Publications [761]

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► Full Reference: M.-A. Frison-Roche, Duty of vigilance: the way forward, Working Paper, 2023.

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🎤 This working paper has been drawn up to serve as a basis for the conclusions of the colloquium Le devoir de vigilance: l'âge de la maturité? ("The duty of vigilance: the age of maturity?") organised by the University of Montpellier on 25 May 2023.

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📝 Updated and developed, it serves as the basis for the article that concludes the book Le devoir de vigilance des entreprises : l'âge de la maturité? ("The duty of vigilance: the age of maturity?"), Editions Bruylant, 2024.

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► Working Paper summary: In 2017 in France the so-called Vigilance law expressed great ambition. So did the draft directive. But in 2024 the European institutions moderated this ambition by refusing to increase either the type of companies subject and the constraints to which the duty of vigilance is associated. The directive has essentially halted what was for some the "march of progress". Does the ambition no longer exist? Does the future lie in an extension of the philosophy of the duty of vigilance, i.e. companies that should always be more concerned about others? This would undoubtedly be reaching the "age of maturity", where others see the age of madness, because it would be a contradiction in terms to ask a company to be concerned about anything other than its own development.

It is therefore appropriate to consider this very hypothesis of an "age of maturity" as being an ambition maintained despite a European directive which, in its adopted version, is weakened and while the oppositions are intact (I). First of all, it must be admitted that the notion of "maturity" most often conceals a value judgment when applied to a legal concept (I.A.) and that this is blatantly obvious with regard to the duty of vigilance, which is considered by some and by nature by some as a good and by others as an evil (I.B).

In order not to remain in what appears to be trench warfare, we must not get too bogged down in the reference French legislation of 2017 and what appears to be a European stutter in 2024, arguing so loudly that we can hear them reasoning in print, by paying attention to less visible and now more promising avenues of progress (II). In fact, the duty of vigilance can progress simply by the passage of time (II.A), by a better definition of the vocabulary (II.B), by the consolidation of the principles of Responsibility and Dialogue (II.C), by the uniqueness of the jurisdictional route (II.D).

This last perspective of the progress that will be made possible in France by the uniqueness of the judicial route leads to a final avenue of progress. By their very nature, laws are jolts, all the more violent for being disputed. At the moment, if we want to make progress, these two other sources - the contract and the judge - must be favoured (III). The European directive is rightly concerned with access to the courts and takes a measured view of the effectiveness of contracts as a means of making the duty of vigilance effective, with the courts having to ensure that the contract does not destroy the spirit of the system. This is what the law already organises about the relationship between the contract, the judge and the duty of compliance (III.A). What is new in Europe in 2024 is the introduction of a Supervisor (III.B). Here again, vigilance is the "cutting edge" of Compliance Law, as it is an extension of Regulatory Law. 

The result is that, through interpretation and the handling of principles, and to formulate a more general conclusion, it is the judge who holds and will hold the balance of the duty of vigilance.

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► Full Reference: M.-A. Frison-Roche, Compliance and conformity: distinguishing them to articulate them, Working Paper, February 2024.

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📝 this working paper was drawn up to serve as a basis for the article published in French in the Chronique MAFR -  Compliance Law, published in the Recueil Dalloz.  

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► Summary of this Working Paper: The words "conformité" and "compliance" are sometimes used interchangeably, presenting "conformité" as the translation into good legal French vocabulary of "compliance", which would come from the American system. This is not true, however, because each of these terms refers to two distinct and even opposing concepts. 

"conformity"' would require companies to show that they are actively obeying all the 'regulations' applicable to them, regardless of their content. "Compliance Law" is a new substantial branch of Law that derives its normativity from the "Monumental Goals" targeted by the political and public authorities: these monumental goals are intended to ensure that systems do not collapse in the future (Negative Monumental Goals), or even improve (Positive Monumental Goals). The systems concerned are banking, finance, energy, health, transport, digital and climate systems. The scope of Compliance Law is therefore both much more limited and more ambitious.

Distinguishing between the two allows us to put conformity back where it belongs, as a tool of Compliance Law. As such, conformity justifies the collation and correlation of information, with the algorithmic system playing a major role in this. On the other hand, the human concern that underpins Compliance Law justifies making training and the actions of in-house lawyers, attorneys and judges, central to it. The evidentiary system of Compliance that is currently being developed is based on evidentiary techniques rooted on the one hand in the tool of conformity and on the other in the culture of Compliance, which can be articulated as soon as they are no longer confused.

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► Full Reference: M.-A. Frison-Roche, Moving through Time to align Compliance with the rights of the defence, Working Paper, September 2023.

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📕This working paper has been drawn up as the second part of the book Compliance et droits de la défense (Compliance and the rights of the defence), a first section summarising this book.

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📝This Working Paper was drawn up to serve as a basis for this second section, which sets out the general way in which the rights of the defence and the compliance system can be articulated, thank to this movement of moving back in time.

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► Summary of this Working Paper: The subject of Compliance & rights of the defence is difficult to pin down because it often gives rise to totally opposing presentations, which express the initial confrontation between Compliance and rights of the defence, which seems irreducible. This initial confrontation must be acknowledged, and this is even more necessary to prevent it from becoming definitive(I)

But in a society governed by the Rule of Law, the rights of the defence are central, and the hierarchy of norms dictates that they remain the privilege of all those who risk being punished in the future. Admittedly, if we look at the course of events in a linear way, the Compliance mechanisms come in Ex Ante, whereas the rights of the defence would only be activated when the repressive procedures would later come to bear on the moral or natural person. The question would therefore not even arise, or not in a central way. But this reasoning creates a false compatibility between Compliance and the rights of the defence (II.

