Thesaurus : Doctrine
Référence complète : Queinnec, Y et Constantin, A., Devoir de vigilance. Les organes de gouvernance des entreprises en première ligne, in Le Big Bang des devoirs de vigilance ESG : les nouveaux enjeux de RSE et de droit de l'homme, doss., Revue Lamy Droit des Affaires, n°104, mai 2015, p.68-74.
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Thesaurus : Soft Law
Référence complète : Response to the Study on Directors’ Duties and Sustainable Corporate Governance by Nordic Company Law Scholars, octobre 2020.
Jan. 17, 2024
Thesaurus : Doctrine
► Référence complète : C. Lanta de Bérard & P. Dufourq, "Défendre les intérêts de la personne physique confrontée à la justice négociée : préserver l’effectivité des droits de la défense et le respect de la présomption d’innocence", in M.-A. Frison-Roche et M. Boissavy (dir.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", à paraître.
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📕consulter une présentation générale de l'ouvrage, Compliance et droits de la défense - Enquête interne, CIIP, CRPC, dans lequel cet article est publié
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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : Pour les auteures de la contribution, les personnes physiques, notamment les mandataires sociaux des personnes morales, sont les "parents pauvres" de la justice négociée, alors même que celle-ci présente de nombreux risques pour celles-ci. Cela tiendrait tout d'abord au fait que la CRPC est inadéquate pour elles, notamment celle-ci n'est pas l'équivalent de la CJIP et qu'elle implique une reconnaissance de responsabilité alors que la CJIP précisément l'exclut, mais que celle-ci vise, comme l'enquête interne qui la précède souvent, des personnes physiques, des faits directement imputables à des mandataires sociaux qui n'ont plus aucune marge lorsque le temps de leur propre procès arrive. Le cas dit Bolloré l'a bien montré. L'enquête interne est ainsi support tout à la fois objet de coopération mais support de l'accusation de la personne physique et l'entreprise peut négocier contre ses collaborateurs, personnes physiques sans que celles-ci ne le sachent même, la présomption d'innocence ne fonctionnant guère dans ce qui est pourtant une enquête pénale déléguée.
Des solutions sont répertoriées par les auteures pour remédier à cette situation défavorable. Il pourrait s'agir d'une réforme législative pour le règlement négocié vise globalement et la personne morale et les personnes physiques impliquées, un encadrement plus ferme de l'enquête interne pour un meilleur respect des principes de la procédure pénale au profit des personnes interrogées et impliquées, un respect plus effectif de la présomption d'innocence lors de l'entrée en négociation dans une CJIP et, empruntant au Droit britannique, l'édiction de l'interdiction d'utiliser devant un juge toute information issue d'une CJIP
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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche
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Sept. 28, 2023
Thesaurus : Doctrine
► Référence complète : E. Rapone, "Les assemblées d’actionnaires sous le feu du climat", in F. Barrière et M. Zolomian (dir.), Le droit des sociétés saisi par le climat, JCP E, n° 39, 28 septembre 2023, pp.22-26.
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► Résumé de l'article (fait par l'auteur) : "Malgré le dialogue actionnarial que le say on climate favorise, l’absence d’encadrement légal et de consensus de place quant à sa validité juridique donne lieu à des divergences d’appréciation entre conseil d’administration et actionnaires. Retour sur cette pratique en développement qui semble s’ancrer de plus en plus en France.".
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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche
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June 6, 2023
Newsletter MAFR - Law, Compliance, Regulation
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► Référence complète : M.-A. Frison-Roche, "Compliance : obligation, devoir, pouvoir, culture (colloque 13 et 14 juin 2023)", Newsletter MAFR Law, Compliance, Regulation, 6 juin 2023.
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📧Lire par abonnement gratuit d'autres news de la Newsletter MAFR - Law, Compliance, Regulation
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🔴 Comprendre l'Obligation de Compliance afin d'en maîtriser la pratique (colloque des 13 et 14 juin 2023 du Journal of Regulation & Compliance (JoRC), du Centre de recherche sur la justice et le règlement des conflits (CRJ) et du Centre de recherche en économie et droit (CRED) de l'Université Paris Panthéon-Assas).
La compliance parait inmaîtrisable dans sa diversité et son ampleur et l'on doute parfois de sa juridicité.
Pour favoriser la maîtrise de cette pratique et construire le Droit de la Compliance, il est essentiel de mieux cerner l'Obligation de compliance.
C'est l'objet de ce colloque.
