Food for thoughts

► Référence complète : J.-Ch. Roda, "Le standard de preuve : réflexions à partir du droit de la concurrence", D. 2021, pp.1297-1303

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► Résumé de l'article (fait par l'auteur) : "Jusqu'à une période récente, le "standard de preuve", traduit de la notion de standard of proof des droits de Common Law, n'était connu que des seuls comparatistes. Aujourd'hui, ce concept a priori étranger a pénétré le système juridique français, par l'intermédiaire du droit européen de la concurrence : les autorités de marché s'y réfèrent régulièrement et, mécaniquement, le juge français aussi. Les "concurrentialistes" sont désormais habitués à croiser la notion, mais elle demeure encore fuyante : on se demande si son émergence n'est pas un trompe-l'oeil. Plus largement, la question se pose de savoir si la notion a un avenir et une réelle utilité en dehors du droit de la concurrence.".

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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 : Cour de cassation, Rapport de la Commission de réflexion sur la Cour de cassation 2030, juillet 2021. 

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Lire le rapport. 

► Compliance Law is above all a Time Management. This is why it is located in Ex Ante, before disasters happen, with the goal that they do not happen, to intervene at least on time to break the domino effect. This is why the achievement of Monumental Goals has been internalized in companies, this achievement being until now States’ affair. This does not mean that Ex Post is irrelevant. Especially because when the Ex Post entities are the most legitimate. It is the case of Judges. What has just happened to Rudy Giuliani illustrates this perfectly.

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On June 24, 2021, the Supreme Court of the State of New York published its decision concerning Rudy Giuliani (➡️⚖️Supreme Court of the State of New York Appellate Division, First Judicial Department, June 24, 2021, Giuliani)

Rudy Giuliani, who was federal prosecutor, then mayor of New York, then counsel to President Donald Trump, then lawyer was sentenced to the provisional suspension of his professional license in the State of New York (➡️📝New York Times, Court Suspends Giuliani's Law License, citing Trump Election lies, June 24, 2021).

The judgment evokes the insurrectionary events in the Capitol and relies on an ethics committee for the conduct that lawyers must have. First the convergence is remarkable in the motivation between the decisions made by Facebook with regard to Donald Trump, the professional structure to which Rudy Giuliani belongs and the decision of the state court (I).

The articulation is rather done in time (II). First of all, the company which intervenes as quickly as possible, because it is necessary to act (but for acting, it is also necessary to "judge", even if the entity is not a tribunal ...); then the profession (and here the person concerned belongs to a regulated profession but it is indeed in the name of "the general public interest" that the sanction will be pronounced), nothing that can escape the in fine validation or questioning of the Judge.

I. The articulation of the substantive principles implemented by the Company, the Jurisdiction and the Professional Regulator

In a Rule of Law, fundamental principles are the same for subjects of Law (companies being subjects of Law like others), intermediary bodies (like professional orders), jurisdictions and States.

In a Rule of Law, Truth is elementally kept by Law and Disinformation is sanctioned.

Thus, even if the power of Freedom of Speech in the United States has a constitutional power unlike any other, since "disinformation" is not sanctioned as such, the legal path of defamation action makes it possible to obtain protection against practices of massive disinformation.

Even if historians have worried about the paradoxical weakness of the United States because of its legal system (see 💻Snyder, T., The State of Our Democracy, 2021) Harvard Law professors have intervened to explain that no one could say everything, defamation action allowing a reaction.

This is the path that was used in January 2021 against Rudy Giuliani (➡️📝New York Times, Rudy Giuliani sued by Dominion Voting Systems over False Election Claims, May 4, 2021) for having unleashed a viral campaign of disinformation about what was presented as an incorrect result during the presidential election.

It is therefore "disinformation" which is sanctioned.

It was also prevented by systemic digital companies such as Google, Twitter, Facebook and Instagram, which disabled Donald Trump’s accounts, the other actor.

But besides, Rudy Giuliani is a lawyer.

As such, what he does engages the honor of his profession. It is therefore intended to be the subject of disciplinary procedures. 

This is why the jurisdiction of the State of New York took advice from an "ethics committee".

In particular with regard to the conclusions of the latter, the state jurisdiction declared that the false statements "tarnished the entire reputation of the legal profession". This justified his suspension in New York State. This suspension is temporary (disciplinary procedures will begin).

But on the other hand, the Court considers that the deontologically objectionable conduct "directly" increased the tensions which led to the violence of the events in the Capitol.

By taking such a justification, the Court operates the junction on the one hand with the other character that Rudy Giuliani advised, Donald Trump, but especially with the decision taken by the private companies, which suspended Donald Trump’s accounts.

Thus, in the name of the same principles, Public Order and respect for Truth, the Court by connecting, through its motivation, Companies - which had acted before - and Disciplinary Body which will intervene afterwards, has shown the coherence of the American legal system.

II. The articulation over time between crucial companies, jurisdictions and professions

The difficulty comes rather from the articulation in time.

Indeed, in this Donald Trump’s case who, in particular legally advised by Rudy Giuliani, affirmed that the elections had been stolen, which contributed to a start of insurgency and riots in Capitol, the question is the reaction time and the modality of reaction.

The first type of bodies which react were systemic digital companies: Google, Twitter, Facebook.

The modality was the deletion of Donald Trump's accounts, with the justification for inciting destabilization and civil war.

Controlling "hate speech", in Europe in name of Law, in the United States in name of Corporate Social Responsibility (CSR).

Therefore, the company is therefore instituted "Judge and prosecutor of itself" by Compliance Law, because it is in position to act at the right time, that is to say immediately (see ➡️📅 the colloquium, co-organized by the Journal of Regulation & Compliance and Lyon 3 University, The Firm instituted as Judge and Prosecutor of itself, Compliance Juridictionnalization, 2021).

It is remarkable that, despite all the criticisms that can legitimately be made of it (see eg Heymann, J., La nature juridique de la "Cour suprême" de Facebook" (The legal nature of the "so-called" Supreme Court of Facebook), in The Firm instituted as Judge and Prosecutor of itself, already quoted above.) this jurisdictionalization works, as soon as the procedural principles are respected (see ➡️📝Frison-Roche, M.-A., The judge-judged: articulating words and things in face of the impossible conflict of interests, in ➡️📕Compliance Juridictionnalization, 2022).

But in fine, the decision is always to come back to the Courts and systems depend above all on the probity of people, who are most firmly anchored in "professions".

