Food for thoughts

Référence complète : C.E., 10 juillet 2020, Association des Amis de la Terre France et autres

Lire la décision.

Sur le site du Conseil d'Etat, cette décision est nommée "Pollution de l'air".

On peut y lire aussi le communiqué de presse.

Le lien numérique qui mène à cette décision (slug) a pour titre "decision-importante".

► Full reference: M.-E. Boursier, "Qu'est-ce que la compliance ? Essai de définition", D. 2020, Chron., p. 1419-1424. 

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► Summary of the article (done by the author, in French): Au-delà de la diversité de ses sources et de ses finalités, de la variabilité de sa valeur normative et des sanctions encourues, apparaît un élément commun à toutes les déclinaisons de la compliance : la méthode par laquelle elle se déploie.

La compliance se définit avant tout comme une méthode, inspirée des théories de la procéduralisation du droit. Elle consiste en une « internalisation », par l'entreprise et dans l'entreprise, de systèmes de conformité (cartographie des risques, procédures, vigilance, alerte) qui conduisent in fine les opérateurs économiques à assister les États dans la réalisation de leurs missions (lutte contre les grandes infractions du droit pénal des affaires internationales comme le blanchiment et la corruption, respect des droits humains, etc.).

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Référence complète : Frison-Roche, M.-A., participation à la Table-ronde du Campus du Barreau de Paris, sur "Le droit de la compliance : une solution pour les crises présentes et à venir ?", 9 juillet 2020. 

Consulter la présentation des intervenants à cette table-ronde. 

Présentation par les organisateurs du sujet discuté par les participants à la Table-ronde : 

"Crise sanitaire, crise économique, urgence climatique … les réponses étatiques ou inter-étatiques ont-elles montré leurs limites dans la gestion de ces crises ou restent-elles incontournables ?

Faut-il au contraire envisager, via le droit de la compliance, d’impliquer et de responsabiliser davantage les entreprises pour une meilleure prévention de ces risques à l’échelle planétaire?".

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Consulter les slides servant de support à la présentation générale du thème, ouvrant cette Table-Ronde. 

Cette intervention s'adosse notamment à une étude précédemment écrite affirmant que le Droit de la Compliance est une branche nouvelle du Droit apte à prévenir et à gérer les crises sanitaires, présentes et futures : Compliance Law, Health Crisis and Future, 2020. 

► Référence complète : L.-M. Augagneur, "Les aspects relatifs à la circulation des données dans les programmes de conformité en droit de la concurrence", in J.-Ch. Roda (dir.), Compliance et droit de la concurrence : nouveaux défis, nouveaux enjeux, Revue internationale de la compliance et de l'éthique des affaires, n° 3, juin 2020, étude 111, pp. 21-25.

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► Résumé de l'article (fait par l'auteur) : "The risk assessment of antitrust practices involving datas could be uncertain in consideration of the increasing production and circulation of datas, their algorithmic use, and the intricate operation of the concerned markets. Far from being limited to a standard system or technology solutionism, relevant compliance programs should rely on the own advocacy policy of the firm. This policy can be designed by identifying competition key factors and habits implemented throughout the data’s life cycle." (traduction libre : "L'évaluation des risques liés aux pratiques antitrust impliquant des données pourrait être incertaine compte tenu de la production et de la circulation croissantes des données, de leur utilisation algorithmique et du fonctionnement complexe des marchés concernés. Loin de se limiter à un système standard ou à un solutionnisme technologique, les programmes de conformité pertinents devraient s'appuyer sur la politique de défense des intérêts de l'entreprise. Cette politique peut être conçue en identifiant les facteurs clés de la concurrence et les habitudes mises en œuvre tout au long du cycle de vie des données.")

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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, "Compliance et antitrust. Le discours de la méthode", in J.-Ch. Roda (dir.), Compliance et droit de la concurrence : nouveaux défis, nouveaux enjeux, Revue internationale de la compliance et de l'éthique des affaires, n° 3, juin 2020, étude 109, pp. 11-15.

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► Résumé de l'article (fait par l'auteur) : "The discourses of the competition authorities are essential for the dissemination of the compliance culture. Their comparative analysis reveals significant divergences that may explain the differences in compliance adherence." (traduction libre : "Les discours des autorités de concurrence sont essentiels pour la diffusion d'une culture de compliance. Leur analyse comparative révèle des divergences significatives, qui peuvent expliquer les différences d'adhésion à la compliance.")

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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 : Department of Justice & Securities & Exchanges Commission, FCPA Ressource Guide, June 2020, 132 pages.

Lire le document (en anglais). 