Indeed, it is the perspective of punishment in the future that forms the basis for the attribution of rights of the defence in the present. This consideration of the future not only allows but obliges the Law to "move in time", to always think in advance about what might happen tomorrow: this is how we must think about the Compliance methods of Internal Investigation, the DPA (or in the French legal system the Convention judiciaire d'intérêt public and the French Guilty plea procedure (CRPC) (III). As soon as these Compliance Tools are being used in practice, at the time they are being used, we must already think about how their results will be used, results which they have often been used for, because the Internal Investigation is a formidable piece of Evidence for obtaining a conviction and/or a DPA, etc. : therefore, the rights of the defence must shift over time, from the future to the present of the Information collect.

Two ambiguities that affect Compliance Law itself, ambiguities which the rights of the defence help to clarify, now appear more clearly.  The first concerns the place occupied by the consent of the person who could have been protected by the rights of defence but //who exercises his/her will to renounce them (IV). Consent, in relation to the will of which it is the expression, is also linked with the future and allows Compliance once again to take precedence over the prerogatives of the individual who chooses not to benefit from it. The omnipresence of 'consent' in Compliance is enlightening here... The second ambiguity concerns the place of secrecy (V). Secrecy seems to be the prerogative of the rights of the defence. But it can also be an effective Compliance Tool when Confidentiality enables the company to detect and prevent breaches. It may even constitute the very Monumental Goal of Compliance Law. This happens when the Goal of Compliance Law, in which legal normativity is placed, becomes the protection of the individual, as is the case for personal information. That guides the European Judge, in line with the humanism that underpins European Compliance Law, in finding the right balance, this protection and effectiveness, depending on whether the information must be given or must be not.

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► Référence complète : M.-A. Frison-Roche, "Le prolongement du Droit de la Régulation par le Droit de la Compliance : fixer les buts et superviser les entreprises", document de travail, 30 août 2023.

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🖥️Ce document de travail a été élaboré pour la conférence du 31 août 2023.

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► Full Reference: M.-A. Frison-Roche, The deployment of Regulatory Law through Compliance Law in the European project, Working Paper, July 2023.

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📝this Working Paper is the basis for the article "Le déploiement du Droit de la Régulation par le Droit de la Compliance dans le projet européen" ("The deployment of Regulatory Law through Compliance Law in the European project"), which is part of the special issue La régulation par la compliance, perspective européenne, published in French by the Revue des affaires européennes (Law and European Affairs).

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► Summary of this Working Paper: Compliance Law is neither a method of obeying regulations, nor a simple neutral method of ensuring the effectiveness of norms, nor a means of enforcement displaced from Ex Post to Ex Ante.  It is an extension of Regulatory Law and goes beyond it. Like it, it aims to build spaces according to a political project specific to an area, such as Europe. Branch of Law looking to the future as Regulatory Law does, it constructs and maintains, in a systemic way, sustainable, albeit unstable, balances to achieve the 'Monumental Goals' in which its normativity resides: : security, sustainability, probity, truth, and dignity. By internalising these Monumental Goals in the companies in a position to achieve them, the "crucial companies", Compliance Law preserves the logic of Regulatory Law, offering it a prodigious expansion since it frees it from the condition of a sector and territorial borders, which seemed tautological, by associating private powers and public will, which remains primary. In this way, Compliance can regulate the digital space and climate issue through political choices made by a sovereign Europe.

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► Full Reference: M.-A. Frison-Roche, Conditions required to promote the "contractualisation" of the Law, Working Paper, June 2023.

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🎤This Working Paper has been done as a basis for the closing conference of the colloquia La contractualisation du droit. Acte II, organised by the Société de législation comparée (SLC) and the Procuradoria Geral do Estado do Rio de Janeiro (PGE-RJ), on 19, 20 and 21 June 2023.

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📝It is also the basis of the article that will be published.

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► English Summary of the Working Paper : 

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► Full reference: M.-A. Frison-Roche, Use of private companies by Compliance Law to serve Human Rights, Working Paper, May 2023.

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This Working Paper is the basis of:

🎤a conference done in French in Toulouse on June 16, 2023

📝an article previously written before and for this conference, and subsequently published in the book Puissances privées et droits de l'homme ("Private Powers and Human Rights")

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

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

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► Full Reference: M.-A. Frison-Roche, The role of the Judge in the deployment of Regulatory Law through Compliance Law, Working Paper, April  2023.

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🎤 This working paper was drawn up to serve as the basis for the concluding summary session of the colloquium organised by the Conseil d'Etat (French Administrative Supreme Court) and the Cour de cassation (French Judicial Supreme Court), De la régulation à la compliance: quel rôle pour le juge? ("From Regulation to Compliance: what role for the Judge?") held on 2 June 2023 at the Conseil d'Etat. 

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📝 This working paper also served as the basis for the article that concludes the book De la régulation à la compliance : quel rôle pour le juge, published by the La Documentation Française, 2024.

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► Working Paper Summary: It is remarkable to note the unity of conception and practice between professionals who tend to work in administrative jurisdictions and professionals who tend to work in judicial jurisdictions: they all note, in similar terms, an essential movement: what Regulatory Law is, how it has been transformed into Compliance Law, and how in one and even more so in the other the Judge is at the centre of it. Judges, as well as regulators and European officials, explain this and use different examples to illustrate the profound transformation this has brought about for the law and for the companies responsible for increasing the systemic effectiveness of the rules through the practice and dissemination of a culture of compliance. The role of the judge participating in this Ex Ante transformation is renewed, whether he is a public law judge or a private law judge, in a greater unity of the legal system.

