Thesaurus : Doctrine

 Full Reference: D. Gutmann, "Droit fiscal et Obligation de Compliance" (Tax Law and Compliance Obligation), in M.-A. Frison-Roche (dir.), L'obligation de ComplianceJournal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, forthcoming.

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 English summary of this contribution (done by the Journal of Regulation & Compliance ) : The author takes up the hypothesis of a Compliance Law defined by its Monumental Goals, the realisation of which is entrusted to "crucial operators" and confronts it with Tax Law. The link is particularly effective since these operators possess what governments need in this area: relevant Information.

Going further, Compliance Law can give rise to two types of obligations on the part of these operators, either towards others operators who need to be monitored, corrected or denounced, or towards themselves, when they need to make amends.

In the first part of this contribution, the author shows that Compliance Obligation reproduces the mechanism of a Tax Law which, for large companies, is embroiled in a process of increasing Globalisation. It enables Governments to aspire to the "Monumental Goals" of combating tax optimisation and impoverishing governments, victims of the erosion of the tax base, in the face of the strategies of companies that are more powerful than they are themselves, by using this very power of firms to turn it against them. Companies become the willing or de facto allies of governments, particularly when it comes to recovering tax debts, or assist them in their stated ambition to achieve social justice.  In this way, the State "manages" Tax Law by cooperating with companies.

In the second part, the author outlines the contours of this business Compliance Obligation, which is no longer simply a matter of paying tax. Beyond this financial obligation, it is more a question of mastering Information, particularly when multinational companies are subject to specific tax reporting obligations and are required to reveal their tax strategy, presumed to be transparent and coherent within the group : this legal presumption gives rise to obligations to seek information and ensure coherence, since a single tax strategy is not self-evident in a group.

The author emphasises that companies have accepted the principles governing these new compliance obligations and are tending to transform these obligations, particularly Transparency, into a communication strategy, in line with the ESG criteria that have been developed and a desire for fruitful relations with stakeholders. Therefore the tax relations developed by major companies are being extended not only to the tax authorities, but also to NGOs, by incorporating a strong ethical dimension. This is leading to new strategies, particularly in the area of Vigilance.

The author concludes: « A n’en pas douter, l’obligation de compliance existe bel et bien en matière fiscale. » ("There is no doubt that the Compliance Obligation does exist in tax matters").

 

 

 

 

 

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 Référence complète : M.-A. Frison-Roche, "Le droit processuel, modèle de l'Obligation de Compliance", in M.-A. Frison-Roche (dir.), L'obligation de ComplianceJournal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître

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 Résumé de l'article : Des réflexions commencent à être disponibles pour décrire les relations à construire entre le Droit processuel et l’Obligation de Compliance, ne serait-ce que pour rendre compte du contentieux émergent en matière de compliance, le Droit de la Compliance se juridictionnalisation. Mais cela ne nous apprend rien de spécifique car tout ce qui est happé par un procès est de ce fait mêlé de droit processuel.

Il apparaît même qu’à première vue le Droit de la Compliance n’engendre aucune obligation processuelle, puisqu’il est conçu pour se développer en Ex Ante, évitant à l'entreprise le juge, la compliance by design devant perfectionner cet allégement, la présence de tout procès n’étant qu’un échec, en soi et par les délais et les incertitudes qui y soient par nature associés. C'est même souvent dans l'espoir d'être à l'abri de tout procès que les entreprises affirment pouvoir "se conformer" à toutes les réglementations, à tout instant, en tous lieux, à travers toutes les personnes dont elles répondent. Cela est évidemment impossible. Si cela était, les entreprises seraient alors condamnées par avance à l'occasion de tous les procès possibles, leurs sanctions étant demandées par chacun, procureur public ou procureur privé. Mais c'est confondre Droit de la Compliance et la "conformité", laquelle n'est qu'un outil de cette nouvelle branche du Droit. 

Il ne suffit pas de dire qu'il convient alors de respecter les droits de la défense et l'accès au juge, ce dont nul ne prétend, ou devrait prétendre, se défaire.

L'objet de cette étude est plus de mesurer en quoi le contentieux lorsqu'il porte sur le Droit de la Compliance, c'est-à-dire la charge pour les grandes entreprises de participer à la concrétisation de buts monumentaux en alliance avec les autorités étatiques, ce dont l'obligation de vigilance est la pointe avancée, est transformé de ce fait, créant des obligations processuelles non seulement nouvelles mais d'un nouveau type à la charge des uns comme des autres.

En effet, pour l'instant l'on admet comme à regret la logique processuelle, la présence des juges, et non pas seulement des organes de poursuite (procureurs et collèges des Autorités de régulation et de supervision), et des avocats en défense et non pas seulement en négociation, pour respecter l'Etat de Droit, sorte de tribut que l’on verse, dose d’inefficacité dans l’efficacité, dressant alors les disciplines les unes contre les autres, ici le Droit d’un côté, l’Economie et la Gestion de l’autre. Le plus souvent, on en reste là, soit pour l’admettre et faire un équilibre, soit pour le regretter et attendre de savoir quelle logique l’emportera, entre les droits et obligations processuels d’une part et les droits et obligations de compliance d’autre part.

Il convient au contraire de récuser cette logique de vases communicants.

En effet, le Droit de la Compliance est le prolongement du Droit de la Régulation, qu’il déploie au-delà des secteurs et des frontières, dont la normativité est ancrée dans les Buts Monumentaux fixés par les Autorités politiques et publiques qui visent à ce qu’à l’avenir les systèmes ne s’effondrent pas, voire s’améliorent pour que les êtres humains qui en dépendent n’en soient pas broyés mais au contraire en bénéficient.

Il en résulte un « contentieux systémique de la compliance » dont il résulte des principes processuels spécifiques. Il convient tout d’abord de préciser ce qu’est une « cause systémique », notion que j’ai proposée en 2021, et à laquelle correspondent les cas qui sont aujourd’hui portés devant les tribunaux. La spécificité de ces contentieux systémiques émergents de compliance, qui sont des contentieux objectifs, proches de ce que connaît le contentieux administratif, ce qui justifie notamment pleinement la présence du ministère public et pose la question de savoir s’il existerai un « juge naturel » de ce contentieux systémique de la compliance, ont des conséquences processuelles majeures, notamment sur les droits et obligations processuels : notamment le droit d’être partie à l’instant, même si l’on est partie au litige, ce qui est le cas des parties prenantes.

Il en résulte une nouvelle alliance entre l’Obligation de Compliance et le Droit processuel, qui engendre des obligations de compliance de nature processuelle au sein même du Droit de la Compliance. Il convient en effet de ne plus scinder l’Ex Ante et l’Ex Post, mais d’emprunter des principes de compliance pour les insérer dans les procédures juridictionnelles, comme le conçoit le Haut Conseiller François Ancel (passage de l’Ex Ante vers l’Ex Post), tandis qu’il convient d’insérer des principes processuels dans les obligations de compliance au sein des entreprises (passage de l’Ex Post vers l’Ex Ante), comme l’a montré l’ouvrage sur La Juridictionnalisation de la Compliance. Cela est particulièrement illustré  à propos de l’Obligation de Vigilance, pointe avancé de l’Obligation de Compliance.

