Thesaurus : Doctrine
► Référence complète : B. Frydman & A. Briegleb, "L'obligation de compliance en droit global", in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître
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📕lire une présentation générale de l'ouvrage, L'obligation de Compliance, dans lequel cet article est publié
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Thesaurus : Doctrine
Référence complète : Boursier, M.-E., L’irrésistible ascension du whistleblowing en droit financier s’étend aux abus de marché, Bulletin Joly Bourse, 1ier septembre 2016.
Les étudiants de Sciences po peuvent lire l'article en accédant au dossier "MAFR - Régulation"
Thesaurus : Doctrine
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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Publications
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► Référence complète : M.-A. Frison-Roche, "Articulation systémique entre Vigilance, Due diligence, conformité et Compliance : la Vigilance, part totale de l’Obligation de Compliance", in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître
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📝lire l'article
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🚧lire le document de travail bilingue sur la base duquel cet article a été élaboré, doté de développements supplémentaires, de références techniques et de liens hypertextes
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📕lire une présentation générale de l'ouvrage, L'obligation de Compliance, dans lequel cet article est publié
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► Résumé de l'article : Le "devoir de vigilance" déchaine d'autant plus de positions radicales et passionnées, parfois chez les professeurs de droit, qu'il n'a pas été défini. L'on emploie un mot pour un autre, par mégarde ou par dessein, par dessein si l'on peut attirer tel ou tel élément d'un régime juridique de l'on convoite, par mégarde car c'est souvent par inadvertance que les mots du Droit sont maltraités. L'exercice même de définition, notamment celui très périlleux de "devoir" étant mené dans la partie de l'ouvrage visant à "cerner l'obligation de compliance", il s'agit ici de démêler ce que l'on semble utiliser l'un pour l'autre : la vigilance, le duty of care, la due diligence.
La loi française de 2017 dite "Vigilance" reprenant les dispositifs techniques de la loi de 2016 dite "Sapin 2", avec les plans, les audits, etc., cela renvoie au Droit de la compliance, auquel l'on substitue souvent le terme de "conformité", avec des conséquences pratiques très dommageables, comme on le fit il y a 20 ans quand on affirmait que le "Droit de la Régulation" devait être dénommé le "Droit de la réglementation"
Chacun de ces termes renvoient à des notions différentes. Le Législateur n'aide pas puisqu'il les utilisent souvent les uns pour les autres, le passage entre l'anglais et le français valant circonstance atténuante mais laissant le dysfonctionnement entier.
Il convient donc tout d'abord de redonner à chacun de ces termes juridiques leur signification (I). Il apparaît ainsi que le la Vigilance est la "pointe avancée" du Droit de la Compliance, lequel ayant été distingué de ce qui n'est que son outil, à savoir la "conformité".
En effet, la Vigilance est une "pointe avancée en ce qu'elle est qui donne plus de visibilité à un système plus vaste qu'est le Droit de la Compliance, ce qui justifie donc un esprit de système et implique une méthode de réalisation du Droit qui est ici de nature téléologique, puisque le Droit de la Complique puise sa normativité dans les Buts Monumentaux, ce dont la technique de vigilance donne un exemple éclatant à travers le souci de l'environnement et des droits subjectifs de la personne (II).
A partir de ces bases méthodologiques, il est possible de s'extraire de la masse réglementaire qui prolifère dans les sujets de vigilance qui ne sont en rien limités à la loi de 2017, pour traiter les sujets impliqués par la Vigilance en la replaçant dans le système du Droit de la Compliance, sans la pulvériser dans toutes les réglementations sectorielles où elle est déjà très présente ni être suspendu à l'adoption ou pas à la Directive européennes, ni se demander si un juge ou un autre va décider d'une façon ou d'une autre.
En effet, ce Droit de la Compliance produit ce que j'ai pu qualifier de "causes systémiques", qui sont portées devant le juge, notamment par des parties prenantes, ce qui est en train de produire un renouvellement de l'office du juge (III). En raison d'un activisme judiciaire d'organisations, c'est par cette pointe avancée de la Vigilance que l'ensemble du Droit de la Compliance est en train de mettre le Juge au centre, comme cela fût montré dans l'ouvrage de 2023 La juridictionnalisation de la compliance, puis repris par le Conseil d'Etat et la Cour de cassation dans l'ouvrage à paraître De la Régulation à la Compliance : la place du juge.
