► 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

► 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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Référence complète : Response to the Study on Directors’ Duties and Sustainable Corporate Governance by Nordic Company Law Scholars, octobre 2020.

Lire le rapport

► Référence complète : M. Caffin-Moi, "L’imprégnation des branches du droit par les mécanismes de compliance : le contrat", in M.-A. Frison-Roche (dir.), Compliance et contrat, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", à paraître

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📕lire une présentation de l'ouvrage, Compliance et contrat, dans lequel cet article est publié

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► Résumé de l'article (fair par le Journal of Regulation & Compliance - JoRC) : L'auteure commence par montrer que les contrats sont de plus en plus présents dans le Droit de la Compliance, celui-ci n'étant plus ce qui est seulement exprimé par des lois d'ordre public, tandis que le contrat ne porterait que les intérêts privés de deux parties particulières. Elle expose comment concrètement aujourd'hui, et chaque jour davantage, les contrats sont utilisés comme un instrument de diffusion de la Compliance, la Vigilance étant exemplaire de cela, les textes incitant les entreprises à le faire, la CS3D mettant "le contrat à l'honneur" par la mise en place de "cascades contractuelles", le contrat agissant à la fois en surface et en profondeur.

Mais il ne faut pas que le contrat soit un moyen de restreindre la responsabilité, et l'on trouve des points de "friction" entre Contrat et Compliance.

Tout d'abord, parce que les réglementations, voire la jurisprudence, obligent les entreprises à contracter, par exemple avec des fournisseurs de rang 2, ce qui est une atteinte à la liberté de ne pas contracter.

En outre, les Buts Monumentaux de la Compliance institutionnalisent une relation contractuelle qui peut être déséquilibrée, voire engendrer une concurrence déloyale si une entreprise s'y plie et l'autre pas, la Compliance conférant de plus des prérogatives exorbitantes à l'entreprise.

Pour ne pas provoquer trop de conflits, et l'auteure souligne que le premier est certainement celui sur la compétence juridictionnelle entre le tribunal de commerce et le Tribunal judiciaire de Paris, il faut impérativement un dialogue des juges.

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Référence Complète : Europe Economics, Etat des lieux et perspectives des programmes de conformité, Etude réalisée pour le Conseil de la Concurrence, 2008.

Lire l'étude. 

► 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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📘 read the general presentation of the book, Compliance Jurisdictionalisation, in which this article is published

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► Full Reference: J.-B. Racine, "Compliance Obligation and Human Rights​", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

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📘read a general presentation of the book, Compliance Obligation, in which this article is published

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► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): The author asks whether human rights can, over and above the many compliance obligations, form the basis of the Compliance Obligation. The consideration of human rights corresponds to the fundamentalisation of Law, crossing both Private and Public Law, and are considered by some as the matrix of many legal mechanisms, including international ones. They prescribe values that can thus be disseminated.

Human rights come into direct contact with Compliance Law as soon as Compliance Law is defined as "the internalisation in certain operators of the obligation to structure themselves in order to achieve goals which are not natural to them, goals which are set by public authorities responsible for the future of social groups, goals which these companies must willingly or by force aim to achieve, simply because they are in a position to achieve them". These "Monumental Goals" converge on human beings, and therefore the protection of their rights by companies. 

In a globalised context, the State can either act through mandatory regulations, or do nothing, or force companies to act through Compliance Law. For this to be effective, tools are needed to enable 'crucial' operators to take responsibility ex ante, as illustrated in particular by the French law on the Vigilance Obligation of 2017.

This obligation takes the form of both a "legal obligation", expression which is quite  imprecise, found for example in the duty of vigilance of the French 2017 law, and in a more technical sense through an obligation that the company establishes, in particular through contracts.

Legal obligations are justified by the fact that the protection of human rights is primarily the responsibility of States, particularly in the international arena. Even if it is only a question of Soft Law, non-binding Law, this tendency can be found in the Ruggie principles, which go beyond the obligation of States not to violate human rights, to a positive obligation to protect them effectively. The question of whether this could apply not only to States but also to companies is hotly debated. If we look at the ICSID Urbaser v. Argentina award of 2016, the arbitrators accepted that a company had an obligation not to violate human rights, but rejected an obligation to protect them effectively. In European Law, the GDPR, DSA and AIA, and in France the so-called Vigilance law, use Compliance Lools, often Compliance by Design, to protect human rights ex ante.

Contracts, particularly through the inclusion of multiple clauses in often international contracts, express the "privatisation" of human rights. Care should be taken to ensure that appropriate sanctions are associated with them and that they do not give rise to situations of contractual imbalance. The relationship of obligation in tort makes it necessary to articulate the Ex Ante logic and the Ex Post logic and to conceive what the judge can order.

The author concludes that "la compliance oblige à remodeler les catégories classiques du droit dans l’optique de les adosser à l’objectif même de la compliance : non pas uniquement un droit tourné vers le passé, mais un droit ancré dans les enjeux du futur ; non pas un droit émanant exclusivement de la contrainte publique, mais un droit s’appuyant sur de la normativité privée ; non pas un droit strictement territorialisé, mais un droit appréhendant l’espace transnational" ("Compliance requires us to reshape the classic categories of Law with a view to bringing them into line with the very objective of Compliance: not just a Law turned towards the past, but a Law anchored in the challenges of the future; not a Law emanating exclusively from public constraint, but a Law based on private normativity; not a strictly territorialised Law, but a law apprehending the transnational space".

