Food for thoughts

► Full Reference: V. Magnier, "The transformation of governance and due diligence", 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): The author develops the tensions caused by Compliance Law and the Duty of Vigilance on corporate governance.

The French "Sapin 2" law targets corruption, while the French "Vigilance" law has a broader scope in terms of risks and the entire value chain. It is logical that this should create tensions in terms of governance, given the monumental goals involved. Companies need to take ownership of the powers delegated to them, which means rethinking their governance and the way in which they exercise their corporate mandates, with the corporate interest, the judge's compass, having to be combined with the adoption of new standards of behaviour formalised voluntarily by ethical charters in line with international standards. On this voluntary and supervised basis, the company must adapt its structure and then contractualise these norms.

This ethical approach has an impact on the role of corporate organs, not only in terms of transparency and risk prioritisation, but also proactively in terms of the adoption of commitments whose sincerity will be verified, as reflected, for example, in corporate governance codes (cf.in France the AFEP-MEDEF Code), the setting up of ad hoc committees and the presence of stakeholders, who will be consulted when the vigilance plan is drawn up.

She stresses that this creates tensions, that dialogue is difficult, that business secrecy must be preserved, but that stakeholders must become Vigilance watchdogs, a role that should not be left to the public authorities alone.

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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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Network industries are built on transport infrastructure such as telecommunications waves or data, gas or electricity, which are essential facilities.

These essential infrastructures are monitored by regulators not only for the operators to have a concrete right of access but also for a complete network of these infrastructures to be built in a space, especially in Europe, for example to achieve a European railway system.

These infrastructures also exist in banking, financial and insurance matters, which it would be futile to oppose too easily to Network industries, as financial centers are based on huge computer systems, internalized clearing houses, which are themselves Infrastructure, deserving Regulation.

In this way, the optimal infrastructure solidity, the Regulator having its final responsibility in a permanent control over the manager, whether the State or an operator - whether the operator is an operator Public or a private operator -, and the competitive dynamism of the sector that the system can also entrust to the same regulator.

This is particularly the case in Financial Regulation, which aims to optimize the places, which compete with each other, and their respective security, which itself constitutes a competitive advantage, common to all operators.

► 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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The Office of Communications (Ofcom) is the UK's communications regulator.

This independent regulator is competent both for television, radio and television services, but also for the post office.

In addition, there are very diverse missions, such as not only the allocation of licenses but also data protection or public policies of diversity and equality.

We can consider that these are the broadest competences that can be conferred on a regulator with regard to "communication" activities!footnote-767.

The procedural guarantees from which the person benefits are mainly the right of action, the rights of defense and the benefit of the adversarial principle.

While the rights of the defense are subjective rights which are advantages given to the person at risk of having his situation affected by the decision that the body which is formally or functionally legally qualified as a "tribunal", may take, the adversarial principle is rather a principle of organization of the procedure, from which the person can benefit.

This principle, as the term indicates, is - as are the rights of the defense - of such a nature as to generate all the technical mechanisms which serve it, including in the silence of the texts, imply a broad interpretation of these.

The adversarial principle implies that the debate between all the arguments, in particular all the possible interpretations, is possible. It is exceptionally and justified, for example because of urgency or a justified requirement of secrecy (professional secrecy, secrecy of private life, industrial secrecy, defense secrecy, etc.) that the adversarial mechanism is ruled out. , sometimes only for a time (technique of deferred litigation by the admission of the procedure on request).

This participation in the debate must be fully possible for the debater, in particular access to the file, knowledge of the existence of the instance, the intelligibility of the terms of the debate, not only the facts, but also the language (translator, lawyer , intelligibility of the subject), but still discussion on the applicable legal rules). So when the court automatically comes under the rules of Law, it must submit them to adversarial debate before possibly applying them.

The application of the adversarial principle often crosses the rights of the defense, but in that it is linked to the notion of debate, it develops all the more as the procedure is of the adversarial type.

► Full Reference: J.-Ph. Denis & N. Fabbe-Costes, "Legal Constraints and company Compliance Strategies", 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

____

► 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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► Full Reference: L. d'Avout, "Compliance and conflict of laws. International Law of Vigilance-Conformity, based on recent applications in Europe", 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): In the absence of constraints derived from the real international law, vigilance-compliance laws themselves determine their scope of application in space. They do so generously, to the extent that they often converge on the same operators and 'overlap' on the world stage. The result is a hybridation of the law applicable to the definition of Compliance Obligations; a law possibly written "with four hands" or more, which is not always harmonious and which exposes unilateral legislators to occasional retouching their work and their applied regulations.