L'évolution du Droit positif confirme que la Vigilance est donc la "part totale" du Droit de la Compliance.
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mafr, Compliance et conformité : les distinguer pour mieux les articuler, 2024.
Thesaurus : Doctrine
► Référence complète : L. Dubin, "Tensions et contradictions entre les instruments relatifs à la vigilance raisonnable des entreprises. D’un processus de vigilance à la consécration d’un standard de responsabilité", in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) et Dalloz, coll. "Régulations & Compliance", 2024, à paraître
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📕lire une présentation générale de l'ouvrage, L'Obligation de Compliance, dans lequel cet article est publié
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► Résumé de l'article (fait par le Journal of Regulation & Compliance - JoRC) :
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Thesaurus : Doctrine
► Full Reference: B. Deffains, "Debt as the basis of 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 contribution builds on the definition of Compliance in that it requires large companies to contribute to the achievement of Monumental Goals, including the preservation of human rights and systems, e.g. climate system.
This requirement is confronted with the notion of Debt as it results today from classic and new works available in economic science. In fact, in the primitive economy, debt refers not only to exchanges, but also to an ethical and social obligation leading back to the collective. The Economic Analysis of Law has highlighted this situation, where some of the entities involved in a situation benefit from positive externalities, or endure negative externalities on their own, thus creating a situation of debt: this generates an obligation to correct market failure through an obligation to manage risks, as expressed by Compliance Obligation. This implies that economic calculation can be used to quantify this debt, leading to new proposals for biodiversity accounting.
The author then highlights the recognition of Debt as the source of an Compliance Obligation. This can be expressed through the classical notion of natural obligation, which can be traced back to the French Civil Code, or through more solidarist or political conceptions of Law, linked to moral responsibility, with the overall moral equilibrium referring to civic duty, superimposed on the accounting equilibrium. The political dimension is very much present, as shown by Grotius and Kant, then Bourgeois (solidarism), Rawls and Sen (social justice), who link the deep commitment of each individual with the group. This sheds light on the essential role played by the State and public institutions in formalising and enforcing the Compliance Obligation, not only to ensure its effectiveness, but also to make everyone aware of its fairness dimension.
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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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Thesaurus
Référence complète : Grandjean, J.P., rapporteur, Rapport sur l'avocat chargé d'une enquête interne, Conseil de l'Ordre des Avocats, Paris, 8 mars 2016.
Thesaurus : Doctrine
► Référence complète : Branellec, G. et Cadet, I., "Le devoir de vigilance des entreprises françaises : la création d’un système juridique en boucle qui dépasse l’opposition hard law et soft law", Open Edition, 2017.
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Thesaurus : Doctrine
► Full Reference: B. Deffains, "La dette comme fondement de l'obligation de compliance" ("From the Debt to the Compliance Obligation"), in M.-A. Frison-Roche (ed.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, "Régulations & Compliance" Serie, 2024, to be published
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📕read the general presentation of the book, L'Obligation de Compliance, in which this contribution is published
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► Summary of this contribution (done by the Journal of Regulation & Compliance): The contribution builds on the definition of Compliance in that it requires large companies to contribute to the achievement of Monumental Goals, including the preservation of human rights and systems, e.g. climate system.
This requirement is confronted with the notion of Debt as it results today from classic and new works available in economic science. In fact, in the primitive economy, debt refers not only to exchanges, but also to an ethical and social obligation leading back to the collective. The Economic Analysis of Law has highlighted this situation, where some of the entities involved in a situation benefit from positive externalities, or endure negative externalities on their own, thus creating a situation of debt: this generates an obligation to correct market failure through an obligation to manage risks, as expressed by Compliance Obligation. This implies that economic calculation can be used to quantify this debt, leading to new proposals for biodiversity accounting.
