► Full Reference: Marty, F., The Case for Compliance Programs in International Competitiveness: A Competition Law and Economics Perspective, in Frison-Roche, M.-A. (ed.),Compliance Monumental Goals, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.

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► Article Summaryésumé de l'article (done by the Journal of Regulation & Compliance): The author analyzes economically the question of whether the compliance programs set up to respect competition rules are for the sole purpose of avoiding sanctions or also contribute to the goal of increasing the international economic performance of companies. which submit to them.

The author explains that companies integrate by duplication external standards to minimize the risk of sanctions, developing a "culture of compliance", which produces their competitiveness increase and the effectiveness of the legal and economic system. In addition, it reduces the cost of investment, which increases the attractiveness of the company.

In this, this presentation based on the postulate of the rationality of companies and investors, compliance programs can fall under self-regulation. The duplication of the law that they operate takes place largely according to "procedural" type methods.

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📝 go to the general presentation of the book 📘Compliance Monumental Goals, in which this article is published

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► Full Reference: Deffains, B., Compliance and International Competitiveness, in Frison-Roche, M.-A. (ed.), Compliance Monumental Goals, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.

► Full Reference: Segonds, M., Compliance, Proportionality and Sanction. The example of the sanctions taken by the French Anticorruption Agency, in Frison-Roche, M.-A. (ed.),Compliance Monumental Goals, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.

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► Article Summary:  Before devoting the developments of his article to the sole perspective of sanctions imposed under "Anti-corruption Compliance", the author recalls in a more general way that, as is the sanction, Compliance is in essence proportional: Proportionality is inherent to Compliance as it conditions any sanction, including a sanction imposed under Compliance.

This link between Proportionality and Compliance has been underlined by the French Anti-Corruption Agency (Agence française anticorruption - AFA) with regard to risk mapping, which must measure risks to arrive at effective and proportional measures. This same spirit of proportionality animates the recommendations of the AFA which are intended to apply according to the size of the company and its concrete organisation. It governs sanctions even more, in that punitive sanctions refer on one hand to Criminal Law, centered on the requirement of proportionality. Punitive sanctions It governs sanctions even more, in that punitive sanctions refer on the other hand to the disciplinary power of the manager who, from other sources of law, must integrate the legal requirement of proportionality when he/she applies external and internal compliance norms.

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📘see the general presentation of the book, Compliance Monumental Goals, in which this article is published

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🌐follow Marie-Anne Frison-Roche on LinkedIn

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► Full reference: M.-A. Frison-Roche, "L’usage des puissances privées par le droit de la compliance pour servir les droits de l’homme" (Use of private companies by Compliance Law to serve Human Rights) , in J. Andriantsimbazovina (dir.), Puissances privées et droits de l'Homme. Essai d'analyse juridique, Mare Martin,  coll. "Horizons européens", 2024, to be published

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🚧read the  Bilingual Working Paper on which this article is based, with more technical developments, references and hypertext links

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► English Summary of this article: 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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📝read the article (in French)

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🌐follow Marie-Anne Frison-Roche on LinkedIn

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► Full Reference: M.-A. Frison-Roche, "Le rôle du juge dans le déploiement du droit de la régulation par le droit de la compliance" ("Synthesis: The role of the Judge in the deployment of Regulatory Law through Compliance Law"), Synthesis in Conseil d'État (French Council of State) and Cour de cassation (French Court of cassation), De la régulation à la compliance : quel rôle pour le juge ? Regards croisés du Conseil d'Etat et de la Cour de cassation - Colloque du 2 juin 2023, La Documentation française, "Droits et Débats" Serie, 2024, pp.

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🎥this article follows the closing speech of the biannual symposium organised by the Council of State and the Court of cassation, which in 2023 was entitled De la régulation à la compliance : quel rôle pour le juge ? (From Regulation to Compliance, what role for the judge ?)

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🚧read the bilingual Working Paper which is the basis of this article, with additional developments, technical references and hyperlinks

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► Presentation of this concluding article: 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 far-reaching changes it brings to the Law and to 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/she is a judge of Public Law or a judge of Private Law, in a greater unity of the legal system.

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► English Summary of this article: The tug-of-war between 'Compliance' and 'conformity', which is exhausting us, obscures what is essential, i.e. the great novelty of a branch of law that assumes a humanist vision expressing the ambition to shape the future so that it is not catastrophic (preventing systems from collapsing), or even better (protecting human beings in these systems).

The article begins by describing the emergence of Compliance Law, as an extension of Regulatory Law and going beyond it. This new branch of law takes account of our new world, brings its benefits and seeks to counter these systemic dangers so that human beings could be their beneficiaries and are not crushed by them. This branch of Ex Ante Law is therefore political, often supported by public Authorities, such as Regulatory Authorities, but today it goes beyond sectors, as shown by its cutting edge, the Obligation of Vigilance.

