Food for thoughts

► Full Reference: J. Heymann, "La nature juridique de la "Cour suprême" de Facebook" ("The legal nature of Facebook's "Supreme court""), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 151-167. 

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

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► The summary below describes an article following the colloquium L'entreprise instituée Juge et Procureur d'elle-même par le Droit de la Compliance , 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.

In the book, the article will be published in Title I, devoted to: The Entreprise instituted Judge and Prosecutor of itself by Compliance Law.

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► Summary of the article (done by 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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► Full Reference: J. Jourdan-Marques, "L’arbitre, juge ex ante de la compliance ?" ("The arbitrator, ex ante judge of compliance?"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 317-334. 

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

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► The summary below describes an article which follows an intervention in the scientific manifestation L'entreprise instituée Juge et Procureur d'elle-même par le Droit de la Compliance ("The company instituted Judge and Prosecutor of itself by Compliance Law"), co-organized by the Journal of Regulation & Compliance (JoRC) and the  Faculty of Law Lyon 3. This colloquium was designed by Marie-Anne Frison-Roche and Jean-Christophe Roda, scientific co-directors, and took place in Lyon on June 23, 2021.

Due to the very close proximity of the content of this article to a scientific manifestation that was held previously, in the same series of colloquia, manifestation on Compliance and Arbitration, designed by Marie-Anne Frison-Roche and Jean-Baptiste Racine, and which took place in Paris on March 31, 2021 in Paris, it was decided with the author and the scientific managers of the scientific events concerned to publish the article not in Title I of the book, devoted to the topic of the Company instituted Judge and Prosecutor of itself by Compliance Law, but in Title III, devoted to the topic of Compliance and International Arbitration.

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► Summary of the article (done by the Journal of Regulation & Compliance) :  The article begins with a long introduction relating to the general relationship between Compliance and Arbitration.

Then the author in a first part examines the place of the Arbitration upstream of the occurrence of the dispute, aiming at the relations of the company in its organization with other companies for its economic activities, for example commercial agents. The author examines the way in which Arbitration can resolve difficulties which arise between them, including when these issues are otherwise apprehended by Compliance Law and the institutions in charge of it, in particular because of the facts of corruption are alleged and the fact is alleged by the debtor himself when payment has not yet been requested by the creditor. The legal question then becomes whether or not there is a "dispute".

Being even further upstream, the author takes the hypothesis of the adoption of a compliance program in which recourse to arbitration would be inserted by the Company, insertion which could then be at the origin of exemption from criminal liability, an arbitration award being able to produce such an effect if it is recognized in the legal order. 

The second part of the article considers Arbitration in the absence of multiple parties, which could correspond to the acts issued by the Oversight Board of Facebook, this kind of tribunal and judge not being seized by parties to a litigation. It might be adequate to qualify this mechanism as an arbitration, even if this qualification is difficult to retain. In any case, if we did so by admission that a unilateral request gives rise to a jurisdictional mission, there should be guarantees surrounding such institutionalization. They can go through specific bodies for Compliance cases, outside or within existing arbitration institutions, which must then become the driving force in the matter. In addition, the choice of arbitrators should undoubtedly go through the institution itself so that impartiality remains unchallenged and profiles of arbitrators would be truly varied. The procedure would also have vocation to be inflected because of the absence of real litigation, justifying the adjustment of the adversarial principle (in the narrow sense of this one, linked to the debate) in particular by the intervention of amicus curiae and to avoid the fraud through arbitration and in procedure. In the absence of an adversary, the procedural office of the arbitrator could be reconsidered: without modifying the terms of the case, it would be appropriate for the arbitrator to have more power to decide on the adequate measures to be taken to remedy the non- conformity with compliance requirements. Finally, publicity seems to the author essential so that the arbitration is not instrumentalised by the parties, publicity which could also concern the debates and the documents produced. These admittedly very high requirements would in return give great credibility to the resulting award, justifying its scope, and one could consider labeling such a result, a label that the company could claim. 

The author concludes that these transformations would move away so much from Arbitration that it would denature it, in particular because of the absence of litigation, but this allows Companies to outsource the management of the more and more heavier responsibility engendered by Compliance Law, by offering Compagnies the assistance of a judicial authority, as soon as the procedural guarantees are reinforced.

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► Full Reference: C. Kessedjian, "L'arbitrage au service de la lutte contre la violation des droits de la personne humaine par les entreprises" ("Arbitration in the service of the fight against the violation of human rights by companies"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 295-302. 

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

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► Summary of the article (done par the author): By choosing the expression "Human Rights violations by Businesses", the Author is taking sides among the many possible titles for her article, that could portrait the field of law we are talking about here.  Often acronyms are used: RBC (responsible business conduct), CSR (corporate social responsibility), ESG (environment, social and governance), to name only the three main ones.

Her preference would be to use RBC by far, as CSR has been discredited by many NGOs and ESG has too much of a "financial" connotation.

In any case, this article deals with the attitude of enterprises that, in the conduct of their activities, cause damage to stakeholders, whether "internal" (employees, customers, partners, subcontractors, etc.) or external (local civil society, communities in which the activity takes place, the environment, etc.).

Legally, each of these cases may be characterized differently and generate the application of different procedural and substantive rules. When these disputes are submitted to arbitrators, many questions arise, the most delicate of which relate to the delimitation of the power of the arbitral tribunal, particularly if one starts from the idea that compliance aims at a proactive attitude on the part of enterprises with a clear preventive purpose.

The objective of prevention will lead to changes in the conduct of the arbitration that, for example, cannot remain confidential, confidentiality being an obstacle to the preventive effect of the decision rendered.

