🌐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 (dir.), L'Obligation de Compliance, coll."Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published.

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📘 At the same time, a book in English, Compliance Obligation, is published in the collection copublished by the Journal of Regulation & Compliance (JoRC) and the Éditions Bruylant.

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🧮the book follows the cycle of colloquia 2023 organised by the Journal of Regulation & Compliance (JoRC) and its Universities partners.

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📚this volume is one of a series of books devoted to Compliance in this collection.

► read the presentations of the other books:

• further books:

🕴️M.-A. Frison-Roche (ed.), 📕Le système probatoire de la Compliance, 2025

• previous books:

🕴️M.-A. Frison-Roche & M. Boissavy (eds.), 📕Compliance et droits de la défense. Enquête interne - CJIP - CRPC, 2023

🕴️M.-A. Frison-Roche (ed.), 📕La juridictionnalisation de Compliance, 2023

🕴️M.-A. Frison-Roche (ed.), 📕Les Buts Monumentaux de la Compliance, 2022

🕴️M.-A. Frison-Roche (ed.), 📕Les outils de la Compliance, 2021

🕴️M.-A. Frison-Roche (ed.), 📕Pour une Europe de la Compliance, 2019

🕴️N. Borga, 🕴️J.-Cl. Marin and 🕴️J.-Ch. Roda (eds.), 📕Compliance : l'Entreprise, le Régulateur et le Juge, 2018

🕴️M.-A. Frison-Roche (ed.), 📕Régulation, Supervision, Compliance, 2017

🕴️M.-A. Frison-Roche (ed.), 📕Internet, espace d'interrégulation, 2016

📚see the global presentation of all the books of the collection.

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► General presentation of this book: Compliance is sometimes presented as an inescapable mechanism , which is tantamount to seeing it as the legal Obligation par excellence, Criminal Law being its most appropriate mode of expression. But this is not so obvious. Moreover, it is becoming difficult to unify all Compliance Tools, which encompass moral representations of the world, and even cultures specific to each company, so that Law can only produce incentives or produce soft law. As a result, Compliance Obligation appears as very difficult to define.

These hesitations reflect the youth of this Compliance Law under construction. Identified through juxtaposed special laws, for each of which specialists have come forward, it is nonetheless taking shape with its own normativity, anchored in its Monumental Goals. Because the notion of Obligation is as old as Law itself, the Obligation of Compliance is confronted with all the branches of Law, and more particularly, with all due respect, with Contract and Tort Law.

But Compliance has long been a practice, effectiveness, efficacy and efficiency being among its principles. How can all these ambitious declarations be put into effect? Is there not a hint of a gap between the grandiloquence of this declared Compliance Obligation and what actually happens? The practical question of how to compel is, in this new branch of Law, a question of law.

In order to have a more accurate perception of the Obligation of Compliance and therefore to better measure its future, it is advisable to end up taking its Advanced Point, which is the Obligation of Vigilance, clearer and stronger than the other instruments, having Monumental Goals, placing the Judge more clearly at the centre, developing in an already more visible way the power of this Obligation of Compliance which abstracts itself as necessary from borders and claims to express sovereignties.

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🏗️general construction of this Book: The book opens with a double Introduction.  The first, which is freely accessible, consists of a summary of the book, while the second, which is substantial, deals with the unified conception that we can, and indeed should, have, of the "Compliance Obligation", without losing the concrete and active character that characterises this branch of law.

The first Part of the book aims to define the Compliance Obligation. To this end, Chapter I deals with the Nature of this obligation. Chapter II deals with the Spaces of the Compliance Obligation.

The Part II aims to articulate the Compliance Obligation with other branches of Law. 

The Part III of the book looks at the way in which the possibility of obliging and the means of obliging are provided.  To this end, Chapter I deals with the Convergence of the Sources of the Compliance Obligation. Chapter II considers International Arbitration as a reinforcement of the Compliance Obligation. To this end, Chapter I deals with the Convergence of the Sources of the Compliance Obligation. Chapter II considers International Arbitration as a reinforcement of the Compliance Obligation. 

The last Part of the book is devoted to Vigilance, the leading edge of the Compliance Obligation. Chapter I is devoted to a study of the various sectors, and analyses the Intensities of the Vigilance Obligation. Chapter II deals with the Variations in Tension generated by the Vigilance Obligation. Finally, Chapter III deals with the New Modalities of the Compliance Obligation, highlighted by the Vigilance Imperative.

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TABLE OF CONTENTS 

ANCRER LES OBLIGATIONS DE COMPLIANCE SI DIVERSES  

 DANS LEUR NATURE, LEURS REGIMES ET LEUR FORCE 

POUR DEGAGER  L'UNITE DE L'OBLIGATION DE COMPLIANCE

LA RENDANT COMPREHENSIBLE ET PRATIQUABLE 

(ANCHOR COMPLIANCE OBLIGATIONS, SO DIVERSE

 IN THEIR NATURE, THEIR REGIMES AND THEIR FORCE,

TO BRING OUT THE UNITY OF THE COMPLIANCE OBLIGATION

MAKING IT COMPREHENSIBLE AND PRACTICABLE)

♦️ Obligation de Compliance : construire une structure de compliance produisant des effets crédibles au regard des Buts Monumentaux visés par le Législateur (Compliance Obligation: building a compliance structure that produces credible results with regard to the Monumental Goals targeted by the Legislator), by 🕴️Marie-Anne Frison-Roche

TITRE I.

CERNER L’OBLIGATION DE COMPLIANCE 

(IDENTIFYING THE COMPLIANCE OBLIGATION)

CHAPITRE I : LA NATURE DE L’OBLIGATION DE COMPLIANCE (THE NATURE OF THE COMPLIANCE OBLIGATION)

Section 1 ♦️ La volonté, le cœur et le calcul, les trois traits cernant l'Obligation de Compliance  (Will, Heart and Calculation, the three traits encercling the Compliance Obligation), by 🕴️Marie-Anne Frison-Roche

Section 2 ♦️ De la dette à l’obligation de compliance (From the Debt to the Compliance Obligation), by 🕴️Bruno Deffains

Section 3 ♦️ Obligation de Compliance et droits humains (Compliance Obligation and Human Rights), by 🕴️Jean-Baptiste Racine

Section 4 ♦️ L'Obligation de Compliance et les mutations de la souveraineté et de la citoyenneté (Compliance Obligation and changes in Sovereignty and Citizenship), by 🕴️René Sève

CHAPITRE II : LES ESPACES DE L’OBLIGATION DE COMPLIANCE (SPACES OF THE COMPLIANCE OBLIGATION)

Section 1 ♦️ Entités industrielles et Obligation de compliance (Industrial entities and Compliance Obligation), by 🕴️Etienne Maclouf

Section 2 ♦️ L'Obligation de Compliance dans les chaînes de valeur (The Compliance Obligation in Value Chains), by 🕴️Lucien Rapp

Section 3 ♦️ Compliance et conflits de lois. Le droit international de la vigilance-conformité à partir de quelques applications récentes sur le continent européen (Compliance and conflict of laws. International Law of Vigilance-Conformity, based on recent applications in Europe), by 🕴️Louis d'Avout 

TITRE II.