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📧lire l'article ⤵️
May 17, 2023
Thesaurus : Doctrine
► Référence complète : Th. Favario, "Autonomie de la personnalité morale et devoir de vigilance", in R. Vabres (dir.), Que reste-t-il du principe d'autonomie de la personne morale ? - Journée d'études du DJCE de Lyon, coll. "Thèmes & Commentaires", Dalloz, 2023, pp.103-112.
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► Résumé de l'article :
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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche
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May 17, 2023
Thesaurus : Doctrine
► Référence complète : R. Vabres (dir.), Que reste-t-il du principe d'autonomie de la personne morale ? - Journée d'études du DJCE de Lyon, coll. "Thèmes & Commentaires", Dalloz, 2023, 250 p.
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► Résumé de l'ouvrage (fait par l'auteur) : "Principe cardinal du droit des personnes et vecteur de sécurité juridique, l'autonomie de la personne morale est un pilier de notre système juridique. Il est au coeur du droit des obligations dès lors qu'il participe à l'identification du débiteur de l'obligation, du droit patrimonial en ce qu'il favorise de nombreuses opérations de gestion ou de transmission ou encore du droit de l'entreprise.
Ce principe connaît toutefois de profondes remises en cause dans plusieurs branches du droit. Une approche économique, s'extirpant de la réalité juridique, tend en effet à se disséminer dans de nombreuses situations et cela afin de préserver d'autres intérêts et poursuivre des objectifs jugés prioritaires.
L'atténuation de la distinction entre une entreprise individuelle et une société dotée de la personnalité morale, le maintien de la responsabilité pénale en dépit d'une fusion, la mise en oeuvre de la responsabilité d'une société en raison des actes commis par sa filiale sont autant de manifestations invitant à redéfinir l'étendue de l'autonomie de la personne morale.
Cet ouvrage réunit les contributions d'universitaires, en droit des contrats, droit du patrimoine, droit des sociétés, etc. sur des thèmes actuels et faisant écho à des évolutions législatives et jurisprudentielles importantes sur les plans théorique et pratique.".
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April 12, 2023
Publications
March 24, 2023
Conferences
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► Full Reference: M.-A. Frison-Roche, "Propos introductifs : Les buts monumentaux de la vigilance" (Introductory remarks: The Monumental Goals of Vigilance), in La société vigilante ("The Vigilant Company"), Aix-Marseille University, Institut de Droit des Affaires, March 24, 2023.
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This conference is done in French; read its English Summary below⤵️
🧮see the complete program of the manifestation (in French)
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► English Summary of the conference: "Vigilance" is intriguing because, although it occurs in many branches of Law and is familiar in "banking compliance", in a form that is moreover reinforced since it is an obligation of vigilance on the part of the banker about a client whom he/she should "know", it is the "duty of vigilance" that made this notion famous. One could almost say scandalously famous because of a French law of 2017 that now bears its name, called the "Vigilance Law", whereas other laws bear the name of the minister who thought of it, which due diligence (vocabulary used for the European directive) does not erase.
The current challenge is to take the right measure of what "vigilance" is.
Vigilance goes beyond the French Loi Vigilance, which is not enough to express what it is in its few dispositions. To say what it is in the legal system, to use it in practice, to propose the intellectuel legal exercice of qualification, Vigilance must be thought of in Compliance Law, of which it is both a "Tool" and the most advanced point, as shown by the European Directive, whose discussions during its elaboration show these design issues.
Thus, like the whole of Compliance Law, Vigilance is understood, deployed, analysed and exercised through what underpins and gives meaning to all these constantly changing regulations, powers, and obligations, through Compliance Monumental Goals which give it stability and simplicity. This is the least that can be done in a mechanism that has the ambition to organise the "sustainability" of economic relations.
But while Vigilance expresses and concretizes Compliance Monumental Goals, it must not go beyond measure.
In fact, to set up structures, use tools and behave in such a way that human rights and nature are effectively and extraterritorially protected, both negatively and positively, these obligations of the company, which is the natural subject of the "duty", more generally the natural subject of Compliance Law, see its legal powers increased, these means being required for the company to fulfil its new obligations, first legal, then contractual, soon to be unilaterally formulated.
Perhaps we should conceive of a "vigilant company" and not just a company that, beyond and through its economic activity, cares for others and the world, but a company that "watches over" everything and on everything would be to go beyond the measure, to make companies the "regents" of the world and the people who live in it.
