Updated: Feb. 2, 2023 (Initial publication: March 31, 2021)

Thesaurus : Doctrine

 Full Reference: J.-B. Racine, "Compliance et Arbitrage. Essai de problématisation" ("Compliance and Arbitration : Problematisation", in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliancecoll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 265-279. 

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

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 The summary below describes an article that follows an intervention in the scientific manifestation Compliance et Arbitrage, co-organised by the Journal of Regulation & Compliance (JoRC) and the University Panthéon-Assas (Paris II). This conference was designed by Marie-Anne Frison-Roche and Jean-Baptiste Racine, scientific co-directors, and took place in Paris II University on March 31, 2021. 

In the book, the article will be published in Title II, devoted to: Compliance et Arbitrage.

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 Summary of the article (done by the author): Under the consideration of the "Compliance Juridictionalisation", it is necessary to study in the links between Compliance and Arbitration. The arbitrator is a judge, he is even the natural judge of international trade. Arbitration is therefore naturally intended to meet compliance which transforms the action of companies in an international context. However, the links between compliance and arbitration are not obvious. It is not a question of providing firm and definitive answers, but rather, and above all, of asking questions. We are at the start of reflection on this topic, which explains why there is, for the time being, little legal literature on the subject of the relationship between Compliance and Arbitration. It doesn't mean there aren't connections.  Quite simply, these relations may not have come to light, or they are in the making. We should research  the existing or potential bridges between two worlds that have long gravitated separately: Compliance on the one hand, Arbitration on the other. The central question is: is or can the arbitrator be a compliance judge, and, if so, how?

In any event, the Arbitrator is thus in contact with matters requiring the methods, tools and logic of Compliance. In addition to the prevention and suppression of corruption, three examples can be given.

  • Arbitration has been facing economic sanctions (notably embargoes) for several years. The link with Compliance is obvious, insofar as texts providing for economic sanctions are often accompanied by compliance mechanisms, as in the United States. The arbitrator is concerned as to the fate he reserves in the treatment of the dispute with the measures of economic sanctions.
  • Competition Law is a branch that came into contact with Arbitration from the end of the 1980s. The arbitrability of this type of dispute is now established and arbitrators apply it regularly. At the same time, Compliance has also entered Competition Law, admittedly more strongly in the United States than in France. The existence, absence or insufficiency of a compliance program aimed at preventing violations of the competition rules are thus circumstances which may assist the arbitrator in the assessment of anti-competitive behavior.
  • Environmental Law is also concerned. There is environmental Compliance, for example with regard to the French law of March 27, 2017 on the duty of vigilance. Companies are thus responsible for participating in the protection of the environment, by internalizing these concerns in their internal and external operations (in their sphere of influence). As soon as an arbitrator is in charge for settling a dispute relating to Environmental Law, the question of the relationship to Compliance, from this angle, naturally arises.

It is therefore the multiple interactions between Compliance and Arbitration, actual or potential, which are thus open.

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Feb. 2, 2023

Thesaurus : Doctrine

 Full Reference: O. Douvreleur, "Compliance et juge du droit" ("Compliance and Judge ruling only on points of Law"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliancecoll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 465-471. 

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📕read a general presentation of the book, La juridictionnalisation de la Compliancein which this article is published

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 Summary of the article (done by the Journal of Regulation & Compliance): 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.

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Feb. 2, 2023

Publications

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► Full Reference: M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, série "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, 490 p. 

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► Presentation of this book: Sanctions, controls, appeals, deals: judges and lawyers are everywhere in the Compliance mechanisms, creating unprecedented situations, sometimes without a solution yet available.  Even though Compliance was designed to avoid the judge and produce security by avoiding conflict. This jurisdictionalisation is therefore new. Forcing companies to prosecute and judge, a constrained role, perhaps against their nature. Leading to the adaptation of major procedural principles, with difficulty. Confronting arbitration with new perspectives. Putting the judge at heart, in mechanisms designed so that he is not there. How in practice to organize these opposites and anticipate the solutions? This is the challenge taken up by this book.

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📘 In parallel, the English version of this book, Compliance Jurisdictionalisation, is published in the series co-published by the Journal of Regulation & Compliance (JoRC) and Bruylant. 

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🧮 This book comes after a cycle of colloquia organised in 2021 by the Journal of Regulation & Compliance (JoRC) and its Academic Partners.

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This volume is the continuation of the books dedicated to Compliance in the collection "Régulations & Compliance", founded and managed by Marie-Anne Frison-Roche, copublished by the Journal of Regulation & Compliance (JoRC) and Dalloz.

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🏗️ General construction of this book:

The book begins by a double Introduction, the first (in free access) summarizing the book, the second, substantial, relating to the need to reinforce the Judge and the Lawyer to impose the Compliance Law as a characteristic of the Rule of Law. 

