Thesaurus
Référence complète : Grandjean, J.P., rapporteur, Rapport sur l'avocat chargé d'une enquête interne, Conseil de l'Ordre des Avocats, Paris, 8 mars 2016.
Thesaurus : Autorité de Contrôle Prudentiel et de résolution (A.C.P.R.)
Référence complète : Autorité de contrôle prudentiel et de résolution (ACPR), commission des sanctions, décision du 29 avril 2021, Cardif Assurance-Vie
Thesaurus : Soft Law
Référence complète : Gauvain, R. et Marleix, O., Rapport d'information sur l'évaluation de l'impact de la loi n° 2016-1691 du 9 décembre 2016 relative à la transparence, à la lutte contre la corruption et à la modernisation de la vie économique, 2021.
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Thesaurus : Textes
►Référence complète : Picod, F., « La lutte contre la fraude, exigence impérieuse d’intérêt général » in Berlin, D. et al. (dir.), La fraude et le droit de l'Union européenne, 1e édition, Bruxelles, Bruylant, 2017, p. 55-70.
Thesaurus : Doctrine
Référence Complète : Europe Economics, Etat des lieux et perspectives des programmes de conformité, Etude réalisée pour le Conseil de la Concurrence, 2008.
Thesaurus : Doctrine
► 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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Thesaurus : Doctrine
► Full Reference: Pottier, S., For European compliance, a vector of economic and political affirmation, 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 (donne by the Journal of Regulation & Compliance): Today's monumental goals, particularly environmental and climatic ones, are of a financial magnitude that we had not imagined but the essential stake is rather in the way of using these funds, that is to determine the rules which, to be effective and fair, should be global. The challenge is therefore to design these rules and organize the necessary alliance between States and companies.
It is no longer disputed today that the concern for these monumental goals and the concern for profitability of investments go hand in hand, the most conservative financiers admitting, moreover, that concern for others and for the future must be taken into account, the ESG rating and the "green bonds" expressing it.
Companies are increasingly made more responsible, in particular by the reputational pressure exerted by the request made to actively participate in the achievement of these goals, this insertion in the very heart of the management of the company showing the link between compliance and the trust of which companies need, CSR also being based on this relationship, the whole placing the company upstream, to prevent criticism, even if they are unjustified. All governance is therefore impacted by compliance requirements, in particular transparency.
Despite the global nature of the topic and the techniques, Europe has a great specificity, where its sovereignty is at stake and which Europe must defend and develop, as a tool for risk management and the development of its industry. Less mechanical than the tick the box, Europe makes the spirit of Compliance prevail, where the competitiveness of companies is deployed in a link with States to achieve substantial goals. For this, it is imperative to strengthen the European conception of compliance standards and to use the model. The European model of compliance arouses a lot of interest. The duty of vigilance is a very good example. It is of primary interest to explain it, develop it and promote it beyond Europe.
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📝 see the general presentation of the book 📘Compliance Monumental Goals in which this article is published
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Thesaurus : Soft Law
► Référence complète : Agence française anticorruption (AFA), Guide du contrôle comptable anticorruption, 2022.
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📧 Lire le commentaire fait par Marie-Anne Frison-Roche de ce guide.
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Thesaurus : Doctrine
► Full Reference: B. Sillaman, "Taking the Compliance U.S. Procedural Experience globally", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, coll. "Compliance & Regulation", to be published.
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📘read a general presentation of the book, Compliance Jurisdictionalisation, in which this article is published
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► Summary of the article (done by the Journal of Regulation & Compliance): The French legal system is evolving, organizing interaction between lawyers with regulators and prosecutors, specially in investigations about corruption or corporate misconduct, adopting U.S. negotiated resolutions such as the Convention judiciaire d'intérêt public, which encourages "collaboration" between them.
The author describes the evolution of the U.S. DOJ doctrine and askes French to be inspired by the U.S. procedural experience, U.S. where this mechanism came from. Indeed, the DOJ released memoranda about what the "collaboration" means. At the end (2006 Memorandum), the DOJ has considered that the legal privilege must remain intact when the information is not only factual in order to maintain trust between prosecutors, regulators and lawyers.
