numérique souveraine s'élabore, l'industrie d'un cloud souverain se construit. Ainsi le Droit de la Compliance n'est pas l'ennemi de la Souveraineté, c'est le contraire : il est ce par quoi la Souveraineté va se déployer dans un monde qui doit se penser sans territoire en mettant pourtant le projet politique en son cœur. 

Pour cela il faut construire un nouveau principe, qui est l'inverse de la fermeture et de l'exclusion, correspondant au projet de l'Europe souveraine : celui de la "proximité systémique active. 

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Lire ci-dessous les développements⤵️

► Full Reference: M.-A. Frison-Roche, Ex Ante Responsibility, Working Paper, December 2021.

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📝This Working Paper has been the basis for an article written in French, "La responsabilité Ex Ante", published in the Archives de Philosophie du droit (APD), in the book 📗La Responsabilité (2022).

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►  Working Paper Summary: Quel est le temps auquel s'articule la responsabilité ? La question est si classique que toutes les réponses ont été dessinées : si l'on est responsable plus aisément par rapport au temps, car l'on peut alors plus aisément faire un lien entre la situation appréhendée, sa réalisation dans le passé la rendant plus facilement connaissable, et le poids de "responsabilité" que l'on impute sur une personne, l'on peut articuler la responsabilité avec le futur. Si l'on brise le poids de cette responsabilité avec un évènement ou une situation, par exemple. Le Principe Responsabilité de Jonas ou l'Ethique de la Responsabilité font ainsi voyager la Responsabilité dans le temps, par un rapport entre le Droit et l'Ethique. 

D'ailleurs l'on pourrait soutenir que le Droit peut faire ce qu'il veut et imputer une responsabilité à quiconque pour le temps qu'il désigne, par exemple désigne comme porteur d'une responsabilité, c'est-à-dire d'un poids, celui qu'il veut. Le "responsable" serait alors le titulaire d'une sorte de "poids pur", qui le charge parce que le Droit l'a voulu pour le temps qu'il veut, par exemple un devoir d'agir pour que le futur soit dessiné comme le veut le Droit, alors même que le Responsable n'a rien à se reprocher dans le passé. 

Mais les Cours constitutionnelle défendent un rapport minimal entre la Responsabilité et le poids que celle-ci fait porter une personne, fut-t-elle morale, gardant ainsi le lien consubstantiel entre le Droit et la Morale, la technique juridique de la Responsabilité ne pouvant équivaloir à celle d'un prélèvement obligatoire.

Ainsi l'idée d'une Responsabilité Ex Ante est simple dans son principe (I). Elle est celle d'un poids juridiquement posé sur une personne soit par elle-même (engagement), soit par la Loi ou par le Juge sur une personne de faire quelque chose pour que n'advienne pas quelque chose qui adviendrait ou pour qu'advienne quelque chose qui n'adviendrait pas si elle ne le faisait pas.

Mais les conditions juridiques pour admettre un tel poids alors même que le lien avec une situation passée serait brisé est plus difficile (II). On continue certes continuer à voir dans le futur le passé, ce qui facilite le voyage dans le temps, et fonda par exemple le contrôle Ex Ante du contrôle des concentrations. Mais l'on peut se briser même de cette facilité et regarder non plus le rapport entre le passé et le futur, mais le présent et le futur : ce que l'on sait déjà aujourd'hui du futur, ce qui met en jeu le rapport entre le Droit et la Science ; ce que l'on observe de l'emprise de la personne présente sur le moment présent, c'est-à-dire le Pouvoir, ce qui fait en jeu le rapport entre le Droit et l'Economie politique.

Dans cette dimension-là, la contrainte de la Responsabilité Ex Ante est alors maniée par le Juge, dont l'office lui-même devient un office Ex Ante. Les pouvoirs obligés Ex Ante par une telle responsabilité maniée par le Juge étaient les personnes en situation de pouvoir, sont non seulement les entreprises, mais encore les Etats, qui perdent le privilège - partagé avec les contractants - de disposer juridiquement du futur, et notamment en leur sein le Législateur. 

Une telle révolution, qui se déroule sous nos yeux, s'explique parce qu'il faut agir maintenant pour que le futur ne soit pas catastrophique. La science nous informe qu'il le sera entéléchiquement. Il est donc juridiquement requis de désigner des responsables, non pas parce qu'ils auraient fait quelque chose, la dimension Ex Post n'étant pas le sujet, mais pour qu'ils fassent quelque chose, la Responsabilité Ex Ante étant un élément central de cette nouvelle branche du Droit qu'est le Droit de la Compliance. 

