Sept. 23, 2021
Thesaurus : Doctrine
► Full Reference: S. Scemla & D. Paillot, "The difficulty for Compliance Enforcement Authorities to comprehend the Rights of the Defence in compliance matters", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, coll. "Compliance & Regulation", to be published.
____
📘read a general presentation of the book, Compliance Jurisdictionalisation, in which this article is published
____
► Summary of the article (done by the Authors): 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.
____
🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses
__________
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
_____
🎥 Watch the interview, as broadcast on Xerfi Canal channels.
🎥Watch the interview enhanced with French subtitles
____
►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.
Aug. 16, 2021
Publications
► Full Reference: Frison-Roche, M.-A, Reinforce the judge and the lawyer to impose Compliance Law as a characteristic of the Rule of Law, Working Paper, August 2021.
____
🎤 this working document has been made to prepare some elements of the opening intervention in the symposium Quels juges pour la Compliance) ? (Which judges for Compliance?), co-organized by the Journal of Regulation & Compliance and the Institut Droit Dauphine, held at the Paris Dauphine University on September 23, 2021, constituting the first part of the intervention.
____
📝it has been also the basis for an article:
📕 published in its French version in the book La juridictionnalisation de la Compliance, in the collection📚Régulations & Compliance
📘published in its English version in the book Compliance Jurisdictionalisation, in the collection 📚Compliance & Regulation
____
► Summary of the Working Paper: 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📎
Even more so, Compliance Law only takes its sense from its Monumental Goals📎
____
🔓read the Working Paper developments below⤵️
L’empire chinois n’a semble-t-il jamais apprécié les juges, ne leur faisant place que sous la forme de serviteurs purs de l’Etat, qu’ils soient des enquêteurs, des punisseurs et de gardiens de l’ordre public. Sur cet aspect du Droit chinois, v. … ; sur cette période particulièrement sanglante des légistes, où le principe de « certitude » de la législation a été portée à ses nues, v. …
🕴️Frison-Roche, M.-A. (ed.), 📘Compliance Monumental Goals, 2022.
The topic of this study is general. For a more analytical perspective, s.. 🕴️Frison-Roche, M.-A., « The function of the Judge in Compliance Law », in 🕴️Frison-Roche, M.A. (ed.), 📘Compliance Jurisdictionalisation, 2023.
🕴️Frison-Roche, M.-A. (ed.), 📘Compliance Tools, 2021.
March 18, 2021
Thesaurus : Doctrine
Feb. 9, 2021
Conferences
Full reference : Frison-Roche, M.-A., Devoir de vigilance des entreprises : vers un Droit de la responsabilité ex ante ? (Duty of vigilance for companies: towards an ex ante liability law?), conference-debate, The Faculty of Law, University of Oslo, Norway, 9th of February 2021.
The conference-debate is moderated by Catherine Banet, Associate Professor, Scandinavian Insitute of Maritime Law, Department of Energy and Resources Law, University of Oslo
Dec. 10, 2020
Thesaurus : Doctrine
Full reference: Gallois, J., Responsabilité pénale de la société absorbante pour des faits commis par la société absorbée (Criminal liability of the acquiring company for acts committed by the absorbed company), Dalloz Actualités, 10th of December 2020
Read the decision of the Cour de Cassation commented in this article
Dec. 8, 2020
Thesaurus : Doctrine
► Référence complète : I. Parachkevova-Racine, "L'entreprise", in J.-B. Racine (dir.), Le droit économique au XXIe siècle. Notions et enjeux, LGDJ, coll. "Droit & Économie", 2020, pp. 275-299
____
📕consulter une présentation générale de l'ouvrage, Le droit économique au XXIe siècle. Notions et enjeux, dans lequel cet article est publié
____
► Résumé de l'article :
____
🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche
________
Dec. 8, 2020
Thesaurus : Doctrine
► Référence complète : G. J. Martin, "L'environnement", in J.-B. Racine (dir.), Le droit économique au XXIe siècle. Notions et enjeux, LGDJ, coll. "Droit & Économie", 2020, pp. 319-348
____
📕consulter une présentation générale de l'ouvrage, Le droit économique au XXIe siècle. Notions et enjeux, dans lequel cet article est publié
____
► Résumé de l'article :
____
🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche
________
Dec. 8, 2020
Thesaurus : Doctrine
► Référence complète : G. C. Giorgini, "L'entreprise en difficulté", in J.-B. Racine (dir.), Le droit économique au XXIe siècle. Notions et enjeux, LGDJ, coll. "Droit & Économie", 2020, pp. 301-317
____
📕consulter une présentation générale de l'ouvrage, Le droit économique au XXIe siècle. Notions et enjeux, dans lequel cet article est publié
____
► Résumé de l'article :
____
🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche
________
Nov. 30, 2020
Thesaurus : Soft Law
Full reference: Chapron, J.-P., Dubost, C. and Imalhayene, F., Labels RSE. Accompagner les entreprises et donner confiance à leurs parties prenantes (CSR labels. Support companies and give confidence to their stakeholders), Report submitted to the French Minister of Economy and Finances, 30th of November 2020, 81p.
