Oct. 22, 2021

Publications

 

► Référence complète : Frison-Roche, M.-A.Le principe de proximité systémique active, corolaire du renouvellement du Principe de Souveraineté par le Droit de la Compliance, document de travail, octobre 2021

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🎤 Ce document de travail avait été élaboré pour servi de base à l'intervention de clôture du colloque Effectivité de la Compliance et Compétitivité internationale, coorganisé par le Journal of Regulation & Compliance (JoRC) et le Centre de recherche en Droit et en Économie de l'Université Panthéon-Assas (Paris II), se tenant le 4 novembre 2021, Salle des Conseils, Université Panthéon-Assas (Paris II). 

🚧Il était corrélé à un premier document de travail ayant pour thème l'Appréciation du lancement d'alerte et de l'obligation de vigilance au regard de la compétitivité internationale, élaboré également pour ce colloque. 

La gestion du temps n'a permis que la prise de parole sur ce thème-ci relatif aux techniques juridiques du lancement d'alerte et de l'obligation et devoir de vigilance.

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📝Ce présent document de travail a donc été ultérieurement utilisé pour constituer la base d'un article, Le principe de proximité systémique active, corolaire du renouvellement du Principe de Souveraineté par le Droit de la Compliance, lequel est publié

📕dans sa version française dans l'ouvrage Les buts monumentaux de la Compliancedans la collection 📚 Régulations & Compliance

 📘dans sa version anglaise dans l'ouvrage Compliance Monumental Goalsdans  la collection 📚 Compliance & Regulation

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► Résumé du document de travail : Les rapports entre le Droit de la Compliance et la notion de Souveraineté sont abîmés par une mauvaise querelle de départ, souvent appelée celle de "l'extraterritorialité du Droit de la Compliance", elle-même qualifiée en tant que telle comme une attaque à la Souveraineté des Etats, une sorte de guerre contre cette sorte de population civile que sont "ses" entreprises, frappées par des sanctions économiques. Dans une confusion juridique générale, oscillant entre panique et rage, entre le cas pourtant si particulier des embargos décrétés par un Etat contre un autre, une contamination s'est faite avec la question plus vaste des sanctions économiques internationales, puis avec le Droit de la Compliance, lui-même réduit ainsi à n'être qu'une petite partie du Droit pénal international.

Le Droit de la Compliance, présenté comme outil masqué de guerre entre Etats, en a été d'une part profondément dénaturé. D'autre part, toutes les forces ont été mobilisées pour "réagir" et frapper en retour ou à tout le moins "bloquer", ou, si l'on ne pouvait rien faire d'autre, recopier l'arsenal, limitant la Compliance à la question de la corruption.

C'était réduire le Droit de la Compliance à peu, alors que nous avons tant besoin de sa force et qu'il exprime au contraire la puissance du Juridique lui-même dans un espace supra-national où les Etats sont peu présents. Ils sont peu présents parce que le territoire lui-même s'y dérobe et que les Etats demeurent liés au territoire. Or, la finance, le numérique et le spatial, ces grands enjeux de Régulation ont besoin de limites, parce que les êtres humains, même faibles, ne doivent pas être broyés par plus forts qu'eux. Non, la civilisation, essentiellement liée à la limite, ne doit pas se perdre dans ces nouveaux espaces. 

Or, la Souveraineté ne s'exprime pas dans la toute-puissance, ce sont les petits-enfants et les tyrans qui pensent cela. Elle s'exprime dans la limite, que le sujet se donne et qu'il donne. Le Droit de la Compliance, prolongeant en cela le Droit de la Régulation, est ce qui est en train de donner des limites à ces trois espaces sans territoire que sont la finance, le numérique et le spatial. En ce qu'il appréhende directement les risques globaux qui se jouent des territoires, par exemple le risque climatique. En ce qu'il limite les discours de haine qui nie l'idée de civilisation dans l'espace numérique. En ce qu'il se saisit directement de l'avenir. En ce qu'il noue directement une alliance entre les Autorités politiques et les Opérateurs cruciaux en Ex Ante 

C'est pourquoi sur la base du Droit de la Compliance l'Europe numérique souveraine s'élabore, l'industrie d'un cloud souverain se construit. Ainsi le Droit de la Compliance n'est pas l'ennemi de la Souveraineté, c'est le contraire : il est ce par quoi la Souveraineté va se déployer dans un monde qui doit se penser sans territoire en mettant pourtant le projet politique en son cœur. 

Pour cela il faut construire un nouveau principe, qui est l'inverse de la fermeture et de l'exclusion, correspondant au projet de l'Europe souveraine : celui de la "proximité systémique active. 

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Lire ci-dessous les développements⤵️

Oct. 20, 2021

Thesaurus : Doctrine

Référence complète : Gollier, Jean-Marc, Shell : le profit après le climat, Journal des tribunaux, 2021, p.723 s.

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Oct. 20, 2021

Publications

  Référence Full R complète : Frison-Roche, M.-A., L'appui du Droit de la Compliance pour la maîtrise quotidienne du Droit de la Concurrence, document de travail, octobre 2021.

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 This Working paper is the basis  document de travail a été élaboré pour servir de base à une contribution aux Mélanges offerts à Laurence Idot.

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 Working Paper Summary: Competition Law has become so huge and just "regulations" that one would give up trying to understand it as a whole, preferring to become a specialist in one of its parts. This would be to lose sight of the simple and strong reason which unites the whole and gives it its breath: Freedom. Freedom experienced by the person in his daily economic action, Freedom kept by Competition Law, always returning to its principle: Free Competition. This is why the European Union places a so great emphasis on Competition. To build it and keep it effective, "Competition Policy" is articulated with Competition Law, but if authorities and judges do not blame companies for their power, they do not rely on it. To do this, they must then be supported by Compliance Law, which strongly encourages companies to act for the effectiveness and the promotion of Competition principles. Competition Law thus slips from the Ex Post to the Ex Ante, with the commitments of companies leading them to stop being passive and punished in order to become convinced players and educators of the others. Something pleasant for a great professor of Competition Law, to whom tribute is paid here.

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Lire le document de travail ci-dessous

Oct. 14, 2021

Publications

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

It is based on the Working paper Definition of Proportionality and Definition of Compliance.