French authorities do not follow this way. The author regrets it and thinks they should adopt the same reasoning as the American authority on the secret professionnel of the avocat, especially when he intervenes in the company internal investigation.
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🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses
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Thesaurus : Doctrine
► Référence complète : Branellec, G. et Cadet, I., "Le devoir de vigilance des entreprises françaises : la création d’un système juridique en boucle qui dépasse l’opposition hard law et soft law", Open Edition, 2017.
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Thesaurus : Doctrine
► Full Reference: O. Douvreleur, "Compliance and Judge ruling only on points of Law", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.
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► Article Summary (done by the Journal of Regulation): Compliance maintains with the judge complex relations, and even more with the judge ruling only on points of Law (in France, the Court de Cassation in the judicial order, the one who, in principle, does not know the facts that he leaves to the sovereign appreciation of the judges ruling on the substance of the disputes. At first glance, compliance is a technique internalised in companies and the place occupied by negotiated justice techniques leave little room for intervention by the judge ruling only on points of Law
However, his role is intended to develop, in particular with regard to the duty of vigilance or in the articulation between the different branches of Law when compliance meets Labor Law, or even in the adjustment between American Law and the other legal systems, especially French legal system. The way in which the principle of Proportionality will take place in Compliance Law is also a major issue for the judge ruling only on points of Law.
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Thesaurus : Soft Law
Référence complète : Response to the Study on Directors’ Duties and Sustainable Corporate Governance by Nordic Company Law Scholars, octobre 2020.
Thesaurus : Doctrine
Thesaurus : Doctrine
► Référence complète : P.-Y. Gautier, « Contre le droit illimité à la preuve devant les autorités administratives indépendantes », Mélanges en l'honneur du Professeur Claude Lucas de Leyssac, LexisNexis, 2018, p.181-193.
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📘 Lire une présentation générale de l'ouvrage dans lequel l'article est publié
Thesaurus : Doctrine
► 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.
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► Article Summary: Compliance, which can be defined first and foremost as obedience to the law, is an issue for the company in that it can choose as a strategy to do or not to do it, depending on what such a choice costs or brings in. This same choice of understanding is offered to the author of the norm, the legislator or the judge, or even the entire legal system, in that it makes regulation more or less costly, and compliance with it, for companies. Thus, when the so-called “Vigilance” law was adopted in 2017, the French Parliament was criticized for dealing a blow to the “international competitiveness” of French companies. Today, it is on its model that the European Parliament is asking the European Commission to design what could be a European Directive. The extraterritoriality attached to the Compliance Law, often presented as an economic aggression, is however a consubstantial effect, to its will to claim to protect beyond the borders. This brings us back to a classic question in Economics: what is the price of virtue?
In order to fuel a debate that began several centuries ago, it is first of all on the side of the stakes that the analysis must be carried out. Indeed, the Law of Compliance, which is not only situated in Ex Ante, to prevent, detect, remedy, reorganize the future, but also claims to face more “monumental” difficulties than the classical Law. And it is specifically by examining the new instruments that the Law has put in place and offered or imposed on companies that the question of international competitiveness must be examined. The mechanisms of information, secrecy, accountability or responsibility, which have a great effect on the international competitiveness of companies and systems, are being changed and the measure of this is not yet taken.
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Thesaurus : 07. Cours d'appel
Référence : Grenoble, 5 nov. 2020, I.D. c/ Société Corin France
Thesaurus : Doctrine
►Référence complète : Galli, M., Une justice pénale propre aux personnes morales : Réflexions sur la convention judiciaire d'intérêt public , Revue de Sciences Criminelle, 2018, pp. 359-385.
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March 13, 2024
Editorial responsibilities : Direction of the collection "Regulations & Compliance", JoRC & Dalloz
► Full Reference: M.-A. Frison-Roche (dir.), L'obligation de compliance, coll."Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published.
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📘 At the same time, a book in English, Compliance Obligation, is published in the collection copublished by the Journal of Regulation & Compliance (JoRC) and the Éditions Bruylant.