Cela est particulièrement pertinent à propos de trois Obligations processuelles qui désormais doivent structurer les obligations de compliance dans les comportements des entreprises et des parties concernées indépendamment même de tout procès, le juge éventuellement saisi devant vérifier leur accomplissement de part et d'autre et les favoriser, ce qui engendre pour lui un office Ex Ante : l’obligation de discuter (principe du contradictoire), l’obligation d’information (système probatoire) et l’obligation de démontrer (principe de la motivation).

Dans cette évolution non seulement l'obligation processuelle de donner accès, d'organiser des voies de recours, d'écouter l'autre, obligation processuelle qui peut être réciproque surtout lorsqu'il s'agit d'écouter l'autre et de prendre en considération ce qu'il dit, trace devant en être trouvé dans la motivation (par exemple du plan de vigilance), l'obligation processuelle trouve alors sa nature profonde : le prototype de l'obligation de compliance.

Cette alliance change à la fois le Droit de la Compliance et le Droit processuel, puisque cela change plus largement l’office du juge, qui doit veiller à l'effectivité de ces obligations processuelles dans un continuum entre l'Ex Post et l'Ex Ante. Mais cette question de l’office du juge est l’objet d’une contribution autonome.

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Thesaurus : Doctrine

 Full Reference: M. Torre-Schaub, "La compliance environnementale et climatique" (Environmental and climate compliance), in M.-A. Frison-Roche (dir.), L'obligation de ComplianceJournal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", forthcoming

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 Summary of this contribution  (done by the Journal of Regulation & Compliance) : The author starts from the fact that Compliance Law, in that it is not limited to conformity process, and Environmental Law are complementary, both based above all on the prevention of risks and harmful behaviour, environmental crises and the right to a healthy environment involving the strengthening of Environmental Vigilance. It is all the more important to do this because definitions remain imprecise, not least those of Environment and Climate, which are diffuse concepts.

Firstly, the contribution sets out the purpose of Environmental Compliance, which is to ensure that companies are vigilant with regard to all kinds of risks: they put in place and follow a series of processes to obtain "progress" in accordance with a standard of "reasonable vigilance". This requires them to go beyond mere conformity and encourages them to develop their own soft law tools within a framework of information and transparency, so that the climate system itself benefits in accordance with its own objectives.

Then the author stresses the preventive nature of Environmental Vigilance mechanisms, which go beyond providing Information to managing risks upstream, in particular through the vigilance plan, which may be unified or drawn up risk by risk, and which must be adapted to the company, particularly in the risk mapping drawn up, with assessment being carried out on a case-by-case basis.

Lastly, in the light of recent French case law, the author describes the implementation of the system, which may bring the parties before the Tribunal judiciaire de Paris (Paris Court of First Instance) and then the specialised chamber of the Paris Court of Appeal. The author believes that judges must clarify the obligation of Environmental Vigilance so that companies can adjust to it, and these 2 courts are in the process of doing so.

 

 

 

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 Référence complète : M.-A. Frison-Roche, "Articulation systémique entre Vigilance, Due diligence, conformité et Compliance : la Vigilance, part totale de l’Obligation de Compliance", in M.-A. Frison-Roche (dir.), L'obligation de ComplianceJournal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître

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📝lire l'article

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 Résumé de l'article : Le "devoir de vigilance" déchaine d'autant plus de positions radicales et passionnées, parfois chez les professeurs de droit, qu'il n'a pas été défini. L'on emploie un mot pour un autre, par mégarde ou par dessein, par dessein si l'on peut attirer tel ou tel élément d'un régime juridique de l'on convoite, par mégarde car c'est souvent par inadvertance que les mots du Droit sont maltraités.  L'exercice même de définition, notamment celui très périlleux de "devoir" étant mené dans la partie de l'ouvrage visant à "cerner l'obligation de compliance", il s'agit ici de démêler ce que l'on semble utiliser l'un pour l'autre : la vigilance, le duty of care, la due diligence. 

La loi française de 2017 dite "Vigilance" reprenant les dispositifs techniques de la loi de 2016 dite "Sapin 2", avec les plans, les audits, etc., cela renvoie au Droit de la compliance, auquel l'on substitue souvent le terme de "conformité", avec des conséquences pratiques très dommageables, comme on le fit il y a 20 ans quand on affirmait que le "Droit de la Régulation" devait être dénommé le "Droit de la réglementation"!footnote-3440.

Chacun de ces termes renvoient à des notions différentes. Le Législateur n'aide pas puisqu'il les utilisent souvent les uns pour les autres, le passage entre l'anglais et le français valant circonstance atténuante mais laissant le dysfonctionnement entier.

Il convient donc tout d'abord de redonner à chacun de ces termes juridiques leur signification (I). Il apparaît ainsi que le la Vigilance est la "pointe avancée" du Droit de la Compliance, lequel ayant été distingué de ce qui n'est que son outil, à savoir la "conformité". 

En effet, la Vigilance est une "pointe avancée en ce qu'elle est qui donne plus de visibilité à un système plus vaste qu'est le Droit de la Compliance, ce qui justifie donc un esprit de système et implique une méthode de réalisation du Droit qui est ici de nature téléologique, puisque le Droit de la Complique puise sa normativité dans les Buts Monumentaux, ce dont la technique de vigilance donne un exemple éclatant à travers le souci de l'environnement et des droits subjectifs de la personne (II).

A partir de ces bases méthodologiques, il est possible de s'extraire de la masse réglementaire qui prolifère dans les sujets de vigilance qui ne sont en rien limités à la loi  de 2017, pour traiter les sujets impliqués par la Vigilance en la replaçant dans le système du Droit de la Compliance, sans la pulvériser dans toutes les réglementations sectorielles où elle est déjà très présente ni être suspendu à l'adoption ou pas à la Directive européennes, ni se demander si un juge ou un autre va décider d'une façon ou d'une autre. 

En effet, ce Droit de la Compliance produit ce que j'ai pu qualifier de "causes systémiques", qui sont portées devant le juge, notamment par des parties prenantes, ce qui est en train de produire un renouvellement de l'office du juge (III). En raison d'un activisme judiciaire d'organisations, c'est par cette pointe avancée de la Vigilance que l'ensemble du Droit de la Compliance est en train de mettre le Juge au centre, comme cela fût montré dans l'ouvrage de 2023 La juridictionnalisation de la compliance, puis repris par le Conseil d'Etat et la Cour de cassation dans l'ouvrage à paraître De la Régulation à la Compliance : la place du juge. 

L'évolution du Droit positif confirme que la Vigilance est donc la "part totale" du Droit de la Compliance.

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mafr, Compliance et conformité : les distinguer pour mieux les articuler, 2024.