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► Article Summary

The use of Proportionality t always limit powers is only justified when it is about sanctions, but sanctions are only one tool among others in Compliance Law, intended moreover to have little place in this Ex Ante branch of Law. And returning to the very nature of Compliance Law, which relies on operators, private or public, because they are powerful, then using proportionality to limite powers is detrimental to Compliance Law. 

However, nothing requires that. Compliance Law is not an exception that should be limited. On the contrary, it is a branch of Law which carries the greatest principles, aimed at protecting human beings and whose Normativity lies in its "Monumental Goals": detecting and preventing future major systemic crisis (financial, health and climate ones).

However, literally the principle of Proportionality is: "no more powers than necessary, as many powers as necessary".

The second part of the sentence is independent of the first: this must be used.

Politics having fixed these Monumental Goals, the entity, in particular the company, must have, even tacitly, "all the necessary powers" to achieve them. For example, the power of vigilance, the power of audit, the power over third parties. Because they are necessary to fulfill the obligations that these "crucial operators" must perform as they are "in a position" to do so.

So instead of limiting the powers, the Principe of Proportionality comes to support the powers, to legitimize them and to increase them, so that we have a chance that our future is not catastrophic, perhaps better.

In this respect, Compliance Law, in its rich Definition, will itself have enriched the Principle of Proportionality.

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► read the Working Paper, with technical developments, references, and hypertext links.

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► go to the general presentation of the book in which this article is published

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► read the presentations of the other Marie-Anne Frison-Roche's contributions in this book: 

📝Compliance Monumental Goals, beating heart of Compliance Law

📝 Role and Place of Companies in the Creation and Effectiveness of Compliance Law in Crisis

📝 Assessment of Whistleblowing and the duty of Vigilance

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Oct. 14, 2021

Thesaurus : Doctrine

► Référence complète : Segonds, M., Compliance, proportionnalité et sanctions. L'exemple des sanctions prononcées par l'Agence française anticorruption, in Frison-Roche, M.-A. (dir.), Les buts monumentaux de la Compliance, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published.

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

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

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📕 consulter la présentation de l'ouvrage Les Buts Monumentaux de la Complianceau sein duquel l'article est publié. 

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Oct. 10, 2021

Compliance: at the moment

Oct. 9, 2021

Compliance: at the moment

Sept. 30, 2021

Thesaurus : Soft Law

► Référence complète : Parlement européen, Preventing money laundering in the banking sector reinforcing the supervisory and regulatory framework, 30 septembre 2021.

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Lire le rapport

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Updated: Sept. 25, 2021 (Initial publication: March 25, 2021)

Publications

 Référence complète : Frison-Roche, M.-A., Instituer l'insécurité juridique comme principe, outil de prévention des crises systémiques catastrophiques totales, document de travail, mars et septembre 2021. 

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 Ce document de travail fait suite à deux précédents documents de travail, réalisés pour le colloque qui s'est tenu à la Cour de cassation le 22 mars 2021.

Le premier avait été conçu et en partie réalisé  longtemps avant sa tenue pour traiter le sujet selon les canons habituels attendus ; 

Le second a été élaboré le veille de sa tenue sur 4 cas car la disparition de mes serveurs en raison d'un incendie, ayant également touché les copies de ceux-ci ne me permettait pas autre chose, les organisateurs m'ayant demandé de maintenir pourtant ma participation, ce dont je les remercie 📎!footnote-2299.

Le présent document de travail a été élaboré après la tenue du colloque afin que les organisateurs de ce colloque, au thème si aventureux, ne pensent pas qu'ils ne pouvaient pas compter sur moi.

Ce document de travail vise à dépasser ces avanies et à opérer la connexion du sujet pour lequel une contribution m'a été demandée (la crise économique) avec le sujet plus général qui me retient par ailleurs : la construction de la nouvelle branche qu'est le Droit de la Compliance, pourquoi le faire et comment le faire. 

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Introduction : Comme à tous, ce sujet de "L'insécurité juridique" me pose difficulté. Parce que,  n'étant pas grand personnage solitaire affrontant l'inconnu, comme tous les autres je voudrais plutôt la sécurité que l'insécurité, et tous les mots qui ne commencent pas par une négation : je voudrais le connu plutôt l'inconnu, je voudrais être comprise qu'incomprise, et ce n'est plus par confort que par urgence morale je voudrais vivre dans un monde juste plutôt que dans un monde injuste. C'est d'ailleurs pour cette dernière raison que je vais affronter l'aventure de l'Insécurité juridique comme principe premier, et non pas comme exception au principe de la Sécurité juridique 📎!footnote-2300

Cet ajout du "in" signale paradoxalement un retranchement : le "in" montre ce qui manque, comme le monde blessé qu'est le monde injuste. Me voilà invitée à traiter un sujet par avance abîmé,  car l'insécurité juridique c'est déjà comme une agression : un monde amputé de sa sécurité, comme c'est désagréable. 

C'est encore plus vrai pour "l'insécurité juridique". En effet, la notion fait face à la "sécurité juridique", cette sorte d'apport spécifique que le Droit offre au monde.   La "sécurité juridique" est aujourd'hui comme un Totem, qui serait indissociable du Tabou de l'Insécurité. Dans le monde juridique épuisé dans lequel nous ne serions plus aptes qu'à proposer quelques notions procédurales, surtout pas de notions substantielles car immédiatement taxées d'être trop politiques 📎!footnote-2277, la "sécurité juridique" qui n'est qu'une notion procédurale en ce qu'elle permet simplement que tout soit prévisible, que demain soit comme aujourd'hui, lequel est d'ailleurs comme était hier, est promue au rang normatif le plus haut. Les travaux abondent, les hymnes  d'approbation sont unanimes.  On ne demanderait plus que cela au système juridique, mais cela on l'exige : le droit serait une procédure qui garantirait la prévisibilité de la réglementation 📎!footnote-2276 et accroîtrait ainsi la solidité des projets  particuliers que nous avons, les uns et des autres et, grâce au pouvoir du Droit de rendre réel ce qu'il assure, nous savons que nos projets pourront tenir demain dans les mêmes termes choisis hier, puisque le Droit nous l'a promis. 