The author then highlights the recognition of Debt as the source of an Compliance Obligation. This can be expressed through the classical notion of natural obligation, which can be traced back to the French Civil Code, or through more solidarist or political conceptions of Law, linked to moral responsibility, with the overall moral equilibrium referring to civic duty, superimposed on the accounting equilibrium. The political dimension is very much present, as shown by Grotius and Kant, then Bourgeois (solidarism), Rawls and Sen (social justice), who link the deep commitment of each individual with the group. This sheds light on the essential role played by the State and public institutions in formalising and enforcing the Compliance Obligation, not only to ensure its effectiveness, but also to make everyone aware of its fairness dimension.
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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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Compliance and Regulation Law bilingual Dictionnary
The term "breach" is new in Law. In the legal order, the term "fault" is that which is retained to designate the behavior of a person who deviates from a rule and must be sanctioned, because by this act he has manifested a fraudulent intention which may is reproached to him. But the legal notion of fault, which was central in the classic Law of civil liability and was essential in criminal liability Law has the major drawback of calling for proof: that of the intention to "do wrong". This seems all the less adequate when it comes to assessing the behavior of organizations, such as companies, whose behavior and power must be controlled more than the faulty behavior of their leaders sanctioned.
This is why both to lighten the burden of proof concerning natural persons, in particular those with the power and the function of deciding for others (managers, "senior executives") and to better correspond to the distribution of the power of The action, which is now held by organizations, in particular companies, are "failures" and no longer faults or negligence which constitute the triggering events triggering their liability or justifying repression.
It is more particularly an administrative repression, the end of which is not to sanction misconduct but to effectively protect the regulated sectors. The sanction for breaches is therefore both easier, because it is always necessary to prove the intention, and more violent, because the sanctions attached can relate to a share of the profits withdrawn, to a share of the turnover. business of the operator or can take the form of commitments by the operator for the future, a very restrictive and new form of sanction that the compliance technique has inserted into the law.
Thus the breach can be defined as a behavior, even an organization which is away from the behavior or the situation that the author of a text has posed as being that which he posits as adequate. This definition, which is at the same time broad, abstract, teleological and prescription, which makes it possible to apprehend not only behaviors but also structures, makes the sanction of breaches a daily tool of Regulatory Law.
Thesaurus : Doctrine
►Référence complète : Galli, M., Une justice pénale propre aux personnes morales : Réflexions sur la convention judiciaire d'intérêt public , Revue de Sciences Criminelle, 2018, pp. 359-385.
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Compliance and Regulation Law bilingual Dictionnary
In principle, the very mechanism of the market is governed by freedom, the freedoms of the agents themselves - the freedom to undertake and contract - and the competitive freedom that marks the market itself, the convergence of these freedoms allowing the self-regulated functioning of The "market law", namely the massive encounter of offers and demands that generates the right price ("fair price").
But in the case of financial markets, which are regulated markets, "market abuses" are sanctioned at the very heart of regulation. Indeed, the regulation of the financial markets presupposes that the information is distributed there for the benefit of investors, or even other stakeholders, possibly information not exclusively financial. This integrity of the financial markets which, beyond the integrity of information, must achieve transparency, justifies that information is fully and equally shared. That is why those who hold or must hold information that is not shared by others (privileged information) must not use it in the market until they have made it public. Similarly, they should not send bad information to the market. Neither should they manipulate stock market prices.
These sanctions were essentially conceived by the American financial theory, concretized by the American courts, then taken back in Europe. To the extent that they sanction both reproachable behavior and constitute a public policy instrument of direction and protection of markets, the question of cumulation of criminal law and administrative repressive law can only be posed with difficulty in Europe.
Teachings : Generall Regulatory law
Sont ici répertoriés les sujets proposés chaque année, soit au titre du travail à faire en parallèle du cours, à remettre à la fin du semestre (le jour de l'examen étant la date limite de remise), soit les sujets à traiter sur table, sans documentation extérieure et sous surveillance le jour de l'examen final.
A partir de 2019, en raison du règlement administratif de la scolarité, l'examen final ne peut plus se dérouler en dehors du cours.
Les étudiants cessent donc de bénéficier d'une durée de 4 heures pour réaliser l'examen.