Faced with this perspective to be excluded, the construction of a Europe of Compliance, which does not be reduced to corruption fighting or environment protection, and draws on its humanist tradition, distinguishing itself in this respect from the American and Chinese compliance systems, is the major challenge.
Companies are not the alpha and omega, but they are one of the elements of an Alliance between the political Authorities and the population, its link, the one that allows us to escape from the limit of the territory, in what we call by this inadequate term of "extraterritoriality". It is rather a question of going beyond territories, required by the Compliance Monumental Goals of Compliance, of which Vigilance is the advanced point.
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🚧read the English Working Paper, basis of this conference: "Vigilance, Compliance Monumental Goals, and "Vigilant Company""
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📈see the slides created for this conference (in French)
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📝read the article published after this conference
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Oct. 12, 2022
Conferences
♾️ follow Marie-Anne Frison-Roche on LinkedIn
♾️subscribe to the Newsletter MAFR Regulation, Compliance, Law
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► Full Reference: Frison-Roche, M.A., La compliance en entreprise : aspects théoriques et pratiques, in 118ième Congrès des Notaires, L'ingénierie notariale, Marseilles, October 12, 2022.
This Masterclass is given in French.
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► English Presentation of this Masterclass: This two-hour Masterclass aims to introduce, regarding the role of the Notary in companies and vis-à-vis them, Compliance Law.
This discover of Compliance Law is built on a description of the new Compliance techniques of which companies are the object or the source (I) then, faced with such a mass of new standards, because this is incomprehensible and uncontrollable if these so many regulations are not "conceived", explain what can give meaning to this Compliance Law, namely the "Monumental Goals" which animate it and give it meaning (II). Like the Regulation Law that Compliance prolongs, Compliance Law is a teleological branch of law that requires that the application and interpretation of norms be done by these Monumental Goals.
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This Masterclass is given in French: see some technical references in English ⤵️
Sept. 20, 2022
Interviews
► Référence complète : M.-A. Frison-Roche, "La raison d'être est avant tout une notion juridique", entretien in Notariat, La journée de la Raison d'Etre,
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📚Lire le numéro complet dans lequel s'insère l'entretien.
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🎥Regarder l'intervention en vidéo de Marie-Anne Frison-Roche à la journée du Conseil Supérieur du Notariat sur la Raison d'être.
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Sept. 1, 2022
Thesaurus : Doctrine
► Full Reference: A.-V. Le Fur, "Intérêt et raison d’être de l’entreprise : quelle articulation avec les buts monumentaux de la compliance ?" ("Interest and “raison d’être” of the company: how do they fit with the Compliance Monumental Goals?"), in M.-A. Frison-Roche (ed.), Les Buts Monumentaux de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, p. 55-67.
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📕read a general presentation of the book, Les Buts Monumentaux de la Compliance, in which this article is published
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► Summary of the article (done by the Author): Companies would have a soul. The legislator thinks so, since the French law called "loi Pacte" of 22 May 2019 obliges managers to act in the Corporate Interest and allows companies to formulate themselves a « raison d'être ». Compliance Law does the same, relying on companies to save the world from corruption, slavery, terrorism and global warming, thus achieving Monumental goals.
At first glance, the contours of Corporate Interest and « raison d’être » of the company are not far removed from the notion of Compliance Monumental Goals. This is not surprising, since the objective that presided over their introduction into the French Civil Code is the same as that underlying Compliance Law : to rethink the place of the company in the global Society, by affirming long-term values or concerns. This is a reason to use these corporate law concepts in the context of an X-ray of the concept of Monumental Goals.
However, a comparative approach is disappointing. The divergences between corporate notions and compliance lead to the conclusion that company law is not intended to impose anything other than a corporate public order. Notions that are more philosophical than legal, Corporate Interest and « raison d'être » are assigned functions that limit their scope. The imperative nature of corporate rules, and this is a consequence of the above, cannot be compared with that of compliance: uncertain, it is also relative when compared with the "violence" of compliance rules. The impact of the notions of Interest and « raison d'être » remains thus mainly internal to the company.
According to a second approach, it cannot be ruled out that Corporate Interest and « raison d'être » allow for a better understanding of higher and universal values by Company Law. Corporate Interest may incorporate Compliance Monumental Goals while the « raison d'être » may constitute a perspective for the realization of these goals.