La sécurité juridique, parce que les systèmes juridiques n'auraient plus que cela à offrir, revendiquant par ailleurs leur neutralité et se rejoignant donc sur cette constance, cette cohérence, et cette confiance produites par cette sécurité, est notre nouveau doudou.

A cela, l'on apporte nuances dans les modalités, en soulignant que les circonstances changeantes de la vie exigent un peu de flexibilité, que le pragmatisme et des situations concrètes et particulières  qui sans cesse varient impliquent de prévoir  dès aujourd'hui que demain le contexte aura changé : il faut organiser de la prévisibilité dans le changement. De cela, le Droit souple s'en charge, les lignes directrices étant les nouvelles voies romaines qui nous montreront le chemin. Sécurité et flexibilité, dans un pragmatisme qui voit dans tout principe substantiel un signe de rigidité, voilà notre nouveau mantra. 

L'insécurité juridique est ainsi notre Tabou, dont les admissions justifiées seraient autant d'hommages rendus au Totem de la sécurité juridique, Totem et Tabou se renforçant toujours. Il y aurait donc imperfection du système juridique si l'on haussait l'insécurité au rang de véritable principe. C'est pourquoi lorsqu'on fait l'effort de parler d'insécurité juridique, on semble ne le faire que sur le mode de l'exception : l'insécurité juridique, cela serait ce qu'il est admissible de supporter comme exception légitime au principe de la sécurité juridique 📎!footnote-2275

L'on aura donc tendance à traiter de l'insécurité juridique comme une sorte de principe supportable lorsque quelque chose justifie qu'on porte atteinte au véritable principe premier qu'est la Sécurité juridique. C'est ailleurs ainsi le plus souvent qu'on l'aborde . Ce n'est donc pas le traiter comme un véritable principe, juste comme une exception supportable. 

Voilà pourquoi l'on m'a demandé d'examiner si l'insécurité juridique était supportable, admissible, lorsqu'il y a crise économique. Sans doute parce que lorsqu'il y a crise économique, alors tant pis les principes doivent un peu baisser pavillon et l'on fait avec les moyens du bord en admettant des exceptions, bien qu'avec beaucoup de réticences et de regrets 📎!footnote-2304... Puisque c'est l'hypothèse évoquée, je la suivrai volontiers, et dans un premier temps resterai dans cet enclos-là, mais c'est aller dans l'idée que l'insécurité juridique ne pourrait être qu'une exception faite au principe de la sécurité juridique parce qu'il faut que tout ne change pas vraiment : la crise ne rebat les cartes qu'un temps, le temps de la crise, mais lorsque la crise est passée l'on en revient au normal et à ce qui est bien, à savoir le "vrai principe", celui de la constance et de l'inchangé. Car il n'est supportable de "bafouer" la sécurité juridique qu'un temps 📎!footnote-2303. L'insécurité juridique serait donc ce qui intervient lorsqu'une crise économique s'ouvre afin d'aider à l'efficacité de sa gestion et pour sortir de cette crise. Cela et pas davantage (I).

L'insécurité juridique n'aurait donc qu'un temps, parce que par nature la crise elle-même n'a qu'un temps. La fin de la crise, la fin des problèmes et d'une situation anormale feraient disparaître le principe d'insécurité juridique, lequel serait donc un principe pathologique. 

Mais ce n'est pas parce que cette description semble partagée par beaucoup que ses prémisses soient exacts. En effet, la "crise" est-elle si exceptionnelle que ce qui justifie que l'insécurité juridique, qui permet d'aider à sa résolution, le soit aussi ? Si l'on constate plutôt que la crise est non seulement notre "ordinaire", et qu'en plus notre "ordinaire catastrophique" est "prévisible", voire virtuellement déjà là, et qu'en plus dans le futur, ce qui risque d'arriver est une crise catastrophique totale qui pourrait bien être définitive dans ses effets (ce qui enlève à la crise sa nature temporaire et le retour au "vrai principe" également), alors le principe exceptionnel, cantonné dans la crise, doit sortir de l'hypothèse de celle-ci pour venir  pleinement dans le Droit présent afin d'empêcher que se réalise cet ordinaire catastrophique. 

 Oui, regardons vers le futur : ne sont-ce pas de monumentales crises qui sont devant nous ? Et l'enjeu n'est-il pas d'adopter des principes premiers pour qu'elles n'adviennent pas ? S'il en est ainsi, alors l'absence de changement, la constance et le prévisible, c'est-à-dire le principe même de la Sécurité juridique, si choyé, n'est-ce pas ce qui fait obstacle à la prévention de l'advenance des crises économiques qui nous menacent ? Certes c'est sans doute une crise sanitaire et une crise écologique et climatique qui nous sont devant nous, mais de la même façon la crise économique de 2020 n'est elle-même qu'un accessoire de la crise sanitaire mondiale, prémisses de ce qui pourrait arriver.

Si nous sommes dans cette situation mondiale alors, ce n'est pas une conception procédurale des principes qu'il faut retenir, mais une conception politique. De la même façon, dans cette perspective ce n'est pas en terme d'exception, de "principe exceptionnel" mais bien en terme de principe premier qu'il faut penser l'Insécurité juridique, c'est-à-dire en terme d'éveil et d'aventure, car demain pourrait n'être pas du tout comme aujourd'hui. Seul le principe inverse de l' "Insécurité juridique" pourrait alors exprimer la volonté d'y répondre (II). 

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 Lire ci-dessous les développements du document de travail

1

L'incendie d'OVH peut simplement être pris comme un exemple de crise. V. infra 

2

Ce qui occupe la seconde partie de la présente étude. 

3

Ainsi le Droit de la Compliance a longtemps été présenté comme une simple procédure d'effectivité des règles, ce qui rassure, plutôt que ce qui est sa définition substantielle, à savoir des "Buts Monumentaux", notamment sociaux et climatiques, qui lui donne toute son ampleur et révèle sa nature profondément politique. V. Frison-Roche, M.-A. ✏️Notes pour une synthèse opérée sur le vif des travaux du colloque : "Les Buts Monumentaux du Droit de la Compliance : radioscopie d'une notion" la notion de Buts Monumentaux du Droit de la Compliance, 2021 ; et voir plus généralement Frison-Roche, M.-A. (dir), 📕 ​Les Buts Monumentaux de la Compliance, 2022. 