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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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► 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

____

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

____

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

____

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

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Référence complète : Queinnec, Y et Constantin, A., Devoir de vigilance. Les organes de gouvernance des entreprises en première ligne, in Le Big Bang des devoirs de vigilance ESG : les nouveaux enjeux de RSE et de droit de l'homme, doss., Revue Lamy Droit des Affaires, n°104, mai 2015, p.68-74.

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► Full Reference: R. Sève, "Compliance Obligation and changes in Sovereignty and Citizenship", 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

____

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

The contribution describes "les changements de philosophie du droit que la notion de compliance peut impliquer par rapport à la représentation moderne de l’Etat assurant l’effectivité des lois issues de la volonté générale, dans le respect des libertés fondamentales qui constituent l’essence du sujet de droit." ("the changes in legal philosophy that the notion of Compliance may imply in relation to the modern representation of the State ensuring the effectiveness of laws resulting from the general will, while respecting the fundamental freedoms that constitute the essence of the subject of law").

The contributor believes that the definition of Compliance is due to authors who « jouer un rôle d’éclairage et de structuration d’un vaste ensemble d’idées et de phénomènes précédemment envisagés de manière disjointe.  Pour ce qui nous occupe, c’est sûrement le cas de la théorie de la compliance, développée en France par Marie-Anne Frison-Roche dans la lignée de grands économistes (Jean-Jacques Laffont, Jean Tirole) et dont la première forme résidait dans les travaux bien connus de la Professeure sur le droit de la régulation. » ( "play a role in illuminating and structuring a vast set of ideas and phenomena previously considered in a disjointed manner.  For our purposes, this is certainly the case with the theory of Compliance, developed in France by Marie-Anne Frison-Roche in the tradition of great economists (Jean-Jacques Laffont, Jean Tirole) and whose first form was in her well-known work on Regulatory Law").

Drawing on the Principles of the Law of the American Law Institute, which considers compliance to be a "set of rules, principles, controls, authorities, offices and practices designed to ensure that an organisation conforms to external and internal norms", he stresses that Compliance thus appears to be a neutral mechanism aimed at efficiency through a move towards Ex Ante. But he stresses that the novelty lies in the fact that it is aimed 'only' at future events, by 'refounding' and 'monumentalising' the matter through the notion of 'monumental goals' conceived by Marie-Anne Frison-Roche, giving rise to a new jus comune. Thus, "la compliance c’est l’idée permanente du droit appliquée à de nouveaux contextes et défis." ("Compliance is the permanent idea of Law applied to new contexts and challenges"). 

So it's not a question of making budget savings, but rather of continuing to apply the philosophy of the Social Contract to complex issues, particularly environmental issues. 

This renews the place occupied by the Citizen, who appears not only as an individual, as in the classical Greek concept and that of Rousseau, but also through entities such as NGOs, while large companies, because they alone have the means to pursue the Compliance Monumental Goals, would be like "super-citizens", something that the digital space is beginning to experience, at the risk of the individuals themselves disappearing as a result of "surveillance capitalism". But in the same way that thinking about the Social Contract is linked to thinking about capitalism, Compliance is part of a logical historical extension, without any fundamental break: "C’est le développement et la complexité du capitalisme qui forcent à introduire dans les entités privées des mécanismes procéduraux d’essence bureaucratique, pour discipliner les salariés, contenir les critiques internes et externes, soutenir les managers en place" ("It is the development and complexity of capitalism that forces us to introduce procedural mechanisms of a bureaucratic nature into private entities, in order to discipline employees, contain internal and external criticism, and support the managers in place") by forcing them to justify remuneration, benefits, and so on.

Furthermore, in the words of the author, "Avec les buts monumentaux, - la prise en compte des effets lointains, diffus, agrégés par delà les frontières, de l’intérêt des générations futures, de tous les êtres vivants - ,  on passe, pour ainsi dire, à une dimension industrielle de l’éthique, que seuls de vastes systèmes de traitement de l’information permettent d’envisager effectivement." ("With the Monumental Goals - taking into account the distant, diffuse effects, aggregated across borders, the interests of future generations, of all living beings - we move, so to speak, to an industrial dimension of ethics, which only vast information processing systems can effectively envisage").

