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► Référence complète : M.-A. Frison-Roche, "Compliance et Responsabilité civile : comprendre et raison garder", 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 l'article

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🚧lire le document de travail bilingue sur la base duquel cet article a été élaboré, doté de développements supplémentaires, de références techniques et de liens hypertextes

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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) :

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► 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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► 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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► 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.

► 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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🌐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 

L’OBLIGATION DE COMPLIANCE : VISION D’ENSEMBLE

(COMPLIANCE OBLIGATION : OVERVIEW)

Section 1 ♦️ Lignes de force de l’ouvrage L'Obligation de Compliance (Main Aspects of the Book L'Obligation de Compliance), by 🕴️Marie-Anne Frison-Roche

Section 2 ♦️ Concevoir l'Obligation de Compliance : faire usage de sa position pour participer à la réalisation des Buts Monumentaux de la Compliance (Conceiving the Compliance Obligation: using its position to help achieve Compliance Monumental Goals), by 🕴️Marie-Anne Frison-Roche

TITRE I.

CERNER L’OBLIGATION DE COMPLIANCE 

(IDENTIFYING THE COMPLIANCE OBLIGATION)

CHAPITRE I : LA NATURE DE L’OBLIGATION DE COMPLIANCE

(CHAPTER I: THE NATURE OF THE COMPLIANCE OBLIGATION)

Section 1 ♦️ La Volonté, le Cœur et le Calcul (Will, Heart and Calculation), by 🕴️Marie-Anne Frison-Roche

Section 2 ♦️ La dette comme fondement de l'obligation de compliance (Debt, a concept underpinning 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 ♦️ Les mutations de la souveraineté et l'Obligation de Compliance (Changes in Sovereignty and the Compliance Obligation), by 🕴️René Sève

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 ♦️ Juge du droit des entreprises en difficulté et obligations de compliance (Judge 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 ♦️ L’Obligation de Compliance, entre volonté et consentement : obligation sur obligation vaut (Compliance Obligation, between Will and Consent: obligation upon obligation works), by 🕴️Marie-Anne Frison-Roche

Section 2 ♦️ Ce qu'est un engagement (What a Commitment is), by 🕴️Marie-Anne Frison-Roche

Section 3 ♦️ 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 4 ♦️ La cybersécurité et l’Obligation de Compliance (Cybersecurity and Compliance Obligation), by 🕴️Michel Séjean

Section 5 ♦️ La place de l’espoir dans l’aptitude à appréhender l’avenir (The Place of Hope in the Ability to Apprehend the Future), by 🕴️

Section 6 ♦️ 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 7 ♦️ La loi, source de l’Obligation de Compliance (The law, source of the Compliance Obligation), by 🕴️Jean-Baptiste Blanc

Section 8 ♦️ Opposition ou convergence des systèmes juridiques dans les règles et cultures de compliance (Opposition or Convergence of Legal Systems in Compliance Rules and Cultures), by 🕴️Raphaël Gauvain & 🕴️Blanche Balian

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 ♦️ Le renforcement des engagements de Compliance par le renvoi Ex Ante à l’arbitrage international (Reinforcing Compliance Commitments by referring Ex Ante to International Arbitration"), by  

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 & 🕴️Jean-François Guillemin

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)

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 1 ♦️ Articulation systémique entre Vigilance, Due Diligence, conformité et Compliance : la Vigilance, part totale de l'Obligation de Compliance (Systemic Articulation between Vigilance, Due Diligence, Conformity and Compliance: Vigilance, Total Share of the Compliance Obligation), by 🕴️Marie-Anne Frison-Roche

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

CHAPITRE II : LES VARIATIONS DE TENSIONS ENGENDRÉES PAR L’OBLIGATION DE VIGILANCE, POINTE AVANCÉE DU SYSTÈME DE COMPLIANCE (VARIATIONS OF TENSIONS GENERATED BY THE VIGILANCE OBLIGATION, SPEARHEAD OF THE COMPLIANCE SYSTEM)