Sept. 28, 2020
Thesaurus : Soft Law
Full reference: Giuliani-Viallard, A., The Europe of Compliance, at the heart of tomorrow's world. For a transformation of our European businesses and the upturn in their international competitiveness, European Issue, n°572, policy paper from the Robert Schuman Foundation, 28th of September 2020, 3 p.
Aug. 20, 2020
Thesaurus : Doctrine
► Référence complète : Dreyfuss, S., Remplacer la culture de la corruption par une culture de la compliance : l’Europe prend ses responsabilités pour son propre avenir, Le Grand Continent, août 2020.
____
March 18, 2020
Publications
Référence générale : Frison-Roche, M.-A., L'avocat, porteur de conviction dans le nouveau système de Compliance, Dalloz Avocat, mars 2020.
This editorial opens a thematic collective publication about Compliance.
A synthetic article on all the contributions, published in May 2020, mirrors it: "Attorney and Compliance - The future of the character and his tool: Law, Humanism and Defense"
_____
English Summary of the article (written in French) :
If we perceive Compliance Law as an aggression of the private company and a binding set of mechanisms that have no meaning and added value for it, then the attorney has a utility: to defend the business. It can do so not only during the sanctions phase, but also to prevent it.
But this function is not central.
He and she becomes so if we understand Compliance Law as being a body of substantial rules, pursuing a "monumental goal": the protection of the person, goal injected by political bodies and taken up by the operator. From this, the company must convince everyone to take it back, inside the company and outside. In a general and contradictory debate, the attorney carries this conviction, because he and shed is always convincing those who in the end judge (market, public opinion, etc.) that is their raison d'être.
____
Oct. 24, 2019
Thesaurus : 05.1. CEDH
Full reference: CEDH, 24th of October 2019, Carrefour France v. France, n°21488/14
Read the press release (in French)
Summary of the decision
In this decision, the ECHR convicts Carrefour France to a civil fine for practices restricting competition committed by the company Carrefour hypermarkets France, dissolved and absorbed by its sole shareholder Carrefour France after the facts.
Updated: Sept. 5, 2019 (Initial publication: April 30, 2019)
Publications
♾️ follow Marie-Anne Frison-Roche on LinkedIn
♾️subscribe to the Newsletter MAFR Regulation, Compliance, Law
____
► Full Reference: M.-A. Frison-Roche, L'apport du Droit de la Compliance dans la Gouvernance d'Internet (The contribution of Compliance Law to the Internet Governance), Report asked by the French Government, published the 15th of July 2019, 139 p.
___
► Report Summary. Governing the Internet? Compliance Law can help.
Compliance Law is for the Policy Maker to aim for global goals that they require to be achieved by companies in a position to do so. In the digital space built on the sole principle of Liberty, the Politics must insert a second principle: the Person. The respect of this One, in balance with the Freedom, can be required by the Policy Maker via Compliance Law, which internalises this specific pretention in the digital companies. Liberalism and Humanism become the two pillars of Internet Governance.
The humanism of European Compliance Law then enriches US Compliance law. The crucial digital operators thus forced, like Facebook, YouTube, Google, etc., must then exercise powers only to better achieve these goals to protect persons (against hatred, inadequate exploitation of data, terrorism, violation of intellectual property, etc.). They must guarantee the rights of individuals, including intellectual property rights. To do this, they must be recognized as "second level regulators", supervised by Public Authorities.
This governance of the Internet by Compliance Law is ongoing. By the European Banking Union. By green finance. By the GDPR. We must force the line and give unity and simplicity that are still lacking, by infusing a political dimension to Compliance: the Person. The European Court of Justice has always done it. The European Commission through its DG Connect is ready.
► 📓 Read the reporte (in French)
📝 Read the Report Summary in 3 pages (in English)
📝 Read the Report Summary in 6 pages (in English)
____
► Plan of the Report (4 chapters): an ascertainment of the digitization of the world (1), the challenge of civilization that this constitutes (2), the relations of Compliance mechanisms as it should be conceived between Europe and the United States, not to mention that the world is not limited to them, with the concrete solutions that result from this (3) and concrete practical solutions to better organize an effective digital governance, inspired by what is particularly in the banking sector, and continuing what has already been done in Europe in the digital field, which has already made it exemplary and what it must continue, France can be force of proposal by the example (4).
