► Full Reference: E. Maclouf, "Entités industrielles et Obligation de compliance" ("Industrial Entities and Compliance Obligation"), in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2025, to be published

____

📕read a general presentation of the book, L'Obligation de Compliance, in which this article is published

____

► Summary of this article (done by the Journal of Regulation & Compliance - JoRC) : This article looks at the topic Industrial Entities and Compliance Obligation from the perspective of Management Science and sets out to resolve the paradox of industrial organisations expressing the ambition of progress for the benefit of people, a humanist ambition that is contradicted by the effects produced by this industrialisation itself, which are harmful to that same humanity. The Compliance Obligation, insofar as it is based on the Monumental Goals and is anchored in Industrial Organisations, aims to resolve this paradox.

The science of human organisations aims to allocate nature's scarce resources as efficiently as possible by getting individuals to cooperate, this engineering producing natural, industrial and social disasters, which are themselves more or less anticipated. The Compliance Obligation holds out the hope of better preventing them (Negative Monumental Goal) and managing them, or even improving people's lives (Positive Monumental Goal) by going beyond traditional disciplines and developing Ex Ante. However, Industrial Organisations may also reject the weight of the constraints that this creates for them, calling for deregulation instead. The debate is currently open.

Furthermore, by moving from the mechanical logic of conformity to the dynamic logic of the Compliance Obligation, companies find themselves in a situation of systemic uncertainty and must decide on the strategy to be implemented, resulting in a managerialisation of the Law  and implying many new decisions to be taken. The notion of "project" is therefore back at the heart of Industrial Organisations, and more specifically that of "Humanist Project", as embodied by the Compliance Obligation, in a new Organisation where everyone plays their part in the Value Chain.

The author draws on the work of Raymond Aron and the Rueff-Armand report to show that the dynamism and strength of Industrial Organisation can support a Humanist Project that is politically developed and fits in with the Economic Rationality of Industrial Organisations. This is all the more necessary as this Regulatory Framework cannot come from the sum of individual actions alone (employees, consumers, investors), as the interests of the company, of the sector, of society, of nature cannot be served by this addition alone, and the claim that the whole is self-regulated by the expression of a single one of these players (who are themselves both inside and outside the industrial organisation) is unsustainable.

The Author shows that new entities are therefore being created to regulate Industrial Entities in the public interest through the Compliance Obligation, which inserts an Obligation into the Industrial Organisation modifying its project: the French so-called "Sapin 2" law is a perfect example of this, encouraging appropriate strategic responses from Industrial Organisations, which have modified their managerial procedures to integrate new strategic projects and involve stakeholders.

Finally, because the Compliance Obligation is anchored in Monumental Goals, it can be the basis of the Company's Project and the Players' Project of the players, which leads us to return to the basis of the Organisations Theory, which entrusts to the corporate bodies the power and the mission of defining such a project through corporate deliberations which will then be, in the aforementioned approach of Industrial Rationality, broken down into Objectives and Plans. This is a reminder that Profit is not a Company's Goal: it is the sine qua non of its survival, which is different. A Rational Organisation determines its Project and for ensuring it,  to achieve it, it must not run the risk of going bankrupt. The Compliance Obligation is developing  between this difference and the link between the Project and this necessity to have some profit which is just a Condition. Furthermore, in order to establish this project, the organisation must resolve oppositions (conflictuality) through the complex interplay of players (Jean-Pierre Dupuy).

Industrial organisations must respond to the Compliance Obligation. In particular, they do this by developing norms, or by contributing to the development of public norms, and by themselves expressly aiming Goals such as the fight against suffering in the workplace or equality between men and women as falling within the scope of the Compliance Obligation. This framing work is an essential part of the organisation's strategy, and environmental concerns can thus be integrated to a greater or lesser extent into this or that perspective. All this goes beyond the mere logic of conformity.

The Compliance Obligation thus enables the production of what the Author calls "adaptive responses by individuals in the face of Systemic Crises and their causes", countering the Anomie which is also a monumental problem in today's society, which has lost its bearings and is suffering from Uncertainty. This Compliance Obligation enables Industrial Entities to integrate into Society, if necessary by coercion, by becoming the vectors of human rights and social and environmental expectations. But the success of this Compliance Obligation presupposes a certain appropriation of the Goals by the scales companies, which taints the Compliance Obligation itself with Uncertainty.

