Food for thoughts

Référence générale, Cohendet, M.-A. et Fleury, M., Droit constitutionnel et droit international de l'environnement, Revue française de droit constitutionnel , PUF, » 2020/2, n°122, p.271-297. 

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Résumé de l'article : 

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► Full Reference: M.-A. Frison-Roche (ed.), Compliance and Contract, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

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📘In parallel, the French version of this book, Compliance et contrat, is published in the Serie co-published by the Journal of Regulation & Compliance (JoRC) and Dalloz 

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🧮This book comes after a cycle of symposiums organised in 2023-2024 by the Journal of Regulation & Compliance (JoRC) and its Academic Partners

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► General presentation of the book: 

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📚This volume is one of a series of books devoted to Compliance in this Serie.

► read presentations of the other books of this Serie dealing with Compliance :

• further books:

🕴️M.-A. Frison-Roche (ed.), 📘Compliance Evidence System, 2025

• previous books:

🕴️M.-A. Frison-Roche (ed.), 📘Compliance Obligation, 2024

🕴️M.-A. Frison-Roche (ed.), 📘Compliance Jurisdictionalisation, 2024

🕴️M.-A. Frison-Roche (ed.), 📘Compliance Monumental Goals, 2023

🕴️M.-A. Frison-Roche (ed.), 📘Compliance Tools, 2021

 

📚see the global presentation of all the books of the Serie.

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🏗️General construction of the book:

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► Référence complète : M. M. Mohamed Salah, "Conclusions", in J. Andriantsimbazovina (dir.), Puissances privées et droits de l'Homme. Essai d'analyse juridique, Mare Martin, coll. "Horizons européens", 2024, pp. 297-314

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► Résumé de l'article :

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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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► Full Reference: M. Séjean, "The Compliance Obligation in the Cybersecurity Field: a web of behavioural requirements to protect the System", in M.-A. Frison-Roche (ed.), Compliance Obligation, Journal of Regulation & Compliance (JoRC) and Bruylant, "Compliance & Regulation" Serie, to be published

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

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

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

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► Référence complète : M.-A. Frison-Roche, Mission confiée par le garde des Sceaux, Droit de la compliance souveraineté juridique et attractivité économique, 2025-2026.

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📜lire la lettre de mission du garde des Sceaux du 5 septembre 2025 saisissant Marie-Anne Frison-Roche

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► Présentation méthodologique de la menée de cette mission : À

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

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📘read a general presentation of the book, Compliance Obligation, 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 - JoRC): Based on an analysis of the value chains of companies in the space sector and their recent evolution, this contribution examine the role, place and current transformations of compliance policies and strategies in the context of an industrial transformation that has become essential: the transition from an industrial economy to a service economy.

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

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

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► Résumé de l'article : 

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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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Competition is the law of the market. It allows the emergence of the exact price, which is often referred to as "fair price". It means and requires that agents on the market are both mobile, that is to say free to exercise their will, and atomized, that is to say, not grouped together. This is true for those who offer a good or service, the offerers, as well as for those seeking to acquire them, the applicants: the bidders seek to attract the applicants so that they buy them the goods and services that they propose.  Bidders are in competition with each other.

In the competitive market, buyers are indulging in their natural infidelity: even if they have previously bought a product from an A supplier, they will be able to turn away from him in favor of a B supplier if the latter offers them a product more attractive in terms of quality or price. Price is the main signal and information provided by the suppliers on the market to excite this competitive mobility of the offerers. Thus, free competition accelerates market liquidity, the circulation of goods and services, raises the quality of products and services and lowers prices. It is therefore a moral and virtuous system, as Adam Smith wanted, a system which is the fruits of individual vices. That is why everything that will inject "viscosity" into the system will be countered by Competition Law as "non-virtuous": not only frontal coordination on prices but for example, exclusivity clauses, agreements by which companies delay their entry on the market or intellectual property rights which confer on the patentee a monopoly.

