► Full Reference: J.-B. Racine, "Obligation de Compliance et droits humains" ("Compliance Obligation and Human Rights"), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2024, to be published.

____

📕read a general presentation of the book, L'Obligation de Compliance, 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".

________

► Référence complète : J.-B. Barbièri, "Les juges du droit des entreprises en difficulté et les obligations de compliance", in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître

____

📕lire une présentation générale de l'ouvrage, L'Obligation de Compliance, dans lequel cet article est publié

____

► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : 

________

► Full Reference: M. Lamoureux, "L’obligation de vigilance des opérateurs énergétiques", in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, to be published

____

📕read the general presentation of the book, L'obligation de Compliance, in which this contribution is published

____

► English summary of this article de l'article (done by the Journal of Regulation & Compliance - JoRC): Firstly, the author shows, despite the diversity of energy activities (electricity by its very nature involves fewer international value chains, oil by its very nature involves more), the operators in this sector are sufficiently unique to justify their being considered globally in terms of vigilance obligation. Currently in French case law, they are directly concerned, not only because they have been summoned before the French courts in duty of vigilance cases, but also, and above all, because they are a sign of the intensity of the vigilance expected of them.

The first part of the article develops the characteristics of energy operators, which influence the intensity of the obligation of vigilance. Their uniqueness stems precisely from the enterprises themselves, which are 'giants', subject to the obligation to draw up vigilance plans, firms often vertically integrated, in a sector concentrated on multinationals with very substantial resources and present throughout the value chain, whose activity involves infrastructures.

The second part of the article justifies this intensity of the obligation of vigilance by the risks specifically linked to the activities of these energy operators. Indeed, even if it is true that their activity is very heterogeneous, the risks are very significant, in that on the one hand they build diverse and gigantic infrastructures, are involved in extractive activity, and on the other hand have a long-term impact on the environment. Firms are being asked to be vigilant themselves about these infrastructures and impacts. The administrative police have been doing this for a long time in this sector.

But the third part of the article shows precisely that this is nothing new: the culture of risk prevention is already very present in these enterprises, not least because of the very strong presence of the State and regulations. There is a culture of 'regulatory conformity'.  In fact, climate vigilance  relies mainly on these operators.

Energy operators are therefore at the centre, not only because they generate risks, but also because they hold many of the solutions for achieving the Monumental Goals targeted by the vigilance system: they are making a decisive contribution to the fight against climate change because they have the means to do so. This is one of the reasons why the major operators have all adopted a raison d'être.

________

► Full Reference: L. Aynès, "Comment l’arbitrage international peut être un renfort de l’Obligation de Compliance" ("How International Arbitration can reinforce the Compliance Obligation"), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, forthcoming.

____

📕read the general presentation of the book, L'Obligation de Compliance, in which this contribution is published.

____

► English summary of this contribution (done by te Journal of Regulation & Compliance - JoRC) : The author takes as his starting point the observation that International Arbitration and Compliance are a natural fit, since they are both a manifestation of globalisation, expressing an overcoming of borders, with arbitration being able to take on the Compliance Monumental Goals, since it has engendered a substantially global arbitral order.

But the obstacle lies in the fact that the source of arbitration remains the contract, with the arbitrator exercising only a temporary jurisdiction whose mission is given by the contract. Yet the advent of the global arbitral order makes this possible, with the arbitrator drawing on norms that may include the Compliance monumental goals and corporate commitments. In so doing, the arbitrator becomes an indirect organ of this emerging compliance law.

The contribution then suggests a second development, which could make the arbitrator a direct organ of compliance. For this to happen, the arbitrator must not only compel the fulfillment of an obligation to act, as is already the case with provisional measures, but also have a broader conception of the conflict for which a solution is required, or even free himself somewhat from the contractual source that surrounds it. This may well be taking shape, mirroring the profound transformation of the judge's office.

