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► Référence complète : M.-A. Frison-Roche, " Le puzzle du Droit institutionnel de la Compliance et du Droit substantiel de la Compliance : exemple des règlements et la directive du 31 mai 2024 sur l'AMLA et les obligations de compliance des entreprises  ", in série de vidéos Surplomb, 11 janvier 2025

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► Résumé de ce Surplomb : Le Droit de la Compliance se construit sur 2 jambes, les institutions d'une part, les règles substantielles d'autre part. Aux Etats-Unis comme en Europe. Ainsi le 31 mai 2024 furent adoptés en même temps un Règlement institutionnel pour créer l'Autorité européenne de lutte contre le blanchiment d'argent (AMLA) et un Règlement substantiel modifiant les obligations de compliance des entreprises assujetties pour contribuer à cette lutte. En effet, il faut penser et connaître ensemble institutionnel, procédural (voire procès) et règles substantielles de compliance (gouvernance, contrôle, gouvernance).

N'en connaître qu'un de ces deux aspects, c'est en pratique moins bien manier les techniques de Compliance. Articuler les 2 c'est mieux les maîtriser et les comprendre puisque règles institutionnelles et substantielles se déduisent toutes d'un même "But Monumental" : ici éliminer le blanchiment d'argent des systèmes financier, économique et sociaux. But monumental, mais but simple, qui rend la Compliance facile à comprendre et à manier.

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Surplomb, par mafr

la série de vidéos dédiée à la Régulation, la Compliance et la Vigilance

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► Full Reference: M.-A. Frison-Roche, The puzzle of Institutional Compliance Law and Substantive Compliance Law: the example of the European Regulations of 31 May 2024 on AMLA and enterprises compliance obligations​, Working Paper, January 2025.

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🎤 This Working Paper was developed as a basis for the Overhang👁 video  on 11 January 2024 :

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🎬🎬🎬In the collection of the Overhangs👁 It falls into the News category.

►Watch the complete collection of the Overhangs👁 : click HERE

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► Summary of this Working Paper: Compliance Law is built on 2 legs, Institutions on the one hand and substantive rules on the other. For example in the United States, the 1934 Act established at the same time the prohibition and prevention of financial market abuse and the SEC. In Europe, in 2013, the Banking Union established institutions to build this Union and increased the obligations on banks.

This is perfectly illustrated by the 2 European Regulations of 31 May 2024, one creating the AMLA and the other reinforcing the compliance obligations of crucial economic operators, one text referring to the other.

Indeed, Institutional Compliance Law and Substantive Compliance Law are like 2 articulated legs. You have to know both and make them work together.

This is part of the "European puzzle", a positive expression which implies that, when assessing and interpreting a text, we should always bear in mind that it is only one element of a general picture, which is coloured by its Monumental Goal: in this case to obtain a European area where money laundering is efficiently prevented thanks to the action of the companies themselves under the supervision and support of a Supervisory Authority which coordinates the actions of the States.

If we consider only one element, we find everything 'complicated', whereas the overall picture is simple, because the Goal is simple and in Compliance Law, a branch of Teleological Law, everything is in the Monumental Goal.

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► Full Reference: M.-A. Frison-Roche, Identifying and anticipating the practice of Emerging Systemic Litigation: a necessity for organizing it​ , Working Paper, December 2024.

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🎤This working paper was drawn up to serve as the basis for the speech that opened the colloquium L’expérience des juridictions dans le Contentieux Systémique Émergent, in the cycle of conferences-debates "Contentieux Systémique Émergent," which was held in French on 16 December 2024 at the Paris Court of Appeal.

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📝It will also constitute the basis of the first contribution to the book to be published in French in 2025, Le contentieux systémique émergent (Emerging Systemic Litigation).

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► Summary of this Working Paper : Systemic Litigation is for the moment a practice that has not been clearly identified. This is a handicap in practice, firstly because it can be confused with other things, such as the "systemic method" that this category of Litigation calls for and to which it cannot be reduced and which this method exceeds, and secondly because if this practice is not conceptualised, secondly, because if this practice is not conceptualised, even if only by a shared definition, it is difficult for the courts to organise themselves and for the potential parties to the dispute and to the proceedings to anticipate the procedural and substantive solutions that will be adopted tomorrow. The difficulty is compounded by the fact that not all emerging disputes are Systemic and not all systemic disputes are emerging. For example, banking regulation litigation and litigation concerning the operation of competitive markets or sectoral regulation are systemic disputes that are not emerging. But it so happens that technological developments have given rise to new systemic litigation, which the courts, judges and parties have had to adapt to because the systems themselves are entering the courthouses.

A series of conferences has been organised to report on this practice, focusing on technology, legislation, management, court organisation, procedure and the role of the judge.