ARTICULER L’OBLIGATION DE COMPLIANCE AVEC DES BRANCHES DU DROIT

(ARTICULATING THE COMPLIANCE OBLIGATION WITH BRANCHES OF LAW)

Section 1 ♦️ Dimensions constitutionnelles de l'Obligation de Compliance (Constitutional dimensions of the Compliance Obligation), by 🕴️Stéphane Mouton

Section 2 ♦️ Droit fiscal et obligation de compliance (Tax Law and Compliance Obligation), by 🕴️Daniel Gutmann

Section 3 ♦️ Le droit processuel, prototype de l'Obligation de Compliance (General Procedural Law, prototype of the Compliance Obligation), by 🕴️Marie-Anne Frison-Roche

Section 4 ♦️ Le droit des sociétés et des marchés financiers face à l'Obligation de Compliance (Corporate and Financial Markets Law facing the Compliance Obligation), by 🕴️Anne-Valérie Le Fur

Section 5 ♦️ Le rapport entre le Droit de la responsabilité civile et l'Obligation de Compliance (The link between Tort Law and Compliance Obligation), by 🕴️Jean-Sébastien Borghetti

Section 6 ♦️ Dimensions environnementales et climatiques de l'Obligation de Compliance (Environmental and Climatic Dimensions of the Compliance Obligation), by 🕴️Marta Torre-Schaub

Section 7 ♦️ Droit de la concurrence et Droit de la Compliance (Competition Law and Compliance Law), by 🕴️Jean-Christophe Roda

Section 8 ♦️ L'Obligation de Compliance en Droit global (The Compliance Obligation in Global Law), by 🕴️Benoît Frydman & 🕴️Alice Briegleb

Section 9 ♦️ Transformation des relations de travail et obligation de vigilance (Transformation of Labour Relations and Vigilance Obligation), by 🕴️Stéphane Vernac

Section 11 ♦️ Les juges du droit des entreprises en difficulté et les obligations de compliance (Judges of Insolvency Law and Compliance Obligations), by 🕴️Jean-Baptiste Barbièri

TITRE III.

COMPLIANCE : DONNER ET SE DONNER LES MOYENS D’OBLIGER

(COMPLIANCE : GIVE AND TAKE THE MEANS TO OBLIGE)

CHAPITRE I : LA CONVERGENCE DES SOURCES (CONVERGENCE OF SOURCES)

Section 1 ♦️ Obligation sur obligation vaut (Compliance Obligation on Obligation works), by 🕴️Marie-Anne Frison-Roche

Section 2 ♦️ Les technologies disponibles, prescrites ou proscrites pour satisfaire Compliance et Vigilance (Technologies available, prescribed or prohibited to meet Compliance and Vigilance requirements), by 🕴️Emmanuel Netter

Section 3 ♦️ La cybersécurité et l’Obligation de Compliance (Cybersecurity and Compliance Obligation), by 🕴️Michel Séjean🕴️

Section 4 ♦️ Contrainte légale et stratégie des entreprises en matière de Compliance (Legal Constraint and Company Strategies in Compliance matters), by 🕴️Jean-Philippe Denis & Nathalie Fabbe-Costes

Section 5 ♦️ La loi, source de l’Obligation de Compliance (The Law, source of the Compliance Obligation), by 🕴️Jean-Baptiste Blanc

Section 6 ♦️ Opposition et convergence des systèmes juridiques américains et européens dans les règles et cultures de compliance (Opposition and Convergence of American and European Legal Systems in Compliance Rules and Cultures), by 🕴️Raphaël Gauvain & 🕴️Blanche Balian

Section 7 ♦️ Ce à quoi les engagements engagent qu'est un engagement (What a ), by 🕴️Marie-Anne Frison-Roche

CHAPITRE II : L’ARBITRAGE INTERNATIONAL EN RENFORT DE L’OBLIGATION DE COMPLIANCE (INTERNATIONAL ARBITRATION IN SUPPORT OF THE COMPLIANCE OBLIGATION)

Section 1 ♦️ Comment l'arbitrage international peut être un renfort de l'Obligation de Compliance (How International Arbitration can reinforce the Compliance Obligation), by 🕴️Laurent Aynès

Section 2 ♦️ La considération par l'Arbitrage de l'Obligation de Compliance pour une place d'arbitrage durable (Arbitration' consideration of Compliance Obligation for a Sustainable Arbitration Place),  by 🕴️Marie-Anne Frison-Roche 

Section 3 ♦️ La condamnation en nature par le tribunal arbitral, renfort de l’Obligation de Compliance (The Arbitral Tribunal's Award in Kind, in support of the Compliance Obligation), by 🕴️Eduardo Silva Romero

Section 4 ♦️ L’usage de l’arbitrage international pour renforcer l’obligation de Compliance : l’exemple du secteur de la construction (The use of International Arbitration to reinforce the Compliance Obligation: the example of the construction sector), by 🕴️Christophe Lapp

Section 5 ♦️ L’arbitre, juge, superviseur, accompagnateur  ? (The Arbitrator, Judge, Supervisor, Support) , by 🕴️Jean-Baptiste Racine

TITRE IV.

LA VIGILANCE, POINTE AVANCÉE DE L’OBLIGATION DE COMPLIANCE

(VIGILANCE, SPEARHEAD OF THE COMPLIANCE OBLIGATION)

Section 1 ♦️ La Vigilance, pointe avancée et part totale de l'Obligation de Compliance (....), by 🕴️Marie-Anne Frison-Roche

CHAPITRE I : LES INTENSITÉS DE L’OBLIGATION DE VIGILANCE, POINTE AVANCÉE DU SYSTÈME DE COMPLIANCE (INTENSITIES OF THE VIGILANCE OBLIGATION, SPEARHEAD OF THE COMPLIANCE SYSTEM)

Section 2 ♦️ L’intensité de l’Obligation de Vigilance selon les secteurs : le cas des opérateurs financiers (Intensity of the Vigilance Obligation by Sectors: the case of Financial Operators), by 🕴️Anne-Claire Rouaud

Section 3 ♦️ L’intensité de l’Obligation de Vigilance selon les secteurs : le cas des opérateurs bancaires et d’assurance (Intensity of the Vigilance Obligation by Sectors: the case of Banking and Insurance Operators), by 🕴️Mathieu Françon

Section 4 ♦️ L’intensité de l’obligation de vigilance selon les secteurs : le cas des opérateurs numériques (Intensity of the Vigilance Obligation by Sectors: the case of Digital Operators), by 🕴️Grégoire Loiseau

Section 5 ♦️ L’Obligation de vigilance des opérateurs énergétiques (The Vigilance obligation of Energy Operators), by 🕴️Marie Lamoureux

Section 2 ♦️ Transformation de la gouvernance et obligation de Vigilance (Transformation of Governance and Vigilance Obligation), by 🕴️Véronique Magniermag

CHAPITRE II : LES DISPUTES AUTOUR DE L'OBLIGATION DE VIGILANCE, POINTE AVANCÉE DU SYSTÈME DE COMPLIANCE, DANS SON RAPPORT AVEC LA RESPONSABILITÉ

Section 1 ♦️ Le rapport entre le droit de la responsabilité civile et l'obligation de compliance, by 🕴️Jean-Sébastien Borghetti

Section 2 ♦️ Repenser le concept de responsabilité civile à l’aune du devoir de vigilance, pointe avancée de la compliance (Rethinking the Concept of Civil Liability in the light of the Duty of Vigilance, Spearhead of Compliance), by 🕴️Mustapha Mekki

Section 3 ♦️ Tensions et contradictions entre les instruments relatifs à la vigilance raisonnable des entreprises, by 🕴️Laurence Dubin

Section 4 ♦️ Compliance, Vigilance et Responsabilité civile : mettre en ordre et raison garde (Compliance, Vigilance  and Civil Liability: put in order and keep the Reason), by 🕴️Marie-Anne Frison-Roche

CHAPITRE III : LES MODALITÉS NOUVELLES DE L'OBLIGATION DE COMPLIANCE, MISES EN LUMIÈRE PAR L'IMPÉRATIF DE VIGILANCE (NEW MODALITIES OF THE COMPLIANCE OBLIGATION, HIGHLIGHTED BY THE VIGILANCE IMPERATIVE)

Section 1 ♦️ Clauses et contrats, modalités de l’obligation de vigilance (Clauses and Contracts, terms and conditions of implementation of the Vigilance Obligation), by 🕴️Gilles J. Martin

Section 2 ♦️ La preuve de la bonne exécution de la Vigilance au regard du système probatoire de Compliance (Proof that Vigilance has been properly carried out with regard to the Compliance Evidence System), by 🕴️Jean-Christophe Roda

TITRE V.

