Vigilance

► Full reference: L. Laref (ed.), Compliance et vigilance bancaire. Contribution des acteurs bancaires et financiers à la LCB-FT (Compliance and Banking Vigilance. The Contribution of Banking and Financial Actors to AML/CFT), preface by N. Vasse, “Régulations & Compliance” series, Journal of Regulation & Compliance (JoRC) and Lefebvre-Dalloz, forthcoming. - 🧮This book follows the colloquium Compliance et vigilance bancaire : la participation des acteurs du secteur bancaire et financier à la LCB/FT, at which Marie-Anne Frison-Roche spoke: 🎤“Obligation de compliance et gouvernance bancaire” (Compliance Obligation and Banking Governance). - 📝Contribution by 🕴️Marie-Anne Frison-Roche: « La contribution des banques à la lutte contre le blanchiment de capitaux et le financement du terrorisme, illustration de l’Obligation systémique de Compliance » (The Contribution of Banks to the Fight against Money Laundering and Terrorist Financing, an Illustration of the Systemic Compliance Obligation). - ► Read the presentations of the other books in the series: the following books: 🕴️M.-A. Frison-Roche, 📕Le système juridique de l’adressage de l’Internet. Une structure multi-acteurs, gage de durabilité (The Legal System of Internet Addressing. A Multi-Stakeholder Structure, the Pledge of its Sustainability), forthcoming 🕴️M.-A. Frison-Roche (ed.), 📕Le système probatoire de la Compliance, forthcoming   the previous books: 🕴️M.-A. Frison-Roche (ed.), 📕Compliance et Contrat, forthcoming 🕴️M.-A. Frison-Roche (ed.), 📕L’Obligation de Compliance, 2025 🕴️M.-A. Frison-Roche and M. Boissavy (eds.), 📕Compliance et droits de la défense. Enquête interne – CJIP – CRPC, 2024 🕴️M.-A. Frison-Roche (ed.), 📕La juridictionnalisation de la Compliance, 2023 🕴️M.-A. Frison-Roche (ed.), 📕Les Buts Monumentaux de la Compliance, 2022 🕴️M.-A. Frison-Roche (ed.), 📕Les outils de la Compliance, 2021 🕴️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 all the books of the series. - ► Provisional table of contents: PROVISIONAL TABLE OF CONTENTS (in French) Preface by 🕴️Nicolas Vasse, Executive Director of the Anti-Money Laundering Authority (AMLA) PROPOS INTRODUCTIFS (Introductory Remarks) PERSPECTIVE GÉNÉRALE (General Perspective) ♦️ La contribution des banques à la lutte contre le blanchiment de capitaux et le financement du terrorisme, illustration de l’Obligation systémique de Compliance, by 🕴️Marie-Anne Frison-Roche PREMIÈRE PARTIE (PART ONE) LA DIFFUSION DE LA COMPLIANCE DANS LE SECTEUR BANCAIRE ET FINANCIER (THE DIFFUSION OF COMPLIANCE IN THE BANKING AND FINANCIAL SECTOR) ♦️ Quelques rappels terminologiques utiles…, by 🕴️Jérôme Lasserre Capdeville DEUXIÈME PARTIE (PART TWO) LA RÉCEPTION DE L’OBLIGATION DE COMPLIANCE PAR LES PROFESSIONNELS DU SECTEUR BANCAIRE ET FINANCIER (THE RECEPTION OF THE COMPLIANCE OBLIGATION BY BANKING AND FINANCIAL SECTOR PROFESSIONALS) ♦️ La réception de la compliance LCB-FT par le secteur bancaire et financier. Modalités d’appropriation, dysfonctionnements structurels et éthique comme condition d’effectivité, by 🕴️Jennifer Marchand ♦️ L’obligation de compliance LCB-FT, moteur de transformation des pratiques en matière de crédits et de garanties, by 🕴️Patricia Le Besnerais TROISIÈME PARTIE (PART THREE) LA MODULATION DES OBLIGATIONS DES PROFESSIONNELS DU SECTEUR BANCAIRE ET FINANCIER EN MATIÈRE DE LCB-FT (THE MODULATION OF THE AML/CFT OBLIGATIONS OF BANKING AND FINANCIAL SECTOR PROFESSIONALS) ♦️ Le banquier face au défi de la vigilance : entre exigences contradictoires et responsabilités croissantes, by 🕴️Paula Seixas et 🕴️Romain Ducatez ♦️ L’harmonisation européenne face à la modulation de l’obligation de vigilance : les enseignements de l’AMLR, by 🕴️Cassandre Degrande QUATRIÈME PARTIE (PART FOUR) COMPLIANCE ET PERFORMATIVITÉ : LES ENJEUX AUTOUR DE LA REGTECH DANS LE SECTEUR BANCAIRE ET FINANCIER APPLIQUÉE À LA LCB-FT (COMPLIANCE AND PERFORMATIVITY: THE STAKES OF REGTECH IN THE BANKING AND FINANCIAL SECTOR APPLIED TO AML/CFT) ♦️ Compliance, performativité et RegTech : la reconfiguration des dispositifs de vigilance bancaire en matière de LCB-FT, by 🕴️Gurvan Branellec ♦️ Les observations de l’ACPR sur l’usage de l’IA par les banques et néobanques — entre avancées et nouveaux défis (titre provisoire), by 🕴️Jean-Christophe Cabotte PROPOS CONCLUSIFS (Concluding Remarks) - 🌐follow Marie-Anne Frison-Roche on LinkedIn 🌐follow Marie-Anne Frison-Roche on Instagram 🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law 🌐subscribe to the Video Newsletter MAFR Surplomb 🌐subscribe to the Newsletter MaFR Droit & Art

► Full reference: M.-A. Frison-Roche, "Le maniement du temps dans le contentieux contractuel impliquant la Compliance : de l’urgence au temps long (The management of time in contractual litigation involving compliance: from urgency to the long term)", in Journal of Regulation & Compliance (JoRC) and Jean Moulin – Lyon 3 University, Contractual disputes involving compliance: procedural and jurisdictional aspects,  Faculty of Law, Lyon, 29 May 2026. - 🧮[lien a="le-contentieux-contractuel-de-la-compliance-aspets"]view the full programme for the event[/lien] (in French) - 📶view the slides (in French) - 🚧Read the bilingual working paper on which this conference is based - Read the présenation of the other two papers presented at this conference: 🎥[lien a="lemergence-du-contentieux-contractuel-impliquant-l"]The emergence of contractual disputes involving compliance due to the convergence of legal areas[/lien] 🎥Appropriate adjudication in contractual disputes involving compliance and its effective enforcement - 📝This lecture will form the basis of a contribution to the book, 📕Compliance et Contrat  with English summaries)  To be published in the 📚[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Regulations & Compliance[/rubrique] series, a book co-published by the [rubrique p="JORC"]Journal of Regulation & Compliance (JoRC)[/rubrique] and Lefebvre-Dalloz. - ► Overview of this conference :  ⛏️Find out more  : 🕴🏻J.-M. Coulon and 🕴🏻M.-A. Frison-Roche (eds.), Le temps dans la procédure (Time in Legal Proceedings), 19966 🕴🏻M.-A. Frison-Roche, ⚙️[lien a="coordination-scientifique-et-animation-du-cycle-de"]Compliance and Contracts[/lien],   - 🌐Follow Marie-Anne Frison-Roche on LinkedIn 🌐follow Marie-Anne Frison-Roche on Instagram 🌐s'abonner à la Newsletter MAFR Regulation, Compliance, Law 🌐Subscribe to the video newsletter MAFR Overhang 🌐Subscribe to the MaFR Law & Art newsletter

