Thesaurus : Doctrine
► Full Reference: G. Loiseau, "L’intensité de l’obligation de vigilance selon les secteurs : le cas des opérateurs numériques" (The intensity of the Duty of Vigilance in different sectors: the case of digital operators), in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, forthcoming
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📕read the general presentation of the book, L'obligation de Compliance, in which the contribution is published
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► English summary of this contribution (done by the Journal of Regulation & Compliance - JoRC) : L'auteur développe le cas des opérateurs numériques. Il souligne le paradoxe d'un Droit qui est parti d'un texte qui a posé le principe de l'irresponsabilité des hébergeurs, en raison de leur neutralité technique, pour aboutir au DSA et leur imposer des diligences, mais il rappelle que cette obligation n'apparaît qu'à partir d'un signalement qui est porté auprès de l'opérateur numérique et une interdiction expresse d'une obligation générale de surveiller les informations. Moreover, there is no general duty of vigilance incumbent on digital operators, even if recent case law seems to be tightening the role imposed on hosting providers.
The Monumental Goal here is to fight against illegal content, but freedom of expression must also be preserved and regulations vary according to the type of content, whereas the DSA has a more general conception, aims at a logic of accountability and prevention of systemic risks. But wanting to make platforms 'accountable' ex ante, without touching the liability regime ex post, may pose a problem.
The duty of vigilance will vary depending on whether the digital operator plays a passive or active role. This may lead platforms to adopt prior measures that may constitute structural obligations, with the trusted third party taking the form of a trusted signaller. The platform is thus made responsible for its own vigilance, but despite the possibility of enhanced vigilance, this does not have to extend to investigative measures. There are, however, specific enhanced vigilance obligations for very large platforms, justified by the risks involved and the types of content (terrorism, pornography).
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🦉This contribution est available in full text for persons following Professor Marie-Anne Frison-Roche teaching
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Publications
► Full Reference: Frison-Roche, M.-A, Compliance Law, the new legal way for Human Values : towards an Ex Ante Responsabily, in Mélanges Arnoldo Wald, A evoluçao do direito no século XXI, vol.2, 2022, p. 971-984.
The first volume has been published in 2007.
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🚧read the Working Paper, written in English with complementary developments, technical references and hypertext links, on which this article is based.
Thesaurus : Doctrine
► 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.
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► Résumé de l'article :
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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche
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Thesaurus : Doctrine
► Référence complète : M. Mekki, "Peut-on repenser la responsabilité à l’aune du devoir de Vigilance, pointe avancée de la Compliance ?", in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître
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📕lire une présentation générale de l'ouvrage, L'obligation de Compliance, dans lequel cet article est publié
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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : L'auteur développe les tensions que l'Obligation de Vigilance engendre sur le concept même de responsabilité. Répertoriant toutes les manifestations, très diverses, de la Vigilance, selon les domaines, il observe que se forme une logique téléologique de prévention et de gestion des risques systémiques, ce qu'est la compliance, sans doute remède à un État impuissant, s'appuyant sur une grande pluralité des normes.
La question est de savoir si l'on peut passer de ces droits spéciaux mais d'un esprit commun à un droit commun transformé. Les premières décisions rendues à propos de la loi de 2017 répondent par la négative, mais la question est ouverte.
Il faut alors revenir sur le concept même de responsabilité, qui pourrait accueillir un mécanisme général de Vigilance. Ce concept est très flexible et présente l'adaptabilité requise pour accueillir la logique de compliance. En effet, la responsabilité, classiquement ex post peut passer ex ante, à travers la notion de dette, non plus juridique mais éthique, car les entreprises doivent être "dignes de confiance".
La responsabilité préventive vise alors à restaurer l'équilibre des systèmes dans la poursuite des Buts Monumentaux, pour l'efficacité et l'efficience des systèmes. La responsabilité se mixte de subjectivité et d'objectivité, le risque devenant central (par rapport à la faute), le litige dépassant l'intérêt des parties, la remédiation devenant le sujet central dans un procès en responsabilité à repenser : le dialogue doit y être au centre, entre les juridictions, entre les entreprises et les parties prenantes, dans un office du juge adapté.
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Sept. 4, 2025
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 (dir.), L'Obligation de Compliance, coll."Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, to be published.
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📘 At the same time, a book in English, Compliance Obligation, is published in the collection copublished by the Journal of Regulation & Compliance (JoRC) and the Éditions Bruylant.
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🧮the book follows the cycle of colloquia 2023 organised by the Journal of Regulation & Compliance (JoRC) and its Universities partners.
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📚this volume is one of a series of books devoted to Compliance in this collection.
► read the presentations of the other books:
- further books:
🕴️M.-A. Frison-Roche (ed.), 📕Le système probatoire de la Compliance, 2025
- previous books:
🕴️M.-A. Frison-Roche & M. Boissavy (eds.), 📕Compliance et droits de la défense. Enquête interne - CJIP - CRPC, 2023
🕴️M.-A. Frison-Roche (ed.), 📕La juridictionnalisation de 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
🕴️M.-A. Frison-Roche (ed.), 📕Pour une Europe de la Compliance, 2019
🕴️N. Borga, 🕴️J.-Cl. Marin and 🕴️J.-Ch. Roda (eds.), 📕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
📚see the global presentation of all the books of the collection.
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► General presentation of this book: Compliance is sometimes presented as an inescapable mechanism , which is tantamount to seeing it as the legal Obligation par excellence, Criminal Law being its most appropriate mode of expression. But this is not so obvious. Moreover, it is becoming difficult to unify all Compliance Tools, which encompass moral representations of the world, and even cultures specific to each company, so that Law can only produce incentives or produce soft law. As a result, Compliance Obligation appears as very difficult to define.
These hesitations reflect the youth of this Compliance Law under construction. Identified through juxtaposed special laws, for each of which specialists have come forward, it is nonetheless taking shape with its own normativity, anchored in its Monumental Goals. Because the notion of Obligation is as old as Law itself, the Obligation of Compliance is confronted with all the branches of Law, and more particularly, with all due respect, with Contract and Tort Law.
But Compliance has long been a practice, effectiveness, efficacy and efficiency being among its principles. How can all these ambitious declarations be put into effect? Is there not a hint of a gap between the grandiloquence of this declared Compliance Obligation and what actually happens? The practical question of how to compel is, in this new branch of Law, a question of law.
In order to have a more accurate perception of the Obligation of Compliance and therefore to better measure its future, it is advisable to end up taking its Advanced Point, which is the Obligation of Vigilance, clearer and stronger than the other instruments, having Monumental Goals, placing the Judge more clearly at the centre, developing in an already more visible way the power of this Obligation of Compliance which abstracts itself as necessary from borders and claims to express sovereignties.
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🏗️general construction of this Book: The book opens with a double Introduction. The first, which is freely accessible, consists of a summary of the book, while the second, which is substantial, deals with the unified conception that we can, and indeed should, have, of the "Compliance Obligation", without losing the concrete and active character that characterises this branch of law.
The first Part of the book aims to define the Compliance Obligation. To this end, Chapter I deals with the Nature of this obligation. Chapter II deals with the Spaces of the Compliance Obligation.
The Part II aims to articulate the Compliance Obligation with other branches of Law.
The Part III of the book looks at the way in which the possibility of obliging and the means of obliging are provided. To this end, Chapter I deals with the Convergence of the Sources of the Compliance Obligation. Chapter II considers International Arbitration as a reinforcement of the Compliance Obligation. To this end, Chapter I deals with the Convergence of the Sources of the Compliance Obligation. Chapter II considers International Arbitration as a reinforcement of the Compliance Obligation.
The last Part of the book is devoted to Vigilance, the leading edge of the Compliance Obligation. Chapter I is devoted to a study of the various sectors, and analyses the Intensities of the Vigilance Obligation. Chapter II deals with the Variations in Tension generated by the Vigilance Obligation. Finally, Chapter III deals with the New Modalities of the Compliance Obligation, highlighted by the Vigilance Imperative.