___

🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

________

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

____

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

____

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

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

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

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

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

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

____

🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche, "Conceiving the Compliance Obligation: Using its Position to take part in achieving the Compliance Monumental Goals", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

____

📝read the article

____

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

____

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

____

► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): 

________

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

____

► Full Reference: R. Sève, "L'Obligation de Compliance et les mutations de la souveraineté et de la citoyenneté" ("Compliance Obligation and changes in Sovereignty and Citizenship"), in M.-A. Frison-Roche (ed.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, forthcoming.

____

📕read the general presentation of the book, L'obligation de Compliance, in which this article is published.

____

► English Summary of this article (done by the Journal of Regulation & Compliance - JoRC) : The contribution describes "les changements de philosophie du droit que la notion de compliance peut impliquer par rapport à la représentation moderne de l’Etat assurant l’effectivité des lois issues de la volonté générale, dans le respect des libertés fondamentales qui constituent l’essence du sujet de droit." ("the changes in legal philosophy that the notion of Compliance may imply in relation to the modern representation of the State ensuring the effectiveness of laws resulting from the general will, while respecting the fundamental freedoms that constitute the essence of the subject of law").

The contributor believes that the definition of Compliance is due to authors who « jouer un rôle d’éclairage et de structuration d’un vaste ensemble d’idées et de phénomènes précédemment envisagés de manière disjointe.  Pour ce qui nous occupe, c’est sûrement le cas de la théorie de la compliance, développée en France par Marie-Anne Frison-Roche dans la lignée de grands économistes (Jean-Jacques Laffont, Jean Tirole) et dont la première forme résidait dans les travaux bien connus de la Professeure sur le droit de la régulation. » ( "play a role in illuminating and structuring a vast set of ideas and phenomena previously considered in a disjointed manner.  For our purposes, this is certainly the case with the theory of Compliance, developed in France by Marie-Anne Frison-Roche in the tradition of great economists (Jean-Jacques Laffont, Jean Tirole) and whose first form was in her well-known work on Regulatory Law").

Drawing on the Principles of the Law of the American Law Institute, which considers compliance to be a "set of rules, principles, controls, authorities, offices and practices designed to ensure that an organisation conforms to external and internal norms", he stresses that Compliance thus appears to be a neutral mechanism aimed at efficiency through a move towards Ex Ante. But he stresses that the novelty lies in the fact that it is aimed 'only' at future events, by 'refounding' and 'monumentalising' the matter through the notion of 'monumental goals' conceived by Marie-Anne Frison-Roche, giving rise to a new jus comune. Thus, "la compliance c’est l’idée permanente du droit appliquée à de nouveaux contextes et défis." ("Compliance is the permanent idea of Law applied to new contexts and challenges"). 

So it's not a question of making budget savings, but rather of continuing to apply the philosophy of the Social Contract to complex issues, particularly environmental issues. 

This renews the place occupied by the Citizen, who appears not only as an individual, as in the classical Greek concept and that of Rousseau, but also through entities such as NGOs, while large companies, because they alone have the means to pursue the Compliance Monumental Goals, would be like "super-citizens", something that the digital space is beginning to experience, at the risk of the individuals themselves disappearing as a result of "surveillance capitalism". But in the same way that thinking about the Social Contract is linked to thinking about capitalism, Compliance is part of a logical historical extension, without any fundamental break: "C’est le développement et la complexité du capitalisme qui forcent à introduire dans les entités privées des mécanismes procéduraux d’essence bureaucratique, pour discipliner les salariés, contenir les critiques internes et externes, soutenir les managers en place" ("It is the development and complexity of capitalism that forces us to introduce procedural mechanisms of a bureaucratic nature into private entities, in order to discipline employees, contain internal and external criticism, and support the managers in place") by forcing them to justify remuneration, benefits, and so on.

Furthermore, in the words of the author, "Avec les buts monumentaux, - la prise en compte des effets lointains, diffus, agrégés par delà les frontières, de l’intérêt des générations futures, de tous les êtres vivants - ,  on passe, pour ainsi dire, à une dimension industrielle de l’éthique, que seuls de vastes systèmes de traitement de l’information permettent d’envisager effectivement." ("With the Monumental Goals - taking into account the distant, diffuse effects, aggregated across borders, the interests of future generations, of all living beings - we move, so to speak, to an industrial dimension of ethics, which only vast information processing systems can effectively envisage").

This is how we can find a division between artificial intelligence and human beings in organisations, particularly companies, or in decision-making processes.

In the same way, individual freedom does not disappear with Compliance, because it is precisely one of its monumental goals to enable individuals to make choices in a complex environment, particularly in the digital space where the democratic system is now at stake, while technical mechanisms such as early warning will revive the right to civil disobedience, invalidating the complaint of "surveillance capitalism".