They have thus made it possible to build up common, cross-disciplinary knowledge so that innovations can be developed and expressed in the organisation of the courts, in procedures, particularly in the relationship between judges and lawyers, and in the openness of proceedings, in the conception of the judge's office, which must be singular when the case, because a systemic is implied, is systemic. This specificity leads to judges who are less hierarchical among themselves and more specialised, leading to procedural forms that place dialogue and adversarial proceedings no longer as a desire and support but as the primary guiding principle.

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🔓read the developments of this Working Paper below⤵️

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► Référence complète : M.-A. Frison-Roche, "L’Obligation de Compliance :  nouvelle Obligation, manifestation d'une nouvelle branche du Droit", in M.A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", à paraître.

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► Cet article constitue la conclusion de l'ouvrage ; il est en accès libre.

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

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► Résumé de l'article : Cet article est construit en deux parties.

La première partie explique la façon dont cette "Obligation de Compliance", qui est nouvelle, est elle-même la manifestation de cette branche du Droit nouvelle qu'est le Droit de la Compliance.

En appui de cela, l'article reprend dans sa seconde partie, en reprenant la structuration même de l'ouvrage que j'avais conçue chacune des contributions et la résumant et en la resituant dans la démonstration d'ensemble. 

Cet article est en accès libre⤵️

► Full Reference: M.-A. Frison-Roche, Coordination of the cycle of conference-debates Contentieux Systémique Émergent (Emerging Systemic Litigation), organised on the initiative of the Cour d'appel de Paris (Paris Cour of Appeal), with the Cour de cassation (French Court of cassation), the Cour d'appel de Versailles (Versailles Court of Appeal), the École nationale de la magistrature - ENM (French National School for the Judiciary) and the École de formation des barreaux du ressort de la Cour d'appel de Paris - EFB (Paris Bar School), under the scientific direction of Marie-Anne Frison-Roche

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► This Cycle in few words: Duty of vigilance, supervision of platforms, non-financial information (CSRD), etc.: as many new texts that bring new types of disputes before the courts.

Despite their diversity, the cases brought before the most diverse judges present a unity: through the dispute that pits the parties against each other, it is a system that is at stake, for example the climate system, digital system, energy system, financial system, etc.
New regulations are just the illustration of this "Emerging Systemic Litigation"; the conference-debates aiming at showing the new fields, new techniques, new standards, etc., in relation to the scale and diversity of stakeholders' expectations. This cycle is designed to encourage cross-fertilisation, so as to provide judges with food for thought ahead of the litigation they will be called upon to deal with.

Les réglementations nouvelles ne sont que l’illustration de ce « contentieux systémique émergent » dont la formation a pour objet de montrer les nouveaux champs, les nouvelles techniques, les nouvelles normes, etc., en lien avec l’ampleur et la diversité des attentes des parties prenantes. Le cycle vise à favoriser les échanges croisés, afin d’alimenter la réflexion des magistrats en amont des litiges qui leurs seront soumis.

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🔴Registrations and information requests can be sent to: inscriptionscse@gmail.com

🔴For the attorneys, registrations have to be sent to the following address: https://evenium.events/cycle-de-conferences-contentieux-systemique-emergent/ 

⚠️The conference-debates are held in person only, in the Cour d’appel de Paris (Paris Court of Appeal).

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► General Presentation of the Cycle: In 2024, the Cour d’appel de Paris (Paris Court of Appeal) created a new specialised chamber: chamber 5-12 Contentieux émergent – Devoir de vigilance et responsabilité écologique (Emerging litigation - Duty of vigilance and environmental liability). Vigilance litigation is an example of what is emerging more generally: Systemic Litigation, often linked to technologies. This calls for a new way of judging, organising procedures and relations between professionals. A series of conference-debates on Emerging Systemic Litigation (ESL) is being organised jointly by the Paris Court of Appeal, the Versailles Court of Appeal, the Cour de cassation (French Court of cassation), the École nationale de la magistrature - ENM (French National School for the Judiciary) and the École de formation des barreaux du ressort de la Cour d'appel de Paris - EFB (Paris Bar School), under the scientific responsibility of Professor Marie-Anne Frison-Roche.

In this context, a series of conference-debates involving professionals from a wide range of backgrounds is being proposed on the following themes:

• 🧮the very notion of "Emerging Systemic Litigation" and the role of the judiciary in it (29 March 2024): read the report of this event

• 🧮vigilance, insofar as it gives rise to Systemic Litigation, notably because it takes legal form in numerous contracts, for example in employment relationships (26 April 2024): read the report of this event

• 🧮the inclusion in Emerging Systemic Litigation of information reliability techniques, particularly with regard to content available on platforms (27 May 2024): read the report of this event

• 🧮the way in which artificial intelligence is generating Systemic Litigation and the influence of new specific texts (24 June 2024): read the report of this event

