Food for thoughts

► Full Reference: Agence française anticorruption - AFA (French Anti-Corruption Agency) and Parquet national financier - PNF (French National Financial Prosecutor's Office), Internal anti-corruption investigations. Practical Guide, march 2023. 

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📜read the guide

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► Full reference: M.-A. Frison-Roche, , F. Ancel, N. Roret, "Les juges vont être de plus en plus présents dans le droit de la compliance" ("Judges will be more and more involved in Compliance Law"), interview with Olivia Dufour, Actu-Juridique, 1st March 2023.

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💬read the interview (in French)

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► Presentation of the interview by the journal (in French) : "À l’instigation du professeur Marie-Anne Frison-Roche, l’École nationale de la magistrature (ENM) a proposé pour la première fois début février une formation en compliance à destination des magistrats et des avocats. François Ancel, conseiller la Cour de cassation, Nathalie Roret, avocate et directrice de l’ENM et Marie-Anne Frison-Roche plaident d’une seule voix pour le renforcement du rôle des acteurs judiciaires dans la compliance."

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► Questions asked (in French): 

• D’où est venue l’idée d’aborder ce droit en cours d’émergence qui semble encore très confidentiel ?

• En effet, on croit souvent savoir ce qu’est la compliance, en la confondant avec la conformité, pouvez-vous expliquer ce qui les distingue ?​​

• On constate, en lisant le programme de la formation, que toutes les branches du droit sont concernées par la compliance depuis le droit des sociétés jusqu’au pénal en passant par les contrats et la responsabilité. Pouvez-vous nous donner des exemples ?​

• Comment se redistribuent les rôles entre les avocats, les juges et les entreprises dans cette nouvelle configuration qu’est la compliance ?​

• En quoi est-ce important pour les magistrats d’appréhender ce nouvel univers ?​

• Ces transformations sont-elles cantonnées à la compliance ou peuvent-elles sortir de son champ ?​

• Par exemple qu’en est-il de la question très controversée du rôle de l’avocat à l’égard du juge ?​

• Avez-vous constaté lors de cette formation une amélioration du dialogue entre les différents acteurs ?​

• Cette formation va-t-elle être instituée de manière permanente dans la formation des magistrats et des avocats ? Une autre manifestation est-elle prévue ?

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► Référence complète : J.-L. Fourgoux, "Le DMA, nouveau droit ou renouveau des droits de la concurrence ?", CCC, n°3, mars 2023, dossier 5

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► Résumé de l'article (fait par l'auteur) : "La publication du règlement relatif aux marchés contestables et équitables dans le secteur du numérique dit « DMA » constitue une étape déterminante dans le contrôle des pratiques des grandes plateformes numériques. Le DMA notamment par son approche ex ante est une innovation importante qui contribue à l'apparition d'un nouveau droit autonome et complémentaire du droit de la concurrence. Ces innovations et la reprise de techniques propres au droit de la concurrence peuvent être l'acte de naissance d'un très grand droit de la concurrence dont la coordination avec les autres droits européens et nationaux sera cruciale.".

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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 : J.-Ch. Roda, "Le Digital Markets Act (2e partie). Contraindre les contrôleurs d'accès", Communication - Commerce électronique, n° 3, mars 2023, étude 6

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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, indigeste, de plus d'une soixantaine de pages, et qui doit être complété par des lignes directrices. 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 meilleur 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, publiée dans le précédent numéro de la revue, s'attachait à cerner l'esprit et l'étendue du contrôle prévu par le DMA. La seconde partie, que nous proposons dans le présent numéro, détaille les obligations auxquelles sont soumis les « gatekeepers », et qui forment le cœur du dispositif.".

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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 (1re partie). Contrôler les contrôleurs d’accès"

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► Full reference: Conseil constitutionnel (French Constitutional Council), decision n°2022-1035, QPC, 10 February 2023, Société Sony interactive entertainment France et autre

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► Read the decision (in French)

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♾️follow Marie-Anne Frison-Roche on LinkedIn

♾️subscribe to the Newsletter MAFR Regulation, Compliance, Law 

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► Full reference: M.-A. Frison-Roche, "Les notaires "agents d'effectivité de la compliance"", interview with  Sarah Bertone, Solution Notaire Hebdo, 9 February 2023.