The author concludes that the stakes are so high that Compliance, which has already overcome the distinctions between Private and Public Law and between national and international law, must also overcome the distinction between Information and secrecy, particularly in view of cyber-risks, which requires the State to develop and implement non-public Compliance strategies to safeguard the future.

________

► Full Reference: L. Rapp, "Compliance, Chaines de valeur et Économie servicielle",  ", in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, forthcoming

____

📕read the general contribution of the book, L'Obligation de Compliance, in which this contribution is published

____

► English summary of this contribution  (done par its author) :  Based on an analysis of the value chains of companies in the space sector and their recent evolution, this contribution examine the role, place and current transformations of compliance policies and strategies in the context of an industrial transformation that has become essential: the transition from an industrial economy to a service economy.

_____

🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

________

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

► Référence complète : J.-Ph. Denis et N. Fabbe-Costes, "Contrainte légale et stratégie des entreprises en matière de Compliance", in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître

____

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

____

► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : 

________

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

____

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

____

► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): 

Summary of this article (done by the Journal of Regulation & Compliance - JoRC) : This article looks at the topic Industrial Entities and Compliance Obligation from the perspective of Management Science and sets out to resolve the paradox of industrial organisations expressing the ambition of progress for the benefit of people, a humanist ambition that is contradicted by the effects produced by this industrialisation itself, which are harmful to that same humanity. The Compliance Obligation, insofar as it is based on the Monumental Goals and is anchored in Industrial Organisations, aims to resolve this paradox.

The science of human organisations aims to allocate nature's scarce resources as efficiently as possible by getting individuals to cooperate, this engineering producing natural, industrial and social disasters, which are themselves more or less anticipated. The Compliance Obligation holds out the hope of better preventing them (Negative Monumental Goal) and managing them, or even improving people's lives (Positive Monumental Goal) by going beyond traditional disciplines and developing Ex Ante. However, Industrial Organisations may also reject the weight of the constraints that this creates for them, calling for deregulation instead. The debate is currently open.

Furthermore, by moving from the mechanical logic of conformity to the dynamic logic of the Compliance Obligation, companies find themselves in a situation of systemic uncertainty and must decide on the strategy to be implemented, resulting in a managerialisation of the Law  and implying many new decisions to be taken. The notion of "project" is therefore back at the heart of Industrial Organisations, and more specifically that of "Humanist Project", as embodied by the Compliance Obligation, in a new Organisation where everyone plays their part in the Value Chain.

The author draws on the work of Raymond Aron and the Rueff-Armand report to show that the dynamism and strength of Industrial Organisation can support a Humanist Project that is politically developed and fits in with the Economic Rationality of Industrial Organisations. This is all the more necessary as this Regulatory Framework cannot come from the sum of individual actions alone (employees, consumers, investors), as the interests of the company, of the sector, of society, of nature cannot be served by this addition alone, and the claim that the whole is self-regulated by the expression of a single one of these players (who are themselves both inside and outside the industrial organisation) is unsustainable.

The Author shows that new entities are therefore being created to regulate Industrial Entities in the public interest through the Compliance Obligation, which inserts an Obligation into the Industrial Organisation modifying its project: the French so-called "Sapin 2" law is a perfect example of this, encouraging appropriate strategic responses from Industrial Organisations, which have modified their managerial procedures to integrate new strategic projects and involve stakeholders.

Finally, because the Compliance Obligation is anchored in Monumental Goals, it can be the basis of the Company's Project and the Players' Project of the players, which leads us to return to the basis of the Organisations Theory, which entrusts to the corporate bodies the power and the mission of defining such a project through corporate deliberations which will then be, in the aforementioned approach of Industrial Rationality, broken down into Objectives and Plans. This is a reminder that Profit is not a Company's Goal: it is the sine qua non of its survival, which is different. A Rational Organisation determines its Project and for ensuring it,  to achieve it, it must not run the risk of going bankrupt. The Compliance Obligation is developing  between this difference and the link between the Project and this necessity to have some profit which is just a Condition. Furthermore, in order to establish this project, the organisation must resolve oppositions (conflictuality) through the complex interplay of players (Jean-Pierre Dupuy).

Industrial organisations must respond to the Compliance Obligation. In particular, they do this by developing norms, or by contributing to the development of public norms, and by themselves expressly aiming Goals such as the fight against suffering in the workplace or equality between men and women as falling within the scope of the Compliance Obligation. This framing work is an essential part of the organisation's strategy, and environmental concerns can thus be integrated to a greater or lesser extent into this or that perspective. All this goes beyond the mere logic of conformity.