LE JUGE ET L'OBLIGATION DE COMPLIANCE

(THE JUDGE AND THE COMPLIANCE OBLIGATION)

Section 1 ♦️ Les enjeux présents à venir de l’articulation des principes de procédure civile et commerciale avec la logique de compliance (Present and Future Challenges of Articulating Principles of Civil and Commercial Procedure with the Logic of Compliance), by 🕴️Thibault Goujon-Bethan

Section 2 ♦️ Le juge de l’amiable et la compliance (The amicable settlement judge and compliance), by 🕴️Malik Chapuis

Section 3 ♦️ Le Juge requis pour une Obligation de Compliance effective (The Judge required for an Effective Compliance Obligation), by 🕴️Marie-Anne Frison-Roche

L’OBLIGATION DE COMPLIANCE : VISION D’ENSEMBLE

(COMPLIANCE OBLIGATION : OVERVIEW)

♦️ Lignes de force de l'ouvrage (key points of the book) - free access, by 🕴️Marie-Anne Frison-Roche

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► Référence complète : M.-A. Frison-Roche (dir.), Compliance et Contrat, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) et Dalloz, à paraître.

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📘Parallèlement, un ouvrage en anglais, Compliance & Contract, est publié dans la collection éditée par le Journal of Regulation & Compliance (JoRC) et les Éditions Bruylant. 

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🧮Cet ouvrage vient à la suite d'un cycle de colloques 2023 organisés par le Journal of Regulation & Compliance (JoRC) et des Universités qui lui sont partenaires.

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📚Ce volume s'insère dans la lignée des ouvrages qui dans cette collection sont consacrés à la Compliance.

►  Lire les présentations des autres ouvrages de la Collection portant sur la Compliance :

• les ouvrages suivants :

🕴️M.A. Frison-Roche (dir.), 📕Le système probatoire de la Compliance, 2025

• les ouvrages précédents :

🕴️M.A. Frison-Roche (dir.), 📕L'obligation de Compliance, 2024

🕴️M.A. Frison-Roche et M. Boissavy (dir.), 📕Compliance & droits de la défense. Enquête interne - CJIP - CRPC, 2024

🕴️M.A. Frison-Roche (dir.), 📕La juridictionnalisation de compliance, 2023

🕴️M.A. Frison-Roche (dir.), 📕Les buts monumentaux de la Compliance, 2022

🕴️M.A. Frison-Roche (dir.), 📕Les outils de la Compliance, 2021

🕴️M.A. Frison-Roche (dir.), 📕Pour une Europe de la Compliance, 2019

🕴️N. Borga, 🕴️J.-Cl. Marin et 🕴️J-.Ch. Roda (dir.), 📕Compliance : Entreprise, Régulateur, Juge, 2018

🕴️M.A. Frison-Roche (dir.), 📕Régulation, Supervision, Compliance, 2017

🕴️M.A. Frison-Roche (dir.), 📕Internet, espace d'interrégulation, 2016

📚Consulter tous les autres titres de la collection.

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► Présentation générale de l'ouvrage : L'ouvrage précédemment publié dans la collection "Régulations & Compliance" porte sur L'obligation de Compliance. Le contrat y est évoqué, non seulement parce qu'en soi le contrat est source d'obligations, mais encore parce qu'en pratique les entreprises ont rapidement contractualisé leur obligation légale de compliance.

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🏗️Construction générale de l'ouvrage :

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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 & M. Boissavy (eds.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC (Compliance and rights of the defence. Internal investigation – French Judicial Public Interest Agreement – French guilty plea procedure), Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2024, 362 p.

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► General presentation of the book:  We do not have an overall view of the relationship between Compliance and the rights of the defence in the continuum of internal investigations and DPA, or in the French legal system the convention judiciaire d'intérêt public (CJIP) and the comparution immédiate avec reconnaissance de culpabilité (CRPC), in particular because the texts, whether hard law or soft law, decisions and academic analyses segment them, making it difficult to build a pertinent appreciation of each one. This is made all the more difficult by the fact that we know little about how each of them is applied in practice, both within each of them and in relation to each other.  As a result, it is difficult to express overall satisfaction, or total rejection, or to suggest some specific reforms and to precise on what points, to identify the appropriate source of these improvements, legislation, case law, professions, or spontaneous ways of doing. The first ambition of this book is therefore to restore an overall vision, because this is the vision of practice. If shortcomings are found to exist, then they can be more easily denounced.

However, some of the situations described may be described as flawed, or even dramatic, by some, while others may consider that they should be approved as they stand. This applies, for example, to the question of whether or not the investigation report should be secret from the prosecuting authority, which may propose a DPA (or in the French legal system a CJIP), whether or not this CJIP should be extended to individuals, whether or not a lawyer should be present from the internal investigation stage onwards, whether or not the lawyer should support the interests of the company he/she is investigating and continue to do so before the regulator or the prosecutor, whether or not the investigation is delegated from the public authorities to the company, whether or not the lawyer-investigator and then the lawyer-defendant are both lawyers, whether or not the victims are represented in the the CIPC process, etc. Depending on what one thinks the relation between Compliance and due process should be in principle and in practice, one expresses a more or less approving or severe judgement on the state of the texts, the soft law nature of most of them making the exercise complicated, and then if there is a gap between them and what one thinks should be the right standard, one asserts that in practice things happen differently from what the texts say, or one considers that the texts should be changed. From point to point, a veritable kaleidoscope emerges in this book.

Indeed, the result is a series of contributions that sometimes clash with one another, with a sort of contradictionary principle creeping into the very structure of this book, thus establishing the readesr as a sort of judges themselves , that character who is so absent. He/she will be able to do so, since the book lists texts, describes practices and gives an illustration of everything that can be thought of, in visions that are sometimes analytical and sometimes global, with proposals of reforms of texts, jurisprudence or conduct.

The aim of the book is to enable readers to form their own opinions and to take part in what is undoubtedly being strongly debated today: the confrontation between Compliance and rights of the defence.

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🧮this book follows a conference organised by the Conseil national des barreaux - CNB (French National Council of Lawyers), which took place on 20 and 21 April 2023: Avocats et droits de la défense dans les enquêtes internes et la justice négociée.

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This volume is the continuation of the books dedicated to Compliance in this collection.

📚 Read the presentations of the other books on Compliance in this collection:

• further books:

🕴️M.-A. Frison-Roche (ed.), 📕Le système probatoire de la compliance, 2025

🕴️M.-A. Frison-Roche (ed.), 📕Compliance et contrat, 2024

🕴️M.-A. Frison-Roche (ed.), 📕L'Obligation de Compliance, 2024

• previous books:

🕴️M.-A. Frison-Roche (dir.), 📕La juridictionnalisation de la Compliance, 2023

🕴️M.-A. Frison-Roche (ed.), 📕Les Buts Monumentaux de la Compliance, 2022

🕴️M.-A. Frison-Roche (ed.), 📕Les outils de la Compliance, 2021

🕴️M.-A. Frison-Roche (ed.), 📕Pour une Europe de la Compliance, 2019

🕴️N. Borga, N., 🕴️J.-Cl. Marin & 🕴️J.-Ch. Roda (eds.), 📕Compliance : Entreprise, Régulateur, Juge, 2018

🕴️M.-A. Frison-Roche (ed.), 📕Régulation, Supervision, Compliance, 2017

🕴️M.-A. Frison-Roche (ed.), 📕Internet, espace d'interrégulation, 2016

📚Read the presentations of the other titles of the collection.

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► Summary of the book: The rights of the defence are one of the pillars of our Rule of Law. On the face of it, compliance techniques are not concerned with this under the pretext of efficiency. This would be particularly true in a trilogy that unfolds over time: internal investigation, convention judiciaire d'intérêt public - CJIP (French Judicial Public Interest Agreement) and comparution sur reconnaissance préalable de culpabilité - CRPC (French guilty plea procedure).

However, because Compliance Law is also the expression of the Rule of Law, in that its ambition is to detect and prevent systemic risks in order to protect present and future human beings, we must go beyond this opposition and articulate Compliance and rights of the defence.

The Monumental Goals of Compliance, which justify its power, for example to obtain information, and the fundamental rights of the defence, which for example impose the presumption of innocence, must be adjusted to each other; by interpreting texts, or even adopting new ones.

The book analyses each of these three techniques, in particular the still largely unregulated internal investigation, and sheds light on them in relation to each other, in order to formulate proposals.