The first Part is devoted to what is specific to Compliance Law. of Compliance: the transformation of companies into Prosecutors and Judges of themselves, even of others.

The second Part relates to Compliance general procedural Law, the procedure being the way between the dispute and the judgement. 

The third Part continues this journey to the judge and aims to measure the influence of the reasoning and requirements of Compliance Law in dispute resolution methods where it was not, with some exceptions, present, but where it has a great future: Arbitration.

Because trial and judicial decision are inseparable, because legal techniques and the Rule of Law should not be divided but compliance techniques could paradoxically be the weapon of their dissociation, because the power to judge and the procedures surrounding the latter must not be dissociated, because therefore Compliance mechanisms and the Rule of Law must be thought out and practiced then, the rise in power of one must be the sign of the rise in power of the other, and not the price of the 'weakening of the Rule of Law, the fourth Part relates to the Judges in the Compliance mechanisms and culture. 

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► Read in free access the article: M.A. Frison-Roche, "Lignes de force de l'ouvrage La Juridictionnalisation de la Compliance" (Lines of Forces of the book La juridictionnalisation de la Compliance).

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Read below the summaries of each contribution of the book⤵️

Feb. 2, 2023

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 

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Full Reference: M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, série "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, 490 p. 

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► This book in few words: Sanctions, controls, appeals, deals: judges and lawyers are everywhere in the Compliance mechanisms, creating unprecedented situations, sometimes without a solution yet available.  Even though Compliance was designed to avoid the judge and produce security by avoiding conflict. This jurisdictionalisation is therefore new. Forcing companies to prosecute and judge, a constrained role, perhaps against their nature. Leading to the adaptation of major procedural principles, with difficulty. Confronting arbitration with new perspectives. Putting the judge at heart, in mechanisms designed so that he is not there. How in practice to organize these opposites and anticipate the solutions? This is the challenge taken up by this book.

____

📘 In parallel, the English version of this book, Compliance Jurisdictionalisation, is published in the series co-published by the Journal of Regulation & Compliance (JoRC) and Bruylant. 

____

📅  This book comes after a  cycle of colloquia organised in 2021 by the Journal of Regulation & Compliance (JoRC) and its Academic Partners.

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This volume is the continuation of the books dedicated to Compliance in this collection.

► Read the presentations of the other books on Compliance in this collection:

  • further books:

🕴️M.A. Frison-Roche (ed.), 📕Le système probatoire de la compliance, 2025

🕴️M.A. Frison-Roche (ed.), 📕L'obligation de compliance, 2024

🕴️M.A. Frison-Roche et M. Boissavy (ed.), 📕Compliance & droits de la défense. Enquête interne - CJIP - CRPC, 2023

 

  • previous books :

🕴️Frison-Roche, M.-A. (ed.), 📕 Les buts monumentaux de la Compliance, 2022

🕴️Frison-Roche, M.-A. (ed.), 📕 Les outils de la Compliance2020

🕴️Frison-Roche, M.-A. (ed.), 📕 Pour une Europe de la Compliance2019

🕴️N. Borga, N., 🕴️J.-Cl. Marin & 🕴️J.-Ch. Roda (ed.), 📕 Compliance : Entreprise, Régulateur, Juge, 2018

🕴️Frison-Roche, M.-A. (ed.), 📕 Régulation, Supervision, Compliance2017

🕴️Frison-Roche, M.-A. (ed.), 📕 Internet, espace d'interrégulation, 2016

 

📕 Read the presentations of the other titles of the collection.

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► General presentation of the book: There have always been Judges and Lawyers in Compliance Law, because this branch of Law is an extension of Regulatory Law in which they have a core place. This results from the fact that the decisions taken in respect of Compliance are contestable in Court, including Arbitration, those issued by the Company, such as those of States or Authorities, the Judge in turn becoming what Compliance Law is effective.

The novelty lies more in the phenomenon of "jurisdictionalisation", that is the trial model penetrates all Compliance Law, and not only the Ex-Post part that it includes. Moreover, it seems that this jurisdictionalisation influences the non-legal dimension of Compliance. This movement has effects that must be measured and causes that must be understood. Advantages and disadvantages that must be balanced. If only to form an opinion vis-à-vis Companies that have become Prosecutors and Judges of themselves and others ...: encourage this "Jurisdictionalisation of Compliance", fight it, perhaps influence it? In any case, understand it!

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🏗️ General construction of this book:

The book begins by a double Introduction, the first (in free access) summarizing the book, the second, substantial, relating to the need to reinforce the Judge and the Lawyer to impose the Compliance Law as a characteristic of the Rule of Law. 

The first Part is devoted to what is specific to Compliance Law. of Compliance: the transformation of companies into Prosecutors and Judges of themselves, even of others.