The Compliance Obligation thus enables the production of what the Author calls "adaptive responses by individuals in the face of Systemic Crises and their causes", countering the Anomie which is also a monumental problem in today's society, which has lost its bearings and is suffering from Uncertainty. This Compliance Obligation enables Industrial Entities to integrate into Society, if necessary by coercion, by becoming the vectors of human rights and social and environmental expectations. But the success of this Compliance Obligation presupposes a certain appropriation of the Goals by the scales companies, which taints the Compliance Obligation itself with Uncertainty.

____

🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

________

► Full Reference: L. Rapp, "Compliance, Value Chains and Service Economy", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

____

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

____

► Summary of the article (done by the author, translated by the Journal of Regulation & Compliance - JoRC): Based on an analysis of the value chains of companies in the space sector and their recent evolution, this contribution examine the role, place and current transformations of compliance policies and strategies in the context of an industrial transformation that has become essential: the transition from an industrial economy to a service economy.

____

🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche, "Compliance Obligation, between Will and Consent: obligation upon obligation works", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

____

📝read the article

____

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

____

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

____

► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): There is often a dispute over the pertinent definition of Compliance Law, but the scale and force of the resulting obligation for the companies subject to it is clear.  It remains difficult to define. First, we must not to be overwhelmed by the many obligations through which the Compliance Obligation takes shape, such as the obligation to map, to investigate, to be vigilant, to sanction, to educate, to collaborate, and so on. Not only this obligations list is very long, it is also open-ended, with companies themselves and judges adding to it as and when companies, sectors and cases require. 

Nor should we be led astray by the distance that can be drawn between the contours of this Compliance Obligation, which can be as much a matter of will, a generous feeling for a close or distant other in space or time, or the result of a calculation. This plurality does not pose a problem if we do not concentrate all our efforts on distinguishing these secondary obligations from one another but on measuring what they are the implementation of, this Compliance Obligation which ensures that entities, companies, stakeholders and public authorities, contribute to achieving the Goals targeted by Compliance Law, Monumental Goals which give unity to the Compliance Obligation.  Thus unified by the same spirit, the implementation of all these secondary obligations, which seem at once disparate, innumerable and often mechanical, find unity in their regime and the way in which Regulators and Judges must control, sanction and extend them, since the Compliance Obligation breathes a common spirit into them.

 In the same way that the multiplicity of compliance techniques must not mask the uniqueness of the Compliance Obligation, the multiplicity of sources must not produce a similar screen. Indeed, the Legislator has often issued a prescription, an order with which companies must comply, Compliance then often being perceived as required obedience. But the company itself expresses a will that is autonomous from that of the Legislator, the vocabulary of self-regulation and/or ethics being used in this perspective, because it affirms that it devotes forces to taking into consideration the situation of others when it would not be compelled to do so, but that it does so nonetheless because it cares about them. However, the management of reputational risks and the value of bonds of trust, or a suspicious reading of managerial choices, lead us to say that all this is merely a calculation.

Thus, the first part of the contribution sets out to identify the Compliance Obligation by recognising the role of all these different sources. The second part emphasises that, in monitoring the proper performance of technical compliance obligations by Managers, Regulators and Judges, insofar as they implement the Compliance Obligation, it is pointless to limit oneself to a single source or to rank them abruptly in order of importance. The Compliance Obligation is part of the very definition of Compliance Law, built on the political ambition to achieve these Monumental Goals of preserving systems - banking, financial, energy, digital, etc. - in the future, so that human beings who cannot but depend on them are not crushed by them, or even benefit from them. This is the teleological yardstick by which the Compliance Obligation is measured, and with it all the secondary obligations that give it concrete form, whatever their source and whatever the reason why the initial standard was adopted.

________

► Full Reference: O. Douvreleur,  "Compliance and Judge ruling only on points of Law", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published. 

___

► Article Summary (done by the Journal of Regulation): Compliance maintains with the judge complex relations, and even more with the judge ruling only on points of Law  (in France, the Court de Cassation in the judicial order, the one who, in principle, does not know the facts that he leaves to the sovereign appreciation of the judges ruling on the substance of the disputes. At first glance, compliance is a technique internalised in companies and the place occupied by negotiated justice techniques leave little room for intervention by the judge ruling only on points of Law

However, his role is intended to develop, in particular with regard to the duty of vigilance or in the articulation between the different branches of Law when compliance meets Labor Law, or even in the adjustment between American Law and the other legal systems, especially French legal system. The way in which the principle of Proportionality will take place in Compliance Law is also a major issue for the judge ruling only on points of Law.

