Updated: Dec. 28, 2022 (Initial publication: July 10, 2022)
► Full reference: M.A. Frison-Roche, Regulatory and Compliance Law, expression of the missions of a professional Order, Working Paper, July 2022.
🎤 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)
🎥watch the full speech given on 15 September 2022, based on this working paper
► 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.
🔓read the Working Paper⤵️
Sept. 21, 2022
► Full Reference: M.-A. Frison-Roche, "Compliance, the new legal way for human values: towards an Ex-Ante responsability", in Homenagem aoe Professor Arnoldo Wald, A Evoluçào do Direito no Século XXI, 2022, pp. 977-983.
► Article Summary: For the first time, the future is the first question for the Humanity. The classical legal conception of Tort Law concerns the Past, the philosophical conception of Hans Jonas, a Responsability for the Future, an Ex-Ante Responsability must become a legal notion.
Traditionally, the Legislator takes decision for the Future and the Judges takes ones for the Past, but now in front of the possible disparition of human beings on this planet, global and catastrophic perspective, all legal perspectives need to be used, breaking the classical repartition, in the priority of the future. To do something, the Responsability must be put on everyone in a legal force, not only on the classical subject of Law and because of past behaviors, but because the operators, States, firms, or individuals, are "in position" to do so.
This new "Ex-Ante Responsability" is an essential part of the Compliance Law, very new branche of Law, with an extraterritorial effect, to find immediate and active solutions for the future. Because the issue is global, international Arbitration is in position to apply the conception, because international arbitrators are the global judges.
This new conception of legal Ex-Ante Responsability, declared by courts, expressed human values, such as the concerns for the others, in concordance withe the humanist tradition of European and American Law, Compliance being not at all to obey regulations but to concretise an alliance a Monumental Goal, here for the preservation of human beings in the future, and the powers and the legal duties of corporate and people to do so.
📝 read the article
Aug. 31, 2022
► Full Reference: M.-A. Frison-Roche, "Place et rôle des entreprise dans la création et l'effectivité du Droit de la Compliance en cas de crise" (Place and rôle of Companies in the Creation and Effectiveness of Compliance Law in Crisis), in M.-A. Frison-Roche (ed.), Les buts monumentaux de la Compliance, séries "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2022.
► English Summary of the article: This article has a very topic: the place of private Companies, regarding the chapter's issue: "the ordeal of a crisis". The crisis constitutes a "test" it brings evidence. Let us take it as such.
Indeed, during the health crisis, Companies have helped the Public Authorities to resist the shock, to endure and to get out of the Crisis. They did so by force, but they also took initiatives in this direction. From this too, we must learn lessons for the next crisis that will come. It is possible that this has already started in the form of another global and systemic crisis: the environmental crisis. In view of what we have been able to observe and the evolution of the Law, of the standards adopted by the Authorities but also by the new case law, what can we expect from Companies in the face of this next Crisis, willingly and strength?
► Read the presentations of the other articles of Marie-Anne Frison-Roche in this book:
March 31, 2022
Publications : Chronicles MAFR - Compliance Law
► Full Reference: Frison-Roche, M.-A., La responsabilité ex ante, pilier du droit de la compliance ("Ex-Ante Responsibility, Compliance Law Pillar"), D.2022, chronique MAFR - Droit de la Compliance, Recueil Dalloz, March 31, 2022.
► Article English Summary: The Law must help to face the future, which can be totally catastrophic in terms of climate and digital issues. Courts are s best placed for this, without “governing”, only relying on the commitments made by companies, governments, and legislators. On the ordinary Tort Law, court decisions oblige these different entities to be consistent in the commitments they have made, obliging them to act in the future, formal “compliance” with the regulations cannot be sufficient. This ex-ante responsibility, founding the powers, thus constitutes a pillar of a substantial Compliance Law, showing the part that CSR and the companies with a raison d'être play in it.
📝 read the article. (written in French)
📚go to the presentation of the other articles published in this Chronique Droit de la Compliance made in the Recueil Dalloz.
Feb. 27, 2022
Compliance: at the moment
April 21, 2021
► Full reference: M.-A. Frison-Roche, "Dresser des cartographies des risques comme obligation et le paradoxe des "risques de conformité"", in M.-A. Frison-Roche (ed.), Les outils de la Compliance, serie "Régulations & Compliance", Journal of Regulation & Compliance and Dalloz, 2021, p. 53-62.