The second Part relates to Compliance general procedural Law, the procedure being the way between the dispute and the judgement. 

The third Part continues this journey to the judge and aims to measure the influence of the reasoning and requirements of Compliance Law in dispute resolution methods where it was not, with some exceptions, present, but where it has a great future: Arbitration.

Because trial and judicial decision are inseparable, because legal techniques and the Rule of Law should not be divided but compliance techniques could paradoxically be the weapon of their dissociation, because the power to judge and the procedures surrounding the latter must not be dissociated, because therefore Compliance mechanisms and the Rule of Law must be thought out and practiced then, the rise in power of one must be the sign of the rise in power of the other, and not the price of the 'weakening of the Rule of Law, the fourth Part relates to the Judges in the Compliance mechanisms and culture. 

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DOUBLE INTRODUCTION

🕴️M.-A. Frison-Roche, 📝Lignes de force de l'ouvrage La juridictionnalisation de la Compliance free access to the full text 

🕴️M.A. Frison-Roche, 📝Conforter le rôle du Juge et de l'Avocat pour imposer la Compliance comme caractéristique de l'État de Droit

 

I. L'ENTREPRISE INSTITUÉE PROCUREUR ET JUGE D'ELLE-MEME ET D'AUTRUI PAR LE DROIT DE LA COMPLIANCE ("THE COMPANY ESTABLISHED PROSECUTOR AND JUDGE OF ITSELF AND OTHERS BY COMPLIANCE LAW")

🕴️M.-A. Frison-Roche,📝 Le "jugeant-jugé". Articuler les mots et les choses face à l'éprouvant conflit d'intérêts 

🕴️C. Granier, 📝Réflexions sur l'existence d'une jurisprudence des entreprises

🕴️L.-M. Augagneur, 📝La juridictionnalisation de la réputation par les plateformes

🕴️A. Bruneau, 📝L'entreprise juge d'elle-même : la fonction compliance dans la banque

🕴️J.-M. Coulon, 📝Le Droit de la Compliance dans le secteur d'activité de la construction et les contradictions, impossibilités et impasses auxquelles les entreprises sont confrontées

🕴️Lapp, Ch., 📝La compliance dans l'entreprise : les statuts du process

🕴️J. Heymann, 📝La nature juridique de la "Cour suprême" de Facebook

🕴️D. Latour, 📝Les enquêtes internes au sein des entreprises

🕴️A. Bavitot,  📝Le façonnage de l'entreprise par les accords de justice pénale négociée

🕴️S. Merabet, 📝La vigilance, être juge et ne pas juger

 

II. LE DROIT PROCESSUEL À L'OEUVRE DANS LE DROIT DE LA COMPLIANCE  ("GENERAL PROCEDURAL LAW IN COMPLIANCE LAW")

🕴️N. Cayrol, 📝Des principes processuels en Droit de la Compliance

🕴️F. Ancel,📝Le principe processuel de compliance, un nouveau principe directeur du procès ?

🕴️B. Sillaman, 📝Secret professionnel et coopération : les leçons de procédure tirées de l’expérience américaine pour une application universelle

🕴️A. Linden, 📝Motivation et publicité des décisions de la formation restreinte de la Commission nationale de l’informatique et des libertés (CNIL) dans une perspective de compliance

🕴️S. Scemla,🕴️D. Paillot, 📝La difficile appréhension des droits de la défense par les autorités de contrôle en matière de compliance

🕴️M.-A. Frison-Roche, 📝Ajuster par la nature des choses du Droit processuel au Droit de la Compliance

 

III. L'ARTICULATION DE LA COMPLIANCE ET DE L'ARBITRAGE INTERNATIONAL ("ARTICULATION BETWEEN COMPLIANCE LAW AND INTERNATIONAL ARBITRATION")

🕴️J.-B. Racine, 📝Compliance et Arbitrage. Essai de problématisation

🕴️E. Silva-Romero,🕴️R. Legru, 📝Quelle place pour la Compliance dans l'arbitrage d'investissement ?

🕴️C. Kessedjian, 📝L'arbitrage au service de la lutte contre la violation des droits de la personne humaine par les entreprises 

🕴️M. Audit, 📝La position de l'arbitre en matière de compliance

🕴️J. Jourdan-Marques, 📝L’arbitre, juge ex ante de la compliance ?

🕴️E. Kleiman, 📝Les objectifs de la compliance confrontés aux acteurs de l’arbitrage

🕴️F.-X. Train, 📝Arbitrage et procédure parallèles exercées au titre de la compliance

🕴️Cl. Debourg, 📝La compliance au stade du contrôle des sentences arbitrales

 

IV. LE JUGE DANS LE DROIT DE LA COMPLIANCE ("THE JUDGE IN COMPLIANCE LAW")

🕴️M.-A. Frison-Roche, 📝Le juge, l'obligation de compliance et l'entreprise. Le système probatoire de la Compliance

🕴️J. Morel-Maroger, 📝La réception des normes de la compliance par les juges de l'Union européenne

🕴️S. Schiller, 📝Un juge unique en cas de manquement international à des obligations de compliance ?