► Full Reference: M.-A. Frison-Roche (ed.), [lien a="lobligation-de-compliance"]Compliance Obligation[/lien], Journal of Regulation & Compliance (JoRC) and Bruylant, "[rubrique p="Responsabilités éditoriales > Direction de la collection Compliance & Regulation, JoRC et Bruylant"]Compliance & Regulation[/rubrique]" Serie, 2026, to be published - 📕In parallel, a book in French [lien a="les-buts-monumentaux-de-la-compliance"]L'Obligation de compliance[/lien], is published in the collection "[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]" co-published by the Journal of Regulation & Compliance (JoRC) and Lefebvre-Dalloz.  - 📚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 (ed.), 📘Compliance Evidential System, 2027 🕴️M.-A. Frison-Roche (ed.), 📘Compliance and Contract, 2027   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 - ► go to the general presentation of this[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz'] [/rubrique]📚[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Series [/rubrique][rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']​Compliance & Regulation[/rubrique], conceived, founded et managed by Marie-Anne Frison-Roche, co-published par the Journal of Regulation & Compliance (JoRC) and Bruylant.  - 🧮the book follows the[lien a="cycle-de-colloques-la-juridictionnalisation-de-la-"] [/lien][lien a="cycle-de-colloques-2023-lobligation-de-compliance"]cycle of colloquia organised by the Journal of Regulation & Compliance (JoRC) and its Universities partners.[/lien] - ► 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. - 🏗️general construction of the book The book opens with a substantial Introduction, putting the different sort of obligations of compliance in legal categories for showing that companies must build structures of compliance (obligation of result) and act to contribute with states and stakeholders to reach Monumental Goals (obligation of means).  The first part is devoted to the definition of the Compliance Obligation.  The second part presents the articulation of Compliance obligation with the other branchs of Law, because the specific obligation is built by Compliance Law, as new substantial branch of Law but also by many other branchs of Law. The third part develops the pratical means established to obtained the Compliance Obligation to be effective, efficace and efficient. The fourth part takes the Obligation  of Vigilance as an illustration of all these considerations and the discussion about the future of this sparehead fo the Compliance Obligation .  The fifth part refers to the place and the role of the judges, natural characters for any obligation.  - TABLE OF CONTENTS    ANCHORING THE SO DIVERSE COMPLIANCE OBLIGATIONS IN THEIR NATURE, REGIMES AND FORCE TO BRING OUT THE VERY UNITY OF THE COMPLIANCE OBLIGATION, MAKING IT COMPREHENSIBLE AND PRACTICABLE    🔹 Compliance Obligation: building a compliance structure that produces credible results withe regard to the Monumentals Goals targeted by the Legislator, 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 Section 5 🔹 The definition of the Compliance Obligation in Cybersecurity, by 🕴️Michel Séjean   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 applications in Europe, by 🕴️Louis d'Avout    TITLE II. ARTICULATING THE COMPLIANCE OBLIGATION WITH OTHER BRANCHES OF LAW   Section 1 🔹 Tax Law and Compliance Obligation, by 🕴️Daniel Gutmann Section 2 🔹 General Procedural Law, prototype of the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche Section 3 🔹 Corporate and Financial Markets Law facing the Compliance Obligation, by 🕴️Anne-Valérie Le Fur Section 4 🔹 Transformation of Governance and Vigilance Obligation, by 🕴️Véronique Magnier 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 & 🕴️Alice Briegleb Section 9 🔹 Environmental an Climatic Dimensions of the Compliance Obligation, by 🕴️Marta Torre-Schaub Section 10 🔹 Judge of Insolvency Law and Compliance Obligations, by 🕴️Jean-Baptiste Barbièri   TITLE III. COMPLIANCE: GIVE AND TAKE THE MEANS TO OBLIGE   CHAPTER I: COMPLIANCE OBLIGATION: THE CONVERGENCE OF SOURCES Section 1 🔹 Compliance Obligation upon Obligation works, by 🕴️Marie-Anne Frison-Roche Section 2 🔹 Conformity technologies to meet Compliance Law requirements. Some examples in Digital Law, by 🕴️Emmanuel Netter Section 3 🔹 Legal Constraint and Company Strategies in Compliance matters, by 🕴️Jean-Philippe Denis & 🕴️Nathalie Fabbe-Coste Section 4 🔹 Opposition and convergence of American and European legal systems in Compliance Rules and Systems, by 🕴️Raphaël Gauvain & 🕴️Blanche Balian Section 5 🔹 In Compliance Law, the legal consequences for Entreprises of their Commitments and Undertakings, by 🕴️Marie-Anne Frison-Roche   CHAPTER II: INTERNATIONAL ARBITRATION IN SUPPORT OF THE COMPLIANCE OBLIGATION Section 1 🔹 How International Arbitration can reinforce the Compliance Obligation, by  🕴️Laurent Aynès Section 2 🔹 Arbitration consideration of Compliance Obligation for a Sustainable Arbitration Place, by 🕴️Marie-Anne Frison-Roche Section 3 🔹 The Arbitral Tribunal's Award in Kind, in support of the Compliance Obligation, by 🕴️Eduardo Silva Romero Section 4 🔹 The use of International Arbitration to reinforce the Compliance Obligation: the example of the construction sector, by 🕴️Christophe Lapp  Section 5 🔹 The Arbitrator, Judge, Supervisor, Support, by 🕴️Jean-Baptiste Racine   TITLE IV. VIGILANCE, SPEARHEAD OF THE COMPLIANCE OBLIGATION Section 1 🔹 Vigilance Obligation, Spearheard and Total Share of the Compliance Obligation, by 🕴️Marie-Anne Frison-Roche   CHAPTER I: INTENSITIES OF THE VIGILANCE OBLIGATION, SPEARHEAD OF THE COMPLIANCE SYSTEM 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 Digital Operators, by 🕴️Grégoire Loiseau Section 4 🔹 Intensity of the Vigilance Obligation by Sectors: the case of Energy Operators, by 🕴️Marie Lamoureux   CHAPTER II: GENERAL EVOLUTION OF THE VIGILANCE OBLIGATION Section 1 🔹 Rethinking the Concept of Civil Liability in the light of the Duty of Vigilance, Spearhead of Compliance, by 🕴️Mustapha Mekki 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 Section 4 🔹 Compliance, Vigilance and Civil Liability: put in order and keep the Reason, by 🕴️Marie-Anne Frison-Roche   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 🔹 The Judge required for an Effective Compliance Obligation, by 🕴️Marie-Anne Frison-Roche - CONCLUSION THE COMPLIANCE OBLIGATION: A BURDEN BORNE BY SYSTEMIC COMPANIES GIVING LIFE TO COMPLIANCE LAW   (conclusion and key points of the books, free access) - 🌐Follow Marie-Anne Frison-Roche on LinkedIn 🌐follow Marie-Anne Frison-Roche on Instagram 🌐Subscribe to the Newsletter MAFR Regulation, Compliance, Law 🌐Subscribe to the video newsletter MAFR Overhang 🌐Subscribe to the Newsletter MaFR Law & Art