What is remarkable in the present case is that we could "wait" for the time of justice, because the sanction of the adviser - and his neutralization by a ban to practice - is less urgent than the neutralization of Donald Trump on social networks. Their power as an "influencer” is not the same.

It is however remarkable that if the court took care to rely on the opinion of an "ethics committee", it did not wait for the disciplinary sanction itself.

This will come later.

Justice itself, above all sensitive to time, therefore pronounced in advance: a "provisional" suspension. In the same way that it has often been said that closing an account in the digital space was a capital punishment, one can consider that a professional suspension was, even in "temporary" form, a capital punishment for a professional.

We can see here that Professions, here the profession of attorney, are central to Compliance mechanisms. Indeed, the more States are weakened by their natural relationship with the “border”, the more the technical notion of “Profession”, which does not have this natural relationship, will have to be developed.

However, supervised by the Judge, a Profession has ethics at its heart. The same that the Judge, in anticipation, took as a basis to sanction for the future the adviser of a president immediately dismissed by the systemic company. 

So as long as crucial businesses, professional and jurisdictional structures adjust in substance, adjustment over time can work, by anticipation and feedback.

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► Full Reference: A. Bruneau, "The company judges itself: the Compliance function in the bank", in M.A. Frison-Roche, (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, coll. "Compliance & Regulation", to be published.

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

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► Summary of the article: First, it should be remembered that the compliance function was born within finance, and that by being structured, it has evolved to support the transition from regulatory law to compliance law. Through these changes, compliance has gone from an ex-post controlling function to an ex-ante binding function. The LIBOR crisis imperfectly illustrates the primacy of this transition. The evolution of this role is illustrated by concrete examples. Firstly, the management of reputational risk is a fundamental part of the company as prosecutor and judge of itself. Reputational risk is a significant element for a financial institution, because it can have negative consequences on its capitalization, or even culminate in a systemic crisis. Avoiding a large-scale financial crisis is also part of the monumental goals of compliance.

In order to avoid complex and inopportune scenarios, compliance law intervenes as early as possible and identifies issues that may impact reputation. The regulations require the implementation of certain ex ante mechanisms. The French law known as "Sapin 2" requires the implementation of tools that concern all companies (and not just banks). Indeed, beyond the risk of reputation, it is essential to consider the risk of corruption. Consideration of reputational risk may justify refusing to execute certain transactions. From this perspective, compliance must assess the potential consequences of entering into a relationship with a new client upstream, sometimes to decline the provision of services. The compliance function therefore unilaterally judges the relationship with a view to managing the company reputational risk.

Secondly, the internal sanction mechanism established by compliance law is also discussed in this article, in particular the internal sanctions adopted by compliance in a financial institution.

Compliance can act as a prosecutor via management committees set up within the business lines. In addition, compliance can determine and apply sanctions against employees. In this way, there is a dual role of prosecutor and judge for the compliance function within the framework of an extraordinary mechanism of ordinary law.

Finally, the analysis deals with the case of the "judge-judged": following a decision by the bank, the regulator may take an even stricter position by believing that the bank is applying its guidelines incorrectly. Thus, the compliance law, which takes hold within the banking enterprise, finds itself under the judgment of its own regulator. The company finds itself judged and comes to be a prosecutor and judge of itself, but also of its clients.

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

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► Full Reference: C. Granier, "Reflections on the existence of companies’ jurisprudence through Compliance matters", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, coll. "Compliance & Regulation", to be published. 

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

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► Summary of the article (done par the author): Because Compliance shakes up established frameworks, Compliance forces to look at certain concepts in a new light, which until then seemed to be well tamed. This is particularly the case with the notion of "Jurisprudence". Recent developments in Compliance indeed raise questions about the possible existence of "jurisprudence" (case law) that would be produced by companies during the implementation of compliance procedures.

At first glance, the concept of "business jurisprudence" may appear unnatural because case law is traditionally understood as the fruit of the office of the Judge and, more particularly, of the State Judge. However, the observation that the company can position itself as a Judge with regard to itself and others in the context of the implementation of Compliance legitimately raises the question of the possibility for the latter. to produce case law. The example of Facebook's supervisory board and the first decisions rendered by this body increases the legitimacy of this crucial question.

Thinking about the concept of "Jurisprudence of companies" implies to compare the process of emergence of the case law standard emanating from the Judge with the process of emergence of a "Jurisprudence" that would be produced by companies during their "jurisdictional functions". On the material level, an analogy between State case law and company case law seems conceivable. It then remains to overcome an obstacle of an organic nature: can an institution other than the judge be understood as producing case law?

In view of contemporary developments in Law and the practical interest that exists in designing business case law, it seems appropriate to adopt a broader view of case law, which is detached from the traditional organic criterion. It therefore seems that it is possible but above all that it is necessary to think about the concept of "business case law" in order to highlight a new facet of the normative power of companies in the context of compliance, in particular with a view to its supervision.

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

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Full reference: Frison-Roche, M.-A., The judge-judged: Articulate words and things face to the difficult conflicts of interest, in L'entreprise instituée Procureur et Juge d'elle-même par le Droit de la Compliance, colloquium co-organized by the Journal of Regulation & Compliance (JoRC) and Lyon 3 Law School, 23rd of June 2021.

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This conference was in French ; the Working Paper on which this conference was based is in French and in English: The judge-judged: Articulate words and things face to the stressful conflicts of interest 

📅  June 23, 2021, 9h30 - 18h30 

🧭 Lyon,  Lyon 3 Law School, "Salle de la Rotonde" and online

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📊 Read the slides on which this conference is based (in French)

🎥 See the video of this conference. 

📝 Read the general program of this colloquium (in French)

📝 Read the working paper on which this conference is based  (in English)

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📅 This colloquium is part of the cycle of colloquia in 2021 organized by the Journal of Regulation & Compliance (JoRC) and its partners about Compliance Juridictionnalization. 

📕 📘 The conference is the first basis for the writing of an article, forthcoming in a book whose the French version is La juridictionnalisation de la Compliance,  co-published by the Journal of Regulation & Compliance (JoRC and Dalloz, and whose the English version Compliance Juridictionnalisation, is co-published by the Journal of Regulation & Compliance (JoRC) and Bruylant. 

   The book in French will be published in the collection "Régulation & Compliance " while the book in English will be published in the same collection "Compliance & Regulation". 

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🔻 Summary of the conference: read below.

► Full Reference: J. Heymann, "The Legal Nature of the Facebook “Supreme Court”", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, coll. "Compliance & Regulation", to be published. 