Section 1 ♦️ 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 2 ♦️ Transformation de la gouvernance et obligation de Vigilance (Transformation of Governance and Vigilance Obligation), by 🕴️Véronique Magnier

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 ♦️ La façon dont l'impératif de Vigilance s'ajuste aux règles juridiques internationales (How the Vigilance Imperative fits in with International Legal Rules), by 🕴️Bernard Haftel

Section 2 ♦️ Contrats et clauses, mise en œuvre et modalités de l’Obligation de Vigilance (Contracts and clauses, implementation and modalities of the Vigilance Obligation), by 🕴️Gilles J. Martin

Section 3 ♦️ 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 ♦️ La médiation, voie d'avenir pour une Obligation de Compliance effective (Mediation, the way forward for an Effective Compliance Obligation), 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

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🌐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, 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)

🌐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.), 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 link 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 ♦️ The Arbitrator, indirect and direct agent of 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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► 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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🌐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, "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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🧱consult the scientific direction sheet of this event, which gives an account of the various speeches made

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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📎!footnote-3362, or under Special Liability Laws, such as Company Law (but here too the field of analysis is huge), or under Ordinary Civil Liability Law. The latter is often the preferred approach.

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📎!footnote-3363, and from Liability to Accountability.

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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► 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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► 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 la 4ième de couverture

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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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► 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⤵️

► 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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📗lire la 4ième de couverture

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📗lire la table des matières

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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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► 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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► 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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► 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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🚧read the Working Paper written just after this oral conclusion in preparation for the article to be published.

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► Full Reference: M.-A. Frison-Roche, "Pour un consommateur "vigilant" : l'éduquer. Analyse juridique" ("For a "vigilant" consumer: educate him. Legal analysis"), Newsletter MAFR - Law, Compliance, Regulation, 18 April 2023.

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🔴For an efficient Compliance Law: an Ex Ante responsibility in alliance with consumer expectations 

A survey confirms that consumers integrate the monumental goals that generate compliance duties and obligations on the companies that sell them products. But this does not create a duty on them to prefer these products over others: they do not feel "responsible" for them. Compliance Law is based on ex ante responsibility and shared duty. So, faced with this attitude, what can the Law do?

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► Full Reference: M.-A. Frison-Roche,The role of the Judge in the deployment of Regulatory Law in Compliance Law, Working Paper, June 2023. 

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🎤 this Working Paper has been elaborated to be the basis of the final speech in the colloque coorganised by the Conseil d'Etat (French Administrative Supreme Court) and the Cour de Cassation (French Judicial Supreme Court), De la Régulation à la Compliance: quel rôle pour le juge ?, the 2nd Juin 2023

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📝 It is also the basis for the article written in French that concludes the dossier published in La documentation française following the conference.

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► Summary of this Working Paper: The role of the Judge, a character who seems weak in Compliance Law, this branch of Law so powerful in a world where technology is developing an even more impressive power, could be to put the strength that is proper to him to continue to do: namely to be the guardian of the Rule of Law, which is not so obviously present because many of Compliance tools are in a way "insensitive" to what we are attached to (I).  The second role that we can expect of the Judge is that he should help to ensure the permanence of this Rule of Law, which relies to a large extent on him, in the face of a world that is opening up before us, which is unknown (mainly digital and climatic), and which Compliance Law wishes to grasp by renewing Regulatory Law (II). In what implies both a profound maintenance of a Judge that one would like to exclude by various agreements or replace by algorithms, and a profound transformation of an office turned towards the future (III), .... (IV).

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🔓read the Working Paper below⤵️

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► Full Reference: M.-A. Frison-Roche, "Contrat de compliance, clauses de compliance", Chronique of Compliance Law, D.2022, p.2115-2117.

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📝reac the article (this article is written in French)

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► English summary of the article: Compliance Law is often seen only as an obligation to comply with regulations. Contract Law is masked by the study of texts and sanctions. Civil liability cases are beginning to highlight the commitments of companies, acts of will. It remains to discern the importance of contracts.