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► Full Reference: M.-A. Frison-Roche, "Lignes de force de l'ouvrage La juridictionnalisation de la Compliance" ("Main lines of the book La juridictionnalisation de la compliance"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 1-28. 

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► This article constitutes the first part of the Introduction of the book; its access is free⤵️ 

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

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► Summary of the article (done by the Journal of Regulation & Compliance): This free access article ⤵️explains firstly the general purpose of the book and secondly how the book is structured in 4 parts.

Then, thirdly and following the table of contents, this article takes up in a few lines each of the contributions.

This is how the "main lines" of the book La juridictionnalisation de la compliance ("The Juridictionnalisation of Compliance") become even clearer

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🔓read this article in full text (in French) ⤵️

► Full Reference: B. Silliman, "Secret professionnel et coopération : les leçons de procédure tirées de l’expérience américaine pour une application universelle" ("Privilege and cooperation, procedural lessons learned from the U.S for global application"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 231-234.  

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

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► English summary of the article (done by the Journal of Regulation & Compliance): The French legal system is evolving, organizing interaction between lawyers with regulators and prosecutors, especially in investigations about corruption or corporate misconduct, adopting U.S. negotiated resolutions such as the Convention judiciaire d'intérêt public, which encourages "collaboration" between them. 

The author describes the evolution of the U.S. DOJ doctrine and askes French to be inspired by the U.S. procedural experience, U.S. where this mechanism came from. Indeed, the DOJ released memoranda about what the "collaboration" means. At the end (2006 Memorandum), the DOJ has considered that the legal privilege must remain intact when the information is not only factual to maintain trust between prosecutors, regulators, and lawyers.

French authorities do not follow this way. The author regrets it and thinks they should adopt the same reasoning as the American authority on the secret professionnel of the avocat, especially when he intervenes in the company internal investigation.

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

► Full Reference: A. Linden, "Motivation et publicité des décisions de la formation restreinte de la Commission nationale de l’informatique et des libertés (CNIL) dans une perspective de compliance" ("Motivation and publicity of the decisions of the restricted committee of the French Personal Data Protection Commission (Commission nationale de l'informatique et des libertés-CNIL) in a compliance perspective"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 235-239. 

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

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► Summary of the article (done by the Journal of Regulation and Compliance): In the event of a breach of the personal data protection rules, the restricted formation of the French personal data protection Commission (CNIL) pronounces fines, injunctions of "compliance" or calls to order. It can order the publication of these measures, which can be contested before the French High Administrative supreme court (Conseil d'État).

It is essential that these decisions be justified, not only in order to respect this principle of law but also concretely to obtain the public concerned, being very heterogeneous, understand them, the educational role of the CNIL also being applicable.

The principle of publicity is handled with nuance, the data controllers often requesting a closed door and, in fact, very few public attending the hearing. The publicity of decisions is in itself a sanction. The publication may moreover not be total or may only have a time, anonymization often allowing the balance between necessary pedagogy and preservation of interests, the CNIL taking great attention to the very modalities of publication, even if it cannot control the circulation and the media use which is then made of it.

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► Full Reference: M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, série "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, 490 p. 

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► Presentation of this book: Sanctions, controls, appeals, deals: judges and lawyers are everywhere in the Compliance mechanisms, creating unprecedented situations, sometimes without a solution yet available.  Even though Compliance was designed to avoid the judge and produce security by avoiding conflict. This jurisdictionalisation is therefore new. Forcing companies to prosecute and judge, a constrained role, perhaps against their nature. Leading to the adaptation of major procedural principles, with difficulty. Confronting arbitration with new perspectives. Putting the judge at heart, in mechanisms designed so that he is not there. How in practice to organize these opposites and anticipate the solutions? This is the challenge taken up by this book.

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📘 In parallel, the English version of this book, Compliance Jurisdictionalisation, is published in the series co-published by the Journal of Regulation & Compliance (JoRC) and Bruylant. 

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🧮 This book comes after a cycle of colloquia organised in 2021 by the Journal of Regulation & Compliance (JoRC) and its Academic Partners.

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This volume is the continuation of the books dedicated to Compliance in the collection "Régulations & Compliance", founded and managed by Marie-Anne Frison-Roche, copublished by the Journal of Regulation & Compliance (JoRC) and Dalloz.

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🏗️ General construction of this book:

The book begins by a double Introduction, the first (in free access) summarizing the book, the second, substantial, relating to the need to reinforce the Judge and the Lawyer to impose the Compliance Law as a characteristic of the Rule of Law. 

The first Part is devoted to what is specific to Compliance Law. of Compliance: the transformation of companies into Prosecutors and Judges of themselves, even of others.

The second Part relates to Compliance general procedural Law, the procedure being the way between the dispute and the judgement. 

The third Part continues this journey to the judge and aims to measure the influence of the reasoning and requirements of Compliance Law in dispute resolution methods where it was not, with some exceptions, present, but where it has a great future: Arbitration.

Because trial and judicial decision are inseparable, because legal techniques and the Rule of Law should not be divided but compliance techniques could paradoxically be the weapon of their dissociation, because the power to judge and the procedures surrounding the latter must not be dissociated, because therefore Compliance mechanisms and the Rule of Law must be thought out and practiced then, the rise in power of one must be the sign of the rise in power of the other, and not the price of the 'weakening of the Rule of Law, the fourth Part relates to the Judges in the Compliance mechanisms and culture. 

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► Read in free access the article: M.A. Frison-Roche, "Lignes de force de l'ouvrage La Juridictionnalisation de la Compliance" (Lines of Forces of the book La juridictionnalisation de la Compliance).

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►Read below the summaries of each contribution of the book⤵️

► Full reference: M.-A. Frison-Roche, co-organisation de la formation ENM Droit de la Compliance, co-organisé entre l'École nationale de la magistrature et le Journal of Regulation & Compliance (JoRC), les 2 et 3 février 2023. 