The "Monumental Goals" in which Compliance Law is normatively anchored imply a teleological interpretation, leading to an "empowerment" of the crucial operators, not only States but also companies, responsible for the effectiveness of the many new Compliance Tools.

The article goes on to show that Judges are increasingly central to Compliance Law. Lawsuits are designed to make companies more accountable. In this transformation, the role of the judge is also to remain the guardian of the Rule of Law, both in the protection of the rights of the defence and in the protection of secrets. Efficiency is not what defines Compliance, which should not be reduced to a pure and simple method of efficiency, which would lead to being an instrument of dictatorship. This is why the principle of Proportionality is essential in the judge's review of the requirements arising from this so powerful branch of Law. 

The courts are thus faced with a new type of dispute, of a systemic nature, in their own area, which must not be distorted: the Area of Justice.

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📝read article (in French)

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► Référence complète : Conseil d'État et Cour de cassation, De la régulation à la compliance : quel rôle pour le juge ? Regards croisés du Conseil d'Etat et de la Cour de cassation, La Documentation française, coll. "Droits et Débats", 2024, 241 p.

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📗lire la 4ième de couverture

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📗lire la table des matières

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► Résumé de l'ouvrage (fait par l'éditeur) : "La compliance, parfois traduite par « conformité », se situe dans le prolongement du droit de la régulation et en constitue un nouveau pas décisif. La compliance rassemble l’ensemble des mécanismes mis en œuvre au sein d’une organisation pour atteindre des objectifs d’intérêt général (sécurité, durabilité) contrant ainsi les risques systémiques. Les entreprises, s’appuyant sur les règles, normes juridiques et éthiques qui portent ces valeurs qui s’imposent à elles et leur sont internalisées, peuvent tout à la fois prévenir le risque de sanctions et participer à cette alliance entre autorités publiques, opérateurs économiques et parties prenantes pour détecter et prévenir les catastrophes systémiques futures. Organisé par le Conseil d’État et la Cour de cassation, le colloque du 2 juin 2023 analyse ce changement de paradigme créé par cette nouvelle branche du droit.". 

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📝lire une présentation de l'article de synthèse de Marie-Anne Frison-Roche : "Le rôle du juge dans le déploiement du droit de la régulation par le droit de la compliance"

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📝lire une présentation de l'article de François Ancel : "Quel rôle pour le juge aujourd’hui dans la compliance ? Quel office processuel du juge dans la compliance ?"

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🌐follow Marie-Anne Frison-Roche on LinkedIn

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► Full Reference: M.-A. Frison-Roche, "Les voies d'innovations juridiques face aux nouveaux "défis climatiques" ("Innovative legal solutions to the new "climate challenges""), in C. Arnaud, O. de Bandt et B. Deffains (dir.), Nouveaux défis - Regards croisés : Droit, Économie et Finance. Quel Droit face au Changement Climatique ? (("New challenges - Crossed perspectives : Law, Economics and Finance. What Law in the Face of Climate Change?"), Banque de France (French Central Bank) and CRED/Paris Panthéon-Assas University, Paris, Centre de Conférence de la Banque de France, April 2, 2024

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🧮See the full programme of this event

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🔲see the slides, basis of this conference (in French)

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► Summary of this conference: In response to the question of how the Law can produce 'innovations' to meet the 'climate challenges', the process is based on the three traditional sources of Law, which are, firstly, laws and regulations, secondly, the commitments of individuals, mainly contracts, and thirdly, court rulings.

At first sight, the Law in its traditional conception and practice is weak in the face of climate change. This weakness is inherent in the nature of climate change, which is at once future, global and systemic, in the face of these three sources of Law, which do not address all three dimensions at once. The scale of the legal innovation required to ensure that one or more articulated sources can grasp the future, the global and the systemic is therefore clear. And yet this is what is happening.

As far as laws and regulations are concerned, they do not seem very appropriate because they are, by their very nature, a territorial limit, and international treaties are very difficult to negotiate. The interweaving of European regulations, for example the CSRD and the CS3D, which mirror each other, may be more effective. As far as 'commitments' are concerned, a concept which in Law is not very precise outside of contracts and liability cases, contracts are above all a means for companies to fulfill their legal obligations, and a contract always implies a judge. At first sight, however, the judge is the least well placed to respond to 'climate challenges', particularly in France where he is said or wished to be powerless, where he rules on the past and where, especially the civil judge, he settles a one-off dispute between two singular parties.