🕴️O. Douvreleur, 📝Compliance et juge du droit

🕴️F. Raynaud, 📝Le juge administratif et la compliance

🕴️E. Wennerström, 📝Quelques réflexions sur la Compliance et la Cour européenne des droits de l'Homme

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Nov. 18, 2022

Conferences

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► Référence complète : M.-A. Frison-Roche, "Le juge, tiers régulateur des obligations contractuelles de compliance", in Journal of Regulation & Compliance (JoRC) et Université de Nîmes, Laboratoire CHROME, Compliance et Contrat : les acteurs et leurs stratégies, Nîmes, 18 novembre 2022.

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🏗️Cette conférence prend place dans le cycle de colloques, organisé par le Journal of Regulation & Compliance (JoRC) et les Universités qui sont ses partenaires académiques, pendant l'année 2022/2023 autour du thème général L'obligation de compliance.

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🎤 consulter la synthèse également faite de ce colloque

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🧮Consulter le programme complet de cette manifestation

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🚧lire le document de travail servant de base à cette conférence

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📝Cette conférence sera la base d'un article, à paraître dans un ouvrage qui en résultera, dans sa version française, dans la collection 📚Régulation & Compliance coéditée entre le  JoRC et les Editions Dalloz, et dans sa version anglaise, dans la collection 📚Compliance & Regulation coéditée entre le JoRC et les Editions Bruylant.

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Nov. 12, 2022

Publications

♾️ suivre Marie-Anne Frison-Roche sur LinkedIn

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► Référence complète : M.-A. Frison-Roche, Automated Compliance, a pertinent tool for Compliance Law, the whole, document de travail, novembre 2022.

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📝Ce document de travail sert de base à une participation à un débat sur "Automated Compliance : "the" solution or "a" solution?, qui déroule dans le Sommet global de Gaia-X  le 17 novembre 2022.  

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Résumé du document de travail : s'appuyant sur la présentation préalablement faite au débat par un membre de la Commission européenne, il s'agit de souligner trois éléments qui montrent que l' Automated Compliance (ou Compliance by design) est à la fois un outil central, mais qu'il n'est un outil du Droit de la Compliance dont il ne saurait remplir par sa seule performance technologique toutes les fonctions dans un Etat de Droit.

En premier lieu, l'Union européenne semble en difficulté lorsqu'elle veut tout à la fois bâtir un système juridique qui lui est propre sur la base de Lois dont chacune est la pièce d'un gigantesque puzzle pour obtenir une industrie pérenne et autonome dans une économie numérique mondiale totalement renouvelée, ce qui fait peser sur les entreprises une charge considérable d'intégration de toutes ces règles du jeu, tout en affirmant qu'il faut alléger la charge que la "réglementation" fait peser sur elles.

En second lieu, la meilleure solution pour résoudre cette ambition contradictoire est effectivement dans la technologique, les algorithmes intégrant directement les réglementations. Mais plus encore, l'ensemble de ces textes reposent sur une autonomie laissée en Ex Ante aux entreprises européennes pour s'organiser entre elles afin de concrétiser les "buts monumentaux" que l'Union européenne a décidé d'atteindre, dont la réalisation d'un cloud souverain est au centre.

Ainsi la distinction et l'articulation d'un "Droit de la Compliance", défini par ces "buts monumentaux", dont lequel l'intelligence artificielle est un outil, le "tout" (Compliance Law) et la "partie" (Automated Compliance) est essentielle.

En troisième lieu, cette distinction et articulation est non seulement bénéfice mais elle est obligatoire. En effet, même si le Droit de la Compliance constitue une branche du Droit, elle fonctionne dans le système juridique générale, qui ne fonctionne que par l'esprit des textes, les outils algorithmiques ne capturant que la lettre de ceux-ci. Ces tribunaux sont et seront au cœur du Droit de la Compliance, le cas Schrems l'a bien montré. C'est pourquoi la Technologie et le Droit doivent travailler ensemble, et davantage à l'avenir, notamment parce qu'un outil pour l'effectivité du Droit ne pourra jamais rendre compte de la vie même du système juridique.

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🔓Lire ci-dessous les développements⤵️

 

Oct. 5, 2022

Interviews

🌐suivre Marie-Anne Frison-Roche sur LinkedIn

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 Référence complète : M.-A. Frison-Roche, " Youporn : Le Droit doit se renouveler face à la transformation du monde par l'espace numérique", entretien avec Olivia Dufour, Actu-juridique, 5 octobre 2022.