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 : 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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Lire le rapport. 

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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

 Référence complète : Th. Goujon-Bethan, "Les enjeux présents à venir de l’articulation des principes de procédure civile et commerciale avec la logique de compliance", in M.-A. Frison-Roche (dir.), L'Obligation de ComplianceJournal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître

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📕lire une présentation générale de l'ouvrage, L'Obligation de Compliance, dans lequel cet article est publié

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 Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : L'auteur montre que le Code de procédure civile, parce qu'il est exceptionnellement bien conçu et dirigé, peut répondre à l'ampleur de la transformation que le Droit de la Compliance apporte.

Le Droit de la Compliance est normativement ancré dans ses Buts Monumentaux : ceux-ci sont portés en tant que tels devant le juge dans des "causes systémiques".

Or, le Code de procédure civile distingue, et les travaux des auteurs du Code comme ceux de la doctrine le montrent, qu'il faut distinguer le litige et le conflit. En effet, dans une "cause systémique" telle que le Droit de la Compliance les emporte nécessairement (climat, protection des internautes, égalité effective des êtres humains, durabilité des systèmes bancaires, etc.) ce sont des parties qui sont en litiges, tandis que le conflit embrasse lui les systèmes eux-mêmes et d'autres entités.
La procédure doit intégrer non seulement le litige mais encore le conflit. Cela implique notamment que l'on s'occupe non seulement du litige, mais encore du conflit, lequel ne s'éteint pas nécessairement avec le litige, et ne trouve pas les mêmes solutions que celles demandées par le litige. C'est notamment dans cette dernière perspective, essentiellement dans une procédure de "Cause Systémique de Compliance" que les techniques de médiation, d'amicus curiae, d'un juge qui se situe ex ante, etc., s'imposent. Elles sont disponibles à travers des articles du Code de procédure civile : il suffit que les juges, comprenant ce que sont les "Causes Systémiques de Compliance" s'en saisissent.

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Nov. 26, 2024

Conferences

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► Full ReferenceM.-A. Frison-Roche, "L'impact du contentieux systémique sur l'office du juge" ("The Impact of Systemic Litigation on the Judge's Office"), Université libre de Bruxelles - ULB, 26 November 2024, Brussels

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► Summary of the conference

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Sept. 25, 2024

Organization of scientific events

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 Full ReferenceM.-A. Frison-Roche, coordination of the conference L'incidence du devoir de vigilance sur les litiges commerciaux (The impact of the duty of vigilance on commercial litigation), Tribunal de commerce de Paris (Paris Commercial Court), Droit & Commerce and Association Française en Faveur de l'Institution Consulaire (AFFIC), Tribunal de commerce de Paris, September 25, 2024, 1 p.m. to 6 p.m.

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► General presentation of the conference

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Sept. 19, 2024

Conferences

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► Full ReferenceM.-A. Frison-Roche, "Comment s’adapter au contentieux émergent de la compliance" ("How to adapt to Emerging Compliance Litigation"), in Association nationale des juristes de banque (ANJB), September 19, 2024, Paris,

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This conference is being held with another speaker, Maître Jean-Pierre Picca.

It is followed by a discussion with the audience.

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🧮see the full programme of this manifestation

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► English Summary of this conference: Compliance Law is a new branch of Law, teleological in nature, whose legal normativity is rooted in its goals.These are systemic goals of preserving systems by detecting the risks that weaken them and preventing the failures that can destroy them. It is therefore an Ex Ante branch of Law, the implementation of which will weigh on the "entities" in a position to detect risks and prevent failures so that these systemic goals are achieved.  As such, they are "Monumental Goals" in that they are political goals aimed at complete systems. It is therefore essential to distinguish between "conformity Law", which simply consists of "complying" with the applicable regulations, and Compliance Law, which consists of contributing to the achievement of these "Monumental Goals", either by force (legal obligation) or by choice (raison d'être, company with mission, contractual obligation, CSR). In this respect, Compliance Law is both much more limited in its aims and much more ambitious, since it is about building the future rather than mechanically complying with regulations.

The banking sector, which can be considered an exception to the principle of Competition, which is based on extreme mobility and the absence of rents, the destruction of the weakest, risk-taking, the lack of solidity of the operator posing no problem, appears to be the paragon of the principle of Compliance, which is based on the sustainability of systems ensured by the solidity of the operators themselves, their solidarity, the exchange of information, and integrated supervisors. For example, the duty of vigilance and the information about others, and the Regulation through Supervision were born in this sector, which has internalised this sectoral concern in the banks, itself the bearer of a general concern, particularly in the European conception of continental banking. the European Banking Union  increasing this concern.

As a result, banks will internalise concerns about the future that go beyond safeguarding the banking sector, such as preventing systemic climate risk or educating the population or safeguarding people in vulnerable situations.

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The litigation that shall ensue is itself highly specific. The topic of this conference is to provide the keys to understanding how banks must play their part.

Emerging Compliance Litigation is systemic in nature. It is a reflection of the Ex Ante organisation whereby entities are asked to make a contribution to the achievement of Monumental Goals. In a dispute between two opposing parties, an individual or an NGO or a trade union or a municipality or a State and a bank, a conflict arises between what might be called the party claiming to represent the present and future interests of a system, for example the climate system or the social relations system, and the bank which has a legally imposed "compliance obligation" to help protect this system.

The author who described this perfectly was Chaïm Perelman, particularly in his 1978 book, Logique juridique, which describes audience circles.

We need to understand the systemic construction of the judicial instance.

The bank must not let to be confined itself solely to its role as litigant, while the other party, for example an NGO, in its role as guardian of "civil society" or the "climate system" or the "effective equality between human beings", going beyond this first circle between the litigans and brings the system itself into the proceedings. 

This is where the adaptation has to take place. 

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This adaptation is procedural, evidentiary and substantive.

 

July 10, 2024

Publications

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► Full Reference: M.-A. Frison-Roche, "Devoir de vigilance : progresser" (Duty of vigilance: the way forward), in A. Bres & C. Maubernard (dir.), Le devoir de vigilance des entreprises : l'âge de la maturité ? (The duty of vigilance: the age of maturity?), Bruylant, coll. "Droit & Economie", to be published.

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📝read the article (in French) 

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🚧 read the bilingual Working Pape on which this article has been made, with more developments, technical references and hypertext links. 

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

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

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

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

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

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Updated: July 8, 2024 (Initial publication: Dec. 15, 2023)

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

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

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

 

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

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

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

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

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

 

 

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🔓read the Working Paper below⤵️

June 19, 2024

Thesaurus : Soft Law

► Référence complète : Commission d'enquête du Sénat, Les moyens mobilisés et mobilisables par l’État pour assurer la prise en compte et le respect par le groupe TotalEnergies des obligations climatiques et des orientations de la politique étrangère de la France, juin 2024, 350 p.