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► Full Reference: M.-A. Frison-Roche,The role of the Judge in the deployment of Regulatory Law in Compliance Law, Working Paper, June 2023. 

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🎤 this Working Paper has been elaborated to be the basis of the final speech in the colloque coorganised by the Conseil d'Etat (French Administrative Supreme Court) and the Cour de Cassation (French Judicial Supreme Court), De la Régulation à la Compliance: quel rôle pour le juge ?, the 2nd Juin 2023

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📝 It is also the basis for the article written in French that concludes the dossier published in La documentation française following the conference.

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► Summary of this Working Paper: The role of the Judge, a character who seems weak in Compliance Law, this branch of Law so powerful in a world where technology is developing an even more impressive power, could be to put the strength that is proper to him to continue to do: namely to be the guardian of the Rule of Law, which is not so obviously present because many of Compliance tools are in a way "insensitive" to what we are attached to (I).  The second role that we can expect of the Judge is that he should help to ensure the permanence of this Rule of Law, which relies to a large extent on him, in the face of a world that is opening up before us, which is unknown (mainly digital and climatic), and which Compliance Law wishes to grasp by renewing Regulatory Law (II). In what implies both a profound maintenance of a Judge that one would like to exclude by various agreements or replace by algorithms, and a profound transformation of an office turned towards the future (III), .... (IV).

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► Full reference: M.A. Frison-Roche, Vigilance, a piece of the European puzzle, Working Paper, March 2023.

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🎤This Working Paper has been done as was made the  conclusion of the colloquiul La société vigilante ("Vigilant Company") at the Aix-Marseille University on March 24, 2023 (conference given in French) 

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📝It is also the basis of the article that introduces a special issue on La société vigilante

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► Summary of this Working Paper: The contributions form a contrasted whole. It should not be concluded that some of them are correct and others false: through the reading that each one makes of the so-called French 2017 "Vigilance law," it is a vision of the world as it should be that each author proposes. Because Compliance Law, which Vigilance is a part, claims to draw the future, it is normal that each author should draw the present Law with a hand that bends in one direction or the other, following their conception of the future world. The whole contributions must be seen as a dialogue.

A lively dialogue, with this French 2017 law receiving a lot of "glory" and a lot of "indignity" on both sides, from which it is necessary to emerge in order to find solutions, because it is a fundamental movement of which this law is only a gateway (I).  Whatever one thinks of it, it is all the branches of law that are used, affected, and transformed by Vigilance (II). To master this profound transformation, we must turn to Europe, to the great puzzle of texts recently adopted or in the process of being adopted in the European Union, of which Vigilance is the hallmark (III).

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► Full reference: M.A. Frison-Roche, Thinking and using Vigilance through its Compliance Monumental Goals, Working Paper, March 2023.

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🎤 This Working Paper has been done as basis for the  introduction of the colloquia La société vigilante ("Vigilant Company") at the Aix-Marseille University on March 24, 2023 (conference given in French) 

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📝It is also the basis of the article that introduces a special issue on La société vigilante

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► Summary of the Working Paper: The concept of "Vigilance" is difficult to define. Probably because even as it is becoming a standard, it has just entered the legal systems. And what a splash it is! To understand it, it must not be isolated. Neither in the only French law attracting all the attention, all the fears, all the hopes, the so-called Loi Vigilance ("Vigilance Law"), nor in the only technical mechanisms that make Vigilance a reality.

Vigilance is itself only a part of a deeper movement, of which it is the advanced point, allowing us to anticipate the evolution of the whole: Compliance Law.

In this light and for not getting lost in it, because the stakes are so high that one quickly loses the measure of things, with each party lashing out at the others, so Vigilance, the key element of Compliance, requires above all alliances,  that we can first examine the entry of Vigilance into the legal system and then understand it through the Monumental Goals which give the measure of it, i.e. both the scope and the limit, each one having to act within the margins that are theirs, States, companies, stakeholders, and judges.

A Will for tomorrow can then emerge today, carried by Europe.

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► Full Reference: M.-A. Frison-Roche, Laws, Compliance, Contracts, and Judges: places and alliances, Working Paper, March 2023.

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📝this working paper is the basis for an article published in French (click HERE) in the 📚chronique of Compliance Law held in the Recueil Dalloz.

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📚Read the other articles published by this Compliance Law Chronicle. open since 2018.

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►Summary of this Working Paper: To understand the functioning of compliance systems in the articulation of the legal actors and the legal instruments used, whatever the technical sector considered, it is necessary to put the "law", the "contract" and the "judge" back into the perspective of legitimacy and efficiency regarding what Compliance is. 

At the very least, it is a 'conformity' mechanism. In this process of simple obedience, legislators, economic operators, and judges find themselves in the position of having to obey the law in a hierarchical conception.

In a more dynamic and ambitious conception, when Compliance Law is not reduced to a more astute method of obedience but draws substantial normativity from the Monumental Goals pursued, legislators and operators enter an alliance. The contract becomes a major instrument, and the Judge becomes a major actor, no longer to punish the non-obedient but to facilitate the links to help a sustainable system. 

Faced with issues such as digital, climatic, and technological challenges, where we are each so weak and isolated, we must not limit our conception and practices to the instrument of conformity but choose the substantial Compliance Law, i.e. the alliance of forces, which puts forward the contract and renews the office of the judge, with the Public Authorities remaining legitimate in setting the Monumental Goals since they commit the future of the social group.