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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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►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. 

► Référence complète : L. d'Avout,  La cohérence mondiale du droit, Cours général de droit international privé, Académie de droit international de La Haye, t.443, 2025, 692 p.

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► Référence complète : M.-A. Frison-Roche, Les spécificités à concevoir dans l'audience publique des contentieux systémiques de vigilance, document de travail, novembre 2024.

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🧮Ce document de travail a été élaboré pour constituer la base d'une intervention à la conférence Le droit processuel de la vigilance, du 18 novembre 2024

qui fait partie du cycle de conférences sur Le contentieux systémique,

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📕Ce document de travail sera aussi la base d'une contribution pour l'ouvrage publié en 2025.

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► Résumé du document de travail : Les réflexions sur la façon dont l'audience doit être spécifiquement conçue lorsque le cas porte sur un contentieux systémique de vigilance portent progressivement sur 5 points. Elles ne développent pas ce qui est commun à toutes les audiences mais ont pour objet ce en quoi précisément cette audience-là pourrait se distinguer des autres audiences, en ce que le cas de vigilance sur le case l'audience se déroule, en ce qu'il est de nature systémique, est de nature différente des autres cas contentieux.

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En premier lieu, ces contentieux systémiques sont fortement médiatiques, les stratégies des demandeurs consistant ouvertement à concevoir le procès "juridique" comme venant en appui à une demande plus générale de reddition des comptes qui se déroule ailleurs, par exemple sur la scène politique, dans les médias et les réseaux sociaux. C'est pourquoi le caractère public de l'audience est essentiel, parce que le contentieux de Vigilance est un "contentieux public", du début jusqu'à la fin. Les portes doivent en être ouvertes. La menée doit en être pédagogique. Les Régulateurs ont l'habitude de cette dimension pédagogique de leur office. Les juges spécialisés des contentieux systémiques émergents doivent aussi l'avoir.

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En deuxième lieu, et cela est directement corrélé, l'audience doit faire place aux "parties à l'instance" au-delà des parties au litige. Il faut revenir à la définition même du contentieux systémique, dont la vigilance est un champ : c'est un cas dans lequel un ou des systèmes sont impliqués, dans un état présent et/ou futur. C'est pourquoi ils doivent être présents. Il doivent être présents à l'audience. Comme un système, par exemple le système, qui constitue "l'arrière-litige" peut-il être présent à l'audience ? Chaque partie au litige va prétendre, l'une et l'autre, qu'elle le représente. Par exemple qu'elle représente les "générations futures", en subjectivisant le système. C'est un point essentiel parce que les systèmes sont plutôt "taisants". Or, comment et qui parle pour les systèmes, surtout s'il ne s'agit pas que des systèmes régulés, s'il s'agit aussi des systèmes sociaux, s'il s'agit des systèmes sociaux des pays dans lesquels les infrastructures contestées se déploient ? L'expression des demandes du système économique et social est l'affaire du ministère public. Pour l'instant il est taisant. Sans doute parce qu'il est davantage dans le Droit pénal. Alors que les causes systémiques, parce qu'elle relève du Droit processuel, même si elles sont portées devant le juge civil, ou commercial, appelle sa présence.

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En troisième lieu, même si l'on en admet le principe et plus concrètement, encore faut-il déterminer ceux qui peuvent venir parler à l'audience publique d'une façon pertinente pour les systèmes impliqués afin d'expliquer leurs besoins, apparaissant ainsi comme parties à l'instance, comme experts, comme amis du Tribunal. Il y a immédiatement beaucoup de candidats. Plus le juge a de pouvoirs et plus il a d'amis. Les réflexions n'en sont qu'à leurs débuts sur ce point et l'expérience américaine n'est pas forcément un bon guide. Les parties au litige prétendent, l'une et l'autres, être les mieux placées pour exprimer les besoins du systèmes et des personnes qui y sont ou y seront situées. Cela peut être vrai, car avoir un intérêt dans le litige ne signifie pas que l'on ait de ce seul fait tort. Mais cela n'est pas un gage incontestable de pertinence. C'est davantage la différence d'objet qui distingue la partie au litige et la partie à l'instance car le litigant veut gagner alors que celui qui connaît le système peut expliquer celui-ci. Le système n'est pas que technique, comme l'exprime l'intitulé de la Chambre Régulation économique, sociale et environnementale et une question ouverte est celle de savoir qui parle pour le pays dont la "société civile" est peu audible. Dans l'usage procédural des amici curiae auquel cette ouverture de l'audience mène, l'attitude du juge est déterminante : doit-il accueillir les candidatures spontanées, les filtrer ou être le maître des invitations ? Dans une conception où le juge est maître de l'audience, il devrait avoir vocation à être maître des invitations, dans un modèle qui s'ouvre à ce débat au-delà du litige mais qui ne laisse pas les parties maîtresse d'une instance où le sort des systèmes est en jeu.