📝read the article (in French)
🚧read the bilingual Working Paper which is the basis of this article, with additional developments, technical references and hyperlinks
📕read a general presentation of the book, Les outils de la Compliance, in which the article is published
► Summary of the article (made by the Journal of Regulation and Compliance): There are few synthetic or theoretical studies on Risk Mapping even though it is in fact the Compliance central tool, perhaps because it is more a management tool than a legal one. Risk Mapping is often described but does not receive any other legal qualifications than being a "modality", suffering in this respect from an evil which affects the whole of Compliance, still little understood by Law, attention often so focused on the Ex Post (sanctions) while Compliance is by nature in the Ex Ante. Going from disarray to incomprehension, everyone can note the existence of "compliance risks" among the mapped risks, because if as so many affirm that it would be necessary to speak only of simple conformity as obedience, demonstrated in Ex Ante, to Law, how a sub-set of a tool would therefore have the same object as the set of Law that this tool serves ... This aporia can only be resolved if Compliance Law is defined substantially by its "monumental goals" which exceed obedience to regulations.
Consequently, Law taking up Risk Mapping, this mechanism may first appear as an ancillary obligation to the main obligation consisting in achieving "monumental goals". The ancillary obligation to draw up the maps is an obligation of result, while the main obligation to achieve the monumental goals is an obligation of means. These cartographies being very diverse and being only occasionally targeted by specific laws, it can also constitute only a legal fact or, through the play of various charters, a unilateral legal commitment. But it isnbecoming the basis of an autonomous legal obligation incumbent on enterprises in position to know certain risks, obligation referring to the existence of a subjective right tof knowing and measuring them ("right to be worried") which the third parties who are going to run them would hold, thus allowing them to choose to run them, or not.
March 17, 2021
Full reference : Frison-Roche, M.-A., The Potential of Compliance Law (Les potentialités du Droit de la Compliance), conference given to Muriel Fabre-Magnan's students, Paris I, 17th of March 2021.
This conference has been designed for Paris I's students following a Law cursus, specialized in Law of obligations and especially in Tort Law.
It therefore aims to show the technical content of Compliance Law and what it can become.
It has been followed by a debate with students.
Summary: Compliance Law is a branch of Law in the process of being born. We can be sure of its existence in the French positive Law, through the technical examination of laws called "Sapin 2" (2016) and "Vigilance" (2017). It appears at radically new. It is the reason why it is perceived as an attack, especially from United-States and we rather use legal knowledge to counter it. But if we study the historical reasons of its adoption in the United-States and the "monumental goals", whether they are negative (what should not appear in the future) or positive (what should appear in the future), we can measure that this Law, which is essentially Ex Ante could be the means through which scattered but legitimate public authorities and powerful but illegitimate big firms could ally. Therefore potentially Compliance Law could be the worst, simple tool of obedience (mechanical "conformité") or the best: what through which we could do something face to global problems, like global warming, or what we would accept to look in the face: the care for others.
June 18, 2020
This working document, "The Dreamed Compliance Law", is the basis for an article, written in French, "La compliance" (Compliance), inserted in the collective work to be published under the direction of Jean-Baptiste Racine, Le Droit économique du XXIème siècle (The XXIe century Economic Law , in the Serie Droit & Economie, LGDJ-Lextenso, 2020.
No one can know what the Law of the 21st century will be. Pretending to know it is just not to realize its ignorance. Why then writing about it, since the future is always surprising?
One can only write about the unknown part of the Law of tomorrow. If the future is then modeled on what was written, so much the better for the prophet, a tribute that can, for example, be paid to Pierre Godé
Lévi-Strauss argued that teaching is defined as dreaming out loud. Teaching and describing the Law of a century that we will never know gives even more freedom to dream about it. This freedom increases when the object is a branch of Law in the process of being born, state of the stammering "Compliance Law" of which some still maintain, as it was made for Regulation Law, that there is not existing. The hand can then, as it pleases, trace its beautiful or hideous features: what face will Compliance Law have, as soon as we assume that it will exist?
It may as well be a nightmare (I) as a happy dream (II).