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🧮the book follows the cycle of colloquia 2023 organised by the Journal of Regulation & Compliance (JoRC) and its Universities partners.
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📚this volume is one of a series of books devoted to Compliance in this collection.
► read the presentations of the other books:
- further books:
🕴️M.A. Frison-Roche (dir.), 📕Le système probatoire de la compliance, 2025
- previous books:
🕴️M.A. Frison-Roche & M. Boissavy (ed.), 📕Compliance & droits de la défense. Enquête interne - CJIP - CRPC, 2023
🕴️M.A. Frison-Roche (dir.), 📕La juridictionnalisation de compliance, 2023
🕴️M.A. Frison-Roche (dir.), 📕Les buts monumentaux de la Compliance, 2022
🕴️M.A. Frison-Roche (dir.), 📕Les outils de la Compliance, 2021
🕴️M.A. Frison-Roche (dir.), 📕Pour une Europe de la Compliance, 2019
🕴️N. Borga, 🕴️J.-Cl. Marin et 🕴️J-.Ch. Roda (dir.), 📕Compliance : Entreprise, Régulateur, Juge, 2018
🕴️M.A. Frison-Roche (dir.), 📕Régulation, Supervision, Compliance, 2017
🕴️M.A. Frison-Roche (dir.), 📕Internet, espace d'interrégulation, 2016
📚see the global presentation of all the books of the collection.
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► general presentation of the book: Compliance is sometimes presented as something that cannot be avoided, which is tantamount to seeing it as the legal obligation par excellence, Criminal Law being its most appropriate mode of expression. However, this is not so evident. Moreover, it is becoming difficult to find a unity to the set of compliance tools, encompassing what refers to a moral representation of the world, or even to the cultures specific to each company, Compliance Law only having to produce incentives or translate this ethical movement. The obligation of compliance is therefore difficult to define.
This difficulty to define affecting the obligation of compliance reflects the uncertainty that still affects Compliance Law in which this obligation develops. Indeed, if we were to limit this branch of law to the obligation to "be conform" with the applicable regulations, the obligation would then be located more in these "regulations", the classical branches of Law which are Contract Law and Tort Law organising "Obligations" paradoxically remaining distant from it. In practice, however, it is on the one hand Liability actions that give life to legal requirements, while companies make themselves responsible through commitments, often unilateral, while contracts multiply, the articulation between legal requirements and corporate and contractual organisations ultimately creating a new way of "governing" not only companies but also what is external to them, so that the Monumental Goals, that Compliance Law substantially aims at, are achieved.
The various Compliance Tools illustrate this spectrum of the Compliance Obligation which varies in its intensity and takes many forms, either as an extension of the classic legal instruments, as in the field of information, or in a more novel way through specific instruments, such as whistleblowing or vigilance. The contract, in that it is by nature an Ex-Ante instrument and not very constrained by borders, can then appear as a natural instrument in the compliance system, as is the Judge who is the guarantor of the proper execution of Contract and Tort laws. The relationship between companies, stakeholders and political authorities is thus renewed.
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🏗️general construction of the book
The book opens with a double Introduction. The first, which is freely accessible, is a summary of the book, while the second, which is substantial, deals with the future development of the compliance obligation in a borderless economic system.
The first part is devoted to the definition of the Compliance Obligation.
The second part presents commitments and contracts, in certain new or classic categories, in particular public contracts, and compliance stipulations, analysed and qualified regarding Compliance Law and the various relevant branches of Law.
The third part develops the responsibilities attached to the compliance obligation.
The fourth part refers to the institutions that are responsible for the effectiveness, efficiency, and efficacy of the compliance obligation, including the judge and the international arbitrator.
The fifth part takes the Obligation or Duty of Vigilance as an illustration of all these considerations.
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Feb. 8, 2024
Thesaurus : Doctrine
► Référence complète : M. Boissavy, "Compliance et droits de la défense : toujours pour le respect des droits humains", in M.-A. Frison-Roche et M. Boissavy (dir.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", à paraître.