________

► Full Reference: E. Maclouf, "Entités industrielles et Obligation de compliance" ("Industrial Entities and Compliance Obligation"), in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2024, to be published

____

📕read a general presentation of the book, L'Obligation de Compliance, in which this article is published

____

► English summary of the contribution (done by the Journal of Regulation & Compliance - JoRC): 

____

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

________

► Référence complète : M. Chapuis, "Le juge de l’amiable et la compliance", in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître

____

📕lire une présentation générale de l'ouvrage, L'Obligation de Compliance, dans lequel cet article est publié

____

► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : 

________

► Full Reference: J.-Ph. Denis & N. Fabbe-Costes, "Legal Constraints and company Compliance Strategies", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

____

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

____

► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): 

____

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

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR. Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche (ed.), Contentieux Systémique Émergent (Emerging Systemic Litigation), Paris, LGDJ, "Droit & Économie" Serie, to be published

____

📚Consult all the other books of the Serie in which this book is published

____

► General Presentation of the Book : 

____

TABLE OF CONTENTS

► Full Reference: E. Maclouf, "Industrial Entities and Compliance Obligation", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

____

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

____

► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): 

____

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

________

► Full Reference: S. Pottier, "In Favour of European Compliance, a Vehicle of Economic and Political Assertion", in M.-A. Frison-Roche (ed.), Compliance Monumental Goals, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, 2023, pp. 459-468

____

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

____

► Summary of the article (donne by the Journal of Regulation & Compliance - JoRC): Today's monumental goals, particularly environmental and climatic ones, are of a financial magnitude that we had not imagined but the essential stake is rather in the way of using these funds, that is to determine the rules which, to be effective and fair, should be global. The challenge is therefore to design these rules and organize the necessary alliance between States and companies.

It is no longer disputed today that the concern for these monumental goals and the concern for profitability of investments go hand in hand, the most conservative financiers admitting, moreover, that concern for others and for the future must be taken into account, the ESG rating and the "green bonds" expressing it.

Companies are increasingly made more responsible, in particular by the reputational pressure exerted by the request made to actively participate in the achievement of these goals, this insertion in the very heart of the management of the company showing the link between compliance and the trust of which companies need, CSR also being based on this relationship, the whole placing the company upstream, to prevent criticism, even if they are unjustified. All governance is therefore impacted by compliance requirements, in particular transparency.

Despite the global nature of the topic and the techniques, Europe has a great specificity, where its sovereignty is at stake and which Europe must defend and develop, as a tool for risk management and the development of its industry. Less mechanical than the tick the box, Europe makes the spirit of Compliance prevail, where the competitiveness of companies is deployed in a link with States to achieve substantial goals. For this, it is imperative to strengthen the European conception of compliance standards and to use the model. The European model of compliance arouses a lot of interest. The duty of vigilance is a very good example. It is of primary interest to explain it, develop it and promote it beyond Europe.

________

► Full Reference: L. Rapp, "Compliance, Value Chains and Service Economy", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

____

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

____

► Summary of the article (done by the author, translated by the Journal of Regulation & Compliance - JoRC): Based on an analysis of the value chains of companies in the space sector and their recent evolution, this contribution examine the role, place and current transformations of compliance policies and strategies in the context of an industrial transformation that has become essential: the transition from an industrial economy to a service economy.

____

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

________

► Référence complète : J.-Fr. Bohnert, "Les conditions de réussite de l'enquête interne dans les rapports entre le parquet national financier et l’entreprise mise en cause – l’enquête interne au soutien de la défense de l’entreprise", in M.-A. Frison-Roche et M. Boissavy (dir.), Compliance et droits de la défense. Enquête interne – CJIP – CRPC, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", à paraître.

____

📕consulter une présentation générale de l'ouvrage, Compliance et droits de la défense - Enquête interne, CIIP, CRPC, dans lequel cet article est publié

____

► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : Dans une présentation très proche des lignes directrices du Parquet national financier (PNF) de 2023 et du droit souple produit avec l'Agence française anticorruption (AFA), l'auteur expose la façon dont l'entreprise doit dans un climat de confiance et de collaboration. Il s'agit pour l'entreprise de rechercher objectivement ce qui pourrait engager sa responsabilité pénale d'une façon transparente et loyale en gardant à l'esprit la collaboration possible dans la perspective d'une CJIP avec le PNF et la valorisation que celui-ci fait des diligences de l'entreprise dans la menée d'une enquête interne, de la même façon que des attitudes contraires sont logiquement considérés comme des éléments inverses dans le calcul.