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📓lire le rapport

📓lire les comptes rendus des auditions

📓lire l'essentiel du rapport 

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📺Se reporter à la présentation de l'audition des professeurs M.-A. Frison-Roche, G. Leray et J.-B. Racine

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June 14, 2024

Publications

.🌐suivre Marie-Anne Frison-Roche sur LinkedIn

🌐s'abonner à la Newsletter MAFR Regulation, Compliance, Law 

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 Full Reference: M.-A. Frison-RocheDesigning the Uniqueness of the Compliance Obligation without diluting it, June 2024.

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📝This working paper was drawn up to serve as the basis for the second introductory article in the book Compliance Obligation, the first having presented all the contributions to the book.

 

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 Summary of this Working Paper: Des

 

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🔓lire le document de travail ci-dessous⤵️

June 13, 2024

Thesaurus : 06.1. Textes de l'Union Européenne

 Full Reference: Directive (EU) 2024/1760 of the European Parliament and of the Council of 13 June 2024 on corporate sustainability due diligence and amending Directive (EU) 2019/1937 and Regulation (EU) 2023/2859 (CS3D)

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► read the text of the directive

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📧see on LinkedIn the article published by Marie-Anne Frison-Roche in the Newsletter MAFR. Regulation, Compliance, Law, on the occasion of the publication of this directive in the Official Journal of the European Union

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June 13, 2024

Interviews

 Full reference:  M.-A. Frison-Roche, "Entreprises et compliance : une justice et des juges plus offensifs" ("Companies and compliance: more aggressive courts and judges"), interview conducted by Jean-Philippe Denis as part of a series of interviews on Compliance Law, in Fenêtres ouvertes sur la gestion (Open windows on management), broadcast by J.-Ph. Denis, Xerfi Canal, recorded December 12, 2023, released on June 14, 2024.

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🌐consult the December 2023 presentation of the interview on LinkedIn

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🎥watch the interview video on LinkedIn, with English subtitles

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🧱consult the general presentation of this series of interviews on Compliance Law

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 Starting point: Since 2016, Marie-Anne Frison-Roche has been building Compliance Law, notably through a collection co-published in French with Editions Dalloz and co-published in English with Editions Bruylant: 

🧱read the presentation in English of the series in French, Régulations & Compliance ➡️click HERE 

🧱read the presentation of the series in English, Compliance & Regulation ➡️click HERE

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 Summary of interview:

 

Jean-Philippe Denis. Question : 

Marie-Anne Frison-Roche.  Answer. 

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J.-Ph D. Q. : Thus

MaFR. A. : Yes, 

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J.-Ph. D. Q. : Thus

MaFR. A. : Yes, 

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Updated: June 12, 2024 (Initial publication: May 20, 2023)

Publications

.🌐follow Marie-Anne Frison-Roche on LinkedIn

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____

 Full ReferenceM.-A. Frison-RocheGeneral Procedural Law, prototype of Compliance Obligation, Working Paper, 2023-2024.

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🎤 This working paper was drawn up as a basis for the presentation "Droit de la Compliance et Droit processuel" ("Compliance Law and General Procedural Law") at the colloquium on 13 June 2023, , and then completed for publication.

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📝It is therefore also the basis for the written contribution, "The General Procedural Obligation, prototype of the Compliance Obligation", in the book to be published Compliance Obligation

 

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 Working Paper summary: Thoughts are beginning to be available to describe the relationships to be built between General Procedural Law and Compliance Obligation, if only to explain the Emerging Systemic Litigation in compliance matters, Compliance Law becoming jurisdictionalised. But this does not tell us anything specific, because everything that is caught up in a lawsuit is therefore mixed up with General Procedural Law.

It would even appear that, at first sight, Compliance Law does not give rise to any procedural obligations, since it is designed to be developed on an Ex-Ante basis, avoiding the judge for the enterprise, compliance by design being intended to perfect this alleviation, the presence of judicial proceedings being a failure in itself and because of the delays and uncertainties which are inherently associated with them. It is often in the hope of being protected from legal action that enterprises claim to be able to 'be conform' with all regulations, at all times, in all places, through all the people for whom they are responsible. This is obviously impossible. If it were, enterprises would be condemned in advance in all possible legal proceedings, their sanctions being demanded by everyone, public prosecutor or private prosecutor. But this is to make a grave confusion between Compliance Law with 'conformity', which is merely a tool of this new branch of the Law. 

Nor is it enough to say that the rights of the defence and access to the courts must be respected, which no one denies or should not deny.

The purpose of this study is more to measure how Litigation relating to Compliance Law, i.e. the Obligation on large enterprises to participate in the achievement of Monumental Goals in alliance with the state authorities, of which the duty of vigilance is the most advanced, is transformed, creating not only new procedural obligations but also a new type of Obligation on the part of both parties.

But for the moment we reluctantly accept the procedural logic, notably the presence of judges and not just prosecuting bodies (public prosecutors and colleges of regulatory and supervisory authorities), and lawyers in defence and not just in negotiation, in order to respect the Rule of Law principle, as a sort of tribute paid, a dose of inefficiency in efficacy system. This sets the disciplines against each other, in this case Law on the one hand, Economics and Management on the other. More often than not, we leave it at that, either to admit it and strike a balance, or to regret it and wait to see which logic will prevail, between procedural rights and obligations on the one hand and compliance rights and obligations on the other.

 

 

 

 

 

On the contrary, we must reject this logic of communicating vessels.

Indeed, Compliance Law is an extension of Regulation Law; Regulatory Law, which extends beyond sectors and borders, and whose normativity is anchored in the Monumental Goals set by political and public authorities, which aim to ensure that in the future systems do not collapse, or even improve, so that the human beings who depend on them are not crushed by them but, on the contrary, benefit from them.

The result is "Systemic Compliance Litigation", which gives rise to specific procedural principles. First of all, it is important to clarify what a "Systemic Case" is, a concept proposed in 2021, and to which the cases that are now being brought before the courts correspond. The specific nature of these Emerging Systemic Compliance Litigation, disputes which are objective disputes, similar to administrative cases, which fully justifies the presence of the public prosecutor and raises the question of whether there would be a 'natural judge' for these systemic compliance disputes, have major procedural consequences, in particular on procedural rights and obligations: in particular the right to be a party to the proceedings, even if you are a party to the dispute, which is the case for the stakeholders.

The result is a new alliance between Compliance Obligation and General Procedural Law, which gives rise to a Compliance Obligations of a procedural nature within Compliance Law itself. It is no longer necessary to divide Ex-Ante and Ex-Post, but to borrow compliance principles and insert them into jurisdictional procedures, as envisaged by Justice François Ancel (moving from Ex Ante to Ex Post), while it is necessary to insert procedural principles into Compliance Obligations within enterprises (moving from Ex-Post to Ex-Ante), as shown in the book on Compliance Jurisdictionalisation. This is particularly illustrated in relation to the Duty of Vigilance / corporate sustainability due diligence.

