Direction of the serie Regulation & Compliance, JoRC and Bruylant
May 29, 2024
Editorial responsibilities : Direction of the serie Regulation & Compliance, JoRC and Bruylant
♾️ 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 (ed.), Compliance Obligation, coll. Compliance and Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.
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📕 In parallel, a book in French L'obligation de compliance, is published in the collection "Régulations & Compliance" co-published by the Journal of Regulation & Compliance (JoRC) and Dalloz.
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📚 This book is inserted in this series created by Marie-Anne Frison-Roche for developing Compliance Law.
read the presentations of the other books of this Compliance Series:
- further books:
🕴️M.A. Frison-Roche (dir.), 📘Le système probatoire de la compliance, 2025
- previous books:
🕴️M.A. Frison-Roche (ed), 📘Compliance Juridictionnalisation, 2023
🕴️M.A. Frison-Roche (ed), 📘Compliance Monumental Goals, 2022
🕴️M.-A. Frison-Roche (ed.), 📘Compliance Tools, 2021
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► go to the general presentation of this 📚Series Compliance & Regulation, conceived, founded et managed by Marie-Anne Frison-Roche, co-published par the Journal of Regulation & Compliance (JoRC) and 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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► general presentation of the book: Compliance is sometimes presented as something that cannot be avoided, which is tantamount to seeing it as the legal obligation par excellence, Criminal Law being its most appropriate mode of expression. However, this is not so evident. Moreover, it is becoming difficult to find a unity to the set of compliance tools, encompassing what refers to a moral representation of the world, or even to the cultures specific to each company, Compliance Law only having to produce incentives or translate this ethical movement. The obligation of compliance is therefore difficult to define.
This difficulty to define affecting the obligation of compliance reflects the uncertainty that still affects Compliance Law in which this obligation develops. Indeed, if we were to limit this branch of law to the obligation to "be conform" with the applicable regulations, the obligation would then be located more in these "regulations", the classical branches of Law which are Contract Law and Tort Law organising "Obligations" paradoxically remaining distant from it. In practice, however, it is on the one hand Liability actions that give life to legal requirements, while companies make themselves responsible through commitments, often unilateral, while contracts multiply, the articulation between legal requirements and corporate and contractual organisations ultimately creating a new way of "governing" not only companies but also what is external to them, so that the Monumental Goals, that Compliance Law substantially aims at, are achieved.
The various Compliance Tools illustrate this spectrum of the Compliance Obligation which varies in its intensity and takes many forms, either as an extension of the classic legal instruments, as in the field of information, or in a more novel way through specific instruments, such as whistleblowing or vigilance. The contract, in that it is by nature an Ex-Ante instrument and not very constrained by borders, can then appear as a natural instrument in the compliance system, as is the Judge who is the guarantor of the proper execution of Contract and Tort laws. The relationship between companies, stakeholders and political authorities is thus renewed.
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🏗️general construction of the book
The book opens with a double Introduction. The first, which is freely accessible, is a summary of the book, while the second, which is substantial, deals with the future development of the compliance obligation in a borderless economic system.
The first part is devoted to the definition of the Compliance Obligation.
The second part presents commitments and contracts, in certain new or classic categories, in particular public contracts, and compliance stipulations, analysed and qualified regarding Compliance Law and the various relevant branches of Law.
The third part develops the responsibilities attached to the compliance obligation.
The fourth part refers to the institutions that are responsible for the effectiveness, efficiency, and efficacy of the compliance obligation, including the judge and the international arbitrator.
The fifth part takes the Obligation or Duty of Vigilance as an illustration of all these considerations.
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June 14, 2023
Editorial responsibilities : Direction of the serie Regulation & Compliance, JoRC and Bruylant
► Full Reference: Frison-Roche, M.-A. (ed.), Compliance Jurisdictionalisation, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, 2022, to be published.
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📅 This book is based on the 2021 colloquia organised by the Journal of Regulation & Compliance (JoRC) and its Universities partners.
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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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► Read the presentation of the other books of this Collection:
📘 Frison-Roche, M.-A. (dir.), Compliance Monumental Goals, 2022 ;
📘 Frison-Roche, M.-A. (dir.), Compliance Tools, 2020.