4

Contre cela, Frison-Roche, M.-A., Non, je n'aime pas la réglementation, septembre 2021.

5

Il en est de même du principe de proportionnalité. Mais là aussi il serait adéquat de penser les choses différemment. Voir une démonstration dans ce sens, Frison-Roche, M.-A., Définition de la proportionnalité et Définition du Droit de la Compliance, 2021. 

6

Pour une description du choc que la loi déclarant "l'Etat d'urgence sanitaire" fit sur la doctrine juridique, Gelbrat, A. et , Etat d'urgence sanitaire : la doctrine dans tous ses états, 2020.  

7

Ce sont souvent dans ces termes que la doctrine s'exprime. Par exemple 📝Kamgaing, P.-C., Crise sanitaire et procédures judiciaires : étude de droit processuel, 2020, évoquant le fait que le droit processuel est "bafoué". 

Sept. 23, 2021

Thesaurus : Doctrine

 Full Reference: Cayrol, N., Des principes processuels en Droit de la compliance, in Frison-Roche, M.-A. (dir.), La juridictionnalisation de la Complianceseries "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published. 

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 Article Summary (done by the Journal of Regulation & Compliance) : We could be satisfied with examining the reception of the principles of general Procedural Law in compliance litigation and the distortion that compliance techniques justify in procedural mechanisms. But the innovation that constitutes this emerging branch of law that is Compliance Law justifies going to more fundamental.

From this perspective, the pertinent question is the very legitimacy of procedural principles in this branch of law, in that Procedural Law is built on the notion of “Litigation” while Compliance Law deals with situation so enormous, concerning for example the fate of the planet, that this notion of litigation appears inadequate, and consequently the procedural law would be too limited in compliance matters.

If, however, this perspective is maintained of Compliance Law facing, in an almost warlike perspective, the greatest current challenges, general Procedural Law needs to be redesigned, in its very definition. Indeed, compliance trials call into question the future of systems and it is as such that they hold the entities, for instance the enterprises, that are at the heart of these systems. It is in this that liability trials are more “accountability” trials, allowing the judge to demand actions for the future, trials by which commitments are made and the “intentions” of the persons involved are challenged and required.

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📝 read the general presentation of the book, La juridictionnalisation de la Compliance, in which this article is published.

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Sept. 23, 2021

Publications

 Full reference: Frison-Roche, M.-A.,,  "Reinforce the Judge and the Attorney to impose Compliance Law as a characteristic of the Rule of Law", in , in Frison-Roche, M.-A. (ed.), Compliance Jurisdictionalisation series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) & Bruylant, to be published.

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 this article is the introduction of the book.  

 Summary of the article : One can understand that the compliance mechanisms are presented with hostility because they seem designed to keep the judge away, whereas there is no Rule of Law without a judge. Solid arguments present compliance techniques as converging towards the uselessness of the judge (I). Certainly, we come across magistrates, and of all kinds, and powerful ones, but that would be a sign of imperfection: its ex-ante logic has been deployed in all its effectiveness, the judge would no longer be required... And the lawyer would disappear so with him...

This perspective of a world without a judge, without a lawyer and ultimately without Law, where algorithms could organize through multiple processes in Ex Ante the obedience of everyone, the "conformity" of all our behaviors with all the regulatory mass that is applicable to us, supposes that this new branch of Law would be defined as the concentration of processes which gives full effectiveness to all the rules, regardless of their content. But supposing that this engineer's dream is even achievable, it is not possible in a democratic and free world to do without judges and lawyers.

Therefore, it is imperative to recognize their contributions to Compliance Law, related and invaluable contributions (II).

First of all, because a pure Ex Ante never existed and even in the time of the Chinese legists📎!footnote-2689, people were still needed to interpret the regulations because a legal order must always be interpreted Ex Post by who must in any case answer the questions posed by the subjects of law, as soon as the political system admits to attributing to them the right to make claims before the Judge. Secondly the Attorney, whose office, although articulated with the Judge's office, is distinct from the latter, both more restricted and broader since he must appear in all cases where the judicial figure puts himself in square, outside the courts. However, Compliance Law has multiplied this since not only, extending Regulatory Law, it entrusts numerous powers to the administrative authorities, but it also transforms companies into judges, in respect of which the attorneys must deal with.

Even more so, Compliance Law only takes its sense from its Monumental Goals📎!footnote-2690. It is in this that this branch of the Law preserves the freedom of human beings, in the digital space where the techniques of compliance protect them from the power of companies by the way that the Compliance Law forces these companies to use their power to protect people. However, firstly, it is the Judges who, in their diversity📎!footnote-2691, impose as a reference the protection of human beings, either as a limit to the power of compliance tools📎!footnote-2692 or as their very purpose. Secondly, the Attorney, again distinguishing himself from the Judge, if necessary, reminds us that all the parties whose interests are involved must be taken into consideration. In an ever more flexible, soft and dialogical Law, everyone presenting himself as the "advocate" of such and such a monumental goal: the Attorney is legitimate to be the first to occupy this place.

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🚧read the Working Paper, basis of this article, with more developments, technical references et hypertext links

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

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Sept. 23, 2021

Thesaurus : Doctrine

 Full Reference: Schiller, S., Un juge unique en cas de manquement international à des obligations de compliance ? ("A single judge in the event of an international breach of compliance obligations?"), in Frison-Roche, M.-A. (dir.), La juridictionnalisation de la Complianceseries "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published. 

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 English Summary of the Article (done by the Author, translated by the Journal of Regulation & Compliance): Given the very international nature of the topic apprehended, the actors involved and therefore the compliance disputes, it is essential to know if a person can be implicated before several judges, attached to different states or even if he can be condemned by several jurisdictions. The answer is given by the non bis in idem principle, which is the subject of a abondant case law on the basis of Article 4 of Protocol n°7 of the ECHR, clearly inapplicable for jurisdictions emanating from different States.

To assess whether breaches of compliance obligations may be subject to multiple sanctions in different states, it will first be necessary to ascertain whether there is a textual basis to be invoked.

