Food for thoughts

Full Reference: Frison-Roche, M.-A., Training: content and container of Compliance Law, in Frison-Roche, M.-A. (ed.), Compliance tools, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Bruylant, 2021, p. 245-264

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Summary of the article

Firstly, as Training is a specific Compliance tool, it is supervised by Regulators. It becomes mandatory when it is contained in Compliance programs or sanction decisions. Since effectiveness and efficiency are legal requirements, what is the margin of companies to design them and how to measure the result?

Secondly, as long as each Compliance tool includes, more and more, an educational dimension, we can take each of them to identify this perspective. So even condemnations and prescriptions are so many lessons, lessons given, lessons to be followed. The question is then to know who, in this so pedagogical Compliance Law, are the "teachers"?

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This article is based on a bilingual Working Paper, including additional technical developments, pop-up notes and hypertext links.

Consult an overview of the volume in which the article was published.

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Full Reference : Amico, Th., Compliance or the passage from ex post to ex ante: a Compernican revolution for the criminal lawyer?, in M.-A. (ed.), Compliance Tools, série "Régulations & Compliance", Journal of Regulation & Compliance and Bruylant, 2021, p. 165-172.

See the General Presentation of the book

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Article Summary (done by Marie-Anne Frison-Roche)

After referring to various definitions of Compliance Law, the author insists on the usefulness of the criminal lawyer in that he, familiar with the Ex Post that constitutes the sanction, can be of good advice. in the Ex Ante in which new compliance mechanisms are being developed, such as risk mapping or third party assessment.

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

Read the other articles summaries.  

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► Full reference : Frison-Roche, M.-A., Building by Law the Unicity of Compliance Tools from the Definition of Compliance Law by its "Monumental Goals", in Frison-Roche, M.-A. (ed.), Compliance Tools, serie "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Bruylant, 2021, pp. 35-46

Summary of the article : The "tools of Compliance" do not stack on top of each other. They form a system, thanks to a unity drawn from the goals that all these multiple and different tools serve: the "Monumental Goals" by which Compliance Law is defined.

All these tools are configured by these goals and for mastering all these techniques, it is essential to put them all in perspective of what Compliance Law is, which is designed teleologically with regard to its goals. Extension of Regulatory Law and like it, Compliance Law is built on a balance between the principle of competition and other concerns that public authorities claim to take care of. Compliance Law has moreover more "pretensions" in this respect, for example in environmental matters. All the means are then good, the violence of the tools marrying without difficulty with the voluntary commitments since it is the goals which govern this branch of Law.

As legal solutions adopted show, a common method of interpretation and common levels of constraint for all Compliance Tools result from this definition. Starting from the goals (in which legal normativity is housed), the interpretation of the different tools is thus unified. Moreover, the different degrees of constraint do not operate according to the consideration of sources (traditional legal criterion) but by the goals, according to the legal distinction between obligations of means and obligations of results which result from the articulation between tools, of which the establishment is an obligation of result, and the goal, of which the achievement is only an obligation of means.

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📝 Read the bilingual working paper on which rely this article.

📝 Read a general presentation of the book in which this article has been published.

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► Référence complète : Rechtbank Den Haag (Tribunal de La Haye), 26 mai 2021, aff. C/09/571932 / HA ZA 19-379, Vereniging Milieudefensie et a. c/ Royal Dutch Shell PLC. 

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🏛️lire le jugement

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🏛️lire la traduction française du jugement

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📝commentaires de la décision :

• D. 2021, pp. 1968-1970, obs. A.-M. Ilcheva
   
• EEI, nov. 2021, n° 11, comm. 86, note F.-G. Trébulle
• JSS, 14 août 2021, n° 59, p. 14, tribune C. Lepage, V. Saintaman et B. Denis
• Gaz. Pal., 27 juillet 2021, n° 28, p. 24, art. n° 424w6, note M.-P. Maître

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Référence complète: Frison-Roche, M.-A., La place des entreprises dans la création et l'effectivité du Droit de la Compliance en cas de crise in  (dir.) Les normes publiques et la Compliance en temps de crise : les buts monumentaux à l'épreuve, colloque coorganisé par le Journal of Regulation & Compliance (JoRC) et la Faculté de droit de Montpellier, 17 mai 2021.

Consulter les slides sur lesquelles s'appuie cette conférence.

Regarder la vidéo de cette conférence. 

Lire le programme général de ce colloque

Lire le document de travail sur la base duquel la conférence a été élaborée.