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

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► Summary of the article (done par the Author): Taking place in the general theme aiming at making “words and things coincide”, the article offers some thoughts on the “conditions of the discourse” – in the sense in which Foucault understood it in his Archéologie des sciences humaines – relating to the phenomenon of “jurisdictionalization” of Compliance.

            The thoughts are more specifically focusing on the nature of the so-called “Supreme Court” that Facebook instituted to hear appeals of decisions relating to content on the digital social networks that are Facebook and Instagram. Is this really a “Supreme Court”, designed in order to “judge” the Facebook Group?

            A careful examination of the Oversight Board – i.e. the so-called “Supreme Court” created by Facebook – reveals that the latter, in addition to its advisory mission (which consists of issuing policy advisory opinions on Facebook’s content policies), exercises some form of adjudicative function. This is essentially conceived in terms of compliance assessment, of the content published on the social networks Facebook or Instagram with the standards issued by these corporations on the one hand, of content enforcement decisions taken by Facebook with the Law on the other hand. The legal framework of reference is yet rather vague, although its substantial content seems to be per se evolutive, based on the geographical realm where the case to be reviewed is located. An adjudicative function can therefore be characterized, even if the Oversight Board can only claim for a limited one.

            The author can ultimately identify the Oversight Board as a preventive dispute settlement body, in the sense that it seems to aim at avoiding any referral to state courts and ruling before any court’s judgement can be delivered. Some questions are thus to be raised, relating with both legitimacy and authority of such a Board. But whatever the answers will be, the fact remains that the creation of the Oversight Board by a private law company already reveals all the liveliness of contemporary legal pluralism.

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

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► Full Reference: J.-M. Coulon, "Compliance Law in the construction industry and the contradictions, impossibilities and deadlocks that companies face", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, coll. "Compliance & Regulation", to be published. 

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

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► The summary below describes an article following the colloquium The Entreprise instituted Judge and Prosecutor of itself by Compliance Law) , co-organized by the Journal of Regulation & Compliance (JoRC) and the Faculté de Droit Lyon 3. This manifestation was designed under the scientific direction of Marie-Anne Frison-Roche and Jean-Christophe Roda and took place in Lyon on June 23, 2021. During this colloquium, the intervention was shared with Christophe Lapp, who is also a contributor in the book (see the summary of the Christophe Lapp's Article).

In the book, the article will be published in Title I, devoted to:  L'entreprise instituée Juge et Procureur d'elle-même par le Droit de la Compliance (The Entreprise instituted Judge and Prosecutor of itself by Compliance Law).

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► Summary of the article (done by the author): The construction industry is not a regulated sector. Its market is made up of a superposition of territorial strata which are all relevant markets, to which corresponds a specific microcosm of companies. Finally, the temporary association between companies for the purposes of carrying out a project or a work is consubstantial with this sector.

The penetration of Compliance in this sector is inevitably very heterogeneous and results from both exogenous factors (other partners within temporary associations, influence of economic operators from other sectors of activity, capital providers and lender, incitations from professional organizations ) the endogenous (submission to a Financial Regulatory Authority because the company is listed ; application of the laws on duty of vigilance, and French Law called "Sapin 2"). For example, subject to all these factors combined, the Bouygues group is particularly sensitive to compliance.

Not only internal "legislator", the Bouygues group finds itself in turn "prosecutor and judge" both of itself and of others. Indeed, leading an investigation, filing a complaint, triggering an ethics alert, making use of the leniency program, this group is, however, no other than a sort of assistant for the Prosecutor. In addition, scrutinizing its stakeholders, sanctioning its employees, resorting to a Convention Judiciaire d'intérêt public (judicial agreement in the public interest) or negotiating its sanction within the framework of a procedure instituted by a multilateral bank, it fulfills the function of a judge. Legislator, prosecutor, judge, the Bouygues group is faced with a paradox, in a way encouraged to exercise “sovereignty”, yet it does not benefit from the attributes attached to it or from the unwavering support of the competent Public Authorities.

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

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Full Reference: Frison-Roche, M.-A., The Judge-Judge ; articulating words and things in the face of the challenging conflict of interest born by Compliance Law, Working Paper, June 22, 2022.

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🎤 This Working Paper had been made to prepare a conference (done in French).

This conference took place in the Academic Colloquium, L'entreprise instituée Procureur et Juge d'elle-même par le Droit de la Compliance, in Lyon, the 23rd  June 2021.

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📝this Working Paper is the basis of an article to be published 

📕 in its French version in the book La juridictionnalisation de la Compliance, in the Series  Régulations & Compliance

📘 in its English version in the book  Compliance Juridictionnalisation, in the Series  Compliance & Regulation

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► Working Paper Summary: Puisque le thème de cette réflexion générale sur L'entreprise instituée Juge et Procureur d'elle-même par le Droit de la Compliance porte sur un ensemble d'autres réflexions soucieuses de l’ajustement des mots et des choses, la façon dont le rapport entre les uns et les autres évoluent, ce travail va porter sur la question de savoir si cette évolution est radicale ou pas, lorsqu'on parle de "juge".

Car, "juger" c'est un mot que le Droit a disputé à d'autres discipline!footnote-2090s, mais qu'il s'est approprié pour non pas tant avoir davantage de pouvoirs, par exemple celui de surveiller et de punir, mais au contraire s'imposer des limites, puisqu'à celui qui juge il a mis aux pieds les chaines de la procédure, ce qui rend supportable pour l'autre un tel pouvoir exercé!footnote-2091. C'est pourquoi ceux qui veulent le pouvoir de juger voudraient souvent n'en avoir pas le titre, car avoir de jure  le titre de juge c'est être soumis au régime corrélé, c'est se soumettre à l'exactitude procédurale.

Le Droit repère qui juge et oblige ce si-puissant à la procédure. Mais il a aussi le pouvoir d'instituer juge et tous les personnages du procès. Il le fait d'ordinaire avec clarté en distinguant les uns des choses. C'est si important que ce conseil a valeur constitutionnelle. Ainsi, non seulement celui qui juge doit être nommé ainsi mais l'appareillage procédurale qui va avec le personnage et qui constitue à la façon une façon de faire et des droits fondamentaux, ne sont pas "concédés" par bonté ou dans un second temps : c'est un bloc. Si l'on ne voulait pas avoir à supporter les droits processuels, il ne fallait vouloir être juge. Certes on pu en conclure que la procédure serait donc devenue "substantielle" ; par cette élévation, il s'agit plutôt de dire que la procédure ne serait plus une "matière servante": c'est une sorte de déclaration d'amour pour la procédure, tant qu'on affirme qu'à l'acte de juger, d'enquêter ou de poursuivre, sont "naturellement" attachées les droits pour celui qui risque d'en être l'objet.