But a major change has occurred with the emergence of a new branch of law: the Compliance Law, a teleological branch of Law whose legal normativity is lodged in the Monumental Goals that it pursues, namely the preservation of systems, for example the climate system. In France, the so-called "Sapin 2" law in 2016, followed by the so-called "Vigilance" law in 2017, illustrate this. And the Judge is at the centre of it all.

In this global, systemic, extraterritorial perspective, the object of which is the future - Compliance Law is, moreover, rejected by many legal experts - the legislative innovation is major. Indeed, the law of 23 March 2017, known as "Vigilance" designated large companies, because they are "powerful", because they are "in a position to act" to "detect and prevent" breaches of the environment and human rights. The 2017 law copied the "compliance tools" put in place by the Sapin 2 anti-corruption law: risk mapping, plans, alerts, audits, internal investigations, and so on. 

Only large companies are subject to the Compliance Law, notably the Vigilance Law, since they are the only ones in a position to act, in this case "parent companies or principals", and borders are no longer limits since the obligation, creating personal liability for the company, extends throughout the "value chain". The notion and fact of "systemic dispute" is emerging before the courts. In France, the Paris Court of First Instance has exclusive jurisdiction. European legislation is proving more difficult to draw up, because although it is compulsory to provide information on these "extra-financial" subjects (CSRD), the directive on the duty of vigilance, which has just been adopted, does not go any further than the French law of 2017.

On the second point, that of commitments, we are only at the beginning. Judges do not transform ethical statements into "unilateral legal commitments", and vigilance does not transform company law into co-management. But contracts do form a global network through which companies adjust their various legal obligations. This is why arbitrators, the only "global judges", will soon be involved in this systemic litigation, and more general case law is to come on "contracts and compliance clauses".

But the most innovative aspect undoubtedly comes from the courts. Perhaps and notably in France because it is from where we least expect it, the civil courts, that the imagination comes, but also the guarding of the great principles of the Rule of Law, because for the moment the case law is reasonable. This innovation has not come about proprio motu: the judges are not taking action, it is the NGOs that are conducting a kind of litigation policy, systematically giving formal notice to the major energy companies, but also to the major banks and insurers on climate issues, alleging non-compliance with their vigilance plans. The interim relief judge at the Paris Court of First Instance must then provide answers in systemic disputes, of which the so-called "Total Uganda" case is an example.

The courts are demonstrating a great deal of innovation. The Court of First Instance's interim relief judge has appointed amici curiae, the Paris Court of Appeal has set up a specialised chamber, and training conferences have been set up on this "Emerging Systemic Litigation".

In conclusion, the Law is in the process of being rebuilt through a new branch of Law, the Compliance Law, whose the very purpose, as an extension of and going beyond the Regulatory Law, is to preserve systems, in particular the climate system, in a profoundly renewed role for judges.

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► Référence complète : R.-O. Maistre, "La place du Droit de la compliance dans la régulation de l’espace numérique", entretien mené par M.-A. Frison-Roche à l'occasion d'une série d'entretiens sur le Droit de la Compliance, in Fenêtres ouvertes sur la gestion, émission de J.-Ph. Denis, Xerfi Canal, enregistré le 12 décembre 2023, diffusé le 16 mars 2024

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🌐consulter sur LinkedIn la présentation en décembre 2023 de l'entretien avec Roch-Olivier Maistre 

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🌐 lire la Newsletter Mafr Law-Compliance-Regulation de mars 2024 sur la base de l'entretien avec Roch-Olivier Maistre 

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🎥visionner l'interview complète sur Xerfi Canal

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► Point de départ : En 2022, Roch-Olivier Maistre écrit une contribution sur 📝Quels buts fondamentaux pour le régulateur dans un paysage audiovisuel et numérique en pleine mutation ?, dans 📕Les Buts Monumentaux de la Compliance.

🧱lire la présentation de cette contribution ➡️cliquerICI

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► Résumé de l'entretien : 

Marie-Anne Frison-Roche : Question : L’Arcom a un rôle central en matière de Compliance. Pourriez-vous nous présenter cette Autorité de régulation qu’est l’Arcom ?

Roch-Olivier Maistre : Réponse : le Président Roch-Olivier Maistre décrit le rôle de l'Arcom, autorité qui résulte du CSA et de l'Hadopi, le législateur décidant de créer un nouveau grand Régulateur en charge à la fois de l'audiovisuel et du numérique. Cette Autorité collégiale s'assure du bon fonctionnement de ce secteur et est engagée dans la régulation des nouveaux acteurs du numérique.

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MaFR : Q. : Comment Régulation et Compliance s’articulent-elles dans la mise en œuvre des missions de l’Arcom ? 