Full reference: Faure-Muntian, Valeria and Fasquelle, Daniel, Information Report of the Commission des Affaires économiques (committee on economic affairs) on digital platforms, Assemblée National (National Assembly), June 2020, 104p.

Read the Report

Full reference: Rapport sur la responsabilité des sociétés et de leurs dirigeants en matière sociale et environnementale et examens des conséquences juridiques associées aux modifications apportées à l'article 1833 et 1835 du Code Civil, Haut Comité Juridique de la Place Financière de Paris, 19th of June 2020

Read the report

Like the precedent cycles dedicated to the general topic of Compliance, aiming to build a "Compliance Law" and aiming also to be published in the series Regulation & Compliance, coedited by the Journal of Regulation & Compliance and Dalloz, this cycle continues to deepen a specific aspect of this emerging branch of Law which has been applied before being designed.  

The year 2020-2021 will give rise to two full and distinct cycles, the former deepening a key concept of Compliance Law, that are "monumental goals" and the later deepening a phenomenon with multiple roots and consequences: "the juridictionnalization of Compliance". 

The juridictionnalization of Compliance is perhaps as ancient as Compliance mechanisms themselves.  

These various conferences will take place in different places, according to the role played by the very numerous universities which, this year once again, support the Journal of Regulation & Compliance for the realization of this cycle. This cycle will give rise to two books, one in French: La Juridictionnalisation de la Compliance, and the other in English : Juridictionnalization of Compliance. 

This cycle of colloquia The juridictionnalization of Compliance will start in October 2020 and will take place until December 2021.

♾️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, The dreamed Compliance Law, Working Paper, June 2020. 

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This Working Paper, "The Dreamed Compliance Law", is the basis for an article, written in French, "La compliance" (Compliance), inserted in the collective work to be published under the direction of Jean-Baptiste Racine, Le Droit économique du XXIème siècle (The XXIe century Economic Law , in the Serie Droit & Economie,   LGDJ-Lextenso, 2020.

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No one can know what the Law of the 21st century will be. Pretending to know it is just not to realize its ignorance. Why then writing about it, since the future is always surprising?

One can only write about the unknown part of the Law of tomorrow. If the future is then modeled on what was written, so much the better for the prophet, a tribute that can, for example, be paid to Pierre Godé!footnote-1813 who described in 1999 what was going to be 10 years later "Law of the future" constituted by Environmental Law!footnote-1804. If the future denies the author or if its contours in no way follow the lines of the written word, this is not serious since the writing of the Law, even if it has the specificity of being partly prescriptive in that it has the power to write the future, a normative pen that rounds up letters!footnote-1805, it participates in all writing: above all to be that of a dream.

Lévi-Strauss argued that teaching is defined as dreaming out loud. Teaching and describing the Law of a century that we will never know gives even more freedom to dream about it. This freedom increases when the object is a branch of Law in the process of being born, state of the stammering "Compliance Law" of which some still maintain, as it was made for Regulation Law, that there is not existing. The hand can then, as it pleases, trace its beautiful or hideous features: what face will Compliance Law have, as soon as we assume that it will exist?

It may as well be a nightmare (I) as a happy dream (II).

It is up to us to choose in which category this branch of Law will flourish. Because what we can be sure of is this fulfillment. It is certainly already taking sides to presuppose the very existence of Compliance Law. Not only to consider it possibility with hostility because to be an enemy of something or someone is already to recognize their existence. Before that, two objections radically block the very existence of Compliance Law and their shadow remains in the future of it!footnote-1809.

Firstly, it is said that Compliance does not come under Law, but for example only ethics since it would consist in keeping well in companies which care about the interest of others or the planet, for example by spontaneous care of the environment; Compliance being a crystallization of social responsibility, the one for which we have our conscience, we express our "raison d'être" and we are not accountable!footnote-1807. Or it would consist in technologically putting in place tools for capturing technical information using data storage and processing methods. Compliance is then a sub-category of "Data Regulation"!!footnote-1814, a mechanical concept in which Law is no more present. In these two perspectives, Compliance Law cannot exist, no more tomorrow than it would exist today. These two radical conceptions, completely entrusting Compliance mechanisms to everyone except lawyers, do not make sense because it suffices to note the development of judgments and laws to measure the legal phenomenon already present!footnote-1808.

Second, there would be many Compliance mechanisms but insufficient to constitute a branch of Law. Indeed we would find Compliance in Company Law, Labor Law, Financial Law, Banking Law, Criminal Law, Administrative Law, European Law, International Law, etc.