Admittedly, Competition Law can not be reduced to a presentation of such simplicity, since it admits economic organizations which deviate from this basic model, for example distribution networks or patent mechanisms on which, inter alia, is built the pharmaceutical sector. But the impact is probative: in the sphere of Competition Law, if one is in a pattern that is not part of the fundamental figure of the free confrontation of supply and demand, he has to demonstrate the legitimacy and efficiency of its organization, which is a heavy burden on the firm or the State concerned.

Thus, in the field of Regulation, if regulatory mechanis were to be regarded as an exception to competition, an exception admitted by the competition authorities, but which should be constantly demonstrated before them by its legitimacy and effectiveness in the light of the "competitive order", then public organizations and operators in regulated sectors would always face a heavy burden of proof. This is what the competition authorities consider.

But if we consider that regulated sectors have a completely different logic from competitive logic, both from an economic and a legal point of view, the Law of Regulation refers in particular to the notion of public service and having its own institutions, which are the regulatory authorities, then certain behaviors, in particular monopolies, are not illegitimate in themselves and do not have to justify themselves in relation to the competitive model, for they are not the exception ( Such as the public education or health service).

► Référence complète : Branellec, G. et Cadet, I., "Le devoir de vigilance des entreprises françaises : la création d’un système juridique en boucle qui dépasse l’opposition hard law et soft law", Open Edition, 2017.

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Lire l'article.

► Référence complète : B. Lecourt, "Des obligations d'information en matière de droit de l'homme et d'environnement au devoir de vigilance", in B. Lecourt (dir.) Lebvre - Dalloz, coll. "Thèmes et commentaires", 2025, pp

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📗lire une présentation générale de l'ouvrage, Le devoir européen de vigilance, dans lequel cet article est publié

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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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The economic theory of incentives implicitly assumes that an operator can not be compelled to act against his will, or at least that it is more efficient to offer him advantages in such a way that he does what he wants . In this, this conception is opposed to the traditional conception of Law, which posits, on the contrary, that subjects obey the order dictated by the legal norm.

But in globalized markets, operators have the tools to disobey and the asymmetry of information diminishes the power of control of the Regulators, which raises doubts as to the effectiveness of the legal constraint: it is not enough that the Law orders. In these circumstances, texts, regulators and judges must produce conditions that encourage agents to adopt behaviors that are consistent with the aims sought by the Regulators because the operators themselves have an interest in them.

Thus, whilst regulatory systems in any sector become increasingly repressive, even in liberal economies, it is not so much to punish the perpetrator but to incite others who are tempted to commit crimes, To abandon them. It is the system of exemplarity. This thought prior to Beccaria participates in the re-feoadization of the Law, demonstrated by Pierre Legendre, associated with the decline of the State and to which the Regulation fully participates. Judgeshave little inclination to handle repression in this way, which creates a clash between Criminal Law and Regulatory Law, which nevertheless puts repression at its center.

In the same way, Regulatory Systems must inject positive incentives, for example rewards for communication of information, which encourages delation, or incentives done by the regulator for the network manager make investments in the maintenance of it, against the immediate interest of its shareholder. Finally, all patent law and economics are now thought of as an incentive to inn/en/article/innovation/ovate. But, some incentives have proven perverse such as stock-options or bonuses. As a result, new texts seek to regulate these.

"Compliance" is the typical example of a translation problem.

Indeed and for example, the term "Compliance" is most often translated by the French term "Conformité". But to read the texts, notably in Financial Law, "Conformité" is aimed rather at professional obligations, mainly aimed at the ethics and conduct of market professionals, especially service providers of investment. It is both a clearer definition in its contours (and in this more certain) and less ambitious than that expressed by the "Compliance". It is therefore, for the moment, more prudent to retain, even in French, the expression "Compliance".

The definition of Compliance is both contentious and highly variable, since according to the authors, it goes solely from the professional obligations of financial market participants to the obligation to comply with laws and regulations. In this latter sense, that is, the general obligation that we all have to respect the Law. To admit that, Compliance would be Law itself.