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💬read the interview (in French)

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► Presentation of the interview by the journal (in French): "Souvent envisagée comme un ensemble des processus visant à s’assurer du respect de certaines réglementations et/ou valeurs éthiques par les professionnels, la compliance est aujourd’hui encore mal appréhendée. Marie-Anne Frison-Roche, professeur de droit, spécialisée en droit de la régulation et de la compliance, nous explique en quoi le notariat trouve pourtant toute sa place dans cette démarche."

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► Questions asked (in French): 

• Quelle conception de la compliance doit-on adopter pour être efficace ? 

• En quoi ces organisations sont-elles clés ?

• Concrètement, puisque ces organisations anciennes se révèlent si adéquates, ont-elles besoin de s’adapter ?

• Ne faudrait-il pas que ces professions se modifient ?

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🌐follow Marie-Anne Frison-Roche on LinkedIn

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► Full Reference: M.-A. Frison-Roche, "Instaurer l'insécurité juridique comme principe, outil de prévention des crises systémiques catastrophiques totales" ("Establishing legal uncertainty as a principle and a tool for preventing total catastrophic systemic crises"), in G. Gerqueira, H. Fulchiron et N. Nord (eds.), Insécurité juridique : l'émergence d'une notion ?, Société de législation comparée, coll. "Colloques", vol. 53, 2023, pp. 153-167. 

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📝read the article (in French)

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🚧read the bilingual Working Papier which is the basis of the conference and this article

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🎤watch the conference of March 22, 2021 that took place in the Cour de cassation (French Court de cassation) and for which this reflection was globally led

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► English Summary of the article: "whatever it takes". In 2015, Mario Draghi used this formula to aim for the defence of the European currency, when the Euro was in danger of collapsing under the dance of the speculators who would be enriched by its collapse. Rarely has a formula been more violently political and more strongly prescriptive. It contributed to his being dubbed "Super Mario", as in the video game. The formula was used again in 2020 by the Président de la République Française (President of the French Republic) in the face of the financial turmoil caused by the health crisis that led to similar calculations. It goes beyond the mere "financial cost". With this formula, the President of the European Central Bank stated that the economic crisis in Europe was such that the institution would do everything in its power to put an end to it, without any limits; that all those who, by their behaviour, even supported by their legal prerogatives, in this case the speculators, because they were destroying the economic and financial system, would come up against this and would themselves be swept away by the Central Bank because the latter's mission, in that it is absolutely to safeguard the Euro itself, would prevail "quoi qu'il en coûte" ("whatever the cost"). At one point, the master stood up. If the royal position is the seated position, when he listens and judges, it is by rising that he shows his acceptance of also being the master, because he is in charge of more and will use everything to win.

More broadly, we might consider drawing up a positive concept of legal uncertainty (which is bound to please the Hegelians), increasing legal certainty: this would make it possible to associate a clearer legal regime with the hypotheses of legal uncertainty. Indeed, rather than sweeping Law under the carpet, which explains many of the tensions between the Conseil constitutionnel (French Constitutional Council) and the Conseil d'État (Council of State) on the one hand, and the legislator and the government on the other, concerning the "État d'urgence" ("State of emergency"), we could set out the conditions in which legal uncertainty makes it possible to set aside or limit rules.

The idea proposed is therefore that in "extraordinary situations", legal uncertainty would be a dimension, or even a principle which would be admissible. And developing this first point, it is proposed that the hypothesis of an "economic crisis" justifies a dimension, or even a principle of "legal uncertainty". But this first assertion needs to be tested. Is an economic crisis, a concept that needs to be defined, if it is to have such a major reversal effect, such an extraordinary 'situation'? Furthermore, to deal with this extraordinary situation constituted by an 'economic crisis', how much legal uncertainty would be legally acceptable, or even legally claimed? Could we even conceive of a reversal of principle that would bring applicable Law to an economic crisis under the aegis of legal uncertainty? In such a case, the question that then arises is to determine the conditions and criteria for emerging from the economic crisis, or even to determine the elements of perspective of an economic crisis, which could justify in advance the admission of an injection of legal uncertainty. Above all, Law has control over the future.