This is how we can find a division between artificial intelligence and human beings in organisations, particularly companies, or in decision-making processes.

In the same way, individual freedom does not disappear with Compliance, because it is precisely one of its monumental goals to enable individuals to make choices in a complex environment, particularly in the digital space where the democratic system is now at stake, while technical mechanisms such as early warning will revive the right to civil disobedience, invalidating the complaint of "surveillance capitalism".

The author concludes that the stakes are so high that Compliance, which has already overcome the distinctions between Private and Public Law and between national and international law, must also overcome the distinction between Information and secrecy, particularly in view of cyber-risks, which requires the State to develop and implement non-public Compliance strategies to safeguard the future.

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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 : Lalande, P.-A., Le pouvoir d’injonction au service de la réparation du préjudice écologique : une mise en œuvre de l’office du juge administratif en matière climatique, Actu-Juridique, 9 décembre 2021.

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Lire l'article. 

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The market is normally self-regulated. It suffers from one-time failures when economic agents engage in anti-competitive behavior, mainly the abuse of dominant positions in the ordinary markets, or the abuse of markets in the financial markets, sanctioned ex post by the authorities in individual decisions.

But some sectors suffer from structural failures, which prevent them, even without malicious intent of agents, from reaching this mechanism of adjustment of supply and demand. The existence of an economically natural monopoly, for example a transport network, constitutes a structural failure. Another agent will not duplicate once the first network has been built, which prevents competition. An a-competitive regulation, either by nationalization, by a state control or by a control by a regulatory authority, is needed to ensure everyone's access to an essential facility. Also constitutes a market failure asymmetry of information, theorized through the notion of agency that hinders the availability and circulation of exhaustive and reliable information on markets, especially financial markets. This market failure carries with it a systemic risk, against which regulation is definitely built and entrusted to financial regulators and central banks.

In these cases, the implementation of regulations is a reaction of the State not so much by political rejection of the Market, but because the competitive economy is unfit to function. This has nothing to do with the hypothesis that the State is distancing itself from the Market, not because it is structurally flawed in relation to its own model, but because politics wants to impose higher values, expressed By the public service, whose market does not always satisfy the missions.

 

 

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: M. Torre-Schaub, "Environmental and Climate Compliance", 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): 

The author starts from the fact that Compliance Law, in that it is not limited to conformity process, and Environmental Law are complementary, both based above all on the prevention of risks and harmful behaviour, environmental crises and the right to a healthy environment involving the strengthening of Environmental Vigilance. It is all the more important to do this because definitions remain imprecise, not least those of Environment and Climate, which are diffuse concepts.

Firstly, the contribution sets out the purpose of Environmental Compliance, which is to ensure that companies are vigilant with regard to all kinds of risks: they put in place and follow a series of processes to obtain "progress" in accordance with a standard of "reasonable vigilance". This requires them to go beyond mere conformity and encourages them to develop their own soft law tools within a framework of information and transparency, so that the climate system itself benefits in accordance with its own objectives.

Then the author stresses the preventive nature of Environmental Vigilance mechanisms, which go beyond providing Information to managing risks upstream, in particular through the vigilance plan, which may be unified or drawn up risk by risk, and which must be adapted to the company, particularly in the risk mapping drawn up, with assessment being carried out on a case-by-case basis.

Lastly, in the light of recent French case law, the author describes the implementation of the system, which may bring the parties before the Tribunal judiciaire de Paris (Paris Court of First Instance) and then the specialised chamber of the Paris Court of Appeal. The author believes that judges must clarify the obligation of Environmental Vigilance so that companies can adjust to it, and these 2 courts are in the process of doing so.

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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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► Full Reference: R. Sève, "L'Obligation de Compliance et les mutations de la souveraineté et de la citoyenneté" ("Compliance Obligation and changes in Sovereignty and Citizenship"), in M.-A. Frison-Roche (ed.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, forthcoming.

 

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📕read the general presentation of the book, L'obligation de Compliance, in which this article is published.