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💬Lire l'entretien dans son intégralité

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Lire l'entretien précédent : 💬L'efficacité de la Compliance illustrée par l'affaire Youporn

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 Présentation de l'entretien par le journal : "Comment parvenir à bloquer efficacement l’accès des mineurs aux contenus pornographiques sur internet ? C’est à cette difficile question que s’est attaquée l'Arcom (Autorité de régulation de la communication audiovisuelle et numérique). Avec pour l’instant un succès mitigé. Début septembre, alors que le régulateur demandait au juge de bloquer les cinq sites n’ayant pas obéi à son injonction de modifier leurs conditions d’accès, la justice a décidé de renvoyer le dossier devant un médiateur. Entre temps, un rapport sénatorial publié le 28 septembre souligne l’urgence d’agir. Nous avons demandé au professeur Marie-Anne Frison-Roche, spécialiste de droit de la compliance, comment à son avis il est possible de lutter efficacement contre les dérives de l’industrie pornographique".  

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 Questions posées :

  • Dans l'affaire Youporn, la décision du tribunal judiciaire de renvoyer le dossier vers la médiation a suscité un certain émoi. N'est-ce pas le signe d'une forme de renoncement de la justice, avec tout ce que cela implique d'un point de vue symbolique ?

 

  • En quoi le droit de la compliance serait-il plus efficace que les méthodes traditionnelles ?

 

  • Mais n’est-ce pas, d’une certaine façon leur permettre de s’autoréguler, solution que précisément le rapport sénatorial écarte radicalement, estimant qu’elle n’est pas efficace ?

 

  • Le problème, à en croire les sites concernés, c’est qu’il n’y aurait pas de solution qui soit à la fois efficace et respectueuse de la protection de la vie privée…

 

  • Pensez-vous que la compliance ait une chance de réussir là où les outils plus traditionnels connaissent un échec relatif ?

 

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Sept. 25, 2022

Publications

🌐 suivre Marie-Anne Frison-Roche sur LinkedIn

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► Référence complète : M.-A. Frison-Roche, "Fonder la compliance", in Revue de l'ACE, La compliance, n° spéc. n°157, septembre 2022, p.17-31.

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► Résumé de l'article : L'article traite le sujet en 20 étapes 

  1. Pourquoi fonder les pratiques de compliance ? Pour des impératif pratiques 
  2. Fonder les pratiques de compliance pour rendre supportables, car compréhensibles, les pouvoirs et les charges concentrés dans les outils de Compliance 
  3. Fonder les pratiques de compliance pour maîtriser un savoir technique exponentiel 
  4. Fonder les pratiques pour y trouver la part du Droit 
  5. Fonder la Compliance sur les process d’efficacité 
  6. Rendre supportable la Compliance fondée sur les process d’efficacité par un mix de procédure et d’éthique
  7. Les professionnels de la Compliance fondée sur des process
  8. La place particulière de l’avocat et du juge dans la Compliance fondée sur des process
  9. Fonder la Compliance sur l’obligation de donner à voir par avance que l’on se conforme à la réglementation applicable
  10. L’aporie de la Compliance fondée sur l’obligation de donner à voir par avance que l’on se conforme à la réglementation applicable 
  11. Les charges engendrées de la Compliance fondée sur l’obligation de donner à voir par avance que l’on se conforme à la réglementation applicable 
  12. L’impraticabilité de la Compliance fondée sur l’obligation de donner à voir par avance que l’on se conforme à la réglementation applicable
  13. Fonder la Compliance sur des buts substantiels ponctuels
  14. Les professionnels de la Compliance impliquées par la Compliance fondée sur des buts substantiels ponctuels 
  15. Fonder la Compliance par des buts substantiels globaux et à venir
  16. Fonder la Compliance par les Buts Monumentaux, négatifs et positifs
  17. Les professionnels de la Compliance fondée sur les Buts Monumentaux
  18. La place particulière de la population concernée et de l'Etat dans la Compliance fondée sur les Buts Monumentaux
  19. La place particulière de l’avocat et du juge dans la Compliance fondée sur les Buts Monumentaux
  20. L'avenir du Droit de l'Avenir

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📝lire l'article

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🚧lire le document de travail bilingue, doté de références techniques supplémentaires et de liens hypertextes, ayant servi de base à cet article

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lire la revue dans son intégralité

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Updated: April 4, 2022 (Initial publication: Oct. 4, 2021)

Publications

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 Full ReferenceM.-A. Frison-Roche, The Hypothesis of the category of Systemic Cases brought before the Judge, Working Paper, October 2021 and April 2022.