The economic crisis should therefore be legally defined as an exceptional situation, before stressing that Regulation and Compliance Law, because on the one hand we move from crisis to crisis and on the other hand the whole system aims to avoid and manage the future crisis in advance or to exclude it; this is particularly true of health and climate issues (the way the health crisis was managed was to 'decree' that the State should initiate an economic crisis), which means that legal insecurity is no longer seen as a distant exception, a failure to be combated, but as a lever that can be used to influence the future.

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► Full Reference: Ancel, F. & Frison-Roche, M.A., Droit de la compliance ("Compliance Law", French National School for the Judiciary (Ecole nationale de la magistrature - ENM), 

This teaching is given in French.

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► Presentation of the Teaching: 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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► Organisation of the Teaching: this teaching is open to all judicial members and lawyers. Enrollments are made at the French National School for the Judiciary.

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► Full Reference: S. Schiller, "Un juge unique en cas de manquement international à des obligations de compliance ?" ("A single judge in the event of an international breach of compliance obligations?"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 453-464. 

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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, translated by the Journal of Regulation & Compliance): Given the very international nature of the topic apprehended, the actors involved and therefore the compliance disputes, it is essential to know if a person can be implicated before several judges, attached to different states or even if he can be condemned by several jurisdictions. The answer is given by the non bis in idem principle, which is the subject of a abondant case law on the basis of Article 4 of Protocol n°7 of the ECHR, clearly inapplicable for jurisdictions emanating from different States.

To assess whether breaches of compliance obligations may be subject to multiple sanctions in different states, it will first be necessary to ascertain whether there is a textual basis to be invoked.

At European level, Article 50 of the Charter of Fundamental Rights now allows the principle of ne bis in idem to be invoked. Applicable to all areas of compliance, it provides very strong protection which covers not only sanctions, but also prosecutions. Like its effects, the scope of Article 50 is very broad. The procedures concerned are those which have a repressive nature, beyond those pronounced by criminal courts in the strict sense, which makes it possible to cover the convictions pronounced by one of the many regulatory authorities competent in matters of compliance.

Internationally, the situation is less clear. Article 14-7 of the International Covenant on Civil and Political Rights may be invoked, if several obstacles are overcome, including the decision of 2 November 1987 of the Human Rights Committee which restricted it to the internal framework, requiring a double conviction by the same State.

Even if these principles are applicable, two specificities of compliance situations risk hampering their application, the first related to the applicable procedural rules, in particular the rules of jurisdiction, the second related to the specificities of the situation.

The application of the non bis in idem rule is only formally accepted with regard to universal jurisdiction and personal jurisdiction, that is to say extraterritorial jurisdiction, which is only part of the jurisdiction. . The Cour de cassation (French Judiciary Supreme Court) confirmed this in the famous so-called “Oil for food” judgment of March 14, 2018. The refusal to recognize this principle as universal, regardless of the jurisdiction rule in question, deprives French companies of a defense. Moreover, the repression of breaches of compliance rules is more and more often resolved through transactional mechanisms. The latter will not always fall within the scope of European and international rules laying down the non bis in idem principle, for lack of being sometimes qualified as "final judgment" under the terms of Article 50 of the Charter of Fundamental Rights of the European Union and Article 14-7 of the International Covenant on Civil and Political Rights.

Breaches in terms of compliance are often based on multiple acts. This results from prescriptions the starting point of which is delayed at the last event and a facilitated jurisdiction for French courts when only one of the constitutive facts is found in France. In terms of compliance, the non bis in idem principle therefore generally does not protect companies and does not prevent them from being sued before the courts of two different countries for the same case. It nevertheless grants them another protection by obliging them to take into account foreign decisions in determining the amount of the penalty. The sanction against Airbus SE in the Judicial Convention of Public Interest (CJIP) of January 29, 2020 is a perfect illustration of this.

Breaches in terms of compliance are often based on multiple acts. This causes delays in the starting point of prescriptions, starting point delayed at the last event, and this facilitates judicial jurisdiction for French courts when only one of the constitutive facts is found in France. In terms of compliance, the non bis in idem principle therefore generally does not protect companies and does not prevent them from being sued before the courts of two different countries for the same case. It nevertheless grants them another protection by obliging them to take into account foreign decisions in determining the amount of the penalty. The sanction against Airbus SE in the Convention judiciaire d'intérêt public -CJIP (French Judicial Convention of Public Interest)  of January 29, 2020 is a perfect illustration of this.