First, there is a specific contract: the "compliance contract". Its purpose is to provide a third party with a service, the means for the company to "comply" with the legal systems requirements ("contract of conformity"), and/or to enable the company to achieve the monumental goals that characterize Compliance Law (contract of compliance). The interpretation and the regime of these compliance contracts must be marked by the Compliance Law that permeates it. Secondly, there are a multitude of stipulations aimed at conformity and Compliance.

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🚧read the working paper written in English: Compliance contract, Compliance stipulations

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📚read the other articles published in this chronique of Compliance Law published in the Recueil Dalloz.

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► Full Reference: M.-A. Frison-Roche, "Compliance, the new legal way for human values: towards an Ex Ante Responsibility", in Evolução do Direito no século XXI. Seus princípios e valores: ESG, Liberdade, Regulação, Igualdade e Segurança Jurídica. Homenagem ao Professor Arnoldo Wald, vol. 2, Direito Privado, São Paulo, Editora IASP, 2022, pp. 977-983

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► Summary of the article:  For the first time, the future is the first question for the Humanity. The classical legal conception of Tort Law concerns the Past, the philosophical conception of Hans Jonas, a Responsability for the Future, an Ex-Ante Responsability must become a legal notion. 

Traditionally, the Legislator takes decision for the Future and the Judges takes ones for the Past, but now in front of the possible disparition of human beings on this planet, global and catastrophic perspective, all legal perspectives need to be used, breaking the classical repartition, in the priority of the future.  To do something, the Responsability must be put on everyone in a legal force, not only on the classical subject of Law and because of past behaviors, but because the operators, States, firms, or individuals, are "in position" to do so. 

This new "Ex-Ante Responsability" is an essential part of the Compliance Law, very new branche of Law, with an extraterritorial effect, to find immediate and active solutions for the future. Because the issue is global, international Arbitration is in position to apply the conception, because international arbitrators are the global judges.

This new conception of legal Ex-Ante Responsability, declared by courts, expressed human values, such as the concerns for the others, in concordance withe the humanist tradition of European and American Law, Compliance being not at all to obey regulations but to concretise an alliance a Monumental Goal, here for the preservation of human beings in the future, and the powers and the legal duties of corporate and people to do so. 

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► Full Reference: M.-A. Frison-Roche, Compliance contract, compliance clauses, working paper, September 2022.

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►Summary of this working paper:  Compliance Law has multiplied obligations. However, although Tort Law is emerging in Compliance issues and contracts are multiplying in practice, for the moment the relationship between Compliance Law and Contract Law is not very visible (I).

However, there are contracts whose sole purpose is to give concrete form to Compliance, which creates a specific contract and must influence its implementation (II). Moreover, there is much to learn from the diversity of compliance stipulations scattered throughout a wide range of contracts (III).

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🔓read the developments below⤵️

►Référence complète : Cabrillac, R., Droit des obligations, Coll. "Cours Dalloz-Série Droit privé", 15ième éd., 2022, Dalloz, 450 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 ates 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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► Full Reference: FM.-A. Frison-Roche, La responsabilité ex ante, pilier du droit de la compliance ("Ex-Ante Responsibility, Compliance Law Pillar"), D.2022, chronique MAFR - Droit de la Compliance, Recueil Dalloz, March 31, 2022.

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► Article English Summary: The Law must help to face the future, which can be totally catastrophic in terms of climate and digital issues. Courts are s best placed for this, without “governing”, only relying on the commitments made by companies, governments, and legislators.  On the ordinary Tort Law, court decisions oblige these different entities to be consistent in the commitments they have made, obliging them to act in the future, formal “compliance” with the regulations cannot be sufficient. This ex-ante responsibility, founding the powers, thus constitutes a pillar of a substantial Compliance Law, showing the part that CSR and the companies with a raison d'être play in it.

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📝 read the article. (written in French)

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📚go to the presentation of the other articles published in this Chronique Droit de la Compliance made in the Recueil Dalloz. 

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