Le Droit de la Compliance, à la recherche d'alliés pour atteindre les Buts Monumentaux pour l'atteinte desquels il a été institué, va requérir, voire exiger d'entreprises privées qu'elle aillent elles-mêmes rechercher, c'est-à-dire enquêter, des faits susceptibles de lui être reprochés. Le Droit de la Compliance va aussi exiger qu'elles poursuivent les personnes ayant commis ces faits. Il va encore exiger qu'elles sanctionnent les faits que des personnes ont commis en son nom.

On le comprend bien du point de vue de l'efficacité Ex Ante. La confusion est souvent très efficace. Par exemple il est plus efficace que celui qui poursuit soit aussi celui qui instruise et qui juge, puisqu'il connait bien le dossier. D'ailleurs il est plus efficace qu'il prenne aussi les règles, ainsi il connait mieux que quiconque "l'esprit" des textes. Cela fut souvent souligné en Droit de la Régulation.  Mais tout cela ne va pas de soi.

Pour deux raisons, l'une extérieur et l'autre intérieure. 

La première raison, extérieure, tient que l'on ne pourrait pas "nommer" juge qui ne l'est pas. Cela serait trop facile, car il suffirait alors de désigner quiconque, voire de le faire soi-même pour s'approprier le régime qui va avec, pouvoir notamment d'obtenir qu'autrui obéisse alors même qu'il n'est pas subordonné ou qu'il transmette des informations, alors même qu'il serait concurrent : il faudrait alors rappeler seul le juge pourrait se nommer juge ! et dans ce temps nouveau, voilà que des entreprises seraient juges, procureurs, enquêteurs ! Les temps seraient donc si graves et en si grand désordre qu'il faudrait en revenir à cette tautologie là... !footnote-2092 Mais sommes-nous dans une telle radicalité ? D'ailleurs, les juges ont-ils "l'apanage" du jugement et le Droit n'admet-il pas cela depuis longtemps ? Dès l'instant que la procédure est là en Ex Ante et le contrôle du juge en Ex Post ?  

La seconde raison, interne à l'entreprise, tient à ce que l'entreprise enquête sur elle-même, se juge elle-même, se sanctionne elle-même. Or, la personne morale n'exprimant sa volonté qu'à travers soit ses organes, l'on souligne en pratique les difficultés pour un même être humain de formuler des griefs, en tant qu'il est le mandataire de la personne morale, à la personne physique qu'il est lui-même. Les deux intérêts des deux ne sont pas les mêmes, sont souvent opposés, et comment les secrets de l'un peuvent être tenus à l'égard de l'autre. C'est tout le mystère, voire l'artifice de la personnalité morale qui apparaît et l'on comprend mieux que le Droit de la Compliance ne veut plus utiliser cette notion étrange. Car toues les règles de procédure ne peuvent masquer que se poursuivre soi-même n'a pas plus de sens que de contracter avec soi-même. Ce conflit d'intérêts est impossible à résoudre car nommer un même individu x puis le nommer y, en déclarant ouverte la dispute entre eux n'a pas de sens. 

Ce dualisme impossible à admettre dès l'instant qu'il s'agit de faire jouer ces fonctions à l'égard des mandataires sociaux peut retrouver vie en instituant des tiers de confiance qui vont porter les secrets et les oppositions.  Par exemple par la désignation de deux avocats distincts par l'être humain mandataire et l'être humain dirigeant, chaque avocat pouvant avoir des secrets l'un pour l'autre et s'opposer l'un à l'autre. Ces espaces de reconstitution des oppositions si "naturelles" en procédure entre celui qui juge et celui qui est jugé peuvent aussi avoir prendre la forme technologique des plateformes : là où il n'y a plus personne, là où le process a remplacé la procédure, il n'y a plus non plus de jugement humain. L'on mesure ainsi que la crainte des conflits d'intérêts est si forte que l'on se résigne à dire que seule la machine serait "impartiale", dérisoire conception de l'impartialité contre laquelle il convient de lutter.

Cela permet alors d'aboutir à une dernière question : l'entreprise peut-elle prétendre exercer le pouvoir juridictionnel de poursuivre et de juger et d'enquêter sans même se prétendre ni procureur, ni juge d'instruction, ni tribunal ? L'avantage serait de pouvoir se soustraire au régime juridique que le Droit classique attache à ses mots-là, principalement les droits de la défense, les droits d'action et le principe de publicité de la justice.  Quand Facebook dit "réagir" à la décision du 5 mai 2021 adoptée par ce qui ne serait qu'un Oversight Board pour décider pourtant "en conséquence" une suspension de 2 ans du compte de Donald Trump, l'art des qualifications semble être utilisé afin d'éviter toute contrainte de régime.  Mais cet art de l'euphémisme est bien ancien. Ainsi les Etats, lorsqu'ils voulurent accroître la répression, présentèrent la transformation du système comme un adoucissement de celui-ci à travers la "dépénalisation" du Droit économique, transféré des tribunaux correctionnels aux AAI. L'efficacité en fût grandement accrue, puisque les garanties de la procédure pénales ont cessé de s'appliquer. Mais 20 ans plus tard, les mots retrouvèrent leur chemin vers les choses : sous le Droit pénal, dormait la "matière pénale", qui requière la même "impartialité". Un juge un jour l'affirma et tout fut changé. Attendons donc ce qu'en diront les Cours, puisqu'elles sont les maîtres des qualifications, comme le dit l'article 12 du Code de procédure civil, qu'écrivit Motulsky. 

► It is in its "Risk and Compliance" section that the Wall Street Journal, by its article of June 18, 2021 (➡️📝Europe's Chief Prosecutor Has 300 Cases on Her Plate Already), presents the first steps of the European Public Prosecutor’s Office, since June 1, 2021.

This inclusion presupposes that it is through a Compliance Law perspective that this new body must be understood, in order to understand and anticipate its action.