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En quatrième lieu, si l'on admet cela et plus concrètement encore, dans la menée de l'audience, longue, orale, contradictoire, pour que des solutions puissent éventuellement se dégager (des médiations sont toujours possibles, des engagements sont toujours possibles), c'est sans doute dans les techniques de l'arbitrage international que l'on peut trouver des solutions spécifiques. Cela peut paraître contre-intuitif puisque  l'arbitrage international se déroule plutôt dans l'isolement d'un contrat, dans la confidentialité, tandis que la vigilance peut prétendre prendre en charge avec éclat le destin du monde.... Mais la chambre 5-12 de la Cour d'appel de Paris est en miroir de la chambre internationale. Il faudrait ainsi non seulement admettre que le débat porte aussi sur l'interprétation du Droit, que les avis en Droit ne soit pas seulement par des portes qui demeurent bien étroites des consultations mais soient exposées en public, la prohibition des legal opinions étant préjudiciable dans une branche du Droit en construction, l'absence de questionnement des consultants par le Tribunal et les 2 parties l'étant également. Les avis devant pouvoir porter sur toute question, afin que la technicité de la situation, qui a justifié la spécialisation des juges, via la création des chambres spécialisées, puisse être non seulement exposée et discutée.  Il faudrait ainsi que des avis puissent être demandés par le Tribunal sur les effets systémiques (économique, social et environnemental), sur les effets futurs car son office portant sur le futur de tels avis exposés et discutés en public serait d'un grand appui pour lui.

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🔓lire le document de travail ci-dessous⤵️

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► Full Reference: M.-A. Frison-Roche (ed.), Contentieux Systémique Émergent (Emerging Systemic Litigation), Paris, LGDJ, "Droit & Économie" Serie, to be published

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📚Consult all the other books of the Serie in which this book is published

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► General Presentation of the Book : 

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TABLE OF CONTENTS

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► Full Reference: M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2026, to be published

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📕In parallel, a book in French L'Obligation de compliance, is published in the collection "Régulations & Compliance" co-published by the Journal of Regulation & Compliance (JoRC) and Lefebvre-Dalloz. 

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📚This book is inserted in this series created by Marie-Anne Frison-Roche for developing Compliance Law.

 read the presentations of the other books of this Compliance Series:

• further books:

🕴️M.A. Frison-Roche (ed.), 📘Compliance Evidential System, 2027

🕴️M.A. Frison-Roche (ed.), 📘Compliance and Contract, 2027

• previous books:

​🕴️M.A. Frison-Roche (ed), 📘Compliance Juridictionnalisation, 2023

🕴️M.A. Frison-Roche (ed), 📘Compliance Monumental Goals, 2022

🕴️M.-A. Frison-Roche (ed.), 📘Compliance Tools, 2021

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► go to the general presentation of this 📚Series ​Compliance & Regulation, conceived, founded et managed by Marie-Anne Frison-Roche, co-published par the Journal of Regulation & Compliance (JoRC) and Bruylant. 

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🧮the book follows the cycle of colloquia organised by the Journal of Regulation & Compliance (JoRC) and its Universities partners.

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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 substantial Introduction, putting the different sort of obligations of compliance in legal categories for showing that companies must build structures of compliance (obligation of result) and act to contribute with states and stakeholders to reach Monumental Goals (obligation of means). 

The first part is devoted to the definition of the Compliance Obligation. 

The second part presents the articulation of Compliance obligation with the other branchs of Law, because the specific obligation is built by Compliance Law, as new substantial branch of Law but also by many other branchs of Law.

The third part develops the pratical means established to obtained the Compliance Obligation to be effective, efficace and efficient.

The fourth part takes the Obligation  of Vigilance as an illustration of all these considerations and the discussion about the future of this sparehead fo the Compliance Obligation . 

The fifth part refers to the place and the role of the judges, natural characters for any obligation. 

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TABLE OF CONTENTS 

ANCHORING THE SO DIVERSE COMPLIANCE OBLIGATIONS IN THEIR NATURE, REGIMES AND FORCE TO BRING OUT THE VERY UNITY OF THE COMPLIANCE OBLIGATION, MAKING IT COMPREHENSIBLE AND PRACTICABLE 

🔹 Compliance Obligation: building a compliance structure that produces credible results withe regard to the Monumentals Goals targeted by the Legislator, by 🕴️Marie-Anne Frison-Roche

TITLE I.

IDENTIFYING THE COMPLIANCE OBLIGATION

CHAPTER I: NATURE OF THE COMPLIANCE OBLIGATION

Section 1 🔹 Will, Heart and Calculation, the three marks surrounding the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche

Section 2 🔹 Debt, as the basis of the compliance obligation, by 🕴️Bruno Deffains

Section 3 🔹 Compliance Obligation and Human Rights, by 🕴️Jean-Baptiste Racine

Section 4 🔹 Compliance Obligation and changes in Sovereignty and Citizenship, by 🕴️René Sève

Section 5 🔹 The definition of the Compliance Obligation in Cybersecurity, by 🕴️Michel Séjean

CHAPTER II: SPACES OF THE COMPLIANCE OBLIGATION

Section 1 🔹 Industrial Entities and Compliance Obligation, by 🕴️Etienne Maclouf

Section 2 🔹 Compliance, Value Chains and Service Economy, by 🕴️Lucien Rapp

Section 3 🔹 Compliance and conflict of laws. International Law of Vigilance-Conformity, based on applications in Europe, by 🕴️Louis d'Avout 

TITLE II.