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► Full Reference: M.-A. Frison-Roche, M.-A., Monumental Goals, beating heart of Compliance Law, Working Paper, August 2021

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📝This Working Paper is the basis for the article, "Les buts monumentaux, cœur battant du droit de la compliance", constituting the introduction ⤵

📕in its French version, of the book Les buts monumentaux de la Compliance, in  the Series 📚Régulations & Compliance

 📘in its English version, of the book, Compliance Monumental Goals, in the Series 📚Compliance & Regulation

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► Summary of the Working Paper:

Compliance Law can be defined as the set of processes requiring companies to show that they comply with all the regulations that apply to them. It is also possible to  define this branch of Law by a normative heart: the "Monumental Goals". These explain the technical new legal solutions, thus made them clearer, accessible and anticipable. This definition is also based on a bet, that of caring for others that human beings can have in common, a universality. 

Through the Monumental Goals, appears a definition of Compliance Law that is new, original, and specific. This new term "Compliance", even in non-English vocabulary, in fact designates a new ambition: that a systemic catastrophe shall not be repeated in the future. This Monumental Goal was designed by History, which gives it a different dimension in the United States and in Europe. But the heart is common in the West, because it is always about detecting and preventing what could produce a future systemic catastrophe, which falls under "negative monumental goals", even to act so that the future is positively different ("positive monumental goals"), the whole being articulated in the notion of "concern for others", the Monumental Goals thus unifying Compliance Law.

In this, they reveal and reinforce the always systemic nature of Compliance Law, as management of systemic risks and extension of Regulation Law, outside of any sector, which makes solutions available for non-sector spaces, in particular digital space. Because wanting to prevent the future (preventing evil from happening; making good happen) is by nature political, Compliance Law by nature concretizes ambitions of a political nature, in particular in its positive monumental goals, notably effective equality between human beings, including geographically distant or future human beings.

The practical consequences of this definition of Compliance Law by Monumental Goals are immense. A contrario, this makes it possible to avoid the excesses of a "conformity law" aimed at the effectiveness of all applicable regulations, a very dangerous perspective. This makes it possible to select effective Compliance Tools with regard to these goals, to grasp the spirit of the material without being locked into its flow of letters. This leads to not dissociating the power required of companies and the permanent supervision that the public authorities must exercise over them.

We can therefore expect a lot from such a definition of Compliance Law by its Monumental Goals. It engenders an alliance between the Political Power, legitimate to enact the Monumental Goals, and the crucial operators, in a position to concretize them and appointed because they are able to do so. It makes it possible to find global legal solutions for global systemic difficulties that are a priori insurmountable, particularly in climate matters and for the effective protection of people in the now digital world in which we live. It expresses values that can unite human beings.

In this, Compliance Law built on Monumental Goals is also a bet. Even if the requirement of "conformity" is articulated with this present conception of what Compliance Law is, this conception based on Monumental Law is based on the human ability to be free, while conformity law supposes more the human ability to obey.

Therefore Compliance Law, defined by the Monumental Goals, is essential for our future, while conformity law is not.

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Read the developments below⤵️

► Référence complète : Frison-Roche, M.-A., L'invention de la vigilance : un terme nouveau pour une Responsabilité en Ex Ante, Document de travail, février 2021. 

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Ce document de travail sert de base à une conférence donnée à Oslo le 9 février 2021.

Pour aller plus loin, ➡️La Responsabilité Ex Ante, 2022

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Lire ci-dessous le document de travail⤵️

This working document serves as the basis for two conference given in the symposium made under the direction of Lucien Rapp, Les incitations, outils de la Compliance ("Incitations: Compliance Tools").

Référence : Frison-Roche, M.-A., Compliance et Incitations : un couple à propulser, in Faculté de droit de l'Université Toulouse-Capitole, et Journal of Regulation & Compliance (JoRC),Les incitations, outils de la Compliance, 12 décembre 2019, Toulouse. 

This Working Paper has been the basis for two conferences in the colloquium in Toulouse (France) under the scientific direction of Lucien Rapp, about Les incitations, outils de la Compliance ("Incitations, as Compliance Tools"), on December 12, 2019, the first one about The sanction as incitation and the second one about Incitations and Compliance Law (synthesis of this colloquium). sur le thème de la sanction comme incitation, la seconde en synthèse de ce colloque sur 

After it has been the basis for the article, to be published in the books Les outils de la Compliance and Compliance Tools in the Series Régulations & Compliance.