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► English Summary of this article (done by the Journal of Regulation & Compliance - JoRC) : The contribution describes "les changements de philosophie du droit que la notion de compliance peut impliquer par rapport à la représentation moderne de l’Etat assurant l’effectivité des lois issues de la volonté générale, dans le respect des libertés fondamentales qui constituent l’essence du sujet de droit." ("the changes in legal philosophy that the notion of Compliance may imply in relation to the modern representation of the State ensuring the effectiveness of laws resulting from the general will, while respecting the fundamental freedoms that constitute the essence of the subject of law").

The contributor believes that the definition of Compliance is due to authors who « jouer un rôle d’éclairage et de structuration d’un vaste ensemble d’idées et de phénomènes précédemment envisagés de manière disjointe.  Pour ce qui nous occupe, c’est sûrement le cas de la théorie de la compliance, développée en France par Marie-Anne Frison-Roche dans la lignée de grands économistes (Jean-Jacques Laffont, Jean Tirole) et dont la première forme résidait dans les travaux bien connus de la Professeure sur le droit de la régulation. » ( "play a role in illuminating and structuring a vast set of ideas and phenomena previously considered in a disjointed manner.  For our purposes, this is certainly the case with the theory of Compliance, developed in France by Marie-Anne Frison-Roche in the tradition of great economists (Jean-Jacques Laffont, Jean Tirole) and whose first form was in her well-known work on Regulatory Law").

Drawing on the Principles of the Law of the American Law Institute, which considers compliance to be a "set of rules, principles, controls, authorities, offices and practices designed to ensure that an organisation conforms to external and internal norms", he stresses that Compliance thus appears to be a neutral mechanism aimed at efficiency through a move towards Ex Ante. But he stresses that the novelty lies in the fact that it is aimed 'only' at future events, by 'refounding' and 'monumentalising' the matter through the notion of 'monumental goals' conceived by Marie-Anne Frison-Roche, giving rise to a new jus comune. Thus, "la compliance c’est l’idée permanente du droit appliquée à de nouveaux contextes et défis." ("Compliance is the permanent idea of Law applied to new contexts and challenges"). 

So it's not a question of making budget savings, but rather of continuing to apply the philosophy of the Social Contract to complex issues, particularly environmental issues. 

This renews the place occupied by the Citizen, who appears not only as an individual, as in the classical Greek concept and that of Rousseau, but also through entities such as NGOs, while large companies, because they alone have the means to pursue the Compliance Monumental Goals, would be like "super-citizens", something that the digital space is beginning to experience, at the risk of the individuals themselves disappearing as a result of "surveillance capitalism". But in the same way that thinking about the Social Contract is linked to thinking about capitalism, Compliance is part of a logical historical extension, without any fundamental break: "C’est le développement et la complexité du capitalisme qui forcent à introduire dans les entités privées des mécanismes procéduraux d’essence bureaucratique, pour discipliner les salariés, contenir les critiques internes et externes, soutenir les managers en place" ("It is the development and complexity of capitalism that forces us to introduce procedural mechanisms of a bureaucratic nature into private entities, in order to discipline employees, contain internal and external criticism, and support the managers in place") by forcing them to justify remuneration, benefits, and so on.

Furthermore, in the words of the author, "Avec les buts monumentaux, - la prise en compte des effets lointains, diffus, agrégés par delà les frontières, de l’intérêt des générations futures, de tous les êtres vivants - ,  on passe, pour ainsi dire, à une dimension industrielle de l’éthique, que seuls de vastes systèmes de traitement de l’information permettent d’envisager effectivement." ("With the Monumental Goals - taking into account the distant, diffuse effects, aggregated across borders, the interests of future generations, of all living beings - we move, so to speak, to an industrial dimension of ethics, which only vast information processing systems can effectively envisage").

This is how we can find a division between artificial intelligence and human beings in organisations, particularly companies, or in decision-making processes.

In the same way, individual freedom does not disappear with Compliance, because it is precisely one of its monumental goals to enable individuals to make choices in a complex environment, particularly in the digital space where the democratic system is now at stake, while technical mechanisms such as early warning will revive the right to civil disobedience, invalidating the complaint of "surveillance capitalism".

The author concludes that the stakes are so high that Compliance, which has already overcome the distinctions between Private and Public Law and between national and international law, must also overcome the distinction between Information and secrecy, particularly in view of cyber-risks, which requires the State to develop and implement non-public Compliance strategies to safeguard the future.