►In this perspective :

➡️📧Frison-Roche, M.-A., European Public Prosecutor's Office comes on stage: the company having itself become a private prosecutor, are we going towards an alliance of all prosecutors?, June 2, 2021

➡️ 💬Frison-Roche, « Le parquet européen est un apport considérable au Droit de la Compliance » (“The European Public Prosecutor's Office is a remarkable contribution to Compliance Law"), June 14, 2021

I. AN ACTION THAT WILL FOCUS ON FIGHTING THE MEANS USED TO DAMAGE THE FINANCIAL INTERESTS OF THE EUROPEAN UNION

The article of the Wall Street Journal takes the form of an interview with the European Prosecutor. Her responses also confirm the consubstantial link between European Public Prosecutor's Office and Compliance Law.

It is remarkable that she immediately says that she hopes the treatment of many cases, especially on healthcare and infrastructure sectors: "Our expectation is to have more cases, especially in the healthcare system, in public procurement, infrastructure, and also in agriculture ".

However, the 2017 European Regulation which established the European Public Prosecutor’s Office said that its "mandate" is to prosecute offenses affecting the "financial interests of the European Union", without being hampered by the cumbersome procedures for cooperation between States while these offenses are most often cross-border.

But one could think that, knowingly taking the means (corruption, money laundering) for the goal, the European Public Prosecutor's Office would immediately pursue not only the defense of the financial interests of the Union (admittedly financial interests damaged by corruption or money laundering) but these facts themselves: thus the European Public Prosecutor's Office works with the European Supervisory Authorities, in particular banking and financial authorities, which fight in Ex Ante against these offenses and prevent them.

II. AN ACTION THAT FOCUSES ON SECTORS NOT LEGALLY REGULATED IN EX ANTE BY SECTORAL REGULATORY AUTHORITIES

Moreover, it will be noted that the European Prosecutor is targeting three economic sectors which are not "regulated sectors" in the legal sense of the qualification, that is to say not monitored by a sectoral Regulatory and/or Supervision Authority: Health, Infrastructure and Agriculture.

Thus, the power of Regulatory Law, which relies in its Ex Ante, and its weakness, which derives from the pre-required existence of a sectoral Authority, is compensated: the action of the Public Prosecutor's Office is not limited to legally regulated sectors.

While Competition Authorities are mandated (➡️📅La concurrence dans tous ses états, June 25 and 26, 2021) to protect the competitive functioning of the markets, a Public Prosecutor's Office can deal with any infringement without having to determine a market.

For instance, Infrastructures don't constitute pertinent markets but can constitute fields for criminal activities, such as corruption or money laundering, justifying Compliance Law mechanisms. 

What the new European Prosecutor is aiming for, namely Health, Infrastructures and Agriculture, have undoubtedly been damaged both by the sole primacy of the Competition perspective and by a Criminal Law constrained by the difficult inter-State cooperation, even though they are not subject to a supranational Ex Ante Regulation.

The European Public Prosecutor's Office aims to directly improve this, through Entreprises acting in Health, Infrastructures and Agriculture. 

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► Law is slow, but firm. By its judgment of June 15, 2021, Facebook , the European Union Court of Justice widely interprets the powers of National Authorities, since they serve the people protection in the digital space (➡️📝(CJEU, June 15, 2021, Facebook). 

Law is slow. The reproach is so often made. But the bottom line is that, in the noise of changing regulations, it establishes clear and firm principles, letting everyone know what to stand for. The more the world is changing, the more Law is required.

When Law degenerates into regulations, then it is up to the Judge to make Law. "Supreme Courts" appear, de jure as in the United States, de facto as in the European Union by the Court of Justice of the European Union which lays down the principles, before everyone else, as it did for the "right to be forgotten" in 2014 (➡️📝CJEU, Google Spain, May 13, 2014), and then with the impossibility of transferring data to third countries without the consent of the people concerned (➡️📝CJEU, Schrems, October 6, 2015).

Facebook litigation is kind of a novel. The company knows that it is above all to the Courts that it speaks. In Europe, it is doing it behind the walls of the Irish legal space, from which it would like to be able not to leave before better dominating the global digital space, while national regulatory authorities want to take it to protect citizens.

There is therefore a technical question of "jurisdictional competence". The texts have provided for this, but Law is clumsy because it was designed for a world still anchored in the ground: the GDPR of 2016 therefore organizes cooperation between national regulatory authorities through a "one-stop-shop", forcing the authorities to relinquish jurisdiction so that the case is only handled by the "lead" National Authority. This avoids splintering and contradiction. But before the adoption of the GDPR, the Belgian data protection regulator had opened a procedure against Facebook concerning cookies. The "one-stop-shop" mechanism, introduced in 2016, is therefore only mentioned before the Brussels Court of Appeal, which is asked to relinquish jurisdiction in favor of the Irish Regulatory Authority, since the company has in Europe its head office in this country. The Court of Appeal referred to the CJEU for a preliminary ruling.

By its judgment of June 15, 2021 (➡️📝CJUE, Facebook, June 15, 2021), it follows the conclusions of its Advocate General and maintains the jurisdiction of the Belgian National Regulator because, even after the GDPR, the case still undergoes national treatment. In this decision, the most important is its reasoning and the principle adopted. The Court notes that the "one-stop-shop" rule is not absolute and that the national regulatory authority has the power to maintain its jurisdiction, in particular if cooperation between national authorities is difficult.

Even more, will it not one day have to adjust Law more radically? We need to consider the fact that the digital space is not bound by borders and that the ambition of "cross-border cooperation" is ill-suited. It is of course on this observation of inefficiency, consubstantial with the digital space, that the European Public Prosecutor's Office (EPPO) was designed and set up, which is not a cooperation, nor a "one-stop shop", but a body of the Union, acting locally for the Union, directly linked to Compliance concerns (➡️📝Frison-Roche, M.-A. "The European Public Prosecutor's Office is a considerable contribution to Compliance Law", 2021 and ., European Public Prosecutor's Office comes on stage: the company having itself become a private prosecutor, are we going towards an alliance of all prosecutors ?, 2021).

So that's what we should be inspired by.

► The European Public Prosecutor's Office (EPPO), a major weapon for the Compliance Law.

The European Union's prosecutor comes out of its cradle : the "European Public Prosecutor's Office" starts its activities. Long to set up, this European judicial body is linked to delegated prosecutors in the Member States. It is not a simple emanation of national bodies networked; of autonomous competence, it is the organ in the name of which the action is carried out.

In addition to this institutional revolution, there is a substantial revolution: this European Public Prosecutor's Office can prosecute any attack to the "financial interests of the European Union". These "attacks on financial interests" are conceived broadly, including in particular acts of corruption or embezzlement.