R.O.M. : R. : Il répond qu'il s'agit d'une approche complémentaire. Coercition, sanctions s'y articulent. Il s'agit de préserver la liberté d'expression et de communication. Pour cela, objectifs de valeur constitutionnelle, les opérateurs doivent agir pour que ces objectifs soient atteints. Pour cela, ils sont supervisés par l'Autorité qu'est l'Arcom, qui intervient qu'ils ne se conforment à ces obligations de compliance. Lorsqu'il ne s'agit pas de l'audiovisuel, où le contenu est encore possible car il s'agit d'un "monde fini", mais qu'il s'agit du monde numérique, où les contenus se répandent d'une façon virale, c'est aux opérateurs d'agir : la Régulation et la Compliance agissent donc d'une façon complémentaire.

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► Full Reference: M.-A. Frison-Roche, "Compliance et conformité : les distinguer pour les articuler" ("Compliance and conformity: distinguish them in order to articulate them"), D. 2024, chron., pp. 497-499

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📝read the article (in French)

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🚧read the bilingual Working Paper which is the basis of this article, with additional developments, technical references and hyperlinks

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► English Summary of the article: "Compliance" and "conformité" ("conformity") are sometimes presented as synonyms, with "conformité" simply being the translation of "compliance". On the contrary, they are two opposing concepts. "Conformity" refers to the obligation to obey all applicable regulations, regardless of their content. A godsend for the regulator... Compliance Law is quite different! Political and public authorities set systemic 'Monumental Goals' to ensure that systems do not collapse tomorrow, or even improve, and then entrust large companies with the task of activating the means to achieve these goals. Conformity then resumes its place in Compliance Law: being one of its tools.

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📚read the other articles published in this chronique of Compliance Law published in the Recueil Dalloz

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► Full Reference: M.-A. Frison-Roche, "L’enjeu de la confidentialité des avis juridiques internes au regard des « Buts Monumentaux » de la Compliance" ("The issue of confidentiality of in-house legal opinions with regard to the "Monumental Goals" of Compliance"), in L’instauration d’un Legal Privilege à la française. Le temps de l’action au service de la souveraineté et de la compétitivité de nos entreprises, Association française des juristes d'entreprise (AFJE), Association nationale des juristes de banque (ANJB) et Cercle Montesquieu, March 7, 2024, Maison de la Chimie, 28 rue Saint Dominique Paris

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📝On the same topic, read the article of Marie-Anne Frison-Roche "La compliance, socle de la confidentialité nécessaire des avis juridiques élaborés en entreprise" ("Compliance, the cornerstone of the confidentiality required for in-house legal opinions")

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► Référence complète : J. Beyssade, "Compliance et gouvernance (exemple d'un groupe bancaire)", entretien mené par M.-A. Frison-Roche à l'occasion d'une série d'entretiens sur le Droit de la Compliance, in Fenêtres ouvertes sur la gestion, émission de J.-Ph. Denis, Xerfi Canal, enregistré le 12 décembre 2023, diffusé le 24 février 2024

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🌐consulter sur LinkedIn la présentation de l'interview de Jacques Beyssade

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🌐consulter sur LinkedIn le compte-rendu de l'interview de Jacques Beyssade 

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🎥visionner l'interview complète sur Xerfi Canal

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► Point de départ : En 2022, Jacques Beyssade écrit une contribution sur 📝La féminisation des postes à responsabilité dans les entreprises comme but de la compliance. Exemple du secteur bancaire, dans 📕Les Buts Monumentaux de la Compliance

🧱lire la présentation de cette contribution ➡️cliquerICI

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► Résumé de l'entretien : 

Marie-Anne Frison-Roche. Question : Compliance et gouvernance, on fait souvent le lien. Pouvez-vous nous expliquer comment, dans la stratégie d’un groupe bancaire comme BPCE, s’articule ce lien entre compliance et gouvernance ?

Jacques Beyssade. Réponse. : Il répond que

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MaFR. Q. : Prenons un exemple concret, où la Compliance et la gouvernance servent un but concret : par exemple l’égalité effective entre les femmes et les hommes. Dans votre groupe, comment cela se passe ?

J.B. R. : Il répond que

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MaFR. Q. : A l’avenir, peut-on espérer que cette alliance entre cette nouvelle gouvernance et la puissance de la Compliance puisse transformer nos sociétés ?

J.B. R. : Il répond que

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🌐 follow Marie-Anne Frison-Roche on LinkedIn

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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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🔓read the working paper below⤵️

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

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► Full Reference: L. Aynès, M.-A. Frison-Roche, J.-B. Racine and E. Silva-Romero (dir.), L'arbitrage international en renfort de l'obligation de Compliance (International Arbitration in support of the Compliance Obligation), Journal of Regulation & Compliance (JoRC) and Institute of World Business Law of the ICC (Institute), Conseil Économique Social et Environnemental (CESE), Paris, February 9, 2024

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🌐consult on LinkedIn a general présentation of this event, which links to a presentation and a report of each speech 

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🏗️This symposium takes place in the cycle of symposiums organised by the Journal of Regulation & Compliance (JoRC) and its partners Universities, focusing in 2023-2024 on the general theme of the Compliance Obligation

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📚The works will then be inserted in the books: 

📕L'obligation de Compliance, to be published in the 📚Régulations & Compliance Serie, co-published by the Journal of Regulation & Compliance (JoRC) and Dalloz, published in French.