These classic branches, which have been formed for so long, depending on the point of view adopted, would gain in modernity or be threatened with decay by this kind of extension which will be Compliance. There would thus be as many "little legal sectoral rules" as there are branches of law. These new internal developments would be like a new bud, on which care should be taken - if the tree regains its strength - or a weed to be eradicated - if the French garden loses its perspective.

Thus the matter being scattered as many as specialist lawyers, often criminalists or specialists in banking and Financial Law, then tomorrow all specialists in all branches of Law, this could constitute the most radical obstacle to the constitution of Compliance Law. Indeed, we would come back to confuse Compliance and the "modernization" of Law itself as a whole, since it would only be a question of perfecting each of the classic branches of the legal system.

If we keep in this half-sleep that is any projection in the future the hope of a constituted branch of Law, we must discard these two perspectives of annihilation, either in the total absence of Law or in recovery by all Law. To dismiss the sorrowful spirits who see no future in Compliance and keep only its enemies in the space of this article, let us assume that Compliance Law will exist in the 21st century. In what form and by what means, in the palm of which institutions, in the shadow of which legal system? Since it is a question of projecting ourselves onto the black screen of our nights of dreamy lawyers, let us take the current state only as a trailer. Like the one developed by the genius who by the contempt not only brought down into the flames of hell the cinema which has become a consumer industry with which producers force-feed us but offered us the vision of its future. What is what we see today the trailer? We let our imagination run wild since the trailer films are autonomous works compared to the film which follows them.

We have no idea what will happen and what we are watching from the brief and violent current images of Compliance Law, the cinema of which rather makes a hero of the whistleblower!footnote-1811 and a character of the narrow and ridiculous importance of the compliance officer!footnote-1812, does little to help us. But if we force the features of the present lineaments, the alternative of this Law in childhood is therefore that of a nightmare (I) or an idyllic solution for difficulties that will increase (II).

Everything will depend on the concept that we will retain of Compliance Law. Because the script is not written, because Compliance Law is a Law with a political dimension, that it is defined by the ambitions that we can claim to have by setting monumental goals that we are going to achieve, a claim that will make it one major branch of the Law of tomorrow, or we can abandon any claim, lower our heads and arms, and reject any claim. It is then that the power of Compliance Law, which will be no less great, will turn against us, human beings, as in a nightmare.

Full reference: Salah, M. M., The Legal Framework for New Silk Roads: a Globalized Law at the Service of a Global ambition. When China Discovers the Virtues of Globalization of Law, International Business Law Journal, n°3, 2020, p. 319-351

This article is available for Sciences Po's students via the Drive in the folder MAFR Regulation et Compliance

Full reference: White Paper on Leveling the Playing Field as Regards Foreign Subsidies adopted by European Commission on 17th of June 2020, 49p.

Read the report

► Full Reference: Conseil national des barreaux (CNB) and Centre de recherche et d'étude des avocats (CREA), Guide. L'avocat français et les enquêtes internes (Guide. The French attorney and the internal investigations), June 2020.

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► read the guide (in French)

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Full reference: Fasterling, B., "Criminal Compliance - Les risques d'un droit pénal du risque", Revue internationale de droit économique, 2016/2 (t.XXX), p. 217-237

Read the article.

Full reference : Quéméner, M., Dalle, F. and Wierre, Cl., Quels droits face aux innovations numériques ? Législations, jurisprudences et bonnes pratiques du cyberespecac. Défis et protections face aux dérives du numérique, preface by Agathe Lepage, Gualino-Lextenso, 223 pages, 2020.

Read the back cover.

Read the table of contents.

Read the preface.

Full reference: CA Paris, i7, Iliad, 4th of June 2020, n° 19/11454

Read the judgment (in French)

Full reference: Frison-Roche, M.-A., L'impossible unicité juridique de la catégorie des "lanceurs d'alertes" ("The impossible legal unicity of the category of "whistleblowers""), in Chacornac, J. (dir.), Lanceurs d'alertes, regards comparatistes, ("Whistleblowers, comparative perspectives"), Publications of the Centre français de droit comparé ("French Comparative Law Center"), May 2020, Volume 21, p.13-31. 

Read the article (in French).   

Read the general presentation of the collective book in which this article is published

Read the bilingual working paper which had served of basis for this article. 

Read the presentation of the conference "Les lanceurs d'alertes: glose" (Whistleblowers: glose") and especially the slides elabored for the colloquium organized by the Centre français de droit comparé ("French Comparative Law Center") on 23th of November 2018 under the direction of Jérôme Chacornac

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Introduction of the article

"Whistleblowers". This is a new expression. Which is a great success. Barely heard once, we hear it everywhere ...