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

Les interventions serviront de première base à la réalisation d'un ouvrage dirigé par Marie-Anne Frison-Roche, dont la version française, Les Buts monumentaux de la Compliance,  est co-éditée par le JoRC et Dalloz et dont la version anglaise, Compliance Monumental Goals, est co-éditée par le JoRC et Bruylant. 

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Résumé de la conférence : Il s'agit d'observer la façon dont les entreprises agissent lorsque la crise advient et l'impact produit sur les "Buts Monumentaux de la Compliance". Il apparaît que les entreprises ont aidé, soit sur l'ordre des Autorités publiques, soit de leur propre initiative. Toute "épreuve" étant une "preuve", la leçon à tirer de la preuve sanitaire est à retirer face à la crise environnementale dont nous sommes déjà informés.

La crise montre la place et le rôle des entreprises pour que tout d'abord survive l'effectivité du Droit de la Compliance par le souci maintenu de ses buts, grâce à l'aide requise ou spontanée des entreprises.

Mais plus encore l'on a pu observer des entreprises actives en raison de leur "position" pour des buts qui n'étaient pas les leurs, comme l'environnement. L'on retrouve alors la définition générale du Droit de la Compliance comme l'alliance en Ex Ante entre Autorités publiques et opérateurs privés cruciaux, pour maîtriser le futur. Ce sont les juges qui les assignent à cette alliance, ici et maintenant.  La crise sanitaire en accélère la construction.

Full Reference: Frison-Roche, M.-A. Place and Role of Companies in the Creation and Effectiveness of Compliance Law in Crisis, Working Paper, May 2021. 

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This Working Paper has been elaborated as basis for a conference in the colloquium of Mai 17, 2021 (done in French: Normes publiques et Compliance en temps de crise : les buts monumentaux à l'épreuve.

This video is made with English substitutes. 

It is also the basis for an article in the book Compliance Monumental Goals, the English version of which is co-published by the Journal of Regulation & Compliance (JoRC) and Bruylant.

Summary: This article has a very topic: the place of private Companies, with regard to the chapter's issue: "the ordeal of a crisis". The crisis constitutes a "test", that is to say, it brings evidence. Let us take it as such.

Indeed, during the health crisis, it appears that Companies have helped the Public Authorities to resist the shock, to endure and to get out of the Crisis. They did so by force, but they also took initiatives in this direction. From this too, we must learn lessons for the next crisis that will come. It is possible that this has already started in the form of another global and systemic crisis: the environmental crisis. In view of what we have been able to observe and the evolution of the Law, of the standards adopted by the Authorities but also by the new case law, what can we expect from Companies in the face of this next Crisis, willingly and strength 

Lire ci-dessous les développements.

► Référence complète : A. Beckers, , "L’image juridique évolutive des chaînes de valeur mondiales", Introduction au numéro spéciale les Chaines de Valeur mondiales, Revue internationale de droit économique, 2021, t. XXXV(4), 5-18.

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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 : D. Cabrelli, , "Cartographie du déficit de responsabilité des sociétés transnationales de la Common Law pour les violations des droits de l'homme et des normes du travail à l'étranger", in n° spéc. les Chaines de Valeur mondiales, Revue internationale de droit économique, 2021, t. XXXV(4), 

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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 : S. Koenigsberg and Fr. Barrière, "La construction de l'expertise de l'avocat en matière de Compliance" ("The development of attorney's Compliance expertise"), in M.-A. Frison-Roche (ed.), Les outils  de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 141-146.

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

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► Summary of the article (done by the Journal of Regulation & Compliance): The authors observe that many law firms are now developing expertise in compliance, either in departments or in teams. They emphasize that this expertise is achieved through specialization, which makes it possible to support companies, in Ex Ante (for example in mergers) and in Ex Post (in litigation) in continuum between the two. Moreover, this expertise is built in a collaborative way between the team of lawyers and the company concerned, which reinforces this necessary continuity.

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► Full Reference: C. Granier, "L’originalité normative de la Compliance by design" ("The normative originality of Compliance by design"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 267-278.

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► Full Reference : J.-B. Racine, "Propos introductifs. La prégnance géographique dans le choix et l'usage des outils de la Compliance" ("Introductory remarks. Geographical dominance in the choice of Compliance Tools"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 157-164.