This is particularly relevant in relation to three general procedural obligations which must henceforth structure the compliance obligations in the behaviour of the enterprises and parties concerned, even independently of any legal proceedings requirements, since the judge may be called upon to verify their fulfillment on both sides and to encourage them, which gives rise to an Ex-Ante office of the judge: the obligation to discuss (adversarial principle), the obligation to provide information (evidentiary system) and the obligation to demonstrate (principle of the motivation).

In this development, not only is the procedural obligation to provide access, to organise remedies, to listen to the other party - a procedural obligation which can be reciprocal, especially when it involves listening to the other party and taking into account what they say, a trace of which must be found in the reasons given (for example for the vigilance programs) - the procedural obligation then finds its profound nature: to be the prototype of the Obligation of Compliance.

This alliance changes both Compliance Law and General Procedural Law, since it more broadly changes the office of the judge, who must ensure the effectiveness of these procedural obligations in a continuum between Ex-Post and Ex-Ante. But this question of the office of the judge is the subject of a separate contribution in this book.

 

 

 

 

 

 

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🔓read the developments below⤵️

June 12, 2024

Conferences

🌐follow Marie-Anne Frison-Roche on LinkedIn

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 Full ReferenceM.-A. Frison-Roche, Participation in the panel "Une Gouvernance responsable : vers un mieux vivre ensemble ?" ("Responsible governance: towards a better way of living together"), in Grenelle du Droit 5. L'avenir de la filière juridique, Association française des juristes d'entreprise ("The future of the legal profession"), AFJE), Cercle Montesquieu and Paris Panthéon-Sorbonne University, Campus Port-Royal Université Paris 1 Panthéon-Sorbonne, 1 rue de la Glacière, 75013 Paris, June 12, 2024

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

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🎥watch the interview made just after this round-table discussion (in French)

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🪑🪑🪑🪑🪑 will also be taking part in this round-table discussion:

🕴️Yves Garagnon, Chairman of Dilitrust,

🕴️Pierrick Le Goff, lawyer, partner at De Gaulle Fleurance,

🕴️Sabine Lochmann, Chairman of Ascend,

🕴️Vincent Vigneau, President of the Commercial, Economic and Financial Chamber of the Cour de cassation (French Judicial Supreme Court)

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 English presentation of my intervention in this event's opening plenary  round-table: In this plenary round table which opens the event, devoted to the theme of 'responsible corporate governance', for my interventions based on my work I will have the opportunity to address more particularly these different perspectives:

  • How the new Compliance Law, which gives concrete expression to the responsibility of enterprises in a new relationship with States and with civil society, constitutes a 'legal revolution
  • 💡for the record, mafr,📝Compliance Law, 2016 ; (ed.) 📘Compliance Monumental Goals, 2022

 

  • how the judgment handed down by the Tribunal judiciaire de Paris (Paris First Instance Civil Court) on 28 February 2023 (Total Ouganda case) is remarkable and already constitutes a turning point in case law
  • 💡for the record, mafr, 🎤audition as amica curiae, hearing of 26 October 2022 before the first instance Paris Court; (ed)📘Compliance Jurisdictionalisation, 2024

 

 

 

 

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read the  article about this round table written by Delphine Bauer in Actu-Juridique (in French)

June 12, 2024

Editorial responsibilities : Direction of the collection "Regulations & Compliance", JoRC & Dalloz

🌐follow Marie-Anne Frison-Roche on LinkedIn

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 Full ReferenceM.-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 (ed.), 📕Le système probatoire de la Compliance, 2025

 

  • previous books:

🕴️M.-A. Frison-Roche & M. Boissavy (eds.), 📕Compliance et droits de la défense. Enquête interne - CJIP - CRPC, 2023

🕴️M.-A. Frison-Roche (ed.), 📕La juridictionnalisation de Compliance, 2023

🕴️M.-A. Frison-Roche (ed.), 📕Les Buts Monumentaux de la Compliance, 2022

🕴️M.-A. Frison-Roche (ed.), 📕Les outils de la Compliance2021

🕴️M.-A. Frison-Roche (ed.), 📕Pour une Europe de la Compliance2019

🕴️N. Borga, 🕴️J.-Cl. Marin and 🕴️J.-Ch. Roda (eds.), 📕Compliance : l'Entreprise, le Régulateur et le Juge, 2018

🕴️M.-A. Frison-Roche (ed.), 📕Régulation, Supervision, Compliance2017

🕴️M.-A. Frison-Roche (ed.), 📕Internet, espace d'interrégulation, 2016

 

📚see the global presentation of all the books of the collection.

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► General presentation of this book: Compliance is sometimes presented as an inescapable mechanism , which is tantamount to seeing it as the legal Obligation par excellence, Criminal Law being its most appropriate mode of expression. But this is not so obvious. Moreover, it is becoming difficult to unify all Compliance Tools, which encompass moral representations of the world, and even cultures specific to each company, so that Law can only produce incentives or produce soft law. As a result, Compliance Obligation appears as very difficult to define.

These hesitations reflect the youth of this Compliance Law under construction. Identified through juxtaposed special laws, for each of which specialists have come forward, it is nonetheless taking shape with its own normativity, anchored in its Monumental Goals. Because the notion of Obligation is as old as Law itself, the Obligation of Compliance is confronted with all the branches of Law, and more particularly, with all due respect, with Contract and Tort Law.

But Compliance has long been a practice, effectiveness, efficacy and efficiency being among its principles. How can all these ambitious declarations be put into effect? Is there not a hint of a gap between the grandiloquence of this declared Compliance Obligation and what actually happens? The practical question of how to compel is, in this new branch of Law, a question of law.

In order to have a more accurate perception of the Obligation of Compliance and therefore to better measure its future, it is advisable to end up taking its Advanced Point, which is the Obligation of Vigilance, clearer and stronger than the other instruments, having Monumental Goals, placing the Judge more clearly at the centre, developing in an already more visible way the power of this Obligation of Compliance which abstracts itself as necessary from borders and claims to express sovereignties.

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🏗️general construction of this 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 unified conception that we can, and indeed should, have, of the "Compliance Obligation", without losing the concrete and active character that characterises this branch of law.

The first Part of the book aims to define the Compliance Obligation. To this end, Chapter I deals with the Nature of this obligation. Chapter II deals with the Spaces of the Compliance Obligation.

The Part II aims to articulate the Compliance Obligation with other branches of Law. 

The Part III of the book looks at the way in which the possibility of obliging and the means of obliging are provided.  To this end, Chapter I deals with the Convergence of the Sources of the Compliance Obligation. Chapter II considers International Arbitration as a reinforcement of the Compliance Obligation. To this end, Chapter I deals with the Convergence of the Sources of the Compliance Obligation. Chapter II considers International Arbitration as a reinforcement of the Compliance Obligation. 

The last Part of the book is devoted to Vigilance, the leading edge of the Compliance Obligation. Chapter I is devoted to a study of the various sectors, and analyses the Intensities of the Vigilance Obligation. Chapter II deals with the Variations in Tension generated by the Vigilance Obligation. Finally, Chapter III deals with the New Modalities of the Compliance Obligation, highlighted by the Vigilance Imperative.