► Full reference : M.-A. Frison-Roche, "Obligation de compliance et gouvernance bancaire (Compliance obligations and banking governance)", in Chair in Business Ethics: Compliance, ESG and Sustainability Reporting & National Association of Bank Lawyers (ANJB), Compliance et vigilance bancaire : la participation des acteurs du secteur bancaire et financier à la LCB/FT (Compliance and Banking Vigilance: the Participation of Banking and Financial Sector Players in AML/CFT) , Faculty of Law, Catholic University of Lille, Lille, 12 March 2026. - 🧮view the full programme for the event (in French) - 📶view the slides (in French) - 🌐read the summary of this conference and the colloquium on LinkedIn - 📝This lecture will form the basis of a contribution to a forthcoming book in the 📚[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance [/rubrique]series, co-published by the[rubrique p="JORC"] Journal of Regulation & Compliance (JoRC)[/rubrique] and Lefebvre-Dalloz.   - ► English presentation of this introductory lecture of the symposium : Based on a specific method, three perspectives will be taken. In method, to shed light on the round tables making up the day's meetings without addressing the subject in their place or pretending to answer in advance the questions they will raise, or seeking to conclude in advance without having listened to anything, which is sometimes the flaw of introductions, which are so often a kind of disguised closing statement, with just a few question marks to give the impression of change, I have adopted the old, old method of the "triple funnel" introduction. This involves starting from a point other than the subject of the conference itself, Compliance and banking vigilance: the participation of banking and financial sector players in AML/CFT, in order to approach the subject from an external perspective and in a preliminary manner, nbsp;then moving on to a second external point, and doing so a third time, so that after this three-part presentation, the subject has been explored in sufficient depth to allow the following speakers to focus on the specific topic at hand. This is all the easier given that the chosen theme itself focuses on three points: a specific ambition (the "fight against money laundering and terrorist financing"), a specific sector (the "banking sector") and a specific activity carried out by individuals; three specific terms: one ambition (the "fighting agains AML/CFT""activity"). - one sectors (the "banking sector") and one active department (the "participation of stakeholders"). - My first starting point is to define what Compliance Law is in order to link Compliance Law to the subject it covers: the banking sector. Because if it were simply a matter of "being conform with applicable regulations", it is difficult to understand why the banking sector is so concerned, so constrained, so exposed to "compliance", which is simply the British way of saying "conformity". There must be more to it than simply obeying every rule and standards for preventing breaches for it, to be obliged to be so structuring and for the banking sector to be at the forefront. It therefore appears that Compliance Law is not simply mechanical obedience to a body of regulations, but rather the contribution made by systemic operators to the realisation of political ambitions that are essential for the future (the "Monumental Goals", both negative and positive). It is in this capacity that the banking sector, because it is composed of "crucial operators", is the natural subject of Compliance Law. Its power should not be criticised; it is indispensable. In an emerging branch of law that is systemic, that is Ex Ante, that is above all a Law of action whose object is the future. Techniques of conformity is only one tool. ⛏️Go further  : 🕴🏻M.-A. Frison-Roche, 📝[lien a="le-droit-de-la-compliance-2"]Compliance Law[/lien], 2016 🕴🏻M.-A. Frison-Roche, 📝 [lien a="les-buts-monumentaux-cur-battant-du-droit-de-la-co"]Monumental goals, the beating heart of compliance law[/lien], in  🕴🏻M.-A. Frison-Roche, 📕[lien a="les-buts-monumentaux-de-la-compliance"]The monumental goals of compliance[/lien], 2022 🕴🏻M.-A. Frison-Roche, 📝[lien a="naissance-dune-branche-du-droit-le-droit-de-la-c-2"]The Birth of a New Branch of Law: Compliance Law[/lien], 2024 🕴🏻M.-A. Frison-Roche, 📝[lien a="compliance-et-conformite-les-distinguer-pour-les-a"]Compliance and conformity: distinguishing between them in order to articulate them[/lien], 2024 - My second starting point is to start with the "Monumental Goals", this normative foundation of Compliance Law, and link it to this present specific case, privileged ambition of combating money laundering and terrorist financing. Certain things are surprising. Indeed, if we refuse at the introductory stage to delve into the technicalities of the texts and the litigation surrounding them, we may wonder why these two subjects (money laundering and terrorist financing) are linked in this way. We can see the correlation between banking activitird and money laundering. Notaries, auctioneers, and, in short, anyone who handles money are also involved in the fight against it. Moreover, if we see the ratio legis, the idea remains that the one who is merely the conduit (to use the familiar basis distinction in the regulatory rule of essential network infrastructure) could also be the one who organises the content: the image remains of the money laundering banker. Even if the ex ante compliance diligence whitewashes in advance, this suspicion that remains of an ex post sanction. We pay dearly for this representation, which permeates the repressive, even Criminal, Law of banking supervision, particularly in matters of secrecy, transparency, information and risk-taking. But why extend it to terrorist financing? Because the suspicion of terrorist bankers no longer exists. The case becomes clear-cut again. It is a matter of internalising within banks the sovereign responsibility to intervene before it is too late, before people are killed. Financing is the weak and visible point of systemic evil. This is understandable. It has moved from ex post (financial processing after the crime) to ex ante (financial processing before the crime). It is of a different nature. But if this is of a different nature, there is no reason to stop this Ex Ante surveillance, because money movements provide so much information about collective and individual projects. For example, in the digital space. We must be careful about this, in light of the principle of freedom, of which the principle of non-interference is only one aspect. ⛏️Go further  : 🕴🏻M.-A. Frison-Roche, 📝[lien a="62-le-couple-ex-ante-ex-post-justificatif-dun-droi"]The Ex Ante - Ex Post Couple, Justification of a Specific Regulatory Law[/lien], in 🕴🏻M. -A. Frison-Roche, 📕L[lien a="30-direction-de-louvrage-les-engagements-dans-les-"]es engagements dans les systèmes de régulation[/lien], 2006 🕴🏻M.-A. Frison-Roche, 📝[lien a="la-responsabilite-ex-ante-pilier-du-droit-de-la-co"]Ex Ante Responsability, a pillar of Compliance Law,[/lien] 2022 🕴🏻M.-A. Frison-Roche, 📝[lien a="la-responsabilite-ex-ante-pilier-du-droit-de-la-co"]Compliance, Vigilance and Civil Liability: Understanding and Keeping a Level Head, in  🕴🏻M.-A. Frison-Roche, 📕[/lien][lien a="lobligation-de-compliance"]The obligation of compliance[/lien], 2025 - My third starting point is "Governance", a rather mysterious term, as it relates more to the political art of mobilising human beings than to Law. Why is it necessary for "actors" to participate, when legal norms are binding and, in most cases, take the form of Criminal Law? The combination of the most violent norms, the application of financial penalties, and even deprivation of liberty, being often claimed as a victory for financial and banking regulatory and supervisatory bodies , even as procedural principles are being rolled back, could be a source of incomprehension. Moreover, in a legal system that would be challenged by this "Governance", it is up to the State to dictate and the banks to obey. But if banks take charge of everything, it becomes difficult to maintain this system, and it is undoubtedly no longer tenable if the Monumental Goal expands to dimensions that exceed those of the State but correspond to those of the banks. The risk then is to move from one governing body to another, which is a growing social and political risk. In practical terms, banking operators can achieve this reversal in two ways. Firstly, by effectively involving the human beings who make up their organisations, both internally and externally, their partners and stakeholders. This can be called "Governance" in an alliance based on explicitcommon  goals, with contributions that are not taken at face value but are provided by "compliance structures", "credible behaviour" and "plausible trajectories". In this respect, mutual banks are in a better position than others. Training mechanisms, which are central to Compliance Law, play an essential role here. Secondly, alliances with public authorities and regional roots, with concrete assessments, are decisive. The contract then becomes not only the mandatory means by which the regulated bank fulfils its regulatory obligation, but also the most traditional legal tool by which it exercises its freedom to contribute, in its own way, to the achievement of Monumental Goals for the future of the social group, which is currently under threat. We are far beyond "conformity": this is called Compliance Law. ⛏️Find out more  : 🕴🏻M.-A. Frison-Roche, 📝[lien a="un-droit-substantiel-de-la-compliance-appuye-sur-l"]A substantive Compliance Law, based on the European humanist tradition,[/lien]in 🕴🏻M. -A. Frison-Roche, 📕[lien a="pour-une-europe-de-la-compliance"]Towards a Europe of Compliance[/lien], 2019 🕴🏻M.-A. Frison-Roche, 📝Training: content and context of Compliance Law, in 🕴🏻M. -A. Frison-Roche, 📕[lien a="les-outils-de-la-compliance"]Compliance tools[/lien], 2020 🕴🏻M.-A. Frison-Roche, 📝[lien a="contrat-de-compliance-clauses-de-compliance-2"]Compliance Contract, compliance clauses[/lien], 2022 🕴🏻M.-A. Frison-Roche, ⚙️[lien a="coordination-scientifique-et-animation-du-cycle-de"]Compliance and Contracts[/lien], 2026 🕴🏻M.-A. Frison-Roche, 🏛️[lien a="mission-confiee-par-le-garde-des-sceaux-droit-de-l"]Official Mission given by the French Minister of Justice, [/lien][lien a="mission-confiee-par-le-garde-des-sceaux-droit-de-l"]Compliance Law[/lien], Work in progress, 2025 - 2026. - 🌐Follow Marie-Anne Frison-Roche on LinkedIn 🌐follow Marie-Anne Frison-Roche on Instagram 🌐Subscribe to the Newsletter MAFR Regulation, Compliance, Law 🌐Subscribe to the video newsletter MAFR Overhang 🌐Subscribe to the Newsletter MaFR Law & Art