📘Compliance Obligation, to be published on the 📚Compliance & Regulation Serie, co-published by the Journal of Regulation & Compliance (JoRC) and Dalloz, published in English.

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► General presentation of the symposium: "Compliance Obligation" appears to be far from International Arbitration if Compliance Law is only understood in terms of binding regulations or even Criminal Law. Arbitration would only have contact with Compliance Obligation in a repulsive way, when a person claims to have enforced a contract before an arbitration court that disregards a compliance prohibition, e.g. corruption or money laundering. It is therefore from a negative angle that the cross-over has taken place.

The fact that Arbitration Law respects the requisite of Criminal Law is nothing new.  Moreover, the power of Compliance in its detection and prevention tools, particularly in terms of evidence, no doubt increases the global efficiency.

But Compliance Obligation is based on Monumental Goals, notably linked to global human rights and active ambitions about environment and climate which, particularly in the value chain economy, take the legal form of compliance clauses, or even compliance contracts, or various commitments and plans, which the parties can ask the international arbitrator to enforce. They will do so even more as arbitrators are often the only international, or even global, judges available.

The use they will do of Contract Law, Quasi-Contract Law, Enforcement Law, Tort Law, reinforces Compliance Law in a global dimension.

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► Interviennent : 

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🧮Read a detailed presentation of the event below⤵️

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

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► Full Reference: M.-A. Frison-Roche, "Préalable : ce qu'est l'obligation de Compliance" ("Prerequisite: the Compliance Obligation"), in L. Aynès, M.-A. Frison-Roche, J.-B. Racine and E. Silva-Romero (dir.), L'arbitrage international en renfort de l'obligation de Compliance (International Arbitration in support of the Compliance Obligation), Journal of Regulation & Compliance (JoRC) and Institute of World Business Law of the ICC (Institute), Conseil Économique Social et Environnemental (CESE), Paris, February 9, 2024

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🧮see the full programme of this event

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🌐consult on LinkedIn a general presentation of this event, which links to a presentation of each speech (in French)

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🧱consult the scientific direction sheet of this event, which gives an account of the various speeches made

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🔲see the slides used to support the presentation (in French)

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🎤see a presentation of the conference "Préalable : ce qu'est un engagement" ("Prerequisite: the Commitment"), given at the same symposium

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🎤see a presentation of the conference "Le renforcement des engagements de Compliance par le renvoi Ex Ante à l'arbitrage international" ("Reinforcing Compliance commitments by referring Ex Ante to International Arbitration") which was finally not pronounced but will be the subject of an 📝article in the forthcoming book 📘Compliance Obligation 

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► Presentation of the conference: I have first dealt with the very definition of the Compliance Obligation.

After showing that the relationship between Compliance Law and International Arbitration will naturally develop, because the companies subject to it are international, because they contractualise their legal Compliance obligations and because Compliance is being jurisdictionalised📎!footnote-3379, the arbitrator being the natural judge since he is a global judge and the judge of the contract, I pointed out that Compliance Law does not simply entrust arbitration with the task of preventing evils, such as corruption pacts, but that it creates positive obligations for companies: to detect and prevent behaviour whose systemic effect is deleterious.

This culture of compliance is achieved either through compliance contracts📎!footnote-3380 (which outsource the handling of audits, alerts, the drawing up of plans, etc.), or through compliance clauses📎!footnote-3380, which are inserted into distribution or supply contracts, etc.; arbitration clauses are linked to these. Thus, the alliance between Compliance and Contract is an indirect mode of alliance between Arbitration and Compliance Obligation.

The obligation of Compliance which then takes concrete form consists for the company not in making effective Ex Ante all the regulations which apply to it (conception of conformity which is at once unreasonable, blind and impossible), but in making its best efforts, which it must make visible (see Compliance Evidence System📎!footnote-3381) to achieve Monumental Goals.

These Monumental Goals are systemic. The aim is to protect systems from collapse (Negative Monumental Goals) or to make them better (Positive Monumental Goals)📎!footnote-3382. By making companies accountable, via this Ex Ante Law whose object is the future, the systemic evils of corruption, money laundering, discrimination, climate change and hatred are combated, thus finding substantial unity. The Positive Monumental Goals aim to engender sustainability, security, respect for human beings, etc. in systems, be they banking, financial, digital, climatic, etc.