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📕consulter une présentation générale de l'ouvrage, Compliance et droits de la défense - Enquête interne, CIIP, CRPC, dans lequel cet article est publié
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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : L'auteur décrit tout d'abord la Compliance par laquelle l'entreprise voit sa liberté entravée afin que sa puissance serve les buts fixés par les autorités publiques et prévienne la réalisation des risques. Ces "buts monumentaux" sont fixées par les pouvoirs publics pour, soit empêcher la réalisation de risques systémiques, soit réaliser des objectifs bénéfiques pour la société, les êtres humains et l’environnement. Pour ce faire, les entreprises devront enquêter sur elles-mêmes et se dénoncer, cette autodénonciation diminuant les sanctions pénales encourues en raison des infractions qu'elles ont eux-mêmes mis à jour. Ces outils de surveillance facilitent le mécanisme de convention judiciaire d'intérêt public (CJIP). Ils fonctionnent "pour le meilleur" si ces buts monumentaux précités sont ainsi atteints. Ils fonctionnent "pour le pire", si cela est au prix du sacrifice des droits de la défense.
Dans un deuxième temps, il est rappelé l'importance des droits de la défense, leur ancrage dans l'histoire, voire dans le droit naturel, leur position tout en haut de la hiérarchie des normes et, selon l'auteur, l'intégration du principe du contradictoire en leur sein, ainsi que le fait qu'ils s'appliquent y compris en dehors des procès, comme l'a imposé la jurisprudence en matière de licenciement.
C'est pour cela que dans un troisième temps, la contribution affirme que les droits de la défense doivent s'appliquer toujours dans tous les mécanismes de compliance, quand bien même il ne s'agit pas d'un procès, ni d'une sanction au sens strict du terme, notamment dans les enquêtes internes, ces procédures sans procès qui sont avant tout des mécanismes probatoires pour la suite, le plus souvent juridictionnelle. En outre, l'auteur exprime ses interrogations sur l'effectivité des consentements exprimés à l'occasion de la CJIP et de la CRPC.
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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche
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Feb. 1, 2024
Teachings
♾️follow Marie-Anne Frison-Roche on LinkedIn
♾️subscribe to the Newsletter MAFR Regulation, Compliance, Law
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► Full Reference: F. Ancel and M.-A. Frison-Roche, Droit de la compliance (Compliance Law), École nationale de la magistrature - ENM (French National School for the Judiciary), 1 and 2 February 2024, Paris.
This teaching is given in French.
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► Presentation of the Teaching: The two-day session is designed for magistrates and practicing lawyers who are not necessarily specialized, to enable them, based on concrete cases, to understand the issues, objectives, and methods of compliance mechanisms in companies, including the increasing judicialization and the supranational dimension strengthen, modifying the office of the judge and the role of lawyers.
The analysis is made from the angle of Civil Law (contract, tort), Company Law, Labor Law and Criminal Law, but also governance, financial markets, regulatory, climate and digital issues.
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► Organisation of the Teaching: this teaching is open to all judicial members and lawyers. Enrollments are made at the French National School for the Judiciary.
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read below the programme put together and organised by François Ancel and Marie-Anne Frison-Roche⤵️
Jan. 17, 2024
Thesaurus : Doctrine
► Référence complète : M. Durand-Poincloux, D. Apelbaum et P. Sardi-Antasan, "Regards critiques sur le guide AFA/PNF au regard de la place des droits de la défense dans l’enquête interne", in M.-A. Frison-Roche et M. Boissavy (dir.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance" à paraître.
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📕consulter une présentation générale de l'ouvrage, Compliance et droits de la défense - Enquête interne, CIIP, CRPC, dans lequel cet article est publié
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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : Les auteurs présentent le guide publié en 2023 par l'Agence française anticorruption (AFA) et le Parquet national financier (PNF), Les enquêtes internes anticorruption. Guide pratique, en ce qu'ils estiment que les droits de la défense n'y ont pas la place qui devrait être celle impliquée par les principes généraux. Ils estiment que les garanties procédurales sont insuffisantes pour la personne poursuivie.