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TABLE OF CONTENTS
ANCRER LES OBLIGATIONS DE COMPLIANCE SI DIVERSES
DANS LEUR NATURE, LEURS REGIMES ET LEUR FORCE
POUR DEGAGER L'UNITE DE L'OBLIGATION DE COMPLIANCE
LA RENDANT COMPREHENSIBLE ET PRATIQUABLE
(ANCHOR COMPLIANCE OBLIGATIONS, SO DIVERSE
IN THEIR NATURE, THEIR REGIMES AND THEIR FORCE,
TO BRING OUT THE UNITY OF THE COMPLIANCE OBLIGATION
MAKING IT COMPREHENSIBLE AND PRACTICABLE)
TITRE I.
CERNER L’OBLIGATION DE COMPLIANCE
(IDENTIFYING THE COMPLIANCE OBLIGATION)
CHAPITRE I : LA NATURE DE L’OBLIGATION DE COMPLIANCE (THE NATURE OF THE COMPLIANCE OBLIGATION)
Section 1 ♦️ La volonté, le cœur et le calcul, les trois traits cernant l'Obligation de Compliance (Will, Heart and Calculation, the three traits encercling the Compliance Obligation), by 🕴️Marie-Anne Frison-Roche
Section 2 ♦️ De la dette à l’obligation de compliance (From the Debt to the Compliance Obligation), by 🕴️Bruno Deffains
Section 3 ♦️ Obligation de Compliance et droits humains (Compliance Obligation and Human Rights), by 🕴️Jean-Baptiste Racine
Section 4 ♦️ L'Obligation de Compliance et les mutations de la souveraineté et de la citoyenneté (Compliance Obligation and changes in Sovereignty and Citizenship), by 🕴️René Sève
Section 5 ♦️ La définition de l''obligation de compliance confrontée au droit de la cybersécurité (The definition of the Compliance Obligation in Cybersecurity Law) by🕴️Michel Séjean
CHAPITRE II : LES ESPACES DE L’OBLIGATION DE COMPLIANCE (SPACES OF THE COMPLIANCE OBLIGATION)
Section 1 ♦️ Entités industrielles et Obligation de compliance (Industrial entities and Compliance Obligation), by 🕴️Etienne Maclouf
Section 2 ♦️ L'Obligation de Compliance dans les chaînes de valeur (The Compliance Obligation in Value Chains), by 🕴️Lucien Rapp
Section 3 ♦️ Compliance et conflits de lois. Le droit international de la vigilance-conformité à partir de quelques applications récentes sur le continent européen (Compliance and conflict of laws. International Law of Vigilance-Conformity, based on recent applications in Europe), by 🕴️Louis d'Avout
TITRE II.
ARTICULER L’OBLIGATION DE COMPLIANCE AVEC DES BRANCHES DU DROIT
(ARTICULATING THE COMPLIANCE OBLIGATION WITH BRANCHES OF LAW)
Section 1 ♦️ Dimensions constitutionnelles de l'Obligation de Compliance (Constitutional dimensions of the Compliance Obligation), by 🕴️Stéphane Mouton
Section 2 ♦️ Droit fiscal et obligation de compliance (Tax Law and Compliance Obligation), by 🕴️Daniel Gutmann
Section 3 ♦️ Le droit processuel, prototype de l'Obligation de Compliance (General Procedural Law, prototype of the Compliance Obligation), by 🕴️Marie-Anne Frison-Roche
Section 4 ♦️ Le droit des sociétés et des marchés financiers face à l'Obligation de Compliance (Corporate and Financial Markets Law facing the Compliance Obligation), by 🕴️Anne-Valérie Le Fur
Section 5 ♦️ Le rapport entre le Droit de la responsabilité civile et l'Obligation de Compliance (The link between Tort Law and Compliance Obligation), by 🕴️Jean-Sébastien Borghetti
Section 6 ♦️ Dimensions environnementales et climatiques de l'Obligation de Compliance (Environmental and Climatic Dimensions of the Compliance Obligation), by 🕴️Marta Torre-Schaub
Section 7 ♦️ Droit de la concurrence et Droit de la Compliance (Competition Law and Compliance Law), by 🕴️Jean-Christophe Roda
Section 8 ♦️ L'Obligation de Compliance en Droit global (The Compliance Obligation in Global Law), by 🕴️Benoît Frydman & 🕴️Alice Briegleb
Section 9 ♦️ Transformation des relations de travail et obligation de vigilance (Transformation of Labour Relations and Vigilance Obligation), by 🕴️Stéphane Vernac
Section 11 ♦️ Les juges du droit des entreprises en difficulté et les obligations de compliance (Judges of Insolvency Law and Compliance Obligations), by 🕴️Jean-Baptiste Barbièri
TITRE III.
COMPLIANCE : DONNER ET SE DONNER LES MOYENS D’OBLIGER
(COMPLIANCE : GIVE AND TAKE THE MEANS TO OBLIGE)
CHAPITRE I : LA CONVERGENCE DES SOURCES (CONVERGENCE OF SOURCES)
Section 1 ♦️ Obligation sur obligation vaut (Compliance Obligation on Obligation works), by 🕴️Marie-Anne Frison-Roche
Section 2 ♦️ Les technologies disponibles, prescrites ou proscrites pour satisfaire Compliance et Vigilance (Technologies available, prescribed or prohibited to meet Compliance and Vigilance requirements), by 🕴️Emmanuel Netter
Section 3 ♦️ La cybersécurité et l’Obligation de Compliance (Cybersecurity and Compliance Obligation), by 🕴️Michel Séjean🕴️
Section 4 ♦️ Contrainte légale et stratégie des entreprises en matière de Compliance (Legal Constraint and Company Strategies in Compliance matters), by 🕴️Jean-Philippe Denis & Nathalie Fabbe-Costes
Section 5 ♦️ La loi, source de l’Obligation de Compliance (The Law, source of the Compliance Obligation), by 🕴️Jean-Baptiste Blanc
Section 6 ♦️ Opposition et convergence des systèmes juridiques américains et européens dans les règles et cultures de compliance (Opposition and Convergence of American and European Legal Systems in Compliance Rules and Cultures), by 🕴️Raphaël Gauvain & 🕴️Blanche Balian
Section 7 ♦️ Ce à quoi les engagements engagent qu'est un engagement (What a ), by 🕴️Marie-Anne Frison-Roche
CHAPITRE II : L’ARBITRAGE INTERNATIONAL EN RENFORT DE L’OBLIGATION DE COMPLIANCE (INTERNATIONAL ARBITRATION IN SUPPORT OF THE COMPLIANCE OBLIGATION)
Section 1 ♦️ Comment l'arbitrage international peut être un renfort de l'Obligation de Compliance (How International Arbitration can reinforce the Compliance Obligation), by 🕴️Laurent Aynès
Section 2 ♦️ La considération par l'Arbitrage de l'Obligation de Compliance pour une place d'arbitrage durable (Arbitration' consideration of Compliance Obligation for a Sustainable Arbitration Place), by 🕴️Marie-Anne Frison-Roche
Section 3 ♦️ La condamnation en nature par le tribunal arbitral, renfort de l’Obligation de Compliance (The Arbitral Tribunal's Award in Kind, in support of the Compliance Obligation), by 🕴️Eduardo Silva Romero
Section 4 ♦️ L’usage de l’arbitrage international pour renforcer l’obligation de Compliance : l’exemple du secteur de la construction (The use of International Arbitration to reinforce the Compliance Obligation: the example of the construction sector), by 🕴️Christophe Lapp
Section 5 ♦️ L’arbitre, juge, superviseur, accompagnateur ? (The Arbitrator, Judge, Supervisor, Support) , by 🕴️Jean-Baptiste Racine
TITRE IV.