  - ► Full Reference: [rubrique p="Présentation"]M.-A. Frison-Roche[/rubrique] (dir.), L'Obligation de Compliance, coll."[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]", Journal of Regulation & Compliance (JoRC) and Dalloz, 2025. - 📘 At the same time, a book in English, [lien a="publication-of-m-a-frison-roche-ed-compliance-obli"]Compliance Obligation[/lien][lien a="compliance-juridictionnalisation"],[/lien] is published in the collection copublished by the Journal of Regulation & Compliance (JoRC) and the Éditions Bruylant. - 🧮the book follows the[lien a="cycle-de-colloques-la-juridictionnalisation-de-la-"] [/lien][lien a="cycle-de-colloques-2023-lobligation-de-compliance"]cycle of colloquia organised by the Journal of Regulation & Compliance (JoRC) and its Universities partners in 2023 and 2024.[/lien] - 📚this volume is one of a series of books devoted to Compliance in this collection. ► Read the presentations of the other books in the series: the following books: 🕴️M.-A. Frison-Roche (ed.), 📕Compliance et Contrat, forthcoming 🕴️L. Laref (ed.), 📕Compliance et vigilance bancaire, forthcoming 🕴️M.-A. Frison-Roche, 📕Le système juridique de l’adressage de l’Internet. Une structure multi-acteurs, gage de durabilité (The Legal System of Internet Addressing. A Multi-Stakeholder Structure, the Pledge of its Sustainability), forthcoming 🕴️M.-A. Frison-Roche (ed.), 📕Le système probatoire de la Compliance, forthcoming   the previous books: 🕴️M.-A. Frison-Roche and M. Boissavy (eds.), 📕Compliance et droits de la défense. Enquête interne – CJIP – CRPC, 2024 🕴️M.-A. Frison-Roche (ed.), 📕La juridictionnalisation de la Compliance, 2023 🕴️M.-A. Frison-Roche (ed.), 📕Les Buts Monumentaux de la Compliance, 2022 🕴️M.-A. Frison-Roche (ed.), 📕Les outils de la Compliance, 2021 🕴️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 [rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']all the books of the collection[/rubrique]. - ► General presentation of this 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. It is sometimes presented as something that the company does out of ethical concern, self-regulation which is the opposite of legal obligation. For the moment, therefore, there is no single vision of the Compliance Obligation. This is all the less the case because of the multitude of texts, themselves constantly evolving and changing, which inject such a wide range of compliance obligations that we give up trying to establish any unity, thinking that, on a case-by-case basis, we will define a regime and a legal constraint of greater or lesser strength, aimed at one subject or debtor or another, for the benefit of one or other. This lack of unity, due to the absence of a definition of the Compliance Obligation, makes the application of the texts difficult to foresee and therefore makes the Judge fearful, even though he/she is going to take on more and more importance. This book asks the practical questions: What is Compliance obliging? Who is obliged to comply? and How far are we obliged to comply? and provides answers, Compliance practices, constraints and innovations will be better mastered and anticipated by all those they affect: companies, stakeholders, technicians, lawyers, consultants, institutions and courts. - 🏗️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. - 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) ♦️ [lien a="concevoir-lunicite-de-lobligation-de-compliance-sa"]Obligation de Compliance : construire une structure de compliance produisant des effets crédibles au regard des Buts Monumentaux visés par le Législateur (Compliance Obligation: building a compliance structure that produces credible results with regard to the Monumental Goals targeted by the Legislator)[/lien], 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 (THE NATURE OF THE COMPLIANCE OBLIGATION) Section 1 ♦️ [lien a="le-cur-et-le-calcul-in-m-a-frison-roche-dir-loblig"]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)[/lien], by 🕴️Marie-Anne Frison-Roche Section 2 ♦️ [lien a="la-dette-notion-economique-comme-fondement-de-lobl"]De la dette à l’obligation de compliance (From the Debt to the Compliance Obligation)[/lien], by 🕴️Bruno Deffains Section 3 ♦️ [lien a="obligation-de-compliance-et-droits-humains-in-m-a-"]Obligation de Compliance et droits humains (Compliance Obligation and Human Rights)[/lien], by 🕴️Jean-Baptiste Racine Section 4 ♦️ [lien a="les-mutations-de-la-souverainete-et-lobligation-de"]L'Obligation de Compliance et les mutations de la souveraineté et de la citoyenneté (Compliance Obligation and changes in Sovereignty and Citizenship)[/lien], by 🕴️René Sève Section 5 ♦️ [lien a="la-definition-de-lobligation-de-compliance-confron"]La définition de l''obligation de compliance confrontée au droit de la cybersécurité (The definition of the Compliance Obligation in Cybersecurity Law)[/lien] by🕴️Michel Séjean   CHAPITRE II : LES ESPACES DE L’OBLIGATION DE COMPLIANCE (SPACES OF THE COMPLIANCE OBLIGATION) Section 1 ♦️ [lien a="entites-industrielles-et-obligation-de-compliance-"]Entités industrielles et Obligation de compliance (Industrial entities and Compliance Obligation)[/lien], by 🕴️Etienne Maclouf Section 2 ♦️ [lien a="lobligation-de-compliance-dans-les-chaines-de-vale"]L'Obligation de Compliance dans les chaînes de valeur (The Compliance Obligation in Value Chains)[/lien], by 🕴️Lucien Rapp Section 3 ♦️ [lien a="compliance-et-conflits-de-lois-in-m-a-frison-roche"]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)[/lien], 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 2 ♦️ [lien a="droit-fiscal-et-obligation-de-compliance-in-m-a-fr"]Droit fiscal et obligation de compliance (Tax Law and Compliance Obligation)[/lien], by 🕴️Daniel Gutmann Section 3 ♦️ [lien a="le-droit-processuel-modele-de-lobligation-de-compl"]Le droit processuel, prototype de l'Obligation de Compliance (General Procedural Law, prototype of the Compliance Obligation)[/lien], by 🕴️Marie-Anne Frison-Roche Section 4 ♦️ [lien a="le-droit-des-societes-et-des-marches-financiers-fa"]Le droit des sociétés et des marchés financiers face à l'Obligation de Compliance (Corporate and Financial Markets Law facing the Compliance Obligation)[/lien], by 🕴️Anne-Valérie Le Fur Section 4 ♦️ [lien a="tensions-dans-la-gouvernance-des-entreprises-conce"]Transformation de la gouvernance et obligation de vigilance[/lien], by 🕴️Véronique Magnier 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 ♦️ [lien a="dimensions-environnementales-et-climatiques-de-lob"]Dimensions environnementales et climatiques de l'Obligation de Compliance (Environmental and Climatic Dimensions of the Compliance Obligation)[/lien], by 🕴️Marta Torre-Schaub Section 7 ♦️ [lien a="droit-de-la-concurrence-et-droit-de-la-compliance-"]Droit de la concurrence et Droit de la Compliance (Competition Law and Compliance Law)[/lien], by 🕴️Jean-Christophe Roda Section 8 ♦️ [lien a="lobligation-de-compliance-en-droit-global-in-m-a-f"]L'Obligation de Compliance en Droit global (The Compliance Obligation in Global Law)[/lien], by 🕴️Benoît Frydman & 🕴️Alice Briegleb Section 9 ♦️ [lien a="juge-du-droit-des-entreprises-en-difficulte-et-obl"]Les juges du droit des entreprises en difficulté et les obligations de compliance (Judges of Insolvency Law and Compliance Obligations)[/lien], 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 ♦️ [lien a="lobligation-de-compliance-entre-volonte-et-conse-3"]Obligation sur obligation vaut (Compliance Obligation on Obligation works)[/lien], by 🕴️Marie-Anne Frison-Roche Section 2 ♦️ [lien a="les-technologies-disponibles-prescrites-ou-proscri"]Les technologies disponibles, prescrites ou proscrites pour satisfaire Compliance et Vigilance (Technologies available, prescribed or prohibited to meet Compliance and Vigilance requirements)[/lien], by 🕴️Emmanuel Netter Section 3 ♦️ [lien a="contrainte-legale-et-strategie-des-entreprises-en-"]Contrainte légale et stratégie des entreprises en matière de Compliance (Legal Constraint and Company Strategies in Compliance matters)[/lien], by 🕴️Jean-Philippe Denis & Nathalie Fabbe-Costes Section 4 ♦️ [lien a="la-loi-source-de-lobligation-de-compliance-in-m-a-"]La loi, source de l’Obligation de Compliance (The Law, source of the Compliance Obligation)[/lien], by 🕴️Jean-Baptiste Blanc Section 5 ♦️ [lien a="opposition-et-convergence-des-systemes-juridiques-"]Opposition et convergence des systèmes juridiques américains et européens dans les règles et cultures de compliance [/lien][lien a="opposition-et-convergence-des-systemes-juridiques-"]([/lien][lien a="opposition-et-convergence-des-systemes-juridiques-"]Opposition and Convergence of American and European Legal Systems in Compliance Rules and Cultures[/lien][lien a="opposition-et-convergence-des-systemes-juridiques-"])[/lien], by 🕴️Raphaël Gauvain & 🕴️Blanche Balian Section 6 ♦️ [lien a="ce-quest-un-engagement-in-m-a-frison-roche-dir-lob"]Ce à quoi les engagements engagent qu'est un engagement (What a )[/lien], 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 ♦️ [lien a="larbitre-organe-indirect-et-direct-de-lobligation-"]Comment l'arbitrage international peut être un renfort de l'Obligation de Compliance (How International Arbitration can reinforce the Compliance Obligation)[/lien], by 🕴️Laurent Aynès Section 2 ♦️ [lien a="la-consideration-par-les-arbitres-des-obligations-"]La considération par l'Arbitrage de l'Obligation de Compliance pour une place d'arbitrage durable ([/lien][lien a="la-consideration-par-les-arbitres-des-obligations-"]Arbitration' consideration of Compliance Obligation for a Sustainable Arbitration Place)[/lien],  by 🕴️Marie-Anne Frison-Roche  Section 3 ♦️ [lien a="lusage-de-larbitrage-international-pour-renforcer-"]L’usage de l’arbitrage international pour renforcer l’obligation de Compliance : l’exemple du secteur de la construction [/lien][lien a="lusage-de-larbitrage-international-pour-renforcer-"](The use of International Arbitration to reinforce the Compliance Obligation: the example of the construction sector)[/lien], by 🕴️Christophe Lapp Section 4 ♦️ [lien a="larbitre-juge-superviseur-accompagnateur-in-m-a-fr"]L’arbitre, juge, superviseur, accompagnateur  ? (The Arbitrator, Judge, Supervisor, Support)[/lien] , by 🕴️Jean-Baptiste Racine   TITRE IV. LA VIGILANCE, POINTE AVANCÉE DE L’OBLIGATION DE COMPLIANCE (VIGILANCE, SPEARHEAD OF THE COMPLIANCE OBLIGATION) Section 1 ♦️ [lien a="la-vigilance-part-totale-de-lobligation-de-complia"]La Vigilance, pointe avancée et part totale de l'Obligation de Compliance (....)[/lien], 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 ♦️ [lien a="intensite-vigilance-operateurs-financiers-in-m-a-f"]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)[/lien], by 🕴️Anne-Claire Rouaud Section 3 ♦️ [lien a="intensite-vigilance-operateurs-bancaires-et-dassur"]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)[/lien], by 🕴️Mathieu Françon Section 4 ♦️ [lien a="intensite-vigilance-operateurs-numeriques-in-m-a-f"]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)[/lien], by 🕴️Grégoire Loiseau Section 5 ♦️ [lien a="intensite-vigilance-operateurs-energetiques-in-m-a"]L’Obligation de vigilance des opérateurs énergétiques (The Vigilance obligation of Energy Operators)[/lien], by 🕴️Marie Lamoureux   CHAPITRE II : LES DISPUTES AUTOUR DE L'OBLIGATION DE VIGILANCE, POINTE AVANCÉE DU SYSTÈME DE COMPLIANCE, DANS SON RAPPORT AVEC LA RESPONSABILITÉ Section 1 ♦️ [lien a="le-rapport-entre-le-droit-de-la-responsabilite-civ"]Le rapport entre le droit de la responsabilité civile et l'obligation de compliance[/lien], by 🕴️Jean-Sébastien Borghetti Section 2 ♦️ [lien a="peut-on-repenser-la-responsabilite-a-laune-du-devo"]Repenser le concept de responsabilité civile à l’aune du devoir de vigilance, pointe avancée de la complianc[/lien]e [lien a="peut-on-repenser-la-responsabilite-a-laune-du-devo"](Rethinking the Concept of Civil Liability in the light of the Duty of Vigilance, Spearhead of Compliance)[/lien], by 🕴️Mustapha Mekki Section 3 ♦️ [lien a="tensions-et-contradictions-entre-les-instruments-r"]Tensions et contradictions entre les instruments relatifs à la vigilance raisonnable des entreprises[/lien], by 🕴️Laurence Dubin Section 4 ♦️ [lien a="compliance-et-responsabilite-civile-comprendre-et-"]Compliance, Vigilance et Responsabilité civile : mettre en ordre et raison garde (Compliance, Vigilance  and Civil Liability: put in order and keep the Reason)[/lien], 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 ♦️ [lien a="contrats-et-clauses-mise-en-uvre-et-modalites-de-l"]Clauses et contrats, modalités de l’obligation de vigilance (Clauses and Contracts, terms and conditions of implementation of the Vigilance Obligation)[/lien], by 🕴️Gilles J. Martin Section 2 ♦️ [lien a="la-preuve-de-la-bonne-execution-de-la-vigilance-au"]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)[/lien], by 🕴️Jean-Christophe Roda   TITRE V. LE JUGE ET L'OBLIGATION DE COMPLIANCE (THE JUDGE AND THE COMPLIANCE OBLIGATION) Section 1 Section 1 ♦️ [lien a="devoir-de-vigilance-et-litiges-commerciaux-une-com"]Devoir de vigilance et litiges commerciaux : une compétence à partager ?[/lien], par 🕴️François Ancel Section 2 ♦️ [lien a="les-enjeux-presents-a-venir-de-larticulation-des-p"]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)[/lien], by 🕴️Thibault Goujon-Bethan Section 3 ♦️ [lien a="la-mediation-voie-davenir-pour-une-obligation-de-c"]Le juge de l’amiable et la compliance (The amicable settlement judge and compliance)[/lien], by 🕴️Malik Chapuis Section 4 ♦️ [lien a="le-juge-requis-pour-une-obligation-de-compliance-e"]Le juge adéquat pour l'effectivité de l'Obligation de Compliance (The Adequate Judge for the Effectiveness of the Compliance Obligation)[/lien], by 🕴️Marie-Anne Frison-Roche     L’OBLIGATION DE COMPLIANCE : VISION D’ENSEMBLE (COMPLIANCE OBLIGATION : OVERVIEW) ♦️ [lien a="lobligation-de-compliance-charge-portee-par-les-en"]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 - [/lien][lien a="lobligation-de-compliance-charge-portee-par-les-en"] [/lien][lien a="lobligation-de-compliance-charge-portee-par-les-en"]key points of the book[/lien] (free access) by 🕴️Marie-Anne Frison-Roche - 🌐follow Marie-Anne Frison-Roche on LinkedIn 🌐follow Marie-Anne Frison-Roche on Instagram 🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law 🌐subscribe to the VideoNews  MAFR Surplomb 🌐subscribe to the Newsletter MaFR Law & Art