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► Book Summary: There have always been Judges and Lawyers in Compliance Law, in particular 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 to say that 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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First presentation of content
INTRODUCTION
🕴️Frison-Roche, M.-A. 📝 Summary of the book Compliance Jurisdictionalisation
🕴️Frison-Roche, M.-A., 📝 Reinforce the Judge and the Attorney to impose Compliance Law as a characteristic of the Rule of Law
I. THE COMPANY ESTABLISHED PROSECUTOR AND JUDGE OF ITSELF BY COMPLIANCE LAW
🕴️Granier, C., 📝 The Jurisprudence of the Compagnies established as prosecutors and Judges of themselves by Compliance Law
🕴️Coulon, J.-M., 📝 How a company works to make Compliance Law a reality: the example of the construction sector
🕴️Lapp, Ch., 📝 How a Company works to make Compliance Law a reality: the statues of processes
🕴️Augagneur, L.-M., 📝 Reputational Treatment by and on the platforms
🕴️Bruneau, A., 📝 The way in which compagnies in the banking sector organize themselves and behave in order to fulfill their role as "prosecutor and judges of themselves"
🕴️Frison-Roche, M.-A., 📝 The Judge-Judged ; articulating words and things in the face of the impossible conflict of interests
🕴️Heymann, J., 📝 La nature juridique de la "Cour suprême" de Facebook
🕴️Lapp, Ch., 📝 How a Company works to make Compliance Law a reality: the statues of processes
🕴️Latour, D., 📝 Les enquêtes internes au sein des entreprises
🕴️Merabet, S., 📝 Etre juge et ne pas juger
🕴️Bavitot, A., 📝 Shaping the company through negotiated Criminal Justice Agreements
II. GENERAL PROCEDURAL LAW IN COMPLIANCE LAW
🕴️Cayrol, N., 📝 General Procedural Law in Compliance Law
🕴️Frison-Roche, M.-A., 📝 Adjusting by the nature of things General Procedural Law to Compliance Law
🕴️Sillaman, B., 📝 Privilege and Cooperation: Procedural Lessons Learned from the U.S. for Global Application
🕴️Scemla, S.& Paillot, D., 📝 The supervisory Authorities face difficulties to apprehend the Rights of the Defense
🕴️Schiller, S., 📝 A single judge in the event of an international breach of compliance obligations?
III. ARTICULATION BETWEEN COMPLIANCE LAW AND INTERNATIONAL ARBITRATION
🕴️Racine, J.-B., 📝 Compliance and Arbitration: Problematisation
🕴️Silva-Romero, E. & Legru, R., 📝 What places for Compliance in investment arbitration?
🕴️ Kleiman, E., 📝 The goals of compliance confronted to arbitration and its actors
🕴️Audit, M., 📝 The position of the arbitrator in matters of Compliance
🕴️Jourdan-Marques, J., 📝 The arbitrator, ex ante judge of compliance?
🕴️Train, F.-X., 📝Arbitration and parallel proceedings exercised in Compliance Procedure
IV. THE JUDGE IN COMPLIANCE LAW
🕴️Frison-Roche, M.-A., 📝The judge, the compliance obligation, and the company. The Compliance probationary system
🕴️Morel-Maroger, J.,, 📝 Application of Compliance standards by EU Judges
🕴️Douvreleur, O., 📝 Compliance and Judge ruling only on points of Law
🕴️Wennerström, E., 📝 Some Reflections on Compliance and the European Court of Human Rights
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March 15, 2023
Editorial responsibilities : Direction of the serie Regulation & Compliance, JoRC and Bruylant
♾️ follow Marie-Anne Frison-Roche on LinkedIn
♾️subscribe to the Newsletter MAFR Regulation, Compliance, Law
____
► Full Reference: M.-A. Frison-Roche (ed.), Compliance Monumental Goals, coll. "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, 2023, 528 p.
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► This book in a few words: Seize Compliance by its mind: its Monumental Goals. The notion of "monumental goals" of Compliance was proposed in 2016 by Marie-Anne Frison-Roche📎
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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📕 In parallel, a book in French Les Buts Monumentaux de la Compliance, is published in the collection "Régulations & Compliance" co-published by the Journal of Regulation & Compliance (JoRC) and Dalloz.
____
📅 This book follows a cycle of colloquia 2021 organized by the Journal of Regulation & Compliance (JoRC) and its universities partners.
____
📚 This book is inserted in this series created by Marie-Anne Frison-Roche for developing Compliance Law.
📚 read the presentations of the other books of this Compliance Series:
📘M.A. Frison-Roche (ed), Compliance Juridictionnalisation, 2022
📘M.-A. Frison-Roche (ed.), Compliance Tools, 2020
____
► go to the general presentation of this 📚Series Compliance & Regulation, conceived, founded et managed by Marie-Anne Frison-Roche, co-published par the Journal of Regulation & Compliance (JoRC) and Bruylant.
___
► General construction of the book:
The book opens with an Introduction, which proposes 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 chapters.
A first chapter is devoted to the "radioscopy" of this notion, in itself and branch of Law by branch of Law.
A second chapter aims to measure how the Monumental Goals are questioned by a crisis situation, 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 particular 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 taken into account. This is why a third chapter 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 chapter.