ARTICULATING THE COMPLIANCE OBLIGATION WITH OTHER BRANCHES OF LAW

Section 1 🔹 Tax Law and Compliance Obligation, by 🕴️Daniel Gutmann

Section 2 🔹 General Procedural Law, prototype of the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche

Section 3 🔹 Corporate and Financial Markets Law facing the Compliance Obligation, by 🕴️Anne-Valérie Le Fur

Section 4 🔹 Transformation of Governance and Vigilance Obligation, by 🕴️Véronique Magnier

Section 5 🔹 The Relation between Tort Law and Compliance Obligation, by 🕴️Jean-Sébastien Borghetti

Section 6 🔹 Environmental and Climate Compliance, by 🕴️Marta Torre-Schaub

Section 7 🔹 Competition Law and Compliance Law, by 🕴️Jean-Christophe Roda

Section 8 🔹 The Compliance Obligation in Global Law, by 🕴️Benoît Frydman & 🕴️Alice Briegleb

Section 9 🔹 Environmental an Climatic Dimensions of the Compliance Obligation, by 🕴️Marta Torre-Schaub

Section 10 🔹 Judge of Insolvency Law and Compliance Obligations, by 🕴️Jean-Baptiste Barbièri

TITLE III.

COMPLIANCE: GIVE AND TAKE THE MEANS TO OBLIGE

CHAPTER I: COMPLIANCE OBLIGATION: THE CONVERGENCE OF SOURCES

Section 1 🔹 Compliance Obligation upon Obligation works, by 🕴️Marie-Anne Frison-Roche

Section 2 🔹 Conformity technologies to meet Compliance Law requirements. Some examples in Digital Law, by 🕴️Emmanuel Netter

Section 3 🔹 Legal Constraint and Company Strategies in Compliance matters, by 🕴️Jean-Philippe Denis & 🕴️Nathalie Fabbe-Coste

Section 4 🔹 Opposition and convergence of American and European legal systems in Compliance Rules and Systems, by 🕴️Raphaël Gauvain & 🕴️Blanche Balian

Section 5 🔹 In Compliance Law, the legal consequences for Entreprises of their Commitments and Undertakings, by 🕴️Marie-Anne Frison-Roche

CHAPTER II: INTERNATIONAL ARBITRATION IN SUPPORT OF THE COMPLIANCE OBLIGATION

Section 1 🔹 How International Arbitration can reinforce the Compliance Obligation, by  🕴️Laurent Aynès

Section 2 🔹 Arbitration consideration of Compliance Obligation for a Sustainable Arbitration Place, by 🕴️Marie-Anne Frison-Roche

Section 3 🔹 The Arbitral Tribunal's Award in Kind, in support of the Compliance Obligation, by 🕴️Eduardo Silva Romero

Section 4 🔹 The use of International Arbitration to reinforce the Compliance Obligation: the example of the construction sector, by 🕴️Christophe Lapp 

Section 5 🔹 The Arbitrator, Judge, Supervisor, Support, by 🕴️Jean-Baptiste Racine

TITLE IV.

VIGILANCE, SPEARHEAD OF THE COMPLIANCE OBLIGATION

Section 1 🔹 Vigilance Obligation, Spearheard and Total Share of the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche

CHAPTER I: INTENSITIES OF THE VIGILANCE OBLIGATION, SPEARHEAD OF THE COMPLIANCE SYSTEM

Section 2 🔹 Intensity of the Vigilance Obligation by Sectors: the case of Financial Operators, by 🕴️Anne-Claire Rouaud

Section 3 🔹 Intensity of the Vigilance Obligation by Sectors: the case of Digital Operators, by 🕴️Grégoire Loiseau

Section 4 🔹 Intensity of the Vigilance Obligation by Sectors: the case of Energy Operators, by 🕴️Marie Lamoureux

CHAPTER II: GENERAL EVOLUTION OF THE VIGILANCE OBLIGATION

Section 1 🔹 Rethinking the Concept of Civil Liability in the light of the Duty of Vigilance, Spearhead of Compliance, by 🕴️Mustapha Mekki

Section 2 🔹 Contracts and clauses, implementation and modalities of the Vigilance Obligation, by 🕴️Gilles J. Martin

Section 3 🔹 Proof that Vigilance has been properly carried out with regard to the Compliance Evidence System, by 🕴️Jean-Christophe Roda

Section 4 🔹 Compliance, Vigilance and Civil Liability: put in order and keep the Reason, by 🕴️Marie-Anne Frison-Roche

Title V.

THE JUDGE AND THE COMPLIANCE OBLIGATION

Section 1 🔹 Present and Future Challenges of Articulating Principles of Civil and Commercial Procedure with the Logic of Compliance, by 🕴️Thibault Goujon-Bethan

Section 2 🔹 The Judge required for an Effective Compliance Obligation, by 🕴️Marie-Anne Frison-Roche

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CONCLUSION

THE COMPLIANCE OBLIGATION: A BURDEN BORNE BY SYSTEMIC COMPANIES GIVING LIFE TO COMPLIANCE LAW  

(conclusion and key points of the books, free access)

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► Référence complète : M.-A. Frison-Roche, "L'avenir de la compliance", cycle La compliance,  Centre Perelman, Bruxelles, 23 février 2026.