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► Référence générale : Frison-Roche, M.-A. Les grands cas juridictionnellement résolus par le Droit de la compliance, document de travail, janvier 2023.

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🎤 Ce document de travail a été élaboré pour servir de base à une intervention sur ce thème, prenant place dans la formation de deux jours conçus par François Ancel et Marie-Anne Frison-Roche sur Le Droit de la Compliance pour l'Ecole nationale de la Magistrature, les 2 et 3 février 2023. 

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► Résumé du document de travail : Le

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► Full reference: M.A. Frison-Roche, Regulatory and Compliance Law, expression of the missions of a professional Order, Working Paper, July 2022.

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🎤 This Working Paper has been done as basis for an intervention in the Annual Congress of the French Professional Order of the Géomètres-Experts, September 15, 2022 (conference given in French) 

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🎥watch the short presentation of this speech (in French) 

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🎥watch the full speech given on 15 September 2022, based on this working paper

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► Summary of the Working Paper: Professional orders should not present themselves as exceptions, however legitimate they may be, in relation to a principle, which would be the competitive system, but as the expression of a principle. This principle is expressed by two branches of Law whose importance is constantly growing in European Law, liberal branches which are based on the conception of economic life and the definition of company, turned towards the future: the Regulatory Law and Compliance Law, two branches of Law at the same time related and distinct.

Indeed, and this is the topic of the first part, Competition Law conceives professional orders as exceptions since these "corporations" constitute structural agreements. French domestic legal system both consolidates the professional orders by backing them up to the State, which would sub-delegate its powers to them, but involves them in the questioning by the European Union of the States and their tools. Most often the temptation is then to recall with a kind of nostalgia the times when the professional orders were the principle but, except to ask for a restoration, the time would be no more.

A more dynamic approach is possible, in accordance with the more general evolution of Economic Law. Indeed, the Professional Order is the expression of a profession, a little-exploited concept in Economic Law, over which the Order exercises the function of "Second-level Regulator", the public authorities exercising the function of "First-level Regulator". The Banking and Financial Regulatory Law is built in this way and operates thank to that, at national, European, and global level. This is what should be linked.

The Professional Orders therefore have the primary function of spreading a "Culture of Compliance" among the professionals they supervise and beyond them (clients and stakeholders). This culture of Compliance is developed regarding the missions which are concretized by the professionals themselves.

Therefore, the second part of the Working Paper deals with the legal evolution of the notion of "Mission" which has become central in Economic and General Law, through the technique of the mission-based company. However, there are multiple points of contact between the raison d'être, the company with a mission and Compliance Law as soon as the latter is defined by the concrete and overly ambitious goals that it pursues. : the Monumental Goals.

Each structure, for example the French Ordre des Géomètres-Experts, is legitimate to set the Monumental Goal that it pursues and that it inculcates, in particular the conception of territory and the living environment, joining what unites all the Monumental Goals of Compliance: concern for others. The French Ordre des Géomètres-Experts, is adequate because it has a more flexible relationship, both tighter and broader, with the territory than the State itself.

By instilling this in professionals, the Professional Order develops in the practitioner an "ex ante responsibility", which is a pillar of Compliance Law, constituting both a charge and a power that the practitioner exercises, and of which the Professional Order must be the supervisor.

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► Référence complète : M.-A. Frison-Roche, Le juge, tiers régulateur des obligations contractuelles de compliance, document de travail, octobre 2022.

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🎤 ce document de travail a été élaboré pour servir de base à une conférence, prononcée le 18 novembre 2022 à l'Université de Nîmes.

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📝Il sert aussi de base pour un article qui sera publié dans un ouvrage, publié dans sa version française dans l'ouvrage 📕L'obligation de Compliance, dans la collection 📚Régulations & Compliance et dans sa version anglaise dans l'ouvrage 📘Compliance Obligation, dans la collection 📚Compliance & Regulation

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► Résumé du document de travail  : 

🔓Lire les développements ci-dessous ⤵️

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

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

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

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► Full Reference: M.-A. Frison-Roche, The judge, the obligation of compliance and the company. The probationary compliance system, Working Paper, August 2022.

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📝this Working paper had been made for an article: 

📕 published in its French version ("Le juge, l'obligation de compliance et l'entreprise. Le système probatoire de la compliance") in the book La juridictionnalisation de la Compliance, in the series 📚Régulations & Compliance

 📘published in tis English version in the book Compliance Jurisdictionalisation, in the series 📚Compliance & Regulation

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► Summary of this Working Paper: To articulate the probationary system of compliance, it should first be admitted that Evidence is a general system, built on a "probationary square" functioning whatever the situation, and that it seems that Compliance Law rejects it, being incompatible with major probative principles, as soon as Compliance is defined as the obligation that companies would have to show (which is evidence) their respect for all the regulations applicable to them.

But fortunately, Compliance does not have to receive this definition. Compliance Law consists of all the principles, institutions, rules, and decisions which, in an alliance between public authorities and crucial companies, tend in a substantial way to the achievement of Monumental Goals. A branch of Ex Ante Law that protects systems and the human beings involved in them, Compliance Law aims to detect and prevent so that in the future systems will be less harmful than they would be if we do nothing, even will be better.