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► Full Reference: Segonds, M., Compliance, Proportionality and Sanction. The example of the sanctions taken by the French Anticorruption Agency, in Frison-Roche, M.-A. (ed.),Compliance Monumental Goals, series "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, to be published.

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► Article Summary:  Before devoting the developments of his article to the sole perspective of sanctions imposed under "Anti-corruption Compliance", the author recalls in a more general way that, as is the sanction, Compliance is in essence proportional: Proportionality is inherent to Compliance as it conditions any sanction, including a sanction imposed under Compliance.

This link between Proportionality and Compliance has been underlined by the French Anti-Corruption Agency (Agence française anticorruption - AFA) with regard to risk mapping, which must measure risks to arrive at effective and proportional measures. This same spirit of proportionality animates the recommendations of the AFA which are intended to apply according to the size of the company and its concrete organisation. It governs sanctions even more, in that punitive sanctions refer on one hand to Criminal Law, centered on the requirement of proportionality. Punitive sanctions It governs sanctions even more, in that punitive sanctions refer on the other hand to the disciplinary power of the manager who, from other sources of law, must integrate the legal requirement of proportionality when he/she applies external and internal compliance norms.

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

 

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► Full Reference: M.-A. Frison-Roche, "Conceiving the Compliance Obligation: Using its Position to take part in achieving the Compliance Monumental Goals", 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 the article

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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, 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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► Full Reference: J.-B. Racine, "Obligation de Compliance et droits humains" ("Compliance Obligation and Human Rights"), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2024, to be published.

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📕read a general presentation of the book, L'Obligation de Compliance, in which this article is published

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► English Summary of the article (done by the Journal of Regulation & Compliance - JoRC) : The author asks whether human rights can, over and above the many compliance obligations, form the basis of the Compliance Obligation. The consideration of human rights corresponds to the fundamentalisation of Law, crossing both Private and Public Law, and are considered by some as the matrix of many legal mechanisms, including international ones. They prescribe values that can thus be disseminated.

Human rights come into direct contact with Compliance Law as soon as Compliance Law is defined as "the internalisation in certain operators of the obligation to structure themselves in order to achieve goals which are not natural to them, goals which are set by public authorities responsible for the future of social groups, goals which these companies must willingly or by force aim to achieve, simply because they are in a position to achieve them". These "Monumental Goals" converge on human beings, and therefore the protection of their rights by companies. 

In a globalised context, the State can either act through mandatory regulations, or do nothing, or force companies to act through Compliance Law. For this to be effective, tools are needed to enable 'crucial' operators to take responsibility ex ante, as illustrated in particular by the French law on the Vigilance Obligation of 2017.

This obligation takes the form of both a "legal obligation", expression which is quite  imprecise, found for example in the duty of vigilance of the French 2017 law, and in a more technical sense through an obligation that the company establishes, in particular through contracts.

Legal obligations are justified by the fact that the protection of human rights is primarily the responsibility of States, particularly in the international arena. Even if it is only a question of Soft Law, non-binding Law, this tendency can be found in the Ruggie principles, which go beyond the obligation of States not to violate human rights, to a positive obligation to protect them effectively. The question of whether this could apply not only to States but also to companies is hotly debated. If we look at the ICSID Urbaser v. Argentina award of 2016, the arbitrators accepted that a company had an obligation not to violate human rights, but rejected an obligation to protect them effectively. In European Law, the GDPR, DSA and AIA, and in France the so-called Vigilance law, use Compliance Lools, often Compliance by Design, to protect human rights ex ante.

Contracts, particularly through the inclusion of multiple clauses in often international contracts, express the "privatisation" of human rights. Care should be taken to ensure that appropriate sanctions are associated with them and that they do not give rise to situations of contractual imbalance. The relationship of obligation in tort makes it necessary to articulate the Ex Ante logic and the Ex Post logic and to conceive what the judge can order.

The author concludes that "la compliance oblige à remodeler les catégories classiques du droit dans l’optique de les adosser à l’objectif même de la compliance : non pas uniquement un droit tourné vers le passé, mais un droit ancré dans les enjeux du futur ; non pas un droit émanant exclusivement de la contrainte publique, mais un droit s’appuyant sur de la normativité privée ; non pas un droit strictement territorialisé, mais un droit appréhendant l’espace transnational" ("Compliance requires us to reshape the classic categories of Law with a view to bringing them into line with the very objective of Compliance: not just a Law turned towards the past, but a Law anchored in the challenges of the future; not a Law emanating exclusively from public constraint, but a Law based on private normativity; not a strictly territorialised Law, but a law apprehending the transnational space".