LA VIGILANCE, POINTE AVANCÉE DE L’OBLIGATION DE COMPLIANCE
(VIGILANCE, SPEARHEAD OF THE COMPLIANCE OBLIGATION)
Section 1 ♦️ La Vigilance, pointe avancée et part totale de l'Obligation de Compliance (....), by 🕴️Marie-Anne Frison-Roche
CHAPITRE I : LES INTENSITÉS DE L’OBLIGATION DE VIGILANCE, POINTE AVANCÉE DU SYSTÈME DE COMPLIANCE (INTENSITIES OF THE VIGILANCE OBLIGATION, SPEARHEAD OF THE COMPLIANCE SYSTEM)
Section 2 ♦️ L’intensité de l’Obligation de Vigilance selon les secteurs : le cas des opérateurs financiers (Intensity of the Vigilance Obligation by Sectors: the case of Financial Operators), by 🕴️Anne-Claire Rouaud
Section 3 ♦️ L’intensité de l’Obligation de Vigilance selon les secteurs : le cas des opérateurs bancaires et d’assurance (Intensity of the Vigilance Obligation by Sectors: the case of Banking and Insurance Operators), by 🕴️Mathieu Françon
Section 4 ♦️ L’intensité de l’obligation de vigilance selon les secteurs : le cas des opérateurs numériques (Intensity of the Vigilance Obligation by Sectors: the case of Digital Operators), by 🕴️Grégoire Loiseau
Section 5 ♦️ L’Obligation de vigilance des opérateurs énergétiques (The Vigilance obligation of Energy Operators), by 🕴️Marie Lamoureux
Section 2 ♦️ Transformation de la gouvernance et obligation de Vigilance (Transformation of Governance and Vigilance Obligation), by 🕴️Véronique Magniermag
CHAPITRE II : LES DISPUTES AUTOUR DE L'OBLIGATION DE VIGILANCE, POINTE AVANCÉE DU SYSTÈME DE COMPLIANCE, DANS SON RAPPORT AVEC LA RESPONSABILITÉ
Section 1 ♦️ Le rapport entre le droit de la responsabilité civile et l'obligation de compliance, by 🕴️Jean-Sébastien Borghetti
Section 2 ♦️ Repenser le concept de responsabilité civile à l’aune du devoir de vigilance, pointe avancée de la compliance (Rethinking the Concept of Civil Liability in the light of the Duty of Vigilance, Spearhead of Compliance), by 🕴️Mustapha Mekki
Section 3 ♦️ Tensions et contradictions entre les instruments relatifs à la vigilance raisonnable des entreprises, by 🕴️Laurence Dubin
Section 4 ♦️ Compliance, Vigilance et Responsabilité civile : mettre en ordre et raison garde (Compliance, Vigilance and Civil Liability: put in order and keep the Reason), by 🕴️Marie-Anne Frison-Roche
CHAPITRE III : LES MODALITÉS NOUVELLES DE L'OBLIGATION DE COMPLIANCE, MISES EN LUMIÈRE PAR L'IMPÉRATIF DE VIGILANCE (NEW MODALITIES OF THE COMPLIANCE OBLIGATION, HIGHLIGHTED BY THE VIGILANCE IMPERATIVE)
Section 1 ♦️ Clauses et contrats, modalités de l’obligation de vigilance (Clauses and Contracts, terms and conditions of implementation of the Vigilance Obligation), by 🕴️Gilles J. Martin
Section 2 ♦️ La preuve de la bonne exécution de la Vigilance au regard du système probatoire de Compliance (Proof that Vigilance has been properly carried out with regard to the Compliance Evidence System), by 🕴️Jean-Christophe Roda
TITRE V.
LE JUGE ET L'OBLIGATION DE COMPLIANCE
(THE JUDGE AND THE COMPLIANCE OBLIGATION)
Section 1 ♦️ Les enjeux présents à venir de l’articulation des principes de procédure civile et commerciale avec la logique de compliance (Present and Future Challenges of Articulating Principles of Civil and Commercial Procedure with the Logic of Compliance), by 🕴️Thibault Goujon-Bethan
Section 2 ♦️ Le juge de l’amiable et la compliance (The amicable settlement judge and compliance), by 🕴️Malik Chapuis
Section 3 ♦️ Le Juge requis pour une Obligation de Compliance effective (The Judge required for an Effective Compliance Obligation), by 🕴️Marie-Anne Frison-Roche
L’OBLIGATION DE COMPLIANCE : VISION D’ENSEMBLE
(COMPLIANCE OBLIGATION : OVERVIEW)
♦️ L'obligation de compliance, charge portée par les entreprises systémiques donnant vie au Droit de la Compliance. - lignes de force de l'ouvrage (The Compliance Obligation, a burden borne by Systemic Companies giving life to Compliance Law - key points of the book (free access) by 🕴️Marie-Anne Frison-Roche
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April 30, 2025
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► Full Reference: M.-A. Frison-Roche, "Compliance, Vigilance et Responsabilité civile : mettre en ordre et raison garder" (Compliance, Vigilance and Civil Liability: put in Order and keep the sense of Reason), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Lefebvre-Dalloz, coll. "Régulations & Compliance", 2025, forthcoming
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📝read the article (in French)
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🚧read the bilingual Working Paper on which this article is based, with additional developments, technical references and hyperlinks
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📕real the general presentation of the book, L'Obligation de Compliance, in which this article is published
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► English summary of this article: The descriptions of the Liability incurred by large companies as a result of their compliance obligations are very diverse, even contradictory, going beyond the wishes that may be expressed as to what this liability should be. The first part of this study therefore sets out the various liabilities incurred by companies, which differ in the conditions under which they are implemented and in their scope, so as not to confuse them.
Indeed, as the various laws establish specific legal compliance obligations, they give rise to liabilities of varying conditions and scope, and it is not possible to avail of the regime of one in a situation that falls within the scope of another. It is therefore necessary to review the various bodies of compliance legislation, the GDPR, the ALM-FT regulations, the French so-called Sapin 2 law, the French so-called Vigilance law , the European IA Act , the European European DGA Act, etc., to recall the inflexion that each of these bodies of legislation has made to the liability rules applied to the companies subject to them. Nevertheless, the unicity of the Compliance Obligation, overcoming this necessary diversity of situations, regulations and liability regimes, can provide grouping lines to indicate beyond this diversity the extent of the liability incurred by companies.
Once this classification has been made, the second part of the study develops the observation that none of this can create any principle of general liability on large companies in terms of compliance, and in particular not in terms of vigilance. It is not possible to deduce a general principle of specific obligations of liability or specific obligations to reparation, for example in the area of vigilance, as the texts creating specific vigilance obligation refer to the conditions of commun Tort Law (proof damage and causality), and International Public Law does not have the force to generate a general principle binding companies in this respect.
The third part stresses that it is nevertheless always possible to invoke Tort Law, and companies cannot claim to escape this. This may involve contractual liability, a situation becoming increasingly frequent as companies contractualise their legal compliance obligations, reproducing them but also modifying them, and as Vigilance duty is an obligation that goes beyond the specific situations covered by the regulations.
But it is essential, and this is the subject of the fourth part, not to make companies pure and simple guarantors of the state of the world, present and future. Indeed, if we were to transform sectoral compliances into illustrations of what would then be a new general principle, but one that applied only to them, they would consequently exercise the other side of this coin, namely power over others.
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April 30, 2025
Thesaurus : Doctrine
► 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.
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📕read a general presentation of the book, L'Obligation de Compliance, in which this article is published
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► 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.
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Updated: April 23, 2025 (Initial publication: April 5, 2023)
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► Full Reference : M.-A. Frison-Roche, The judge required for an effective Compliance Obligation, Working Paper, June 2024
The judge required for an effective Compliance Obligation
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📝 this Working Paper is the basis of the contribution "Le juge requis pour une Obligation de Compliance effective", in 📘Compliance Obligation
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► Summary of this Working Paper: The Judge is a character who seems weak in a Compliance Law that seems so powerful in a world where Technology is developing even a more impressive power. But present and future cases show, on the contrary, that he or she has a central role to play and that his/her role must be to use his/her own strength to remain what he/she is: the guardian of the Rule of Law, which is not so obvious because many Compliance tools, which are technological in nature, are in a way 'insensitive' to what we hold dear, the protection of human beings, which is based on the diligence of companies (I).