► Full Reference: D. Gutmann, "Droit fiscal et obligation de compliance" (Tax Law and Compliance Obligation), in [rubrique p="Présentation"]M.-A. Frison-Roche[/rubrique] (dir.), [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]", 2025, pp. 199-207. - ► English summary of this contribution (done by the Journal of Regulation & Compliance): The author takes up the hypothesis of a Compliance Law defined by its Monumental Goals, the realisation of which is entrusted to "crucial operators" and confronts it with Tax Law. The link is particularly effective since these operators possess what governments need in this area: relevant Information. Going further, Compliance Law can give rise to two types of obligations on the part of these operators, either towards others operators who need to be monitored, corrected or denounced, or towards themselves, when they need to make amends. In the first part of this contribution, the author shows that Compliance Obligation reproduces the mechanism of a Tax Law which, for large companies, is embroiled in a process of increasing Globalisation. It enables Governments to aspire to the "Monumental Goals" of combating tax optimisation and impoverishing governments, victims of the erosion of the tax base, in the face of the strategies of companies that are more powerful than they are themselves, by using this very power of firms to turn it against them. Companies become the willing or de facto allies of governments, particularly when it comes to recovering tax debts, or assist them in their stated ambition to achieve social justice.  In this way, the State "manages" Tax Law by cooperating with companies. In the second part, the author outlines the contours of this business Compliance Obligation, which is no longer simply a matter of paying tax. Beyond this financial obligation, it is more a question of mastering Information, particularly when multinational companies are subject to specific tax reporting obligations and are required to reveal their tax strategy, presumed to be transparent and coherent within the group : this legal presumption gives rise to obligations to seek information and ensure coherence, since a single tax strategy is not self-evident in a group. The author emphasises that companies have accepted the principles governing these new compliance obligations and are tending to transform these obligations, particularly Transparency, into a communication strategy, in line with the ESG criteria that have been developed and a desire for fruitful relations with stakeholders. Therefore the tax relations developed by major companies are being extended not only to the tax authorities, but also to NGOs, by incorporating a strong ethical dimension. This is leading to new strategies, particularly in the area of Vigilance. The author concludes: "A n’en pas douter, l’obligation de compliance existe bel et bien en matière fiscale." ("There is no doubt that the Compliance Obligation does exist in tax matters"). - 📕read the general presentation of the book, [lien a="lobligation-de-compliance"]L'obligation de Compliance[/lien], in which this contribution is published -