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

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► Summary of the article (done by the Journal of Regulation & Compliance): The author correlates Compliance Law and "Global Law" and underlines the balance of power that the former expresses, in particular on the part of the United States and even if it therefore "tends to become universal" , the particularities remain, if only in the implementation.

Focusing more particularly on "Compliance Tools", a comparison is made between several contributions of the volume, to establish that, in a definitive and desirable way, the Compliance mechanisms include both a global dimension and a local dimension.

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► Full Reference: M.-A. Frison-Roche, "Résoudre la contradiction entre "sanction" et "incitation" sous le feu du Droit de la Compliance" ("Resolving the contradiction between "sanction" and "incentive" under the fire of Compliance Law"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 89-98

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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 more developments, technical references and hyperlinks 

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

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► Summary of the article (done by the Journal of Regulation and Compliance): Compliance and Incentives appear at first glance to be totally opposite. For two major reasons. Firstly, because sanctions have a central place in Compliance Law and that the incentives suppose an absence of constraint on the operators. Secondly, because the incentives are linked to self-regulation and that Compliance Law assumes a strong presence of public authorities. Thus, one should choose: either Compliance or Incentives! Either the effectiveness of one or the effectiveness of the others; either the techniques of one, or the techniques of others; either the philosophy of one or the philosophy of the other. Resign oneself to the waste that such a necessary choice would imply. But to put the terms in this way amounts to thinking poorly about the situations and reducing the fields of the solutions they call for. If we take a rich definition of Compliance Law, we can on the contrary articulate Compliance and Incentives. From this perspective, sanctions can no longer become what blocks the use of incentives but, on the contrary, what constitutes them. Even more, the coupling between the Incentives and the requirements of Compliance Law must be strongly encouraged, as soon as the public authorities supervise in Ex Ante all the initiatives taken by the "crucial operators".

This article deals with the first issue. Indeed, the so-called incentive theory targets mechanisms which do not directly resort to constraint. They would therefore have little place in Compliance Law. But it seems saturated with sanction procedures. We can even say that it seems to put them at the center, the public authorities presenting the number of sanctions as a sign of success, while the companies seem obsessed with their prospects, the two concerns ending in such a strange convergence that are the Convention Judiciaire d'Intérêt Public (non-prosecution agreement).

The honest observer cannot help but be immediately uneasy. Indeed, it can only raise the definition of the sanction as a "constraint" triggered Ex Post, at the very heart of a Compliance Law which is presented as a set of Ex Ante mechanisms. Based on this contradiction in terms, should we give up the association and think that it would be wrong against the spirit to think of the sanction as an incentive?

It is undoubtedly in this connection that one perceives most clearly the clash of two cultures, which do not communicate, while technically they apply to the same situations. Indeed, because Compliance was designed by Finance, everything is a tool for it. Therefore, the tendency to think of the sanction only as an incentive is very strong in Compliance Law, manifests itself continuously and will not stop (I). But whatever the reasons for conceiving it this way, the principles of the rule of law cannot disappear and if we do not want them to be erased, then they must be articulated (II). This is an essential game (II).

This is why we can literally say that Compliance has set Criminal Law on fire by its conception, logical but closed in on itself, of sanctions as simple incentives. In order for Law to remain, however, we must hold a very firm definition of Compliance Law centered on its Monumental Goal, which is the protection of the person.

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► Full Reference: M.-A. Frison-Roche, "Dresser des cartographies des risques comme obligation et le paradoxe des "risques de conformité"" ("Drawing up risk maps as an obligation and the paradoxe of the "compliance risks""), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 53-62.

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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, Les outils de la Compliance, in which this article is published

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► Summary of the article (done by the Journal of Regulation & Compliance): There are few synthetic or theoretical studies on Risk Mapping even though it is in fact the Compliance central tool, perhaps because it is more a management tool than a legal one. Risk Mapping is often described but does not receive any other legal qualifications than being a "modality", suffering in this respect from an evil which affects the whole of Compliance, still little understood by Law, attention often so focused on the Ex Post (sanctions) while Compliance is by nature in the Ex Ante. Going from disarray to incomprehension, everyone can note the existence of "compliance risks" among the mapped risks, because if as so many affirm that it would be necessary to speak only of simple conformity as obedience, demonstrated in Ex Ante, to Law, how a sub-set of a tool would therefore have the same object as the set of Law that this tool serves ... This aporia can only be resolved if Compliance Law is defined substantially by its "monumental goals" which exceed obedience to regulations.