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► General presentation of the course: The two-day session is designed for magistrates and practicing lawyers who are not necessarily specialized, to enable them, based on concrete cases, to understand the issues, objectives, and methods of compliance mechanisms in companies, including the increasing judicialization and the supranational dimension strengthen, modifying the office of the judge and the role of lawyers.

The analysis is made from the angle of Civil Law (contract, tort), Company Law, Labor Law and Criminal Law, but also governance, financial markets, regulatory, climate and digital issues.

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► Brief bibliography: 

• M.-A. Frison-Roche (dir.), Compliance Jurisdictionalisation, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023.
• ​M.-A. Frison-Roche (dir.), Compliance Monumental Goals, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2022.
• M.-A. Frison-Roche (dir.), Compliance Tools, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021.
• N. Borga, J.-Cl. Marin, J.-Ch. Roda (dir), Compliance : l'entreprise, le régulateur et le juge, coll. Régulations & Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, 2018.
• M.-A. Frison-Roche (dir.), Pour une Europe de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2019.
• M.-A. Frison-Roche (dir.), Régulation, Supervision, Compliance, coll. "Régulations", Journal of Regulation & Compliance (JoRC) and Dalloz, 2017.

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► Will speak: 

🎤François Ancel, Judge at the Première chambre civile de la Cour de cassation ( First civil chamber of the Court of Cassation)

🎤Guillaume Beaussonie, Professor at Toulouse 1 Capitole University 

🎤Jean-François Bohnert, Procureur national financier 

🎤Gilles Briatta, Group General Secretary of the Groupe Société Générale 

🎤Marie-Anne Frison-Roche, Director of the Journal of Regulation & Compliance (JoRC)

🎤Cécile Granier, senior lecturer at Jean-Moulin Lyon 3 University 

🎤Jean-Michel Hayat, Premier Président honoraire de la Cour d'appel de Paris

🎤Christophe Ingrain, Avocat à la Cour 

🎤Anne-Valérie Le Fur, Professor at Versailles Saint-Quentin-en-Yvelines University 

🎤Stanislas Pottier, Senior Advisor to the General Management of Amundi

🎤Jean-Baptiste Racine, Professeur à l'Université Panthéon-Assas (Paris II)

🎤Juliette Thery, Membre du Collège de l'Arcom

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Lire une présentation détaillée de la manifestation ci-dessous⤵️

► Full Reference: E. Silva-Romero and R. Legru, "Quelle place pour la Compliance dans l'arbitrage d'investissement ?" ("What place for Compliance in investment arbitration?"), in M.-A. Frison-Roche (dir.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 281-293. 

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📕read a general presentation of the book, La juridictionnalisation de la Compliance, 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 (done by the Journal of Regulation & Compliance): The authors emphasize the new and growing place of Compliance in International Arbitration, particularly in the requirement of respect for ethical values, since arbitrators can implement Ethics, sometimes lacking in international trade, or even must put their power only at the service of investors who respect the Rule of Law.

Thus, Compliance is deployed through the classic control by the arbitrators of the legality of the investment, which applies both to the establishment of the treaty itself and to the investor. In a more recent way, the arbitrator can control about an investment project a sort of "social license to operate" of the investor, concept related to the social responsibility of the companies, appeared for the protection of the peoples indigenous. Moreover, Compliance can justify a substantial assessment by the arbitrator of the effective respect of the human rights and the environment protection via an investment treaty, the State party remaining able to act for the effectiveness of these concerns.

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► Full Reference: N. Cayrol, "Des principes processuels en droit de la compliance" ("General Procedural Law in Compliance Law"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 213-224. 

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

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► Summary of the article (done by the Journal of Regulation & Compliance): We could be satisfied with examining the reception of the principles of general Procedural Law in compliance litigation and the distortion that compliance techniques justify in procedural mechanisms. But the innovation that constitutes this emerging branch of law that is Compliance Law justifies going to more fundamental.

From this perspective, the pertinent question is the very legitimacy of procedural principles in this branch of law, in that Procedural Law is built on the notion of “Litigation” while Compliance Law deals with situation so enormous, concerning for example the fate of the planet, that this notion of litigation appears inadequate, and consequently the procedural law would be too limited in compliance matters.

If, however, this perspective is maintained of Compliance Law facing, in an almost warlike perspective, the greatest current challenges, general Procedural Law needs to be redesigned, in its very definition. Indeed, compliance trials call into question the future of systems and it is as such that they hold the entities, for instance the enterprises, that are at the heart of these systems. It is in this that liability trials are more “accountability” trials, allowing the judge to demand actions for the future, trials by which commitments are made and the “intentions” of the persons involved are challenged and required.

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► Full Reference: J. Morel-Maroger, "La réception des normes de la compliance par les juges de l'Union européenne" ("Application of compliance standards by EU judges"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 443-452. 

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

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► Summary of the article (done by the author): Compliance rules are intended to pursue objectives of public interest – or monumental goals – and thereby in principle modify and guide the behaviour of economic operators. In order to achieve these objectives, the full spectrum of norms are used in compliance matters. What is and what should be the role of the judges of the European Union in the development of compliance rules ? As in domestic law, the legality of compliance standards developed by regulatory authorities has been challenged.

It will first be necessary to analyse what control the judges of the European Union have over these rules. The question arises essentially as regards the rules of soft law, the challenge of which can be considered in two ways : by way of an action for annulment and by exception by way of a preliminary ruling.

But beyond the control of the legality of compliance rules exercised by European judges, they also contribute to their application. The effectiveness of compliance rules depend above all on them being followed by those to whom they are addressed, and economic operators are undoubtedly the first actors of its success. But the judges of the European Union, competent to settle disputes concerning the application of European Union law between the Member States, the European institutions, and individual applicants, may be also be involved in ensuring the effectiveness of European compliance rules and in interpreting them.