• 🧮sustainability, a principle of systems found in reports and transitively in disputes concerning their development, their standards and even their control (9 September 2024): read the programme of this event

• 🧮new evidentiary techniques required by Emerging Systemic Litigation, to account for systemic needs, e.g. climate and digital systems, and how firms respond to them (14 October 2024): read the programme of this event

• 🧮Vigilance General Procedural Law, in that it incorporates the Systemic dimension of Vigilance Litigation (18 November 2024): read the programme of this event

• 🧮institutional and case law feedback from courts on Emerging Systemic Litigation (16 December 2024): read the programme of this event

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🧮read below the full programme of this cycle of conference-debates⤵️

► Référence complète : G. Beaumier & A. Newman, "When Serving the Public Interest Generates Private Gains: Private Actor Governance and Two-Sided Digital Markets, Cambridge Université Press, 2024.

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📝lire l'article : cliquer ICI

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► Résumé de l'article ( fait par les auteurs) :  "From speech to privacy, broad public interests are increasingly governed online by policy decisions taken by private companies. We examine when and how firms make such decisions. In contrast to the shadow of hierarchy and functionalist explanations of private authority, we build an analytical framework based on business power and the economics literature concerned with two-sided markets. We argue that companies operating as digital platforms may use private actor governance to consolidate their influence. More precisely, public-interest regulation on one side of the market (e.g., protecting the privacy of end-users) may increase the dependence of firms on the other side of the market (e.g., increasing the price paid for information by advertisers). We probe our argument by looking at the privacy policy implemented by Apple in 2021. Our findings demonstrate the growing role played by digital companies in global regulatory debates and call attention to how market structures can simultaneously incentivize public-interest regulation and become a source of business power.".

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► Full Reference: M.-A. Frison-Roche, Identifier et anticiper la pratique du Contentieux Systémique Émergent (Identifying and anticipating the practice of Emerging Systemic Litigation) ; Presentation of L’expérience des juridictions dans le Contentieux Systémique Émergent (Courts Experience in Emerging Systemic Litigation), in cycle of conference-debates "Contentieux Systémique Émergent" ("Emerging Systemic Litigation"), organised on the initiative of the Cour d'appel de Paris (Paris Cour of Appeal), with the Cour de cassation (French Court of cassation), the Cour d'appel de Versailles (Versailles Court of Appeal), the École nationale de la magistrature - ENM (French National School for the Judiciary) and the École de formation des barreaux du ressort de la Cour d'appel de Paris - EFB (Paris Bar School), under the scientific direction of Marie-Anne Frison-Roche, 16 December 2024, 2pm.-6pm., Cour d'appel de Paris, Première Chambre (First Chamber).

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🧮see the full programme of this event

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⚙️This event has been conceived as a part of the cycle of conference-debates "Contentieux Systémique Émergent" ("Emerging Systemic Litigation"), organised on the initiative of the Cour d'appel de Paris (Paris Cour of Appeal), with the Cour de cassation (French Court of cassation), the Cour d'appel de Versailles (Versailles Court of Appeal), the École nationale de la magistrature - ENM (French National School for the Judiciary) and the École de formation des barreaux du ressort de la Cour d'appel de Paris - EFB (Paris Bar School), under the scientific direction of Marie-Anne Frison-Roche

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► English Summary of the conference: 

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► Référence complète : M.-A. Frison-Roche, La chaîne de valeur, nouvel espace de Régulation par la Compliance, document de travail, décembre 2024

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📝 Ce document de travail est la base de l'article, "La chaîne de valeur, nouvel espace de régulation par la compliance", in 📕L'Obligation de Compliance

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► Résumé du document de travail :

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🔓lire le document de travail ci-dessous⤵️

► Référence complète : M.-A. Frison-Roche., "Description d'un risque systémique : Description d'un risque systémique : 🎬𝑲𝒆𝒓𝒗𝒊𝒆𝒍 - 𝒖𝒏 𝒕𝒓𝒂𝒅𝒆𝒓 - 𝟓𝟎 𝒎𝒊𝒍𝒍𝒊𝒂𝒓𝒅𝒔", billet décembre 2024.

🎞️voir le film-annonce 

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► Référence complète : M.-A. Frison-Roche, "Régulation et Compliance", in série de vidéos Surplomb, 6 décembre 2024

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Surplomp, par mafr

la série de vidéos dédiée à la Régulation, la Compliance et la Vigilance

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► Full Reference: M.-A. Frison-Roche, In Compliance Law, the legal consequences for Entreprises of their commitments and undertakings, June 2024.

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📝 This Working Paper is the basis for the contribution "In Compliance Law, the legal consequences for Entreprises of their commitments and undertakings", in📘Compliance Obligation.

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► Summary of this Working Paper: The innocents might believe, taking the Law and its words literally, that "commitments" are binding on those who make them. Shouldn't they be afraid of falling into the trap of the 'false friend', which is what the Law wants to protect them from (as stated in the prolegomena)?