► Full Reference: [rubrique p="Présentation"]M.-A. Frison-Roche[/rubrique], "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.), [lien a="lobligation-de-compliance-2"]L'Obligation de Compliance[/lien], Journal of Regulation & Compliance (JoRC) and Lefebvre-Dalloz, coll. "[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]", 2025, pp. 635-659. - 📝read the article (in French) - 🚧[lien a="compliance-vigilance-et-responsabilite-civile-mett"]read the bilingual Working Paper on which this article is based, with additional developments, technical references and hyperlinks[/lien] - 📕read the general presentation of the book, [lien a="lobligation-de-compliance-2"]L'Obligation de Compliance[/lien], in which this article is published 📚see the general presentation of the series "[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]" in which this book is published - ► 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. - 🌐follow Marie-Anne Frison-Roche on LinkedIn 🌐follow Marie-Anne Frison-Roche on Instagram 🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law 🌐subscribe to the Video Newsletter MAFR Surplomb 🌐subscribe to the Newsletter MaFR Droit & Art

► Full Reference: [rubrique p="Présentation"]M.-A. Frison-Roche[/rubrique], "La Vigilance, pointe avancée et part totale de l’Obligation de Compliance" (Vigilance, the cutting edge and a full part of the Compliance Obligation), in M.-A. Frison-Roche (ed.), [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]" 2025, pp. 511-536. - 📝read the article (in French) - 🚧[lien a="la-vigilance-pointe-avancee-et-part-totale-de-lobl"]read the bilingual Working Paper on the basis this contribution has been built, with  more developments, technical references and hyperlinks. [/lien] - 📕read a general presentation of the book, [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], in which this article is published  - ► English summary of this contribution : The "duty of vigilance" unleashes all the more radical and passionate positions, sometimes among Law professors, because it has not been precisely defined. One word is used for another, either inadvertently or deliberately, deliberately if it can attract this or that element from one legal corpus and import it into another.  The very exercise of definition is therefore required in practice. There are specific obligations of vigilance that come under such and such a body of regulations and are imposed on such and such a category of operators to fulfill such and such a function. These are precise circles which are not confused and must not be confused. This is superimposed on what the French 2017 law so-called "Vigilance law", which is much more encompassing since it applies to all large companies in the operation of the value chains they have set up. The European 2024 directive is in the same way. But there is no general duty or obligation of Vigilance. Such a claim would be based on confusing or shifting each of these 3 levels, which must be avoided because no positive law does support this (I). If the duty of vigilance is attracting so much attention, whether or not the European CS3D is fully effective, it is because Vigilance is the "cutting edge" of Compliance Obligation (II). Vigilance requires companies, by consideration of their power and without reproaching them for it or demanding that it be reduced, to detect risks of damage to the environment and climate, but also to human rights, because they are in a position to do so in order to prevent them from turning into disasters. In this respect, the  Vigilance duty makes clearer the exact legal nature of the Compliance Obligation. Moreover, Vigilance appears as the Total Part of the Compliance Obligation (III). Indeed, although it is restricted to one area, the value chain, and to two types of risk, deterioration of the environment and deterioration of human rights, it expresses the totality of the Compliance Obligation by means of tools that the 2017 French "Vigilance law" had itself duplicated from the 2016 so-called "Sapin 2 law": to preserve systems today, but above all tomorrow, in order they do not collapse (Negative Monumental Goals), or even consolidate them (Positive Monumental Goals), so that the human beings who are willingly or unwillingly involved in them are not crushed by them but benefit from them. This is why large companies are subject to the Obligation of Compliance and Vigilance, particularly in the humanist conception that Europe is developing. The result is a new type of Litigation, of a systemic nature, for which the Courts have spontaneously become specialised, and for which the procedures will have to be adapted and the office  of the Judge shall have to evolve. - 🌐follow Marie-Anne Frison-Roche on LinkedIn 🌐follow Marie-Anne Frison-Roche on Instagram 🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law 🌐subscribe to the Video Newsletter MAFR Surplomb

► Full Reference: J.-Ch. Roda "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)", in M.-A. Frison-Roche (ed.), [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], Journal of Regulation & Compliance (JoRC) and Éditions Lefebvre - Dalloz, coll. "[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]", 2025, pp. 679-689.   - 📕read a general presentation of the book, [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], in which this article is published  - ► English summary of this contribution : Taking the Duty of Vigilance as an illustration, the first part of the article examines the question of who must prove about that and in what order. There are no rules in the legal dispositions specific to the Vigilance Duty duty that expressly reverse the burden of proof, to the extent of placing it on the company that should demonstrate that it has correctly fulfilled its obligation. Instead, it is needed to return to general law, which makes the burden of proof vary according to the nature of the obligations incumbent on the company as a result of its Duty of Vigilance, in particular between simplly drawing up a plan and drawing it up such that its effectiveness can be expected to give rise to an obligation on those who dispute it to demonstrate its ineffectiveness. In any event, the 2 litigant parties immediately seek to fuel the debate with elements in their favour, whatever their position in the process. This brings us to the second part of the article, devoted to the question of what constitutes proof of proper performance of the Vigilance Duty. Requiring proof of a positive fact and the constitution of a self-evidence of conformity would both be excessive and would distance the company from the Monumental Goals that are its compass. Instead, it is pertinent to distinguish between Compliance Structures, for which the proof requirements must be high, and Expected Compliance Actions, for which proof of efforts is sufficient, the obligation being only of means. In fact, companies will be wise to provide proof of their efforts as early as possible. The third part therefore deals logically with the means of proof available to the parties. Claimants act on the principle of freedom of evidence and benefit from numerous sources of information, but the most serious difficulties arise when the facts to be proven are located outside the European Union. The company can establish that the plan has been implemented using various types of evidence, but it would appear that the standard of proof is high, even if the Vigilance Plan were to be regarded as an act of management. - 🦉This article is available in full texte for people who follow  Professor Marie-Anne Frison-Roche teaching

► Full Reference : E. Netter, "Les technologies de conformité pour satisfaire les exigences du droit de la compliance. Exemple du numérique" (Conformity technologies to meet the requirements of Compliance Caw. Digital example), in [rubrique p="Présentation"]M.-A. Frison-Roche[/rubrique] (dir.), [lien a="lobligation-de-compliance"]L'obligation de Compliance[/lien], Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]", 2025, pp. 355-367. - 📕read the general presentation of the book, [lien a="lobligation-de-compliance"]L'obligation de Compliance[/lien], in which this contribution is published. - ► English summary of this contribution (done by the Journal of Regulation & Compliance) :The author distinguishes between Compliance, which refers to Monumental Goals, and conformity, which are the concrete means that the company uses to tend towards them, through processes, check-lists in the monitoring of which the operator is accountable (art. 5.2. GRPD). Technology enables the operator to meet this requirement, as the changing nature of technology fits in well with the very general nature of the goals pursued, which leave plenty of room for businesses and public authorities to produce soft law. The contribution focuses firstly on existing technologies. Through Compliance, Law can prohibit a technology or restrict its use because it runs counter to the goal pursued, for example the technology of fully automated decisions producing legal effects on individuals. Because it is a perilous exercise to dictate by law what is good and what is bad in this area, the method is rather one of explicability, i.e. control through knowledge by others. Regulators are nevertheless developing numerous requirements stemming from the Monumental Goals of Compliance. Operators must update their technology or abandon obsolete technology in the light of new risks or to enable effective competition that does not lock users into a closed system. But technological power must not become too intrusive, as the privacy and freedom of the individuals concerned must be respected, which leads to the principles of necessity and proportionality. The author stresses that operators must comply with the regulations by using certain technologies if these technologies are available, or even to counteract them if they are contrary to the goals of the regulations, but this obligation of conformity is applied only if these technologies are available. The notion of "available technology" therefore becomes the criterion of the obligation, which means that its content varies with circumstances and time, particularly in the area of cybersecurity. In the second part of this contribution, the author examines technologies that are only potential, those that Law, and in particular the courts, might require companies to invent in order to fulfill their conformity obligation. This is quite understandable when we are talking about technologies that are in the making, but which will come to fruition, for example in the area of personal data transfer to satisfy the right to portability (GRPD), or where companies must be encouraged to develop technologies that are of less immediate benefit to them, or in the area of secure payment to ensure strong authentication (SPD 2). This is more difficult for technologies whose feasibility is not even certain, such as online age verification or the interoperability of secure messaging systems, two requirements which appear to be technologically contradictory in their terms, and which therefore still come under the heading of "imaginary technology". But Compliance is putting so much pressure on companies, particularly digital technology companies, that considerable investment is required to achieve it. The author concludes that this is the very ambition of Compliance and that the future will show how successful it will be.          - 🦉This article is available in full texte for persons following Professor Marie-Anne Frison-Roche teaching. -