It is up to us to choose in which category this branch of Law will flourish. Because what we can be sure of is this fulfillment. It is certainly already taking sides to presuppose the very existence of Compliance Law. Not only to consider it possibility with hostility because to be an enemy of something or someone is already to recognize their existence. Before that, two objections radically block the very existence of Compliance Law and their shadow remains in the future of it
Firstly, it is said that Compliance does not come under Law, but for example only ethics since it would consist in keeping well in companies which care about the interest of others or the planet, for example by spontaneous care of the environment; Compliance being a crystallization of social responsibility, the one for which we have our conscience, we express our "raison d'être" and we are not accountable
Second, there would be many Compliance mechanisms but insufficient to constitute a branch of Law. Indeed we would find Compliance in Company Law, Labor Law, Financial Law, Banking Law, Criminal Law, Administrative Law, European Law, International Law, etc.
These classic branches, which have been formed for so long, depending on the point of view adopted, would gain in modernity or be threatened with decay by this kind of extension which will be Compliance. There would thus be as many "little legal sectoral rules" as there are branches of law. These new internal developments would be like a new bud, on which care should be taken - if the tree regains its strength - or a weed to be eradicated - if the French garden loses its perspective.
Thus the matter being scattered as many as specialist lawyers, often criminalists or specialists in banking and Financial Law, then tomorrow all specialists in all branches of Law, this could constitute the most radical obstacle to the constitution of Compliance Law. Indeed, we would come back to confuse Compliance and the "modernization" of Law itself as a whole, since it would only be a question of perfecting each of the classic branches of the legal system.
If we keep in this half-sleep that is any projection in the future the hope of a constituted branch of Law, we must discard these two perspectives of annihilation, either in the total absence of Law or in recovery by all Law. To dismiss the sorrowful spirits who see no future in Compliance and keep only its enemies in the space of this article, let us assume that Compliance Law will exist in the 21st century. In what form and by what means, in the palm of which institutions, in the shadow of which legal system? Since it is a question of projecting ourselves onto the black screen of our nights of dreamy lawyers, let us take the current state only as a trailer. Like the one developed by the genius who by the contempt not only brought down into the flames of hell the cinema which has become a consumer industry with which producers force-feed us but offered us the vision of its future. What is what we see today the trailer? We let our imagination run wild since the trailer films are autonomous works compared to the film which follows them.
We have no idea what will happen and what we are watching from the brief and violent current images of Compliance Law, the cinema of which rather makes a hero of the whistleblower
Everything will depend on the concept that we will retain of Compliance Law. Because the script is not written, because Compliance Law is a Law with a political dimension, that it is defined by the ambitions that we can claim to have by setting monumental goals that we are going to achieve, a claim that will make it one major branch of the Law of tomorrow, or we can abandon any claim, lower our heads and arms, and reject any claim. It is then that the power of Compliance Law, which will be no less great, will turn against us, human beings, as in a nightmare.
Mélanges Pierre Godé, off-trade book, 2019.
Godé, P., Le Droit de l'avenir (Un Droit en devenir), 1999.
It is in particular the idea of the movement of analysis of Law & Literature which poses that by telling the past in one way or another, by thus inventing it, Law, and in particular the Judge, invents the future and being written, creates it. On this movement which was powerful in the United States, v. Cabrillac, R. et Frison-Roche, M.-A., Droit et Littérature, à paraître.
See infra I. Compliance Law as nightmarish octopus.
On the fact that "social responsibility" makes it possible not to be legally responsible, cf. Supiot, A., Du nouveau au self-service normatif: la responsabilité sociale des entreprises, 2004; this is not the subject of this article and this question will not be developed here.
See, for instance, ..., Replace Regulation by norm by Regulation by Data, 2020.
See, for instance, Frison-Roche, M.-A., Compliance Law (monography), 2016 ; Compliance Law, 2020.
On what the cinema does with the whistleblower, with the availability of trailers and extracts from the films, see Frison-Roche, M.-A., introduction of the article The impossible unicity of the legal category of whistleblowers, 2019.
Frison-Roche, M.-A., ... (retrouver sur LinkedIn).
April 24, 2020
Its subject is the confrontation between the current health crisis situation and the Compliance Law.
Summary. After defining Compliance Law, distinguishing the procedural and poor definition and the substantial and rich definition, the starting point is to admit the aporia: the type of health crisis caused by Covid-19 will be renewed and it is imperative to prevent it, even to manage it, then to organize the crisis exit. Public Authorities are legitimate to do so, but because this type of crisis being global and the State being consubstantially linked to borders, States are hardly powerful. Their traditional International Law shows their limits in this current crisis and one cannot hope that this configulration will improve radically.