The second role that we can expect of the Judge is that not only does he/she help to ensure the permanence of this Rule of Law, which relies to a large extent on him:Her in the face of a future world that is unknown to us, mainly in its digital and climatic dimensions, perspectives that Compliance Law seeks to grasp, by renewing Regulation Law, by acting in relation to companies whose role is active, which leads the Judge to control them and to be aware of the claims that can be made against them, without taking the place of their management powers (II). This presupposes a new method (III), and all the judges, however diverse, will converge in an active dialogue between the judges, which will enable, firstly, the traditional role of the judge, linked to the Rule of Law, to endure in a rapidly changing world and, secondly, each judge to take on this new role implied by Compliance Law (IV).
The perfect triangle will then be established, the strength and simplicity of which allows the use of the singular and the retention of capital letters for each of these three terms: Regulation Compliance Judge.
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🔓read the Working Paper below⤵️
Updated: Dec. 4, 2024 (Initial publication: Feb. 6, 2024)
Publications
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► Full Reference: M.-A. Frison-Roche, In Compliance Law, the legal consequences for Entreprises of their commitments and undertakings, June 2024.
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📝 This Working Paper is the basis for the contribution "In Compliance Law, the legal consequences for Entreprises of their commitments and undertakings", in📘Compliance Obligation.
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► Summary of this Working Paper: The innocents might believe, taking the Law and its words literally, that "commitments" are binding on those who make them. Shouldn't they be afraid of falling into the trap of the 'false friend', which is what the Law wants to protect them from (as stated in the prolegomena)?
Indeed, the innocent persons think that those who make commitments ask what they must do and say what they will do. Yet, strangely enough, the 'commitments' that are so frequent and common in compliance behaviours are often considered by those who adopt them to have no binding value! Doubtless because they come under disciplines other than Law, such as the art of Management or Ethics. It is both very important and sometimes difficult to distinguish between these different Orders - Management, Moral Norms and Law - because they are intertwined, but because their respective standards do not have the same scope, it is important to untangle this tangle. This potentially creates a great deal of insecurity for companies (I).
The legal certainty comes back when commitments take the form of contracts (II), which is becoming more common as companies contractualise their legal Compliance Obligations, thereby changing the nature of the resulting liability, with the contract retaining the imprint of the legal order or not having the same scope if this prerequisite is not present.
But the contours and distinctions are not so uncontested. In fact, the qualification of unilateral undertaking of will is proposed to apprehend the various documents issued by the companies, with the consequences which are attached to that, in particular the transformation of the company into a 'debtor', which would change the position of the stakeholders with regard to it (III).
It remains that the undertakings expressed by companies on so many important subjects cannot be ignored: they are facts (IV). It is as such that they must be legally considered. In this case, Civil Liability will have to deal with them if the company, in implementing what it says, what it writes and in the way it behaves, commits a fault or negligence that causes damage, not only the sole existence of an undertaking.
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🔓read the developments below ⤵️
Nov. 28, 2024
MAFR TV : MAFR TV - Overhang
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🌐s'abonner à la Newsletter MAFR. Regulation, Compliance, Law
🌐s'abonner à la Newsletter Surplomb, par MAFR
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► Référence complète : M.-A. Frison-Roche, "Compliance et engagement : le juste milieu de l'arrêt rendu par la Cour d'appel de La Haye le 12 novembre 2024", in série de vidéos Surplomb, 28 novembre 2024
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🌐visionner sur LinkedIn cette vidéo de la série Surplomb
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🎬visionner ci-dessous cette vidéo de la série Surplomb⤵️
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Surplomp, par mafr
la série de vidéos dédiée à la Régulation, la Compliance et la Vigilance
Oct. 24, 2024
Thesaurus : 03. Conseil d'Etat
► Référence complète : CE, Ass., 24 octobre 2024, 465144, Mutuelle centrale de réassurance (MCR)
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Sept. 5, 2024
Thesaurus : Doctrine
► Référence complète : R. Intolé, La responsabilité des grandes entreprises à l’aune du devoir de vigilance. Analyse comparée des droits français et OHADA, préf. M. Goré, L'Harmattan, coll. "Le Droit aujourd'hui", 2024, 412 p.
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📗lire la table des matières de l'ouvrage
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► Résumé de l'ouvrage (fait par l'éditeur) : "Le devoir de vigilance prône la responsabilisation des grandes entreprises en matière sociétale et environnementale. En permettant l’appréhension des grandes entreprises et de leurs réseaux dans leur ensemble, il incite toute l’organisation à agir globalement de manière responsable.
L’analyse du devoir de vigilance en droit français fait ressortir que ce dernier s’écarte des solutions classiques du droit de la responsabilité, et cela à au moins deux points de vue. Les normes applicables au devoir de vigilance privilégient une approche fondée sur l’auto-contrôle autonome des entreprises plutôt que sur la répression. En même temps, le devoir de vigilance apporte une logique de contrainte entraînant plus spécifiquement une nouvelle construction du droit de la responsabilité fondée sur la prévention, qualifiée de responsabilité-anticipation.
Il est alors proposé la transposition de ces pratiques qui ont pénétré le droit français en droit de l’OHADA."
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Aug. 28, 2024
Editorial responsibilities : Direction of the collection "Cours-Série Droit privé", Editions Dalloz (33)
► Référence complète : R. Cabrillac, Droit des obligations, Dalloz, coll. "Cours Dalloz-Série Droit privé", 16ième éd., 2024, 484 p.
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► Présentation de l'ouvrage : Parfaitement à jour des réformes récentes, le manuel de Rémy Cabrillac raconte en 450 pages le droit des obligations comme une matière vivante et quotidienne. Afin que cette matière demeure compréhensible, sa présentation en demeure classique, une première partie de l'ouvrage est consacré aux sources, la seconde traitant du régime.
Pour le faire, cet ouvrage désormais classique expose ainsi les actes juridiques, les quasi-contrats, la responsabilité civile extracontractuelle, puis les modalités, la circulation et l'extinction des obligations.
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📚Consulter l'ensemble de la collection dans laquelle l'ouvrage a été publié.
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📚Sont directement corrélés à cet ouvrage :
📕D. Mainguy, Contrats spéciaux
📕J.-B. Seube, Droit des suretés
📕J.-D. Pellier, Droit de la consommation
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June 12, 2024
Conferences
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► Full Reference: M.-A. Frison-Roche, Participation in the panel "Une Gouvernance responsable : vers un mieux vivre ensemble ?" ("Responsible governance: towards a better way of living together"), in Grenelle du Droit 5. L'avenir de la filière juridique, Association française des juristes d'entreprise ("The future of the legal profession"), AFJE), Cercle Montesquieu and Paris Panthéon-Sorbonne University, Campus Port-Royal Université Paris 1 Panthéon-Sorbonne, 1 rue de la Glacière, 75013 Paris, June 12, 2024
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🧮See the full programme of this event (in French)
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🎥watch the interview made just after this round-table discussion (in French)
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🪑🪑🪑🪑🪑 will also be taking part in this round-table discussion:
🕴️Yves Garagnon, Chairman of Dilitrust,
🕴️Pierrick Le Goff, lawyer, partner at De Gaulle Fleurance,
🕴️Sabine Lochmann, Chairman of Ascend,
🕴️Vincent Vigneau, President of the Commercial, Economic and Financial Chamber of the Cour de cassation (French Judicial Supreme Court)
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► English presentation of my intervention in this event's opening plenary round-table: In this plenary round table which opens the event, devoted to the theme of 'responsible corporate governance', for my interventions based on my work I will have the opportunity to address more particularly these different perspectives:
- How the new Compliance Law, which gives concrete expression to the responsibility of enterprises in a new relationship with States and with civil society, constitutes a 'legal revolution
- 💡for the record, mafr,📝Compliance Law, 2016 ; (ed.) 📘Compliance Monumental Goals, 2022
- how the judgment handed down by the Tribunal judiciaire de Paris (Paris First Instance Civil Court) on 28 February 2023 (Total Ouganda case) is remarkable and already constitutes a turning point in case law
- 💡for the record, mafr, 🎤audition as amica curiae, hearing of 26 October 2022 before the first instance Paris Court; (ed)📘Compliance Jurisdictionalisation, 2024
- how the relationship between States and enterprises is being renewed by this profound legal movement expressed by Compliance Law
- 💡for the record, mafr et M. Boissavy (ed.), 📕Compliance et droits de la défense - Enquêtes internes, CJIP, CRPC, mafr (dir.), 📘 Compliance Obligation, 2025
- how internal lawyers have a decisive and central role to play in this movement, particularly in the mechanism of vigilance / corporate sustainability due diligence, the "cutting edge" of Compliance Law,
- 💡for the record, mafr, 📝Contract of Compliance, Compliance stipulations, 2023 ; (ed.), 📘Compliance and Contract, 2025
- what is meant by the "Ex Ante responsibility" of enterprises, which does not necessarily entail their Ex Post liability, a distinction which lawyers are the guardians of
- 💡for the record, mafr, 📝La responsabilité Ex Ante, pilier du Droit de la Compliance ("Ex-Ante Responsability, Compliance Law Pillar"), 2021
- how European Compliance Law is profoundly humanist, an identity that distinguishes European Compliance from American Compliance and, above all, from Chinese Compliance.