Viewed from the point of view of Law, Compliance is a set of principles, rules, institutions and general or individual decisions, corpus of which the primary concern is efficiency, in space and in time. The purpose is to put into practice general interest goal targeted by these gathered techniques.

The list of these goals, whether negative ("fighting": corruption, terrorism, embezzlement of public funds, drug trafficking, trafficking in human beings, organ trafficking, trafficking in poisonous and contagious goods - medicines, financial products, etc.) or positive ("fighting for": access to essential goods for everyone, preservation of the environment, fundamental human rights, education, peace , transmission of the planet to future generations) shows that these are political goals.

These goals correspond to the political definition of the Regulatory Law.

These political goals require means which exceed the forces of the States, which are also confined within their borders.

These monumental goals have therefore been internalized by public authorities in global operators. The Compliance Law corresponds to a new structuring of these global operators. This explains why the new laws put in place not only objective but structural repressions, as in France the "Sapin 2 Law" (2016) or the "obligation of vigilance Law" (2017) .

This internationalization of the Regulatory Law  in companies implies that the public authorities now supervise the latter, even if they do not belong to a supervised sector, or even to a regulated sector, but participate, for example, in international trade.

The Law of Compliance thus expresses a global political will relayed by this violent new Law, most often repressive, on companies.

But it can also express on the part of the operators, in particular the "crucial operators" a desire to have themselves concern for these monumental global goals, whether of a negative or a positive nature. This ethical dimension, expressed in particular by the Corporate Social Responsibility, is the continuation of the spirit of the public service and the concern for the general interest, raised world-wide.

► Full Reference: Deffains, B., Compliance and International Competitiveness, in Frison-Roche, M.-A. (ed.), Compliance Monumental Goals, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.

► Référence complète : M. Caffin-Moi, "L’imprégnation des branches du droit par les mécanismes de compliance : le contrat", in M.-A. Frison-Roche (dir.), Compliance et contrat, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", à paraître

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📕lire une présentation de l'ouvrage, Compliance et contrat, dans lequel cet article est publié

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► Résumé de l'article (fair par le Journal of Regulation & Compliance - JoRC) : L'auteure commence par montrer que les contrats sont de plus en plus présents dans le Droit de la Compliance, celui-ci n'étant plus ce qui est seulement exprimé par des lois d'ordre public, tandis que le contrat ne porterait que les intérêts privés de deux parties particulières. Elle expose comment concrètement aujourd'hui, et chaque jour davantage, les contrats sont utilisés comme un instrument de diffusion de la Compliance, la Vigilance étant exemplaire de cela, les textes incitant les entreprises à le faire, la CS3D mettant "le contrat à l'honneur" par la mise en place de "cascades contractuelles", le contrat agissant à la fois en surface et en profondeur.

Mais il ne faut pas que le contrat soit un moyen de restreindre la responsabilité, et l'on trouve des points de "friction" entre Contrat et Compliance.

Tout d'abord, parce que les réglementations, voire la jurisprudence, obligent les entreprises à contracter, par exemple avec des fournisseurs de rang 2, ce qui est une atteinte à la liberté de ne pas contracter.

En outre, les Buts Monumentaux de la Compliance institutionnalisent une relation contractuelle qui peut être déséquilibrée, voire engendrer une concurrence déloyale si une entreprise s'y plie et l'autre pas, la Compliance conférant de plus des prérogatives exorbitantes à l'entreprise.

Pour ne pas provoquer trop de conflits, et l'auteure souligne que le premier est certainement celui sur la compétence juridictionnelle entre le tribunal de commerce et le Tribunal judiciaire de Paris, il faut impérativement un dialogue des juges.

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► Référence complète : Agence française anticorruption (AFA), Guide du contrôle comptable anticorruption, 2022. 

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► Lire le guide

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📧 Lire le commentaire fait par Marie-Anne Frison-Roche de ce guide. 