____

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

________

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

____

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

____

► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): 

The contribution describes "les changements de philosophie du droit que la notion de compliance peut impliquer par rapport à la représentation moderne de l’Etat assurant l’effectivité des lois issues de la volonté générale, dans le respect des libertés fondamentales qui constituent l’essence du sujet de droit." ("the changes in legal philosophy that the notion of Compliance may imply in relation to the modern representation of the State ensuring the effectiveness of laws resulting from the general will, while respecting the fundamental freedoms that constitute the essence of the subject of law").

The contributor believes that the definition of Compliance is due to authors who « jouer un rôle d’éclairage et de structuration d’un vaste ensemble d’idées et de phénomènes précédemment envisagés de manière disjointe.  Pour ce qui nous occupe, c’est sûrement le cas de la théorie de la compliance, développée en France par Marie-Anne Frison-Roche dans la lignée de grands économistes (Jean-Jacques Laffont, Jean Tirole) et dont la première forme résidait dans les travaux bien connus de la Professeure sur le droit de la régulation. » ( "play a role in illuminating and structuring a vast set of ideas and phenomena previously considered in a disjointed manner.  For our purposes, this is certainly the case with the theory of Compliance, developed in France by Marie-Anne Frison-Roche in the tradition of great economists (Jean-Jacques Laffont, Jean Tirole) and whose first form was in her well-known work on Regulatory Law").

Drawing on the Principles of the Law of the American Law Institute, which considers compliance to be a "set of rules, principles, controls, authorities, offices and practices designed to ensure that an organisation conforms to external and internal norms", he stresses that Compliance thus appears to be a neutral mechanism aimed at efficiency through a move towards Ex Ante. But he stresses that the novelty lies in the fact that it is aimed 'only' at future events, by 'refounding' and 'monumentalising' the matter through the notion of 'monumental goals' conceived by Marie-Anne Frison-Roche, giving rise to a new jus comune. Thus, "la compliance c’est l’idée permanente du droit appliquée à de nouveaux contextes et défis." ("Compliance is the permanent idea of Law applied to new contexts and challenges"). 

So it's not a question of making budget savings, but rather of continuing to apply the philosophy of the Social Contract to complex issues, particularly environmental issues. 

This renews the place occupied by the Citizen, who appears not only as an individual, as in the classical Greek concept and that of Rousseau, but also through entities such as NGOs, while large companies, because they alone have the means to pursue the Compliance Monumental Goals, would be like "super-citizens", something that the digital space is beginning to experience, at the risk of the individuals themselves disappearing as a result of "surveillance capitalism". But in the same way that thinking about the Social Contract is linked to thinking about capitalism, Compliance is part of a logical historical extension, without any fundamental break: "C’est le développement et la complexité du capitalisme qui forcent à introduire dans les entités privées des mécanismes procéduraux d’essence bureaucratique, pour discipliner les salariés, contenir les critiques internes et externes, soutenir les managers en place" ("It is the development and complexity of capitalism that forces us to introduce procedural mechanisms of a bureaucratic nature into private entities, in order to discipline employees, contain internal and external criticism, and support the managers in place") by forcing them to justify remuneration, benefits, and so on.

Furthermore, in the words of the author, "Avec les buts monumentaux, - la prise en compte des effets lointains, diffus, agrégés par delà les frontières, de l’intérêt des générations futures, de tous les êtres vivants - ,  on passe, pour ainsi dire, à une dimension industrielle de l’éthique, que seuls de vastes systèmes de traitement de l’information permettent d’envisager effectivement." ("With the Monumental Goals - taking into account the distant, diffuse effects, aggregated across borders, the interests of future generations, of all living beings - we move, so to speak, to an industrial dimension of ethics, which only vast information processing systems can effectively envisage").

This is how we can find a division between artificial intelligence and human beings in organisations, particularly companies, or in decision-making processes.

In the same way, individual freedom does not disappear with Compliance, because it is precisely one of its monumental goals to enable individuals to make choices in a complex environment, particularly in the digital space where the democratic system is now at stake, while technical mechanisms such as early warning will revive the right to civil disobedience, invalidating the complaint of "surveillance capitalism".

The author concludes that the stakes are so high that Compliance, which has already overcome the distinctions between Private and Public Law and between national and international law, must also overcome the distinction between Information and secrecy, particularly in view of cyber-risks, which requires the State to develop and implement non-public Compliance strategies to safeguard the future.