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TABLE OF CONTENTS 

 

L’OBLIGATION DE COMPLIANCE : VISION D’ENSEMBLE

(COMPLIANCE OBLIGATION : OVERVIEW)

Section 1 ♦️ Lignes de force de l’ouvrage L'Obligation de Compliance (Main Aspects of the Book L'Obligation de Compliance), by 🕴️Marie-Anne Frison-Roche

Section 2 ♦️ Concevoir l'Obligation de Compliance : faire usage de sa position pour participer à la réalisation des Buts Monumentaux de la Compliance (Conceiving the Compliance Obligation: using its position to help achieve Compliance Monumental Goals), by 🕴️Marie-Anne Frison-Roche

 

TITRE I.

CERNER L’OBLIGATION DE COMPLIANCE 

(IDENTIFYING THE COMPLIANCE OBLIGATION)

 

CHAPITRE I : LA NATURE DE L’OBLIGATION DE COMPLIANCE

(CHAPTER I: THE NATURE OF THE COMPLIANCE OBLIGATION)

Section 1 ♦️ La Volonté, le Cœur et le Calcul (Will, Heart and Calculation), by 🕴️Marie-Anne Frison-Roche

Section 2 ♦️ La dette comme fondement de l'obligation de compliance (Debt, a concept underpinning the Compliance Obligation), by 🕴️Bruno Deffains

Section 3 ♦️ Obligation de Compliance et droits humains (Compliance Obligation and Human Rights), by 🕴️Jean-Baptiste Racine

Section 4 ♦️ Les mutations de la souveraineté et l'Obligation de Compliance (Changes in Sovereignty and the Compliance Obligation), by 🕴️René Sève

 

CHAPITRE II : LES ESPACES DE L’OBLIGATION DE COMPLIANCE (SPACES OF THE COMPLIANCE OBLIGATION)

Section 1 ♦️ Entités industrielles et Obligation de Compliance (Industrial entities and Compliance Obligation), by 🕴️Etienne Maclouf

Section 2 ♦️ L'Obligation de Compliance dans les chaînes de valeur (The Compliance Obligation in Value Chains), by 🕴️Lucien Rapp

Section 3 ♦️ Compliance et conflits de lois. Le droit international de la vigilance-conformité à partir de quelques applications récentes sur le continent européen (Compliance and conflict of laws. International Law of Vigilance-Conformity, based on recent applications in Europe), by 🕴️Louis d'Avout 

 

TITRE II.

ARTICULER L’OBLIGATION DE COMPLIANCE AVEC DES BRANCHES DU DROIT

(ARTICULATING THE COMPLIANCE OBLIGATION WITH BRANCHES OF LAW)

 

Section 1 ♦️ Dimensions constitutionnelles de l'Obligation de Compliance (Constitutional dimensions of the Compliance Obligation), by 🕴️Stéphane Mouton

Section 2 ♦️ Droit fiscal et obligation de compliance (Tax Law and Compliance Obligation), by 🕴️Daniel Gutmann

Section 3 ♦️ Le droit processuel, prototype de l'Obligation de Compliance (General Procedural Law, prototype of the Compliance Obligation), by 🕴️Marie-Anne Frison-Roche

Section 4 ♦️ Le droit des sociétés et des marchés financiers face à l'Obligation de Compliance (Corporate and Financial Markets Law facing the Compliance Obligation), by 🕴️Anne-Valérie Le Fur

Section 5 ♦️ Le rapport entre le Droit de la responsabilité civile et l'Obligation de Compliance (The link between Tort Law and Compliance Obligation), by 🕴️Jean-Sébastien Borghetti

Section 6 ♦️ Dimensions environnementales et climatiques de l'Obligation de Compliance (Environmental and Climatic Dimensions of the Compliance Obligation), by 🕴️Marta Torre-Schaub

Section 7 ♦️ Droit de la concurrence et Droit de la Compliance (Competition Law and Compliance Law), by 🕴️Jean-Christophe Roda

Section 8 ♦️ L'Obligation de Compliance en Droit global (The Compliance Obligation in Global Law), by 🕴️Benoît Frydman & 🕴️Alice Briegleb

Section 9 ♦️ Transformation des relations de travail et obligation de vigilance (Transformation of Labour Relations and Vigilance Obligation), by 🕴️Stéphane Vernac

Section 11 ♦️ Juge du droit des entreprises en difficulté et obligations de compliance (Judge of Insolvency Law and Compliance Obligations), by 🕴️Jean-Baptiste Barbièri

 

TITRE III.

COMPLIANCE : DONNER ET SE DONNER LES MOYENS D’OBLIGER

(COMPLIANCE : GIVE AND TAKE THE MEANS TO OBLIGE)

 

CHAPITRE I : LA CONVERGENCE DES SOURCES (CONVERGENCE OF SOURCES)

Section 1 ♦️ L’Obligation de Compliance, entre volonté et consentement : obligation sur obligation vaut (Compliance Obligation, between Will and Consent: obligation upon obligation works), by 🕴️Marie-Anne Frison-Roche

Section 2 ♦️ Ce qu'est un engagement (What a Commitment is), by 🕴️Marie-Anne Frison-Roche

Section 3 ♦️ Les technologies disponibles, prescrites ou proscrites pour satisfaire Compliance et Vigilance (Technologies available, prescribed or prohibited to meet Compliance and Vigilance requirements), by 🕴️Emmanuel Netter

Section 4 ♦️ La cybersécurité et l’Obligation de Compliance (Cybersecurity and Compliance Obligation), by 🕴️Michel Séjean

Section 5 ♦️ La place de l’espoir dans l’aptitude à appréhender l’avenir (The Place of Hope in the Ability to Apprehend the Future), by 🕴️

Section 6 ♦️ Contrainte légale et stratégie des entreprises en matière de Compliance (Legal Constraint and Company Strategies in Compliance matters), by 🕴️Jean-Philippe Denis & Nathalie Fabbe-Costes

Section 7 ♦️ La loi, source de l’Obligation de Compliance (The law, source of the Compliance Obligation), by 🕴️Jean-Baptiste Blanc

Section 8 ♦️ Opposition ou convergence des systèmes juridiques dans les règles et cultures de compliance (Opposition or Convergence of Legal Systems in Compliance Rules and Cultures), by 🕴️Raphaël Gauvain & 🕴️Blanche Balian

 

CHAPITRE II : L’ARBITRAGE INTERNATIONAL EN RENFORT DE L’OBLIGATION DE COMPLIANCE (INTERNATIONAL ARBITRATION IN SUPPORT OF THE COMPLIANCE OBLIGATION)

Section 1 ♦️ 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"), by  

Section 2 ♦️ La condamnation en nature par le tribunal arbitral, renfort de l’Obligation de Compliance (The Arbitral Tribunal's Award in Kind, in support of the Compliance Obligation), by 🕴️Eduardo Silva Romero

Section 3 ♦️ L’usage de l’arbitrage international pour renforcer l’obligation de Compliance : l’exemple du secteur de la construction (The use of International Arbitration to reinforce the Compliance Obligation: the example of the construction sector), by 🕴️Christophe Lapp & 🕴️Jean-François Guillemin

Section 4 ♦️ L’arbitre, juge, superviseur, accompagnateur  ? (The Arbitrator, Judge, Supervisor, Support) , by 🕴️Jean-Baptiste Racine

Section 5 ♦️ L’arbitre, organe indirect et direct de l’Obligation de Compliance ? (The Arbitrator, indirect and direct agent of the Compliance Obligation?), by 🕴️Laurent Aynès

 

 

TITRE IV.