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► Référence complète : S-M.. Cabon, "Théorie et pratique de la négociation dans la justice pénale", in M.-A. Frison-Roche & M. Boissavy (dir.), Compliance et Droits de la défense - Enquête interne, CIIP, CRPC, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", à paraître.

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

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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) : L'auteure définit la technique de "négociation" comme celle par laquelle "chaque interlocuteur va tenter de rendre compatibles par un jeu de coopération et de concessions mutuelles", ce qui va donc être utilisé dans la justice pénale française non pas tant par attraction du modèle américain, mais pour tenter de résoudre les difficultés engendrées par le flux des contentieux, le procédé s'étant élargi aux contentieux répressif, notamment devant les autorités administratives de régulation. Le principe en est donc la coopération du délinquant.

L'auteur souligne les satisfactions "pratiques" revendiqués, puisque les cas sont résolus, les sanctions sont acceptées, et les inquiétudes "théoriques", puisque des principes fondamentaux semblent écartés, comme les droits de la défense, l'affirmation étant faite comme quoi les avantages pratiques et le fait que rien n'oblige les entreprises à accepter les CJIP et les CRPC justifient que l'on ne s'arrête pas à ces considérations "théoriques".

L'article est donc construit sur la confrontation de "l'Utile" et du "Juste", parce que c'est ainsi que le système est présenté, l'utilité et le consentement étant notamment mis en valeur dans les lignes directrices des autorités publiques.

Face à cela, l'auteur examine la façon dont les textes continuent, ou pas, de protéger la personne qui risque d'être in fine sanctionnée, notamment dans les enquêtes et investigations, le fait qu'elle consente à renoncer à cette protection, notamment qu'elle apporte elle-même les éléments probatoires de ce qui sera la base de sa déclaration de culpabilité tandis que l'Autorité publique ne renonce pas encore au même moment à la poursuite étant problématique au regard du "Juste".

La seconde partie de l'article est donc consacrée à "l'Utile contraint à être Juste". A ce titre, l'auteur pense que l'indépendance du ministère public devrait être plus forte, à l'image de ce qu'est le Parquet européen, et le contrôle du juge judiciaire plus profond car la procédure actuelle de validation des CJIP semble régie par le principe dispositif, principe qui ne sied pas à la justice pénale.

 

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The Independent Administrative Authority (IAA) is the legal form that the legislator has most often chosen to build regulatory authorities. The IAA is only its legal form, but French law has attached great importance to it, following the often formalistic tradition of public law. They are thus independent administrative authorities, especially in the legal systems of continental law like France, Germany or Italy.

The essential element is in the last adjective: the "independent" character of the organism. This means that this organ, which is only administrative so has a vocation to be placed in the executive hierarchy, does not obey the Government. In this, regulators have often been presented as free electrons, which posed the problem of their legitimacy, since they could no longer draw upstream in the legitimacy of the Government. This independence also poses the difficulty of their responsibility, the responsibility of the State for their actions, and the accountability of their use of their powers. Moreover, the independence of regulators is sometimes questioned if it is the government that retains the power to appoint the leaders of the regulatory authority. Finally, the budgetary autonomy of the regulator is crucial to ensure its independence, although the authorities having the privilege of benefiting from a budget - which is not included in the LOLF - are very few in number. They are no longer referred to as "independent administrative authorities" but as "Independent Public Authorities", the legislator making a distinction between the two (French Law of 20 January 2017).