The stakes are high : when the interest of the company, as a legal person and autonomous economic agent, joins the Monumental Goals, the means of achieving the latter are multiplied by internalizing them in all companies, not just the largest ones. However, despite all good intentions, a company is only governable if the compass does not become an elusive and indecisive vane; in other words, if legal certainty is respected. This is why a legal ordering of the concepts is necessary, which ultimately leads to a suggestion of their domain, content and scope.
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Aug. 12, 2022
Compliance: at the moment
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March 24, 2022
Interviews
► Full Reference: Frison-Roche, M.A.,, "Faire du Droit pour qu'à l'avenir le monde soit moins injuste" - à propos du projet de directive européenne sur le devoir de vigilance ("Making Compliance Law for a world less unfair in the future" - about the draft European directive on the corporate sustainability due diligence), interview with Olivia Dufour, Actu-Juridique, March 24, 2022.
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💬 read the interview (in French)
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► Interview English Summary: This interview comments on the draft directive presented by the European Commission aimed at unifying European Union Law about Corporate Sustainability Due diligence in global supply chains to protect environnement and human rights effectively, putting companies under same legal rules. including non-European companies.
The interview emphasizes that this text and reinforces Compliance Law perspective in that the legal instruments are Ex Ante, aim at the functioning of groups, constitute incentives, and seek effectiveness to prevent violations of human rights and the environment, 80% of which taking place outside the European Union.
The goal is both ethical, for example to fight against child labor and the endangerment of people, and systemic: the promoting of a sustainable economy, through the help of companies which have some power in value chains which are global.
This future directive clearly shows the difference between simple "conformity" (just obeying all applicable regulations...) and "compliance", illustrated here: aiming to achieve "monumental goals", here fighting against attacks on the climate balance and protect people, to obtain in the future these damages do not occur or are reduced.
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Sept. 16, 2021
Thesaurus : Doctrine
► Full Reference: Le Fur, A.-V., Ch., "Interest and “raison d’être” of the company: how do they fit with the Compliance Monumental Goals?, 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 by the Author): Companies would have a soul. The legislator thinks so, since the French law called "loi Pacte" of 22 May 2019 obliges managers to act in the Corporate Interest and allows companies to formulate themselves a « raison d'être ». Compliance Law does the same, relying on companies to save the world from corruption, slavery, terrorism and global warming, thus achieving Monumental goals.
At first glance, the contours of Corporate Interest and « raison d’être » of the company are not far removed from the notion of Compliance Monumental Goals. This is not surprising, since the objective that presided over their introduction into the French Civil Code is the same as that underlying Compliance Law : to rethink the place of the company in the global Society, by affirming long-term values or concerns. This is a reason to use these corporate law concepts in the context of an X-ray of the concept of Monumental Goals.
However, a comparative approach is disappointing. The divergences between corporate notions and compliance lead to the conclusion that Company Law is not intended to impose anything other than a corporate public order. These notions being more philosophical than legal, Corporate Interest and « raison d'être » are assigned functions that limit their scope. Consequence of the previous description, the imperative nature of corporate rules cannot be compared with the nature of compliance: uncertain, they are also relative compared with the "violence" of compliance rules. The impact of the notions of Interest and « raison d'être » remains thus mainly internal to the company.
According to a second approach, it cannot be ruled out that Corporate Interest and « raison d'être » allow for a better understanding of higher and universal values by Company Law. Corporate Interest may incorporate Compliance Monumental Goals while the « raison d'être » may constitute a perspective for the realization of these goals.
The stakes are high : when the interest of the company, as a legal person and autonomous economic agent, joins the Monumental Goals, the means of achieving the latter are multiplied by internalizing them in all companies, not just the largest ones. However, despite all good intentions, a company is only governable if the compass does not become an elusive and indecisive vane; in other words, if legal certainty is respected. This is why a legal ordering of the concepts is necessary, which ultimately leads to a suggestion of their domain, content and scope.
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📝 go to the general presentation of the book, 📘 Compliance Monumental Goals, in which this article is published.
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May 26, 2021
Thesaurus : Doctrine
March 16, 2021
Compliance: at the moment
Nov. 25, 2020
Thesaurus : 02. Cour de cassation
Full reference: Cour de Cassation, Chambre criminelle, 25th of November 2020 (18-86.955), Decision n°2333, société Iron mountain France SAS
Read the press release from the Cour de Cassation (in French)
Read the explication note from the Cour de Cassation (in French)
Summary of the decision
In this decision constituting a case law reversal, the Chambre criminelle of the Cour de Cassation decides that the firm which absorbs the one to which are imputable facts which can receive a penal qualification leading to penalties of fines has the aptitude to answer penally.