LA VIGILANCE, POINTE AVANCÉE DE L’OBLIGATION DE COMPLIANCE

(VIGILANCE, SPEARHEAD OF THE COMPLIANCE OBLIGATION)

 

CHAPITRE I : LES INTENSITÉS DE L’OBLIGATION DE VIGILANCE, POINTE AVANCÉE DU SYSTÈME DE COMPLIANCE (INTENSITIES OF THE VIGILANCE OBLIGATION, SPEARHEAD OF THE COMPLIANCE SYSTEM)

Section 1 ♦️ Articulation systémique entre Vigilance, Due Diligence, conformité et Compliance : la Vigilance, part totale de l'Obligation de Compliance (Systemic Articulation between Vigilance, Due Diligence, Conformity and Compliance: Vigilance, Total Share of the Compliance Obligation), by 🕴️Marie-Anne Frison-Roche

Section 2 ♦️ L’intensité de l’Obligation de Vigilance selon les secteurs : le cas des opérateurs financiers (Intensity of the Vigilance Obligation by Sectors: the case of Financial Operators), by 🕴️Anne-Claire Rouaud

Section 3 ♦️ L’intensité de l’Obligation de Vigilance selon les secteurs : le cas des opérateurs bancaires et d’assurance (Intensity of the Vigilance Obligation by Sectors: the case of Banking and Insurance Operators), by 🕴️Mathieu Françon

Section 4 ♦️ L’intensité de l’Obligation de Vigilance selon les secteurs : le cas des opérateurs numériques (Intensity of the Vigilance Obligation by Sectors: the case of Digital Operators), by 🕴️Grégoire Loiseau

Section 5 ♦️ L’Obligation de vigilance des opérateurs énergétiques (The Vigilance obligation of Energy Operators), by 🕴️Marie Lamoureux

 

CHAPITRE II : LES VARIATIONS DE TENSIONS ENGENDRÉES PAR L’OBLIGATION DE VIGILANCE, POINTE AVANCÉE DU SYSTÈME DE COMPLIANCE (VARIATIONS OF TENSIONS GENERATED BY THE VIGILANCE OBLIGATION, SPEARHEAD OF THE COMPLIANCE SYSTEM)

Section 1 ♦️ Repenser le concept de responsabilité civile à l’aune du devoir de vigilance, pointe avancée de la compliance (Rethinking the Concept of Civil Liability in the light of the Duty of Vigilance, Spearhead of Compliance), by 🕴️Mustapha Mekki

Section 2 ♦️ Transformation de la gouvernance et obligation de Vigilance (Transformation of Governance and Vigilance Obligation), by 🕴️Véronique Magnier

 

CHAPITRE III : LES MODALITÉS NOUVELLES DE L'OBLIGATION DE COMPLIANCE, MISES EN LUMIÈRE PAR L'IMPÉRATIF DE VIGILANCE (NEW MODALITIES OF THE COMPLIANCE OBLIGATION, HIGHLIGHTED BY THE VIGILANCE IMPERATIVE)

Section 1 ♦️ La façon dont l'impératif de Vigilance s'ajuste aux règles juridiques internationales (How the Vigilance Imperative fits in with International Legal Rules), by 🕴️Bernard Haftel

Section 2 ♦️ Contrats et clauses, mise en œuvre et modalités de l’Obligation de Vigilance (Contracts and clauses, implementation and modalities of the Vigilance Obligation), by 🕴️Gilles J. Martin

Section 3 ♦️ La preuve de la bonne exécution de la Vigilance au regard du système probatoire de Compliance (Proof that Vigilance has been properly carried out with regard to the Compliance Evidence System), by 🕴️Jean-Christophe Roda

 

TITRE V.

LE JUGE ET L'OBLIGATION DE COMPLIANCE

(THE JUDGE AND THE COMPLIANCE OBLIGATION)

Section 1 ♦️ Les enjeux présents à venir de l’articulation des principes de procédure civile et commerciale avec la logique de compliance (Present and Future Challenges of Articulating Principles of Civil and Commercial Procedure with the Logic of Compliance), by 🕴️Thibault Goujon-Bethan

Section 2 ♦️ La médiation, voie d'avenir pour une Obligation de Compliance effective (Mediation, the way forward for an Effective Compliance Obligation), by 🕴️Malik Chapuis

Section 3 ♦️ Le Juge requis pour une Obligation de Compliance effective (The Judge required for an Effective Compliance Obligation), by 🕴️Marie-Anne Frison-Roche

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May 25, 2024

Newsletter MAFR - Law, Compliance, Regulation

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 Full ReferenceM.-A. Frison-Roche, "Risk mapping and Competition: the place and future of Compliance Law", Newsletter MAFR Law, Compliance, Regulation, May 26, 2024

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🧱Competition and compliance: challenge and future of risk mapping

Thank to the organizers of the conference held in French on competition and compliance, notably about the risk mapping, on 24 May 2024, at the Centre de droit européen - Université Paris-Panthéon-Assas, with the support of Larcier-Intersentia, for asking me to give the concluding lecture.

Thanks to the very high quality of the speakers, Fabrice Picod, Frederic Puel, Pierre de Gouville, Gaëlle Hardy, Alix Voglimacci, Marie-Pascale Heusse and Christophe Corlouer, I was able to draw some conclusions, in particular from the concrete experiences of the risk mapping methods chosen and experienced by firms.

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📧read the article published on 25 May 2024 on this topic in the Newsletter MAFR - Law, Compliance, Regulation ⤵️

May 24, 2024

Conferences

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► Full ReferenceM.-A. Frison-Roche, "Synthèse" ("Synthesis"), in Concurrence : les enjeux de la Compliance​, May 24, 2024, Paris, Collège européen de Paris, Paris Panthéon-Assas University, 28 rue Saint-Guillaume

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

🌐read the  la newsletter MAFR Law, Compliance, Regulation on 26 Mai 2024 about this colloquium and this synthesis (in English)

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► Summary of this concluding conference:The conference was based on the 'framework document' on conformity programmes published by the French Competition Authority, the Autorité de la concurrence, on 24 May 2022 and focused on one of the tools used, namely risk mapping. The care taken to bring together academics whose job it is to give an account of reality by classifying and naming it, which makes it easier to handle, and people who every day in enterprises find solutions to anticipate difficulties so that they can be resolved, or even prevented from arising, has borne fruit.