Read a general presentation of this book.  

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Summary of this Working Paper: Compliance and Incentives appear at first glance to be totally opposite. Not only because sanctions are at the heart of Compliance and that sanction is associated with constraint while incentive is associated with non-constrained!footnote-2044, but also because incentives are linked to self-regulation and that Compliance Law requires a strong presence of public authorities. Thus, one should choose: either Compliance or Incentives! Either the effectiveness of one or the effectiveness of the others; either the techniques of one, or the techniques of others; either the philosophy of one or the philosophy of the others. Resign yourself to the waste that such a necessary choice would involve. But putting the terms thus is thinking poorly about the situations and reducing the fields of the solutions which they call for. If we take a rich definition of Compliance Law, we can on the contrary articulate Compliance and Incentives.

To do this, the concept of “incentive Compliance” should be developed. This concept is not only appropriate, but it is necessary in a new conception of Sovereignty. For example for the digital Europe.

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Read the developments below. 

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► Full Reference: M.-A. Frison-Roche, "La compliance" ("Compliance"), in J.-B. Racine (ed.), Le droit économique au XXIe siècle. Notions et enjeux, LGDJ, "Droit & Économie" Serie, 2020, pp. 97-108

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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, Le droit économique au XXIe siècle. Notions et enjeux, in which this article is published

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📚see the presentation of the other books published in this Serie, founded and directed by Marie-Anne Frison-Roche

► English Summary of the article: 

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Full Reference : Frison-Roche, M.-A., Rights, primary and natural Compliance Tools, Working Paper, July  2020.

This Working paper is the basis for an article published in the collective book  Compliance Tools .

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There was a time when Regulatory techniques  were above all only calculations of the best tarifications, taken up by monopolistic companies, while Compliance techniques were only obedience to all rules governing us. All this could therefore only be business of abacus and badine, used by engineers and consisted only of mechanical reflexes of "conformity" to all kinds of rules with the corset ensuring that everyone is bent in front of them!footnote-1946. In the perspective of a Regulation and Compliance thus conceived, that is to say effective, it would not be necessary to insert prerogatives for people, since these could only be sources of inefficiency, of cost. and protest, where the order would come from figures set in advance and controlled processes.

Systems have since evolved to integrate these prerogatives of each person: rights. Is this evolution really acquired? Maybe more effectively in Regulation Law than in its extension which is Compliance Law. This may be surprising since Compliance Law, in that it extends Regulatory Law in enterprises should, on the contrary, promote rights by meeting the enterprise, which is a group of people ....!footnote-1986 . But the modern reluctance to define the enterprise (and the company) as a group of people and the preference given to a definition of the company (and the enterprise) as an "asset", a "good" of which investors would be the owners, maybe explains the sidelining of rights not only in Regulatory Law but also in Compliance Law even though it is being deployed in the space of the enterprise!footnote-1987.

In addition, if Regulation has long been the subject of a branch of Law in which rights have full place, the presentation of Compliance as "conformity", that is to say the proven assurance of obedience to all the applicable rules, leaves no space for the prerogatives of people, which appear rather as resistance to the obedience that would be expected of them. There again, the expectation of what would be a good ratio of conformity between behaviors and prescriptions would be obtained by a "design", data processing being the new form of calculation, improved by precision tools where the being human is not required!footnote-1989. His fallibility and the little confidence which one can place in him leads even to exclude the people and to conceive Compliance system between machines, not only to alert of the failures, but also to manufacture the "regulations" and to connect those. here, in a "regulatory fabric" without a jump stitch, entirely enveloping human beings!footnote-1990.

It would therefore be with regret, and probably because some constitutional jurisdictions still attach some value to fundamental rights that the systems of "conformity" of behavior to the rules make some room for the prerogatives of people, their more essential rights. It is sometimes said that this is part of the cost. It would therefore be as by "forcing" that rights would exist in Compliance systems, a kind of price that the effectiveness of Compliance must pay as a tribute to the Rule of Law principle!footnote-1991.

