Chronicles MAFR - Compliance Law [6]

Sept. 24, 2020

Publications : Chronicles MAFR - Compliance Law

Référence complète : Frison-Roche, M.-A., L'aventure de la Compliance, in Chroniques Droit de la Compliance, Recueil Dalloz, 24 septembre 2020. 

Consulter le document de travail sur lequel cet article s'appuie. 

Sept. 24, 2020

Publications : Chronicles MAFR - Compliance Law

Full Reference: Frison-Roche, M.-A., L'aventure du Droit de la Compliance ("The Adventure of Compliance Law"), Chronique de Droit de la Compliance ("Chronicles MAFR - Compliance Law"), Recueil Dalloz, September 24, 2020.

Read the Chronicle (in French)

This Chronicle of Compliance Law is based on a bilingual working document with additional developments, technical references and hypertext links.

Read the Working Paper (written in English).

Read the  document de travail (written in French)

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Chronicle Summary:

Compliance Law is an "adventure" in that it is a new branch of Law, anchored in Regulatory Law, which has freed itself from it while retaining the major principles to which it gives a new breath.

In the same way that I entered Sciences Po in 2000 to create a Master de Droit économique centered around Regulation Law, this new branch of Law, a Forum de la Régulation and a Chaire Régulation, now "20 ans après" and as in any adventure, the objective is to give solid, coherent and substantial bases to this Compliance Law which is practiced intensely without being fully conceived.

Compliance should not be reduced to a procedure of effectiveness and efficiency of other rules, such as Competition Law or Criminal Law, a sort of enforcement process going from the Ex Post to the Ex Ante, because that would be both too little (simply processes) and too much (the power of Compliance Law in the service of all rules, the violence of Compliance being able to serve in very violent Substantial Law itself, which one can observe in some legal systems).

It is necessary to anchor all this new branch of Law in goals, this Law being teleological in nature as is the Law of Regulation. These goals are "monumental", by which the public authorities express still, and more now than in the past, "pretensions", such as the protection of the environment or of people even if they are distant from the territory on which they have traditionally taken.

All these "monumental goals" converge towards a goal that encompasses them all: the protection of the person, which justifies the unusual power of legal Compliance mechanisms and the new relationship between States and "crucial operators". In this, Europe is exemplary of what could be this new branch of Law of which it bears the model.

 

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Dec. 19, 2019

Publications : Chronicles MAFR - Compliance Law

Complete reference : Frison-Roche, M.-A., Legal Theory of Risk Mapping, center of Compliance Law, 2019. 

This is an English translation of an article published in French, Théorie juridique de la cartographie des risques, centre du Droit de la Compliance, Recueil Dalloz, 2019, p.

This article written in English is based on a working paper, written also in English, with additional developments, technical references and hypertext links. It is accessible  here.

Summary. The act of mapping risks is not currently defined by Law. It is only described in special laws. While risks mapping is central to preventing in Ex Ante the occurrence of crises or behaviors from which the occurrence is excluded, no legal regime is available, due to the lack of a legal definition available. This legal definition is proposed here in 5 stages, starting from special laws and specific cases to go towards a general conception. Risk mapping then appears as a concern for others taken care of willingly or by force by crucial operators, through a new subjective right: the “right to be alarmed”, the map being the structural counterpart of the character of the whistleblower. Two articulated systems of Compliance Law.

 

Read below the article written in English below. 

Dec. 19, 2019

Publications : Chronicles MAFR - Compliance Law

Complète Reference : Frison-Roche, M.-A., Théorie juridique de la cartographie des risques, centre du Droit de la Compliance (Legal Theory of Risk Mapping, center of Compliance Law), D.2019, chronique Compliance, p. 

 

Summary : The act of mapping risks is not currently defined by Law. It is only described in special laws. While risks mapping is central to preventing in Ex Ante the occurrence of crises or behaviors from which the occurrence is excluded, no legal regime is available, due to the lack of a legal definition available. This legal definition is proposed here in 5 stages, starting from special laws and specific cases to go towards a general conception. Risk mapping then appears as a concern for others taken care of willingly or by force by crucial operators, through a new subjective right: the “right to be alarmed”, the map being the structural counterpart of the character of the whistleblower. Two articulated systems of Compliance Law.

 

Read the article, published in French.

 

Read its translation in English. 

 

Read the English Working Paper  on which this article is based, working paper with additional developpments, technical references and hypertext links

 

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April 15, 2019

Publications : Chronicles MAFR - Compliance Law

Référence complète : Frison-Roche, M.-A., Compliance et personnalité, in Recueil Dalloz, n°11/7812, avril 2019, pp. 604-606

 

Résumé : La compliance est souvent présentée comme un ensemble de procédures vides et mécaniques, dans lesquelles les êtres humains sont absents. C'est l'inverse. Droit de l'information, dans sa fonction de prévention des risques systémiques et de protection des marchés, le droit de la compliance pose l'exigence de connaître « véritablement » la personne qui est « pertinente », généralisant ce que les droits des sociétés ou de la concurrence avaient admis par endroits. Plus encore, au-delà des systèmes, le droit de la compliance, en tant qu'il est un droit de protection, vise à protéger les êtres humains, concernés de près ou de loin, les instituant comme personnes juridiques, véritables sujets de droit finals de cette nouvelle branche du droit.

 

Lire l'article.

 

Lire le document de travail ayant servi de base à l'article publié, document de travail bilingue comprenant des notes de bas de page, des références techniques et de liens hypertextes.

Lire les autres chroniques parues chez Dalloz dans la rubrique Chronique MAFR Droit de la Compliance

July 21, 2018

Publications : Chronicles MAFR - Compliance Law

Full reference : Frison-Roche, M.-A., Le Droit de la Compliance au-delà du Droit de la Régulation, Recueil Dalloz, 2018, chronique, pp. 1561-1563.

 

Summary : A movement started from precise legal requirements linked to identified actors, as the financial or banking sector, to transform itself in legal norms of Compliance. Compliance Law is thus the extension of Regulation Law. But Compliance Law is taking its full autonomy with regards with Regulation Law, while retaining its violence, its radicalisé, and even its archaism, even though it concerns companies which do not act on regulated sectors, putting down, for instance, notions linked to territoriality (I). How companies should react face to this unequaled news (II)? 

Read the article (in French)

Read the table of contents of the Review (in French).

This document is based on a working paper with footnotes, technical references and hypertext links.