From this required action of companies, which requires the establishment of structures and series of behaviors, a specific probationary system emerges. It is composed firstly of specific proof objects, constituted on the one hand by the structures and on the other hand by the behaviors. Secondly, the specificity of compliance, often denounced, lies in the burden of proof, the burden of which rests on the company, but it is necessary to analyze the interference with the other branches of law, which compliance cannot have destroyed. . Thirdly, the scope of the probative issues is such that the means of proof have multiplied, according to the triptych of the effectiveness, efficiency and effectiveness expected of the compliance system itself regarding the Monumental Goals (and not the regulations). Fourthly, because Compliance Law is a branch of Ex Ante Law and the Judge is nevertheless at the center, it is logical that all efforts focus on the pre-constitution of evidence.

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► Full Reference: Frison-Roche, M.-A. Compliance, Artificial Intelligence and Business Management: the right measure, Working Paper, June 2022. 

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► Summary of the Working Paper: Of the next European Regulation on artificial intelligence, the European Commission has a quite neutral conception of AI for obtaining a consensus between the Member States, while the Regulators and certain States have a more substantial conception of technology, wanting its power to be used to protect people, firstly from these new tools themselves, secondly from what is an amplification of the evils of the classic world, such as hate or misinformation. This is the reflection of two conceptions of Compliance.

Firstly, Compliance can be defined as neutral processes that increase the effectiveness of what would be the obligation for companies or their desire for efficient risk management (in particular the consideration of "legal risks") to prove being "conform" to all regulations that are applicable to itself and all persons to whom the firm is accountable. This is often referred to as the "compliance obligation" or "obligation of conformity".

This conception implies considerable practical consequences for the company which, in order to succeed in this "total exploit", would then have to resort to artificial intelligence tools constituting a "total and infallible solution", which mechanically generate for it the obligation to "know " all the "regulatory mass", to detect all "non-compliances", to conceive its relationship to the Law in terms of "risk of non-compliance", fully supported by Compliance by Design which could, without human intervention , eliminate legal risk and ensure "compliance total efficiency" in Ex Ante.

The "legal price" of this technological dream is extremely high because all the "regulatory" requirements will then be transformed into obligations of result, any failure generating liability. The Compliance probationary system will become overwhelming for the company, both in terms of burden of proof, means of proof, and transfers, without exemption from proof. Objective responsibilities for others will multiply. The "law of conformity" will multiply Ex Ante systemic penalties, the border with criminal law being less and less preserved.

It is essential to avoid this, both for businesses and for the Rule of Law. For this, we must use Artificial Intelligence to its proper extent: it may constitute a "massive aid", without ever claiming to be a total and infallible solution, because it is the human who must be at the center of the compliance system functioning thank to the firms and not the machinery.

For this, it is necessary to adopt a substantial conception of Compliance Law (and not a sort of Conformity Law or Obedience Law). It does not at all cover all the applicable regulations and it is not at all "neutral", being in no way a series of processes. This new branch of Law is substantially built on Monumental Goals. These are either of a negative nature (preventing a systemic crisis from happening, in many but specific perspectives: banking, financial, health, climate, etc.), or of a positive nature (building a better balance, in particular between human beings, in the company and beyond).

In this conception which appears increasingly strongly, artificial intelligence finds its place, more modest. As Compliance Law is based on information, Artificial Intelligence is essential to capture it and make first connections, first stages for successive analyses, done by human beings, making what is essential: the commitment of the company, both by the leaders and by all those who are "embarked" by a "culture of Compliance" which is at both built and common.

This restores the required seal between Criminal Law and what can be asked of the mechanical use of Artificial Intelligence; this puts the obligation of means back as a principle. This restores the principal place to the lawyer and the compliance officer, so that the culture of compliance is articulated with the specificities of a sector and the identity of the company itself. Indeed, the culture of compliance being inseparable from a culture of values, Compliance by design requires a dual technique, both mathematical and legal culture. It is why European Compliance Law, because it is rooted in the European humanist tradition, is a model.

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

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

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

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

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

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► Summary of the Working Paper: xx

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

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

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

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

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

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

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

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

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

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

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

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► Full Reference: M.-A. Frison-Roche, Compliance Law and Climate. To prevent Climate Risk and build Climate Balance, January 2022.

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🎤 In its French version, this Working Paper had been written for a speech  for  the colloquium held under the scientific direction of Marta Torre-Schaub, Béatrice Lormeteau, & Anne Stevignon, Les risques climatiques à l’épreuve du droit Comment le droit fait-il face aux nouveaux risques engendrés par la crise climatique ? , at the University Panthéon-Sorbonne (Paris I), Amphithéâtre Liard, on March 17, 2022.

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📝it is also the basis of an article : "Droit de la compliance et climat. Pour prévenir le risque et construire l'équilibre climatiques" ("Compliance Law and climate. Prevent the climate risk and build the climate balance")

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

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

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

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

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► Référence complète : M.-A. Frison-Roche, Concevoir le pouvoir, document de travail, décembre 2021

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📝 ce document de travail sert de base à un article à paraître dans les Mélanges élaborés en hommage à Emmanuel Gaillard. 

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► Résumé du document de travail : En 1985, l'œuvre d'Emmanuel Gaillard sortit sous le titre Le pouvoir en droit privé 📎!footnote-2418, mais lors de sa soutenance en 1981, sa thèse dirigée par le Doyen Cornu avait pour titre La notion de pouvoir en droit privé 📎!footnote-2419.

Redonnons pleine force au titre originel du travail de thèse.  

La suppression du terme notion suppose peut-être qu'en définissant quelque chose l'essentiel est fait, qu'il y aurait comme un pléonasme en visant La notion de pouvoir et Le pouvoir, le Droit aimant faire économie de mots.  