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 This working paper has served as the basis for an introductory speech 🎤L'hypothèse de la catégorie des causes systémiques (The Hypothesis of the cateory of Systemic Cases), in a more general conference which I coordinated and moderated, 🧱L'office du juge et les causes systémiqueswhich is part of a general cycle covering Penser l'office du juge, specific conference attending the 9th May 2002 into the Grand Chamber of the Cour de cassation.  

This Working Paper was drawn up in October 2021 to build the conference on the assumption that among the diversity of "cases" brought to the courts by litigants, some constitute a specific category: "systemic cases", justifying treatment that is both specific (in that they are systemic, calling in particular for procedural solutions common to all and distinguishable from the treatment of non-systemic cases) and common treatment beyond the diversity of judges who deal with them (judicial and administrative judges, criminal and non-criminal judges, French and non-French judges, judges of the member-States legal orders and European Union judges, etc.). 

This working paper does not aim to deal with the whole subject, i.e. both to determine this category of "systemic causes" and the consequences that must be drawn from it for the judge's office, since that is the very purpose of the conference, which is built around several presentations: it aims to deal with the first part of the subject, i.e. the very existence of this new processual category, which is "systemic causes", leaving for other work the practical consequences to be drawn from it in the processual treatment that it calls for.

____

📝This Working Paper is also the basis of a forthcoming article

____

► Summary of the Working Paper: xx

________

Read below the developments⤵️

Jan. 19, 2022

Organization of scientific events

► Full Reference: Frison-Roche, M.-A., coordination and moderation of the conference L'office du juge et les causes systémiques (""The Office of the Judge and systemic causes"), in Cycle of Conferences, Penser l'office du juge ("Thinking the Office of the Judge"), Grand Chamber of the Cour de cassation, Paris, May 9, 2021, 17h-19h.

The conference is held in French.

____

► General presentation of the conference: the conference is based on the intervention of three judges, Christophe Soulard, Fabien Raynaud, and François Ancel, who think and debate among themselves on a hypothesis: the existence of "systemic causes". The hypothesis is that beyond and through the diversity of disputes and cases that are submitted to the most diverse judges, there is a category of cases that are systemic, which means containing in what is submitted to the judge for resolution a system.  If such a category exists, which also raises the question of the diversity of systems and the difficulty arising from their submission to rules that are not legal (for example economic, biological, financial "laws", etc.) , then the judge should take this into account, both in the procedure and in the judgment they make on the case and in the way they formulate et restitute this judgment.

____

📝read the presentation of this conference by the Cour de cassation (in French)

📝read the program of the cycle of conferences 2022 (in French)

____

 🎥see the conference video (in French) 

🎥 see the synthesis video of the conference, made in situ by Marie-Anne Frison-Roche (in French)  

____

​✏️read the notes taken during the conference to make the synthesis (in French)

📝read the article of Marie-Anne Frison-Roche restituting this conference, published in the Recueil Dalloz (in French)

____

read the works, basis of the two interventions of Marie-Anne Frison-Roche

🚧 L'hypothèse de la "cause systémique (made before the conference to prepare it), available en English

📝Synthese of the conference (made during the conference)

________

Sept. 23, 2021

Thesaurus : Doctrine

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

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

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

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

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

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

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

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

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

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Sept. 23, 2021

Thesaurus : Doctrine

 Full Reference: J. Morel-Maroger, "The application of compliance standards by European Union judges", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant,coll. "Compliance & Regulation", to be published. 

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

____

 Summary of the article (done by the Author): Compliance rules are intended to pursue objectives of public interest – or monumental goals – and thereby in principle modify and guide the behaviour of economic operators. In order to achieve these objectives, the full spectrum of norms are used in compliance matters. What is and what should be the role of the judges of the European Union in the development of compliance rules ?

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

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

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

________

Nov. 12, 2020

Thesaurus : Doctrine

Full reference: Kessedjian, C., Le tiers impartial et indépendant en droit international. Juge, arbitre, médiateur, conciliateur, Académie de Droit international de La Haye, 2020, 769p.

 

Read the forth of cover (in French)

Read the table of content (in French)

Sept. 29, 2020

Newsletter MAFR - Law, Compliance, Regulation

Full reference: Frison-Roche, M.-A., Judge between Platform and Regulator: current example of Uber case in U.K.Newsletter MAFR - Law, Compliance, Regulation, 29th of September 2020

Read by freely subscribing the other news of the Newsletter MAFR - Law, Compliance, Regulation

 

Summary of the news:

On 22nd of September 2017, Transport of London (TFL), London Transport Regulator, refused to renew the licence, granted on 31st of May 2012 for 5 years, authorizing Uber to transport people because of criminal offenses committed by Uber's drivers. On 26th of June 2018, The Westminster Court prolonged Uber's licence for 15 months under the condition that the platform prevent the reproachable behaviors of its drivers. After these 15 months, the TFL refused once again to prolonge Uber's licence because of the persistence of aggressions against passengers. Uber, once again, contest this decision before the Westminster Court. 