____

🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche

________

► Full Reference: G. Loiseau, "L’intensité de l’obligation de vigilance selon les secteurs : le cas des opérateurs numériques" (The intensity of the Duty of Vigilance in different sectors: the case of digital operators), in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, forthcoming

____

📕read the general presentation of the book, L'obligation de Compliance, in which the contribution is published

____

► English summary of this contribution (done by the Journal of Regulation & Compliance - JoRC) : L'auteur développe le cas des opérateurs numériques. Il souligne le paradoxe d'un Droit qui est parti d'un texte qui a posé le principe de l'irresponsabilité des hébergeurs, en raison de leur neutralité technique, pour aboutir au DSA et leur imposer des diligences, mais il rappelle que cette obligation n'apparaît qu'à partir d'un signalement qui est porté auprès de l'opérateur numérique et une interdiction expresse d'une obligation générale de surveiller les informations. Moreover, there is no general duty of vigilance incumbent on digital operators, even if recent case law seems to be tightening the role imposed on hosting providers.

The Monumental Goal here is to fight against illegal content, but freedom of expression must also be preserved and regulations vary according to the type of content, whereas the DSA has a more general conception, aims at a logic of accountability and prevention of systemic risks. But wanting to make platforms 'accountable' ex ante, without touching the liability regime ex post, may pose a problem.

The duty of vigilance will vary depending on whether the digital operator plays a passive or active role. This may lead platforms to adopt prior measures that may constitute structural obligations, with the trusted third party taking the form of a trusted signaller. The platform is thus made responsible for its own vigilance, but despite the possibility of enhanced vigilance, this does not have to extend to investigative measures. There are, however, specific enhanced vigilance obligations for very large platforms, justified by the risks involved and the types of content (terrorism, pornography).

____

🦉This contribution est available in full text for persons following Professor Marie-Anne Frison-Roche teaching

________

► Full Reference: L. Aynès, "How International Arbitration can reinforce the Compliance Obligation", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

____

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

____

► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): The author takes as his starting point the observation that International Arbitration and Compliance are a natural fit, since they are both a manifestation of globalisation, expressing an overcoming of borders, with arbitration being able to take on the Compliance Monumental Goals, since it has engendered a substantially global arbitral order.

But the obstacle lies in the fact that the source of arbitration remains the contract, with the arbitrator exercising only a temporary jurisdiction whose mission is given by the contract. Yet the advent of the global arbitral order makes this possible, with the arbitrator drawing on norms that may include the Compliance monumental goals and corporate commitments. In so doing, the arbitrator becomes an indirect organ of this emerging compliance law.

The contribution then suggests a second development, which could make the arbitrator a direct organ of compliance. For this to happen, the arbitrator must not only compel the fulfillment of an obligation to act, as is already the case with provisional measures, but also have a broader conception of the conflict for which a solution is required, or even free himself somewhat from the contractual source that surrounds it. This may well be taking shape, mirroring the profound transformation of the judge's office.

____

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

________

► Référence complète : M. Mekki, "Peut-on repenser la responsabilité à l’aune du devoir de Vigilance, pointe avancée de la Compliance ?", in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître

____

📕lire une présentation générale de l'ouvrage, L'obligation de Compliance, dans lequel cet article est publié

____

► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : L'auteur développe les tensions que l'Obligation de Vigilance engendre sur le concept même de responsabilité. Répertoriant toutes les manifestations, très diverses, de la Vigilance, selon les domaines, il observe que se forme une logique téléologique de prévention et de gestion des risques systémiques, ce qu'est la compliance, sans doute remède à un État impuissant, s'appuyant sur une grande pluralité des normes.

La question est de savoir si l'on peut passer de ces droits spéciaux mais d'un esprit commun à un droit commun transformé. Les premières décisions rendues à propos de la loi de 2017 répondent par la négative, mais la question est ouverte.