Plus encore, parce que l'avocat n'y aurait pas les moyens dont il serait légitime qu'il dispose, ce sont les droits de l'entreprise qui procède à l'enquête interne qui sont de ce fait méconnus. Les auteurs en concluent que ce guide opère ainsi une sorte de "retour en arrière" par rapport aux principes qui gouvernent la répression, notamment en ce que le rapport qui résulte de l'enquête n'est protégé par aucun secret.
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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche
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Jan. 17, 2024
Thesaurus : Doctrine
► Référence complète : B. Fiorini, "Approche doctrinale de l’enquête interne et de l’enquête pénale privée", in M.-A. Frison-Roche et M. Boissavy (dir.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", à paraître.
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📕consulter une présentation générale de l'ouvrage, Compliance et droits de la défense. Enquête interne – CJIP – CRPC, dans lequel cet article est publié
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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : L'auteur expose les deux cultures profondément distinctes, voire opposées, entre les systèmes procéduraux répressifs inquisitoires et accusatoires. Les premiers donnent confiance et pouvoir aux officiers publics pour trouver la vérité, les seconds donnent confiance et pouvoir aux parties qui s'opposent dans le litige. Les enquêtes menées à titre privée se développent naturellement dans le second système et pas dans le premier.
Ce second système de pensée est ancré aux Etats-Unis, qui accueille donc naturellement les enquêtes internes menées par les entreprises et y associent les principes procéduraux comme les droits de la défense, le contradictoire et le droit à un avocat. Le premier système, caractéristique des systèmes de Droit continental, est rétif à l'idée même d'enquête pénale privée. C'est pourquoi lorsque le mécanisme d'enquête interne se développe dans l'entreprise, les mécanismes procéduraux précitée y sont moins naturellement associés.
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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche
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Jan. 17, 2024
Thesaurus : Doctrine
► Référence complète : N. Leroy & D. Zucker, "L’apport de la psychologie pour l'effectivité des droits de la défense dans l'enquête interne pour harcèlement au travail", in M.-A. Frison-Roche et M. Boissavy (dir.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance" à paraître.
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📕consulter une présentation générale de l'ouvrage, Compliance et droits de la défense - Enquête interne, CIIP, CRPC, dans lequel cet article est publié
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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : Les auteures, l'une avocate et l'autre psychologue clinique, soulignent tout d'abord les spécificités, et notamment les difficultés propres aux enquêtes internes requises dans les entreprises lorsqu'il s'agit de faits d'harcèlement sexuel ou moral.
L'objet de l'article est de montrer le fruit d'une collaboration étroite entre le juriste et le psychologue dans un tel cas, notamment pour que s'établisse un dialogue où chacun peut s'exprimer et être protégé, ce qui est une façon de faire vivre les droits de la défense.
Dans ce qu'elles qualifient de "regards croisés", requis par le fait que le harcèlement est un "concept psychologique" auquel le Droit attache des conséquences juridiques, il convient de ne pas se limiter à une approche strictement factuelle et organisationnelle.
La maîtrise de la psychologie permet de donner pertinence à des attitudes qui ne sont pas juridiquement répréhensibles. Il convient donc de développer une méthodologie adéquate, par une analyse complémentaire à l'analyse factuelle et juridique, intégrant des indices de personnalité, considérant le stress post-traumatique, décodant ce qui peut être un système de harcèlement. En outre, une méthode doit renforcer la fiabilité des entretiens pour que la parole de chacun puisse y prendre sa place (technique d'audition, renforcement des compétences personnelles)
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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche
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Dec. 20, 2023
Publications
🌐follow Marie-Anne Frison-Roche on LinkedIn
🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law
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► Full Reference: M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, coll. "Compliance & Regulation", 2023.