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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: M.-A. Frison-Roche, "Ajuster par la nature des choses le Droit processuel au Droit de la Compliance" ("Adjusting by the nature of things General Procedural Law to 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. 251-262. 

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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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► The principal elements of this articles had been presented during the scientific manifestation held on September 23, 2021, at Dauphine University in Paris, coorganised by the Journal of Regulation & Compliance (JoRC) and the Institute Droit Dauphine. 

In the book this article is placed in the chapter II about the General Procedural Law in the Compliance Law.  

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► Summary of the article (done by the Journal of Regulation & Compliance): Procedural law is an invention, essentially due to professor Motulsky, going well beyond the gain that one always has in comparing types of procedures with each other. As he asserted, there is Natural Law in General Procedural Law, in that as soon as there is the Rule of Law Principle there cannot be, whatever the "procedure", even the "process" such and such way of doing things: for example, to decide, to seize the one who decides, to listen before deciding, to contest the one who has decided.

General Procedural Law therefore depends on the nature of things. However, Compliance Law organizes things in a new way. Therefore, both the simple and iron principles of General Procedural Law creep in where we do not expect them at first sight, because there is no judge, this character around whom ordinary procedures fit together. The principles of General Procedural Law are essential in companies. Even if the regulations do not breathe a word about it, it is up to the Judges, in particular the Supreme Courts, to recognize this nature of things because on this effect of nature that  General Procedural Law is built: when compliance mechanisms oblige companies to strike, General Procedural law must oblige, even in the silence of the texts, to arm those who can be hit, even stand up against devices that would set aside too much these defenses that are easily considered contrary to efficiency (I).

But because it is a question of making room for this nature of the things of which the Rule of Law Principle entrusts the custody to the Judge and the Lawyer, the General Procedural Law must also adjust itself to what the extraordinary new branch of Law Compliance Law is. Indeed, Compliance Law is extraordinary in that it expresses the political pretention to act now so that the future will not be catastrophic, by detecting and preventing the realization of systemic risks, or even that it is better, by building effective equality or real concern for others. Because it is the Monumental Goals that defines this new branch of Law, a disputed systemic issue, possibly disputed by several parties before a judge, the procedural principles used by the court must be broadened considerably: they must then include civil society and the future (II).

General Procedural Law thus naturally acquires an even more place than in the classic branches of Law since on the one hand it imposes itself outside of trials, particularly in companies and on the other before the courts it involves people who had hardly any place to speak and thinks themselves, especially the systems entering the "causes" of Compliance now debated before the Judge.

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► 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: 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: S. Scemla and D. Paillot, "La difficile appréhension des droits de la défense par les autorités de contrôle en matière de compliance" ("The supervisory authorities face difficulties to apprehend the rights of the defence in Compliance matters"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 241-249.

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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 authors): Since 2016, French companies subject to the provisions of the so-called “Sapin 2” Law must implement eight stringent anti-corruption measures, such as a risk mapping, a whistleblowing procedure or a third-party due diligence procedure.

To ensure their compliance with these obligations, the Sapin 2 law created the Agence française anticorruption - AFA (French Anti-Corruption Agency), which had been assigned three missions: firstly, to help any person prevent and detect corruption; secondly, to control the quality and effectiveness of the anti-corruption programs deployed by the companies; and thirdly, to sanction any breaches, through its Sanctions Committee.

As pointed out by the French Conseil d’Etat, the powers devolved to the administrations have multiplied and became stratified. While the Conseil d'Etat suggests to improve both the conduct and the effectiveness of administrative controls by harmonising their practices and simplifying their prerogatives, it is urgent to remedy the numerous procedural failures that undermine the rights of defence.

In fact, the AFA exercises various powers when undertaking its controls. Some of these powers are not provided for by the Law, and most of them infringe fundamental rights and freedoms among which the adversarial principle and the freedom not to self-incriminate. For instance, the AFA does not necessarily draft minutes of the interviews it conducts, thus depriving the interviewee of the possibility to challenge the statements reported by the AFA to the Sanctions Committee.

From a more structural point of view, the scope of the AFA's mission is extremely broad. The Law allows the AFA to request the communication of "any professional document or any useful information", without defining the notion of usefulness. Also, the AFA considers that the entity cannot benefit from the legal privilege that would cover their documents, and considers that an entity who voluntarily hands over a document, without expressing any reserves, waives its right to the benefit of its legal privilege.