If in a poor definition Compliance is conceived in this only "conformity", leading to a landscape in which the behaviors of the people adjust to the rules governing the situations, Compliance being only the most "effective way" to ensure the application of the rules, in a mechanical perspective of Law, then it would effectively be necessary to reduce the prerogatives of people to a minimal part, because any "additional cost" is intended to disappear, even if it is produced here by constitutional requirements. In the looming battle between the effectiveness of the application of rules and the concern for the legal prerogatives of people who should above all obey and not claim their rights, especially their right not to obey , or their right to keep secret in Compliance techniques which is based on the centralization of information, the effectiveness of efficiency could only, by the very power of this tautology, prevail!footnote-1988... 

The defeat would not be total, however, collaboration would still be possible and active between people availing themselves of their rights and Compliance Law. Indeed, in many respects, if rights have been recognized in Compliance systems, it is not only because Compliance Law, like any branch of Law, can only be deployed with respect for fundamental rights. kept by fundamental legal texts, but also because of the effectiveness of rights as " Compliance Tools".

Indeed, because they constitute a very effective "tool" to ensure the entire functioning of a system whose goals are so difficult to achieve, because every effort must be made to achieve these goals, the public authorities not only rely on the power of crucial operators, but also distribute prerogatives to people who, thus encouraged, activate the Compliance system and participate in the achievement of the "monumental goals". Rights can prove to be the most effective tools to effectively achieve the goals set, to such an extent that they can be considered as "primary tools"  (I).

But it is necessary to be more ambitious, even to reverse the perspective. Indeed because all the Monumental Goals by which Compliance Law is defined can be reduced to the protection of people, that is to say to the effectiveness of their prerogatives, by a mirror effect between rights. given by Law to persons and the rights which constitute the very purpose of all Compliance Law, in particular the protection of all human beings, even if they are in a situation of great weakness, rights become a "natural tool" of Compliance Law (II).

Rights are the Compliance Law future. 

This working paper served as a basis for an interview organized by Olivia Dufour in French in Actu-juridiques-Lextenso on 11st of January 2021. 

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Full reference: M.-A. Frison-Roche, Se tenir bien dans l'espace numérique, in Penser le droit de la pensée. Mélanges en l'honneur de Michel Vivant, Lexis Nexis and Dalloz, 2020, pp. 155-168.

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📝Read the article (in French)

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🚧Read the working paper, written in English, on which this article is based, with additional developments, technical references, and hyperlinks

English summary of the article: The digital space is one of the scarce spaces not framed by a specific branch of Law, Freedom also offering opportunity to its actors to not "behave well", that is to express and diffuse broadly and immediately hateful thoughts through Hate speechs, which remained before in private or limited circles. The intimacy of Law and of the legal notion of Person is broken: Digital permits to individuals or organizations to act as demultiplied and anonymous characters, digital depersonalized actors who carry behaviors that are hurtful to other's dignity. 

Against that, Compliance Law offers an appropriate solution: internalizing in digital crucial operators the mission to disciplinary and substantially hold the digital space. The digital space has been structured by powerful firms able to maintain order. Because Law must not reduce digital space to be only a neutral market of digital prestations, these crucial operators, like social networks or search engines, must be forced to substantially control behaviors. It could be about an obligation of internet users to act with their face uncover, "real identity" policy controlled by firms, and to respect others' rights, privacy rights, dignity, intellectual property rights. In their Regulatory function, digital crucial firms must be supervised by public authorities. 

Thus, Compliance law substantially defined is the protector of the person as "subject of law" in the digital space, by the respect that others must have, this space passing from the status of free space to the one of civilized space, in which everyone is obliged to behave well. 

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Read to go further: 

• Frison-Roche, M.-A., L'apport du Droit de la Compliance à la gouvernance d'Internet, 2019
• Frison-Roche, M.-A. (dir.), Internet, un espace d'interrégulation, 2016

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► Full Reference: M.-A. Frison-Roche, The dreamed Compliance Law, Working Paper, June 2020. 

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This Working Paper, "The Dreamed Compliance Law", is the basis for an article, written in French, "La compliance" (Compliance), inserted in the collective work to be published under the direction of Jean-Baptiste Racine, Le Droit économique du XXIème siècle (The XXIe century Economic Law , in the Serie Droit & Economie,   LGDJ-Lextenso, 2020.

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No one can know what the Law of the 21st century will be. Pretending to know it is just not to realize its ignorance. Why then writing about it, since the future is always surprising?

One can only write about the unknown part of the Law of tomorrow. If the future is then modeled on what was written, so much the better for the prophet, a tribute that can, for example, be paid to Pierre Godé!footnote-1813 who described in 1999 what was going to be 10 years later "Law of the future" constituted by Environmental Law!footnote-1804. If the future denies the author or if its contours in no way follow the lines of the written word, this is not serious since the writing of the Law, even if it has the specificity of being partly prescriptive in that it has the power to write the future, a normative pen that rounds up letters!footnote-1805, it participates in all writing: above all to be that of a dream.