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► General presentation of the book: Sanctions, controls, appeals, deals: judges and lawyers are everywhere in the Compliance mechanisms, creating unprecedented situations, sometimes without a solution yet available. Even though Compliance was designed to avoid the judge and produce security by avoiding conflict. This jurisdictionalisation is therefore new. Forcing companies to prosecute and judge, a constrained role, perhaps against their nature. Leading to the adaptation of major procedural principles, with difficulty. Confronting arbitration with new perspectives. Putting the judge at heart, in mechanisms designed so that he is not there. How in practice to organize these opposites and anticipate the solutions? This is the challenge taken up by this book.
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► Summary of the book: There have always been Judges and Lawyers in Compliance Law, in particular because this branch of Law is an extension of Regulatory Law in which they have a core place. This results from the fact that the decisions taken in respect of Compliance are contestable in Court, including Arbitration, those issued by the Company, such as those of States or Authorities, the Judge in turn becoming what Compliance Law is effective.
The novelty lies more in the phenomenon of "jurisdictionalisation", that is to say that the trial model penetrates all Compliance Law, and not only the Ex Post part that it includes. Moreover, it seems that this jurisdictionalisation influences the non-legal dimension of Compliance. This movement has effects that must be measured and causes that must be understood. Advantages and disadvantages that must be balanced. If only to form an opinion vis-à-vis Companies that have become Prosecutors and Judges of themselves and others ...: encourage this "Jurisdictionalisation of Compliance", fight it, perhaps influence it? In any case, understand it!
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🏗️General construction of the book:The book opens with a double Introduction. The first, which is freely accessible, consists of a summary of the book, while the second, which is substantial, deals with the need to bring the Judge and the Lawyer into line if Compliance Law is to be the hallmark of States governed by the Rule of Law.
The first Chapter is devoted to what is specific to Compliance Law: the transformation of companies into Prosecutors and Judges of themselves, and even of others. The second Chapter examines the interference between General Procedural Law and Compliance techniques. The third Chapter measures the influence of the reasoning and requirements of Compliance Law in methods of dispute resolution where it has not, with a few exceptions, been present, but where it has a great future: arbitration. Because trials and judgements are indissociable, because legal techniques and the Rule of Law must not be dissociated, and because Compliance techniques could paradoxically be the weapon used to dissociate them, because the power to judge and the procedures surrounding it must not be dissociated, because Compliance and the Rule of Law must therefore be conceived and practised together, the rise in power of one being a sign of the rise in power of the other, and not the price of the weakening of the Rule of Law, the fourth Chapter deals with the role of the Judge in Compliance.
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TABLE OF CONTENTS
DOUBLE INTRODUCTION
🕴️M.-A. Frison-Roche, 📝Main Aspects of the book Compliance Jurisdictionalisation
🕴️M.-A. Frison-Roche, 📝Reinforce the Judge and the Lawyer to impose Compliance Law as a characteristic of the Rule of Law
I. THE COMPANY ESTABLISHED PROSECUTOR AND JUDGE OF ITSELF BY COMPLIANCE LAW
🕴️M.-A. Frison-Roche, 📝The "Judge-Judged". Articulating Words and Things in the face of Conflicts of Interest
🕴️C. Granier, 📝Reflections on the existence of companies’ jurisprudence through Compliance matters
🕴️L.-M. Augagneur, 📝The jurisdictionalisation of reputation by platforms
🕴️A. Bruneau, 📝The compagny judges itself: the Compliance function in the bank
🕴️J.-M. Coulon, 📝Compliance Law in the construction industry and the contradictions, impossibilities and. deadlocks that companies face
🕴️Ch. Lapp, 📝Compliance in companies: the statues of process
🕴️J. Heymann, 📝The Legal Nature of the Facebook "Supreme Court"
🕴️D. Latour, 📝Internal investigations within companies
🕴️A. Bavitot, 📝Shaping the company through negotiated Criminal Justice Agreements. French perspective
🕴️S. Merabet, 📝Vigilance, being a judge and not judge
II. PROCEDURAL LAW IN COMPLIANCE LAW
🕴️N. Cayrol, 📝Procedural Principles in Compliance Law
🕴️F. Ancel, 📝Compliance Law, a new guiding principle for the Trial?