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🧮consulter le programme complet du cycle La compliance

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📶consulter les slides

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► Présentation de cette conférence : L'avenir de la Compliance, personne ne le connait. D'une part, parce qu'on ne connaît pas l'avenir (ce qui pose un problème lorsqu'au nom de la Compliance, on  veut rendre responsable les entreprises pour l'avenir, confondant responsability et liabiility,  ce que récusa en 2024 la Cour d'appel de La Haye dans l'affaire Shell) Pour deux raisons. D'une part, parce que la Compliance est un phénomène naissant, plus encore si on mesure qu'il s'agit d'une branche du Droit.

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⛏️Aller plus loin  :

🕴🏻M.-A. Frison-Roche, 📝Le Droit de la compliance, 2016

🕴🏻M.-A. Frison-Roche, 📝Naissances d'une branche du droit : le Droit de la Compliance, 2024

🕴🏻M.-A. Frison-Roche, 📝L'aventure de la compliance, 2020 

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

🕴🏻M.-A. Frison-Roche, 📕L'obligation de compliance, 2025

🕴🏻M.-A. Frison-Roche, 📝Droit de la compliance et contentieux systémique, 2025

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🌐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, "Le Droit de la Compliance et la transition vers une égalité effective, efficace et efficiente entre les êtres humains (Compliance Law and the transition towards the effectiveness, efficacy and efficiency of the equality between human beings)", in Chair "Mutualist and cooperative banking at the service of the economy", ESCP, Les banques coopératives et les transitions​ (Cooperative Banks and Transitions), 29 January 2026.

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🧮view the general programme for the conference Cooperative banks and transitions (in French)

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📶see the slides (in French)

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► Presentation of this conference: The conference is not specifically aimed at lawyers, and even less so at specialists in Compliance Law. That is why it is divided into three parts, in order to show how Compliance Law is relevant in practice for creating effective, efficace and efficient equality between human beings.

The first part of the lecture sets out the ambition of equality between human beings. As this is a political principle and not a natural one. As it is an ambition, it justifies being placed first and after that this ambition must be concretised, in a sort of second place. This second place is built bay a tro : that of effectiveness (real application of the norm), efficacy (that the goal for which the norm was established is achieved) and efficiency (that the system is transformed so that, having become robust, it endures through sustainabily).

The second part of the conference will present the new branch of law known as Compliance Law. This should be distinguished from simple conformity, which consists of mechanically obeying a body of regulations that are constantly growing and becoming more complex. Compliance Law's Goal is to protect systems from risks that could cause them to disappear (all systems). "Sustainability" is the key principle, which is not limited to the climatic system (also digital system, banking system, and so on) and imposes the future as its object and the long term as its relevant time frame (unlike the market and Competition Law). "Transition" is also a key concept, as it involves moving from one state to another, from an expressed ambition to its realisation, through collaboration with others. These Goals are "Monumental" and are the normative legal basis of Compliance Law. In Europe, the Compliance Monumental Goal is to preserve systems for that the human beings who are involved in them, willingly or unwillingly, are not crushed by them, but rather benefit from them (for instance in banking sector). This is a "Monumental Negative Goal", to which is added a "Monumental Positive Goal", which a new conception of the "Ex Ante Responsability" (not liabily).

Dialectically, the third part of the conference explains how Compliance Law internalises the political ambition of equality between human beings, which develops in the three concentric circles of effectiveness, efficacy and efficiency, among the operators best placed to contribute to it.

Mutual banks belong to these circles more than the others. Firstly, because they are structured around the principle of taking human beings into consideration. Secondly, because they are rooted in their local areas. Thirdly, because they are driven by the long term, duration and sustainable. The transition est easer. The dificulty is the necessity to proof the effective and efficient will to do this transition.

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⛏️Go further  :

🕴🏻M.-A. Frison-Roche, 📝Drawing the circles of Compliance Law, 2017

🕴🏻M.-A. Frison-Roche, 📝Monumental goals, the beating heart of compliance law, 2021

🕴🏻C. Peicuti and 🕴🏻J. Beyssade, 📝The feminisation of management positions in companies as a compliance objective. The example of the banking sector, in 🕴🏻M. -A. Frison-Roche, 📘The Monumental Goals of Compliance, 2022 

🕴🏻M.-A. Frison-Roche, 📝Births of a New Branch of Law: Compliance Law, 2024

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🌐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, "Asset freezing in the legal saga between American power and Venezuelan wealth", MAFR Law, Compliance, Regulation Newsletter, 23 January 2026

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🌐read this article published on LinkedIn the 23 January 2026 

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📧Read other articles from the MAFR Newsletter - Law, Compliance, Regulation for free with a subscription.

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► Summary of this article  : It is often emphasised that the  law is merely a masquerade in the series of events we are witnessing.

This is not entirely true.

For three reasons.

1. Much will depend on the judge who will rule on the Madura couple's case. The energy sector has always similarly mixed regulation, public policies of states and businesses, both articulated by States and companies, both articulated by  international contracts, always organising international arbitration

3. If ExxonMobil now refuses to make the investments desired by Trump, it is also because this enterprise remembers that many years ago the freeze  of assets granted by the arbitrators was not very successful, and now the company manager believes that investment in  Venezuala's infrastructure is therefore "impossible".

And given the current state of the law in the US, there is little Trump can do about it..