Indeed, the innocent persons think that those who make commitments ask what they must do and say what they will do. Yet, strangely enough, the 'commitments' that are so frequent and common in compliance behaviours are often considered by those who adopt them to have no binding value! Doubtless because they come under disciplines other than Law, such as the art of Management or Ethics. It is both very important and sometimes difficult to distinguish between these different Orders - Management, Moral Norms and Law - because they are intertwined, but because their respective standards do not have the same scope, it is important to untangle this tangle. This potentially creates a great deal of insecurity for companies (I).

The legal certainty comes back when commitments take the form of contracts (II), which is becoming more common as companies contractualise their legal Compliance Obligations, thereby changing the nature of the resulting liability, with the contract retaining the imprint of the legal order or not having the same scope if this prerequisite is not present.

But the contours and distinctions are not so uncontested. In fact, the qualification of unilateral undertaking of will is proposed to apprehend the various documents issued by the companies, with the consequences which are attached to that, in particular the transformation of the company into a 'debtor', which would change the position of the stakeholders with regard to it (III).

It remains that the undertakings expressed by companies on so many important subjects cannot be ignored: they are facts (IV). It is as such that they must be legally considered. In this case, Civil Liability will have to deal with them if the company, in implementing what it says, what it writes and in the way it behaves, commits a fault or negligence that causes damage, not only the sole existence of an undertaking. 

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► Full Reference: M.-A. Frison-Roche, "Considérer la géographie pour réussir le Devoir de Vigilance" ("Taking Geography into account for a successful Vigilance Duty"), concluding speech in Devoir de vigilance, quelles perspectives africaines ? Regards croisés en droit international, droit comparé et droit OHADA (Vigilance Duty : what African perspectives? Cross-analysis of International Law, Comparative Law and OHADA Law), Institut de Recherche en Droit des Affaires et du Patrimoine (IRDAP), Bordeaux, 15 November 2024.

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

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► English summary of this concluding speech: This concluding speech was made "on the bench", i.e. directly after listening to all the day's speakers. It is not, therefore, based on an a priori conception of the subject, but on the impression that emerged from the whole, as one speaker followed another.

The general impression is that these compliance instruments, of which the vigilance tool is the spurred head, are only appropriate if they fulfill the purpose for which they were devised and imposed, which presupposes that they are appropriate to the concrete situations to which they apply: to the country, to the legislation that shapes and expresses this country, to its economy, to its population.

There is certainly room for improvement. But Vigilance legal instruments, like Compliance Law, are new mechanisms that are in the process of taking shape: we must seek to improve them and find solutions:

🧱🕴🏻mafr, 🚧Duty of Vigilance: the way forward, 2024

This is not easy, especially if we get lost in the jigsaw puzzle of texts and decisions in which the vigilance technique fits, particularly at French, European and international level:

🧱🕴🏻mafr, 🚧Vigilance, a piece of the European puzzle, 2023

Listening to all the many and varied speakers, it is clear that progress needs to be made to ensure that the Vigilance instrument takes greater account of the concrete situations reflected in the various legal systems of African countries, and in particular the unified OHADA legal system.

It can be done, as long as everyone is willing to bear it in mind.

🧱🕴🏻J.-B. Racine, 📝Geographical dominance in the choice and the use of compliance tools. Introductory remarks, in 🧱🕴🏻mafr (ed.), 📘Compliance Tools, 2021

The speakers demonstrated that the good feelings of Paris or Brussels can pave the way for African hell, for example when about the children labour. The same is true of the fight against corruption, as Mohamed Salah showed.

🧱🕴🏻M.M. Salah ,📝Conception and Application of Compliance in Africa, in 🧱🕴🏻mafr (ed.), 📘Compliance Tools, 2021

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Meanwhile, listening to each other, it appears that often, despite using the same words, the speakers were not talking about the same thing, particularly not in terms of what the very term "Vigilance" refers to, the difference between the French and English being a challenge because "due diligences" are not the same than Vigilance duty . This is a sign that what we call a duty, or an obligation, or a spontaneous commitment, or a legal order criminally sanctioned, which are not at all the same thing, shows the immaturity of this notion of "Vigilance". What's more, we sometimes talk about the climate, or human rights, or the need to fight corruption or money laundering. These latter concerns are undoubtedly covered by texts classified under Compliance Law, some of which assert that Vigilance is the cutting edge, while others claim that Compliance is alien to or merely a component of Vigilance, because Vigilance embraces ethics, while Compliance is merely obedience to the norm ('conformity').