At European level, Article 50 of the Charter of Fundamental Rights now allows the principle of ne bis in idem to be invoked. Applicable to all areas of compliance, it provides very strong protection which covers not only sanctions, but also prosecutions. Like its effects, the scope of Article 50 is very broad. The procedures concerned are those which have a repressive nature, beyond those pronounced by criminal courts in the strict sense, which makes it possible to cover the convictions pronounced by one of the many regulatory authorities competent in matters of compliance.

Internationally, the situation is less clear. Article 14-7 of the International Covenant on Civil and Political Rights may be invoked, if several obstacles are overcome, including the decision of 2 November 1987 of the Human Rights Committee which restricted it to the internal framework, requiring a double conviction by the same State.

Even if these principles are applicable, two specificities of compliance situations risk hampering their application, the first related to the applicable procedural rules, in particular the rules of jurisdiction, the second related to the specificities of the situation.

The application of the non bis in idem rule is only formally accepted with regard to universal jurisdiction and personal jurisdiction, that is to say extraterritorial jurisdiction, which is only part of the jurisdiction. . The Cour de cassation (French Judiciary Supreme Court) confirmed this in the famous so-called “Oil for food” judgment of March 14, 2018. The refusal to recognize this principle as universal, regardless of the jurisdiction rule in question, deprives French companies of a defense. Moreover, the repression of breaches of compliance rules is more and more often resolved through transactional mechanisms. The latter will not always fall within the scope of European and international rules laying down the non bis in idem principle, for lack of being sometimes qualified as "final judgment" under the terms of Article 50 of the Charter of Fundamental Rights of the European Union and Article 14-7 of the International Covenant on Civil and Political Rights.

Breaches in terms of compliance are often based on multiple acts. This results from prescriptions the starting point of which is delayed at the last event and a facilitated jurisdiction for French courts when only one of the constitutive facts is found in France. In terms of compliance, the non bis in idem principle therefore generally does not protect companies and does not prevent them from being sued before the courts of two different countries for the same case. It nevertheless grants them another protection by obliging them to take into account foreign decisions in determining the amount of the penalty. The sanction against Airbus SE in the Judicial Convention of Public Interest (CJIP) of January 29, 2020 is a perfect illustration of this.

Breaches in terms of compliance are often based on multiple acts. This causes delays in the starting point of prescriptions, starting point delayed at the last event, and this facilitates judicial jurisdiction for French courts when only one of the constitutive facts is found in France. In terms of compliance, the non bis in idem principle therefore generally does not protect companies and does not prevent them from being sued before the courts of two different countries for the same case. It nevertheless grants them another protection by obliging them to take into account foreign decisions in determining the amount of the penalty. The sanction against Airbus SE in the Convention judiciaire d'intérêt public -CJIP (French Judicial Convention of Public Interest)  of January 29, 2020 is a perfect illustration of this.

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📕see the general presentation of the book, La Juridictionnalisation de la Compliance, in which this article is published.

 

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Sept. 23, 2021

Conferences

Full  Reference: Frison-Roche, M.A., Ne jamais se passer des juges et des avocats dans le Droit de la Compliance ("Never exclude Judges and Lawyers in Compliance Law" ,  in Frison-Roche, M.-A., Morel-Maroger, J. et Schiller, S. (dir.), Quels juges pour la Compliance ("Which Judges for Compliance), Colloquium co-organised by the Journal of Regulation & Compliance (JoRC) and the CR2D of Dauphine University PSL, Raymond Aron Amphy, 23rd September  2021. 

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📅 Read the Colloquium programme

📅 This colloquium  is a part in the colloquia cycle organized in 2021 by the Journal of Regulation & Compliance (JoRC) and it partners on the  Compliance Juridictionalisation.

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✏️A bilingual Working Paper  on the topic  "The  role of the Judge in Compliance Law has been prepared to serve a basis for this conference : read this Working Paper 

But for the reason detailed below, I preferred to use the time allotted to the introduction of the colloquium to develop rather what should had be an opening element for making it the entire topic of my intervention. : "Never do without judges and lawyers in Compliance Law".

Because before analyzing the role of judges, they still need to be in the Compliance system; this seems to us to be taken for granted, but it is not.

 

► Conference Summary: Due in particular to the large number of students and the fact that a long time ago when I arrived at Dauphine University I had created a Master in Economic Law with Martine Lombard in which I had included a course of "Economic Procedural Law" that I was teaching, since it was the moment to make this Colloquium "general introductory report", I therefore preferred to go further and focus the subject on something other than "The role of the judge in Compliance Law" , namely the very question of "the presence of judges and lawyers in Compliance Law".

This question of their presence or their absence, because they would be useless, even harmful to the Compliance effectiveness, either judges, or lawyers, or both together, is indeed the prerequisite for the reflection of " Which judges for Compliance? " because if we think of Compliance exclusively through the Ex Ante and efficiency, as it is often done in the West through artificial intelligence or in China in a system of surveillance and economic, technological and political efficiency , there is neither judge nor lawyer. It is therefore to this prerequisite that I devoted my speaking time, deferring to publication all the analyzes that I had prepared on "The role of the judge in Compliance Law", to which everyone can refer by consulting the preparatory work.

It is indeed imperative to always keep in mind the need to never exclude Judges from Compliance systems, although this can be conceivable since they are Ex Ante mechanisms, which often aim by nature to avoid the trial. (example of the Deffered Prosecution Agreement), because when there is a judge, the procedural mechanisms and Due Process principle are associated with it: the power of Compliance Law does not go wrong.

However, Compliance Law is the Law of the future, that which will seize the immense challenges to be resolved today for tomorrow and it is not from the specific laws against corruption, such as FCPA or the French law known as "Sapin 2 law", which are only  examples, but from two enormous "monumental" subjects that are on the one hand Data and on the other hand Climate that Compliance Law is building, with the means that are required. But so that the rule "all the means necessary for the ends", which already tended to govern Regulatory Law of which Compliance Law is the exponential extension, does not carry all, one needs lawyers. Because the lawyers contradict. And ask. Ask judges and carry the actions of ordinary people for their subjective rights to be shaped. As Motulsky affirmed it in its thesis, written during the Second World War, before after this enormous systemic disaster inventing the "general procedural law".