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🏗️General construction of the book: The book opens with an overview divided into three sections. The first Title compares the challenges of the internal investigation with the rights of the defence. The second Title compares the issues at stake in the convention judiciaire d'intérêt public - CJIP (French Judicial Public Interest Agreement) and the comparution sur reconnaissance préalable de culpabilité - CRPC (French guilty plea procedure) with these same rights of the defence.

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TABLE OF CONTENTS

COMPLIANCE ET DROITS DE LA DÉFENSE : VISION D'ENSEMBLE

(COMPLIANCE AND RIGHTS OF THE DEFENCE : OVERVIEW)

Section 1 ♦️ Connaître les pratiques pour redessiner les frontières et accroître les points de contact entre Compliance et droits de la défense dans l’enquête interne, la CJIP et la CRPC. Lignes de force de l'ouvrage Compliance et droits de la défense (Understanding practices to redraw the boundaries and increase the points of contact between Compliance and the rights of the defense in internal investigation, French Judicial Public Interest Agreement and French guilty plea procedure. Main Aspects of the Book Compliance and rights of the defence), by🕴️Marie-Anne Frison-Roche  

Section 2 ♦️  Compliance et droits de la défense : toujours pour le respect des droits humains (Compliance and rights of the defence: always for the respect of human rights), by🕴️Matthieu Boissavy

Section 3 ♦️ Circuler dans le temps pour mettre en phase Compliance et droits de la défense (Moving through Time to align Compliance and rights of the defence), by🕴️Marie-Anne Frison-Roche

TITRE I. 

LES ENJEUX PROCÉDURAUX DE L'ENQUETE INTERNE CONFRONTÉE AUX DROITS DE LA DÉFENSE

(TITLE I. 

PROCEDURAL CHALLENGES OF THE INTERNAL INVESTIGATION

IN RELATION TO THE RIGHTS OF THE DEFENCE)

CHAPITRE I : VISION GÉNÉRALE DES DROITS DE LA DÉFENSE DANS L'ENQUÊTE INTERNE 

(CHAPTER I: OVERVIEW OF THE RIGHTS OF THE DEFENCE IN INTERNAL INVESTIGATION)

Section 1 ♦️ Approche doctrinale de l’enquête interne et de l’enquête pénale privée (Doctrinal approach to internal investigation and private criminal investigation), by 🕴️Benjamin Fiorini

Section 2 ♦️ Regard critique : La place des droits de la défense dans l'enquête interne selon le guide AFA/PNF (A critical look: The place of the rights of the defence in the internal investigation according to the AFA/PNF Guide), by 🕴️Margaux Durand-Poincloux, 🕴️David Apelbaum and 🕴️Paola Sardi-Antasan

Section 3 ♦️ Les conditions de réussite de l'enquête interne dans les rapports entre le Parquet national financier et l’entreprise mise en cause – l’enquête interne au soutien de la défense de l’entreprise (The conditions for a successful internal investigation in the relationship between the French Financial Public Prosecutor's Office and the accused company - the internal investigation in support of the company's defence), by🕴️Jean-François Bohnert

CHAPITRE II : LES DROITS DE LA DÉFENSE À CHAQUE ÉTAPE DE L'ENQUÊTE INTERNE

(CHAPTER II: THE RIGHTS OF THE DEFENCE AT EACH STAGE OF THE INTERNAL INVESTIGATION)

Section 1 ♦️ La réception des alertes par l'avocat (Reception of alerts by the lawyer), by🕴️Maria Lancri

Section 2 ♦️ Collecte et traitement des informations dans les enquêtes internes à l'ère numérique : processus et enjeux (Collecting and processing information for internal investigations in the digital age: processes and challenges), by🕴️Uriel Goldberg

Section 3 ♦️ L’apport de la psychologie pour l'effectivité des droits de la défense dans l'enquête interne pour harcèlement au travail (The contribution of psychology to the effectiveness of the rights of the defence in internal investigation for harassment in the workplace), by🕴️Nathalie Leroy & 🕴️Danièle Zucker

Section 4 ♦️ Le respect des droits de la défense lors des auditions des enquêtes internes : un gage d’efficacité (Respecting the rights of the defence during hearings in internal investigations: a guarantee of efficacy), by 🕴️Emmanuel Daoud & 🕴️Ghita Khalid Rouissi

Section 5 ♦️ L’enquête interne au cœur des enjeux de conformité et de justice négociée : analyse de la position de l'AFA et du PNF (The internal investigation at the heart of conformity and negotiated justice issues: analysis of the position of the AFA and the PNF), by🕴️Éric Russo

Section 6 ♦️ Le rapport d’enquête interne à l’épreuve des droits de la défense (The internal investigation report put to the test of defence rights), by🕴️Samuel Sauphanor

CHAPITRE III : LA SPÉCIFICITÉ DES ENQUÊTES INTERNES DANS LES ENTREPRISES INTERNATIONALES ET LA PLACE DES DROITS DE LA DÉFENSE

(CHAPTER III : SPECIFICITY OF INTERNAL INVESTIGATIONS IN INTERNATIONAL COMPANIES AND THE PLACE OF THE RIGHTS OF THE DEFENCE)

Section 1 ♦️ La spécificité des enquêtes internes pratiquées par les groupes internationaux (Specificity of internal investigations carried out by international groups), by 🕴️Olivier Catherine

Section 2 ♦️ Garantir la valeur probatoire d’un rapport dans le cadre d’une enquête interne opérée dans une entreprise internationale (Guaranteeing the evidential value of a report in an internal investigation carried out in an international company), by 🕴️Monique Figueiredo

Section 3 ♦️ La responsabilité de l'entreprise dans la conception et la menée de l'enquête interne (The company's responsibility in designing and conducting an internal investigation), by 🕴️Lydia Meziani

Section 4 ♦️ Enquêtes internes, enquêtes pénales et droits de la défense : que nous disent les jurisprudences américaine et anglaise (l’affaire Connolly et l’affaire ENRC) ? (Internal investigations, criminal investigations and rights of the defence: what do the US and UK case law tell us (the Connolly case and the ENRC case)?), by 🕴️Victoire Chatelin

CHAPITRE IV : LE RÔLE SINGULIER DE L'AVOCAT DANS L'ENQUÊTE INTERNE

(CHAPTER IV: THE SPECIAL ROLE OF THE LAWYER IN THE INTERNAL INVESTIGATION)

Section 1 ♦️ La méthodologie propre à l'avocat enquêteur (The investigating lawyer's own methodology), by 🕴️William Feugère

Section 2 ♦️ L'enquête interne façonnée par la déontologie de l'avocat (The internal investigation shaped by the lawyer's deontology), by 🕴️Stéphane De Navacelle, 🕴️Julie Zorrila and 🕴️Laura Ragazzi

Section 3 ♦️ Préserver le secret professionnel de l'avocat dans l'enquête interne et son résultat (Preserving the lawyer's professional secrecy in the internal investigation and its outcome), by 🕴️Bénédicte Graulle & 🕴️Yanis Rahim

Section 4 ♦️ L’avocat-enquêteur en droit du travail : un janséniste au milieu du Far West (The lawyer-investigator in employment law: a Jansenist in the Wild West), by 🕴️Richard Doudet

Section 5 ♦️ La défense des personnes physiques dans les enquêtes internes (Defending individuals in internal investigations), by 🕴️Dorothée Hever

TITRE II.

LES ENJEUX PROCÉDURAUX DE LA CJIP ET DE LA CRPC

CONFRONTÉES AUX DROITS DE LA DÉFENSE

(TITLE II.