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► Full Reference : M.-A. Frison-Roche, "Droit de la compliance : Tour d'horizon" ("Compliance Law: Overview"), in Droit de la compliance (Compliance Law), French National School for the Judiciary (Ecole nationale de la magistrature - ENM), Paris, 2 February 2023.

This conference is given in French.

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🧮See the full programme of this event

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► Presentation of the conference:

Compliance Law is mysterious in itself, because it is still in creation, because its presence and power are felt, but it is difficult to grasp it. It is necessary, however, because it deals with the most important, even the most dramatic, facts and carries with it the greatest ambitions. Magistrates must also "make the effort" to participate in the "adventure of Compliance Law", because it affects, and even overturns, all subjects, and because the Prosecutor and the Judge play an increasing role in it.

Because the purpose of this conference is to introduce the two days of a training course designed for magistrates and open to lawyers, it only provides an "overview" of, so that we do not get lost in the sprawling regulations, the global mechanisms and the political ambitions that permeate them.

This is why, without going into any of the subjects, it is about opening up four ways of entering what is a branch of Law that is being born before our eyes:

1. Understanding Compliance Law through "regulations"

2. Understanding Compliance Law through "tools"

3. Understanding Compliance Law through "methods"

4. Understanding Compliance Law through "goals"

The four approches are legitimate because the four dimensions are articulated in positive Law.

But the more positive Law is consolidated, the more its normativity through the goals that give normativity, or even a simplicity without which the whole is not humanly controllable.

These Goals are monumental and Europe bears them more and better than other areas of the world.

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🚧See the slides used as a support of the presentation (in French)

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► Full Reference: M.-A. Frison-Roche, "Le jugeant-jugé. Articuler les mots et les choses face à l'éprouvant conflit d'intérêts" ("The Judge-Judged. Articulating words and things in the face of the testing conflict of interest"), in M.-A. Frison-Roche, (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 59-80. 

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📝read the article (in French)

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

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

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► Summary of the article (done by the Journal of Regulation & Compliance): Since the topic of this article is part of a chapter devoted to the Company established as Prosecutor and Judge of itself by Compliance Law, chapter aiming to use the relevant qualifications, it is appropriate therefore to worry about the adjustment of words and things, of the way in which the relationship between ones and the others evolve, and of the more particular question of knowing if this evolution is radical or not when one speaks of "judge ".

because "judging" is a word that the Law has disputed with other disciplines, but that it has appropriated not so much to confer more powers on those who act in its name, for example that who supervise and punish, but on the contrary to impose limits, since to the one who judges it has put the chains of the procedure under foot, thus making bearable for the other the exercise of such a power. Therefore, those who want the power to judge would often want to not have the title, because having de jure the title of judge is being subject to the correlated regime, it is to be submitted to procedural correctness.

It is therefore to better limit that the Law sees who judges, for obliging this so-powerful character to the procedure. But the Law also has the power to appoint a judge and to fix the contours of all the characters in the trial. He usually does it with clarity, distinguishing the ones of the others, not confusing them. This art of distinction has constitutional value. Thus, not only the one who judges must be named "judge" but the procedural apparatus which goes with this character, and which constitutes a way of doing things and fundamental rights, are not "granted" by kindness or in a second step: it is a block. If you didn't want to have to endure procedural rights, you didn't have to want to be a judge. Admittedly, one could conclude that the procedure would therefore have become "substantial"; by this elevation, it is rather a fashion of saying that the procedure would no longer be a "servant": it is a kind of declaration of love for the procedure, as long as one affirms that at the acts of judging , or investigating, or prosecuting, are "naturally" attached the procedural rights for the one who is likely to be the object of these powers.

Compliance Law, in search of allies to achieve the Monumental Goals for the aims of which it was instituted, will require, or even demand, private companies to go and seek themselves, in particular through investigations. internal or active vigilance on others, for finding facts likely to be reproached to them. Compliance Law will also require that they prosecute those who have committed these acts. Compliance La will again demand that they sanction the acts that people have committed in their name.

This is clearly understood from the point of view of Ex Ante efficiency. The confusion of roles is often very efficient since it is synonymous with the accumulation of powers. For example, it is more efficient that the one who pursues is also the one who instructs and judges, since he knows the case so well... Besides, it is more efficient that he also elaborates the rules, so he knows better than anyone the "spirit" of the texts. This was often emphasized in Regulatory Law. When everything is Information and risk management, that would be necessary ... But all this is not obvious.

For two reasons, one external and the other internal.

Externally, the first reason is that it is not appropriate to "name" a judge who is not. This would be too easy, because it would then be enough to designate anyone, or even to do it oneself to appropriate the regime that goes with it, in particular for obtain a so-called legitimate power for obtaining that others obey even though they are not subordinate or from them they transmit information, even though they would be  competitors: it would then be necessary to remember that only the Law is able to appoint judge ; in this new Compliance era, companies would be judges, prosecutors, investigators!  Maybe, if the Law says it, but if it didn't, it would be necessary to come back to this tautology ... But are we in such a radicalism? Moreover, do judges have "the prerogative" of judgment and the Law has not admitted this power for companies to judge for a long time? As soon as the procedure is there in Ex Ante and the control of the judge in Ex Post?