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The Working Paper which had not be exploited during the conference will be the bais for the article in the book :

📕 in its French version La juridictionnalisation de la Compliancein the Series 📚   Régulations & Compliance

 📘  in its English version  Compliance Jurisdictionalisation, in the Series 📚   Compliance & Regulation

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📅 Ce colloque s'insère dans le cycle de colloques 2021 organisé par le Journal of Regulation & Compliance (JoRC) et ses partenaires autour de la Juridictionnalisation de la Compliance.

 

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Sept. 23, 2021

Thesaurus : Doctrine

 Full Reference: Scemla, S. & Paillot, D., La difficile appréhension des droits de la défense par les autorités de contrôle en matière de compliance ("The supervisory authorities face difficulties to apprehend the rights of the defence in Compliance matters")in Frison-Roche, M.-A. (dir.), La juridictionnalisation de la Compliancesérie "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) et Dalloz, to be published.

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 Article Summary(done by the Author) : Since 2016, French companies subject to the provisions of the so-called “Sapin 2” Law must implement eight stringent anti-corruption measures, such as a risk mapping, a whistleblowing procedure or a third-party due diligence procedure.

To ensure their compliance with these obligations, the Sapin 2 law created the Agence française anticorruption - AFA (French Anti-Corruption Agency), which had been assigned three missions: firstly, to help any person prevent and detect corruption; secondly, to control the quality and effectiveness of the anti-corruption programs deployed by the companies; and thirdly, to sanction any breaches, through its Sanctions Committee.

As pointed out by the French Conseil d’Etat, the powers devolved to the administrations have multiplied and became stratified. While the Conseil d'Etat suggests to improve both the conduct and the effectiveness of administrative controls by harmonising their practices and simplifying their prerogatives, it is urgent to remedy the numerous procedural failures that undermine the rights of defence.

In fact, the AFA exercises various powers when undertaking its controls. Some of these powers are not provided for by the Law, and most of them infringe fundamental rights and freedoms among which the adversarial principle and the freedom not to self-incriminate. For instance, the AFA does not necessarily draft minutes of the interviews it conducts, thus depriving the interviewee of the possibility to challenge the statements reported by the AFA to the Sanctions Committee.

From a more structural point of view, the scope of the AFA's mission is extremely broad. The Law allows the AFA to request the communication of "any professional document or any useful information", without defining the notion of usefulness. Also, the AFA considers that the entity cannot benefit from the legal privilege that would cover their documents, and considers that an entity who voluntarily hands over a document, without expressing any reserves, waives its right to the benefit of its legal privilege.

Apart from the severe consequences that could arise if another proceedings was to be initiated by a foreign authority, the concept of "voluntary handover" does not faithfully reflect the reality. Indeed, the controlled entities only cooperate under the threat of being prosecuted on the basis of an obstruction to the control, which compels them to communicate documents even when facing the risk of contributing to their own incrimination.

These many procedural deficiencies encountered during AFA controls must therefore be reformed, as recommended by the Conseil d’Etat, so as to require the authorities to take into account the rights of the defence.

 

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📝 read the general presentation of the book in which this article is published

 

The supervisory authorities face difficulties to apprehend the rights of the defence in Compliance matters

 

Since 2016, French companies subject to the provisions of the “Sapin II” Law must implement eight stringent anti-corruption measures, such as a risk mapping, a whistleblowing procedure or a third-party due diligence procedure.

 

To ensure their compliance with these obligations, the Sapin II law created the French Anti-Corruption Agency (“AFA”),  which had been assigned three missions: firstly, to help any person prevent and detect corruption; secondly, to control the quality and effectiveness of the anti-corruption programs deployed by the companies; and thirdly, to sanction any breaches, through its Sanctions Committee.

 

As pointed out by the French Conseil d’Etat[2], the powers devolved to the administrations have multiplied and became stratified. While the Conseil d'Etat suggests to improve both the conduct and the effectiveness of administrative controls by harmonising their practices and simplifying their prerogatives, it is urgent to remedy the numerous procedural failures that undermine the rights of defence.

 

As a matter of fact, the AFA exercises various powers when undertaking its controls. Some of these powers are not provided for by the Law, and most of them infringe fundamental rights and freedoms among which the adversarial principle and the freedom not to self-incriminate.

 

For instance, the AFA does not necessarily draft minutes of the interviews it conducts, thus depriving the interviewee of the possibility to challenge the statements reported by the AFA to the Sanctions Committee.

 

From a more structural point of view, the scope of the AFA's mission is extremely broad. The Law allows the AFA to request the communication of "any professional document or any useful information", without defining the notion of usefulness. Also, the AFA considers that the entity cannot benefit from the legal privilege that would cover their documents, and considers that an entity who voluntarily hands over a document, without expressing any reserves, waives its right to the benefit of its legal privilege.

 

Apart from the severe consequences that could arise if another proceedings was to be initiated by a foreign authority, the concept of "voluntary handover" does not faithfully reflect the reality. Indeed, the controlled entities only cooperate under the threat of being prosecuted on the basis of an obstruction to the control, which compels them to communicate documents even when facing the risk of contributing to their own incrimination.

 

These many procedural deficiencies encountered during AFA controls must therefore be reformed, as recommended by the Conseil d’Etat, so as to require the authorities to take into account the rights of the defence.

 

 

Sept. 23, 2021

Thesaurus

 Full Reference: Cayrol, N., General Procedural Law in Compliance Law, in Frison-Roche, M.-A. (ed.), Compliance Jurisdictionalisationseries "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) : We could be satisfied with examining the reception of the principles of general Procedural Law in compliance litigation and the distortion that compliance techniques justify in procedural mechanisms. But the innovation that constitutes this emerging branch of law that is Compliance Law justifies going to more fundamental.

From this perspective, the pertinent question is the very legitimacy of procedural principles in this branch of law, in that Procedural Law is built on the notion of “Litigation” while Compliance Law deals with situation so enormous, concerning for example the fate of the planet, that this notion of litigation appears inadequate, and consequently the procedural law would be too limited in compliance matters.

If, however, this perspective is maintained of Compliance Law facing, in an almost warlike perspective, the greatest current challenges, general Procedural Law needs to be redesigned, in its very definition. Indeed, compliance trials call into question the future of systems and it is as such that they hold the entities, for instance the enterprises, that are at the heart of these systems. It is in this that liability trials are more “accountability” trials, allowing the judge to demand actions for the future, trials by which commitments are made and the “intentions” of the persons involved are challenged and required.