____
📝 Read the written presentation of the Report done by Minister Cédric O (in French).
____
💬 Read the interview published the 18 July 2019 : "Gouvernance d'Internet : un enjeu de civilisation" ( "Governing Internet: an Issue of Civilization"), given in French,
📻 Listen the Radio broadcast of July 21, 2019 during which its consequences are applied to the cryptocurrency "Libra" (given in French)
🏛 Presentation of the Report to the Conseil Supérieur de l'Audiovisuel- CSA (French Council of Audiovisual) on Septembre 5, by a discussion with its members presentation (in French)
💬 Read the Interview published the 20 December 2019 : "Le droit de la compliance pour réguler l'Internet" ("Compliance Law for regulate Internet"), given in French
____
read below the 54 propositions of the Report ⤵️
Aug. 30, 2019
Thesaurus : Doctrine
Référence complète : Dufour, O., L'avocat en entreprise enfin pour demain ?, in Les Petites affiches, n°173-174, août 2019, 4 p.
Résumé par l'auteur : Le rapport du député Raphaël Gauvain intitulé "Rétablir la souveraineté de la France et de l'Europe et protéger nos entreprises des lois et mesures à portée extraterritoriale" recommande de créer un statut d'avocat en entreprise. Quelles sont les chances de trouver une solution à ce problème de confidentialité qui dure depuis 40 ans ?
Les étudiants de Sciences po peuvent consulter l'article via le Drive, dossier "MAFR - "Regulation & Compliance"
June 26, 2019
Thesaurus : Soft Law
Référence complète : Gauvain, R., Rétablir la souveraineté de la France et de l'Europe et protéger nos entreprises des lois et mesures à portée extraterritoriale, Rapport à la demande du Premier Ministre Monsieur Edouard Philippe, Assemblée nationale, juin 2019, 102 p.
May 29, 2019
Thesaurus : Doctrine
► Référence complète : J.-J. Daigre, "Compliance, entreprise et Europe" ("Compliance, company and Europe"), in M.-A. Frison-Roche (ed.), Pour une Europe de la Compliance, series "Régulations & Compliance", Dalloz, 2019, p. 61-64.
____
📕read a general presentation of the book, Pour une Europe de la Compliance, in which this article is published
____
► Summary of the article (done by the Journal of Regulation & Compliance):
🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses
________
May 29, 2019
Editorial responsibilities : Direction of the collection "Regulations & Compliance", JoRC & Dalloz
♾️ follow Marie-Anne Frison-Roche on LinkedIn
♾️ subscribe to the Newsletter MAFR Regulation, Compliance, Law
____
► Full Reference: M.-A. Frison-Roche (ed.), Pour une Europe de la Compliance (For the Europe of the Compliance), series "Régulations & Compliance", Dalloz, 2019, 124 p.
____
This volume is the continuation of the books dedicated to Compliance in this collection.
📚Read the other books' presentations of the collection about Compliance:
🕴️M.-A. Frison-Roche (ed.), 📕La juridictionnalisation de la Compliance, 2023
🕴️M.-A. Frison-Roche (ed.), 📕Les Buts Monumentaux de la Compliance, 2022
🕴️M.-A. Frison-Roche (ed.), 📕Les outils de la Compliance, 2021
🕴️N. Borga, 🕴️J.-Cl. Marin &🕴️J.-Ch. Roda (ed.), 📕Compliance : l'Entreprise, le Régulateur et le Juge, 2018
🕴️M.-A. Frison-Roche (ed.), 📕Régulation, Supervision, Compliance, 2017
🕴️M.-A. Frison-Roche (ed.),📕 Internet, espace d'interrégulation, 2016
📚Read the presentations of the other titles of the collection.
____
► General presentation of the book: This book is written in French. The topic is : "For the Europe of the Compliance".
See below its general presentation in English.
The political dimension is intrinsic to the Compliance Law. Indeed, compliance mechanisms consist of internalizing in certains companies the obligation to implement goals of general interest set by Public Authorities. These public bodies control the Ex Ante reorganization that implies for these companies and punish Ex Post the possible structural inadequacy of these compagnies, becoming transparent for this purpose.
This new mode of governance establishes a continuum between Regulation, Supervision, Compliance (book published in 2017) and renew the links between Companies, Regulators and Judges!footnote-1600.
This political dimension must be increased: the Compliance Law of Compliance must today be used to build Europe.
One can observe not only the construction of the European Compliance Law, object-by-object, sector-by-sector, purpose-by-purpose, but also the construction of the European Compliance Law that transcends and unifies them. Becoming independent of American Law and ceasing to be in reaction, even on the defensive, the Compliance Law contributes to the European project, offering it a higher ambition, that Europe can carry and, by this way, can carry the Europe itself, not only to preserve the European economy from corruption or money laundering, but by claiming the protection of nature and human beings.