____

🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses

________

► Référence complète : S. Manacorda, "La dynamique des programmes de conformité des entreprises : déclin ou transfiguration du droit pénal des affaires ?", in A. Supiot (dir.), L'entreprise dans un monde sans frontières. Perspectives économiques et juridiques, coll. "Les sens du droit", Dalloz, 2015, p. 191-208.

____

► Résumé de l'article : 

____

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

________

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

____

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

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

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

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

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

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

____

📕read the general presentation of the book, L'obligation de Compliance, in which this contribution is published

________

► Full Reference: A. Nicollet, "La charge du devoir de vigilance sur les entreprises s'inscrivant dans les chaines de valeur(The burden of Vigilance Duty on companies in value chains​)", in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2025, to be published.

____

📕read a general presentation of the book, L'Obligation de Compliance, in which this article is published 

____

► English summary of this contribution : This article identifies the factors that lead to companies being held liable under the Vigilance Duty for which they are responsible. The first element is the notion of "chain", a new concept for the Law that has been incorporated into the legal system (I). This may be explicit or implicit, referring to the value chain, the activity chain or the supply chain. These vocabulary variations, depending on the texts and national laws, are aimed at cases where there is no overlap, but the duty of vigilance is transparently aimed at the value chain of which the others are part. The concept of the "chain" could therefore play an increasingly important role in Economic Law, in that it is its very existence that gives rise to a duty of vigilance on the part of the company that governs the structure of the chain.

The second part of the article shows that this Vigilance Duty places a shared burden on the companies in the chain. Indeed, while the company that is the master, either through corporate techniques or because it governs the structure of the chain more factually, must always fulfill this obligation, the companies along the chain cannot be relieved of it. The burden is cumulative, as stated in German legal system, but this principle should be generalised: performance may be joint, articulated, and performance by one may presume performance by the other, the obligation of the other may be performed by the other, but this does not amount to exemption. This concept allows for a global group policy without destroying the effectiveness of the Compliance Obligation.

Indeed, and this is the third part of the article, Liability is cumulative. The master company's liability is personal and it must not be able to shirk it. The companies in the value chain, while benefiting from a presumption of conformity by the very fact of the chain phenomenon and the multiple contracts and corporate shareholdings that structure it, are also liable if they fail in their Duty of Vigilance. National legislation varies widely in terms of the extent of liability incurred, with some not addressing the issue at all while others go into great detail, but they are not intended to call this principle into question.

________

🌐suivre Marie-Anne Frison-Roche sur LinkedIn

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

🌐s'abonner à la Newsletter Surplomb, par MAFR

____

► Référence complète : M.-A. Frison-Roche, "Qui est en charge de rendre effectif le dispositif de Compliance ? Plutôt l'entreprise ou plutôt l'Autorité publique ? Exemple des données : CE, 27 janvier 2025, B. c/ CNIL", in série de vidéos Surplomb, 8 févroer 2025

____

🌐visionner sur LinkedIn cette vidéo de la série Surplomb

____

🌐visionner sur LinkedIn cette vidéo de la série Surplomb, publiée dans la Newsletter Surplomb, par MAFR

____

🚧lire le document de travail bilingue sur la base duquel cette vidéo a été élaborée

____

► Résumé de ce Surplomb : Dans sa décision du 27 janvier 2025, le Conseil d'État eut à apporter une solution à un cas que les règles de Compliance applicable en matière de données n'avaient pas expressément prévu. Une personne qui estime qu'une autre a méconnu ses obligations imposées par le RGPD peut-elle saisir la CNIL et non pas le responsable de traitement ?

Le Conseil d'Etat estime que la question est claire, qu'il n'est pas utile de poser une question préjudicielle à la CJUE. En effet, les textes imposent à celui qui allègue la méconnaissance de son droit de se tourner d'abord vers le responsable du traitement pour que l'information soit effacée avant de saisir dans un second temps la CNIL. En outre, il s'agissait en l'espèce d'informations personnelles insérées par des médecins dans un rapport d'expertise versé dans une instance judiciaire. Le Conseil d'Etat approuve la CNIL d'avoir estimé qu'elle n'a pas à contrôler et à apprécier les éléments de preuve, ce qui relève de l'office du juge judiciaire.