► Full Reference: V. Magnier, "Transformation de la gouvernance et obligation de vigilance" (The transformation of governance and due diligence), in [rubrique p="Présentation"]M.-A. Frison-Roche[/rubrique] (dir.), [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]", 2025, pp. 259-269. - 📕read the general presentation of the book, [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], in which this contribution is published - ► English summary of this contribution (done by the Journal of Regulation & Compliance - JoRC) : The author develops the tensions caused by Compliance Law and the Duty of Vigilance on corporate governance. The French "Sapin 2" law targets corruption, while the French "Vigilance" law has a broader scope in terms of risks and the entire value chain. It is logical that this should create tensions in terms of governance, given the monumental goals involved. Companies need to take ownership of the powers delegated to them, which means rethinking their governance and the way in which they exercise their corporate mandates, with the corporate interest, the judge's compass, having to be combined with the adoption of new standards of behaviour formalised voluntarily by ethical charters in line with international standards. On this voluntary and supervised basis, the company must adapt its structure and then contractualise these norms. This ethical approach has an impact on the role of corporate organs, not only in terms of transparency and risk prioritisation, but also proactively in terms of the adoption of commitments whose sincerity will be verified, as reflected, for example, in corporate governance codes (cf.in France the AFEP-MEDEF Code), the setting up of ad hoc committees and the presence of stakeholders, who will be consulted when the vigilance plan is drawn up. She stresses that this creates tensions, that dialogue is difficult, that business secrecy must be preserved, but that stakeholders must become Vigilance watchdogs, a role that should not be left to the public authorities alone. - 🦉this article is available in full text pour the persons following the Professor Marie-Anne Frison-Roche teaching -

► Full Reference: A.-C. Rouaud, "L’intensité de l’obligation de vigilance selon les secteurs : le cas des opérateurs financiers" (The intensity of the obligation of vigilance depending on the sector: the case of financial operators), in [rubrique p="Présentation"]M.-A. Frison-Roche[/rubrique] (dir.), [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], Journal of Regulation & Compliance (JoRC) an Dalloz, coll. "[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]", 2025, pp. 539-550. - 📕read the general presentation of the book, [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], in which this contribution is published - ► English summary of this contribution (done by the Journal of Regulation & Compliance - JoRC) : The author develops the case of financial operators and shows that if they are subject to very heavy obligations of vigilance, it is above all because of the systemic risks of the markets, obligations which are consubstantial with their activities, because these operators are often in charge of market infrastructures or operating services, which make them all belong to the category of regulated professions. Despite this uniqueness, the obligation of vigilance has many facets, ranging from policing and customer surveillance to warning and protection, which can be very limited, as the fight against money laundering aims to protect the system (kyc). In addition, this obligation to exercise vigilance serves different goals, which explains the diversity of sanctions, because the intensity of the obligation also varies. The fight against systemic risk is certainly a common goal, but there are also concerns about protecting specific categories, such as investors (from a more European perspective). However, the general interest is now being renewed, as market protection is coupled with a concern for Sustainability. This is reflected in the variability of sanctions, ranging from disciplinary sanctions, handled by the financial markets regulatory bodies, to the obligation to put in place compliance programmes against which breaches are sanctioned per se. Private enforcement is developing in tandem with public enforcement, with a transformation of the litigation risk for companies, which is highly sensitive to extraterritoriality and the scope of soft law.     -

► Full Reference: B. Frydman & A. Briegleb, "L'obligation de compliance en Droit global ("Compliance Obligation in Global Law)", in M.-A. Frison-Roche (ed.), [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], Journal of Regulation & Compliance (JoRC) and Éditions Lefebvre - Dalloz, coll. "[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]", 2025, pp. 299-311. - 📕read a general presentation of the book, [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], in which this contribution is published  - ► English summary of this contribution (done by the Journal of Regulation & Compliance - JoRC): The authors stress that the Contracts Law and Tort Law are essential in Compliance Law, particularly in its global legal perspective, since it goes beyond the legal systems of States and develops new normativities, at the level of each company, but also allows a new expression of public power through the Monumental Goals that Compliance Law claims to achieve globally. The weaker the States, the greater the delegation to the first level is operating. In concrete terms, the authors examine a series of situations in which various organisations use compliance techniques to appropriate global power over things or people, which has the effect, and sometimes the purpose, of reducing the freedoms of people controlled in this way. Thus CSR, which was initially non-binding, is now the source of binding obligations, and the moral obligation expressed in codes of conduct can become a civil obligation, as the Supreme Court of California decided in 2002 in the Nike case.  In addition, "Comply or Explain" clauses are now commonplace, allowing the person subject to the legislation not to comply if they can justify it, which is the basis of the many information reports that companies are now required to publish. Then, returning to the issue of liability, particularly in the digital environment, the article stresses the importance of 'conditional immunity from liability', taking the view from the European DSA that certain operators, such as hosting providers, are not liable unless they take on obligations, such as monitoring functions on contents published. Finally, with regard to the duty of vigilance, it tends for the first time to align the scope of "responsibility" with the scope of "power", moral responsibility thus becoming legal responsibility, which would be like a new responsibility for others. The result of all this is an "obligation to regulate others". - 🦉This article is available for people who follow the Professor Marie-Anne Frison-Roche teaching

► Full Reference: J.-Ch. Roda "Obligations de compliance et concurrence : les liaisons dangereuses ? (Compliance obligations and Competition: dangerous liaisons?)", in M.-A. Frison-Roche (ed.), [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], Journal of Regulation & Compliance (JoRC) and Éditions Lefebvre - Dalloz, coll. "[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]", 2025, pp. 287-297. - 📕read a general presentation of the book, [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], in which this contribution is published  - ► English summary of this contribution (done by the Journal of Regulation & Compliance - JoRC): The author stresses that if Compliance Law and Competition Law may seem far apart today, it is because many people today have a restricted and inaccurate view of Competition Law. Indeed, if Competition Law is reduced to being no more than that which enables offer and demand rule to function fully, then 'compliance obligations' need to be injected into this sort of 'natural law' of the market backed up by the legal system, compliance obligations giving humanity to the whole. But if Competition Law is given back its rightful dimension, which it has in its more classical conception, the links between the obligations arising from the 2 branches of Law find harmonious relationships. They are all the more necessary because, particularly through the Duty of Vigilance, Civil Competition Law is going to interfere because of the contractualisation of this legal obligation and the possible significant imbalance that could be identified, the article stressing that the application of Compliance stipulations on a partner could end up being analysed as a power, justifying merger control or at the very least a dominant position legal qualification, the abuse of which will be sanctioned. It is for this reason that the 2024 CS3D reminds us that it must be implemented in respect with competition legal rules. However, the author emphasises that it is towards a kind of 'Ethical Competition' that compliance obligations are leading, leading to new practices. The results, described in the second part of the article, are increasing the influence of the Compliance Obligation, which embodies the ambition of a "just transition" and a "social Europe". These ambitions are rejected by the advocates of the so-called "neo-liberal" conception of what Competition Law should be, but the conception of "Competition-Means" was indeed that of the American designers of the corpus of appropriate rules in the nineteenth century, when it was necessary in particular to fight against the large infrastructure monopolies, and it was also that of the jurists who founded the European Union. Only the minimal view of what falls within the scope of competition leads to opposition to the Compliance Obligation. The author therefore stresses that "il semble aujourd’hui évident que la compliance doit être la boussole du droit de la concurrence (it seems obvious today that Compliance must be the compass of Competition Law)". It is in this spirit that companies must draft the compliance clauses that will multiply to structure the value chains they have set up, providing in particular for the resolution of tensions, or even conflicts, with partners. The author concludes that it is in this way that crucial companies will demonstrate their "particular responsibility" both and in the same way with regard to Competition Law and Compliance Law. - 🦉This article is available for people who follow Professor Marie-Anne Frison-Roche teaching 