Le contrôle final est donc nécessairement réalisé pendant la durée de 2 heures du dernier cours de l'enseignement, supprimé pour être remplacé par ce contrôle sur table. Les sujets sont désormais choisis en considération de ce format.
Retourner sur la description générale du Cours de Droit commun de la Régulation, comprenant notamment des fiches méthodologiques.
Compliance and Regulation Law bilingual Dictionnary
Watch the video explaining the "right to be forgotten".
The "right to be forgotten" is a recent and specifically European invention. It was designed by the Court of Justice of the European Union in the Google Spain judgment of May 13, 2014, so that in this world without time, in which all information is eternally stored and available that is the digital world, the individual thus exposed can be protected against this new phenomenon, since forgetting no longer exists, by Law which by its power endows it with a "right to be forgotten". In this the term Right to be forgotten is more accurate.
Because Law is made to protect human beings, the technological efficiency which created the digital world is limited by the new legal prerogative of the person to make unattainable information which concerns him when it takes on a "personal character". This was taken up by the community regulation of April 27, 2016, often called GDPR, transposed in the member states of the European Union no later than May 25, 2018.
More than in the laws which have taken up the idea of protection of persons in the handling of "data" by others, expressing more the concern to protect the consumer in a market economy, it is a question of directly protecting persons. in a technological world allowing blind obedience, Europe rejecting this model because the technique of the files left him a terrible memory because of the Second World War. However, Law is the memory of peoples and expresses the “spirit” of these (Savigny).
Thesaurus : Doctrine
Référence complète : Terré, F., Concurrence et proportionnalité, in Parléani, G. (coord.), Mélanges en l'honneur du Professeur Claude Lucas de Leyssac, LexisNexis, novembre 2018, pp.467-471.
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Lire une présentation générale des Mélanges dans lesquels l'article a été publié.
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Thesaurus : Doctrine
► Full Reference: R. Gauvain & B. Balian, "Opposition et convergence des systèmes juridiques américains et européens dans les règles et cultures de compliance" ("Opposition and Convergence of American and European Legal Systems in Compliance Rules and Cultures"), in M.-A. Frison-Roche (ed.), 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 this contribution (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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Teachings : Droit de la régulation bancaire et financière - semestre 2022
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.
Compliance and Regulation Law bilingual Dictionnary
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.
Publications
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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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Thesaurus : Doctrine
► 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.
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► Article Summary: Compliance, which can be defined first and foremost as obedience to the law, is an issue for the company in that it can choose as a strategy to do or not to do it, depending on what such a choice costs or brings in. This same choice of understanding is offered to the author of the norm, the legislator or the judge, or even the entire legal system, in that it makes regulation more or less costly, and compliance with it, for companies. Thus, when the so-called “Vigilance” law was adopted in 2017, the French Parliament was criticized for dealing a blow to the “international competitiveness” of French companies. Today, it is on its model that the European Parliament is asking the European Commission to design what could be a European Directive. The extraterritoriality attached to the Compliance Law, often presented as an economic aggression, is however a consubstantial effect, to its will to claim to protect beyond the borders. This brings us back to a classic question in Economics: what is the price of virtue?
In order to fuel a debate that began several centuries ago, it is first of all on the side of the stakes that the analysis must be carried out. Indeed, the Law of Compliance, which is not only situated in Ex Ante, to prevent, detect, remedy, reorganize the future, but also claims to face more “monumental” difficulties than the classical Law. And it is specifically by examining the new instruments that the Law has put in place and offered or imposed on companies that the question of international competitiveness must be examined. The mechanisms of information, secrecy, accountability or responsibility, which have a great effect on the international competitiveness of companies and systems, are being changed and the measure of this is not yet taken.
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Compliance and Regulation Law bilingual Dictionnary
A monopoly refers to the power of a person to remove from a good its utility by excluding others. The monopoly refers to a situation on the market, the monopolist being the sole operator in the market. Lawyers are accustomed to the monopoly conferred by Law, for example the one that was the monopoly for the national public enterprise for electricity. In this case, what is done may be defeated, and the legislature may withdraw that privilege especially if the author of this norm is better placed in the hierarchy of norms than the previous author. For example, the European Union legislature withdrew the legal monopolies by means of directives from most of the operators holding them in the regulated sectors in order to liberalize them.