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

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Sept. 23, 2021

Thesaurus : Doctrine

 Full Reference: Morel-Maroger, J., La réception des normes de la compliance par les juges de l'Union européenne, in Frison-Roche, M.-A. (ed.), La juridictionnalisation de la Complianceseries "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published. 

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 Article English Summary (done by the author):   Compliance rules are intended to pursue objectives of public interest – or monumental goals – and thereby in principle modify and guide the behaviour of economic operators. In order to achieve these objectives, the full spectrum of norms are used in compliance matters. What is and what should be the role of the judges of the European Union in the development of compliance rules ? As in domestic law, the legality of compliance standards developed by regulatory authorities has been challenged.

It will first be necessary to analyse what control the judges of the European Union have over these rules. The question arises essentially as regards the rules of soft law, the challenge of which can be considered in two ways : by way of an action for annulment and by exception by way of a preliminary ruling.

But beyond the control of the legality of compliance rules exercised by European judges, they also contribute to their application. The effectiveness of compliance rules depend above all on them being followed by those to whom they are addressed, and economic operators are undoubtedly the first actors of its success. But the judges of the European Union, competent to settle disputes concerning the application of European Union law between the Member States, the European institutions, and individual applicants, may be also be involved in ensuring the effectiveness of European compliance rules and in interpreting them.

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📝 read the general presentation of the book La Juridictionnalisation de la Compliance in which this article is published.

 

 

 

 

Sept. 23, 2021

Thesaurus : Doctrine

 Full Reference: : Linden, A., Motivation et publicité des décisions de la formation restreinte de la Commission nationale de l’informatique et des libertés (CNIL) dans une perspective de compliance, in Frison-Roche, M.-A. (dir.), La juridictionnalisation de la Compliancesérie "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published. 

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 Article English Summary (done by the Journal of Regulation and Compliance - JoRC): In the event of a breach of the personal data protection rules, the restricted formation of the French personal data protection Commission (CNIL) pronounces fines, injunctions of "compliance" or calls to order. It can order the publication of these measures, which can be contested before the French High Administrative supreme court (Conseil d'État).

It is essential that these decisions be justified, not only in order to respect this principle of law but also concretely to obtain the public concerned, being very heterogeneous, understand them, the educational role of the CNIL also being applicable.

The principle of publicity is handled with nuance, the data controllers often requesting a closed door and, in fact, very few public attending the hearing. The publicity of decisions is in itself a sanction. The publication may moreover not be total or may only have a time, anonymization often allowing the balance between necessary pedagogy and preservation of interests, the CNIL taking great attention to the very modalities of publication, even if it cannot control the circulation and the media use which is then made of it.

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📕 read the general presentation of the book, La juridictionnalisation de la Compliance, in which this article is published.

 

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Sept. 17, 2021

Thesaurus : Doctrine

 Full Reference complète : Beaussonie, G.,  Droit pénal et compliance font-ils système? ("Do Criminal Law and Compliance form a system?"), in Frison-Roche, M.-A. (ed.), Les buts monumentaux de la Compliance, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published.

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► Article Summary:  By nature, Criminal Law is a system that is not intended to develop, principles which limit it being internal to it. Nevertheless if Proportionality is respected, its extension may be legitimate to preserve “fundamental social values” because Criminal Law is the branch of Law concerning what is grave, grave in consequences as in causes.

Not always being concerned by Efficiency, the temptation is important to supplement Criminal Law with other repressive mechanisms , not only Administrative Repression but today Compliance which pursues concordant objectives and aims by the "Goals Monumental ”to what would be most important and therefore for which Efficiency would be required, in particular because victory (for example against corruption) should be global.

Efficiency is obtained by the internalisation in powerful companies, but this efficiency comes at a price and Criminal Law should not impose too many obligations to do maintaining only a potential link with the commission of a "real offense ”. Its association with Compliance can therefore also only be exceptional and must not lead to forget  that Freedom must always remain the principle.

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📝 Read the  general presentation of the book in which this article is published.

 

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Sept. 17, 2021

Thesaurus : Doctrine

 Full Reference complète : Beaussonie, G., Do Criminal Law and Compliance form a system?, in Frison-Roche, M.-A. (ed.),Compliance Monumental Goals, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.

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► Article Summary:  By nature, Criminal Law is a system that is not intended to develop, principles which limit it being internal to it. Nevertheless if Proportionality is respected, its extension may be legitimate to preserve “fundamental social values” because Criminal Law is the branch of Law concerning what is grave, grave in consequences as in causes.

Not always being concerned by Efficiency, the temptation is important to supplement Criminal Law with other repressive mechanisms , not only Administrative Repression but today Compliance which pursues concordant objectives and aims by the "Goals Monumental ”to what would be most important and therefore for which Efficiency would be required, in particular because victory (for example against corruption) should be global.

Efficiency is obtained by the internalisation in powerful companies, but this efficiency comes at a price and Criminal Law should not impose too many obligations to do maintaining only a potential link with the commission of a "real offense ”. Its association with Compliance can therefore also only be exceptional and must not lead to forget  that Freedom must always remain the principle.

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📝 Read the  general presentation of the book in which this article is published.

 

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Updated: Sept. 17, 2021 (Initial publication: Sept. 3, 2021)

MAFR TV

 Full Reference: Frison-Roche, M.-A., Le droit de la Compliance : un outil stratégique pour une Europe souveraine (Compliance law: a strategic tool for a sovereign Europe), interview with Jean-Philippe Denis, recorded on July 3, 2021 and broadcast on September 17, 2021

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🎥 Watch the interview, as broadcast on Xerfi Canal channels. 

 

🎥Watch the interview enhanced with French subtitles

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►Summary: Compliance Law powerfully and clearly helps to build a sovereign Europe. 
Compliance Law is not the annex of Competition Law; it is another branch of Law, which aims instead to rely on the de facto power of companies, when they are in a position to achieve the "Monumental Goals" that the Political Authorities have decided to achieve, which requires an alliance between them and those companies in a position to achieve these "Monumental Goals".

Companies can do this because they are in a position to do so, in that they are well located to act, have the information, the technology and the adequate financial means.)