First of all, Didier Reynders emphasizes that this puts the rule of Law at the center. It is no longer Europe supporting actions to be coordinated between States, the national prosecution having technical difficulties to cooperate effectively with each other, but the European Public Prosecutor's Office which will allow unified and effective European action between delegated prosecutors.

Secondly, it continues the string of effectiveness between Compliance, located in Ex Ante, Compliance Law consisting in "preventing" and "detecting" such behavior, and the Ex Post, because a judge is sometimes necessary so that the disregard of these Ex Ante obligations is sometimes sanctioned (➡️📝Frison-Roche, M.-A., Compliance and International Public Order: the French conception preserved by the Paris Cour of Appeal, 2021) but also a prosecution: the prosecutor is a major figure in Compliance Law. Indeed, being able to prosecute, the prosecutor can also not prosecute and change its decision to close the file in returns for commitments (Ex Ante) from the company: the "public interest judicial agreements" - CJIP. In fact, through the opportunity to prosecute, will such powerful flexibility be found at European level?

Thirdly, the prospect of prosecution by the European Public Prosecutor's Office will incent in Ex Ante companies to prevent, or to prosecute themselves (➡️🎤Frison-Roche, M.-A. et Roda, J.-C. (dir.), The firm instituted prosecutor and judge of itself by Compliance Law, Lyon, June 23, 2021) the perpetrators of fraud in the interests of the Union European.

At a time when the Union is engaging in direct loans to lend still more, this role of the company, sometimes qualified as "private prosecutor", linked to a prosecutor, now European, is necessary.

Are we moving towards the alliance of all prosecutors?

► Full Reference: Frison-Roche, M.-A. (ed.), Compliance Tools, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) & Bruylant, 2021.

This book in English is the first title of this collection integrally dedicated to Compliance Law, in that it is the extension of Regulation Law. 

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📚  Read the titles of this series in English co-published by Bruylant. 

📚   This collection in English is articulated with a collection co-published between the Journal of Regulation & Compliance and Dalloz.

📕Thus, in parallel, a book in French, Les Outils de la Compliance is published. 

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📅   This book is published after a  cycle of colloquiums organised by the Journal of Regulation & Compliance (JoRC) and Partners Universities.

___

► General Presentation of the collective book: The political dimension of Compliance Law lies in the goals it aims to achieve. To achieve them, the concern for these goals is internalized in "crucial operators", which may be obliged to concretize "monumental goals" set by public authorities. These public bodies control the Ex Ante reorganization that this implies for these companies and sanction Ex Post the possible inadequacy of the companies, which have become transparent to this end. The effectiveness and efficiency of this internalization, without which the statement of these goals is worth nothing, is based on the Compliance tools that are deployed.

These appear to be very diverse but their substantial unity (topic which will be the subject of a forthcoming book) makes it possible to study the tools put in place from a unique perspective, by not isolating them in a particular branch of Law, Criminal law or International Law for example, but by measuring what is common to them, notably Anticipation, Trust, Commitment, Responsibility, Incentive, and so on. If the Compliance tools vary, it is rather not only according to the sectors, finance and banking appearing then as the advanced point of the general Compliance Law, for example in environmental matters, but also according to the countries and the cultures. It is in fact about them that legal cultures seem to oppose.

The book aims to understand these "tools" by going beyond the description of each instrument, for which we already have many monographs, for analyzing them through the issues of Risks, required Expertises, Training. Sovereignty claims, Incentives, mechanical aptitude of Technologies. It is through these themes that are analyzed by the authors, experts in the field, what we always want to understand better: Compliance Programs, Whistle blowing, Mapping, Sanctions, Extraterritoriality, etc.

 ____

Read the summary of the book. 

Read the foreword, summarizing all the contributions.  

Présentation of the book contributions:

📝Amico, Th., Compliance or the passage from ex post to ex ante: A Copernican revolution for the criminal lawyer?

📝Banck, A., The maturity of the Compliance tool’s user, first criterion of the choice of the salient tool

📝Burlingame, Coppens R., Power, N, Lee, D.H., Anti-Corruption Compliance: Global Dimension of Enforcement and Risk Management

📝Calandri, L., Incentive(s) and Self-Regulation(s): which place for Compliance Law in the Audiovisual Sector? 

📝Causse, H., Compliance Training: Through and Beyond Traditional Legal Training

📝Frison-Roche, M.-A., Describing, designing and correlating Compliance Tools to have a better use of it

📝Frison-Roche, M.-A., Building by Law the Unicity of Compliance Tools from the Definition of Compliance Law by its "Monumental Goals"

📝Frison-Roche, M.-A., Drawing up Risk Maps as an obligation and the paradox of the "Compliance risks" ​

📝 Frison-Roche, M.-A., Incentives and Compliance, a couple to propel

📝 Frison-Roche, M.-A., Resolving the contradiction between sanctions and incentives under the fire of Compliance Law

📝 Frison-Roche, M.-A., Rights, primary and natural Compliance tools

📝 Frison-Roche, M.-A., Training: content and container of Compliance Law​

📝 Galland, M., The Regulator's Inspection of the Effectiveness of the Compliance Tools Implemented by the Company

📝 Granier, C., The Normative Originality of Compliance by Design

📝 Guillaume, N., Compliance risk mapping: first insights of challenges, limits and good practices

📝Guttierez-Crespin, A., Audit of Compliance Systems​

📝 Koenigsberg, S. and Barrière, F., The Development of Attorney's Compliance Expertise

📝 Larouer, M., The Manifestation of Incentives Mechanisms in French Compliance Law

📝 Merabet, S., Morality by Design

📝 Pailler, L., Technological Tools, Compliance by Design and GDPR: the Protection of Personal Data from Design

📝 Racine, J.-B., Geographical dominance in the choice and the use of Compliance Tools. Introductory remarks

📝Rapp, L., Incentive Theory and Governance of Space Activities

📝 Roda, J.-C., Compliance by design in antitrust: between innovation and illusion

📝 Salah, M., Conception and Application of Compliance in Africa

📝 Tardieu, H., Data Sovereignty and Compliance

📝 Thouret, T., Training and Compliance, Two Correlated Information Transmission Tools

Full Reference : Frison-Roche, M.-A..,Rights, primary and natural Compliance Tools, in Frison-Roche, M.-A. (ed.), Compliance Tools, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Bruylant, 2021, p. 319-342

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Article Summary: In the traditional conception of the architecture of the sectors regulated by Law, and in Compliance Law which extends the regulatory techniques, rights have little place. But this configuration no longer takes place; on the contrary, rights are at the center of Regulatory and Compliance systems, and will be more and more so. They are and will be the primary tools of Compliance Law because they constitute a very effective "tool" to ensure the entire functioning of a system whose goals are so difficult to achieve. Because every effort must be done to achieve these goals, the public authorities not only rely on the power of crucial operators, but also distribute prerogatives to people and organizations who, thus encouraged, activate the Compliance system and participate in the achievement of the "monumental goal". Rights can prove to be the most effective tools for actually achieving the goals set, so much so that they can be seen as "primary tools".