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En principe, l'exercice constituant le contrôle final de connaissance à la fin du semestre est, au choix de l'étudiant, soit une dissertation, soit une note de synthèse. L'étudiant dispose de trois heures pour faire l'exercice dans une copie, dont le volume ne doit pas dépasser 6 pages. 

Jusqu'en 2017 un exercice de mi- semestre se déroulait, de structure identique à celui de fin de semestre, permettant aux étudiants de se préparer à celui-ci. Depuis 2017 la direction de l'Ecole a désiré qu'il n'y ait plus un tel galop d'essai organisé. Dans un même souci de simplification, l'exercice de commentaire de texte en a été éliminé. La possibilité de proposer un choix entre deux dissertations a été exclue. 

Les copies sont corrigées par l'ensemble de l'équipe pédagogique, professeur d'amphi et maîtres de conférences. Un contrôle supplémentaire est assuré selon les modalités générales de l'Ecole. 

La situation sanitaire qui marqua l'année 2021 avait justifié qu'un autre système de contrôle de connaissance soit adopté. C'est pourquoi l'examen final avait été pour cette année supprimé, remplacé par une dissertation à faire en parallèle du cours et des conférences. L'étudiant avait à choisir entre deux sujets, élaborés en équipe par Marie-Anne Frison-Roche, pour faire une dissertation. Les sujets avaient été proposés à la m-semestre et les copies devaient être restituées à l'administration à la fin du semestre pour être corrigées par l'ensemble de l'équipe pédagogique. Parce qu'il ne s'agit donc pas d'une épreuve de vitesse, il n'avait pas été proposé d'exercice pratique. 

L'année 2022 permettant un retour à davantage de normalité, un retour a été possible vers un examen final en présentiel se déroule à la fin du semestre. Les principes n'en sont pas modifiés : il consiste , au choix de l'étudiant, dans soit une dissertation, soit une note de synthèse. L'étudiant dispose de trois heures pour faire l'exercice dans une copie, dont le volume ne doit pas dépasser 6 pages. 

► Full Reference: L. Aynès, "How International Arbitration can reinforce the Compliance Obligation", 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): The author takes as his starting point the observation that International Arbitration and Compliance are a natural fit, since they are both a manifestation of globalisation, expressing an overcoming of borders, with arbitration being able to take on the Compliance Monumental Goals, since it has engendered a substantially global arbitral order.

But the obstacle lies in the fact that the source of arbitration remains the contract, with the arbitrator exercising only a temporary jurisdiction whose mission is given by the contract. Yet the advent of the global arbitral order makes this possible, with the arbitrator drawing on norms that may include the Compliance monumental goals and corporate commitments. In so doing, the arbitrator becomes an indirect organ of this emerging compliance law.

The contribution then suggests a second development, which could make the arbitrator a direct organ of compliance. For this to happen, the arbitrator must not only compel the fulfillment of an obligation to act, as is already the case with provisional measures, but also have a broader conception of the conflict for which a solution is required, or even free himself somewhat from the contractual source that surrounds it. This may well be taking shape, mirroring the profound transformation of the judge's office.

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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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► Full Reference: E. Maclouf, "Entités industrielles et Obligation de compliance" ("Industrial Entities and Compliance Obligation"), in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2025, to be published

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📕read a general presentation of the book, L'Obligation de Compliance, in which this article is published

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► Summary of this article (done by the Journal of Regulation & Compliance - JoRC) : This article looks at the topic Industrial Entities and Compliance Obligation from the perspective of Management Science and sets out to resolve the paradox of industrial organisations expressing the ambition of progress for the benefit of people, a humanist ambition that is contradicted by the effects produced by this industrialisation itself, which are harmful to that same humanity. The Compliance Obligation, insofar as it is based on the Monumental Goals and is anchored in Industrial Organisations, aims to resolve this paradox.