- 💡for the record, mafr (ed.), 📕Pour une Europe de la Compliance ("For the Europe of the Compliance"), 2017
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read the article about this round table written by Delphine Bauer in Actu-Juridique (in French)
May 29, 2024
Editorial responsibilities : Direction of the collection Compliance & Regulation, JoRC and Bruylant
🌐follow Marie-Anne Frison-Roche on LinkedIn
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► Full Reference: M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published
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📕In parallel, a book in French L'Obligation de compliance, is published in the collection "Régulations & Compliance" co-published by the Journal of Regulation & Compliance (JoRC) and Dalloz.
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📚This book is inserted in this series created by Marie-Anne Frison-Roche for developing Compliance Law.
read the presentations of the other books of this Compliance Series:
- further books:
🕴️M.A. Frison-Roche (dir.), 📘Le système probatoire de la compliance, 2025
- previous books:
🕴️M.A. Frison-Roche (ed), 📘Compliance Juridictionnalisation, 2023
🕴️M.A. Frison-Roche (ed), 📘Compliance Monumental Goals, 2022
🕴️M.-A. Frison-Roche (ed.), 📘Compliance Tools, 2021
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► go to the general presentation of this 📚Series Compliance & Regulation, conceived, founded et managed by Marie-Anne Frison-Roche, co-published par the Journal of Regulation & Compliance (JoRC) and Bruylant.
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🧮the book follows the cycle of colloquia 2023 organised by the Journal of Regulation & Compliance (JoRC) and its Universities partners.
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► general presentation of the book: Compliance is sometimes presented as something that cannot be avoided, which is tantamount to seeing it as the legal obligation par excellence, Criminal Law being its most appropriate mode of expression. However, this is not so evident. Moreover, it is becoming difficult to find a unity to the set of compliance tools, encompassing what refers to a moral representation of the world, or even to the cultures specific to each company, Compliance Law only having to produce incentives or translate this ethical movement. The obligation of compliance is therefore difficult to define.
This difficulty to define affecting the obligation of compliance reflects the uncertainty that still affects Compliance Law in which this obligation develops. Indeed, if we were to limit this branch of law to the obligation to "be conform" with the applicable regulations, the obligation would then be located more in these "regulations", the classical branches of Law which are Contract Law and Tort Law organising "Obligations" paradoxically remaining distant from it. In practice, however, it is on the one hand Liability actions that give life to legal requirements, while companies make themselves responsible through commitments, often unilateral, while contracts multiply, the articulation between legal requirements and corporate and contractual organisations ultimately creating a new way of "governing" not only companies but also what is external to them, so that the Monumental Goals, that Compliance Law substantially aims at, are achieved.
The various Compliance Tools illustrate this spectrum of the Compliance Obligation which varies in its intensity and takes many forms, either as an extension of the classic legal instruments, as in the field of information, or in a more novel way through specific instruments, such as whistleblowing or vigilance. The contract, in that it is by nature an Ex-Ante instrument and not very constrained by borders, can then appear as a natural instrument in the compliance system, as is the Judge who is the guarantor of the proper execution of Contract and Tort laws. The relationship between companies, stakeholders and political authorities is thus renewed.
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🏗️general construction of the book
The book opens with a double Introduction. The first, which is freely accessible, is a summary of the book, while the second, which is substantial, deals with the future development of the compliance obligation in a borderless economic system.
The first part is devoted to the definition of the Compliance Obligation.
The second part presents commitments and contracts, in certain new or classic categories, in particular public contracts, and compliance stipulations, analysed and qualified regarding Compliance Law and the various relevant branches of Law.
The third part develops the responsibilities attached to the compliance obligation.
The fourth part refers to the institutions that are responsible for the effectiveness, efficiency, and efficacy of the compliance obligation, including the judge and the international arbitrator.
The fifth part takes the Obligation or Duty of Vigilance as an illustration of all these considerations.
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TABLE OF CONTENTS
COMPLIANCE OBLIGATION : OVERVIEW
Section 1 ♦️ Main Aspects of the Book L'Obligation de Compliance, by 🕴️Marie-Anne Frison-Roche
Section 2 ♦️ Conceiving the unicity of the Compliance Obligation without diluting it, by 🕴️Marie-Anne Frison-Roche
TITLE I.
IDENTIFYING THE COMPLIANCE OBLIGATION
CHAPTER I: NATURE OF THE COMPLIANCE OBLIGATION
Section 1 ♦️ Will, Heart and Calculation, the three marks surrounding the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche
Section 2 ♦️ Debt, as the basis of the compliance obligation, by 🕴️Bruno Deffains
Section 3 ♦️ Compliance Obligation and Human Rights, by 🕴️Jean-Baptiste Racine
Section 4 ♦️ Compliance Obligation and changes in Sovereignty and Citizenship, by 🕴️René Sève
CHAPTER II: SPACES OF THE COMPLIANCE OBLIGATION
Section 1 ♦️ Industrial Entities and Compliance Obligation, by 🕴️Etienne Maclouf
Section 2 ♦️ Compliance, Value Chains and Service Economy, by 🕴️Lucien Rapp
Section 3 ♦️ Compliance and conflict of laws. International Law of Vigilance-Conformity, based on recent applications in Europe, by 🕴️Louis d'Avout
TITLE II.
ARTICULATING THE COMPLIANCE OBLIGATION WITH BRANCHES OF LAW
Section 1 ♦️ Constitutional dimensions of the Compliance Obligation, by 🕴️Stéphane Mouton
Section 2 ♦️ Tax Law and Compliance Obligation, by 🕴️Daniel Gutmann
Section 3 ♦️ General Procedural Law, prototype of the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche
Section 4 ♦️ Corporate and Financial Markets Law facing the Compliance Obligation, by 🕴️Anne-Valérie Le Fur
Section 5 ♦️ The Relation between Tort Law and Compliance Obligation, by 🕴️Jean-Sébastien Borghetti
Section 6 ♦️ Environmental and Climate Compliance, by 🕴️Marta Torre-Schaub
Section 7 ♦️ Competition Law and Compliance Law, by 🕴️Jean-Christophe Roda
Section 8 ♦️ The Compliance Obligation in Global Law, by 🕴️Benoît Frydman
Section 9 ♦️ Transformation of Labour Relations and Vigilance Obligation, by 🕴️Stéphane Vernac
Section 11 ♦️ Judge of Insolvency Law and Compliance Obligations, by 🕴️Jean-Baptiste Barbièri
TITLE III.