Apart from the severe consequences that could arise if another proceedings was to be initiated by a foreign authority, the concept of "voluntary handover" does not faithfully reflect the reality. Indeed, the controlled entities only cooperate under the threat of being prosecuted on the basis of an obstruction to the control, which compels them to communicate documents even when facing the risk of contributing to their own incrimination.

These many procedural deficiencies encountered during AFA controls must therefore be reformed, as recommended by the Conseil d’Etat, so as to require the authorities to take into account the rights of the defence.

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► Full Reference: F. Raynaud, "Le juge administratif et la compliance" ("The Administrative Judge and the 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. 473-478.

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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 Journal of Regulation & Compliance): The author studies the close relationship between Compliance Law and Soft Law, such as the Administrative Judge has made room for it in his case law. This was particularly the case with the judgments of the Conseil d'État (French Council of State) in 2016, relating to legal topic of Regulatory Law, which is extended by Compliance Law.

This concern to internalize in companies what the public authorities want had also been taken into consideration by the Conseil d'État by small touches from 2010 and has continually expanded. This is particularly the case when the document issued is "de nature à produire des effets notables, notamment de nature économique, ou ont pour objet d'influer de manière significative sur les comportements des personnes auxquelles ils s'adressent" ("likely to produce significant effects, in particular of an economic nature, or are intended to significantly influence the behavior of the people to whom they are addressed"), which is related to compliance issues directly. This new concept adopted by the Conseil d'État has led it to review and control numerous "positions", "recommendations", "guidelines", etc., adopted by multiple authorities, to protect the persons on whom these acts have a "notable effect", the Conseil sometimes not hesitating to censor the issuing body. In Banking compliance, the Soft Law, more specifically issued by the European Banking Authority, gave the Administrative Judge the opportunity to adjust his control with that exercised by the Court of Justice seized by a preliminary question.

Thus, "Par sa jurisprudence sur la justiciabilité des actes de droit de souple, le Conseil d’Etat s’affirme donc comme un acteur de la compliance en permettant aux entités visées par ces actes et soumises à leur égard à une obligation de compliance de saisir le juge administratif d’un recours en annulation contre ces actes, afin qu’ils puissent être soumis à un contrôle de légalité et, le cas échéant, annulés" ("Through its case law on the justiciability of Soft Law acts, the Conseil d'État therefore asserts itself as a compliance actor by allowing the entities covered by these acts and subject to a compliance obligation in their regard to seize the administrative judge of an action for annulment against these acts, so that these acts can be subjected to a control of legality and, if necessary, annulled").

But must the administrative judge be seized. It can be the case in new fields, for example in climate matters, as he we in the Grande Synthe case. By its decision, "Le Conseil d’Etat va ainsi au bout de la logique du dispositif mis en place par le législateur et par le pouvoir réglementaire pour mettre en œuvre les accords de Paris, lesquels reposent sur une forme de compliance à l’échelle mondiale, chaque Etat signataire s’engageant, en quelque sorte, à faire le nécessaire pour atteindre un objectif commun à une date donnée, à charge pour chacun de s’organiser pour l’atteindre. En l’absence d’un juge international capable de vérifier le respect de ces engagements, le juge national apparait le plus naturel pour accepter de vérifier, lorsqu’il est saisi d’un litige en ce sens, que ces engagements ne restent pas lettre morte. " ("The Conseil d'État thus goes to the end of the logic of the system put in place by the legislator and by the administrative power to implement the Paris Agreements, which are based on a form of compliance at the worldwide scale, each signatory State undertaking, in a way, to do what is necessary to achieve a common goal by a given date, it being up to each to organize itself to achieve it. to verify compliance with these commitments, the national judge seems the most natural to accept to verify, when seized of a dispute in this sense, that these commitments do not remain a dead letter".).

Through this general movement,  "La compliance est devenue un nouveau mode de régulation d’un nombre croissant d’activités. " ("Compliance has become a new way of regulating a growing number of activities.").

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► 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: C. Granier, "Réflexions sur l'existence d'une jurisprudence des entreprises" ("Reflections on the existence of a "Compagnies' case law""), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 81-95. 

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

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

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

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

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► 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: 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. Bruneau, "L'entreprise juge d'elle-même : la fonction compliance dans la banque" ("The company judge of itself: the compliance function inside the bank"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 115-131. 