The second reason, internal to the company, situation on which the article focuses, is that the company investigates itself, judges itself, sanctions itself. However, the legal person expressing its will only through its organs, we underline in practice the difficulties for the same human being to formulate grievances, as he/she is the agent of the legal person, addressed to the natural person that he/she himself/herself is. The two interests of the two are not the same, are often opposed; how the secrets of one can be kept with respect to the other, represented by the same individual? ... It is all the mystery, even the artifice of legal personality that appears and we understand better that Compliance Law no longer wants to use this strange classical notion. Because all the rules of procedure cannot mask that to prosecute oneself does not make more sense than to contract with oneself. This conflict of interest is impossible to resolve because naming the same individual X then naming him/her Y, by declaring open the dispute between them does not make sense.

This dualism, which is impossible to admit when it comes to playing these functions with regard to corporate officers, can come back to life by setting up third parties who will carry secrets and oppositions. For example, by the designation of two separate lawyers for the human being agent and the human being representative of the legal person, each lawyer being able to have secrets for each other and to oppose each other. These spaces of reconstitution of the so "natural" oppositions in procedure between the one who judges and the one who is judged can also take the technological form of platforms: where there is no longer anyone, where the process has replaced the procedure, there is no longer any human judgment. We can thus see that the fear of conflicts of interest is so strong that we resign ourselves to saying that only the machine would be "impartial", a derisory conception of impartiality, against which it is advisable to fight.

This then leads to a final question: can the company claim to exercise the jurisdictional power to prosecute and judge and investigate without even claiming to be a prosecutor, an investigating judge, or a court? The company's advantage would be to be able to escape the legal regime that classical Law attaches to its words, mainly the rights of the defense and the rights of action for others, the principle of publicity of justice for everyone, which expresses the link between procedure and democracy. When Facebook said on June 12, 2021 "react" to the decision of May 5, 2021, adopted by what would only be an Oversight Board to decide "as a consequence" of a 2-year suspension of Donald Trump's account, the art of qualifications seem to be used in order to avoid any regime constraint.

But this art of euphemism is very old. Thus, the States, when they wanted to increase repression, presented the transformation of the system as a softening of it through the "decriminalization" of Economic Law, transferred from the criminal courts to the independent administrative agencies. The efficiency was greatly increased, since the guarantees of the Criminal Procedure ceased to apply. But 20 years later, Words found their way back to Things: under Criminal Law, slept the "criminal matter", which requires the same "Impartiality". In 1996, a judge once affirmed it and everything was changed. Let us therefore wait for what the Courts will say, since they are the masters of qualifications, as Article 12 of the French Code of Civil Procedure says, as Motulsky wrote it in 1972. Law has time.

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► Full Reference: J.-M. Coulon, "Le droit de la compliance dans le secteur d'activité de la construction et les contradictions, impossibilités et impasses auxquelles les entreprises sont confrontées" ("Compliance Law in the construction sector and the contradictions, impossibilities and impasses facing companies"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 133-140. 

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

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► The summary below describes an article following the colloquium 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) , 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 Jean-Marc Coulon'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 lenders, 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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► Full Reference: M. Audit, "La position de l'arbitre en matière de compliance" ("The position of the arbitrator in matters of compliance"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 303-315. 

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📕read a general presentation of the book, La juridictionnalisation de la Compliance, 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 its Title III, devoted to: Compliance et Arbitrage.

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► Summary of the article (done by the Journal of Regulation & Compliance): For the arbitrator to intervene in matters of Compliance, a "Compliance Obligation" must exist. The identification of this specific obligation is tricky because it cannot generally be identified per se, if it is grasped only through Criminal Law, which does not enter directly into the field of Arbitration, which has developed an autonomous conception of the facts, in particular facts of corruption, which are also criminally reproachable. But because the obligation of compliance is itself autonomous, since it is a question of detecting and preventing various offenses and breaches, the arbitrators rely on the detection and prevention mechanisms as such, distinct from the possible behaviors that the Law wants they don't happen.

But the question of the source of this compliance obligation is central because it must arise from a standard that can lead to Arbitration. This is the case of the contract, for example an intermediary contract which not only prohibits any corrupt practice but also provides for audit or control, or even the case of national laws, in particular the UK Bribery Act or the so-called French "Sapin 2" law, or even decisions imposing compliance programs or the unconstrained adoption of these by the company. According to its source, the arbitrator will take the Compliance obligation into account.

If a Compliance obligation, having a source giving its significance in an Arbitration proceeding, is considered by the arbitrator to be breached, the consequences often depend on this source. The solution is classic if it is the lex contractus, more difficult if it is a Law which has inserted this obligation in the lex societatis, the requirements of compliance being generally considered as mandatory laws. If the arbitrators cannot apply the sanctions attached by the repressive law, they can support their decision in consideration of the breach found to assess the legality of a behavior or the validity of a contract, the ICC Rules for combating corruption being able to serve them as an analysis guide.

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► Référence complète : J.-Ch. Roda, "Le Digital Markets Act (1re partie). Contrôler les contrôleurs d’accès", Communication - Commerce électronique, n° 2, février 2023, étude 4

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► Résumé de l'article (fait par l'auteur) : "Le règlement (UE) 2022/1925 relatif aux marchés contestables et équitables dans le secteur numérique a été adopté le 14 septembre 2022. Mieux connu sous le nom de « Digital Markets Act », ou DMA, c’est un texte très technique de plus d’une soixantaine de pages. Il est destiné à « mettre au pas » les grandes plateformes américaines et européennes, en ancrant largement la régulation dans l’ex ante. Incontestablement, il s’agit d’un des dispositifs les plus ambitieux adoptés à l’échelon européen, qui doit permettre d’assurer une meilleure contestabilité sur les marchés numériques, et une plus grande loyauté des comportements. Un texte aussi important appelait un commentaire « grand format ». La première partie de celui-ci figure dans le présent numéro de la revue, et s’attache à cerner l’esprit et l’étendue du contrôle prévu par le DMA. La seconde partie, intitulée « Contraindre les contrôleurs d’accès », sera publiée dans le prochain numéro".