COMPLIANCE : GIVE AND TAKE THE MEANS TO OBLIGE
CHAPTER I: CONVERGENCE OF SOURCES
Section 1 ♦️ Compliance Obligation, between Will and Consent: obligation upon obligation works, by 🕴️Marie-Anne Frison-Roche
Section 2 ♦️ What a Commitment is, by 🕴️Marie-Anne Frison-Roche
Section 3 ♦️ Cybersecurity and Compliance Obligation, by 🕴️Michel Séjean
Section 4 ♦️ Place of Hope in the Ability to Apprehend the Future, by 🕴️
Section 5 ♦️ Legal Constraint and Company Strategies in Compliance matters, by 🕴️Jean-Philippe Denis & Nathalie Fabbe-Costes
CHAPTER II: INTERNATIONAL ARBITRATION IN SUPPORT OF THE COMPLIANCE OBLIGATION
Section 1 ♦️ Reinforcing Compliance Commitments by referring Ex Ante to International Arbitration, by
Section 2 ♦️ The Arbitral Tribunal's Award in Kind, in support of the Compliance Obligation, by 🕴️Eduardo Silva Romero
Section 3 ♦️ The use of International Arbitration to reinforce the Compliance Obligation: the example of the construction sector, by 🕴️Christophe Lapp & 🕴️Jean-François Guillemin
Section 4 ♦️ The Arbitrator, Judge, Supervisor, Support, by 🕴️Jean-Baptiste Racine
Section 5 ♦️ How International Arbitration can reinforce the Compliance Obligation, by 🕴️Laurent Aynès
TITLE IV.
VIGILANCE, SPEARHEAD OF THE COMPLIANCE OBLIGATION
CHAPTER I: INTENSITIES OF THE VIGILANCE OBLIGATION, SPEARHEAD OF THE COMPLIANCE SYSTEM
Section 1 ♦️ Systemic Articulation between Vigilance, Due Diligence, Conformity and Compliance: Vigilance, Total Share of the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche
Section 2 ♦️ Intensity of the Vigilance Obligation by Sectors: the case of Financial Operators, by 🕴️Anne-Claire Rouaud
Section 3 ♦️ Intensity of the Vigilance Obligation by Sectors: the case of Banking and Insurance Operators, by 🕴️Mathieu Françon
Section 4 ♦️ Intensity of the Vigilance Obligation by Sectors: the case of Digital Operators, by 🕴️Grégoire Loiseau
Section 5 ♦️ Intensity of the Vigilance Obligation by Sectors: the case of Energy Operators, by 🕴️Marie Lamoureux
CHAPTER II: VARIATIONS OF TENSIONS GENERATED BY THE VIGILANCE OBLIGATION, SPEARHEAD OF THE COMPLIANCE SYSTEM
Section 1 ♦️ Rethinking the Concept of Civil Liability in the light of the Duty of Vigilance, Spearhead of Compliance, by 🕴️Mustapha Mekki
Section 2 ♦️ The transformation of governance and due diligence, by 🕴️Véronique Magnier
Section 3 ♦️ Technologies available, prescribed or prohibited to meet Compliance and Vigilance requirements, by 🕴️Emmanuel Netter
CHAPTER III: NEW MODALITIES OF THE COMPLIANCE OBLIGATION, HIGHLIGHTED BY THE VIGILANCE IMPERATIVE
Section 1 ♦️ How the Vigilance Imperative fits in with International Legal Rules, by 🕴️Bernard Haftel
Section 2 ♦️ Contracts and clauses, implementation and modalities of the Vigilance Obligation, by 🕴️Gilles J. Martin
Section 3 ♦️ Proof that Vigilance has been properly carried out with regard to the Compliance Evidence System, by 🕴️Jean-Christophe Roda
TITLE V.
THE JUDGE AND THE COMPLIANCE OBLIGATION
Section 1 ♦️ Present and Future Challenges of Articulating Principles of Civil and Commercial Procedure with the Logic of Compliance, by 🕴️Thibault Goujon-Bethan
Section 2 ♦️ Mediation, the way forward for an Effective Compliance Obligation, by 🕴️Malik Chapuis
Section 3 ♦️ The Judge required for an Effective Compliance Obligation, by 🕴️Marie-Anne Frison-Roche
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March 1, 2024
Thesaurus : Doctrine
► Référence complète : C. Granier, "La direction des banques au prisme de la compliance", in A. Maymont (dir.) dossier "Le banquier face à la compliance", RD bancaire et fin., n° 2, mars-avril 2024, dossier 11
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► Résumé de l'article (fait par l'auteure) : "Incontestable en matière bancaire, le développement de la compliance affecte la direction des banques. Elle pèse en premier lieu sur les organes dirigeants qui voient leur liberté d’organisation restreinte et leur charge alourdie, puisque celle-ci intègre désormais des préoccupations relevant de la compliance. En second lieu, les personnes physiques qui occupent des fonctions de direction sont également affectées du fait d’un alourdissement de leur responsabilité et de la nécessité de satisfaire à des exigences de nature personnelle.".
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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche
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Feb. 1, 2024
Conferences
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► Full Reference: M.-A. Frison-Roche, "Compliance et Responsabilité civile : comprendre et raison garder" ("Compliance and Civil Liability: understanding and keeping our heads"), in Droit de la compliance (Compliance Law), École nationale de la magistrature - ENM (French National School for the Judiciary) in collaboration with the École de Formation professionnelle des Barreaux du ressort de la cour d'appel de Paris - EFB (Paris Bar School), Paris, February 1, 2024.
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► This conference is given in French.
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🧮see the full programme of this event (in French)
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🌐consult on LinkedIn a general presentation of this event, which links to a presentation of each speech (in French)
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🔲see the slides used to support the presentation (in French)
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📝This conference and the Working Paper on which it is based are to be linked with the article to be published in the book📘Compliance Obligation
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🎤see a presentation of the conference "Droit de la Compliance : tour d'horizon" ("Compliance Law: overview"), given at the same symposium
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► Presentation of the conference : It is difficult, even artificial, to separate the presentation of the relationship between Compliance Law and Civil Liability from the consideration given in Compliance to Criminal Liability, sanctions and the whole contractual organisation. But, if only for reasons of time, this will be done.
The chosen method consists of using decisions handed down either under Compliance Law, an emerging branch of Law of which an overview has been given before📎
It always seems that civil liability and Compliance Law are both intimate and have a difficult relationship. To understand them, before embarking on crusades in one direction or another, it is technically necessary to look at the liabilities attached to the application of "compliance regulations" imposed on economic operators, who contractualise the resulting legal obligations and whose third parties may also rely on breaches on the grounds of civil liability. This is the first stage of the analysis. Much is made of the Vigilance technique. Even if this is the advances point of Compliance, we also need to look at the GDPR, the French co-called "Sapin 2" law, Anti-Corruption, etc.
However, civil liability is not the same depending on whether the obligation, legal and/or contractual, in relation to which it arises as a cause of action, gives rise, depending on the case, the text and the person, to an obligation of means or an obligation of result. If there is one principle to bear in mind, particularly in the mind of the judge, it is that, unless a text or clause provides otherwise, an obligation is an obligation of means.
This essential question raises the need to better define the "Compliance Obligation", which consists of prevention and detection, with the economic operator making his "best efforts" with regard to the monumental goals to which the various regulations (thus finding their unity) are normatively anchored. The Ex Ante evidential dimension thus comes to the fore.
In the second part of the analysis, which continues to be based on court decisions, we need to measure the "points of contact" between these "special compliance responsibilities" and the Ordinary Law of Civil Liability. Indeed, because this is a profound movement that runs through the entire legal system, expressing a social demand that distinguishes Western law from the rest of the world, Ordinary Liability Law has long had a preventive dimension and targets operators in a different way, not only because of their power, but also because of their "mission". This is expressly stated in the case law, and these points of contact do not justify opposing the two branches. It would only be if Compliance Law were confused with its instrument, "conformity", and if new principles were invented in an Ordinary Law, that clashes could arise.
In the third stage of the analysis, which can be applied to the principles at stake today, it should be remembered that while there is no general Compliance Obligation under Ordinary Law, which implies detecting and preventing for oneself and for others any breach of any applicable regulation likely to harm others, there is a principle of freedom, as the Conseil constitutionnel (French Constitutional Council) regularly reminds us. Unless we change the legal system so that people become nothing more than subjects who obey all regulations and let it be seen that they do so, with the judge's role being limited to punishing them for not doing so. Indeed, the principle of freedom remains the foundation both of the Ordinary Civil Liability Law (and not of repression, as in Chinese Law) and of the Special Law of Compliance (and not of conformity, as in Chinese law).