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From all the presentations and discussions, 4 perspectives emerge, each showing what has been achieved, what may still emerge in interaction with all the other mechanisms in Compliance Law that incorporate risk mapping (for instance ,the French 2016 so-called "Sapin 2" law, the French 2017 so-called "Vigilance" law, the CS3D European directive, etc.) and the other mechanisms that are correlated with risk mapping (audit, internal investigations, evidence likely to be raised before a judge by the enterprise and/or by a stakeholder and what remains uncertain in this 2022 framework document.

 

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The first perspective is the basis of these recommendations, encouragement, methods, advice, etc.

The second perspective is the means developed to establish and implement these compliance programmes.

The third perspective is the scope of this framework document, which also depends to a large extent on the scope of the compliance programmes adopted by the firms themselves.

The fourth perspective is that of the subjects of law who are obliged, or who benefit from the adoption of such  compliance programmes in Competition Law.

 

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During this conclusion, based solely on what each speaker had to say, I continued my reflections in each of these 4 directions.

This reminded me of some of my work made in English on this subject: 

 

 

 

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May 22, 2024

Interviews

 Full reference:  M.-A. Frison-Roche"Compliance et management : la médiation plutôt que la sanction ?" ("Compliance and management: mediation rather than punishment?"), interview conducted by Jean-Philippe Denis as part of a series of interviews on Compliance Law, in Fenêtres ouvertes sur la gestion (Open windows on management), broadcast by J.-Ph. Denis, Xerfi Canal, recorded December 12, 2023, released on May 22, 2024

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🌐consult the December 2023 presentation of the interview on LinkedIn

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🌐read the MAFR. Law, Compliance, Regulation of April 2024 based on this interview 

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🧱consult the general presentation of this series of interviews on Compliance Law

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🎥view the full interview on Xerfi Canal

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 Starting point: Since 2016, Marie-Anne Frison-Roche has been building Compliance Law, notably through a collection co-published in French with Editions Dalloz and co-published in English with Editions Bruylant: 

🧱lire la présentation de la collection en langue française, Régulations & Compliance ➡️click HERE 

🧱read the presentation of the series in English, Compliance & Regulation ➡️click HERE

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 Summary of interview:

Jean-Philippe Denis. Question: To put it bluntly, isn't Compliance Law expressed by the BNP Paribas fine?

Marie-Anne Frison-Roche.  Answer: It is still through this fine that Compliance is often perceived. How regrettable...

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Jean-Philippe Denis. Q.: At least, that's how the Politician realised there was a subject....

Marie-Anne Frison-Roche.  A. : This is true, and not just for politicians and firms since this case has had an impact on European public opinion. This matter has therefore become known for the violence of the sanctions, and the intervention of heads of State to reduce their consequences. But we're talking about sanctions. Meanwhile, others talk about compliance through soft law, soft co-regulation, charters and soft commitments, the contours of which are sometimes uncertain. Today, adjustments are made regarding the Monumental Goals of preserving the systems on which this Compliance Law is based, and tools are used on this basis, tools with which lawyers are very familiar: contracts. Through contracts, enterprises structure their compliance obligations.

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Jean-Philippe Denis. Q.: You point out that Compliance Law is becoming more civilised and that more people are resorting to mediation.

Marie-Anne Frison-Roche.  A.: Yes, Compliance Law is becoming more civilised, and civil law is becoming increasingly important, particularly through Contract Law, with stipulations being inserted to prevent human rights or environmental infringements. As Compliance Law operates on an ex-ante basis, the enterprise will organise dialogue with stakeholders, in particular when vigilance plans are drawn up, Vigilance mechanism being the spear head of Compliance Law. If the situation becomes litigious and the matter is referred to the courts, the civil courts, whose role is growing, will themselves organise mediation. Mediation, which is now part is an instrument for bringing the parties together and finding solutions.

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May 6, 2024

Newsletter MAFR - Law, Compliance, Regulation

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 Full ReferenceM.-A. Frison-Roche, "Pourquoi approuver les "puissances privées"? Pour mieux servir les droits humains grâce au Droit de la Compliance (Why endorse “private powers”? To better serve human rights through Compliance Law)", Newsletter MAFR Law, Compliance, Regulation, May 6, 2024

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🧱Compliance, especially Vigilance, needs power: that's why large companies are subject to it

In the book edited by J.Andriantsimbazovina, 📗Puissances privées et droits de l'Homme. Essai d'analyse juridique (Private powers and human rights. A legal analysis), the perspective is quite often to oppose the public power of the State, legitimate and virtuous, and private powers, selfish and harmful.

Without discussing this cosmogony, the Law of Compliance is in any case based on the idea that this branch of Law aims to preserve systems of risk, by making them sustainable and habitable by human beings: for these Monumental Goals to be attainable, it is necessary to target subjects of Law who have the power required to develop the necessary efforts. These are the “private powers” on which we rely today, both de facto and de jure, particularly if we are concerned about distant others in space and time.

This is not to say that these private powers exclude public power, since on the one hand it is Politics and Public Authorities who set the content of Monumental Goals, and on the other hand these authorities who supervise companies. The latter, however, choose the most appropriate means of fulfilling this duty, and are accountable for this obligation of means.

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📧read the article published on 6 May 2024 on this topic in the Newsletter MAFR - Law, Compliance, Regulation ⤵️

May 5, 2024

Newsletter MAFR - Law, Compliance, Regulation

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 Full ReferenceM.-A. Frison-Roche, "Ne pas confondre process de conformité et Droit de la Compliance: les conséquences pratiques (Don't confuse compliance processes with compliance law: practical consequences)", Newsletter MAFR Law, Compliance, Regulation, May 5, 2024

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 News summary : Reducing Compliance to conformity processes can be fatal for companies.

Reading Norbert Alter's book on management in a two-pronged movement which, according to the author, has consisted on the one hand in draining companies of all process and control, and on the other hand in injecting learning about ethics, benevolence and concern for others, has been detrimental in that the first movement has systemically destroyed meaning, meaning which is then so difficult to inculcate.

This is very instructive if we look at it from a legal perspective: in effect, it corresponds to what is happening between Compliance Law and Compliance Processes.


In the latter case, we might even consider that it is “liability” in the legal sense that is at stake: the company would incur liability at the slightest failure of the non-compliance process, whereas Compliance Law, a branch teleologically built on the Monumental Goals that constitute its legal standards (preservation of systems, e.g. banking, financial, health, energy, digital, climate systems, etc.), implies only an obligation of means. Compliance law does not require companies to follow processes blindly and to the letter, but to demonstrate the effects that have already been achieved and that it is reasonably plausible that they will achieve in the future. In this respect, compliance is essentially a probationary obligation.

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📧read the article published on 5 May 2024 on this topic in the Newsletter MAFR - Law, Compliance, Regulation ⤵️