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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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📝consulter une présentation de la première partie de cette étude de Jean-Christophe Roda, "Le Digital Markets Act (2e partie). Contraindre les contrôleurs d'accès"

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► Référence complète : Com., 1er février 2023, n° 20-21.844 (publié au Bulletin).

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Lire l'arrêt

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Texte intégral

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► Référence complète : M.-A. Frison-Roche, "Face à des professions régulées, l'Autorité de la concurrence se comporte en Régulateur", Newsletter MAFR Law, Compliance, Regulation, 1ier février 2023.

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L'Autorité de la concurrence publie le 1ier février 2023 deux consultations publiques jumelées, relatives à la Liberté d'installation des notaires et des commissaires de justice.

Chacun a jusqu'au 22 mars 2023 pour y contribuer.

Ce faisant, l'Autorité se place dans une perspective de régulation car elle articule l'usage de ce pouvoir général de consultation - préalable à un avis à propos de l'installation de nouvelles études, en s'appuyant notamment sur les contributions, avec un pouvoir spécifique et direct que lui a donné la Loi : celui de superviser la carte de ces nouvelles ouvertures.

S'il ne s'agissait d'exercer ce dernier pouvoir que dans la perspective concurrentielle, il ne serait pas pertinent d'articuler cela à un avis et une consultation globale sur la politique générale du maillage territorial par lequel notaires et commissaires de justice exercent leurs activités.

La perspective de régulation, qui embrasse davantage et établit des équilibres à long terme entre la concurrence et d'autres soucis, est affirmée par l'Autorité de concurrence.

Cette perspective adoptée par l'Autorité est légitime, dès l'instant que la loi le lui permet, lui offrant tous les instruments pour le faire, et que les entreprises et/ou les activités dont il s'agit sont elles-mêmes régulées. C'est le cas lorsque les entreprises appartiennent à ce que l'on appelle souvent des "professions réglementées", la réglementation étant l'indice le plus certain de la régulation Ex Ante.

C'est même reconnaître leur nature que de le faire, ne pas les briser en ne leur appliquant que la pure et simple "loi de la concurrence".

Le Législateur permet à l'Autorité de le faire puisque, comme elle le rappelle dans son Communiqué, la loi dite Macron de 2015 lui a donné mission de contrôler le maillage d'ouverture sur le territoire concernant les notaires et ceux qui sont aujourd'hui les commissaires de justice. C'est l'Autorité qui formule les propositions d'ouverture, la carte devant être revue tous les 2 ans.

L'on avait à l'époque beaucoup considéré que la seule perspective était celle de la concurrence, qu'il ne s'agissait que de laisser le mécanisme concurrence entrer dans ces activités, quoi qu'il en résulte et que l'Autorité allait être chargée de cela, alors que le texte présentait déjà une perspective de régulation.

🔴 M.-A. Frison-Roche, 📝Notariat et Régulation font bon ménage, 2015

L'Autorité accroît cette perspective de régulation, c'est-à-dire de construction et de maintien d'équilibres à long terme, rappelant la pratique qu'elle a eue, qu'elle qualifie de "prudente", intégrant notamment les difficultés de la crise sanitaire et le souci du long terme.

Par le biais des consultations pour former des recommandations adéquates, parce que la consultation est un pouvoir général, celle-ci peut dépasser l'objet plutôt restrictif de la loi qui se soucie de l'équilibre territorial. Qu'on en juge, puisque les contributeurs sont invités à réfléchir dans la perspective suivante: "Outre les thèmes récurrents des consultations publiques (l’évaluation de la procédure de nomination, l’impact des créations d’offices sur les différentes parties prenantes ou la cohésion territoriale des prestations), l’Autorité a identifié plusieurs enjeux importants sur lesquels les acteurs intéressés sont invités à formuler des observations, dont notamment :

• les conséquences de la crise sanitaire sur le volume d’activité et l’organisation des offices ;
• les risques pesant sur l’activité des professionnels du fait de la dégradation de la conjoncture économique (ralentissement de la croissance, hausse de l’inflation, durcissement des conditions d’octroi de crédits immobiliers,…) ;
• l’impact de la réforme de la discipline et de la déontologie des professions du droit ;
• les implications de la fusion des professions d'huissier de justice et de commissaire-priseur judiciaire en une profession unique de commissaire de justice depuis juillet 2022".

Ainsi, plutôt que de ne regarder que l'aspect concurrentiel dans ce qui n'est qu'une recommandation, laissant au Gouvernement le soin d'intégrer le reste dans ses propres décisions, notamment parce qu'il mène par ailleurs ses réformes (fusion des professions, réformes de la discipline et déontologie), l'Autorité intègre l'ensemble dès son intervention.

Le président de l'Autorité, Benoît Cœuré, a d'ailleurs développé cette conception lors du premier colloque des Commissaires de justice le 8 décembre 2022.

L'Autorité a raison de le faire, car on connait le poids de ses "recommandations" dont l'encre est déjà le plus souvent celle des arrêtés ministériels en fin de process.

En ouvrant à chacun la possibilité d'exprimer sa conception sur ce qui doit être un maillage territorial adéquat, et au-delà un déploiement adéquat de ces professions, l'Autorité de la concurrence participe plus directement à la régulation de ces professions, qui sont des entreprises dont la mission spécifique implique à la fois des obligations (la discipline et la déontologie, par exemple), une supervision et des règles plus complexes que la libre rencontre de l'offre et de la demande.