In a decision of 28th of September 2020, the Court observes that during the 15 months, the platform implemented many measures to prevent aggressions, that the level of maturity of these measures has improved over time and that the number of offenses was reduced over the period (passing from 55 in 2018 to 4 in 2020). The Court estimated the the implementation of this actions is sufficient to grant a new licence to Uber. 

We can learn three lessons from this decision: 

  1. The Compliance obligation is not a result obligation but a mean obligation, which means that it is not reasonable to expect from a crucial operator (Uber, for instance) that it prevent every cases of agression but that it is salient to judge it on the effort it deploys to try to be closer to this ideal situation. Moreover, the crucial operator must be proactive, that is going away from the figure of passive subject of Law who apply measures enacted by the regulator in terms of fighting against aggressions to be an actor of the research of the best way to fight abusive behaviors, internalizing this "monumental goal. 
  2. The judge appreciates the violation committed by those whose the firm is responsible "in context", that is evaluates the concrete situation in a reasonable way. 
  3. It is the judge who decides in last resort and like the crucial operator, it must be reasonable. 

 

Read to go further:

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-RocheL'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.

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► 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)

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►  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).

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📝  Read the written presentation of the Report done by Minister Cédric O (in French).

🏛 Listen to the oral  presentation of the Report by Minister Cédric O durant the parliamentary discussion of the law against hate contente on the Internet (in French).

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💬 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

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read below the 54 propositions of the Report ⤵️

May 29, 2019

Publications

♾️ 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. 

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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 Compliance2023

🕴️M.-A. Frison-Roche (ed.), 📕Les Buts Monumentaux de la Compliance, 2022

🕴️M.-A. Frison-Roche (ed.), 📕Les outils de la Compliance2021

🕴️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, Compliance2017

🕴️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

________

1

Frison-Roche, M.-A., Compliance, see

May 29, 2019

Thesaurus : Doctrine

► Full Reference : K. Lenaerts, "Le juge de l'Union européenne dans une Europe de la Compliance" ("The Judge of the European Union in the Europe of the Compliance"), in M.-A. Frison-Roche (ed.), Pour une Europe de la Complianceseries "Régulations & Compliance", Dalloz, 2019, p.1-12.

____

📕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 Compliance2023

🕴️M.-A. Frison-Roche (ed.), 📕Les Buts Monumentaux de la Compliance, 2022

🕴️M.-A. Frison-Roche (ed.), 📕Les outils de la Compliance2021

🕴️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, Compliance2017

🕴️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

________

Jan. 1, 2019

Thesaurus : Doctrine

Référence complète : Lasserre, V., "La formation des médiateurs", in Archives de philosophie du droit (APD), La médiation, t. 61, 2019, p.117-127.

____

Voir la présentation partielle de la collection dans laquelle l'ouvrage est publié. 

Dec. 24, 2018

Law by Illustrations

Le Droit n'est fait que de mots. L'essentiel est donc de les ranger (exercice de qualification) pour que se déclenche à propos d'eux un régime juridique, par exemple la liberté, l'autorisation ou l'interdiction.

Prenons un exemple américain, un exemple chéri par cette culture-là : le port d'arme.

Un juge fédéral de New-York a rendu une Ordonnance le 14 décembre 2018 à propos de la qualification juridique d'un nunchaku!footnote-1399  posant que sa détention par une personne à son domicile ne peut être prohibée par un Etat car l'individu exerce en cela son droit constitutionnel du port d'arme, tel que défini par la Cour suprême. En cela, il donne raison au demandeur qui contestait une disposition législative interdisant la détention par un individu de ce type d'arme.

En effet en 1974 l'Etat de New-York a interdit leur fabrication, leur transport, leur stockage, leur possession. 35 ans après, un juge estime que ce texte, tel qu'il est rédigé, est contraire au droit constitutionnel de porter une arme, ce qui anéantit la prohibition.

Pourquoi ?

 

En effet, la distinction expressément soutenue par le demandeur entre la possession à domicile d'une arme inusuelle pour inventer un nouvel art martial n'a pas été retenue en tant que telle, mais bien plutôt une démonstration probatoire qui oblige l'Etat qui prohibe un port d'arme à supporter (puisqu'il porte atteinte à une liberté constitutionnelle)  la charge de prouver que le port de cette arme n'est pas une façon pour un individu ordinaire d'être en mesure de l'utiliser conformément à la loi, par exemple pour se défendre (I). On aurait pourtant pu concevoir une définition plus stricte de ce qu'est une "arme", au moment même où la distinction entre les armes de défense et les armes d'assaults justifie des interdictions nouvelles et que ce dernier type d'argument a convaincu des juges fédéraux (II). Mais n'est-ce pas plutôt parce qu'aujourd'hui on oublie Bruce Lee et que cet américain moyen, qui a la mémoire courte - auquel se réfère le juge - n'est pas Tarantino, qui a la mémoire longue, comme tout cinéphile  ? (III).