Il faut alors revenir sur le concept même de responsabilité, qui pourrait accueillir un mécanisme général de Vigilance. Ce concept est très flexible et présente l'adaptabilité requise pour accueillir la logique de compliance. En effet, la responsabilité, classiquement ex post peut passer ex ante, à travers la notion de dette, non plus juridique mais éthique, car les entreprises doivent être "dignes de confiance".

La responsabilité préventive vise alors à restaurer l'équilibre des systèmes dans la poursuite des Buts Monumentaux, pour l'efficacité et l'efficience des systèmes. La responsabilité se mixte de subjectivité et d'objectivité, le risque devenant central (par rapport à la faute), le litige dépassant l'intérêt des parties, la remédiation devenant le sujet central dans un procès en responsabilité à repenser : le dialogue doit y être au centre, entre les juridictions, entre les entreprises et les parties prenantes, dans un office du juge adapté.

________

🌐follow Marie-Anne Frison-Roche on LinkedIn

🌐subscribe to the Newsletter MAFR Regulation, Compliance, Law

____

► Full Reference: M.-A. Frison-Roche, "Will, Heart and Calculation, the three marks surrounding the Compliance Obligation", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

____

📝read the article

____

🚧read the bilingual Working Paper which is the basis of this article, with additional developments, technical references and hyperlinks

____

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

____

► Summary of the article (done by the Journal of Regulation & Compliance - JoRC): There is often a dispute over the pertinent definition of Compliance Law, but the scale and force of the resulting obligation for the companies subject to it is clear.  It remains difficult to define. First, we must not to be overwhelmed by the many obligations through which the Compliance Obligation takes shape, such as the obligation to map, to investigate, to be vigilant, to sanction, to educate, to collaborate, and so on. Not only this obligations list is very long, it is also open-ended, with companies themselves and judges adding to it as and when companies, sectors and cases require. 

Nor should we be led astray by the distance that can be drawn between the contours of this Compliance Obligation, which can be as much a matter of will, a generous feeling for a close or distant other in space or time, or the result of a calculation. This plurality does not pose a problem if we do not concentrate all our efforts on distinguishing these secondary obligations from one another but on measuring what they are the implementation of, this Compliance Obligation which ensures that entities, companies, stakeholders and public authorities, contribute to achieving the Goals targeted by Compliance Law, Monumental Goals which give unity to the Compliance Obligation.  Thus unified by the same spirit, the implementation of all these secondary obligations, which seem at once disparate, innumerable and often mechanical, find unity in their regime and the way in which Regulators and Judges must control, sanction and extend them, since the Compliance Obligation breathes a common spirit into them.

 In the same way that the multiplicity of compliance techniques must not mask the uniqueness of the Compliance Obligation, the multiplicity of sources must not produce a similar screen. Indeed, the Legislator has often issued a prescription, an order with which companies must comply, Compliance then often being perceived as required obedience. But the company itself expresses a will that is autonomous from that of the Legislator, the vocabulary of self-regulation and/or ethics being used in this perspective, because it affirms that it devotes forces to taking into consideration the situation of others when it would not be compelled to do so, but that it does so nonetheless because it cares about them. However, the management of reputational risks and the value of bonds of trust, or a suspicious reading of managerial choices, lead us to say that all this is merely a calculation.

Thus, the first part of the contribution sets out to identify the Compliance Obligation by recognising the role of all these different sources. The second part emphasises that, in monitoring the proper performance of technical compliance obligations by Managers, Regulators and Judges, insofar as they implement the Compliance Obligation, it is pointless to limit oneself to a single source or to rank them abruptly in order of importance. The Compliance Obligation is part of the very definition of Compliance Law, built on the political ambition to achieve these Monumental Goals of preserving systems - banking, financial, energy, digital, etc. - in the future, so that human beings who cannot but depend on them are not crushed by them, or even benefit from them. This is the teleological yardstick by which the Compliance Obligation is measured, and with it all the secondary obligations that give it concrete form, whatever their source and whatever the reason why the initial standard was adopted.

________

► Full Reference: D. Gutmann, "Droit fiscal et obligation de compliance" (Tax Law and Compliance Obligation), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, to be published

____

► 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, L'obligation de Compliance, in which this contribution is published

________

► Référence complète : S. Manacorda, "La dynamique des programmes de conformité des entreprises : déclin ou transfiguration du droit pénal des affaires ?", in A. Supiot (dir.), L'entreprise dans un monde sans frontières. Perspectives économiques et juridiques, coll. "Les sens du droit", Dalloz, 2015, p. 191-208.