In conclusion, it appears that the evolution of Civil Liability, in particular due to the spirit of a Compliance Law that is articulated with it, is leading to a twofold movement: from Ex Post liability to Ex Ante responsibility📎
To accompany this movement, alliances are being forged and must be fostered, which brings Compliance Law face to face with Competition Law, alliances often forged by contract and for which the role of the judge is being renewed, particularly through mediation techniques.
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Dec. 27, 2023
Thesaurus : Doctrine
► Référence complète : M. Fabre-Magnan, "Critique de la convergence des responsabilités contractuelle et délictuelle. L'exemple du devoir de vigilance", in Mélanges en l'honneur du Professeur Loïc Cadiet, LexisNexis, 2023, pp. 547-561
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► Résumé de l'article : Après avoir rappelé les oppositions doctrinales entre les auteurs qui considèrent que la responsabilité civile délictuelle n’existerait pas et ne serait qu’une exécution par équivalent du contrat, et ceux qui au contraire sont partisans d’une assimilation des responsabilités civiles contractuelle et délictuelle, l'auteure s'attache à démontrer que les évolutions contemporaines du droit de la responsabilité nous orientent vers une confusion des responsabilités délictuelle et contractuelle, au détriment de la première. Cette extension du modèle de la responsabilité contractuelle à la responsabilité délictuelle est porteuse de 3 risques : une relativisation de la responsabilité délictuelle, une limitation de la réparation aux dommages prévisibles et une réduction de cette responsabilité à l’exécution d’obligations déterminées.
Pour illustrer ce phénomène, l’auteure prend l’exemple fil rouge du devoir de vigilance des sociétés mères et entreprises donneuses d'ordre, dont le régime de responsabilité, ou du moins les analyses qui en sont faites, sont particulièrement révélateurs de ce mouvement.
À ce titre, l’auteure pointe le risque de confusion qui existe entre l’obligation générale de prudence et de diligence découlant des articles 1240 et 1241 du Code civil et les autres devoirs et obligations spéciaux, dont le devoir de vigilance fait partie. Elle met en avant l’importance de bien distinguer entre ce qui est spécial et ce qui est général, ce qui l’amène à réaffirmer une distinction entre des éléments souvent confondus : le devoir de vigilance, la diligence et le duty of care britannique.
Elle critique également la logique qui consisterait à limiter l’action en responsabilité civile sur le fondement du devoir de vigilance au « bénéficiaire » de cette loi. Un tel raisonnement, de recherche d’un bénéficiaire dont les intérêts seraient protégés par un texte et qui de fait aurait intérêt à agir en cas de violation de celui-ci, n’est pas d’essence délictuelle mais contractuelle et ne devrait pas s’appliquer ici. Elle estime que tout manquement à ce devoir spécial devrait permettre à toute personne qui y a intérêt d’agir sur le fondement de la responsabilité civile délictuelle.
L’auteure constate par ailleurs une tendance à limiter la réparation du dommage, dans le cadre de la responsabilité civile délictuelle, au dommage qui serait prévisible, comme en matière de responsabilité civile contractuelle. Elle relève également la montée en puissance contemporaine de la prévention des dommages et d’une responsabilité ex ante. Elle met en garde sur le fait que si ce mouvement est heureux, il ne doit pas conduire à limiter la responsabilité civile délictuelle classique. Par exemple, en matière de vigilance, elle estime que le respect par l’entreprise des obligations ex ante de détection et prévention des dommages qui lui incombent au titre de la loi de 2017 ne doivent pas constituer une cause d’exonération lui permettant d’échapper à une action en responsabilité civile délictuelle (fondée sur une faute autre que l’élaboration et la mise en oeuvre du plan) en cas de réalisation effective d’un dommage.
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🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche
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Dec. 19, 2023
Thesaurus : Doctrine
► Référence complète : Th. Duchesne, La responsabilité pour faute de l'actionnaire, préf. A. Gaudemet, LGDJ, coll. "Bibliothèque de droit privé", t. 636, 2023, 900 p.
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📗lire le sommaire de l'ouvrage
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📗lire la table des matières l'ouvrage
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► Résumé de l'ouvrage (fait par l'auteur) : "La responsabilité pour faute de l'actionnaire est un concept émergent dont l'étude révèle les mutations contemporaines du droit des sociétés. Le durcissement de la RSE impose de redessiner le statut de l'actionnaire, autrefois considéré comme irresponsable, pour construire une responsabilité pour faute de celui-ci concrétisant les nouvelles aspirations du droit des sociétés. La construction d'une telle responsabilité impose de se départir des objections tirées des règles traditionnelles du droit des sociétés protégeant en apparence l'actionnaire : responsabilité limitée, liberté de vote, écran de la personnalité morale... La pénétration de l'entreprise au cour du droit des sociétés et la réécriture de l'article 1833 du Code civil modèlent un nouveau statut de l'actionnaire fondant sa responsabilité. Outre un statut contractuel centré sur l'intérêt commun des actionnaires, l'actionnaire est désormais doté d'un statut normé par l'intérêt social, lequel vise la préservation de l'entreprise et de ses parties prenantes, dont il faut tirer toutes les conséquences. Cette redéfinition du statut de l'actionnaire doit se déployer sur le droit positif de la responsabilité pour faute de l'actionnaire afin de lui conférer une unité et une cohérence. Par l'entremise du droit commun de la responsabilité civile, la figure de l'actionnaire vigilant et socialement responsable ne pourrait-elle pas ainsi émerger ?".
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Dec. 5, 2023
Organization of scientific events
► Référence complète : M.-A. Frison-Roche, M. Mekki et J.-Ch. Roda (dir.), La Vigilance, pointe avancée de l'Obligation de Compliance, Journal of Regulation & Compliance (JoRC), Institut de Recherche Juridique de la Sorbonne (André Tunc - IRJS), Université Paris 1 Panthéon-Sorbonne, 5 décembre 2023.
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🏗️Ce colloque s'inscrit dans le cycle de colloques organisé par le Journal of Regulation & Compliance (JoRC) et ses Universités partenaires, portant en 2023 sur le thème général de L'Obligation de Compliance.
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📚Les travaux s'inséreront ensuite dans les ouvrages :
📕L'obligation de Compliance, à paraître dans la collection 📚Régulations & Compliance, coéditée par le Journal of Regulation & Compliance (JoRC) et Dalloz, publié en langue française.
📘Compliance Obligation, à paraître dans la collection 📚Compliance & Regulation, coéditée par le Journal of Regulation & Compliance (JoRC) et Bruylant, publié en langue anglaise.
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► Présentation générale du colloque : L'Obligation de Vigilance est difficile à cerner à travers la multiplicité des textes et les cas dans lesquels on peut l'appréhender. Cela est particulièrement perceptible à travers le mécanisme de Vigilance qui tout à la fois illustre, voire force le trait, de l'Obligation de Vigilance. A travers les textes internationaux, la loi française et les textes européens adoptés ou en gestation, les contraintes de vigilance, mais aussi les structures et actions mises en place que les entreprises ont organisé ainsi que les actions que les parties prenantes ont engagé, la Vigilance a mis en lumière des aspects de l'Obligation de Compliance, voire a modifié celle-ci.
L'effet de révélation ainsi produit et le mouvement ainsi déclenché, dont les racines sont profondes et les effets systémiques très importants, justifient que l'on cerne davantage des mécanismes qui sont articulés entre eux alors qu'ils sont parfois perçus en silo, ce qui rend difficile la compréhension d'ensemble. De la même façon, parce que la Vigilance est la pointe avancée de l'Obligation de Compliance, l'on peut ainsi mieux distinguer et articuler ce qui relève des spécificités sectorielles, notamment en matière bancaire et financière ou bien en matière numérique, et les articuler avec ce que la Vigilance a, comme la Compliance, de plus général. Plus encore, l'intensité de la Vigilance varie selon les ambitions quelle porte et selon la position de l'entreprise assujettie, ce que traduisent les variations de qualification juridique qui vont du devoir à l'obligation pénalement sanctionnée.