It is clear that the absence of an agreement on definitions is a handicap in practice, as we do not know which legal regime will apply. This uncertainty is problematic in practice because the regulations don't  lay down definitions which alone make it possible to deduce the outline of the obligations of each party, particularly not those of the companies, which ask for instructions for use. Companies receive contradictory interpretations for the same situation, depending on who you are dealing with (a regulator or an NGO for example) or depending on the text (a text specific to the industrial activity, a text specific to the country, or a text from the country of the ordering company on the duty of vigilance, or a text from ordinary contract law or a text that will come from a soft law that remains rather mysterious).

This uncertainty feeds the passion that surrounds the issue of vigilance, with everyone speaking out, the specialists who want to talk about it being suspected of being a technocrat or captured, and those who don't speak out being the local population for whom others speak out.

As a result, two phenomena are set to persist, which we had hardly anticipated but which are set to increase: the contractualisation of all vigilance mechanisms and the jurisdictionalisation of all vigilance organisation.

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The first phenomenon is the contracting of Vigilance. This contractualisation is the means by which companies have been carrying out their legal compliance obligations for years, using a contractual art that is becoming increasingly sophisticated.

We have very little information on these contracts, which are nonetheless what allow companies to obey the regulations and also to add to them, a combination of obedience and contractual freedom, the effects of which in practice have not yet been fully measured.

🧱🕴🏻mafr, 🚧Will, Heart and Calculation, the Three Traits Encercling the Compliance Obligation, 2024

🧱🕴🏻mafr (ed.), 📘Compliance and Contract, 2025

But they do raise essential questions. Firstly, they will bring back the jurisdiction of general courts , for example the commercial courts (tribunaux de commerce) in France, and the courts of the countries where the industrial operations take place: moreover, they are the natural route to international arbitration. They are a new type of contract, since they structure "value chains" (a managerial concept).

🧱🕴🏻mafr, 🚧Compliance Contract, Compliance Clauses, 2022

There are two key issues concerning these contracts: they directly concern African countries, their economic activity and their populations, as described throughout all the speeches.

The first is to know who governs the structural apparatus constituted by these 'regulatory contracts' through which chains of activity are built as durable structures. Who is strong and who is weak, between companies and states?

The second is to find out how much of the reality of the country and of local economic activity is taken into account by the subsidiary, and how much consideration is given to the local people involved: are the people who are actually involved really "taken into consideration" when we speak for them? Who is best placed to speak on their behalf, to defend them, to get to know them?

If we want to contextualise, refine and get to know the situation as closely as possible, in other words if we want to have definitions so that we know what we are talking about, but at the same time start from geographical and human realities, then it is the Judge who appears because the court starts from the facts.

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This is the second phenomenon that has emerged and is set to increase: the jurisdictionalisation of Vigilance.

🧱🕴🏻mafr (ed.), 📘Compliance Jurisdictionalisation, 2023

This is understandable, since the judge is able to take cognisance of the facts, the situation in Uganda or Tanzania, and what is often referred to as the "extraterritoriality" of the Compliance mechanisms being thus compensated for.

However, the exclusive jurisdiction of the Paris Court of First Instance (decided in France by a 2021 law) may become more difficult, as it is even further away from Africa than the ordering company is. But it is precisely the contract judges who can be called upon to rule on the basis of Contract Law.

This central role of the judge raises a number of procedural difficulties that have either not yet been resolved, moreover are not still being perceive

🧱🕴🏻mafr (dir.), 🧮Le Droit processuel de la Vigilance (Vigilance Genreral Procedural Law), 2024

At the interface between procedure and substance, evidentiary issues require the development of a new evidentiary system. When the relevant facts are in Africa but the company accountable for them is in France under legislation adopted in Europe, this must be taken into account.

🧱🕴🏻mafr, 📝The Judge, the Compliance Obligation and the Company. The Compliance Evidence System, in 🧱🕴🏻mafr (ed.), 📘Compliance Jurisdictionalisation, 2023

What's more, since the Monumental Goal is to prevent, manage and detect risks, it is the future that is the main object of proof. A difficult subject by its very nature of the future, which calls for caution. Caution is to be expected from Judges, who may prefer the solution of an agreement: the contract and the commitment come back, for example through mediation, among the methods of conflict resolution.

But as close as possible to where it happens, OHADA's courts can then be called upon to hear States and populations.

What is more, in contractualisation (at which point the two major phenomena, contractualisation and jurisdictionalisation, enter into a dialectic), the clauses work together to activate the natural judge of the international contract, including vigilance clauses: the international arbitrator.

🧱🕴🏻L. Aynès, 📝How international arbitration can reinforce the Compliance Obligation, in 🧱🕴🏻mafr (ed.), 📘Compliance Obligation, 2025

OHADA has institutional arbitration mechanisms.

Now is the time to guide them so that they open up Africa to Vigilance and open up Vigilance to Africa.

In concrete terms.