____

► Résumé de l'article : 

____

🦉Cet article est accessible en texte intégral pour les personnes inscrites aux enseignements de la Professeure Marie-Anne Frison-Roche

________

♾️ follow Marie-Anne Frison-Roche on LinkedIn

♾️subscribe to the Newsletter MAFR Regulation, Compliance, Law 

____

This general bibliography brings together some general references, which overlap or cross over the more specific bibliographies on Compliance, through different subjects or branches of Law, in French Law or in foreign and supra-national Law having a direct influence, so that one can understand what results in nation law.

It is composed of doctrinal documents (books and articles), legislative or regulatory texts applicable in France and other countries (and, where applicable, draft laws or regulations), as well as documents of gray literature .

It may be relevant to cross this bibliography with the broader Bibliography on the General Regulation Law, or with the more focused Bibliography on the Law of Banking and Financial Regulation.

► Référence complète : J.-Ch. Roda, "Droit de la concurrence et Droit de la Compliance", in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître

____

📕lire une présentation générale de l'ouvrage, L'obligation de Compliance, dans lequel cet article est publié

________

► Référence complète : B. Frydman & A. Briegleb, "L'obligation de compliance en droit global", in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître

____

📕lire une présentation générale de l'ouvrage, L'obligation de Compliance, dans lequel cet article est publié

________

► Référence complète : S. Mouton, "Dimensions constitutionnelles de l'Obligation de Compliance", in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024

____

📕lire une présentation générale de l'ouvrage, L'obligation de Compliance, dans lequel cet article est publié

________

► Full Reference: M. Françon, "L’intensité du devoir de vigilance dans le secteur bancaire" (The intensity of the duty of vigilance in the banking sector), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, forthcoming

____

📕read the general presentation, L'Obligation de Compliance, 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 banking and insurance operators. He stresses that in the banking and insurance sectors, Vigilance consists of an obligation to process Information, collected in advance if necessary, with a view to preventing the occurrence of a systemic risk.

The identification and prevention of risk is a reinforced duty of vigilance which, in this context, varies in intensity. The banks and insurance companies obligation dates back a long time, whereas the duty of vigilance is a recent development. This time lag can be explained by the fact that compulsory vigilance is consubstantial with the very activity of the banker and the insurer and by the fact that the sector has always been systemic, which produces an interweaving of hard and soft law.

Variations in the intensity of the obligation to exercise Vigilance are due to the fact that there are two types of obligations: those imposed in the interests of the business and the customer, and those imposed in the interests of the stability of the system. The latter are much stronger than the former. They are as much a burden on the banker as they are on the customer. For example, obligations relating to money laundering are solely in the general interest, and the customer cannot rely on the bank's failings (decision of the French Cour de cassation, Commercial Chamber, 28 April 2004). Moreover, where the freezing of assets is concerned, the obligation of vigilance becomes one obligation of result.

In the general interest itself, the intensity varies according to the goals pursued, giving rise to "standard", "simplified" and "reinforced" vigilance obligation, depending on the underlying risk. In addition, interfering rights vary the obligation, in particular the protection of personal data, or the banker's right not to interfere in business's client. Lastly, there are interfering vigilance obligations on third parties, including those located outside Europe.

________

► Full Reference: J.-B. Blanc, "La loi, source de l’Obligation de Compliance" ("The Law, source of the Compliance Obligation"), in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, to be published

____

📕lire une présentation générale de l'ouvrage, L'Obligation de Compliance, dans lequel cet article est publié

____

► Summary of this contribution  (done by the Journal of Regulation & Compliance) :

____

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

________

► Full Reference: L. d'Avout, "Compliance and conflict of laws. International Law of Vigilance-Conformity, based on recent applications in Europe", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

____

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

____

► Summary of the article (done by the Author, translated by the Journal of Regulation & Compliance - JoRC): 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 hybridation 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.

____

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

________