PROCEDURAL CHALLENGES OF THE FRENCH JUDICIAL PUBLIC INTEREST AGREEMENT

AND THE FRENCH GUILTY PLEA PROCEDURE 

IN RELATION TO THE RIGHTS OF THE DEFENCE)

CHAPITRE I : VISION GÉNÉRALE DES DROITS DE LA DÉFENSE DANS LA CJIP ET LA CRPC

(CHAPTER I: OVERVIEW OF THE RIGHTS OF THE DEFENCE IN THE FRENCH JUDICIAL PUBLIC INTEREST AGREEMENT AND THE FRENCH GUILTY PLEA PROCEDURE)

Section 1 ♦️ Théorie et pratique de la négociation dans la justice pénale (Theory and practice of negotiation in criminal justice), by 🕴️Sarah-Marie Cabon

Section 2 ♦️ La lutte anti-corruption : l’emprunt au modèle américain et à ses récentes évolutions (The fight against corruption: borrowing from the American model and its recent developments), by 🕴️Stephen L. Dreyfuss

Section 3 ♦️ Justice pénale négociée : avantages présents, risques à venir (Negotiated criminal justice: curent benefits, future risks), by 🕴️Alexis Bavitot

CHAPITRE II : FORMES ACTIVES DES DROITS DE LA DÉFENSE, LES DIALOGUES À L'OEUVRE OU À PARFAIRE DANS LA CJIP ET LA CRPC

(CHAPTER II: ACTIVE FORMS OF THE RIGHTS OF THE DEFENCE, DIALOGUES AT WORK OR TO BE PERFECTED IN THE FRENCH JUDICIAL PUBLIC INTEREST AGREEMENT AND THE FRENCH GUILTY PLEA PROCEDURE)

Section 1 ♦️ Combinaison des CRPC et des CJIP : le cas particulier des affaires de fraude fiscale (Combination of the French guilty plea procedure and the French Judicial Public Interest Agreement: the special issue of tax fraud cases), by 🕴️Marion David

Section 2 ♦️ Pour une justice pénale négociée plus équitable (For a fairer negotiated criminal justice), by🕴️Astrid Mignon Colombet

Section 3 ♦️ Les impacts, sur les droits de la défense, des disparités de la justice pénale négociée dans l’Union européenne (The impact on the rights of the defence of the disparities in negotiated criminal justice in the European Union), by 🕴️Emmanuel Moyne

Section 4 ♦️ L'évolution des rapports entre avocats et autorités de poursuites depuis l'introduction de la CJIP (Developments in relations between lawyers and prosecuting authorities since the introduction of the French Judicial Public Interest Agreement), by 🕴️Thomas Baudesson

CHAPITRE III : LE RÔLE SINGULIER DE L'AVOCAT DANS LA CJIP ET LA CRPC 

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♾️ follow Marie-Anne Frison-Roche on LinkedIn

♾️ subscribe to the Newsletter MAFR Regulation, Compliance, Law 

____

► Full Reference: M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, série "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, 490 p. 

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► This book in few words: Sanctions, controls, appeals, deals: judges and lawyers are everywhere in the Compliance mechanisms, creating unprecedented situations, sometimes without a solution yet available.  Even though Compliance was designed to avoid the judge and produce security by avoiding conflict. This jurisdictionalisation is therefore new. Forcing companies to prosecute and judge, a constrained role, perhaps against their nature. Leading to the adaptation of major procedural principles, with difficulty. Confronting arbitration with new perspectives. Putting the judge at heart, in mechanisms designed so that he is not there. How in practice to organize these opposites and anticipate the solutions? This is the challenge taken up by this book.

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

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

____

This volume is the continuation of the books dedicated to Compliance in this collection.

► Read the presentations of the other books on Compliance in this collection:

• further books:

🕴️M.A. Frison-Roche (ed.), 📕Le système probatoire de la compliance, 2025

🕴️M.A. Frison-Roche (ed.), 📕L'obligation de compliance, 2024

🕴️M.A. Frison-Roche et M. Boissavy (ed.), 📕Compliance & droits de la défense. Enquête interne - CJIP - CRPC, 2023

• previous books :

🕴️Frison-Roche, M.-A. (ed.), 📕 Les buts monumentaux de la Compliance, 2022

🕴️Frison-Roche, M.-A. (ed.), 📕 Les outils de la Compliance, 2020

🕴️Frison-Roche, M.-A. (ed.), 📕 Pour une Europe de la Compliance, 2019

🕴️N. Borga, N., 🕴️J.-Cl. Marin & 🕴️J.-Ch. Roda (ed.), 📕 Compliance : Entreprise, Régulateur, Juge, 2018

🕴️Frison-Roche, M.-A. (ed.), 📕 Régulation, Supervision, Compliance, 2017

🕴️Frison-Roche, M.-A. (ed.), 📕 Internet, espace d'interrégulation, 2016

📕 Read the presentations of the other titles of the collection.

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► General presentation of the book: There have always been Judges and Lawyers in Compliance Law, because this branch of Law is an extension of Regulatory Law in which they have a core place. This results from the fact that the decisions taken in respect of Compliance are contestable in Court, including Arbitration, those issued by the Company, such as those of States or Authorities, the Judge in turn becoming what Compliance Law is effective.

The novelty lies more in the phenomenon of "jurisdictionalisation", that is the trial model penetrates all Compliance Law, and not only the Ex-Post part that it includes. Moreover, it seems that this jurisdictionalisation influences the non-legal dimension of Compliance. This movement has effects that must be measured and causes that must be understood. Advantages and disadvantages that must be balanced. If only to form an opinion vis-à-vis Companies that have become Prosecutors and Judges of themselves and others ...: encourage this "Jurisdictionalisation of Compliance", fight it, perhaps influence it? In any case, understand it!

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🏗️ General construction of this book:

The book begins by a double Introduction, the first (in free access) summarizing the book, the second, substantial, relating to the need to reinforce the Judge and the Lawyer to impose the Compliance Law as a characteristic of the Rule of Law. 

The first Part is devoted to what is specific to Compliance Law. of Compliance: the transformation of companies into Prosecutors and Judges of themselves, even of others.

The second Part relates to Compliance general procedural Law, the procedure being the way between the dispute and the judgement. 

The third Part continues this journey to the judge and aims to measure the influence of the reasoning and requirements of Compliance Law in dispute resolution methods where it was not, with some exceptions, present, but where it has a great future: Arbitration.

Because trial and judicial decision are inseparable, because legal techniques and the Rule of Law should not be divided but compliance techniques could paradoxically be the weapon of their dissociation, because the power to judge and the procedures surrounding the latter must not be dissociated, because therefore Compliance mechanisms and the Rule of Law must be thought out and practiced then, the rise in power of one must be the sign of the rise in power of the other, and not the price of the 'weakening of the Rule of Law, the fourth Part relates to the Judges in the Compliance mechanisms and culture. 

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DOUBLE INTRODUCTION

🕴️M.-A. Frison-Roche, 📝Lignes de force de l'ouvrage La juridictionnalisation de la Compliance free access to the full text 

🕴️M.A. Frison-Roche, 📝Conforter le rôle du Juge et de l'Avocat pour imposer la Compliance comme caractéristique de l'État de Droit

I. L'ENTREPRISE INSTITUÉE PROCUREUR ET JUGE D'ELLE-MEME ET D'AUTRUI PAR LE DROIT DE LA COMPLIANCE ("THE COMPANY ESTABLISHED PROSECUTOR AND JUDGE OF ITSELF AND OTHERS BY COMPLIANCE LAW")

🕴️M.-A. Frison-Roche,📝 Le "jugeant-jugé". Articuler les mots et les choses face à l'éprouvant conflit d'intérêts 

🕴️C. Granier, 📝Réflexions sur l'existence d'une jurisprudence des entreprises

🕴️L.-M. Augagneur, 📝La juridictionnalisation de la réputation par les plateformes

🕴️A. Bruneau, 📝L'entreprise juge d'elle-même : la fonction compliance dans la banque

🕴️J.-M. Coulon, 📝Le Droit de la Compliance dans le secteur d'activité de la construction et les contradictions, impossibilités et impasses auxquelles les entreprises sont confrontées

🕴️Lapp, Ch., 📝La compliance dans l'entreprise : les statuts du process

🕴️J. Heymann, 📝La nature juridique de la "Cour suprême" de Facebook

🕴️D. Latour, 📝Les enquêtes internes au sein des entreprises

🕴️A. Bavitot,  📝Le façonnage de l'entreprise par les accords de justice pénale négociée

🕴️S. Merabet, 📝La vigilance, être juge et ne pas juger

II. LE DROIT PROCESSUEL À L'OEUVRE DANS LE DROIT DE LA COMPLIANCE  ("GENERAL PROCEDURAL LAW IN COMPLIANCE LAW")

🕴️N. Cayrol, 📝Des principes processuels en Droit de la Compliance

🕴️F. Ancel,📝Le principe processuel de compliance, un nouveau principe directeur du procès ?