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► Full Reference: M.-A. Frison-Roche, "Naissance d'une branche du Droit : le Droit de la Compliance" ("Birth of a branch of Law: Compliance Law"), in Mélanges offerts à Louis Vogel. La vie du droit, LexisNexis - Dalloz - LawLex - LGDJ, 2024, pp.177-188.

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📝read the article (in French)

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

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► English Summary of the article:  The study focuses on the various movements that have given rise to Compliance Law, with particular emphasis on Competition Law.

After a preliminary reflection on the construction of the legal system into branches of Law, their classification in relation to each other, the difficulty encountered in this respect by Economic Law, and the various movements that give rise to one of them, the diversity of which the branch subsequently keeps track of, the study is constructed in 4 parts.

To find out what gave rise to Compliance Law, the first part invites everyone to reject the narrow perspective of a definition that is content to define it by the fact of "complying" with the applicable regulations in the sens to obey them automatically. This has the effect of increasing the effectiveness of the regulations, but it does not produce a branch of Law, being only an efficiency tool like any other.

The second part of the study aims to shed light on what appears to be an "enigma", because it is often claimed that this is the result of a flexible method through the "soft law", or of an American regulation (for instance FCPA), or of as many regulations as there are occasions to make. Instead, it appears that in the United States, in the aftermath of the 1929 crisis, it was a question of establishing an authority and rules to prevent another atrocious collapse of the system, while in Europe, in 1978, in memory of the use of files about Jews, it was a question of establishing an authority and rules to prevent an atrocious attack on human rights. A common element that aims for the future ("never again"), but not the same object of preventive rejection. This difference between the two births explains the uniqueness and diversity of the two Compliance Law, the tensions that can exist between the two, and the impossibility of obtaining a global Compliance Law.

The third part analyses the way in which Competition Law has given rise to conformity mechanisms: they had only constituted a secondary branch which is a guarantee of conformity with competition regulations. Developed in particular through the soft law issued by the competition authorities, the result is a kind of "soft obedience", a well-understood collaboration of a procedural type through which the company educates, monitors and even sanctions, without going outside Competition Law, of which compliance  (in the sens of conformity) is the appendix. The distance between a conformity culture and Compliance Law can be measured here.

The fourth part aims to show that Competition Law and Compliance Law are two autonomous and articulated branches of Law. Since Compliance Law is a autonomous and strong branch of Law built around Monumental Goals, in particular the sustainability of systems and the preservation of the human beings involved so that they are not crushed by these systems  but benefit from them : the current challenge of European integration is to build the pillar of Compliance Law alongside the competitive pillar. Jurisdictions are in the process of doing this and articulating them.

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► Référence complète : M.-A. Frison-Roche, "Droit processuel de la Régulation et de la Compliance", in série de vidéos Surplomb, 29 octobre 2024

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► Référence complète : M.-A. Frison-Roche, "Cumul et articulation Droit spécial de la Compliance et Droit commun de la concurrence déloyale : l’arrêt de la CJUE du 4 octobre 2024 ND/DR", in série de vidéos Surplomb, 25 octobre 2024

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► Résumé de ce Surplomb : Sur question préjudicielle, la décision ND c/ DR de la CJUE du 4 octobre 2024 articule le Droit de la concurrence déloyale et protection des données, qui croise la vente de médicaments sur Internet.... Un pharmacien prend des informations personnelles sur la santé des acheteurs, un concurrent se plaint d'une violation du RGPD qui constitue un détournement de clientèle.  Le RGPD n'ouvre pas une telle action. Ne la ferme pas non plus.

Bien que la protection des données soit assurée par des organes nationaux spéciaux et qu'il s'agit de protéger des droits spécifiques des personnes protégées, la Cour pose qu'un tiers peut se baser sur un tel comportement pour se situer sur le droit commun pour s'en plaindre, en tant qu'il est concurrent et qu'il peut alléguer que cela constitue un acte de concurrence déloyale.

Pour affirmer cela, Cour souligne qu'en premier lieu le RGPD ne confère pas de compétence exclusive et que d'autre part la convergence des actions renforce le Droit de l'Union car le RGPD vise aussi le flux des données, principe de liberté que protège aussi le droit de la concurrence déloyale, qui s'applique selon les conditions du droit (faute qualité, dommage, causalité).

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► Full Reference: M.-A. Frison-Roche, "Les droits de la défense sont au bénéfice de tout le monde, y compris de l’entreprise elle-même" (The rights of defence benefit everyone, including the company itself), interview by Chloé Lassel, in Guide Compliance Fraudes Investigations, edition 2024, ed. Décideurs, Oct. 2024, pp.