But it is pertinent to have more pretension and to conceive rights as the most "natural" tools of Compliance Law. Indeed because all the Monumental Goals by which Compliance Law is defined can be expressed by the protection of persons, that is to say to the effectiveness of their prerogatives, by a mirror effect between rights. given as tools by Law by to persons and rights which constitute the very goal of all Compliance Law, in particular the protection of all human beings, even if they are in a situation of great weakness, rights becoming a "natural tool" of Compliance Law.

We are only at the beginning of their deployment and it is undoubtedly on them that Digital space in which we now live would be regulated, so that we will not suffocated there and that it will constitute for people a civilized space.

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Read the bilingual working paper, with additional developments, technical references and hyperlinks, on which this article is based 

Read the General Presentation of the book in which this article has been published

____

Full Reference: Frison-Roche, M.-A. (ed.), Compliance Tools, serie "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) & Bruylant, 2021.

This book in English is the first title of this collection integrally dedicated to Compliance Law, in that it is the extension of Regulation Law. 

Read the titles of this series in English co-published by Bruylant. 

This collection in English is articulated with a collection co-published between the Journal of Regulation & Compliance and Dalloz.

Thus, in parallel, a book in French, Les Outils de la Compliance is published. 

Read the titles of the series in French co-published with Dalloz. 

This book is published after a  cycle of colloquiums organised by the Journal of Regulation & Compliance (JoRC) and Partners Universities.

___

General Presentation of the collective book

The political dimension of Compliance Law lies in the goals it aims to achieve. To achieve them, the concern for these goals is internalized in "crucial operators", which may be obliged to concretize "monumental goals" set by public authorities. These public bodies control the Ex Ante reorganization that this implies for these companies and sanction Ex Post the possible inadequacy of the companies, which have become transparent to this end. The effectiveness and efficiency of this internalization, without which the statement of these goals is worth nothing, is based on the Compliance tools that are deployed.

These appear to be very diverse but their substantial unity (topic which will be the subject of a forthcoming book) makes it possible to study the tools put in place from a unique perspective, by not isolating them in a particular branch of Law, Criminal law or International Law for example, but by measuring what is common to them, notably Anticipation, Trust, Commitment, Responsibility, Incentive, and so on. If the Compliance tools vary, it is rather not only according to the sectors, finance and banking appearing then as the advanced point of the general Compliance Law, for example in environmental matters, but also according to the countries and the cultures. It is in fact about them that legal cultures seem to oppose.

The book aims to understand these "tools" by going beyond the description of each instrument, for which we already have many monographs, for analyzing them through the issues of Risks, required Expertises, Training. Sovereignty claims, Incentives, mechanical aptitude of Technologies. It is through these themes that are analyzed by the authors, experts in the field, what we always want to understand better: Compliance Programs, Whistle blowing, Mapping, Sanctions, Extraterritoriality, etc.

 ____

Read the summary of the book. 

Read the foreword, summarizing all the contributions.  

Présentation of the book contributions:

• Amico, Th., Compliance or the passage from ex post to ex ante: A Copernican revolution for the criminal lawyer?

• Banck, A., The maturity of the Compliance tool’s user, first criterion of the choice of the salient tool

• Burlingame, Coppens R., Power, N, Lee, D.H., Anti-Corruption Compliance: Global Dimension of Enforcement and Risk Management

• Calandri, L., Incentive(s) and Self-Regulation(s): which place for Compliance Law in the Audiovisual Sector? 

• Causse, H., Compliance Training: Through and Beyond Traditional Legal Training

• Frison-Roche, M.-A., Describing, designing and correlating Compliance Tools to have a better use of it

• Frison-Roche, M.-A., Building by Law the Unicity of Compliance Tools from the Definition of Compliance Law by its "Monumental Goals"

• Frison-Roche, M.-A., Drawing up Risk Maps as an obligation and the paradox of the "Compliance risks" ​
• Frison-Roche, M.-A., Incentives and Compliance, a couple to propel
• Frison-Roche, M.-A., Resolving the contradiction between sanctions and incentives under the fire of Compliance Law
• Frison-Roche, M.-A., Rights, primary and natural Compliance tools

• Frison-Roche, M.-A., Training: content and container of Compliance Law​

• Galland, M., The Regulator's Inspection of the Effectiveness of the Compliance Tools Implemented by the Company

• Granier, C., The Normative Originality of Compliance by Design

• Guillaume, N., Compliance risk mapping: first insights of challenges, limits and good practices

• Guttierez-Crespin, A., Audit of Compliance Systems​

• Koenigsberg, S. and Barrière, F., The Development of Attorney's Compliance Expertise

• Larouer, M., The Manifestation of Incentives Mechanisms in French Compliance Law

• Merabet, S., Morality by Design

• Pailler, L., Technological Tools, Compliance by Design and GDPR: the Protection of Personal Data from Design

• Racine, J.-B., Geographical dominance in the choice and the use of Compliance Tools. Introductory remarks

• Rapp, L., Incentive Theory and Governance of Space Activities

• Roda, J.-C., Compliance by design in antitrust: between innovation and illusion

• Salah, M., Conception and Application of Compliance in Africa

• Tardieu, H., Data Sovereignty and Compliance

• Thouret, T., Training and Compliance, Two Correlated Information Transmission Tools

► Full reference: ECHR, 3rd sect., 11 May 2021, Halet c. Luxembourg, n° 21884/18.

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► Read the judgment

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► See the judgment of the Grand chamber of the 14th February 2023 which overrules this decision.

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► Full Reference : Th. Amico, "La Compliance ou le passage de l'ex post à l'ex ante. Une révolution copernicienne pour l'avocat pénaliste ?" ("Compliance or the passage from ex post to ex ante: a Compernican revolution for the criminal lawyer?"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 145-154.

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

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► Summary of the article (done by the Journal of Regulation & Compliance): After referring to various definitions of Compliance Law, the author insists on the usefulness of the criminal lawyer in that he, familiar with the Ex-Post that constitutes the sanction, can be of good advice. in the Ex-Ante in which new compliance mechanisms are being developed, such as risk mapping or third-party assessment.