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📝⤵Read the complete article below⤵

► Référence complète  : E. Pataut et S. Robin-Olivier, Les directives CSRD et CS3D et le droit social. Respecter les droits sociaux dans les chaînes de production mondiales,  Bruylant, coll. "Droit de l'Union européenne" (Colloques), 2026

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►lire la table des matières et l'avant-propos

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🌐suivre Marie-Anne Frison-Roche sur LinkedIn

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

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🌐s'abonner à la Newsletter MaFR Droit & Art

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► Référence complète : M.-A. Frison-Roche, «"Géomètres-experts : une profession qui s’engage dans la compliance"», interview pour Solution Notaire Hebdo, Lefebvre Dalloz, 8 janvier 2026

Interrogée par Juliette Courquin, journaliste à Solution Notaire Hebdo

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► lire l'entretien : 💬 Lire l'interview au cours duquel les réponses ont été apportées aux questions reproduites ci-dessous⤵

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Q. Pourriez-vous définir le droit de la compliance ?

Q. La compliance se prête-t-il à l'Ordre des géomètres-experts et à la profession elle-même ?

Q. L'OGE et la profession se sont engagés dans la compliance en définissant leur raison d'être, quelles en sont les conséquences juridiques ? 

Q. Un dernier mot sur l'Ordre des géomètres-experts et la profession avec qui vous avez travaillé sur la compliance ?

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⛏️Aller plus loin sur la question :

🕴🏻M.-A. Frison-Roche, 🎤Concevoir une raison d'être et l'expliciter, 2025

🕴🏻M.-A. Frison-Roche, 📝Les buts monumentaux de la compliance, coeur battant du droit de la compliance, 2023

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🌐Follow Marie-Anne Frison-Roche on LinkedIn

🌐Subscribe to the Newsletter MAFR Regulation, Compliance, Law

🌐Subscribe to the video newsletter MAFR Overhang

🌐Subscribe to the Newsletter MaFR Law & Art

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► Full reference : M.-A. Frison-Roche, Saisir les principes du Droit de la Compliance à travers l'actualité (Understanding the principles of compliance law through current current legal cases and events), Jean Moulin  - Lyon 3 University Law Faculty, 10 December 2025.

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► Methodological presentation of this 4-hour MasterClass : It is difficult to teach a branch of law that is still being developed, to find a way to open its doors, because if by explaining its principles ex abrupto, the risk exists of remaining at the door, even though the aim is to open it. This door is all the more blocked by the accumulation of multiple regulatory corpus, which are now perceived as being linked to Compliance Law: GDPR, Sapin 2, Vigilance, Nis2, Dora, FCPA, etc.; These are highly technical and complicated, and tend to be studied in silos, with little connection between them and little articulation with the traditional branches of Law. Therefore, the principles that form the backbone of Compliance Law as an autonomous branch of Law are all the less apparent, even though they would make these "compliance blocks" more intelligible and manageable. However, setting out these principles, which shed light not only on the current positive law but also on how it will evolve, seems "theoretical".

In order to open the door to this new branch of Law, which already occupies a significant place in practice and is set to expand, so that it can be handled by lawyers who understand its spirit and is not entirely dominated by those from other disciplines who will master its tools (risk mapping, assessment, internal investigation, etc.), most often through algorithms and platforms (compliance by design), it is relevant to start with a few cases, a few decisions, a few texts, and a few comments, to gauge what they reveal.

Because the principles are already there. They are gradually emerging. The challenge is that they often emerge quickly, in a manner that is sufficiently consistent with other branches of Law, and that the legal aspect takes precedence. That is what is at stake today.

Each hour is devoted to a different case, based on a document of a different legal genre.

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🌐read a post on LinkedIn (in French)

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⛏️Find out more  :

🕴🏻M.-A. Frison-Roche, 📝Compliance Law, 2016

🕴🏻M.-A. Frison-Roche, 📝Monumental Goals, the beating heart of Compliance Law, 2023

🕴🏻M.-A. Frison-Roche, 📝In Compliance Law, the legal consequences for Entreprises of their commitments and undertakings, 2025

🕴🏻M.-A. Frison-Roche, 📝Compliance Law and Systemic Litigation, 2025

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🌐Follow Marie-Anne Frison-Roche on LinkedIn

🌐Subscribe to the Newsletter MAFR Regulation, Compliance, Law

🌐Subscribe to the video newsletter MAFR Overhang

🌐Subscribe to the Newsletter MaFR Law & Art

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► Full reference : M.-A. Frison-Roche, ""Géomètres-experts : une profession qui assume concrètement sa responsabilité territoriale Géomètres-experts : une profession qui assume concrètement sa responsabilité territoriale (Chartered Surveyors: a Profession that takes its territorial responsibility seriously)", interview for JurisHebdo, 27 November 2025

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► Read the interview  (in French) in which the questions (translated below in English) were answered⤵

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Q.You helped define the raison d'être of the profession of chartered surveyors and its Professional Order. In your opinion, what is its true consequences?

Q. Can the raison d'être become a tool for Compliance or Governance?

Q. What conflicts arise around the source of compliance norms and their implementation? 

Q. Is this initiative part of a broader move towards social responsibility?

Q. How can the raison d'être influence the mission of the chartered surveyor, particularly in relation to land and environmental matters? 