🕴️B. Sillaman, 📝Secret professionnel et coopération : les leçons de procédure tirées de l’expérience américaine pour une application universelle

🕴️A. Linden, 📝Motivation et publicité des décisions de la formation restreinte de la Commission nationale de l’informatique et des libertés (CNIL) dans une perspective de compliance

🕴️S. Scemla,🕴️D. Paillot, 📝La difficile appréhension des droits de la défense par les autorités de contrôle en matière de compliance

🕴️M.-A. Frison-Roche, 📝Ajuster par la nature des choses du Droit processuel au Droit de la Compliance

III. L'ARTICULATION DE LA COMPLIANCE ET DE L'ARBITRAGE INTERNATIONAL ("ARTICULATION BETWEEN COMPLIANCE LAW AND INTERNATIONAL ARBITRATION")

🕴️J.-B. Racine, 📝Compliance et Arbitrage. Essai de problématisation

🕴️E. Silva-Romero,🕴️R. Legru, 📝Quelle place pour la Compliance dans l'arbitrage d'investissement ?

🕴️C. Kessedjian, 📝L'arbitrage au service de la lutte contre la violation des droits de la personne humaine par les entreprises 

🕴️M. Audit, 📝La position de l'arbitre en matière de compliance

🕴️J. Jourdan-Marques, 📝L’arbitre, juge ex ante de la compliance ?

🕴️E. Kleiman, 📝Les objectifs de la compliance confrontés aux acteurs de l’arbitrage

🕴️F.-X. Train, 📝Arbitrage et procédure parallèles exercées au titre de la compliance

🕴️Cl. Debourg, 📝La compliance au stade du contrôle des sentences arbitrales

IV. LE JUGE DANS LE DROIT DE LA COMPLIANCE ("THE JUDGE IN COMPLIANCE LAW")

🕴️M.-A. Frison-Roche, 📝Le juge, l'obligation de compliance et l'entreprise. Le système probatoire de la Compliance

🕴️J. Morel-Maroger, 📝La réception des normes de la compliance par les juges de l'Union européenne

🕴️S. Schiller, 📝Un juge unique en cas de manquement international à des obligations de compliance ?

🕴️O. Douvreleur, 📝Compliance et juge du droit

🕴️F. Raynaud, 📝Le juge administratif et la compliance

🕴️E. Wennerström, 📝Quelques réflexions sur la Compliance et la Cour européenne des droits de l'Homme

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law 

🌐s'abonner à la Newsletter MAFR Surplomb

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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. 

____

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

____

This volume is the continuation of the books dedicated to Compliance in this collection.

📚Read the other books' presentations of the collection about Compliance:

🕴️M.-A. Frison-Roche (ed.), 📕La juridictionnalisation de la Compliance, 2023

🕴️M.-A. Frison-Roche (ed.), 📕Les outils de la Compliance, 2021

🕴️M.-A. Frison-Roche (ed.), 📕Pour une Europe de la Compliance, 2019

🕴️N. Borga, 🕴️J.-Cl. Marin &🕴️J.-Ch. Roda (ed.), 📕Compliance : l'Entreprise, le Régulateur et le Juge, 2018

🕴️M.-A. Frison-Roche (ed.), 📕Régulation, Supervision, Compliance, 2017

🕴️M.-A. Frison-Roche (ed.),📕 Internet, espace d'interrégulation, 2016

📚Read the presentations of the other titles of the 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-2694. 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 

____

► Full Reference: M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) & Dalloz, 2021, 323 p.

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📘In parallel, the English version of this book, Compliance Tools, 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 organised by the Journal of Regulation & Compliance (JoRC) and its Academic Partners. 

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This volume is the continuation of the books dedicated to Compliance in this collection.

📚Read the other books ' presentations of the collection about Compliance:

📕 M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, 2023

📕 M.-A. Frison-Roche (ed.), Les Buts Monumentaux de la Compliance, 2022

📕 M.-A. Frison-Roche (ed.), Pour une Europe de la Compliance, 2019

📕 N. Borga, J.-Cl. Marin, J.-Ch. Roda (ed.), Compliance : l'Entreprise, le Régulateur et le Juge, 2018

📕 M.-A. Frison-Roche (ed.), Régulation, Supervision, Compliance, 2017

📕 M.-A. Frison-Roche (ed.), Internet, espace d'interrégulation, 2016

📚Read the presentations of the other titles of the collection.

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► General presentation of the book: The political dimension of Compliance Law resides in the monumental goals that it aims for and which define it. These goals are internalized in "crucial operators", who willingly or by force must structure themselves and act to achieve "monumental goals", as set by public authorities and which may coincide with the interests of the enterprise. This one designs and controls the Ex Ante reorganization that this implies, under the public authorities supervision. Enterprises, even if their activities are not regulated, thus become transparent and must show the Compliance Tools effectively deployed to effectively achieve these goals. It is a major transformation of economic life in all countries because the Compliance Tools are adopted everywhere and have a global effect.

These appear to be very diverse but their unity is profound and bringing it out has the practical benefit of producing a legal regime that is as unified as possible, while allowing their adaptation country by country, sector by sector, enterprise by enterprise. 

This book aims to understand these Compliance Tools to better anticipate the assessment that will be made by Regulators, Supervisors and Courts, as well as the new conceptions of the authors of legal texts which impose new ones every day, while companies must also imagine the most appropriate Compliance Tools.

This collective work specifically apprehends those on which we have few studies when we handle them on a daily basis, such as risk mapping or training or rights, letting more familiar tools shine through more transversal contributions, such as compliance programs, sanctions, whistleblowing or many sorts of settlements, agreements of public interest.

A first chapter takes a legal and economic approach. A second chapter emphasizes the role of risk mapping. A third chapter draws the game of incentives. A fourth chapter identifies the expertise required. A fifth chapter insists on geographic significance. A sixth chapter details the measurement of effectiveness. A seventh chapter explores training. The eighth chapter examines technological tools. The concluding article leads to rights.

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► Read the general introduction of the book (in French).

____

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

INTRODUCTION 

🕴️M.-A. Frison-Roche, 📝Décrire, concevoir et corréler les outils de la compliance, pour en faire un usage adéquat

I. APPROCHES JURIDIQUE ET ÉCONOMIQUE DES OUTILS DE LA COMPLIANCE (LEGAL AND ECONOMIC APPROACHES TO COMPLIANCE TOOLS)

🕴️M.-A. Frison-Roche, 📝Approche juridique des outils de la compliance. Construire juridiquement l'unité des outils de la compliance à partir de la définition du Droit de la compliance par ses "buts monumentaux"

🕴️L. Benzoni et 🕴️B. Deffains, 📝Approche économique des outils de la compliance : finalité, mesure, effectivité de la compliance "subie" et "choisie"

II. LA CARTOGRAPHIE DES RISQUES, OUTIL CENTRAL DE LA COMPLIANCE (RISK MAPPING, CENTRAL COMPLIANCE TOOL)

🕴️M.-A. Frison-Roche, 📝Dresser des cartographies des risques comme obligation et le paradoxe des "risques de conformité"

🕴️N. Guillaume, 📝Cartographie des risques de compliance. Premiers aperçus des enjeux, des limites et des bonnes pratiques

III. PLACE ET MANIEMENT DES INCITATIONS DANS LES SYSTÈMES DE COMPLIANCE (PLACE AND USE OF INCENTIVES IN COMPLIANCE SYSTEMS)

🕴️L. Rapp, 📝Théorie des incitations et gouvernance des activités spatiales

🕴️M.-A. Frison-Roche, 📝Résoudre la contradiction entre "sanction" et "incitation" sous le feu du Droit de la compliance

🕴️M. Larouer, 📝La manifestation des mécanismes incitatifs dans le droit français de la compliance

🕴️H. Tardieu, 📝Souveraineté des données et compliance

🕴️L. Calandri, 📝Incitation(s) et autorégulation(s) : quelle place pour le droit de la compliance dans le secteur audiovisuel?