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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): First of all, it should be remembered that the compliance function was born within finance, and that by being structured, it has evolved to support the transition from regulatory law to compliance law. Through these changes, compliance has gone from an ex-post controlling function to an ex-ante binding function. The LIBOR crisis imperfectly illustrates the primacy of this transition. The evolution of this role is illustrated by concrete examples

Firstly, the management of reputational risk is a fundamental part of the company as prosecutor and judge of itself. Reputational risk is a significant element for a financial institution, because it can have negative consequences on its capitalization, or even culminate in a systemic crisis. Avoiding a large-scale financial crisis is also part of the monumental goals of compliance.

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

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

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

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

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► 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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► This book in few words: 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 this collection.

► Read the presentations of the other books on Compliance in this collection:

• further books:

🕴️M.A. Frison-Roche (ed.), 📕Le système probatoire de la compliance, 2025

🕴️M.A. Frison-Roche (ed.), 📕L'obligation de compliance, 2024

🕴️M.A. Frison-Roche et M. Boissavy (ed.), 📕Compliance & droits de la défense. Enquête interne - CJIP - CRPC, 2023

• previous books :

🕴️Frison-Roche, M.-A. (ed.), 📕 Les buts monumentaux de la Compliance, 2022

🕴️Frison-Roche, M.-A. (ed.), 📕 Les outils de la Compliance, 2020

🕴️Frison-Roche, M.-A. (ed.), 📕 Pour une Europe de la Compliance, 2019

🕴️N. Borga, N., 🕴️J.-Cl. Marin & 🕴️J.-Ch. Roda (ed.), 📕 Compliance : Entreprise, Régulateur, Juge, 2018

🕴️Frison-Roche, M.-A. (ed.), 📕 Régulation, Supervision, Compliance, 2017

🕴️Frison-Roche, M.-A. (ed.), 📕 Internet, espace d'interrégulation, 2016

📕 Read the presentations of the other titles of the collection.

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► General presentation of the book: There have always been Judges and Lawyers in Compliance Law, because this branch of Law is an extension of Regulatory Law in which they have a core place. This results from the fact that the decisions taken in respect of Compliance are contestable in Court, including Arbitration, those issued by the Company, such as those of States or Authorities, the Judge in turn becoming what Compliance Law is effective.

The novelty lies more in the phenomenon of "jurisdictionalisation", that is the trial model penetrates all Compliance Law, and not only the Ex-Post part that it includes. Moreover, it seems that this jurisdictionalisation influences the non-legal dimension of Compliance. This movement has effects that must be measured and causes that must be understood. Advantages and disadvantages that must be balanced. If only to form an opinion vis-à-vis Companies that have become Prosecutors and Judges of themselves and others ...: encourage this "Jurisdictionalisation of Compliance", fight it, perhaps influence it? In any case, understand it!

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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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DOUBLE INTRODUCTION

🕴️M.-A. Frison-Roche, 📝Lignes de force de l'ouvrage La juridictionnalisation de la Compliance free access to the full text 

🕴️M.A. Frison-Roche, 📝Conforter le rôle du Juge et de l'Avocat pour imposer la Compliance comme caractéristique de l'État de Droit

I. L'ENTREPRISE INSTITUÉE PROCUREUR ET JUGE D'ELLE-MEME ET D'AUTRUI PAR LE DROIT DE LA COMPLIANCE ("THE COMPANY ESTABLISHED PROSECUTOR AND JUDGE OF ITSELF AND OTHERS BY COMPLIANCE LAW")

🕴️M.-A. Frison-Roche,📝 Le "jugeant-jugé". Articuler les mots et les choses face à l'éprouvant conflit d'intérêts 

🕴️C. Granier, 📝Réflexions sur l'existence d'une jurisprudence des entreprises

🕴️L.-M. Augagneur, 📝La juridictionnalisation de la réputation par les plateformes

🕴️A. Bruneau, 📝L'entreprise juge d'elle-même : la fonction compliance dans la banque

🕴️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

🕴️Lapp, Ch., 📝La compliance dans l'entreprise : les statuts du process

🕴️J. Heymann, 📝La nature juridique de la "Cour suprême" de Facebook

🕴️D. Latour, 📝Les enquêtes internes au sein des entreprises

🕴️A. Bavitot,  📝Le façonnage de l'entreprise par les accords de justice pénale négociée

🕴️S. Merabet, 📝La vigilance, être juge et ne pas juger

II. LE DROIT PROCESSUEL À L'OEUVRE DANS LE DROIT DE LA COMPLIANCE  ("GENERAL PROCEDURAL LAW IN COMPLIANCE LAW")

🕴️N. Cayrol, 📝Des principes processuels en Droit de la Compliance

🕴️F. Ancel,📝Le principe processuel de compliance, un nouveau principe directeur du procès ?