Les différents systèmes juridiques traduisent ces évolutions dans leur loi, leur jurisprudence et la pratique des entreprises et des parties prenantes de façon spécifique car ces différents techniques expriment des normes de comportement et de reddition de comptes dont les exigences probatoires, les conceptions de la responsabilité et les traductions institutionnelles à travers de possibles organes de régulation sont la traduction directe.
En conséquence, le colloque est construit en trois temps. Après une Introduction générale sur les rapports systémiques entre la Vigilance et la Compliance, une première partie porte sur la variation des Intensités de la Vigilance, pointe avancée de la Compliance, une deuxième partie porte sur les Tensions que la Vigilance engendre ou exacerbe, une troisième partie porte sur les Modalités que la Vigilance emprunte dans les systèmes de Compliance.
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► Interviennent :
🎤Laurence Dubin, Professeure à l'Université Paris 1 Panthéon-Sorbonne
🎤Marie-Anne Frison-Roche, Professeure de Droit de la Régulation et de la Compliance, directrice du Journal of Regulation & Compliance (JoRC)
🎤Bernard Haftel, Professeur à l'Université Paris-Nord
🎤Marie Lamoureux, Professeure à Aix-Marseille Université
🎤Grégoire Loiseau, Professeur à l'Université Paris 1 Panthéon-Sorbonne
🎤Véronique Magnier, Professeure à l'Université Paris-Saclay
🎤Gilles J. Martin, Professeur émérite à l'Université Côte d'Azur, membre du Groupe de Recherche en Droit, Économie, Gestion (GREDEG) du CNRS
🎤Mustapha Mekki, Professeur à l'Université Paris 1 Panthéon-Sorbonne
🎤Jean-Christophe Roda, Professeur à l'Université Jean Moulin Lyon 3
🎤Anne-Claire Rouaud, Professeure à l'Université Paris 1 Panthéon-Sorbonne
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Lire une présentation détaillée de la manifestation ci-dessous⤵️
Oct. 19, 2023
Thesaurus : Doctrine
► Référence complète : J.-L. Gaffard & G. J. Martin (dir.), Droit et économie de la transition écologique. Regards croisés, Mare & Martin, coll. "Mare & Martin", 2023, 168 p.
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► Résumé de l'ouvrage (fait par les auteurs) : "La transition écologique ne se décrète pas, elle se construit pas à pas. Le caractère irréductible de la contradiction entre activité humaine et préservation des éléments naturels ne saurait conduire à nier la complexité des rapports économiques et sociaux nécessaires pour y survivre. Au lieu d'énoncer un discours de vérité absolue que détiendrait un État omniscient ou le libre marché, le propos du présent ouvrage est d'ouvrir un débat démocratique dont l'objet est d'organiser le dissensus et de cultiver le compromis nécessaire pour rendre la transition viable. Pour répondre à ce défi, un regard croisé du Droit et de l'économie s'impose qui permet de souligner aussi bien la pluralité des ordres juridiques et des espaces normatifs que celle des ordres économiques au coeur desquels se trouve l'entreprise.".
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Sept. 7, 2023
Publications
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► Full Reference: M.-A. Frison-Roche & Arnoldo Wald, "Le cas Petrobras, une juste adéquation de la responsabilité pour protéger les personnes impliquées dans des systèmes globaux" ("The Petrobras case: the right balance of responsibility to protect those involved in global systems"), RIDC, July-September 2023, No. 3, pp. 563-582.
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► Summary of the article: This article briefly outlines the main aspects of corporate liability in the capital market under Brazilian law, arising from the company’s duty to inform shareholders and investors, followed by a commentary on the recent partial award in an arbitration brought by minority shareholders against Petrobras, which underlines the legitimacy of the minority shareholders to engage the company’s liability.
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July 15, 2023
Newsletter MAFR - Law, Compliance, Regulation
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► Référence complète : M.-A. Frison-Roche, "Compliance & Contrat / lien entre Consentement et Volonté ; enjeu de responsabilité personnelle : CNIL, 15 juin 2023, Criteo", Newsletter MAFR Law, Compliance, Regulation, 15 juillet 2023.
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🧱L'obligation légale de Compliance doit être exécutée grâce à des contrats, mais l'on ne peut s'en décharger par des contrats : CNIL, 15 juin 2023, Criteo
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📧lire l'article ⤵️
June 15, 2023
Thesaurus : Doctrine
► Référence complète : A. Beckers & G. Teubner, Three Liability Regimes for Artificial Intelligence: Algorithmic Actants, Hybrids, Crowds, Pedone, 2018.
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► Présentation de l'ouvrage (par les auteurs) : This book proposes three liability regimes to combat the wide responsibility gaps caused by AI systems – vicarious liability for autonomous software agents (actants); enterprise liability for inseparable human-AI interactions (hybrids); and collective fund liability for interconnected AI systems (crowds). Based on information technology studies, the book first develops a threefold typology that distinguishes individual, hybrid and collective machine behaviour. A subsequent social science analysis specifies the socio-digital institutions related to this threefold typology. Then it determines the social risks that emerge when algorithms operate within these institutions. Actants raise the risk of digital autonomy, hybrids the risk of double contingency in human-algorithm encounters, crowds the risk of opaque interconnections. The book demonstrates that the law needs to respond to these specific risks, by recognising personified algorithms as vicarious agents, human-machine associations as collective enterprises, and interconnected systems as risk pools – and by developing corresponding liability rules. The book relies on a unique combination of information technology studies, sociological institution and risk analysis, and comparative law. This approach uncovers recursive relations between types of machine behaviour, emergent socio-digital institutions, their concomitant risks, legal conditions of liability rules, and ascription of legal status to the algorithms involved.
May 25, 2023
Conferences
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► Full Reference: M.-A. Frison-Roche, "Conclusions", in Ch. Maubernard et A. Brès (dir.), Institut de droit européen des droits de l'homme et Centre de droit de l'entreprise, Université de Montpellier, Le devoir de vigilance des entreprises : l'âge de la maturité?("The Entreprises duty of vigilance: the maturity age?") , Montpellier, May 25, 2023.
The conference is held in French.
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🧮see the manifestation programme (in French)
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🌐 read the report done on LinkedIn (in French)
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► English summary of this final speech of the manifestation: It is rather difficult to draw a conclusion after listening so many contributions. For three reasons: firstly, because of their richness and extreme diversity; secondly, because of the fact that we do not know whether the duty of vigilance is under the French law of 2017 (known as the Vigilance Law) or in other national, European and international texts or beyond or below the legal rules; thirdly, because we do not know what is meant by the "maturity" of a legal concept. But in the end, since the question posed by the title itself of the colloquium is Duty of Vigilance: the age of maturity? the answer is clearly: no.
But this is regrettable. It is therefore essential to explore the ways in which the duty of vigilance can mature. If we find merit in this duty which has now entered the legal system, there are eight intersecting avenues, which must be exploited.
The first path is progression through the passage of time, rediscovering what in the past was already vigilance and what in the future will be its deployment.
The second way is to progress by fixing the vocabulary, because we are witnessing a great battle of words, overtly or covertly, in French or English.
The third path is progression through the emergence of principles, or even a principle, rediscovered or invented.
The fourth path is progression through coherence brought to the legal system(s), which at present suffer from gaps and inconsistencies, which could be remedied by methods such as centralising litigation or, more radically, ignoring borders.
The fifth path is progression through the fact that it works, because vigilance techniques are those of Compliance, of which vigilance is the leading edge, and the challenge is to find solutions.
The sixth path is progression through using power of the legal system not only to create new areas of relevance - starting with the notion of vigilance, but also that of the value chain - but also to impose new indifferences, namely indifference to the figure of the market (to which laws prefer the company and the value chain) and indifference to borders.
The seventh path is progression through bringing perspectives closer together, in order to find solutions even when interests are opposed. This is where the two techniques of contract and mediation are very welcome.
The eighth path is progression through culture, because the culture of vigilance, like the culture of compliance, must be developed within companies and supply chains, and must become common to them and their stakeholders.
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