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⛏️Further reading on the subject:

🕴🏻M.-A. Frison-Roche, 🎤Designing a raison d'être and explaining it, 2025

🕴🏻M.-A. Frison-Roche, 📝The Monumental Goals of Compliance, the beating heart of Compliance Law, 2023

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► Référence complète : V. Monteillet, "Le contrat, outil de mise en oeuvre des obligations de vigilance entre partenaires de la chaine de valeur", in M. Boutonnet, B. Parance et J. Rochfeld (dir.), Engagements et contrats à l'aune des mutations environnementales, Lefebvre-Dalloz, coll. "Thèmes et commentaires, 2025, pp.15-24.

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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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► Référence complète : Y. Kerbrat, "L’avis consultatif de la Cour internationale de justice du 23 juillet 2025 sur les obligations des États en matière de changement climatique", Clunet, 2025, n°4, 

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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche.

🌐Follow Marie-Anne Frison-Roche on LinkedIn

🌐Subscribe to the Newsletter MAFR Regulation, Compliance, Law

🌐Subscribe to the video newsletter MAFR Overhang

🌐Subscribe to the Newsletter MaFR Law & Art

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► Full reference : M.-A. Frison-Roche,  ""Ordonner la Compliance : pourquoi le faire et comment le faire ? (Organising Compliance: why do it and how to do it?)", interview Focus on... conducted for Dalloz Actu Étudiants, 13 November 2025

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► read the interview : 💬 Read the interview (in French)

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🌐read the interview presentation on LinkedIn (in French)

🌐read the interview presentation through the MAFR Newsletter Law, Compliance, Regulation, (in English)

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► presentation  of the interview by Dalloz Actu-Étudiants  : Compliance can be defined as a new branch of law that mobilises major economic players and their stakeholders to ensure that the large systems in which we live do not collapse, but remain solid and sustainable. Sanctions, contracts, ethical principles, court decisions and corporate cultures all converge to achieve this. The ambition is great, some contest it, many want to escape it. It is still difficult to define compliance, which seems to be going in all directions. Who? What? Why? How?

These are all questions addressed by Marie-Anne Frison-Roche, professor of law and editor-in-chief of the Journal of Regulation & Compliance (JoRC), together with the contributors to the collective works in the Régulations & Compliance series under her scientific direction. Compliance (JoRC), together with the contributors to the collective works in the "Regulations & Compliance" collection under her scientific direction, sheds light on with her imaginative power combined with her legal precision.

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Q.Why do the fundamental objectives of compliance unify all legal compliance techniques?

Summary of MAFR's response: because all these regulatory frameworks, which large companies are required to enforce effectively and which appear disparate, creating as many specific requirements as there are regulatory compliance blocks, find their unity when we consider the following reality: whatever the body of regulations in question (Sapin 2, Vigilance, Nis2, Dora, IAA, etc.), the aim is always to identify and prevent systemic risks so that these systems do not collapse.

Q. How can we define the obligation of compliance?

Summary of MAFR response: the company concerned is therefore obliged to put in place "compliance structures", such as mapping, plans, alert structures and programmes (obligation of result), but of course, and this is the key point, to achieve this goal, namely to ensure that the system in question (banking, financial, climate, digital, algorithmic, etc.) does not collapse. This is an obligation of means. This is the exact, simple definition that unifies all the regulations of the Compliance Obligation for which subject companies are responsible.

Q. What conflicts arise around the source of compliance standards and their implementation? 

Summary of MAFR's response: It must remain a matter of law. However, many argue that because it is only a matter of "compliance" and "ticking all the boxes", algorithms (which do not think or know anything) will do this, eliminating the need for lawyers and the law. This must be avoided. Furthermore, given the immense ambition of safeguarding systems, political and public authorities, businesses and stakeholders must join forces. They must not fight to bring each other down.

Q. What are the complexities of compliance law? 

Summary of MAFR's response: I would not say "complexity", because although the regulations are complicated, compliance law is fairly simple and unified around its monumental goals of safeguarding systems, ensuring their future sustainability and protecting the people involved in them. However, it is a new branch of law that is still poorly understood and therefore sometimes poorly mastered. It therefore needs to be organised.

Q. What is your proposal for ordering it? 

Summary of MAFR's response: Teaching more about compliance law will facilitate its organisation. The courts, to which all regulations converge through litigation, will participate in this organisation, which is necessary to ensure that regulations do not remain in silos and do not contradict each other when they have the same purpose, which constitutes their legal normativity. This new branch of law must also be articulated with all other branches of law. This is notably what the recently published book, L'obligation de compliance (The Obligation of Compliance), does.

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🌐Follow Marie-Anne Frison-Roche on LinkedIn

🌐Subscribe to the Newsletter MAFR Regulation, Compliance, Law

🌐Subscribe to the video newsletter MAFR Overhang

🌐Subscribe to the Newsletter MaFR Law & Art

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► Full reference : M.-A. Frison-Roche, "Concevoir une Raison d'être et l'explicitre (Conceiving a Raison d'être and explaining it)", speech at the round table discussion "Dire sa Raison d'être (Expressing your Raison d'être)", National Conference of the Géomètres Expert (French Chartered Surveyors), 6 November 2025, Paris.