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💬read the interview (in French)

🌐its  présentation on LinkedIn (in French)

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► Presentation of this interview by Décideurs juridiques : "Directrice du Journal of Regulation & Compliance (JoRC) et fondatrice de l’École européenne de droit de la régulation et de la compliance, Marie-Anne Frison-Roche revient sur la révolution du droit de la compliance, son articulation avec les enquêtes internes et les droits de la défense, la place que vont y prendre les contrats et l’arbitrage international." ("Marie-Anne Frison-Roche, Director of the Journal of Regulation & Compliance (JoRC) and founder of the European School of Regulatory and Compliance Law, looks back at the revolution in Compliance Law, its relationship with internal investigations and the rights of the defence, and the role that contracts and international arbitration will play in it.

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► Questions asked, Answers given: 

Décideurs. Question : La compliance est au cœur des préoccupations des entreprises depuis plusieurs années. Pouvez-vous expliquer ce que c’est exactement ? (Compliance has been a key concern for companies for several years. Can you explain what it is exactly?)

Marie-Anne Frison-Roche. English summary Answer: 'Compliance' should not be confused with 'Compliance', which I defined in 2016. Compliance Law is an extension of Regulatory Law, by freeing the latter from the existence of a sector as a prerequisite and a regulatory authority as an indicator. Internalised in the company, it manifests itself, for example, in Vigilance mechanisms, which are its cutting edge. Through Compliance, the political authority asks companies to help it achieve "Monumental Goals", as I have suggested, standards in which this new branch of Law is anchored (anti-money laundering, anti-corruption, sustainability, etc.).

D. Q. : Les entreprises doivent désormais être enquêtrices et juges de ce qu’il leur arrive. Voire transmettre aux autorités, lorsqu’il le faut, des informations pouvant les incriminer. Comment concilier ces obligations avec les droits de la défense ? (Companies must now be investigators and judges of what happens to them. When necessary, they can even pass on incriminating information to the authorities. How do you reconcile these obligations with the rights of the defence?)

MaFR. English summary A.: In 2023, I proposed this expression of companies as "prosecutors and judges of themselves", and the place that this should give to the rights of the defence, and in 2024 I will work out the right balance between internal investigations and the rights of the defence. For the moment, this balance has not been achieved.

D. Q. : Dans l’un de vos ouvrages, François Ancel, conseiller à la première chambre civile de la Cour de cassation, écrit que la compliance renouvelle l’office du juge. Comment concilier cette idée avec l’office habituel du juge qui est celui de se prononcer sur des faits avérés et non pas futurs ? (In one of your books, François Ancel, judge in the First Civil Chamber of the French Court of Cassation, writes that Compliance is renewing the role of the judge. How do you reconcile this idea with the judge's usual role, which is to rule on proven facts rather than future ones?)

MaFR. English summary A.: Indeed, In this book La juridictionnalisation de la compliance (Compliance Jurisdictionalisation), he stresses that the role of the civil and commercial courts is being profoundly renewed, in particular because they must deal with what I described in 2021 as "Systemic Litigation" and must rule on the future. From then on, the ordinary courts will take centre stage.

D. Q. : Le recours aux clauses de compliance est-il une solution pour être à la hauteur des ambitions de la compliance et de ses exigences ? (Is the use of compliance clauses a solution for living up to the ambitions and requirements of compliance?)

MaFR. English summary A.: Indeed, in 2022, I developed the concepts of 'Compliance Contract' and 'Compliance clauses', by which companies implement their legal compliance obligations. This gives rise to Regulatory Contracts, particularly in business chains. This gives a great deal of leeway and power, but also Responsibility, to the companies that invent them.

D. Q. : Le recours aux arbitrages doit-il être privilégié ? (D. Q. Should recourse to arbitration be preferred?)

MaFR. English summary A.: It has to be. Because there is a contract. Even though Compliance is closely bound up with the legal obligations and public order, and possibly international public order. Even if this is not yet apparent, Compliance and International Arbitration are natural allies.

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► Full Reference: M.-A. Frison-Roche, "Devoir de vigilance : progresser" ("Duty of Vigilance: the Way Forward"), in Ch. Maubernard & A. Brès (eds.), Le devoir de vigilance des entreprises. L'âge de la maturité ? (The duty of vigilance. The age of maturity?), Bruylant, "Droit & Economie" Serie, 2024, pp. 221-251

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📝read the article (in French) 

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

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► English Summary of the article: 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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► Référence complète : M.-A. Frison-Roche, Articulation Droit de la Compliance (RGPD) et Droit commun : illustration par la décision de la CJUE du 4 octobre 2024, ND c/ DR, document de travail, octobre 2024.

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🎤 Ce document de travail a été élaboré pour servir de base tout d'abord :

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► Résumé du document de travail : 

Sur question préjudicielle, la décision ND c/ DR de la CJUE du 4 octobre 2024 articule le Droit de la concurrence déloyale et protection des données, qui croise la vente de médicaments sur Internet.... Un pharmacien prend des informations personnelles sur la santé des acheteurs, un concurrent se plaint d'une violation du RGPD qui constitue un détournement de clientèle.  Le RGPD n'ouvre pas une telle action. Ne la ferme pas non plus.