In contrast, some companies and markets, notably the financial markets, are global. But the markets are not legitimate to carry out such missions and counting on the generosity of certain large companies is far too fragile in front of the "monumental goal" that is the prevention of the next health crisis, crisis which must never happen.
How to get out of this aporia?
By Compliance Law, basis of, in a literal and strong sense, the "Law of the Future".
We need to be inspired by the Banking and Financial Compliance Law. Designed in the United States after the 1929 crisis to tend towards the "monumental goal" of the absence of a new devastating crisis in the country and the world, this set of new legal mechanisms gave duty and power of supervision, regulation and compliance to market authorities and central bankers. These are independent of governments but in constant contact with them. Today, they claim to have as first priority the fight against climate change. Now and for the future, they must also be given the responsibility and the powers to prevent a global health disaster, similar to a global ecological disaster, similar to a global financial disaster. This does not require a modification of the texts because their mandate consists in fighting instability. Stability must become a primary legal principle, of which the fight against monetary instability was only a first example. By the new use that central banks must make of it by preventing and managing health crises, Compliance Law will ensure that the future will be not catastrophic.
May 14, 2019
Référence complète : Frison-Roche, M.-A., participation à la table-ronde L'officier public ministériel est-il soluble dans la blockchain?, conférence-débat organisée par Le Club du Droit & le Conseil supérieur du Notariat, 14 mai 2019, Paris.
Lire le compte-rendu qui en a été fait dans la presse.
Dans cette table-ronde, un professeur d'économie expose la dimension technologique et économique de la blockchain.
Puis est abordée la dimension juridique, dont l'exposé m'était plus particulièrement confié.
A ce titre, après avoir replacé la question technique dans ce que doit garder le Droit, à savoir la distinction entre la Personne et les choses, ce que la technologie présentée aujourd'hui comme un ensemble de choses "intelligentes" et "décidantes" remettant en cause...., l'intervention porte sur 4 points (qui sont développés dans le document de travail).
En premier lieu, avant de porter une appréciation sur ce qui est adéquat et sur l'avenir il faut distinguer les fonctions techniques de conservation des actes, de duplication des actes et d'élaboration des actes, la distinction entre negotium et instrumentum n'étant en rien effacée par la technologie des blockchains.
En deuxième lieu, dès l'instant qu'il y a une altération substantielle de l'acte instrumentaire parce qu'un nouveau negotium a eu lieu, parce que les mentions doivent mesurer la reproduction de la réalité de ce qui fut décidé par les parties, l'on n'est plus dans l'acte de conserver et de dupliquer à l'identique, mais dans l'acte d'élaboration. Or, dans l'acte de conservation et de duplication, la blockchain peut être un atout technologique très précieux, en ce qu'à supposer sa fiabilité acquise, l'erreur étant exclue, c'est comme si l'on pouvait produire des originaux indéfiniment. La fiabilité est telle que la distinction entre original et copie n'aurait plus lieu d'être. Mais pour l'élaboration de l'instrumentum au regard du negotium , comment une machine pourrait-elle "dresser" un acte, c'est-à-dire en vérifier son rapport d'exactitude par rapport à la réalité ? Elle ne le peut pas. Seul un être humain le met, l'Etat ayant "déconcentré" son pouvoir de dresser uniléralement des actes (en cela, les notaires sont issus de la même idée de déconcentration....) en exigeant qu'ils vérifient la conformité à la réalité pour que l'incontestabilité soit ensuite attachée aux mentions.
En troisième lieu, il apparaît alors que la blockain est un outil de conservation et de duplication, mais que l'intermédiation d'un tiers de confiance humain vérifiant l'exactitude des mentions est nécessaire si l'on veut par sécurité que ce qui est dit dans l'acte écrit, puis conservé, puis dupliqué, soit la reproduction de la réalité. S'opère alors un choix de politique économique, souvent lié à la culture des pays. L'on peut considérer que le coût de l'intermédiation est élevé et qu'il faut mieux assumer le risque de l'inexactitude des mentions (quant aux parties, à la réalité de leur consentement, à la consistance de l'objet, à l'ampleur des obligations, etc.) et s'assurer ainsi un marché liquide. Le réajustement des actes par rapport à la réalité des choses se fait alors par la crise, qui réinjecte l'information, l'exemple en étant la crise des prêts immobiliers financiarisés des subprimes. C'est le choix anglais et américains. L'on peut préférer la sécurité par l'intermédiation en ralentissant le marché. C'est le choix du droit romano-germanique. Ces options demeurent ouvertes. La technologie du blockchain n'interfère pas, parce qu'elle ne doit pas viser l'établissement des actes. Si elle devait la viser, alors on aurait choisi la liquidité à la sécurité. Ou en termes plus généraux, l'on aurait choisi la Concurrence contre la Régulation. Mais plus que jamais le souci Ex Ante des risques systémiques (et le fossé entre la réalité et les actes qui doivent la transcrire est un risque systémique majeur) est premier.