Compliance is a construction tool, and not, as it is still sometimes presented, a means to limit the ability of those who are concretely able to build, i.e. the companies. The architect remains and must remain the Politics. But the company remains the master of the means to achieve these goals, and free to duplicate them in its own care, via CSR, "raison d'être" and ethics.

 

Sept. 16, 2021

Thesaurus : Doctrine

 Full Reference: Malaurie, M., Monumental goals of Market Law. Reflection on the method in Frison-Roche, M.-A. (ed.), Compliance Monumental Goals, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published

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► Article Summary (done par the JoRC editor):  The analysis done by this article is about Competition Law, and the methodology needed to be adopted for the technical functioning of this branch of Law. Taking up the various economic and legal theories on this subject, conceptions which have succeeded and clashed, the author develops that the monumental goal of Market Law is to develop an economic environment favorable to businesses and consumers, then asks the question if it could integrate an ethical dimension and more broadly non-economic considerations, in particular humanistic ones.

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

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Sept. 16, 2021

Thesaurus : Doctrine

 Full Reference: Huglo, Ch.,  À quelles conditions le Droit climatique pourrait-il constituer un But Monumental prioritaire ? ("Under what conditions could climate law constitute a priority Monumental Goal?"), in Frison-Roche, M.-A. (dir.), Les buts monumentaux de la Compliance, série "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2022, p.169-174..

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► Article English Summary (done by the Journal of Regulation & Compliance) :  The author considers that the service that Compliance renders to Society can indeed be considered as "Monumental" and, confronting Compliance with the issue of Climate, considers that Climate Law must become not only a "Monumental Goal", but also be the first. He underlines the deep obstacles to even pose this idea, obstacles of two orders, the first being the fact that Law has rather focused on past pollution, while the stake is also the measurement of the future impact and the prevention.  The second is that the many texts and declarations have no direct binding force. It is therefore the courts which today, because of their independence and the place that Science takes in the adversarial debate that takes place before them, Civil Society bringing them the question of the Climate to which they are obliged de jure  to answer , take the decisions on the basis of which the "climate justice" is built. 

In this, Climate Law invested by Courts joins Compliance Law in the objectives pursued, putting knowledge, prevention and action to preserve what climate issue puts at stake today: Human Dignity.

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📝 read the  general presentation of the book, 📕Les Buts Monumentaux de la Compliance, in which this article is published.

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Sept. 16, 2021

Publications

Full Reference: Frison-Roche, M.-A., Notes pour une synthèse sur le vif pour le colloque "Les Buts Monumentaux de la Compliance : radioscopie d'une notion" (Notes for an on the fly synthesis for the Colloquium "The Compliance Monumental Goals: Radioscopy for a Notion"), September 16, 2021. 

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► Read the general programme of the Colloquium Compliance Law Monumental Goals

► Read the  presentation of the synthesis Report, notably its Summary

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► Methodology: The topic is not treated in a strictly personal point of view, as it will be in the book on The Compliance Monumental Goals, in an article devoted to "Defining Compliance Monumental Goals  and their branch of Law", more personal article. It will be even more clearly the expression of a personal vision of the definition of what is "Compliance" and what is "Compliance Law", with in particular the distinctions that should be done, in particular with "conformity" because these are these "Monumental Goals", a notion proposed in 2016!footnote-2164  which makes it possible to distinguish the procedural notion of "conformity" (just obey) and the substantive notion of "Compliance Law". This article will include the multiple academic and technical references that should be done to do this. 

But in the time allotted in a day's collloquium and because the purpose of a synthesis is to highlight on the spot what was common in the contributions heard, the document is based only on the different speechs made and is not enriched with technical references, nor does it refer to personal works.

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🔻read below the notes exhaustely taken

Sept. 16, 2021

Thesaurus : Doctrine

 Full Reference: Boursier, M.-E.,  Les Buts Monumentaux de la Compliance : mode d'expression des États ("Compliance Monumental Goals: States' mode of expression"), in Frison-Roche, in Frison-Roche, M.-A. (dir.), Les buts monumentaux de la Compliance, série "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published.

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► Article English Summary (done by the Journal of Regulation & Compliance):  "Monumental goals" are the raison d'être of Compliance and give it meaning: they are enriched with a political objective making it rise to the status of true legal norms. Compliance Law emerged from the confrontation of States with globalisation, leading to an eviction of traditional legal notions. The monumental goals are the expression of public policies that can be deployed in such a context, thanks to the articulation that Compliance builds with private stakeholders, who spontaneous or constrained contribute.

Through this new Law, States regain their agility face to markets. Indeed, these monumental goals justify this new responsibility weighing on the companies and the new powers that the States express beyond their traditional borders.

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📝 read the general presentation of the book 📕Les Buts Monumentaux de la Compliance, in which this article is published.

 

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Sept. 16, 2021

Thesaurus : Doctrine

 Full Reference: Vaquieri, J.-F.,  The "Monumental Goals" perceived by the company. The example of Enedis, in Frison-Roche, M.-A. (ed.),Compliance Monumental Goals, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.

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► Article Summary: The article aims to show how a particular company in that it is charged by the State to effectively distribute electricity to everyone in France participates in the Monumental Goals, makes them concrete and integrates them into its functioning itself. The firm Enedis, a French monopolistic State company, operator of the distribution network participates directly in these Goals under the express application of the French Energy Code. 

Under the control of the Regulator, the company is responsible for the continuity of the electricity supply and responds to the challenges of energy transition, Enedis ensuring equal treatment at national and local level, Compliance thus extending Regulatory system to which this firm responds and which it internalizes. The management of personal data, energy being at the heart of the digital revolution, implies a particularly strong internal framework of Compliance. This articulation between this new Compliance in terms of personal information and this classic Compliance as a continuation of the Regulation to serve the citizen, both converging for the benefit of people, explains that Enedis has put Compliance at the heart of its commitments, particularly expressed in its code of conduct, its industrial and human project (Projet industriel et humain - PIH) and its environmental actions.

The Compliance which is specific to Enedis is disseminated by it to various entities, in particular via concession contracts, giving these an original framework. This importance of Compliance for Enedis leads the company through the "Monumental Goals" which unite it to design and maintain balances between the diversity of these so that the values carried by the companies continue to decline, especially locally.

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

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