Consequently, Law taking up Risk Mapping, this mechanism may first appear as an ancillary obligation to the main obligation consisting in achieving "monumental goals". The ancillary obligation to draw up the maps is an obligation of result, while the main obligation to achieve the monumental goals is an obligation of means. These cartographies being very diverse and being only occasionally targeted by specific laws, it can also constitute only a legal fact or, through the play of various charters, a unilateral legal commitment. But it isnbecoming the basis of an autonomous legal obligation incumbent on enterprises in position to know certain risks, obligation referring to the existence of a subjective right tof knowing and measuring them ("right to be worried") which the third parties who are going to run them would hold, thus allowing them to choose to run them, or not.

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► Full Reference : L. Pailler, "Les outils technologiques, la Compliance by design et le RGPD : la protection des données dès la conception" ("Technological tools, Compliance by design and GDPR: the protection of personal data from design"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 279-286.

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

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► Summary of the article (done by the Journal of Regulation & Compliance): The author considers that the GDPR has changed the "paradigm" of data protection for the bearer in Compliance, in that the data controllers must ensure the effectiveness of the rules defined by the Regulation, which they make accounts. In addition, the data, processed by the algorithm, is a “means of compliance” described and is used for vigilance plans and all the other tools, this brick being common to all Compliance Law. To respect Law, and in particular to protect people, Compliance by design continues to integrate "compliance" from the design of its tools through standard techniques (Privacy Enhancing Technologies - Pet's), legalized by the GDPR.

The author analyzes the technological means of data protection from the design of the tool, which complement Law and the contract. They are part of the "measures" required to protect people, for example transfers to third countries, these technological means being classified according to their degree of effectiveness. If the principle is free in the choice of technology, but Law requires and controls that it be not only effective but also robust, easy to use and compatible with the tools of use. The author emphasizes that the notion of "effectiveness" encompasses these particular requirements. This effectiveness, which must be proven a priori ("documented") is checked by the Authorities in the appropriateness of the measurement techniques, their effective implementation and their concrete effect.

Even if this is only subject to the state of the art, it must develop its technical resources, helped by the authorities (cf. "compliance pack" of the CNIL (French data regulator)). Even if the powers were aimed at optimizing costs, he must bear them, the context and the purpose of the processing do not ultimately become proportional. So if the risk is very high for people, it will be necessary to insert techniques and protectors other than those of Compliance Law.

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► Full Reference: L. Benzoni and B. Deffains, "Approche économique des outils de la Compliance: finalité, mesure, effectivité de la Compliance "subie" et "choisie"" ("Economic approach of Compliance Tools: purpose, measurement, efficiency of Compliance "undergone" and "chose""), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, pp. 39-50.

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

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► Summary of the article (done by the Journal of Regulation & Compliance): Authors refer to economic analysis of Law general works to say that firms can have an interest in showing by anticipation that they comply to Law in a long term strategy of reputation and reliability, this internalization imposed by Compliance and transformed by the Corporate Social Responsibility benefiting to the firm and its choice being related thus to rationality and not to emotion. 

Thus the mechanisms of Compliance stop to be "imposed", the firm just minimizing the perspective of a future sanction, to be "chosen", the firm taking freely a responsibility, for example in the environnemental or human rights protection fields, going beyond legal requirements (what "monumental goals" corresponds to, which goes beyond the interest of partners and of the legal obligation). The investment calculus is more difficult for the second one, hardly measurable, than for the first one (probability calculus). The loi PACTE leaves room to a "chosen Compliance" but we badly measure its effectivity: we wait case law in its use of obligation Law. Moreover, if the status of "entreprise à mission" is adopted, the goal becomes statutorily binding and the governance of the firm must be modified for the internal control of means implemented. But, supposing that companies only search competitive avantages, it is only about, through this general interest service, conquering new benefits, the lucrative purpose of chosen Compliance showing the liberal character of Compliance. 

The authors underline that this "chosen Compliance" implies evaluation and analysis tools different from those used for "imposed Compliance". In "imposed Compliance", it is about, taking back Gary Becker's works, considering risk aversion, the firm calculating its likelihood to be punished or not with regards to the gain obtained with the infringement (dependent on those who conceive Law to design it according to the model of incentives) and to the cost generated by the intern Compliance tools. The authors underline that the uncertainty of legal solutions, and there the importance of soft law, makes these calculus harder and that rationality of agents is not total, the perspective of being punished being rejected in itself while the respect of the rule is rather natural, the firms being so "honest" (theory of cognitive bias) and not wanting to be singled out (name and shame). Behavioral economics thus privileges "imposed Compliance", beyond cost-advantage calculus. 