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 chapter has for object the relationship between the Monumental Goals of Compliance and Sovereignty.
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► Table of Content :
INTRODUCTION
🕴️M.-A. Frison-Roche, 📝Main Aspects of the Book. The Monumental Goals of Compliance Law
🕴️M.-A. Frison-Roche, 📝Compliance Monumental Goals, Beating Heart of Compliance Law
CHAPTER I. THE VERY IDEA OF MONUMENTAL GOALS, THE BEATING HEART OF COMPLIANCE LAW
🕴️R.-O. Maistre, 📝What are the Monumental Goals for the Regulator in a Rapidly Changing Audiovisual and Digital Landscape?
🕴️A.-V. Le Fur, 📝Interest and “raison d’être” of the Company: How Does It Fit Together with the Compliance Monumental Goals?
🕴️A. Le Goff, 📝Monumental Goals Perceived by the Firm: Serene Business or Business under Pressure?
🕴️J.-F. Vaquieri, 📝The “Monumental Goals of Compliance” from the Company’s Perspective – the Case of Enedis
🕴️M. Malaurie-Vignal, 📝Monumental Goals of Market Law - Reflection on the Method
🕴️C. Peicuti et 🕴️J. Beyssade,📝Feminisation of Positions of Responsibility in the Workplace as a Goal of Compliance. Example of the Banking Sector
🕴️I. Gavanon, 📝Data Protection Law in the Digital Economy Confronted to Monumental Goals
🕴️B. Petit, 📝The Monumental Goals of (European) Labour Law: a Changing System with Balances to be Consolidated
🕴️G. Beaussonie, 📝Do Criminal Law and Compliance Form a System?
🕴️Ch. Huglo,📝Under what Conditions could Climate Law Constitute a Priority Monumental Goal?
CHAPTER II. IMPLEMENTATION OF COMPLIANCE MONUMENTAL GOALS IN ARTICULATION WITH THE MAJOR PRINCIPLE OF PROPORTIONALITY
🕴️L. Rapp, 📝Compliance, Proportionality and Normativity
🕴️B. Bär-Bouyssière, 📝Proportionality and Compliance
🕴️A. Mendoza-Caminade, 📝Proportionality and Evaluation. The Example of Intellectual Property Law
🕴️L. Meziani, 📝Proportionality in Compliance, the Guarantee of Public Order in Companies
🕴️M. Segonds, 📝Compliance, Proportionality and Sanction. A French Perspective
🕴️M.-A. Frison-Roche, 📝Definition of Proportionality and Definition of Compliance Law
CHAPTER III. COMPLIANCE MONUMENTAL GOALS TESTED BY CRISIS SITUATIONS
🕴️A. Oumedjkane, A. Tehrani et P. Idoux, 📝Public Norms and Compliance in Crisis Periods: Testing Monumental Goals. A Few Thoughts
🕴️J. Bonnet, 📝The Crisis, an Opportunity to Seize Compliance as a Mode of Communication for Public Authorities
🕴️M.-A. Frison-Roche, 📝Place and Role of Companies in the Creation and Effectiveness of Compliance Law in Crisis
CHAPTER IV. EFFECTIVENESS OF COMPLIANCE MONUMENTAL GOALS AND INTERNATIONAL COMPETITIVENESS
🕴️B. Deffains, 📝Compliance and International Competitiveness
🕴️J.-Ch. Roda, 📝Compliance, Internal Investigations and International Competitiveness: What are Risks for the French Companies (in the Light of Antitrust Law)?
🕴️F. Marty, 📝The Case for Compliance Programs in International Competitiveness: A Competition Law and Economics Perspective
🕴️S. Lochmann, 📝ESG Rating Agencies and Compliance as an Effective Way of Increasing International Competitiveness
🕴️M.-A. Frison-Roche, 📝Assessment of Whistleblowing and Vigilance Obligation with regard to International Competitiveness
CHAPTER V. COMPLIANCE SUPPORTED BY MONUMENTAL GOALS, A NEW WAY FOR SOVEREIGNTY
🕴️R. Bismuth, 📝The Ambiguous Relations between Corporate Compliance and Sovereignty
🕴️L. Benzoni, 📝International Trade, Competitivity and Sovereignty: Towards a Political Economy of Compliance
🕴️S. Pottier, 📝In Favour of European Compliance, a Vehicle of Economic and Political Assertion
🕴️Ch. André, 📝State Sovereingty, Sovereingty of the People: What Social Contract for Compliance?
🕴️M.-A. Frison-Roche, 📝The Principle of Active Systemic Proximity: Corollary of the Renewal of the Principle of Sovereignty by Compliance Law
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🕴️M.A. Frison-Roche, 📝Compliance Law, 2016.