En quatrième lieu, en ayant ainsi un tableau des fonctionnalités, l'on voit que les notaires peuvent avoir grand usage des blockchains. Sans laisser des machines établir des actes, ils peuvent les utiliser comme le furent des coffreforts et des photocopieuses, avec une fiabilité et une mise en commun que seul le numérique et la capacité de calcul peuvent offrir à travers cette nouvelle technologie. Plus encore, l'articulation de l'amont (élaboration) et de l'aval (conservation et duplication) étant de nouveau reconnue comme la plus efficace, les officiels ministériels sont les mieux placés, en tant qu'ils dressent des actes instrumentaires dont ils ont vérifié les mentions et après avoir conseillé les parties, à conserver et à dupliquer ceux-ci.
Nov. 21, 2018
Thesaurus : Doctrine
Référence complète : Pébereau, M. (dir.), Réformes et transformations, PUF, novembre 2018, 606 p.
Présentation de l'ouvrage : Un chômage structurel de 9 %, une dette publique approchant 100 % du PIB, une compétitivité déclinante, des déficits commerciaux quasi structurel : depuis trop longtemps, les indices d'un recul des performances économiques de la France s'accumulent, mettant en danger son modèle social et sa place dans le monde. Une réaction paraît s'être produite à la faveur de la dernière élection présidentielle et les premières mesures opérées par le gouvernement d'Emmanuel Macron et d'Édouard Philippe ont fait la preuve que la réforme était possible. Mais le processus qui doit permettre à la France d'affronter sereinement les défis de la mondialisation et des révolutions technologiques est encore long.
Fruit des communications tenues tout au long de l'année 2017 devant l'Académie des sciences morales et politiques, les vingt-six études réunies dans ce volume n'évitent aucun sujet brûlant : droit du travail, fiscalité, retraite, éducation, etc. Rédigées par les meilleurs spécialistes, sans complaisance ni idéologie, elles posent un diagnostic informé sur nos problèmes et proposent des remèdes pour corriger les handicaps les plus criants en anticipant les enjeux à venir.
La France n'est pas dépourvue de forces vives qui ne demandent qu'à servir, une fois libérées des schémas obsolètes dans lesquels nous les tenons enfermées. Aux citoyens de solliciter et soutenir les efforts de transformation nécessaires. Aux hommes politiques de les engager. La seule ambition de cet ouvrage est de les y aider.
Ce cycle de réflexions de l'Académie des sciences morales et politiques sur les réformes et transformations a été proposé et animé par Michel Pébereau, président de l'Académie en 2017.
Dec. 7, 2017
Référence complète : FRISON-ROCHE, M.-A., Il faut construire un dispositif européen de compliance, voilà l'avenir !, in Actualité/Entretien, Petites Affiches, propos recueillis par Olivia DUFOUR, n° 244, 7 déc. 2017, pp. 4-6.
Entretien donné à propos de la sortie de l'ouvrage Régulation, Supervision, Compliance.
Réponse aux questions suivantes :
April 21, 2017
Through the Open Culture website, it is possible to listen to Hayao Miyazaki who, in March 2017, claimed that video games whose drawings are made on Artificial Intelligence basis are "insults to life".
Read below the history, the words that the Master has held, his conception of what is creation and "truly human" work, which is echoed by the definitions given by Alain Supiot, who also reflected on what robots do.
This brings us back to the very notion of "creation" and creative work.
Nov. 17, 2011
Thesaurus : Doctrine
Full reference: Bon-Michel, B., La cartographie des risques : de la rationalisation du futur à l'apprentissage du risque. Cas de l'identification du risque opérationnel au sein d'un établissement de crédit (Risks Mapping: from Rationalization of the Future to Risk Learning. Case of the Identification of the Operational Risk in a Credit Establishment), Management & Avenir, vol. 48, no. 8, 2011, pp. 326-341.
Sciences Po's students can read this article in the Sciences Po Drive in the folder MAFR - Regulation & Compliance