🕴️M.-A. Frison-Roche, 📝Compliance et incitations : un couple à propulser

IV. LES EXPERTISES REQUISES EN MATIÈRE DE COMPLIANCE (THE REQUIRED EXPERTISES IN TERMS OF COMPLIANCE)

🕴️A. Gutierrez-Crespin, 📝L’audit du dispositif de compliance : un outil clé pour en vérifier la robustesse

🕴️S. Koenigsberg et 🕴️Fr. Barrière, 📝La construction de l'expertise de l'avocat en matière de compliance

🕴️Th. Amico, 📝La Compliance ou le passage de l'ex post à l'ex ante. Une révolution copernicienne pour l'avocat pénaliste ?

V. LA PRÉGNANCE GÉOGRAPHIQUE DES OUTILS DE LA COMPLIANCE (THE GEOGRAPHICAL DOMINANCE OF COMPLIANCE TOOLS)

🕴️J.-B. Racine, 📝Propos introductifs. La prégnance géographique dans le choix et l'usage des outils de la compliance

🕴️M. M. Salah, 📝Conception et application de la compliance en Afrique

🕴️R. Burlingame, 🕴️K. Coppens, N. Power et 🕴️D.H. Lee, 📝Compliance : lutte internationale contre la corruption et gestion des risques

VI. LA MESURE DE L'EFFECTIVITÉ DES OUTILS DE LA COMPLIANCE (THE MEASURE OF COMPLIANCE TOOLS EFFECTIVITY)

🕴️M. Galland, 📝Le contrôle par le régulateur de l'effectivité des instruments de compliance mis en place par l'entreprise

🕴️A. Banck, 📝La maturité de l’utilisateur d'un outil de compliance, premier critère du choix de l’outil adéquat

VII. LA FORMATION, ALPHA ET OMÉGA DE LA COMPLIANCE (TRAINING, ALPHA AND OMEGA OF COMPLIANCE)

🕴️H. Causse, 📝La compliance : par et au-delà de la formation juridique classique

🕴️M.-A. Frison-Roche, 📝La formation : contenu et contenant de la compliance

🕴️Th. Thouret, 📝Formation et compliance : deux outils corrélés de transmission d'information

VIII. LES OUTILS TECHNOLOGIQUES ET LA COMPLIANCE BY DESIGN (TECHNOLOGICAL TOOLS AND COMPLIANCE BY DESIGN)

🕴️J.-Ch. ​Roda, 📝La compliance by design en antitrust : entre innovation et illusion

🕴️C. Granier, 📝L'originalité normative de la compliance by design

🕴️L. Pailler, 📝Les outils technologiques, la compliance by design et le RGPD : la protection des données dès la conception

🕴️S. Merabet, 📝La morale by design

CONCLUSION

🕴️M.-A. Frison-Roche, 📝Les droits subjectifs, outils premiers et naturels du Droit de la compliance

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♾️ follow Marie-Anne Frison-Roche on LinkedIn

♾️ subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche (ed.), Pour une Europe de la Compliance (For the Europe of the Compliance), series "Régulations & Compliance", Dalloz, 2019, 124 p. 

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This volume is the continuation of the books dedicated to Compliance in this collection.

📚Read the other books' presentations of the collection about Compliance:

🕴️M.-A. Frison-Roche (ed.), 📕La juridictionnalisation de la Compliance, 2023

🕴️M.-A. Frison-Roche (ed.), 📕Les Buts Monumentaux de la Compliance, 2022

🕴️M.-A. Frison-Roche (ed.), 📕Les outils de la Compliance, 2021

🕴️N. Borga, 🕴️J.-Cl. Marin &🕴️J.-Ch. Roda (ed.), 📕Compliance : l'Entreprise, le Régulateur et le Juge, 2018

🕴️M.-A. Frison-Roche (ed.), 📕Régulation, Supervision, Compliance, 2017

🕴️M.-A. Frison-Roche (ed.),📕 Internet, espace d'interrégulation, 2016

📚Read the presentations of the other titles of the collection.

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► General presentation of the book: This book is written in French. The topic is : "For the Europe of the Compliance".

See below its general presentation in English. 

The political dimension is intrinsic to the Compliance Law. Indeed, compliance mechanisms consist of internalizing in certains companies the obligation to implement goals of general interest set by Public Authorities. These public bodies control the Ex Ante reorganization that implies for these companies and punish Ex Post the possible structural inadequacy of these compagnies, becoming transparent for this purpose. 

This new mode of governance establishes a continuum between Regulation, Supervision, Compliance (book published in 2017) and renew the links between Companies, Regulators and Judges!footnote-1600. 

This political dimension must be increased: the Compliance Law of Compliance must today be used to build Europe.

One can observe not only the construction of the  European Compliance Law, object-by-object, sector-by-sector, purpose-by-purpose, but also the construction of the European Compliance Law that transcends and unifies them. Becoming independent of American Law and ceasing to be in reaction, even on the defensive, the Compliance Law contributes to the European project, offering it a higher ambition, that Europe can carry and, by this way, can carry the Europe itself, not only to preserve the European economy from corruption or money laundering, but by claiming the protection of nature and human beings.

This is why the book describes the "reasons and objectives" of the Europe of the Compliance, which makes it possible to describe, detect and even predict the ways and means.

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

🕴️M.-A. Frison-Roche, 📝Avant propos 

🕴️K. Lenaerts, 📝Le juge de l'Union européenne dans une Europe de la compliance

🕴️M.-A. Frison-Roche, 📝Un droit substantiel de la compliance, appuyé sur la tradition européenne humaniste

I. LES RAISONS ET LES OBJECTIFS D'UNE EUROPE DE LA COMPLIANCE (THE REASONS AND OBJECTIVES OF THE EUROPE OF THE COMPLIANCE) 

🕴️X. Musca, 📝Construire une Europe de la compliance en donnant une meilleure place aux entreprises

🕴️P. Vimont, 📝La place de la diplomatie dans l'avancée d'une Europe de la compliance

🕴️P. Sellal, 📝Les vertus de la compliance : une réponse possible aux faiblesses de l'Union européenne ?

🕴️J.-J. Daigre, 📝Compliance, entreprise et Europe

II. LES VOIES ET MOYENS D'UNE EUROPE DE LA COMPLIANCE  (THE WAYS AND MEANS OF THE EUROPE OF THE COMPLIANCE)

🕴️J.-Cl. Marin, 📝Quels outils pour la construction du droit de la compliance en Europe ?

🕴️M. Canto-Sperber, 📝La compliance et les définitions traditionnelles de la vertu

🕴️T. Bonneau, 📝Compliance et secteur bancaire et financier en Europe

🕴️C. Duchaine, 📝L'Agence française anticorruption, à l'appui de l'Europe de la compliance

🕴️D. Martin, 📝Les contraintes et les vertus de la compliance

🕴️A. de La Cotardière, 📝Construire une Europe de la compliance lisible pour les entreprises

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► Référence complète : N. Borga, .J.-Cl. Marin., J.-Ch. Roda (dir.), Compliance : l'entreprise, le régulateur et le juge, Journal of Regulation & Compliance et Dalloz, coll. Régulations & Compliance, 2018, 264 p.

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📝Lire la table des matières de l'ouvrage.

📚Voir les ouvrages parus et à paraître dans cette collection.

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► Lire une présentation des articles contenus dans cet ouvrage⤵️ :

🕴️ Amico, Th., La convention judiciaire d'intérêt public ou la compliance comme moyen de lutte contre la récidive.

🕴️Audit, M., Les lois extraterritoriales américaines comme facteur d'accélération de la compliance.

🕴️Augagneur, L.-M., L'efficacité des programmes de compliance : l'exemple du droit de la concurrence.

🕴️Baller, S., La gestion d'un audit de compliance ? Limites et perspectives.

🕴️Besson, V., L'entreprise et l'élaboration d'un programme de compliance.

🕴️Boulon, O., Compliance et régulation financière : le rôle de l'Autorité des marchés financiers.