A topic not of course or knowledge test, but rather a topic of daily conversation. Because it is spoken to us every day, in more or less gracious terms. For example President Donald Trump on October 1, 2019 declared to the press "want to question" the whistleblower who would have illegally denounced him and would not, according to him, have the right to conceal his identity, proof in this according to him of the lying character of his assertions against him, while his lawyer indicates on October 6, 2019 that he is not speaking on behalf of a single whistleblower thus taken to task but of a plurality of people who gave information against the President of the United States. Even the most imaginative screenwriters would not have written such brutal and rapid twists and turns. Spectators, we are waiting for the next episode, secretly hoping for the escalation.

And precisely if we go to the cinema, it is still a whistleblower whose dedication and success, we are told about, even the drama, for the benefit of global society, and in particular democracy, since the secrets are fought for the benefit of the truth. The Secret Man designates Mark Felt as the first whistleblower. Returning to what we often present as being a more "serious" media!footnote-1391, we listen to France-Culture and here is another story told by a historian who worked as an archivist on events that political power would have liked to keep hidden by possibly destroying their traces but which its trade led to preserve: here it is expressly presented to the studious listeners like a "whistleblower" .... While the same radio tries to find the one who could well be, as in a kind of contest the "first whistleblower"!footnote-1727? .... This rewriting of History can be defended because ultimately what did other Voltaire do for Calas, or Zola for Dreyfus?

It is also a subject of legislative discussion since in the United States the Dodd-Frank law of 2010 inserted in the law of 1934 which established the Securities & Exchanges Commission a complete device of remuneration and remuneration of the whistleblowers, whereas after having developed flexible but guiding lines in this regard in 2012!footnote-1698, the European Commission published on November 20, 2018 the text of what will become a Directive intended to give a unified European status to the character, in the system gradually developed to protect the one who was presented in 2018 as that "cannot be punished for having done what is right".

In Europe, the Directive first approved by a Resolution of the European Parliament on April 16, 2019 on the protection of persons denouncing breaches of Union Law and then adopted on October 7, 2019 (Directive of the European Parliament and of the Council of European Union on the Protection of Persons who Report Violations of European Union Law, different title, it should be noted, will have to be transposed into the laws of the Member States within the next two years. , since only "violations of Union Law" are targeted, but the character of the "whistleblower" is more generally targeted: he is "whole"!footnote-1699.

In short, the whistleblower is a star!footnote-1390. A sort of historical figure, covered in blows and glory, going from Voltaire to Snowden, both of whom find themselves embodied on the screens!footnote-1681 ....,

Consecrated by law, which associates with it a legal regime of protection to such an extent that, like a Nessus tunic, it is this legal regime which will define the character and not the reverse. When we read the law of December 9, 2016 relating to transparency in the fight against corruption and the modernization of economic life, known as "Sapin 2", we notice that the Legislator makes much of this character, since 'he dedicates its chapter II to him!footnote-1682: "From the protection of whistleblowers", and that it is by his very protection that he formally opens the door of Right to him.

But why a plural? Admittedly when we read the recitals of the Community Directive of October 7, 2019 on the protection of whistleblowers!footnote-1702, it is only a list of all the subjects on which it is a good idea to protect them, which therefore prompts us to see in this plural only the index of this non-exhaustive list of subjects which it is good to tell us, a sign of the lack of definition of who should alert us. Reading the French law known as "Sapin 2" makes it less severe but more perplexing. Indeed, this plurality referred to by the title of the chapter devoted to "whistleblowers", there is no longer any question in the rest of the law, in the very definition which follows, article 6 which opens this chapter devoted to "whistleblowers" offering the reader immediately a singular since it begins as follows: "A!footnote-1684 whistleblower is a person ...". No mention of diversity. The art of legislative writing would however have required that the qualifying article not only be singular but that it should not yet be undefined. Stendhal if he had still deigned to have the law for bedside book would have wanted to find at the beginning of chapter a sentence like: "The!footnote-1683 whistleblower is a person ...".

Thus seem to contradict themselves within the law "Sapin 2 the very title which presents the character, in that it uses a defined plural (the) while the defining article which presents it is in the undefined singular (one). ...

Here is a first reason not to advance any more but in a very careful way, in this "step by step" that constitutes a reading word for word: a gloss. This consists of taking the expression itself literally. The second reason for this technical choice is that the gloss is well suited to the introduction of a collective work, thus allowing more targeted developments to take place in other contributions, on the techniques, the difficulties and the limits of this protection, or on its history, or the reasons for the arrival in French law of these whistleblowers and the way they develop, or not, elsewhere.