► Full Reference: J.-B. Racine, "Obligation de Compliance et droits humains" ("Compliance Obligation and Human Rights"), in [rubrique p="Présentation"]M.-A. Frison-Roche[/rubrique] (dir.), [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2025, pp. 83-95. - 📕read a general presentation of the book, [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], in which this article is published - ► English Summary of the article (done by the Journal of Regulation & Compliance - JoRC) : The author asks whether human rights can, over and above the many compliance obligations, form the basis of the Compliance Obligation. The consideration of human rights corresponds to the fundamentalisation of Law, crossing both Private and Public Law, and are considered by some as the matrix of many legal mechanisms, including international ones. They prescribe values that can thus be disseminated. Human rights come into direct contact with Compliance Law as soon as Compliance Law is defined as "the internalisation in certain operators of the obligation to structure themselves in order to achieve goals which are not natural to them, goals which are set by public authorities responsible for the future of social groups, goals which these companies must willingly or by force aim to achieve, simply because they are in a position to achieve them". These "Monumental Goals" converge on human beings, and therefore the protection of their rights by companies.  In a globalised context, the State can either act through mandatory regulations, or do nothing, or force companies to act through Compliance Law. For this to be effective, tools are needed to enable 'crucial' operators to take responsibility ex ante, as illustrated in particular by the French law on the Vigilance Obligation of 2017. This obligation takes the form of both a "legal obligation", expression which is quite  imprecise, found for example in the duty of vigilance of the French 2017 law, and in a more technical sense through an obligation that the company establishes, in particular through contracts. Legal obligations are justified by the fact that the protection of human rights is primarily the responsibility of States, particularly in the international arena. Even if it is only a question of Soft Law, non-binding Law, this tendency can be found in the Ruggie principles, which go beyond the obligation of States not to violate human rights, to a positive obligation to protect them effectively. The question of whether this could apply not only to States but also to companies is hotly debated. If we look at the ICSID Urbaser v. Argentina award of 2016, the arbitrators accepted that a company had an obligation not to violate human rights, but rejected an obligation to protect them effectively. In European Law, the GDPR, DSA and AIA, and in France the so-called Vigilance law, use Compliance Lools, often Compliance by Design, to protect human rights ex ante. Contracts, particularly through the inclusion of multiple clauses in often international contracts, express the "privatisation" of human rights. Care should be taken to ensure that appropriate sanctions are associated with them and that they do not give rise to situations of contractual imbalance. The relationship of obligation in tort makes it necessary to articulate the Ex Ante logic and the Ex Post logic and to conceive what the judge can order. The author concludes that "la compliance oblige à remodeler les catégories classiques du droit dans l’optique de les adosser à l’objectif même de la compliance : non pas uniquement un droit tourné vers le passé, mais un droit ancré dans les enjeux du futur ; non pas un droit émanant exclusivement de la contrainte publique, mais un droit s’appuyant sur de la normativité privée ; non pas un droit strictement territorialisé, mais un droit appréhendant l’espace transnational" ("Compliance requires us to reshape the classic categories of Law with a view to bringing them into line with the very objective of Compliance: not just a Law turned towards the past, but a Law anchored in the challenges of the future; not a Law emanating exclusively from public constraint, but a Law based on private normativity; not a strictly territorialised Law, but a law apprehending the transnational space". - 🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche

► Full Reference: L. d'Avout, "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"), in [rubrique p="Présentation"]M.-A. Frison-Roche[/rubrique] (dir.), [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]", 2025, pp. 173-196. - 📕read the general presentation of the book, [lien a="lobligation-de-compliance"]L'obligation de Compliance[/lien], in which this article is published - ► English Summary of this Article (done par the Author) : In the absence of constraints derived from the real international law, vigilance-compliance laws themselves determine their scope of application in space. They do so generously, to the extent that they often converge on the same operators and 'overlap' on the world stage. The result is a hybridisation of the law applicable to the definition of Compliance Obligations; a law possibly written "with four hands" or more, which is not always harmonious and which exposes unilateral legislators to occasional retouching their work and their applied regulations. -

► Full Reference: R. Gauvain & B. Balian, "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"), in [rubrique p="Présentation"]M.-A. Frison-Roche[/rubrique] (ed.), [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], Journal of Regulation & Compliance (JoRC) and Editions Lefebvre - Dalloz, "[rubrique p='Responsabilités éditoriales > Direction de la collection "Régulations & Compliance", JoRC & Dalloz']Régulations & Compliance[/rubrique]" Serie, 2025, pp. 401-417. - 📕read the general presentation of the book, [lien a="lobligation-de-compliance"]L'Obligation de Compliance[/lien], in which this article is published - ► English Summary of this contribution (done by the Journal of Regulation & Compliance - JoRC) : The authors approach Compliance Law through its tools, mainly compliance programmes through which companies comply with regulations and investigations conducted by companies at the request of public authorities to identify risks and new modes of defence consisting of entering into agreements with prosecuting authorities.  The article highlights the American inspiration behind this movement, whereby the State, primarily for the sake of efficiency, transfers the responsibility for pursuing "Monumental Goals" to businesses. Based on this, the article first shows how American mechanisms have been imported into Europe, particularly France, with the Convention judiciaire d'intérêt public, taking on many of the characteristics of the DPA, even if some specific features remain, for example in the alert mechanisms.   Secondly, the convergence between the two systems is shown, because through the compliance obligations that form the core of these compliance tools, it is always Western values that are expressed, values that are common to American Law and European Law and European countries. It has enabled this importation, and we can now see that these values are more strongly upheld by Europe, particularly through the Vigilance duty and the DSA.  - 🦉This article is available in full text  (in French) to those registered for Professor Marie-Anne Frison-Roche's courses -

► Full Reference:: [rubrique p="Présentation"]M.-A. Frison-Roche[/rubrique], "Compliance", in J.-Fr. Kerléo & E. Lemaire (dir.), Dictionnaire de l'éthique publique, LexisNexis, 2025, pp.  - 📗[lien a="dictionnaire-de-lethique-publique"] read the general presentation of the Dictionary[/lien]. - 📝read the article (in French). - ► English Summary of the article defining what is Compliance: The article explains Compliance in 7 points. Firstly, it states that Compliance oscillates between a weak and a strong definition. It can be defined weakly as the demonstration of obedience to all applicable regulations, or it can be defined strongly as active participation in the achievement of 'monumental' ambitions for the future of the social group. Positive legal rules and case law are increasingly revealing the relevance of the strong definition, with the weak definition referring only to conformity to the Law. Secondly, this understanding of the new branch of Law known as Compliance Law will enable us to master the regulations specifically relating to compliance (RGPD, French laws such as Sapin 2 Act and Vigilance Act, AML/FT, European AI Act, etc.), which are both more specific and more restrictive than the general obligation to comply with the applicable legal rules. Thirdly, everyone can see the move from "extraterritoriality" to another thing which is the indifference to territoryd: Compliance is the right instrument for the digital space and for chains of activities. Fourthly, this is due to the very nature of Compliance, which consists in internalising in companies in a position to be active the “Monumental Negative Goal” of preventing the collapse of systems (energy, climate, digital, banking, financial, algorithmic, etc.). Fifthly, this internalisation is carried out by States and public authorities in entities in a position to act, i.e. in concrete terms in companies in a position to be active to reach the “Monumental Goals” by contributing to the improvement of systems so that these systems benefit in the present and the future the people who are de jure and de facto involved in them. Sixthly, these goals become positive when it comes to educating people about probity and effective equality between human beings, notably through training policies. In this respect, Vigilance is the “cutting edge” of Compliance. Seventhly, an “ex ante responsibility” of Crucial Operators subject to Compliance is emerging, and is articulated by Systemic Litigation which aims to balance and maintain systems, carried by States and these crucial companies. - 📝read the preentation of the other article written by Marie-Anne Frison-Roche for this Dictionary: "[lien a="regulation-in-j-fr-kerleo-et-e-lemaire-dir-diction"]Régulation[/lien]" - 🌐follow Marie-Anne Frison-Roche on LinkedIn 🌐follow Marie-Anne Frison-Roche on Instagram 🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law 🌐subscribe to the Video Newsletter MAFR Surplomb 🌐subscribe to the Newsletter MaFR Droit & Art