The role of the Judge, and therefore also that of the Arbitrator, is renewed.

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► Full Reference: M.-A. Frison-Roche, "Droit de la compliance : tour d'horizon" ("Compliance Law: Overview"), in Droit de la compliance (Compliance Law), École nationale de la magistrature - ENM (French National School for the Judiciary) in collaboration with the École de Formation professionnelle des Barreaux du ressort de la cour d'appel de Paris - EFB (Paris Bar School), Paris, February 1, 2024.

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► This conference is given in French

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🧮see the full programme of this event (in French)

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🌐consult on LinkedIn a general presentation of this event, which links to a presentation of each speech (in French)

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🧱consult the scientific direction sheet of this event, which gives an account of the various speeches made

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🔲see the slides used to support the presentation (in French)

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🎤see a presentation of the other speech about "Compliance et Responsabilité civile : comprendre et raison garder" ("Compliance and Civil Liability: understanding and keeping our heads"), given at the same symposium

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► Presentation of the conference: Compliance Law is mysterious in itself, because it is still in creation📎!footnote-3241, because its presence and power are felt, but it is difficult to grasp it. It is necessary, however, because it deals with the most important, even the most dramatic, facts and carries with it the greatest ambitions. Magistrates must also "make the effort" to participate in the "adventure of Compliance Law", because it affects, and even overturns, all subjects, and because the Prosecutor and the Judge play an increasing role in it📎!footnote-3242.

Because the purpose of this conference is to introduce the two days of a training course designed for magistrates and open to lawyers, it only provides an "overview" of, so that we do not get lost in the sprawling regulations, the global mechanisms and the political ambitions that permeate them.

Therefore, without going into any of the subjects, it is about opening up four ways of entering what is a branch of Law that is being born before our eyes:

1. Understanding Compliance Law through "regulations"

2. Understanding Compliance Law through "tools"📎!footnote-3243

3. Understanding Compliance Law through "methods"

4. Understanding Compliance Law through "goals"📎!footnote-3244

The four approches are legitimate because the four dimensions are articulated in the legal system, notably case law.

But the more positive Law is consolidated, the more its normativity through the goals that give normativity, or even a simplicity without which the whole is not humanly controllable.

These Goals are Monumental and Europe bears them more and better than other areas of the world📎!footnote-3245.

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► Référence complète : M.-A. Frison-Roche, enregistrement et animation d'une série d'entretiens sur le Droit de la Compliance, in J.-Ph. Denis, Fenêtres ouvertes sur la gestion, Xerfi Canal, tenus le 12 décembre 2023, diffusés en 2024.

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► Présentation générale de la série, comprenant les entretiens successifs  : 🧱Compliance - un sujet de choix pour nouer Droit et Gestion : La distinction des disciplines est justifiée, le droit d'une part, la gestion d'autre part : c'est maltraiter la réalité que, notamment, de dissoudre l'une dans l'autre (ce que Jankélévitch appelait "la réduction par déplacement d'une discipline") car chacune doit conserver son ancrage.

Ceci posé, parce que la réalité ne se construit suivant les disciplines, si l'on veut rendre compte de celle-ci, ou au moins en tenir compte, par exemple de la réalité des entreprises, il faut que les disciplines se croisent.

La compliance est un parfait terrain pour cela.

Merci à Jean-Philippe Denis, professeur de gestion, qui est depuis toujours ouvert à ce dialogue, de l'avoir concrétisé plus encore, en permettant une série d'interviews à la croisée du Droit et de la Gestion sur le média Xerfi Canal.

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Dans un premier temps, 4 discussions ont été tenues entre Jean-Philippe Denis et moi-même sur les thèmes suivants :

• 🎬sur la nécessité pratique de faire converger l'analyse juridique et l'analyse de gestionnaire lorsqu'il s'agit de comprendre, maîtriser, promouvoir la compliance. 
• 🎬sur l'existence de différents systèmes de compliance selon les zones du mondes 
• 🎬sur la "civilisation" de la Compliance
• 🎬sur le fait que la Vigilance est la pointe avancée de la Compliance 