In the case of "chosen Compliance", it is competition economics which draws solutions, because the firm imposes to itself a constraint to get a competitive advantage of it, in that these self-imposed constraints meet societal demands, external (for example, environnement) or internal (for example, cohesion into the firm). The external gains are the positive image of the firm with regards to the reputation of its competitors. These investments lose their efficacy because all the firms adopt the same, what by the way transform these practices in common legal norms. Internal gains are measured in organizational sociology by the adhesion to the firm's project, reducing the internal inefficiency in a superior to investment profit.  

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► Full Reference: A. Banck, "La maturité de l’utilisateur d'un outil de Compliance, premier critère du choix de l’outil adéquat" ("The maturity of the Compliance Tool’s user, first criterion of the choice of the salient tool"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 209-212.

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

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► Summary of the article (done by the Journal of Regulation & Compliance): The author insists on the practical necessity for the firm to show immediately the documents attesting of the reality of Compliance mechanisms. IT tools helps companies to do that, but the crucial point is that everyone in the firm appropriates these tools. 

To obtain it, it is necessary that the Compliance officer does not necessarily choose the tool which suits him or her best and pleases him or her the most but rather suits the one who will handle it, for example commercial teams on the ground, monitoring that the tool integrates the specificity of the sector and of the firm. The adjustment of the softwares must meet a maturity of its users in the firm, which must have a "culture of compliance" to take advantage of its tools. Thus more rudimental tools can be more efficient if the culture of Compliance is still weak, sophisticated tools could be unuseful if a prior minimum basis is not reach. 

The author thus shows the link to be made between the maturity of the users and the technicality of the tools, the two having to progress together.

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General reference : Frison-Roche, M.-A. (ed.), Les outils  de la Compliance, series "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) & Dalloz, 2021.

In parallel, the book is published in an English version Compliance Tools, co-edited by the Journal of Regulation & Compliance (JoRC) and Bruylant. 

This book follows a cycle of conferences organized by the Journal of Regulation & Compliance and by its partner universities. 

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See the collection Regulation & Compliance in which the book has been published. 

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General presentation of the book : The political dimension of Compliance Law resides in the monumental goals that it aims for and which define it. These goals are internalized in "crucial operators", who willingly or by force must structure themselves and act to achieve "monumental goals", as set by public authorities and which may coincide with the interests of the enterprise. This one designs and controls the Ex Ante reorganization that this implies, under the public authorities supervision. Enterprises, even if their activities are not regulated, thus become transparent and must show the Compliance Tools effectively deployed to effectively achieve these goals. It is a major transformation of economic life in all countries because the Compliance Tools are adopted everywhere and have a global effect.

These appear to be very diverse but their unity is profound and bringing it out has the practical benefit of producing a legal regime that is as unified as possible, while allowing their adaptation country by country, sector by sector, enterprise by enterprise. 

This book aims to understand these Compliance Tools to better anticipate the assessment that will be made by Regulators, Supervisors and Courts, as well as the new conceptions of the authors of legal texts which impose new ones every day, while companies must also imagine the most appropriate Compliance Tools.

This collective work specifically apprehends those on which we have few studies when we handle them on a daily basis, such as risk mapping or training or rights, letting more familiar tools shine through more transversal contributions, such as compliance programs, sanctions, whistleblowing or many sorts of settlements, agreements of public interest.

A first chapter takes a legal and economic approach. A second chapter emphasizes the role of risk mapping. A third chapter draws the game of incentives. A fourth chapter identifies the expertise required. A fifth chapter insists on geographic significance. A sixth chapter details the measurement of effectiveness. A seventh chapter explores training. The eighth chapter examines technological tools. The concluding article leads to rights.

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Read the general presentation of the book, including the table of contents and the introduction (in French).

Read the presentations of the articles of the book :

• Amico, Th., La Compliance ou le passage de l'ex post à l'ex ante: une révision copernicienne pour l'avocat pénaliste ?

• Banck, A., La maturité de l’usager de l’outil de la Compliance, premier critère du choix de l’outil adéquat

• Benzoni, L., and Deffains, B., Approche économique des outils de la Compliance: finalités, effectivité et mesure de la Compliance "subie" et "choisie"

• Burlingame, R., Coppens, KK, Power, N. & Lee, D.H., Compliance : lutte internationale contre la corruption et gestion du risque

• Calandri, L., Incitation(s) et autorégulation(s): quelle place pour le Droit de la Compliance dans le secteur audiovisuel?