The second point concerns the second adjective: that it is an "administrative" body. This corresponds to the traditional idea that regulation is the mechanism by which the State intervenes in the economy, in the image of a kind of deconcentration of ministries, in the Scandinavian model of the agency. If we allow ourselves to be enclosed in this vocabulary, we conclude that this administrative body makes an administrative decision which is the subject of an appeal before a judge. Thus, in the first place, this would be a first instance appeal and not a judgment since the administrative authority is not a court. Secondly, the natural judge of the appeal should be the administrative judge since it is an administrative decision issued by an administrative authority. But in France the Ordinance of 1 December 1986 sur la concurrence et la libéralisation des prix (on competition and price liberalization), because it intended precisely to break the idea of ​​an administered economy in order to impose price freedom on the idea of ​​economic liberalism, required that attacks against the decisions of economic regulators taking the form of IAA are brought before the Court of Appeal of Paris, judicial jurisdiction. Some great authors were even able to conclude that the Paris Court of Appeal had become an administrative court. But today the procedural system has become extremely complex, because according to the IAA and according to the different kinds of decisions adopted, they are subject to an appeal either to the Court of Appeal of Paris or to the Conseil d'État (Council of State) . If one observes the successive laws that modify the system, one finds that after this great position of principle of 1986, the administrative judge gradually takes again its place in the system, in particular in the financial regulation. Is it logical to conclude that we are returning to a spirit of regulation defined as an administrative police and an economy administered by the State?

Finally, the third term is the name itself: "authority". It means in the first place an entity whose power holds before in its "authority". But it marks that it is not a jurisdiction, that it takes unilateral decisions. It was without counting the European Court of Human Rights (ECHR) and the judicial judge! Indeed, Article 6§1 of the European Convention on Human Rights states that everyone has the right to an impartial tribunal in civil and criminal matters. The notion of "criminal matter" does not coincide with the formal traditional concept of criminal law but refers to the broad and concrete factual concept of repression. Thus, by a reasoning which goes backwards, an organization, whatever the qualification that a State has formally conferred on it, which has an activity of repression, acts "in criminal matters". From this alone, in the European sense, it is a "tribunal". This automatically triggers a series of fundamental procedural guarantees for the benefit of the person who is likely to be the subject of a decision on his part. In France, a series of jurisprudence, both of the Cour de cassation (Court of Cassation), the Conseil d'État (Council of State) or the Conseil constitutionnel (Constitutional Council) has confirmed this juridictionnalization of the AAI.

► Référence complète : L. Grosclaude, "Financiarisation des professions libérales réglementées : vers un changement du paradigme",  JCP Entreprise, n°49, déc. 2023, étude 1355.

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🦉cet article est accessible aux personnes qui suivent les enseignements du professeure Marie-Anne Frison-Roche

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The insurance sector has always been regulated in that it presents a very high systemic risk, since the economic operators' strength is required for the operation of the sector and the bankruptcy of one of them may weaken or even collapse all. In addition, insurance is the sector in which moral hazard is the highest, since the insured will tend to minimize the risks to which he is exposed in order to pay the lowest premium possible, even though ehe company is engaged to cover an accident whose size can not be measured in advance. Thus, the science of insurance is above all that of probabilities.

The recent challenge of regulating insurance, both institutional, the construction and the powers of the regulator of the sector, and also functional, namely the relations that it must have with the other bodies and institutions, lies mainly in the relationship between the insurance regulator and the bank regulator, which refers to the concept of "interregulation." If the formal criteria are followed, the two sectors are distinct and the regulators must be similarly separated. There was the case in France before 2010. En 2010, considering activities, sensitive to the fact that insurance products, for example life insurance contracts, are mostly financial products, and moreover, through the notion of "bank-insurance", the same companies engage in both economic activities, the solution of an unique body has been chosen.

A part from the fact that in Competition Law companies are defined by market activity, the main consideration is that the risk of contamination and spread is common between insurance sector and banking sector. For this reason, the French  Ordinance of 21 January 2010 created the Autorité de Contrôle Prudentiel -ACP (French Prudential Supervisory Authority), which covers both insurance companies and banks, since their soundness must be subject to similar requirements and to an organization common. The law of July 2013 entrusted this Authority with the task of organizing the restructuring of these enterprises, thus becoming the Autorité de Contrôle Prudentiel et de Résolution - ACPR  (French Prudential Control and Resolution Authority).

However, the substantive rules are not unified, on the one hand because the insurers are not in favor of such assimilation with banks, secondly because the texts, essentially the European Directive on the insolvency of insurance companies ("Solvency II") , eemain specific to them, and at a distance from the Basel rules applying to banks, which contradict the institutional rapprochement exposed before. European construction reflects the specificity of the insurance sector, the Regulation of 23 November 2010 establishing EIOPA, which is a European quasi-regulator for pension funds, including insurance companies.