🕴️B. Sillaman, 📝Secret professionnel et coopération : les leçons de procédure tirées de l’expérience américaine pour une application universelle

🕴️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

🕴️S. Scemla,🕴️D. Paillot, 📝La difficile appréhension des droits de la défense par les autorités de contrôle en matière de compliance

🕴️M.-A. Frison-Roche, 📝Ajuster par la nature des choses du Droit processuel au Droit de la Compliance

III. L'ARTICULATION DE LA COMPLIANCE ET DE L'ARBITRAGE INTERNATIONAL ("ARTICULATION BETWEEN COMPLIANCE LAW AND INTERNATIONAL ARBITRATION")

🕴️J.-B. Racine, 📝Compliance et Arbitrage. Essai de problématisation

🕴️E. Silva-Romero,🕴️R. Legru, 📝Quelle place pour la Compliance dans l'arbitrage d'investissement ?

🕴️C. Kessedjian, 📝L'arbitrage au service de la lutte contre la violation des droits de la personne humaine par les entreprises 

🕴️M. Audit, 📝La position de l'arbitre en matière de compliance

🕴️J. Jourdan-Marques, 📝L’arbitre, juge ex ante de la compliance ?

🕴️E. Kleiman, 📝Les objectifs de la compliance confrontés aux acteurs de l’arbitrage

🕴️F.-X. Train, 📝Arbitrage et procédure parallèles exercées au titre de la compliance

🕴️Cl. Debourg, 📝La compliance au stade du contrôle des sentences arbitrales

IV. LE JUGE DANS LE DROIT DE LA COMPLIANCE ("THE JUDGE IN COMPLIANCE LAW")

🕴️M.-A. Frison-Roche, 📝Le juge, l'obligation de compliance et l'entreprise. Le système probatoire de la Compliance

🕴️J. Morel-Maroger, 📝La réception des normes de la compliance par les juges de l'Union européenne

🕴️S. Schiller, 📝Un juge unique en cas de manquement international à des obligations de compliance ?

🕴️O. Douvreleur, 📝Compliance et juge du droit

🕴️F. Raynaud, 📝Le juge administratif et la compliance

🕴️E. Wennerström, 📝Quelques réflexions sur la Compliance et la Cour européenne des droits de l'Homme

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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: F.-X. Train, "Arbitrage et procédures parallèles exercées au titre de la compliance" ("Arbitration and parallel proceedings exercised in Compliance Procedure"), in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 355-368. 

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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 the 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 the Chapter III, devoted to: Compliance et Arbitrage international.

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► Summary of the article (done by the Journal of Regulation & Compliance): Firstly, the article insists on the principle of the autonomy of the international arbitration procedure, in relation to which parallel procedures remain watertight, whether they are criminal or done under Compliance Law. In the arbitral proceedings taking place independently, the arbitrators before whom the facts also referred to in these parallel proceedings, in particular the facts of corruption, are alleged before them as facts through their unlawful nature: it is at this title that they can and must apprehend them, using the standard of proof which is the bundle of clues.

Secondly, the article highlights the limits of the autonomy of international arbitration. These may be de facto limits because in the search for evidence by arbitrators, red flags are often insufficiently consistent evidence to establish a sentence, especially since this sentence may be subject to control by the judge of its conformity to international public order, the annulment by the judge being able to be based on external elements, even after the arbitration procedure. It may then be wise for the arbitrators, who are not forced to do so, to suspend their proceedings to wait the results of the parallel proceedings initiated under Compliance Law, so that the procedures and their results could be harmonious.

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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: J.-B. Racine, "Compliance et Arbitrage. Essai de problématisation" ("Compliance and Arbitration : Problematisation", in M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2023, p. 265-279. 

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

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

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

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

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