Puis, dans un second temps

• 🎬avec 🕴️Jean-Baptiste Racine sur la manière dont l'arbitrage international est apte aujourd'hui à défendre les Buts Monumentaux de la Compliance, notamment les droits humains et les impératifs environnementaux.
• 🎬avec 🕴️Stanislas Pottier de la façon dont les entreprises intègrent cet impératif de compliance, notamment dans sa dimension environnementale, participent à la construction européenne par cette voie, et arrivent à faire connaissance avec ce personnage assez nouveau pour elle, au moins en France : le juge.
• 🎬 avec 🕴️Roch-Olivier Maistre du rôle que joue l'Arcom dans le nouveau système numérique qui se met en place, et quelle articulation se noue entre la Régulation et la Compliance, notamment pour mesurer en quoi la Compliance est un outil utile pour assurer une meilleure supervision des plateformes en ligne et lutter ainsi plus efficacement contre les phénomènes de manipulation de l’information et de haine en ligne.
• 🎬avec 🕴️Eduardo Silva-Romero de l'importance grandissante de l'arbitrage international pour les entreprises, arbitrage qui intègre les intérêts des États et répond aux impératifs de Compliance.
• 🎬avec 🕴️Christophe Lapp de la nécessité pratique de ne pas confondre la Compliance avec la simple conformité, notamment lorsque le juge est saisi, les Buts Monumentaux étant intégrés dans son raisonnement.
• 🎬avec 🕴️Jacques Beyssade du rapport entre la gouvernance et la Compliance, illustré dans une banque mutualiste et plus particulièrement dans le recrutement et la promotion des femmes à des postes de responsabilité.

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🌐consulter sur LinkedIn une présentation générale de cette journée d'enregistrements, renvoyant à une présentation de chaque interview

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🔓consulter ci-dessous une présentation de chaque interview mené avec un expert en Droit sur un sujet particulier de Droit de la Compliance⤵️

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► Full Reference: M.-A. Frison-Roche, "The deployment of Regulatory Law through Compliance Law in the European project", in G. Hardy & F. Picod, Compliance Regulation from a European Perspective, Law and European Affairs (L.E.A.), 2023/2, pp. 345-352.

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🚧read the bilingual Working Paper which is the basis of this article, with additional developments, technical references and hyperlinks 

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► English Summary of the article: 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 that are 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 condi- tion 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, "La rencontre des MARD/PRD avec les Buts Monumentaux de la Compliance" ("The meeting of the alternative dispute resolution mechanisms with Compliance Monumental Goals"), in A. Albarian, S. Brunengo, D. Labrèche et N. Vermeys (dir.), Regards croisés France/Québec: l'essor et l'adaptation des PRD/MARD dans un contexte de crise, Aix-Marseille University, 6 and 7 October 2023.

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🧮see the full programme of this event 

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► Full Reference: M.-A. Frison-Roche, "L'avenir du Droit de la compliance" (The futur of Compliance Law), in Cour de cassation (French Court of cassation), La Nuit du Droit 2023, October 4, 2023. 

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🎥 Watch the video (in French)

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🧮read the full programme of this event

The Cour de cassation (French Court of cassation) had presented 4 successive themes insofar as they affect the future of Law: filiation, artificial intelligence, the environment and compliance.

The President of the Chambre sociale de la Cour de cassation (Social Chamber of the Court of Cassation) gave a presentation on Compliance and the essential role played by the Judge. Then, the Parquet général (Prosecutor General's Office) then asked Fabien Raynaud, Conseiller d'État, about the importance of 'systemic cases' in Compliance Law and the dialogue between judges that it implies, using the Youporn case currently being examined by the judges.

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► General presentation of the speech: As my work has been seminal for Compliance Law, I was asked about the future of Compliance Law.

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► Full Reference: M.-A. Frison-Roche, "Conclusion", in Club des avocats environnementalistes, L’eau : entre protection de la ressource et conflits d’usage, Maison des Avocats, Auditorium, September 28, 2023.

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🧮see the full programme of this event

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► Full Reference: M.-A. Frison-Roche, "Compliance : demandez le programme !" ("Compliance: ask for the programme!), J.D.E., 2023/7, No. 301, p. 349.

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📝read the article (in French)

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🌐see the LinkedIn post presenting this article

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► Summary of the article: Compliance programmes are neither constraints imposed by a 'mad regulator' forcing companies to show in advance that they comply with all the regulations applicable to them, nor are they a delegation by the State of tasks it is incapable of accomplishing, such as eradicating corruption or stopping global warming.

On the contrary, they are a tool in the service of the alliance between public authorities and companies in the pursuit of the Monumental Goals of Compliance Law. Through them, the company implements actions to prevent the systemic risks associated with its activity. It thus assists the authorities in regulating new areas (digital, space) while adopting a sustainable strategy. As a result, it does not suffer from regulations, but participates in shaping the future. In this future, the judge plays a central role in shaping the compliance programmes that will be raised or challenged in 'systemic cases'.