• Causse, H., La formation en Compliance, par et au-delà de la formation classique

• Frison-Roche, M.-A., Décrire, concevoir et corréler les outils de la Compliance, pour en faire un usage adéquat

• Frison-Roche, Construire juridiquement l'unité des outils de la Compliance à partir de la définition du droit de la Compliance par ses "buts monumentaux"

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• Frison-Roche, M.-A., Compliance et incitations, un couple à propulser

• Frison-Roche, M.-A., Résoudre la contradiction entre incitations et sanctions sous le feu du Droit de la Compliance

• Frison-Roche, M.-A., Dresser des cartographie des risques comme obligation et le paradoxe des "risques de conformité"

• Frison-Roche, M.-A., Compliance : contenu et contenant du Droit de la Compliance 

• Frison-Roche, M.-A., Les droits subjectifs, outils premiers et naturels du Droit de la Compliance

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• Galland, M., Le contrôle par le Régulation de l'effectivité des instruments de compliance

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• ​Granier, C., L'originalité normative de la Compliance by design

• Guillaume, N., Cartographie des risques de compliance : premiers aperçus des enjeux,des limites et des bonnes pratiques

• Gutierriez-Crespin, A., L’audit du dispositif de compliance : un outil clé pour en vérifier la robustesse

• Koenigsberg, S. et Barrière, Fr, La construction de l'expertise de l'avocat en matière de compliance

• Larouer, M., Les manifestations des mécanismes incitatifs dans le Droit français de la Compliance

• Merabet, S., La morale by design

• Pailler, L., Les outils technologiques, la Compliance by Design et le RGPD: la protection des données personnelles dès la conception

• Racine, J.-B., La prégnance géographique dans le choix et l'usage des outils de la Compliance

• Rapp, L., Théorie des incitations et gouvernance des activités spatiales

• ​Roda, J.-C., Compliance by Design en antitrust: entre innovation et illusion

• Salah, M., Conception et application de la Compliance en Afrique

• Tardieu, H., Souveraineté des données et Compliance

• Thouret, T., Formation et Compliance, deux outils corrélés de transmission d'information

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► Full Reference: S. Merabet, "La morale by design" ("Morality by design"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 287-298.

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

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► Summary of the article (done by the Journal of Regulation & Compliance): After having wondered about the relationship between Law and Morality, for which it is difficult to find points of contact, the author advances the hypothesis that the latter could find a space of concretization in the technology of artificial intelligence, even though many are worried about the deleterious effects of it. The author considering that Compliance is only a method while ethics would be the way in which morality is incorporated in a relaxed way in Law, the technology known as Artificial Intelligence could therefore express the moral rule ("compliance by design could be the appropriate tool to ensure the effectiveness of moral rules without falling into the excesses envisaged").

The author draws on examples to estimate that thus technology for on the one hand expressing the moral rule and on the other hand making it effective. The moral rule can thus be drawn up in a balanced way since it is jointly developed between the State and the economic operators, this collaboration taking the form of general principles adopted by the State using the means chosen by the company. Its content would also be characterized by the search for a "right balance", which would be found by this distribution between the primary moral principles whose expression would be the act of the State and the secondary moral principles whose expression would be delegated to companies.

Taking therefore what would be the principles of Compliance, the author applies them to Artificial Intelligence, showing that these technologies include not only the principle of neutrality but also the ethical principles of non-maliciousness, even of benevolence. (first principles) that companies then decline into secondary principles. Therefore, "compliance can usefully be used to convert these fundamental moral principles into derived moral rules, a source of greater effectiveness.".

Thus resulting in a "moral by design", the overall system has an additional effectiveness tool. This supposes that the fundamental and derived rules are of an acquired moral quality because for the moment the technological tool can only ensure their effectiveness and not the moral quality of the implemented rules. In determining the "moral rules of application", the company has margins of freedom, used through technological tools.

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► Full Reference: M. Galland, "Le contrôle par le régulateur de l’effectivité des instruments de Compliance mis en place par l’entreprise", in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, p. 195-208.

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

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► Summary of the article (done by the Journal of Regulation & Compliance): The author underlines the complexity of the measure of the effectivity of compliance tools because the measure of the risks cannot be mechanical, the exercise is a cost whose the advantage does not appear immediately, the essential is in the behaviors that the firm masters with difficulty while these are results that are evaluated, because Compliance tools must be effective and produce tangible results. 