Si une Autorité de concurrence n'est pas légitime à se transformer en Autorité de régulation concernant des activités économiques qui sont ordinaires, car la régulation, notamment en ce qu'elle est ex ante et implique des mécanismes de compliance sur les entreprises concernées, en revanche si les entreprises, ici les officiers publics ou les professions libérales, comme les avocats, les médecins ou les pharmaciens, sont elles-mêmes régulées, l'Autorité de concurrence reconnaît leur nature en s'associant à la supervision exercée par les Autorités publiques (dans le cas présent, par le Ministère de la justice).

En outre et en cela, l'Autorité de concurrence s'articule avec les structures professionnelles que sont les Ordres, à travers la notion de "mission".

🔴 M.-A. Frison-Roche, 🎤La compliance dans l'entreprise notariale : aspects théoriques et pratiques, 2022

🔴 M.-A. Frison-Roche, 🎥La compliance, perspective dynamique pour exprimer la raison d'être des commissaires de justice, 2022

🔴 M.-A. Frison-Roche, 🎥Régulation et Compliance, expression des missions d'un Ordre, 2022

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► Référence complète : G. Loiseau, "Le Digital Services Act", Communication - Commerce électronique, n°2, février 2023, étude 3

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Résumé de l'article (fait par l'auteur) : "Le règlement (UE) 2022/2065 du 19 octobre 2022, qui entrera en application dans les États membres début 2024, s'attaque aux effets toxiques de l’activité des plateformes, qu'il s'agisse de la diffusion de contenus illicites ou de certaines pratiques, comme la publicité ciblée ou les interfaces trompeuses. Sans rien changer au régime de semi-responsabilité des hébergeurs voulu par la directive du 8 juin 2000, il table, pour lutter contre les contenus illicites, sur la pratique de modération qu’il rend obligatoire sur l’intervention d’un tiers, comptant aussi sur les initiatives des opérateurs techniques qui ont eux-mêmes intérêt à traiter les éléments les plus nocifs. Prescriptif, il fait porter l'effort de réglementation sur les sanctions que les plateformes peuvent décider, sur la motivation de leurs décisions ainsi que sur le traitement interne des réclamations. En complément de l’action ex-post ciblant les contenus illicites, le règlement appréhende certains risques, liés à des pratiques potentiellement nuisibles ou présentant un caractère systémique, dont il dicte la gestion ex-ante par les plateformes.".

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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 : V. Catillon, La nature monétaire des cryptomonnaies, préf. L. Thibierge, avant-propos Th. Le Gueut, Presses Universitaires d'Aix-Marseille, Institut de Droit des Affaires, 2023, 340 p.

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📗lire la 4ième de couverture

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📗lire le sommaire de l'ouvrage

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📗lire la table des matières de l'ouvrage

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► Résumé de l'ouvrage (fait par l'éditeur) : "Le Bitcoin et à sa suite, la multitude des cryptomonnaies, révolutionnent les sphères financière, monétaire et juridique. Cette remise en cause de la norme monétaire tient aux procédés mis en œuvre : un fichier informatique, le coin, et un registre distribué, la Blockchain. Leur conjonction réussit à transformer un simple fichier copiable à l’infini, en une unité de monnaie non duplicable. Ces qualités numériques autorisent les transactions sans recourir aux tiers de confiance, les établissements de crédit. Délivrées de toutes contraintes matérielles et de toutes intermédiations, elles circulent librement par-delà les frontières, détachées du joug des États. Se pose dès lors la première problématique : une monnaie peut-elle être juridiquement reconnue en l’absence de tutelle étatique ? Leur forte volatilité complique en outre leur appréhension par le droit. En cela, elles ne pourraient faire fonction d’unité de compte, voire d’unité de paiement. Les cryptomonnaies commandent par conséquent un débat renouvelé de la nature juridique de la monnaie. Les recherches historiques révèlent qu’en tout temps il a circulé des monnaies privées. Cette évidence bouleverse la théorie juridique. La monnaie légale ne forme plus l’épicentre de la pensée dominante. L’autre pan de l’étude a trait à l’analyse fonctionnelle de la monnaie. Son traitement juridique autorise la compréhension des mécanismes monétaires à l’œuvre en droit et permet d’asseoir le caractère monétaire des cryptomonnaies.".

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► Référence complète : Ph. Pétel, Procédures collectives, Coll. "Cours Dalloz-Série Droit privé", Dalloz, 1ière éd., 1996, 11ième éd., 2023, 281 p.

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► Présentation de l'ouvrage : La 11ième édition de ce manuel de référence, dont l'un des nombreux mérites est son volume maîtrisé (281 pages aérées, de lecture aisée), présente cette matière très technique en distinguant tout d'abord l'ouverture de la procédure collective, puis en décrivant le déroulement de la procédure collective.

Jadis infamantes sous le nom de "droit de la faillite", le droit des "procédures collectives" est depuis 1967 un droit de protection de l'entreprise, visant à la prévention de ses difficultés, à sa sauvegarde et à son redressement, sa liquidation et sa cession n'étant que la dernière hypothèse.

Ce souci a été encore accru par l'influence de la théorie économique.

Ce Cours est à jours des ordonnances du 15 septembre 2021 réformant le droit des sûretés et transposant la directive dite Restructuration.

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Dans la même collection, voir les Cours ayant un lien direct :

🕴️V. Magnier, 📕Droit des sociétés

🕴️J.-B. Seube, 📕Droit des sûretés

📚 Consulter l'ensemble de la collection, Cours Dalloz - Droit privé, fondée sur un concept proposé par Marie-Anne Frison-Roche en 1992 et dans laquelle l'ouvrage est publié.

Enregistrer

► Full Reference: Parquet national financier - PNF (National Financial Prosecutor's Office), Lignes directrices sur la mise en oeuvre de la convention judiciaire d'intérêt public (Guidelines on the implementation of the judicial public interest agreement (CJIP)), 16 January 2023.