Mais c'est bien une conception renouvelée, plus simple et plus puissante de la notion de pouvoir, contenant ainsi tout le régime nécessairement imputé, que cet ouvrage imposa, éclairant désormais le droit positif. Tandis qu'à l'inverse la définition qu'en offrit Emmanuel Gaillard excède le Droit privé. L'on aurait volontiers plaidé pour conserver l'exergue du terme Notion, proposant plutôt de se libérer de la mention du seul droit privé ....

Peut-être était-ce parce que la notion est immense que dans cette recherche fondatrice son emprise fut restreinte au droit privé, l'auteur devant déjà rendre compte de la lourde multiplicité des manifestations dans cette partie-là du Droit ; ou bien était-ce parce que la notion de "pouvoir" étant si familière au Droit public qu'elle aurait eu dans celui-ci moins besoin de définition (d'ailleurs si diversement proposée dans cette zone plus politique, qui veille déjà par principe à distinguer les pouvoirs, ceux-ci devant toujours être pluriels afin d'être séparés), et qu'il était donc raisonnable de vouloir parvenir à une seule notion de pouvoir dans ce Droit privé où le droit subjectif est plus familier. 

Pourtant la définition élaborée par Emmanuel Gaillard de la notion de pouvoir comme ce qui est une prérogative remise, par la loi ou le contrat, entre les mains de celui qui en est investi au bénéfice, au moins partiel, d'autrui, rend compte aussi bien du Droit public que du Droit privé. Cela participe même à la solidité de cette thèse et explique sa prospérité aujourd'hui dans un Droit où la distinction entre le Droit privé et le Droit public s'affaiblit.

La puissance de cette définition tient à sa simplicité. Les esprits simples et braves sont souvent les plus fructueux. Comme le souligne Gérard Cornu dans sa préface, l'auteur, notamment parce qu'il s'appuie davantage sur du droit positif, par exemple celui relatif aux pouvoirs des mandataires sociaux, ne s'abîme pas dans des discussions entre des auteurs pour finir par préférer plutôt l'un que l'autre. Il arrive à une définition proche de celle de notre expérience quotidienne : celle que nous connaissons lorsque nous retirons un pli pour autrui et que le préposé nous demande à quel titre nous prétendons faire cet acte en son nom. Nous lui montrons alors notre "pouvoir", cette puissance juridique de le faire pour le bénéfice de celui auquel est adressé le courrier et pouvons ainsi exercer la puissance de retirer la missive, pourtant personnelle. Quand le sens juridique et le sens commun se rejoignent, c'est de bon augure, non seulement sur la forme parce que chacun peut le comprendre et que le Droit doit rester chose compréhensible mais encore sur le fond parce que chacun doit pouvoir contrôler l'exercice d'un pouvoir qui se concrétise pour et sur autrui. Car cette lettre qui s'adresse à autrui, celui qui a pu la prendre par le pouvoir qui lui en a été conféré, pourrait ainsi aussi bien la décacheter et la lire puis la détruire ou la donner au pire ennemi de celui auquel elle était adressée. Dans le pouvoir, il y a toujours la puissance, et le danger pour autrui que celle-ci contient. 

Cette définition très juridique de ce qu'est le pouvoir met à distance non seulement le titulaire de son propre intérêt mais encore cela canalise la puissance qui lui est ainsi accordée vers celui qui en bénéficie. En cela, non seulement Emmanuel Gaillard distingua le pouvoir et le droit subjectif, mais il cerna le juste volume de puissance requis pour que ce pouvoir remplisse effectivement cette "mission", à travers la notion d'abus de pouvoir, lorsque le titulaire utilise pour d'autres bénéficiaires cette puissance qui ne lui fut conférée que pour cela.

Plus encore, cette conception permet de distinguer le pouvoir de la force discrétionnaire, car le titulaire du pouvoir exerce de ce fait une puissance, en agissant pour autrui, en décidant pour autrui, en décidant sur autrui. Parce que le pouvoir est indissociable de la puissance mais que la puissance doit rester le moyen du pouvoir et pas davantage, le Droit va produire les anticorps que sont non seulement la théorie de l'abus de pouvoir mais encore une responsabilité si forte que des comptes doivent toujours être rendus, soit à cet autrui pour lequel tout est fait soit devant un tiers. Car ce troisième est souvent là et dès le départ, le juge des tutelles par exemple : car le pouvoir fut mis en place en raison de la faiblesse du bénéficiaire, en lui-même et par la situation, il faut donc un tiers, impartial et désintéressé pour, dès le départ, veiller à la bonne exécution, sans même qu'il y ait litige. En cela, comme cette thèse est utile pour penser ce qu'est aujourd'hui la Supervision !  

Cette thèse si nette, si simple et si forte dépasse le droit civil. Elle est à la fois beaucoup plus restrictive que la définition plus factuelle et politique de ce qu'est le pouvoir, qui serait la possibilité de faire quelque chose, et beaucoup plus ample que les définitions usuelles puisqu'elle embrasse et légitime de jure toutes les situations où une personne va agir juridiquement pour le bénéfice d'autrui.  Le Doyen Cornu montre d'ailleurs en deux phrases qu'une telle notion de pouvoir restitue aussi bien l'office du juge, qui n'a de pouvoir sur autrui que pour le servir 📎!footnote-2420. La définition correspond à la mission de celui qui n'a de puissance que pour remplir son office. Cela convient si bien à la conception que nous avons aujourd'hui de l'administration, surtout si elle prend la forme d'autorités indépendantes.