 

 

1

Définition donnée par l'interdiction d'en posséder émise en 1974 par l'Etat de New-York : " “‘Chuka stick’ means any device designed primarily as a weapon, consisting of two or more lengths of a rigid material joined together by a thong, rope or chain in such a manner as to allow free movement of a portion of the device while held in the hand and capable of being rotated in such a manner as to inflict serious injury upon a person by striking or choking. These devices are also known as nunchakus and centrifugal force sticks.” N.Y. Penal Law § 265.00(14). The Court shall refer to chuka sticks and nunchakus interchangeably.". 

Updated: Sept. 1, 2018 (Initial publication: May 10, 2018)

Publications

This working paper has served  as a basis for an article written in French in the book Compliance : Entreprise, Régulateur, Juge ("Compliance: Enterprise, Regulator, Judge"), published in May 2018 in the Regulations Series of Dalloz editions (Paris).

See the other books published in this collection (presentation in French), directed by Marie-Anne Frison-Roche (presentation in English).


ABSTRACT: The Company, the Regulator and the Judge are three key figures for the construction of an emerging Compliance Law. An important risk lies in a confusion of their respective roles, the company becoming a regulator, the regulator becoming a board of a place that goes to the conquest of others, the judge standing back. It is appropriate that each plays his role and that their respective function is not distorted. If this confusion is avoided, then the points of contact can multiply and one observes it. But as soon as everyone remains in its place, we can go further than these points of contact and if they agreed, the three characters can reach common goals. This is all the more legitimate since Compliance Law, as Regulation Law, is teleological in nature, which makes these branches of law profoundly political. These common goals are technical, such as risk prevention. They can be more political and higher, if there is a shared will, without ever one of the characters being captured by another: it is then to concern by the human being. The designation of this common goal to the Company, the Regulator and the Judge can be expressed in one word: Europe.

June 27, 2018

Publications

Référence complète : Frison-Roche, M.-A., Le Juge, le Régulateur et le Droit, in L'ENA hors les murs, Le droit et la justice aujourd'hui. Et demain ?, n°481, 2018, pp.72-73.

 

Résumé. Du Juge, du Régulateur et du Droit, c'est plutôt le "Régulateur" qui vient en premier, mais cette prééminence vint parfois sur ordre du juge plutôt que sur décision autonome de l'État, même s'il s'avère que c'est toujours, voire avant tout, pour fonder une relation de confiance qu'un Régulateur est établi (I). Institué, le Régulateur doit se comporter dans ses pouvoirs ex post comme un Juge (II). Lorsque le Régulateur est en contact avec les juges,  rapport obligé puisque que le Régulateur est soumis au Droit, l'entente est plus ou moins cordiale (III) et c'est la tension des relations entre Droit et Économie qui transparaît alors. Mais l'Europe est l'espace où les conciliations se font plus aisément, notamment grâce à la puissance et l'autorité de ses Juges, comme le montre l'Union bancaire (IV). La mondialisation ayant rebattu la carte des puissances et des dangers, les prétentions du Droit sont aujourd'hui internalisées dans les entreprises mêmes : le Droit de la Régulation se transforme en Droit de la Compliance, par lequel l'"entreprise cruciale" devient une structure qui juge et applique , y compris à elle-même, des normes mondiales pour atteindre des "buts monumentaux" exprimés par les États (V). En cela la "lutte pour le Droit" pourrait se faire dans un nouveau jeu entre les entreprises, les Juges et les Régulateurs.

 

Lire l'article.

 

Cet article  s'appuie sur un document de travail.

Celui est doté de notes de bas de pages, de références techniques et de liens hypertextes.

Il est accessible en langue française par le lien suivant : Le Juge, le Régulateur et le Droit.

Il est accessible en langue anglaise par le lien suivant : The Judge, the Regulator and the Law.

 

Consulter la présentation générale et le sommaire de la publication collective dans laquelle l'article est publié.

May 22, 2018

Thesaurus : Doctrine

Référence complète : Lenoir, N., Les lanceurs d'alerte, une idée neuve en Europe, 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. 103-118.

 

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.

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.

May 22, 2018

Thesaurus : Doctrine

Référence complète : Brulé, M.-F., Les récentes initiatives publiques françaises de lutte contre la corruption dans les transactions commerciales : une nouvelle dynamique pour les entreprises, 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. 155-165.

 

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.