The decision precises that this reversal is applicable only to future cases, to respect the principle of predicability, except if this merging was operated only to escape from criminal responsibility of moral persons.
This case is an example of the use of Criminal Liability Law as an incentive.
June 19, 2020
Thesaurus : Soft Law
Full reference: Rapport sur la responsabilité des sociétés et de leurs dirigeants en matière sociale et environnementale et examens des conséquences juridiques associées aux modifications apportées à l'article 1833 et 1835 du Code Civil, Haut Comité Juridique de la Place Financière de Paris, 19th of June 2020
Nov. 27, 2019
Publications
This Working Paper served as the basis for an intervention in the conference organized in the conference cycle organized by the Journal of Regulation & Compliance (JoRC) on the theme: Compliance Tools, in collaboration with many university partners: this first conference is organized in collaboration with the Sciences po Economics Department and is held on November 28, 2019 at Sciences po and deals with the more specific theme of Risk mapping.
It also serves as the basis for the book edited by Marie-Anne Frison-Roche, Compliance Tools, which will be released in the Regulations & Compliance collection.
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Is the consideration by Law of the Risk Mapping mechanism so new?
At first glance yes, and one might even be surprised at this novelty, since this rational anticipation of risks should have been recognized for a long time. But this is perhaps due to the more general fact that Risk itself has only recently become an autonomous legal object in Economic Law, in particular because Risk does not have at all the same position in Competition Law and in Regulation Law (I) .. Its position is even opposed in the both, Risk becoming central in Regulation Law. Compliance Law being the extension of Regulatory Law, it is also built on the "concern" of Risk and the internalization of this consideration in enterprises therefore takes the form of mapping.
A closer look maybe not,even before the specific French laws, called "Sapin 2" and "Vigilance" and beyond them, case law decisions giving a general scope to maps drawn up by operators, or increasing the obligation that 'they have to do it (II). In this, general and precise technical Law offers points of support for Compliance Law, strengthening it in its tools.
April 15, 2019
Publications : Chronicles MAFR - Compliance Law
► Full Reference : Frison-Roche, M.-A., Compliance et personnalité, in Recueil Dalloz, n°11/7812, avril 2019, pp. 604-606
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► Chronique English Summary: Compliance is often presented as a set of mechanical procedures, in which human beings are absent. It's the opposite.
It is an Information Law, in its function of preventing systemic risks and a markets protection Law, which poses the requirement of knowing “truly” the person who is “relevant”, generalizing what Company or Competition Law had partially admitted.
Even more, beyond systems, Compliance Law, insofar as it is a Protection Law, aims to protect human beings, directly or indirectly concerned, establishing them as legal persons, true final subjects of law of this new branch of Law.
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📝read the chronique (in French).
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📖 read the other chroniques Chronique MAFR Droit de la Compliance
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Nov. 5, 2018
Thesaurus : Doctrine
► Référence complète : Parléani, G. (coord.), Mélanges en l'honneur du Professeur Claude Lucas de Leyssac, LexisNexis, novembre 2018, 512 p.
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►Lire la quatrième de couverture et la table des matières.
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►Parmi les contributions à l'ouvrage :
📝Lire la présentation de l'article de Marie-Anne Frison-Roche : Banque et Concurrence.
📝Lire la présentation de l'article de François Terré : Concurrence et proportionnalité
Lire la présentation de l'article de Pierre-Yves Gautier : Contre le droit illimité à la preuve devant les autorités administratives indépendantes
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July 3, 2018
Thesaurus : Doctrine
Référence complète : Couret, A., Le retour de l'unanimité dans le droit des sociétés, in Études en l'honneur de Philippe Neau-Leduc, Le juriste dans la cité, coll. « Les mélanges », LGDJ- Lextenso, 2018, pp.279-286.
Lire une présentation générale dans lequel l'article est publié.
June 6, 2018
Thesaurus : Doctrine
May 22, 2018
Thesaurus : Doctrine
Référence complète : Granier, C., Dirigeants, associés et compliance, in Borga, N., Marin, J.-Cl. et Roda, J.-Cl. (dir.), Compliance : l'entreprise, le régulateur et le juge, Série Régulations & Compliance, Dalloz, 2018, pp. 227-234.
Lire une présentation générale de l'ouvrage dans lequel est publié l'article.
Consulter les autres titres de la Série dans laquelle est publié l'ouvrage.