Plus encore le pouvoir contient ainsi dans sa définition même sa propre limite, puisqu'autrui y est présent : le titulaire n'a de puissance que pour servir autrui. Dès lors, ce n'est une puissance que parce que c'est une sorte de charge. Emmanuel Gaillard utilise immédiatement le terme : "Un individu se voit confier une charge qu'il exerce dans un intérêt au moins partiellement distinct du sien propre" 📎!footnote-2422. Il se réfère d'ailleurs souvent au tuteur, dont Carbonnier, qui en réforma le Droit en la matière 📎!footnote-2456, souligna que pèse sur lui une charge publique puisque l'État lui confie un enfant. De la même façon l'autorité parentale est une charge des parents au bénéfice des enfants. D'une façon plus générale, le pouvoir est une charge que le Droit fait peser sur une personne afin qu'elle satisfasse les intérêts d'un autre.

Cette définition offerte par Emmanuel Gaillard en 1981, ancrée dans le Droit civil qu'en ce que celui-ci est le Droit commun des systèmes juridiques, est prémonitoire du Droit de la Régulation et de la Compliance, tel qu'il se déploie aujourd'hui. Il suffirait de continuer les phrases, comme si elles avaient été à demi-écrites, pour les finir 40 ans plus tard et y trouver les mécanismes de Supervision des autorités publiques sur les entreprises qui sont désormais en place non pas pour réduire leur pouvoir mais pour s'assurer en permanence qu'elles l'exercent bien au bénéfice d'autrui 📎!footnote-2457. Toute l'évolution du Droit des sociétés, du Droit financier est là. L'on voit aussi entre les lignes de l'ouvrage qui développe la notion de devoir 📎!footnote-2421, ce que le droit positif élabore aujourd'hui à travers notamment le "devoir de vigilance", cette charge personnelle au bénéfice d'autrui (I).

La définition du pouvoir ainsi conçu contient en elle-même son régime et permet de mieux l'anticiper aujourd'hui : parce que le titulaire n'exerce le pouvoir que pour autrui,  au moins partiellement, il doit consubstantiellement en rendre compte, la responsabilité, n'étant qu'une forme de cette accountability ; parce que ce service doit être effectif et qu'autrui doit en bénéficier pleinement, car contrairement au droit subjectif qui permet au titulaire de librement de ne pas user de sa puissance, le pouvoir n'a jamais été la "plus absolue" disponibilité d'user de sa puissance : il est même l'inverse. Il est l'expression d'une puissance affectée à un but, contraignant le titulaire à utiliser sa puissance à cette fin.  Mais il faut pareillement que ce titulaire ait toute la puissance pour le faire, car sinon la notion même de "pouvoir" n'a plus de sens. C'est la définition qu'il convient de donner au principe de proportionnalité : celui sur lequel pèse le pouvoir doit avoir plus de puissance qu'il n'est nécessaire mais toute la puissance nécessaire pour atteindre le but pour lequel ce pouvoir lui a été remis afin qu'autrui en tire plein bénéfice (II). 

Dans le droit positif d'aujourd'hui, l'on retrouve la définition du pouvoir comme un devoir, non seulement en Droit privé mais encore en Droit public, notamment parce que les puissances pures, c'est-à-dire ne rendant pas compte de l'usage de leur puissance, régressent tandis que le souci d'autrui s'accroît. Le temps des pouvoirs discrétionnaires est révolu, l'indépendance accrue de ceux qui exercent du pouvoir sur autrui exigeant qu'ils rendent des comptes. Au-delà de cette reddition des comptes, la responsabilité personnelle de celui qui a le pouvoir de servir autrui est en train de se mettre en place. Mais, sans doute parce que le Droit est lent à se mouvoir, l'idée corrélative comme quoi le titulaire du pouvoir doit avoir toute la puissance requise pour mener à bien sa mission est quant à elle moins ancrée :  le Droit n'a donc fait qu'une partie du chemin en sanctionnant les excès du pouvoir, comme le montra Emmanuel Gaillard, quand le titulaire utilise sa puissance à d'autres fins,  mais n'a pas encore clairement posé que le titulaire - parfois forcé - d'un pouvoir est légitime à  utiliser tous  les moyens requis pour atteindre le résultat pour lequel un pouvoir, c'est-à-dire une charge et un devoir, lui a été conféré.  

Sans doute faut-il lire une nouvelle fois la thèse d'Emmanuel Gaillard dans toutes ses potentialités, pour en imaginer la lecture que nous pourrions aujourd'hui faire de ce qu'il aurait pu écrire comme sur des pages blanches qui s'écriraient toutes seules, une thèse magique où tout est déjà là, une thèse si courte (250 pages) et si belle, si dense qu'elle contient déjà le Droit qui vient. Droit de l'Avenir 📎!footnote-2458 où il y doit y avoir beaucoup plus de responsabilité au bénéfice d'autrui📎!footnote-2423 et de pouvoirs puisque cette notion inclut autrui qui en est le bénéficiaire. Droit de l'Avenir où Emmanuel Gaillard sera présent, notamment grâce à ce travail de doctrine offert en 1981.  Pour que, concrètement ceux que l'on charge de veiller sur autrui, par exemple aujourd'hui toutes les entreprises contraintes par le Droit de la Compliance de veiller sur autrui afin que celui-ci ne soit pas anéanti par la haine dans l'espace numérique, par la corruption dans le système économique ou par le changement climatique dans un futur projeté, ne se voient pas contester par le même Droit les moyens d'exercer au profit d'autrui ce pouvoir, par exemple lorsque cela implique de "juger". Puisque le doyen Cornu lui-même soulignait l'identité des deux offices.