The science of human organisations aims to allocate nature's scarce resources as efficiently as possible by getting individuals to cooperate, this engineering producing natural, industrial and social disasters, which are themselves more or less anticipated. The Compliance Obligation holds out the hope of better preventing them (Negative Monumental Goal) and managing them, or even improving people's lives (Positive Monumental Goal) by going beyond traditional disciplines and developing Ex Ante. However, Industrial Organisations may also reject the weight of the constraints that this creates for them, calling for deregulation instead. The debate is currently open.

Furthermore, by moving from the mechanical logic of conformity to the dynamic logic of the Compliance Obligation, companies find themselves in a situation of systemic uncertainty and must decide on the strategy to be implemented, resulting in a managerialisation of the Law  and implying many new decisions to be taken. The notion of "project" is therefore back at the heart of Industrial Organisations, and more specifically that of "Humanist Project", as embodied by the Compliance Obligation, in a new Organisation where everyone plays their part in the Value Chain.

The author draws on the work of Raymond Aron and the Rueff-Armand report to show that the dynamism and strength of Industrial Organisation can support a Humanist Project that is politically developed and fits in with the Economic Rationality of Industrial Organisations. This is all the more necessary as this Regulatory Framework cannot come from the sum of individual actions alone (employees, consumers, investors), as the interests of the company, of the sector, of society, of nature cannot be served by this addition alone, and the claim that the whole is self-regulated by the expression of a single one of these players (who are themselves both inside and outside the industrial organisation) is unsustainable.

The Author shows that new entities are therefore being created to regulate Industrial Entities in the public interest through the Compliance Obligation, which inserts an Obligation into the Industrial Organisation modifying its project: the French so-called "Sapin 2" law is a perfect example of this, encouraging appropriate strategic responses from Industrial Organisations, which have modified their managerial procedures to integrate new strategic projects and involve stakeholders.

Finally, because the Compliance Obligation is anchored in Monumental Goals, it can be the basis of the Company's Project and the Players' Project of the players, which leads us to return to the basis of the Organisations Theory, which entrusts to the corporate bodies the power and the mission of defining such a project through corporate deliberations which will then be, in the aforementioned approach of Industrial Rationality, broken down into Objectives and Plans. This is a reminder that Profit is not a Company's Goal: it is the sine qua non of its survival, which is different. A Rational Organisation determines its Project and for ensuring it,  to achieve it, it must not run the risk of going bankrupt. The Compliance Obligation is developing  between this difference and the link between the Project and this necessity to have some profit which is just a Condition. Furthermore, in order to establish this project, the organisation must resolve oppositions (conflictuality) through the complex interplay of players (Jean-Pierre Dupuy).

Industrial organisations must respond to the Compliance Obligation. In particular, they do this by developing norms, or by contributing to the development of public norms, and by themselves expressly aiming Goals such as the fight against suffering in the workplace or equality between men and women as falling within the scope of the Compliance Obligation. This framing work is an essential part of the organisation's strategy, and environmental concerns can thus be integrated to a greater or lesser extent into this or that perspective. All this goes beyond the mere logic of conformity.

The Compliance Obligation thus enables the production of what the Author calls "adaptive responses by individuals in the face of Systemic Crises and their causes", countering the Anomie which is also a monumental problem in today's society, which has lost its bearings and is suffering from Uncertainty. This Compliance Obligation enables Industrial Entities to integrate into Society, if necessary by coercion, by becoming the vectors of human rights and social and environmental expectations. But the success of this Compliance Obligation presupposes a certain appropriation of the Goals by the scales companies, which taints the Compliance Obligation itself with Uncertainty.

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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-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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► 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.

Une dissertation juridique suit les règles de construction et de rédaction généralement requises pour les dissertations d'une façon générale mais présente certaines spécificités.

Le présent document a pour objet de donner quelques indications. Elles ne valent pas "règles d'or", mais un étudiant qui les suit ne peut se le voir reprocher. La correction des copies tiendra compte non seulement du fait que les étudiants ne sont pas juristes, ne sont pas habitués à faire des "dissertations juridiques", mais encore prendra en considération le présent document.

 

► Full Reference: F. Raynaud, "The administrative judge and compliance", in M.-A. Frison-Roche (ed.), Compliance Jurisdictionalisation, coll. "Compliance & Regulation", Journal of Regulation & Compliance (JoRC) and Bruylant, 2023, p. 

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

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► Summary of the article:

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