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► Read the guidelines (in French)

► Read a free translation of the original French document for information purposes

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♾️ suivre Marie-Anne Frison-Roche sur LinkedIn

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► Référence complète : M.-A. Frison-Roche, "Si l'algorithme engendre un risque systémique de fraude, l'entreprise doit trouver le moyen de prévenir et détecter celle-ci : cas d'école", Newsletter MAFR Law, Compliance, Regulation, 15 janvier 2023.

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Le cas agite et inquiète à juste titre. Il est notamment relayé dans Le Parisien et dans Libération.

Il apparait qu'un professeur de master découvre que la moitié de la promotion de ses étudiants avait fait écrire sa copie par un algorithme (ChatGPT), dont on dit que les productions mécaniques se rapprochent, à s'y méprendre, du "langage naturel", c'est-à-dire manié par les êtres humains. Il en a résulté des copies correctes, mais si identiques que l'usage de l'outil par les étudiants avait été ainsi détecté.

La dimension systémique du phénomène mérite qu'on y réfléchisse car il s'agit non seulement de détecter mais encore de prévenir le recours à cet outil, si l'on veut que les travaux rendus par les étudiants permettent d'évaluer leurs niveaux.

L'on peut certes rechercher des solutions très radicales, comme obliger les étudiants à écrire à la main dans des contrôles faits sur table et surveillés..., ou interdire le recours aux algorithmes, interdiction dont l'effectivité va être difficile ; ou rêver d'une Université où l'on leur donnerait des sujets de réflexion à traiter chacun d'une façon originale, ce qui suppose sans doute un nombre d'étudiants moins élevés (d'ailleurs, les lycées et collègues sont aussi concernés).

Mais si l'on regarde le "but" : il s'agit bien de prévenir et détecter un comportement systémiquement dommageable, pour l'Université et pour les étudiants eux-mêmes (qui n'auront rien appris ; ce sont les premières victimes).

Or, la prévention et détection des comportements systémiquement dommageables non pas tant pour les sanctionner mais pour qu'ils ne prospèrent pas à l'avenir, ici garder les avantages des algorithmes comme outils et prévenir leur usage dolosif, c'est la définition du Droit de la Compliance comme mode de prévention et de détection des maux systémique. Cela constitue un "but monumental".

🔴 M.-A. Frison-Roche, 📕Les buts monumentaux de la Compliance, 2022

Pour concrétiser une telle ambition, notamment face à la puissance de ces outils neutres que sont les algorithmes, qui permettent d'ailleurs à des professeurs de rédiger sans difficulté des cours sur l'originalité desquels on ne leur demande pas de compte, le Droit de la Compliance présente un atout majeur : il repose sur les entreprises elles-mêmes, notamment celles par lesquelles le risque est né.

Historiquement, le Droit de la Compliance est né aux Etats-Unis, en imposant aux entreprises ayant contribué par leur comportement interne à la crise de 1929 une série d'obligations de prudence, de gestion des conflits d'intérêts, d'information et de soumission à un superviseur.

🔴 M.-A. Frison-Roche, 📝Compliance : avant, maintenant, après, 2018

C'est en effet aux entreprises de trouver les solutions pour détecter et prévenir les comportements systémiques dommageables.

L'article publié dans Libération fait état des travaux menés par les entreprises fabriquant les algorithmes pour que soient insérés dans les textes des signaux, indétectables par l'usager (par exemple l'algorithme achevant une phrase sur dix par un mot finissant par la même lettre, ou une phrase sur vingt par un mot commençant par la même lettre), mais qu'un autre algorithme pourrait "détecter" pour que le travail produit soit analysé par le professeur (comme on le fait déjà en matière de plagiat).

Il s'agit ici d'une "compliance consentie, choisie par l'entreprise elle-même ; cela pourrait être leur être également imposé.

🔴 L. Benzoni et B. Deffains, 📝Approche économique des outils de la Compliance: finalité, effectivité et mesure de la Compliance subie et choisie, in M.-A. Frison-Roche (dir.), 📕Les outils de la Compliance, 2021

Apparaît ainsi le juste et efficace rapport entre le Droit de la Compliance et ce que l'on appelle "l'intelligence artificielle", dès l'instant que l'on n'a précisément pas une vision mécanique du Droit de la Compliance, ce qui permet de laisser les algorithmes à leur place : des "outils".

🔴 M.-A. Frison-Roche, 🎥Compliance, Intelligence artificielle et gestion des entreprises : la juste mesure, 2022

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► Référence complète : J. Harrison, "Trade Agreement and Sustainability: Exploring the Potential of Global Value Chain (GVC) Obligations", Journal of International Economic Law,  2023

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► Résumé de l'article (fait par l'auteur ) : Après 

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🦉Les étudiants de Marie-Anne Frison-Roche peuvent avoir accès au texte intégral

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► Référence complète : W. Feugère, "Les suites des alertes : observations sur les enquêtes internes", in W. Feugère (dir.), Le nouveau régime des dispositifs d’alerte en France : comment conjuguer conformité et efficacité, Cahiers de droit de l'entreprise (CDE), n° 1, janvier-février 2023, pp. 49-52.

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►Résumé de l'article (fait par l'auteur) : "L’analyse du droit des alertes ne peut se concevoir que dans celle des enquêtes, qui en sont la suite incontournable. L’alerte est une information brute : elle doit être analysée, au-delà de sa seule recevabilité. Quels sont les faits exacts ? Quelle en est l’ampleur ? Quels en sont les enjeux et les impacts, les responsabilités ? Enfin, et surtout, qu’en conclure, que décider ? Une information doit donner lieu à réflexion et à une décision. L’enquête a précisément cet objectif : mettre en mesure les managers de décider.".

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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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