Bien que la protection des données soit assurée par des organes nationaux spéciaux et qu'il s'agit de protéger des droits spécifiques des personnes protégées, la Cour pose qu'un tiers peut se baser sur un tel comportement pour se situer sur le droit commun pour s'en plaindre, en tant qu'il est concurrent et qu'il peut alléguer que cela constitue un acte de concurrence déloyale.

Pour affirmer cela, Cour souligne qu'en premier lieu le RGPD ne confère pas de compétence exclusive et que d'autre part la convergence des actions renforce le Droit de l'Union car le RGPD vise aussi le flux des données, principe de liberté que protège aussi le droit de la concurrence déloyale, qui s'applique selon les conditions du droit (faute qualité, dommage, causalité).

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► Full Reference: M.-A. Frison-Roche, E. Silva Romero, G. Filhol, V. Autret, B. Sillaman et K. Hennessee, Compliance & arbitrage : les prémices d’une symbiose, propos recueillis par O. Delaunay, LJA Magazine, septembre-octobre 2024, pp. 12-20

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💬read the collective interview (in French)

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🌐read the presentation of this interview on LinkedIn

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► Topics covered during this collective interview: 

• The development of Compliance in an international environment

• The Arbitrator and the concept of Compliance

• Linking Arbitration and Compliance systems

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► Summary of my interventions: Compliance Law appears to be developing in the context of international trade and Arbitration.

For my part, I placed particular emphasis on the fact that the first reports were the result of "negative reports" between Compliance and Arbitration, through Criminal Law and the obligation of arbitrators to ensure that they don't give effectivity to pacts of corruption. But the future lies in a more 'positive' and fruitful relationship between this new branch of law, Compliance Law, and the solid prospect offered by Arbitration, in that the arbitrator, this natural judge of international trade, will be able to support the contractualisation of Compliance obligations, particularly about due diligences in structural chains of activities and duty of vigilance.

Thus competent, the international arbitrator must respond to what the Monumental Goals in which Compliance Law is rooted expect of him/her: to provide solutions and remedies to issues that often concern an entire chain of activity or an entire sector in a more systemic perspective than in a traditional conception. This applies not only to investment arbitration, but also, for instance, to infrastructure arbitration. The concern for sustainability and the systemic perspective must be integrated into the reasoning and produce appropriate case law, a sort of new doctrine in the arbitration order, that will make more attractive the arbitration place that will most solidly link the skills of specialists in Compliance Law and Arbitration Law.

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► Référence complète : M.-A. Frison-Roche, "Les Buts Monumentaux, ancrage normatif de la Compliance", in série de vidéos Surplomb, 9 octobre 2024

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► Full Reference: M.-A. Frison-Roche, Monumental Goals, normative anchoring of Compliance, Working Paper, February 2025.

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🎬This working document has been drawn up to serve as basis to

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► Summary of this  Working Paper: Compliance, of which conformity is only one instrument (the 2 should not be confused), must be understood through the ‘Monumental Goals’ : political ambitions pursued by the public authorities and internalised in the entities in a position to achieve them, i.e. large companies.

These Goals are Monumental in that they concern systems: ensuring that these systems do not collapse in the future = ‘Negative Monumental Goals’ (e.g. fight against corruption, against climate change); more ambitious still, they may aim to improve systems = ‘Positive Monumental Goals’ (e.g. effective equality between women and men).

Their systemic nature gives rise to Systemic Litigation.

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🔓read the developments below⤵️

► Référence complète : CJUE, Grande chambre, 4 octobre 2024, aff. C-21/23, ND c/ DR

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🏛️lire l'arrêt

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► Référence complète : M.-A. Frison-Roche, "Du Droit de la Compliance découle le Droit de l'Intelligence Artificielle", in série de vidéos Surplomb, 1er octobre 2024ré

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► Référence complète : M.-A. Frison-Roche, "La durabilité, coeur dynamique de la Régulation et de la Compliance", in série de vidéos Surplomb, 27 septembre 2024

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► Full Reference: M.-A. Frison-Roche, "Le contentieux systémique" ("The Systemic Litigation"), D. 2024, chron., pp. 1633-1635

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📝read the article (in French)

____

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

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► English Summary of the article: We are seeing the Emergence of a category of its own and must be designated by a singular expression: 'Systemic Litigation' (I). This category is composed of concrete cases, "Systemic Cases", in which a system is entirely involved. The interest in these systems, insofar as they are all a system, unifies the category and justifies its own procedural, institutional and jurisdictional treatment. This type of Litigation is Emerging for three reasons, which are recorded in the Systemic Cases (II). Systemic Litigation must be dealt with in a way that is both specific and unified. This is beginning to happen and must be expanded (III).

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