June 2, 2021
Editorial responsibilities : Direction of the serie Regulation & Compliance, JoRC and Bruylant
► Full Reference: Frison-Roche, M.-A. (ed.), Compliance Tools, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) & Bruylant, 2021.
This book in English is the first title of this collection integrally dedicated to Compliance Law, in that it is the extension of Regulation Law.
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📚 Read the titles of this series in English co-published by Bruylant.
📚 This collection in English is articulated with a collection co-published between the Journal of Regulation & Compliance and Dalloz.
📕Thus, in parallel, a book in French, Les Outils de la Compliance is published.
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📅 This book is published after a cycle of colloquiums organised by the Journal of Regulation & Compliance (JoRC) and Partners Universities.
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► General Presentation of the collective book: The political dimension of Compliance Law lies in the goals it aims to achieve. To achieve them, the concern for these goals is internalized in "crucial operators", which may be obliged to concretize "monumental goals" set by public authorities. These public bodies control the Ex Ante reorganization that this implies for these companies and sanction Ex Post the possible inadequacy of the companies, which have become transparent to this end. The effectiveness and efficiency of this internalization, without which the statement of these goals is worth nothing, is based on the Compliance tools that are deployed.
These appear to be very diverse but their substantial unity (topic which will be the subject of a forthcoming book) makes it possible to study the tools put in place from a unique perspective, by not isolating them in a particular branch of Law, Criminal law or International Law for example, but by measuring what is common to them, notably Anticipation, Trust, Commitment, Responsibility, Incentive, and so on. If the Compliance tools vary, it is rather not only according to the sectors, finance and banking appearing then as the advanced point of the general Compliance Law, for example in environmental matters, but also according to the countries and the cultures. It is in fact about them that legal cultures seem to oppose.
The book aims to understand these "tools" by going beyond the description of each instrument, for which we already have many monographs, for analyzing them through the issues of Risks, required Expertises, Training. Sovereignty claims, Incentives, mechanical aptitude of Technologies. It is through these themes that are analyzed by the authors, experts in the field, what we always want to understand better: Compliance Programs, Whistle blowing, Mapping, Sanctions, Extraterritoriality, etc.
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Read the summary of the book.
Read the foreword, summarizing all the contributions.
Présentation of the book contributions:
📝Amico, Th., Compliance or the passage from ex post to ex ante: A Copernican revolution for the criminal lawyer?
📝Banck, A., The maturity of the Compliance tool’s user, first criterion of the choice of the salient tool
📝Burlingame, Coppens R., Power, N, Lee, D.H., Anti-Corruption Compliance: Global Dimension of Enforcement and Risk Management
📝Calandri, L., Incentive(s) and Self-Regulation(s): which place for Compliance Law in the Audiovisual Sector?
📝Causse, H., Compliance Training: Through and Beyond Traditional Legal Training
📝Frison-Roche, M.-A., Describing, designing and correlating Compliance Tools to have a better use of it
📝Frison-Roche, M.-A., Building by Law the Unicity of Compliance Tools from the Definition of Compliance Law by its "Monumental Goals"
📝Frison-Roche, M.-A., Drawing up Risk Maps as an obligation and the paradox of the "Compliance risks"
📝 Frison-Roche, M.-A., Incentives and Compliance, a couple to propel
📝 Frison-Roche, M.-A., Resolving the contradiction between sanctions and incentives under the fire of Compliance Law
📝 Frison-Roche, M.-A., Rights, primary and natural Compliance tools
📝 Frison-Roche, M.-A., Training: content and container of Compliance Law
📝 Galland, M., The Regulator's Inspection of the Effectiveness of the Compliance Tools Implemented by the Company
📝 Granier, C., The Normative Originality of Compliance by Design
📝 Guillaume, N., Compliance risk mapping: first insights of challenges, limits and good practices
📝Guttierez-Crespin, A., Audit of Compliance Systems
📝 Koenigsberg, S. and Barrière, F., The Development of Attorney's Compliance Expertise
📝 Larouer, M., The Manifestation of Incentives Mechanisms in French Compliance Law
📝 Merabet, S., Morality by Design
📝 Pailler, L., Technological Tools, Compliance by Design and GDPR: the Protection of Personal Data from Design
📝 Racine, J.-B., Geographical dominance in the choice and the use of Compliance Tools. Introductory remarks
📝Rapp, L., Incentive Theory and Governance of Space Activities
📝 Roda, J.-C., Compliance by design in antitrust: between innovation and illusion
📝 Salah, M., Conception and Application of Compliance in Africa
📝 Tardieu, H., Data Sovereignty and Compliance
📝 Thouret, T., Training and Compliance, Two Correlated Information Transmission Tools