🕴️B. Sillaman, 📝Taking the Compliance U.S. Procedural Experience globally
🕴️S. Scemla, & 🕴️D. Paillot, 📝The difficulty for Compliance Enforcement Authorities to comprehend the Rights of the Defence in compliance matters
🕴️M.-A. Frison-Roche, 📝Adjusting General Procedural Law to Compliance Law by the nature of things
III. ARTICULATION BETWEEN COMPLIANCE LAW AND INTERNATIONAL ARBITRATION
🕴️J.-B. Racine, 📝Compliance and arbitration. An attempt at problematisation
🕴️E. Silva-Romero & 🕴️R. Legru, 📝What place is there for compliance in investment arbitration?
🕴️M. Audit, 📝The arbitrator's position on compliance
🕴️E. Kleiman, 📝The objectives of compliance confronted with the actors of arbitration
IV. THE JUDGE IN COMPLIANCE LAW
🕴️M.-A. Frison-Roche, 📝The Judge, the Compliance Obligation and the Company. The Compliance Evidence System
🕴️J. Morel-Maroger, 📝The application of compliance standards by European Union judges
🕴️S. Schiller, 📝A single judge in the event of an international breach of compliance obligations?
🕴️O. Douvreleur, 📝Compliance and Judge of the Law
🕴️F. Raynaud, 📝The Administrative Judge and Compliance
🕴️E. Wennerström, 📝Some Reflections on Compliance and the European Court of Human Rights
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Dec. 15, 2023
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► Full Reference: M.-A. Frison-Roche, "Adjusting General Procedural Law to Compliance Law by the nature of things", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, coll. "Compliance & Regulation", to be published.
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📝read the article
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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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📘read a general presentation of the book, Compliance Jurisdictionalisation, in which this article is published
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The principal elements of this articles had been presented during the scientific manifestation held on September 23, 2021, at Dauphine University in Paris, coorganised by the Journal of Regulation & Compliance (JoRC) and the Institute Droit Dauphine.
In the book this article is placed in the chapter II about the General Procedural Law in the Compliance Law.
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► Summary of the article (done by the Journal of regulation & Compliance - JoRC): General Procedural law is an invention, essentially due to professor Motulsky, going well beyond the gain that one always has in comparing types of procedures with each other. As he asserted, there is Natural Law in General Procedural Law, in that as soon as there is the Rule of Law Principle there cannot be, whatever the "procedure", even the "process" such and such way of doing things: for example, to decide, to seize the one who decides, to listen before deciding, to contest the one who has decided.
General Procedural Law therefore depends on the nature of things. However, Compliance Law organizes things in a new way. Therefore, both the simple and iron principles of General Procedural Law creep in where we do not expect them at first sight, because there is no judge, this character around whom ordinary procedures fit together. The principles of General Procedural Law are essential in companies. Even if the regulations do not breathe a word about it, it is up to the Judges, in particular the Supreme Courts, to recognize this nature of things because on this effect of nature that General Procedural Law is built: when compliance mechanisms oblige companies to strike, General Procedural law must oblige, even in the silence of the texts, to arm those who can be hit, even stand up against devices that would set aside too much these defenses that are easily considered contrary to efficiency (I).
But because it is a question of making room for this nature of the things of which the Rule of Law Principle entrusts the custody to the Judge and the Lawyer, the General Procedural Law must also adjust itself to what the extraordinary new branch of Law Compliance Law is. Indeed, Compliance Law is extraordinary in that it expresses the political pretention to act now so that the future will not be catastrophic, by detecting and preventing the realization of systemic risks, or even that it is better, by building effective equality or real concern for others. Because it is the Monumental Goals that defines this new branch of Law, a disputed systemic issue, possibly disputed by several parties before a judge, the procedural principles used by the court must be broadened considerably: they must then include civil society and the future (II).
General Procedural Law thus naturally acquires an even more place than in the classic branches of Law since on the one hand it imposes itself outside of trials, particularly in companies and on the other before the courts it involves people who had hardly any place to speak and thinks themselves, especially the systems entering the "causes" of Compliance now debated before the Judge.
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