To do that, the regulator intervenes in Ex Ante in order to the applicable texts are understandable by the firm and in order to the tool is working. When a noncompliance occurs, the regulator must beyond the sanction build on this measure of ineffectiveness to lead operators to improve their systems. Thus, it is in terms of "Compliance effort" that the regulator's control works, especially through the observation of an "embodied exemplarity". 

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► Full Reference: M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) & Dalloz, 2021, 323 p.

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

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📅This book comes after a cycle of colloquia organised 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 other books ' presentations of the collection about Compliance:

📕M.-A. Frison-Roche (dir.), L'obligation de compliance, 2025

📕M.-A. Frison-Roche et M. Boissavy (dir.), Compliance & Droit de la défense, 2024

📕 M.-A. Frison-Roche (ed.), La juridictionnalisation de la Compliance, 2023

📕 M.-A. Frison-Roche (ed.), Les Buts Monumentaux de la Compliance, 2022

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

📕 N. Borga, J.-Cl. Marin, J.-Ch. Roda (ed.), Compliance : l'Entreprise, le Régulateur et le Juge, 2018

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

📕 M.-A. Frison-Roche (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: The political dimension of Compliance Law resides in the monumental goals that it aims for and which define it. These goals are internalized in "crucial operators", who willingly or by force must structure themselves and act to achieve "monumental goals", as set by public authorities and which may coincide with the interests of the enterprise. This one designs and controls the Ex Ante reorganization that this implies, under the public authorities supervision. Enterprises, even if their activities are not regulated, thus become transparent and must show the Compliance Tools effectively deployed to effectively achieve these goals. It is a major transformation of economic life in all countries because the Compliance Tools are adopted everywhere and have a global effect.

These appear to be very diverse but their unity is profound and bringing it out has the practical benefit of producing a legal regime that is as unified as possible, while allowing their adaptation country by country, sector by sector, enterprise by enterprise. 

This book aims to understand these Compliance Tools to better anticipate the assessment that will be made by Regulators, Supervisors and Courts, as well as the new conceptions of the authors of legal texts which impose new ones every day, while companies must also imagine the most appropriate Compliance Tools.

This collective work specifically apprehends those on which we have few studies when we handle them on a daily basis, such as risk mapping or training or rights, letting more familiar tools shine through more transversal contributions, such as compliance programs, sanctions, whistleblowing or many sorts of settlements, agreements of public interest.

A first chapter takes a legal and economic approach. A second chapter emphasizes the role of risk mapping. A third chapter draws the game of incentives. A fourth chapter identifies the expertise required. A fifth chapter insists on geographic significance. A sixth chapter details the measurement of effectiveness. A seventh chapter explores training. The eighth chapter examines technological tools. The concluding article leads to rights.

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► Read the general introduction of the book (in French).

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► Understand the book through the Table of Contents and the summaries of each article:

INTRODUCTION 

🕴️M.-A. Frison-Roche, 📝Décrire, concevoir et corréler les outils de la compliance, pour en faire un usage adéquat

I. APPROCHES JURIDIQUE ET ÉCONOMIQUE DES OUTILS DE LA COMPLIANCE (LEGAL AND ECONOMIC APPROACHES TO COMPLIANCE TOOLS)

🕴️M.-A. Frison-Roche, 📝Approche juridique des outils de la compliance. Construire juridiquement l'unité des outils de la compliance à partir de la définition du Droit de la compliance par ses "buts monumentaux"

🕴️L. Benzoni et 🕴️B. Deffains, 📝Approche économique des outils de la compliance : finalité, mesure, effectivité de la compliance "subie" et "choisie"

II. LA CARTOGRAPHIE DES RISQUES, OUTIL CENTRAL DE LA COMPLIANCE (RISK MAPPING, CENTRAL COMPLIANCE TOOL)

🕴️M.-A. Frison-Roche, 📝Dresser des cartographies des risques comme obligation et le paradoxe des "risques de conformité"

🕴️N. Guillaume, 📝Cartographie des risques de compliance. Premiers aperçus des enjeux, des limites et des bonnes pratiques

III. PLACE ET MANIEMENT DES INCITATIONS DANS LES SYSTÈMES DE COMPLIANCE (PLACE AND USE OF INCENTIVES IN COMPLIANCE SYSTEMS)

🕴️L. Rapp, 📝Théorie des incitations et gouvernance des activités spatiales

🕴️M.-A. Frison-Roche, 📝Résoudre la contradiction entre "sanction" et "incitation" sous le feu du Droit de la compliance

🕴️M. Larouer, 📝La manifestation des mécanismes incitatifs dans le droit français de la compliance

🕴️H. Tardieu, 📝Souveraineté des données et compliance

🕴️L. Calandri, 📝Incitation(s) et autorégulation(s) : quelle place pour le droit de la compliance dans le secteur audiovisuel?