The current issue of insurance regulatory system is precisely the European construction. While the Banking Union, the Europe of banking regulation, is being built, the Europe of Insurance Regulation is not being built. Already because, rightly, it does not want to merge into the banking Europe, negotiations of the texts of "Solvency II" stumbling on this question of principle. We find this first truth: in practice, it is the definitions that count. Here: Can an insurance company define itself as a bank like any other?

L'enjeu actuel de la Régulation assurantielle est précisément la construction européenne. Tandis que par l’Union bancaire, l’Europe de la régulation bancaire se construit, l’Europe de la Régulation assurantielle ne se construit. Déjà parce que, à juste titre, elle ne veut pas se fondre dans l’Europe bancaire, les négociations des textes de « Solvabilité II » achoppant sur cette question de principe. L’on retrouve cette vérité première : en pratique, ce sont les définitions qui compte. Ici : une compagnie d’assurance peut-elle se définir comme une banque comme une autre ?

 

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

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

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

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

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

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

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

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

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► Référence complète : L. d'Avout,  La cohérence mondiale du droit, Cours général de droit international privé, Académie de droit international de La Haye, t.443, 2025, 692 p.

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

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

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

Référence complète Fox, E., The new world order, in Mélanges Joël Monéger, Liber Amicorum en l'honneur du Professeur Joël Monéger, LexisNexis, 2017, 818 p.  

 

The procedural guarantees enjoyed by a person whose situation may be affected by a forthcoming judgment are mainly the right of action, the rights of defense and the benefit of the adversarial principle.

The rights of the defense have constitutional value and constitute human rights, benefiting everyone, including legal persons. The mission of positive Law is to give effect to them in good time, that is to say from the moment of the investigation or custody, which is manifested for example by the right to the assistance of a lawyer or the right to remain silent or the right to lie. Thus the rights of the defense are not intended to help the manifestation of the truth, do not help the judge or the effectiveness of repression - which is what the principle of adversarial law does - they are pure rights, subjective for the benefit of people, including even especially people who may be perfectly guilty, and seriously guilty.

The rights of the defense are therefore an anthology of prerogatives which are offered to the person implicated or likely to be or likely to be affected. It does not matter if it possibly affects the efficiency. These are human rights. This is why their most natural holder is the person prosecuted in criminal proceedings or facing a system of repression. This is why the triggering of the power of a tribunal or a judge offers them in a consubstantial way to the one who is by this sole fact - and legitimately - threatened by this legitimate violence (one of the definitions of the State ).

The rights of the defense therefore begin even before the trial because the "useful time" begins from the investigation phase, from the searches, even from the controls, and continues on the occasion of appeals against the decision adversely affecting the decision. The legal action being a means of being a party, that is to say of making arguments in its favor, and therefore of defending its case, shows that the plaintiff in the proceedings also holds legal defense rights since he is not only plaintiff in the proceedings but he also plaintiff and defendant to the allegations which are exchanged during the procedure: he alleged to the allegation of his opponent is not correct.

They take many forms and do not need to be expressly provided for in texts, since they are principled and constitutionally benefit from a broad interpretation (ad favorem interpretation). This is the right to be a party (for example the right of intervention, the right of action - which some distinguish from the rights of the defense - the right to be questioned, such as the right to be brought into question (or examination), right to be assisted by a lawyer, right to remain silent, right not to incriminate oneself, right of access to the file, right to intervene in the debate (the rights of the defense thus crossing the adversarial principle), right to appeal, etc.

It is essential to qualify an organ as a tribunal because this triggers for the benefit of the person concerned the procedural guarantees, including the rights of the defense, which on the basis of Article 6 of the European Convention on Human Rights man was made about the Regulators yet formally organized in Independent Administrative Authorities (AAI). This contributed to the general movement of jurisdictionalization of Regulation.