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► Full Reference: M.-A. Frison-Roche, "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"), in M. Torre Schaub, A. Stevignon and B. Lormeteau (ed.), Les risques climatiques à l'épreuve du droit, Mare & Martin, coll. "Collection de l'Institut des sciences juridique et philosophique de la Sorbonne", 2023, pp.73-83

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📝read the article (in French)

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🚧read the bilingual Working Paper which is the basis of this article, with additional developments, technical references and hyperlinks

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► Summary of the article: 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, "Le prolongement du Droit de la Régulation par le Droit de la Compliance : fixer les buts et superviser les moyens", in XXIV Jornadas Internacionales de Derecho Administrativo (XXIVièmes Journées internationales de Droit administratif), Université Externado de Colombie, Bogota, 31 août 2023.

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🧮consulter le programme complet cette manifestation

Présentation de la conférence :  Dans le temps imparti, il n'est pas discuté de la façon dont les États se transforment pour devenir des "États Régulateurs" : cela est exposé dans d'autres contributions. Il est donc ici pris pour acquis que les Etats sont "Régulateurs" à la fois dans leur conception même (c'est-à-dire qu'ils accompagnent l'économie de marché pour l'infléchir en s'appuyant sur elle) et dans des techniques nouvelles, notamment la mise en place des Autorités de Régulation. C'est ainsi que naît une branche spéciale du Droit : le Droit de la Régulation. Celui-ci demeure encore ancré dans le Droit administratif à beaucoup d'égard (cela non plus n'est pas discuté ici).

En quelque sorte, la présente contribution porte sur l'étape suivante, qui consiste au développement de cette sorte d'étape qu'est l'Etat Régulateur, qu'exprime le Droit de la Régulation, dans le Droit de la Compliance. Il convient de conserver ce terme américain de "compliance", malgré toutes ses ambiguïtés, parce que l'instant on n'en a pas trouvé d'autres ...

La conférence est bâtie en dix points, succinctement développés dans le document de travail sous-jacent.

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🚧Lire le document de travail sous-jacent à la conférence.

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► Full Reference: M.-A. Frison-Roche, "Penser et manier la vigilance par ses buts monumentaux de compliance" ("Thinking and using Vigilance through its Compliance Monumental Goals"), in I.Grossi (ed.), La société vigilante, JCP E, No. 31-35, 3 August 2023, pp.16-20.

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📙this article is the introduction of this special issue.

It is linked to the concluding article of this special issue: 📝La vigilance, pièce d'un puzzle européen (Vigilance, a piece of the European puzzle)

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🧮the 2 articles follow on from the introductory and concluding speeches in the colloquium La Société vigilante, held at the University of Aix Marseille on 24 March 2023

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🚧read the bilingual Working Paper which is the basis of this article, with additional developments, technical references and hyperlinks

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► Summary of the article: 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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📝read the article (in French)

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► Full Reference:  M.-A. Frison-Roche et A. Seban, "Compliance : les cours suprêmes s’emparent de la question de ses enjeux juridictionnels" ("Compliance : the Supreme Courts take up the issue of its jurisdictional implications"), interview with Olivia Dufour, Actu-Juridique, 5 July 2023.

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💬read the interview (in French)

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► Presentation of the interview by the journal (in French): "Le 2 juin dernier s’est tenu au Conseil d’État un colloque fondateur sur le rôle du juge dans la compliance. Le professeur Marie-Anne Frison-Roche et le conseiller d’État Alain Seban, qui ont tout deux contribué aux débats, ont accepté de commenter les principaux enseignements des travaux de cette journée."

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► Questions asked (in French): 

• Le colloque « De la régulation à la compliance, quel rôle pour les juges » qui s’est tenu au Conseil d’État le 2 juin dernier a rassemblé juges civils et administratifs. En quoi le juge administratif est-il concerné par la compliance qui semble plutôt une affaire d’entreprises et donc de justice civile et commerciale ? 
• ​Vincent Vigneau, président de la chambre commerciale de la Cour de cassation rappelle que la compliance a plutôt vocation à éviter le juge en se situant ex ante, pourtant on découvre que le juge lui-même accepte de plus en plus de se prononcer en ex ante… qu’en est-il ? 
• Quel peut donc être le rôle du juge dans la compliance ? Peut-il contribuer à faire émerger un droit de la compliance et à l’harmoniser ?  ​
• ​François Ancel semble considérer que le rôle juge va devoir adapter son office à la compliance, il évoque trois concepts : téléologique, soutenabilité et efficacité…
• Le juge dispose-t-il en l’état de tous les outils nécessaires ? Si tel n’est pas le cas, que faut-il créer ?
• En quoi le dialogue des juges, civil/administratif, national/européen, national/international, est-il important ?
• Que veut dire F. Ancel quand il déclare que le juge doit évoluer du constat à la trajectoire ?
• Existe-t-il des domaines où la compliance entre en conflit avec des principes processuels, par exemple le principe de légalité des peines ?
• En quoi la notion de « buts monumentaux », que vous avez créée en 2016, a-t-elle trouvé sa place dans le droit ?

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