🕴️M.-A. Frison-Roche, 📝Compliance et incitations : un couple à propulser

IV. LES EXPERTISES REQUISES EN MATIÈRE DE COMPLIANCE (THE REQUIRED EXPERTISES IN TERMS OF COMPLIANCE)

🕴️A. Gutierrez-Crespin, 📝L’audit du dispositif de compliance : un outil clé pour en vérifier la robustesse

🕴️S. Koenigsberg et 🕴️Fr. Barrière, 📝La construction de l'expertise de l'avocat en matière de compliance

🕴️Th. Amico, 📝La Compliance ou le passage de l'ex post à l'ex ante. Une révolution copernicienne pour l'avocat pénaliste ?

V. LA PRÉGNANCE GÉOGRAPHIQUE DES OUTILS DE LA COMPLIANCE (THE GEOGRAPHICAL DOMINANCE OF COMPLIANCE TOOLS)

🕴️J.-B. Racine, 📝Propos introductifs. La prégnance géographique dans le choix et l'usage des outils de la compliance

🕴️M. M. Salah, 📝Conception et application de la compliance en Afrique

🕴️R. Burlingame, 🕴️K. Coppens, N. Power et 🕴️D.H. Lee, 📝Compliance : lutte internationale contre la corruption et gestion des risques

VI. LA MESURE DE L'EFFECTIVITÉ DES OUTILS DE LA COMPLIANCE (THE MEASURE OF COMPLIANCE TOOLS EFFECTIVITY)

🕴️M. Galland, 📝Le contrôle par le régulateur de l'effectivité des instruments de compliance mis en place par l'entreprise

🕴️A. Banck, 📝La maturité de l’utilisateur d'un outil de compliance, premier critère du choix de l’outil adéquat

VII. LA FORMATION, ALPHA ET OMÉGA DE LA COMPLIANCE (TRAINING, ALPHA AND OMEGA OF COMPLIANCE)

🕴️H. Causse, 📝La compliance : par et au-delà de la formation juridique classique

🕴️M.-A. Frison-Roche, 📝La formation : contenu et contenant de la compliance

🕴️Th. Thouret, 📝Formation et compliance : deux outils corrélés de transmission d'information

VIII. LES OUTILS TECHNOLOGIQUES ET LA COMPLIANCE BY DESIGN (TECHNOLOGICAL TOOLS AND COMPLIANCE BY DESIGN)

🕴️J.-Ch. ​Roda, 📝La compliance by design en antitrust : entre innovation et illusion

🕴️C. Granier, 📝L'originalité normative de la compliance by design

🕴️L. Pailler, 📝Les outils technologiques, la compliance by design et le RGPD : la protection des données dès la conception

🕴️S. Merabet, 📝La morale by design

CONCLUSION

🕴️M.-A. Frison-Roche, 📝Les droits subjectifs, outils premiers et naturels du Droit de la compliance

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► Full Reference: M.-A. Frison-Roche, "La formation : contenu et contenant de la Compliance" ("Training: content and container of Compliance"), in M.-A. Frison-Roche (ed.), Les outils de la Compliance, coll. "Régulations & Compliance", Journal of Regulation & Compliance (JoRC) and Dalloz, 2021, pp.. 227-244.

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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, Les outils de la Compliance, in which this article is published

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► Summary of the article (done by the Journal of Regulation and Compliance): Firstly, as Training is a specific Compliance tool, it is supervised by Regulators. It becomes mandatory when it is contained in Compliance programs or sanction decisions. Since effectiveness and efficiency are legal requirements, what is the margin of companies to design them and how to measure the result?

Secondly, as long as each Compliance tool includes, more and more, an educational dimension, we can take each of them to identify this perspective. So even condemnations and prescriptions are so many lessons, lessons given, lessons to be followed. The question is then to know who, in this so pedagogical Compliance Law, are the "teachers"?

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