L'on mesure ici que, si par ailleurs sur la base du droit d'alerte la saisine d'autorités administratives peut être directe, ici le spécifique l'emporte sur le général, l'esprit de la loi confiant la préservation directe des droits au responsable du traitement, la CNIL ne devant venir dans son office de supervision et de hashtag#sanction que dans un second stade. Cela illustre ce qu'est le Droit de la Compliance d'une façon plus générale, qui repose en premier lieu sur les opérateurs eux-mêmes. En outre, creuset de droits subjectifs divers, ici droit à l'hashtag#effacement mais aussi droit de verser des preuves aux débats, le Conseil d'Etat souligne que c'est ici l'office du juge judiciaire de veiller à la loyauté des débats.

____

🎬visionner ci-dessous cette vidéo de la série Surplomb⤵️

____

Surplomb, par mafr

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

🌐suivre Marie-Anne Frison-Roche sur LinkedIn

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

🌐s'abonner à la Newsletter en vidéo MAFR Surplomb/Overhang

____

► Full Reference: M.-A. Frison-Roche, "Compliance" et "conformité" : les distinguer/mieux les articuler afin que le DPO trouve sa juste place" ("Compliance Law" and "conformity" : distinguish between them/better articulate them so that the DPO finds their rightful place"), , in  Association française des correspondants à la protection des données à caractère personnel (AFCDP),  19ème Université AFCDP des DPO - La gouvernance des données ("Data Governance"), Maison de la Chimie, Paris, 7 February 2025 , 10h-10h45.

____

🧮 see this manifestation full program (in French)

____

⬜ see les slides on which this conference is done (in French) 

____

► English Presentation of this conference: 'Compliance' and 'conformité' are often considered to be synonymous, notably in French in which the term "Compliance" is so often used to express only the "conformity" (conformité). This is a misunderstanding and a reduction, particularly of the role of professionals, notably DPOs. In fact, 'conformity' consists solely of ensuring that regulations are respected. Of course, an"active" conformity and "proven" conformity with these regulations, in particular the European GDPR. That and only that.

If that's the case, then on the one hand this task impossible, because no one can comply with all the regulations, and it's the obsession with avoiding or reducing penalties that actually replaces the desire to do the right thing. On the other hand, algorithms are going to replace the DPO, a human being, because algorithms will identify 'non-conformity', then conformity, then write it down by "smart" contracts.

But Compliance Law is more than conformity, which is only one of its tools. Compliance Law aim is to protect the human beings involved in the systems. Data protection is one of the best examples of this, and it underpins all the other areas of Compliance Law. Companies are asked to do less (obligation of means) and more: to help protect, by distinguishing between what must be revealed and what must be kept secret, sometimes to resolve conflicts between the 2 prescriptions, to educate, to make alliances.

To built a real "governance". In this human and humanist mission that anchors Europe, the algorithm is flat. We are waiting for the DPO. In this human and humanist mission that anchors Europe, the algorithm is flat. We are waiting for the DPO. There is the role of guardian of the spirit of the texts, of strategic aid for the data controller, of adjuster of complementary or contradictory subjective rights, of adjustment of the texts in the European puzzle of a Regulatory Europe, which is being put in place in the humanist tradition which is its own to preserve the durability of the systems to protect the people who are forcibly or voluntarily involved in them.

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR. Regulation, Compliance, Law

🌐subscribe to the Video Newsletter MAFR. Overhang / Surplomb

____

► Full Reference: M.-A. Frison-Roche, "Monumental Goals, normative anchoring of Compliance Law", in Series of videos Overhang / Surplomb, 1st February 2025

____

🌐watch on LinkedIn this video of the Series Surplomb/Overhang

____

🌐watch on LinkedIn this video of the Serie Surplomb/Overhang, published in the Newsletter Surplomb/Overhang, by MAFR

____

🎬watch below this video of the Serie Surplomb/Overhang⤵️

____

Surplomb/Overhang, by mafr

the Serie of videos dedicated to Regulation, Compliance and Vigilance

🌐suivre Marie-Anne Frison-Roche sur LinkedIn

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

🌐s'abonner à la Newsletter Surplomb, par MAFR

____

► Référence complète : M.-A. Frison-Roche, "Les contours géographiques de la Compliance", in série de vidéos Surplomb, 20 décembre 2024

____

🌐visionner sur LinkedIn cette vidéo de la série Surplomb

____

🌐visionner sur LinkedIn cette vidéo de la série Surplomb, publiée dans la Newsletter Surplomb, par MAFR