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► Presentation of the Round Table : This round table opens two days of work bringing together all the leaders, members of the Council of the Order of Chartered Surveyors and Regional Councils of Chartered Surveyors, in the presence of the relevant Ministry, in specific sessions during which the two Raison d'être that have been developed over several years of work and adopted, the Raison d'être of the profession and the Raison d'être of the Order, are presented.

🪑🪑🪑Other participants in the round table discussion, moderated by Hervé Grélard, General Deputy of the French Order of Chartered Surveyors:

🕴🏻Thomas Bonnel, chartered surveyor

🕴🏻Luc Lanoy, chartered surveyor,

🕴🏻Séverine Vernet, Chairwoman of the French Order of Chartered Surveyors

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► Summary of my presentation : Firstly, I spoke to remind everyone what a "raison d'être" is, in itself, and why it is particularly important when the entity that embodies it also constitutes a "profession", the raison d'être expressing this hybrid nature that is destined to endure in today's societies. It moves those who uphold the raison d'être – the professional, the profession, the umbrella organisation that is the Order – from the past to the future. To effectively carry this raison d'être, its bearer cannot remain isolated. Unlike the agent who operates in a market and whose strategy is solitary dynamism against others, the bearer of the raison d'être must find allies who share similar or compatible ideas and develop points of contact to carry out a collective project (the "Monumental Goals"). This is why it is just as important to communicate, explain and share the raison d'être with the outside world.

Secondly, as the discussion surrounding the statement of purpose of the French Order of Surveyors and the profession progressed, I was led to point out that the raison d'être is not, or not only, ethical in nature, but also legal in nature, constituting at the very least a legal fact that can become enforceable against those who recognise themselves in it and claim it. This kind of reward, which is the "ex ante responsibility" expressed by the raison d'être and relayed by Compliance Law, anchored in its monumental goals of sustainability and responsibility, justifies that the profession that embraces its raison d'être is not simply an efficient profession in a supply and demand market, but establishes the Order as a regulator. This places both in the long term.

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⛏️Further reading on the subject: (with English Summaries)

🕴🏻M.-A. Frison-Roche, 💬"Géomètres-experts : une profession qui assume concrètement sa responsabilité territoriale", 2025

🕴🏻M.-A. Frison-Roche, 📝A quoi engagent les engagements, 2025

🕴🏻M.-A. Frison-Roche et 🕴🏻S. Vernet, 📝La profession investit le Droit de la compliance et détermine sa Raison d'être, 2023

🕴🏻M.-A. Frison-Roche, 📧Quels sont les points de contact entre la Raison d'être des entreprises et le Droit de la Compliance ?, 2022

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►Full Reference: M.A. Frison-Roche, "Droit de la compliance et Contentieux systémique" (Compliance Law and Systemic Litigation), in Chroniques Droit de la Compliance (Compliance Law Chronicles), Recueil Dalloz, 6 November 2025 

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

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►read the English presentation of the previous chronicles:

• "Compliance and conformity: Distinguish them in order to articulate them", 2024
• "Regulations, Compliance, Contracts, and Judges: places and alliances", 2023
• "Contract of compliance, stipulations fo compliance", 2022
• "The Adventure of the Compliance", 2020
• "Compliance and Legal Personality", 2019
• "TLegal Theory of Risk Mapping", 2019

►read the English presentation of the whole chroniques

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►English summary of this article: Legal systems have changed, and Compliance Law, in its uniqueness, reflects this change and plays a powerful role in it. Through new sets of compliance rules, particularly at European level, in areas such as data protection (GDPR), anti-money laundering (AMLA), climate balance protection (CS3D) and banking and financial system sustainability (Banking Union), techniques (always the same) have been developed and imposed on large companies, which must implement them: alerts, mapping, assessment, sanctions, etc. These new regulatory frameworks only make sense in relation to their ‘Monumental Goals’: to detect systemic risks Ex Ante and prevent crises so that the systems in question do not collapse, but ‘sustain". All the legal instruments in the corpus are normatively rooted in these Monumental Goals, which are the core that unifies Compliance Law (I).

Judges are the guardians (II) of this new and highly ambiguous normative framework, which relies on the practical ability of companies to do just that. They ensure that the technical provisions are applied teleologically in each of these compliance blocks, and that the regulatory frameworks are mutually supportive, for it is always the same systemic goal that all compliance regulations serve: to ensure that systems (banking, financial, climate, digital, energy, etc.) do not collapse, that they are sustainable, and that present and future human beings are not crushed by them but, on the contrary, benefit from them. This unity is still little perceived, as regulations pulverize this profound unity of compliance law in the myriad of changing provisions. Entrusting the "regulatory mass" to algorithms increases this pulverization, making the whole increasingly incomprehensible and therefore impossible to handle.  Acknowledging the judge's rightful place, i.e. at the heart of the matter, will enable us to master this new branch of law. But it's not the judge's job alone to restore clarity to a whole covered in the dust of his own technicality.

The systemic object of Compliance Law is transferred to Litigation. Indeed, the Litigation that emerges from the new Compliance Law is also fundamentally new, by transitivity. Indeed, the aim of Compliance Law is to make systems sustainable (or sustainable, or resilient, the vocabulary varies). The result is litigation which is itself "systemic litigation" (III), most often initiated by an organization against a systemic operator. The place and role of each are transformed (IV).

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