Addressing the punitive dimension of Compliance Law, the author shows that the criminal lawyer therefore naturally has a place there, whether it concerns the powers exercised by an administrative authority or the criminal law itself. In that he can "anticipate criminal proceedings", the criminal lawyer is therefore best able to ensure that the company does not expose itself to them, in particular in a good mastery of internal investigations, thus ruling out the criminal risk.

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► Référence complète : H. Christodoulou, Le parquet européen : prémices d'une autorité judiciaire de l'Union européenne, préf. B. de Lamy, Dalloz, coll. "Nouvelle Bibliothèque de Thèses", vol. 201, 2021, 518 p. 

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Lire la synthèse des propositions de l'étude

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► Résumé de l'ouvrage (fait par l'auteure) : "La libre circulation des délinquants n'a jamais été accompagnée de l'ouverture des frontières aux autorités de poursuite d'Europe. Cette situation paradoxale, partiellement résolue par une coopération judiciaire étroite entre les États membres, semble insoutenable à l'aune des phénomènes criminels actuels. La mise en place d'un nouvel acteur s'est donc imposée. Concrètement, le parquet européen, en ce qu'il aurait des pouvoirs propres transcendant ceux des États membres, disposerait d'une compétence pour diriger des enquêtes et déclencher des poursuites sur le territoire de l'Union, pour lutter, au départ, contre les infractions portant atteinte aux intérêts financiers de l'Union européenne.

Après de multiples débats, le règlement lié à sa création, constituant le fruit d'un compromis délicat, a finalement été adopté le 12 octobre 2017. Dès lors, la mise en place d'une autorité de poursuite européenne ne relève plus d'un mythe, mais devient, en elle- même, une réalité empreinte de métamorphoses au sein de l'Union européenne. Cette dernière devrait influer tant sur les réactions des États membres que de l'Union elle-même, qui ne pourront rester inertes face à son apparition.

Cette imbrication de systèmes nationaux et européen a soulevé de nombreuses difficultés à la fois organiques et fonctionnelles qui ont été décryptées afin d'en comprendre les enjeux. L'étude du statut du parquet européen imposait de circonscrire corrélativement la notion d'autorité judiciaire au sein de l'Union européenne ; l'analyse de son fonctionnement supposait de déterminer les normes régissant son action et les organes de contrôle de ses prérogatives.

En définitive, cette étude invitera le lecteur à se questionner, plus largement, sur l'émergence d'une véritable justice pénale de l'Union européenne.".

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Référence complète: Frison-Roche, M.-A.,Compliance et Arbitrage : un adossement,  rapport de synthèse in Frison-Roche, M.-A. & Racine, J.-B. (dir.) Compliance et Arbitrage, Colloque coorganisé par le Journal of Regulation & Compliance (JoRC) et le Centre de recherches sur la Justice et le Règlement des Conflits (CRJ) de l'Université Panthéon-Assas (Paris II), avec le soutien de la Cour Internationale d'Arbitrage, Paris, 31 mars 2021.

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🗓️ Lire le programme de ce colloque

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✏️Le rapport de synthèse a été réalisé au fur et à mesure que se déroulait le colloque : se reporter aux notes prises durant le colloque. 

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Voir le rapport de synthèse en vidéo

Voir l'intégralité du colloque en vidéo. 

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📅 Ce colloque s'insère dans le cycle de colloques 2021 organisé par le Journal of Regulation & Compliance (JoRC) et ses partenaires autour de la Juridictionnalisation de la Compliance.

📕 Les interventions ont servi de première base à la réalisation d'un titre  dans l'ouvrage dirigé par Marie-Anne Frison-Roche, dont la version française,  La juridictionnalisation de la Compliance, est co-édité par le Journal of Regulation & Compliance (JoRC) et Dalloz.

📘 Elles ont été de la même façon la première base pour la version anglaise de l'ouvrage, Compliance Juridictionalisation, co-édité par le Journal of Regulation & Compliance (JoRC) et Bruylant. 

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► Full Reference: E. Kleiman, "The objectives of compliance confronted with the actors of arbitration", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, coll. "Compliance & Regulation", to be published. 

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

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► Summary of the article (done by the Author): International arbitration, which remains the preferred method for the resolution of disputes arising from international commercial relations, has been overtaken by compliance, the manifestations of which are everywhere: arbitral institutions, arbitrators and courts exercising curial supervision of the international regularity of awards are regularly called upon to take into account rules of compliance.

Compliance has undeniably got a hold on the arbitration community.  Being operators in an unregulated activity, arbitral institutions and arbitrators must generate trust; their ability to effectively self-regulate is a prerequisite for the success of arbitration and requires transparency and exemplarity.  This self-imposed compliance is nowadays consubstantial to arbitration and is illustrated in such classic fields as prevention of conflicts of interest and control of arbitrators' availability, but also in the more recent domains of parity and diversity as well as reduction of the carbon footprint.  Moreover, compliance has caught up with the ex post control of the international regularity of arbitral awards in matters involving allegations of corruption and money laundering.  There is room for debate, particularly in France, because of the porosity of the boundaries between the methods that are specific to those mandatory rules of compliance that intend to prevent the most serious offences, and the methods that are specific to the establishment of the constituent elements of such crimes before criminal courts.  This is an important issue, especially as the increasingly imperative nature of climate change and human rights regulations will extend the scope of these overlaps between compliance methods and the control of arbitral awards.

Arbitration is also taking over compliance.  Arbitrators are called upon to rule on controversies arising from economic activities that are related to compliance: contracts relating to the implementation of preventive measures in the fields of anti-corruption, anti-money laundering and human rights as well as transactions relating to the reduction of the carbon footprint and climate change, etc.  Moreover, compliance is also an arbitrable matter and arbitrators must apply or take into consideration the observance or disregard of rules of compliance when adjudicating commercial or investment disputes.

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

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► Full Reference: J.-B. Racine, "Compliance and arbitration. An attempt at problematisation", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, Journal of Regulation & Compliance (JoRC) and Bruylant, coll. "Compliance & Regulation", to be published. 

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

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

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

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

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

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

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

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Référence compléte : Cukierman, C., A. et Bonnecarrère, Ph., Rapport du Sénat, La judiciarisation de la vie publique, 2022.

Mme Cécile CUKIERMAN, Rapporteur M. Philippe BONNECARRÈRE

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