Lévi-Strauss argued that teaching is defined as dreaming out loud. Teaching and describing the Law of a century that we will never know gives even more freedom to dream about it. This freedom increases when the object is a branch of Law in the process of being born, state of the stammering "Compliance Law" of which some still maintain, as it was made for Regulation Law, that there is not existing. The hand can then, as it pleases, trace its beautiful or hideous features: what face will Compliance Law have, as soon as we assume that it will exist?

It may as well be a nightmare (I) as a happy dream (II).

It is up to us to choose in which category this branch of Law will flourish. Because what we can be sure of is this fulfillment. It is certainly already taking sides to presuppose the very existence of Compliance Law. Not only to consider it possibility with hostility because to be an enemy of something or someone is already to recognize their existence. Before that, two objections radically block the very existence of Compliance Law and their shadow remains in the future of it!footnote-1809.

Firstly, it is said that Compliance does not come under Law, but for example only ethics since it would consist in keeping well in companies which care about the interest of others or the planet, for example by spontaneous care of the environment; Compliance being a crystallization of social responsibility, the one for which we have our conscience, we express our "raison d'être" and we are not accountable!footnote-1807. Or it would consist in technologically putting in place tools for capturing technical information using data storage and processing methods. Compliance is then a sub-category of "Data Regulation"!!footnote-1814, a mechanical concept in which Law is no more present. In these two perspectives, Compliance Law cannot exist, no more tomorrow than it would exist today. These two radical conceptions, completely entrusting Compliance mechanisms to everyone except lawyers, do not make sense because it suffices to note the development of judgments and laws to measure the legal phenomenon already present!footnote-1808.

Second, there would be many Compliance mechanisms but insufficient to constitute a branch of Law. Indeed we would find Compliance in Company Law, Labor Law, Financial Law, Banking Law, Criminal Law, Administrative Law, European Law, International Law, etc.

These classic branches, which have been formed for so long, depending on the point of view adopted, would gain in modernity or be threatened with decay by this kind of extension which will be Compliance. There would thus be as many "little legal sectoral rules" as there are branches of law. These new internal developments would be like a new bud, on which care should be taken - if the tree regains its strength - or a weed to be eradicated - if the French garden loses its perspective.

Thus the matter being scattered as many as specialist lawyers, often criminalists or specialists in banking and Financial Law, then tomorrow all specialists in all branches of Law, this could constitute the most radical obstacle to the constitution of Compliance Law. Indeed, we would come back to confuse Compliance and the "modernization" of Law itself as a whole, since it would only be a question of perfecting each of the classic branches of the legal system.

If we keep in this half-sleep that is any projection in the future the hope of a constituted branch of Law, we must discard these two perspectives of annihilation, either in the total absence of Law or in recovery by all Law. To dismiss the sorrowful spirits who see no future in Compliance and keep only its enemies in the space of this article, let us assume that Compliance Law will exist in the 21st century. In what form and by what means, in the palm of which institutions, in the shadow of which legal system? Since it is a question of projecting ourselves onto the black screen of our nights of dreamy lawyers, let us take the current state only as a trailer. Like the one developed by the genius who by the contempt not only brought down into the flames of hell the cinema which has become a consumer industry with which producers force-feed us but offered us the vision of its future. What is what we see today the trailer? We let our imagination run wild since the trailer films are autonomous works compared to the film which follows them.

We have no idea what will happen and what we are watching from the brief and violent current images of Compliance Law, the cinema of which rather makes a hero of the whistleblower!footnote-1811 and a character of the narrow and ridiculous importance of the compliance officer!footnote-1812, does little to help us. But if we force the features of the present lineaments, the alternative of this Law in childhood is therefore that of a nightmare (I) or an idyllic solution for difficulties that will increase (II).

Everything will depend on the concept that we will retain of Compliance Law. Because the script is not written, because Compliance Law is a Law with a political dimension, that it is defined by the ambitions that we can claim to have by setting monumental goals that we are going to achieve, a claim that will make it one major branch of the Law of tomorrow, or we can abandon any claim, lower our heads and arms, and reject any claim. It is then that the power of Compliance Law, which will be no less great, will turn against us, human beings, as in a nightmare.