Lire les développement ci-dessous⤵

► Référence complète : Frison-Roche, M.-A., Compétitivité des mécanismes d'alertes et des obligations de vigilance, document de travail, juillet 2021.

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🎤 ce document de travail sert de base à une conférence, dans le colloque Effectivité de la Compliance et Compétitivité internationale, coorganisé par le Journal of Regulation & Compliance (JoRC) et le Laboratoire d'économie du droit de l'Université Panthéon-Assas), se tenant le 4 novembre 2021, Salle des Conseils, Université Panthéon-Assas (Paris II). 

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📝Ce document de travail constitue aussi la base d'un article. Cet article sera publié ⤵

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

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

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► Résumé du document de travail : Les "outils de la compliance" sont très divers. S'il a été choisi de traiter plus particulièrement parmi ceux-ci l'obligation de vigilance et le lanceur d'alerte, ceux-là plutôt que d'autres et de les réunir, c'est parce qu'ils présentent au regard du sujet spécifique choisi, à savoir "la compétitivité internationale", et celle des entreprises, et celle de la zone économique considérée, et du système juridique indissociable de celle-ci, une unité : ce sont des mécanismes qui font sortir de l'information. 

Sur ordre de la Loi, l'entreprise va non seulement cesser d'ignorer ce qu'elle recouvrait du mouchoir que Tartuffe le tendait ou qu'une conception du Droit des sociétés lui permettait légitimement d'ignorer. Il ne s'agit pas ici d'examiner si cette révolution que le Droit de la Compliance exprime dans le système juridique est d'une part légitime et d'autre part effective, mais d'essayer de mesurer ce qu'il en est au regard de la "Compétitivité internationale".

Le Droit de la Compliance sera donc ici examiné à travers ses instruments (et non par rapport à sa normativité, laquelle réside dans ses "Buts Monumentaux"). Or, ses instruments ont pour objet l'information et la mise à disposition de cette information, dans sa présentation, dans son intelligibilité et surtout dans les mains de ceux qui sont aptes à en faire "bon usage" pour que les Buts du Droit de la Compliance soient atteints.

Au regard de cette notion centrale qu'est l'information,la compétitivité internationale va être plus particulièrement concernée parce que le Droit de la Compliance va obliger l'entreprise à aller elle-même rechercher, puis exposer au regard de tous, notamment de ses concurrents, ses faiblesses, ses projets, ses alliances, ses failles. Cela ne pose pas de difficulté si ses compétiteurs sont eux-mêmes souvent à cette nouvelle loi, qui va bien au-delà de la transparence, laquelle est déjà un mécanisme nouveau car une entreprise n'est pas une organisation transparente et le Droit de la concurrence qui régit les entreprises ordinaires n'a jamais exigé cela, régit également les compétiteurs. Mais si ceux-ci ne sont pas soumis à cette loi si particulière qu'est le Droit de la Compliance, alors il y a distorsion de compétitivité du fait même du Droit. 

Certes, l'on peut dire que les marchés aiment la vertu, qu'ils lui accordent crédit car ils sont eux-mêmes basés sur l'idée de "promesse", laquelle repose ultimement sur un concept moral, mais cette mise à disposition d'informations multiples à autrui, lequel autrui demeure opaque est un problème majeur de compétitivité, que le concept de "loyauté des pratiques commerciale" ne prend que très partiellement en charte.

C'est pourquoi il convient d'examiner tout d'abord ce qu'il en est de la puissance économique et financière de l'information captée par l'entreprise sur elle-même que le Droit de la Compliance peut rendre disponible à tous, ce qui produit une asymétrie de puissance à laquelle le Droit de la Compliance ne semble pas avoir encore répondu (I). Mais le Droit de la Compliance oblige aussi les entreprises à rendre compte non seulement à ce qu'elles font mais encore à ce que font les autres pour elles. A travers l'obligation de vigilance, obligation objective et Ex Ante, à laquelle s'arrive le pouvoir du lanceur d'alerte, l'entreprise obtient un pouvoir d'information sur autrui qui pourrait bien résoudre ce qui est souvent présentée comme la dispute aporétique de l'extraterritorialité du Droit de la Compliance, rendant alors comptable les entreprises jusqu'ici protégées par leur système juridique "préservé" et atteint de ce fait par l'effectivité du Droit de la Compliance (II).  

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

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

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

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

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

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

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

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

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

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

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

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

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

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 ► Référence Full R complète : Frison-Roche, M.-A., L'appui du Droit de la Compliance pour la maîtrise quotidienne du Droit de la Concurrence, document de travail, octobre 2021.

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► This Working paper is the basis  document de travail a été élaboré pour servir de base à une contribution aux Mélanges offerts à Laurence Idot.

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► Working Paper Summary: Competition Law has become so huge and just "regulations" that one would give up trying to understand it as a whole, preferring to become a specialist in one of its parts. This would be to lose sight of the simple and strong reason which unites the whole and gives it its breath: Freedom. Freedom experienced by the person in his daily economic action, Freedom kept by Competition Law, always returning to its principle: Free Competition. This is why the European Union places a so great emphasis on Competition. To build it and keep it effective, "Competition Policy" is articulated with Competition Law, but if authorities and judges do not blame companies for their power, they do not rely on it. To do this, they must then be supported by Compliance Law, which strongly encourages companies to act for the effectiveness and the promotion of Competition principles. Competition Law thus slips from the Ex Post to the Ex Ante, with the commitments of companies leading them to stop being passive and punished in order to become convinced players and educators of the others. Something pleasant for a great professor of Competition Law, to whom tribute is paid here.

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Lire le document de travail ci-dessous⤵