🕴️Brulé, M.-F., Les récentes initiatives publiques françaises de lutte contre la corruption dans les transactions commerciales : une nouvelle dynamique pour les entreprises.

🕴️Du Pontavice, V., Expérience de compliance : mener un audit environnement.

🕴️Frison-Roche, M.-A., Entreprise, Régulation, Juge : penser la compliance par ces trois personnages. 

🕴️Frison-Roche, M.-A., Compliance : avant, maintenant, après.

🕴️Granier, C., Dirigeants, associés et compliance.

🕴️Ingall-Montagnier, Ph., La compliance entre extra-judiciaire et émergence du juge.

🕴️Lenoir, N., Les lanceurs d'alerte, une idée neuve en Europe.

🕴️Marin, J.-C., La compliance, un progrès.

🕴️Morel-Maroger, J., La compliance financière, les enseignements de l'affaire BNP Paribas.

🕴️Mossé, M., Le juriste au cœur du devoir de vigilance.

🕴️ Parance, B., Une illustration d'une démarche de compliance en droit de l'environnement : le cas Michelin devant le Point de contact national France.

🕴️Rebeyrol, V., La compliance : le rôle de la charte éthique.

🕴️Roda, J.-Ch., La compliance en droit américain : le régulateur, l'entreprise et le juge.

🕴️Schiller, S., La compliance extra-financière les risques de contradictions de domaines d'application.

🕴️Stirn, B., Le juge administratif et la compliance.

🕴️Zolynski, C., Compliance et droit des données personnelles.

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche (ed.), Régulation, Supervision, Compliance (Regulation, Supervision, Compliance), Dalloz, coll. "Thèmes & Commentaires", "Régulations" Serie, 2017, 148 p.

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► General presentation of the book: Regulation. Supervision. Compliance. Three terms that until recently were virtually unknown in legal systems. Or at least considered to be peculiar to Anglo-American legal systems: Regulation, Supervision, Compliance. These terms are like Trojan horses through which Common Law is taking over our legal traditions to make European companies, especially banks, bend over backwards, take over institutions and impose methods.

Three words by which the invasion is carried out. Through the violence of repression and compliance penalties, through the mildness of codes of conduct and corporate social responsibility. By laws as new as they are strange, such as the French so-called "Sapin 2" law or the French law introducing a "duty of vigilance" for companies whose fault would be to have succeeded in expanding internationally.

One can have this defensive conception of Compliance, generating a "Compliance Law", produced by the internalisation of Regulatory Law in global economic operators, who are then subject to supervision by Regulators, even though these firms are not regulated, with Compliance extending beyond the supervised sectors (banks and insurance companies).

We can (and maybe must) have a more welcoming, and therefore more offensive, conception of Compliance. It can be the crucible of a relationship of trust on a supra-national scale between these operators and the regulators, the former being able to contribute, like the latter, to serving goals that go beyond them all, of which the fight against corruption and money laundering are but a few examples.

In this way, the issue is the construction of the European Compliance Law.

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📝read the interview given by Marie-Anne Frison-Roche to the Petites Affiches, "We need to build a European compliance system - that's the future! ire l'entretien donné par Marie-Anne Frison-Roche aux Petites Affiches ,"Il faut construire un dispositif européen de compliance, voilà l'avenir !" ("We need to build a European Compliance System - that's the Future!"), about the publication of this book (in French)

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🧮This book follow a cycle of conférences organised in 2016 by the Journal of Regulation (JoR) in collaboration with the École d’Affaires Publiques and the Département d’Économie of Sciences Po (Paris), under the scientific direction of Marie-Anne Frison-Roche, Director of the Journal of Regulation (JoR)

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This volume is the continuation of the books dedicated to Compliance in this collection.

📚Read the presentations of the other books on Compliance in this Serie:

• further books:

🕴️M.A. Frison-Roche (ed.), 📕Le système probatoire de la Compliance, 2025

🕴️M.A. Frison-Roche (ed.), 📕Compliance et Contrat, 2024

🕴️M.A. Frison-Roche (ed.), 📕L'obligation de Compliance, 2024

🕴️M.A. Frison-Roche et M. Boissavy (eds.), 📕Compliance et droits de la défense. Enquête interne - CJIP - CRPC, 2024

🕴️M.A. Frison-Roche (ed.), 📕La juridictionnalisation de la Compliance, 2023

🕴️M.A. Frison-Roche (ed.), 📕Les Buts Monumentaux de la Compliance, 2022

🕴️M.A. Frison-Roche (ed.), 📕Les outils de la Compliance, 2021

🕴️M.A. Frison-Roche (ed.), 📕Pour une Europe de la Compliance, 2019

🕴️N. Borga, 🕴️J.-Cl. Marin and 🕴️J-.Ch. Roda (eds.), 📕Compliance : l'Entreprise, le Régulateur et le Juge, 2018

• previous books:

🕴️M.A. Frison-Roche (ed.), 📕Internet, espace d'interrégulation, 2016

📚Read the presentations of the other titles of the Serie.

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🏗️General construction of the book: 

Consulter le sommaire de l'ouvrage.

____

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

🕴️M.-A. Frison-Roche, 📝Du droit de la régulation au droit de la compliance

I. AUTOUR DE LA NOTION DE COMPLIANCE (AROUND THE NOTION OF COMPLIANCE)

🕴️B. de Juvigny, 📝La compliance, bras armé de la régulation

🕴️I. Falque-Pierrotin, 📝L'Europe des données ou l'individu au coeur d'un système de compliance

🕴️B. Lasserre, 📝Concurrence et bien public

🕴️J.-M. Sauvé, 📝Compliance, droit public et juge administratif

🕴️J.-Cl. Marin, 📝Droit pénal et compliance

II. CHOCS ET ACCLIMATATION DE LA COMPLIANCE DANS LE SYSTÈME JURIDIQUE (SHOCKS AND ACCLIMATISATION OF COMPLIANCE IN THE LEGAL SYSTEM)

🕴️D. Migaud, 📝Le nouveau rapport entre l'État et les normes impliquées dans la compliance

🕴️A. C. Bénichou, 📝Nouvelles technologies : réflexions sur la compliance et l'éthique

🕴️J.-M. Darrois, 📝La loi Sapin II : un défi pour les avocats

🕴️Y. Perrier, 📝"Diplomatie" de la compliance et de sa régulation

III. LES DIALOGUES OUVERTS PAR LA COMPLIANCE (DIALOGUES OPENED UP BY COMPLIANCE)

🕴️J.-B. Auby, 📝Le dialogue de la norme étatique et de la compliance

🕴️L. Donnedieu De Vabres, 📝Pas de compliance sans confiance

🕴️J. Bédier, 📝La compliance, un outil actif de développement de l'entreprise 

🕴️A. De La Cotardière, 📝Le rôle de l'avocat en matière de compliance

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Complete references :  Frison-Roche, M.-A. (dir.), Internet, espace d'interrégulation, Serie "Régulations", coll. "Thèmes & Commentaires", Dalloz, Paris, 2016.

Read the presentation of the book (written in French).

Read the presentation of the  authors of the contributions (written in French)

"Regulate the Internet".

Some argue that any regulation is contrary to the nature of digital. Others argue that this is indispensable, for its economic deployment and for public freedoms. Internet renews conceptions and practices. Notably those of the Law of the Regulation. Indeed, the Internet makes it possible to offer and obtain services that are in often regulated sectors: financial, audiovisual, healthcare, gaming. Moreover, they converge in new objects: the connected objects.

Often described as a "legal desert", digital appears as a kind of jumble of systems of various regulations that overlap, deform and contradict each other. In reaction, an "interregulation", de facto or de jure, in law more or less flexible, is in the process of being established. Who will be the Regulator: The States? The judge? The Internet users?

The future is open.

The book first determines the "Interregulation Needs" and then describes and conceives solutions for the interregulation of the digital space.

Read the presentation of the two articles written by Marie-Anne Frison-Roche:

     Thinking the world from the notion of "data"
     To draw the regulatory consequences of a rethinked world from the notion of "data"

The working papers which are the base of these articles are written in English.