____

🎬visionner ci-dessous cette vidéo de la série Surplomb⤵️

____

Surplomp, par mafr

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

🌐suivre Marie-Anne Frison-Roche sur LinkedIn

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

🌐s'abonner à la Newsletter Surplomb, par MAFR

____

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

____

🌐visionner sur LinkedIn cette vidéo de la série Surplomb

____

🌐visionner sur LinkedIn cette vidéo de la série Surplomb, publiée dans la Newsletter Surplomb, par MAFR

____

🎬visionner ci-dessous cette vidéo de la série Surplomb⤵️

____

Surplomp, par mafr

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

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR. Regulation, Compliance, Law

🌐subscribe to the Newsletter Surplomb, par MAFR

____

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

____

💬read the interview (in French)

🌐its  présentation on LinkedIn (in French)

____

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

____

► Questions asked, Answers given: 

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

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

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

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

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

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

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

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

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

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

________

🌐follow Marie-Anne Frison-Roche sur LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law 

🌐subscribe to the Video Newsletter MAFR Overhang/Surplomb

____

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

____

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

the video Overhang👁 of  the 1st February 2025: click HERE

____

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

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

____

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

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

Their systemic nature gives rise to Systemic Litigation.

____

🔓read the developments below⤵️

► Référence complète : C. Letoublon, "Responsabilité sociale et environnementale des entreprises multinationales : le devoir de diligence et la protection de l’environnement",  L. Boisson de Chazournes dir.), L’Effectivité du droit international face à l’urgence écologique, Collège de France, 2024, pp. 127-146.

____

📝cet article est en libre accès : lire l'article

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche, "Pourquoi les textes et la pratiques sur le rapport de durabilité vont engendrer un Contentieux Systémique" ("Why the texts and practices on sustainability reporting will give rise to Systemic Litigation"), in Le rapport de durabilité : obligation et Contentieux Systémiques Émergents (The Sustainability Report: Emerging Systemic Obligation and Litigation), in cycle of conference-debates "Contentieux Systémique Émergent" ("Emerging Systemic Litigation"), organised on the initiative of the Cour d'appel de Paris (Paris Cour of Appeal), with the Cour de cassation (French Court of cassation), the Cour d'appel de Versailles (Versailles Court of Appeal), the École nationale de la magistrature - ENM (French National School for the Judiciary) and the École de formation des barreaux du ressort de la Cour d'appel de Paris - EFB (Paris Bar School), under the scientific direction of Marie-Anne Frison-Roche, September 19, 2024, 11h-12h30, Cour d'appel de Paris, Cassin courtroom

____

🧮see the full programme of this event

____

► English summary of the conference: Systemic Litigation refers to a specific category whose proposed category in 2021 refers to "cases" brought before the courts, sometimes specialised, sometimes under ordinary law courts: these are cases in which not only are the parties involved in their dispute but also a system is itself involved, with the procedure and the judge having to allow the interests of the system to be taken into consideration.

However, what is also the subject of new terminology, namely the "Sustainability Report", reflects the same legal revolution: the company must be able to assess not only its economic and financial performance, which is the subject of accounting, but also its development in terms of what it does externally in terms of ESG and what the outside world does about it.

In this perspective, the whole Information System is being transformed, and in different ways depending on the standards adopted, in the United States, Europe or elsewhere, either it is sufficient to obtain Information, no more, so that third parties can adjust their behaviour, mainly investments, or, as in Europe, Law includes a more substantial perspective, so that the company itself adjusts its own behaviour, its Governance, its position in the world, in a renewed relationship with its stakeholders. In Europe, saying and doing are intertwined, CSRD being twinned with CS3D.

Moreover, we can therefore consider that non-financial information, through the sustainability report, its assurance of credibility and the regulation of the audit carried out on it, is itself a system.

The sustainability report, inside the sustainability system, is then interwoven with other systems, which are themselves the subject of Emerging Systemic Litigation: firstly Vigilance, which has been studied as a field of systemic litigation, and then artificial intelligence field, which has been studied in the same way.

The Sustainability Report, insofar as it intersects with the sustainability obligation implied by the duty of Vigilance, may be attracted to the Systemic Litigation to which Vigilance gives rise. In the same way, algorithms can be a tool for data accumulating and matching ESG criteria, which could have the same attraction effect. If this happens, this dimension will have to be present and understood, for example through amici curiae mechanism, in conjunction with the Regulators and the professions concerned.

In addition, as in any emerging mechanism, and as we have seen for example in relation to rating agencies, Tort Law may interfere if the liability of either the company or the person who carried out the audit were to be appreciated, the systemic perspective then having to be integrated into the handling of the case, even before the non-specialised judge.

________