This is why the book describes the "reasons and objectives" of the Europe of the Compliance, which makes it possible to describe, detect and even predict the ways and means.
____
► Understand the book through the Table of Contents and the summaries of each article:
🕴️M.-A. Frison-Roche, 📝Avant propos
🕴️K. Lenaerts, 📝Le juge de l'Union européenne dans une Europe de la compliance
🕴️M.-A. Frison-Roche, 📝Un droit substantiel de la compliance, appuyé sur la tradition européenne humaniste
I. LES RAISONS ET LES OBJECTIFS D'UNE EUROPE DE LA COMPLIANCE (THE REASONS AND OBJECTIVES OF THE EUROPE OF THE COMPLIANCE)
🕴️X. Musca, 📝Construire une Europe de la compliance en donnant une meilleure place aux entreprises
🕴️P. Vimont, 📝La place de la diplomatie dans l'avancée d'une Europe de la compliance
🕴️P. Sellal, 📝Les vertus de la compliance : une réponse possible aux faiblesses de l'Union européenne ?
🕴️J.-J. Daigre, 📝Compliance, entreprise et Europe
II. LES VOIES ET MOYENS D'UNE EUROPE DE LA COMPLIANCE (THE WAYS AND MEANS OF THE EUROPE OF THE COMPLIANCE)
🕴️J.-Cl. Marin, 📝Quels outils pour la construction du droit de la compliance en Europe ?
🕴️M. Canto-Sperber, 📝La compliance et les définitions traditionnelles de la vertu
🕴️T. Bonneau, 📝Compliance et secteur bancaire et financier en Europe
🕴️C. Duchaine, 📝L'Agence française anticorruption, à l'appui de l'Europe de la compliance
🕴️D. Martin, 📝Les contraintes et les vertus de la compliance
🕴️A. de La Cotardière, 📝Construire une Europe de la compliance lisible pour les entreprises
________
May 29, 2019
Thesaurus : Doctrine
► Full Reference: X. Musca, "Construire une Europe de la compliance en donnant une meilleure place aux entreprises" ("Building the Europe of the Compliance by giving companies a greater role to play"), in M.-A. Frison-Roche (ed.), Pour une Europe de la Compliance, series "Régulations & Compliance", Dalloz, 2019, p. 39-47.
____
📕read a general presentation of the book, Pour une Europe de la Compliance, in which this article is published
____
► Summary of the article (done by the Journal of Regulation & Compliance):
🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses
________
May 29, 2019
Thesaurus : Doctrine
► Full Reference: A. de La Cotardière, "Construire une Europe de la compliance lisible pour les entreprises" ("Building the Europe of the Compliance that companies can understand"), in M.-A. Frison-Roche (ed.), Pour une Europe de la Compliance, series "Régulations & Compliance", Dalloz, 2019, p. 119-124.
____
📕read a general presentation of the book, Pour une Europe de la Compliance, in which this article is published
____
► Summary of the article (done by the Journal of Regulation & Compliance):
____
🦉This article is available in full text to those registered for Professor Marie-Anne Frison-Roche's courses
________
May 22, 2019
Thesaurus : 02. Lois
► Full reference: Loi n°2019-486 du 22 mai 2019 relative à la croissance et à la transformation des entreprises (Law of 22nd of May 2019 about growth and firms transformation) called "loi PACTE".
____
______
April 25, 2019
Thesaurus : Doctrine
Full reference : Ayed,W., Verdun,F., La fonction conformité anticorruption dans l’organisation selon l’Agence française anticorruption, in La semaine juridique, Entreprises et Affaires, JCP, E, LexisNexis, n°17-18/1206, 25 avril 2019, pp.38-44.
Sciences Po students can read the article via the drive, folder "MAFR - Régulation - Compliance"
Feb. 13, 2019
Thesaurus : Doctrine
Référence générale : Patrick Wajsman (dir.), Politique internationale, dossier spécial, Investissement responsable : l'essor, n°162, hiver 2018-2019, 119 p.
Consulter le sommaire de la Revue.
Consulter la présentation des entretiens suivants :
Boujnah, S., Places boursières : promouvoir un modèle européen.
Jensen, S., Norvège : exemple d'un fonds souverain éthique.
Ribera, T., Faciliter la transition écologique : ce que peut l'État.
Dec. 15, 2018
Thesaurus : Doctrine
► Référence complète : Kaleski, N., Les entreprises face au défi de l’anticorruption. La question de la création de valeur, Institut Friedland, déc. 2018.
____
________