I am therefore going to content myself with taking this already legal expression to the letter: The (I) whistle (III). blowers (II). 

Full reference: Support, A., "La refondation de l'Europe ne pourra se faire sans sortir des traités actuels" ("The refoundation of Europe cannot be done without leaving the current treaties"), column in Le Figaro, 22nd of May 2020

Read Alain Supiot's column (in French)

In this column, Alain Supiot underlines the opportunity offered by the judgment of the Court of Karlsruhe of May 5, 2020 concerning the proportionality of the unconventional monetary measures adopted by the ECB.

Référence complète : Supiot, A., La Gouvernance par les nombres, col. "Poids et mesures du monde", Fayard, 2015, 418 p.

Lire la 4ième de couverture.

Lire la Table des matière.

Lire la conclusion de l'ouvrage.

Regarder les cours d'Alain Supiot reprenant les thèmes de l'ouvrage.

Regarder la présentation vidéo du contenu de l'ouvrage.

Lors de son édition en 2020 sous format de poche dans la collection Pluriel, Alain Supiot a rédigé une nouvelle préface : lire la nouvelle préface. 

L'ouvrage a été traduit en anglais par Saskia Brown. Il a été publié en novembre 2017 sous le titre : The governance by Numbers. The Making of a Legal Model of Allegiance.

Full reference : Frison-Roche, M.-A., Avocat et Compliance - L'avenir du personnage et de son outil : Droit, Humanisme et Défense ("Attorney and Compliance - the future of the character and his tool: Law, Humanism and Defense),article of synthesis fo the collective publication "Compliance", Dalloz Avocat, March 2020, April 2020, June 2020, Dalloz Avocat, June 2020, p.321-324

Read the synthesis article (in French).

Read the editorial of the March 2020 Issue, presenting the problematic : "The Attorney, Vector of Conviction in the New Compliance System". 

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Summary of the article: In the future, the place of lawyers in compliance mechanisms, including in Ex Ante, will develop for three reasons, which emerge from all of the contributions. First of all because Compliance is a matter of Law, a lawyer is a lawyer and in the future it is a matter of Law and not on technical terms that Compliance demands its meaning and legitimacy. Then because Conformity must be defined in relation to the person, the lawyer expresses the humanist conception of the rules and Compliance Law will only be tolerable in the future if it is for "monumental goal" of protection of the person. Finally, because Compliance with ordinary repression, that the lawyer in his heart defends and must be and remain at the center of Compliance Law.

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Full reference: Pistor, K., Germany Constitutional Court Goes Rogue, Project Syndicate, 8th of May 2020

Read the article 

Full Reference: Autorité des marchés financiers (AMF), Cartographie 2020 des marchés et des risques, Risques et tendances, July 2020

Read the 2020 Risk and Markets Map

This interview was conducted in French with Olivia Dufour, for an article published in French in the digital publication Actualité Juridique.

Its subject is  the confrontation between the current health crisis situation and the Compliance Law. 

Summary. After defining Compliance Law, distinguishing the procedural and poor definition and the substantial and rich definition, the starting point is to admit the aporia: the type of health crisis caused by Covid-19 will be renewed and it is imperative to prevent it, even to manage it, then to organize the crisis exit. Public Authorities are legitimate to do so, but because this type of crisis being global and the State being consubstantially linked to borders, States are hardly powerful. Their traditional International Law shows their  limits in this current crisis and one cannot hope that this configulration will improve radically.

In contrast, some companies and markets, notably the financial markets, are global. But the markets are not legitimate to carry out such missions and counting on the generosity of certain large companies is far too fragile in front of the "monumental goal" that is the prevention of the next health crisis, crisis which must never happen.

How to get out of this aporia?

By Compliance Law, basis of, in a literal and strong sense, the "Law of the Future". 

We need to be inspired by the Banking and Financial Compliance Law. Designed in the United States after the 1929 crisis to tend towards the "monumental goal" of the absence of a new devastating crisis in the country and the world,  this set of new legal mechanisms gave duty and power of supervision, regulation and compliance to market authorities and central bankers. These are independent of governments but in constant contact with them. Today, they claim to have as first priority the fight against climate change. Now and for the future, they must also be given the responsibility and the powers to prevent a global health disaster, similar to a global ecological disaster, similar to a global financial disaster. This does not require a modification of the texts because their mandate consists in fighting instability. Stability must become a primary legal principle, of which the fight against monetary instability was only a first example. By the new use that central banks must make of it by preventing and managing health crises, Compliance Law will ensure that the future will be not catastrophic.