But the monopoly can have an economic source. Indeed, it may happen that a first operator constructs a structure, for example a wired telecommunications transport network. Because he is alone, agents on the market must resort to him to carry their communications, his business will be profitable. But from there, if a second operator built such an infrastructure, it would inevitably be in deficit for insufficient applicants. This is why no rational economic agent will build a second network. Thus, this network will remain unique. It is then an economically acquired monopoly that the legislative will can not change its nature. That is why it is called "natural".
Since what is can not be changed, Community law has taken note of the monopolistic nature of the majority of networks and the correlated power of their owner or manager, but has correlatively provided for their supervision by a regulator who not only Ex post to resolve possible differences between the infrastructure manager, the natural essential facility, and the one who wants to access it, but also, through an Ex ante power, to negotiate with that manager the return on his capital, his commitments investment in the network, etc., or even more directly by imposing on it the way in which it fixes access tariffs and so on.
These economically natural monopolies are therefore more powerful than legal monopolies, which States and lawyers have taken a long time to understand, but this also explains the reverse tendency of economists to write laws, The texts must handle this type of notions, its writers caring little about the political order and legal notions. The fact that the laws and regulations on regulated situations and supervised operators have long been elaborated solely from the point of view of lawyers, particularly of the public service, which was regrettable, does not justify this passage from one extreme to the other.
Thesaurus : Doctrine
► Full Reference: M. Torre-Schaub, "La compliance environnementale et climatique" ("Environmental and Climate Compliance"), in M.-A. Frison-Roche (dir.), L'Obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", to be published
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📕lire une présentation générale de l'ouvrage, L'Obligation de Compliance, dans lequel cet article est publié
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► Summary of this contribution (done by the Journal of Regulation & Compliance) : 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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Compliance and Regulation Law bilingual Dictionnary
La régulation est née de la nécessité de prendre en compte la spécificité des secteurs, souvent en accompagnement de la libéralisation de ceux-ci.
Mais, en premier lieu, des biens de différents secteurs peuvent être substituables. Ainsi, l’on peut se chauffer aussi bien au gaz qu’à l’électricité, la concurrence intermodale rendant moins pertinente la segmentation de la régulation du secteur de l’électricité et la régulation du secteur du gaz. Pareillement, un contrat d’assurance-vie est à la fois un instrument de protection pour l’avenir, un produit relevant donc de la régulation assurantielle, mais aussi produit financier placé auprès des consommateurs par des entreprises de banque-assurance, relevant donc de la régulation bancaire et financière. Cette intimité de la régulation par rapport à la technicité interne de l’objet sur lequel elle porte ne peut être effacée.
L'interrégulation qui va se mettre en place est d'abord institutionnelle. C’est pourquoi, une alternative s’ouvre : soit on fusionne les autorités, et ainsi la Grande Bretagne par la Financial Services Authority (FSA) a, dès 2000, fusionné la régulation financière et bancaire, ce que la France n’a pas fait (tandis que la France a fusionné la régulation des assurances et la régulation bancaire à travers l’ACPR). Ainsi, la première branche de l’alternative est la fusion institutionnelle, au risque de constituer des sortes de Titans, voire de reconstituer l’État. Soit on établit des procédures de consultation et de travaux communes, pour faire naître des points de contact, voire une base de doctrine commune contre les régulateur. L’autre branche de l’alternative consiste à respecter ce rapport initial entre régulation et secteur et de prendre acte des liens entre les secteurs à travers la notion proposée de « inter-régulation ». Cela suppose alors de mettre en place des réseaux entre des autorités demeurées autonomes, mais qui s’échangent des informations, se rencontrent, collaborent sur des dossiers communs, etc. Cette interrégulation peut d’abord être horizontale lorsque des autorités de plusieurs secteurs collaborent, par exemple l’autorité de contrôle prudentiel et l’autorité des marchés financiers, ou l’ARCEP et le CSA. Elle peut être aussi de type vertical lorsque les autorités de secteurs nationaux collaborent avec des autorités étrangères ou des autorités européennes ou internationales, comme le prévoit le processus Lamfalussy en matière financière (élargi aux secteurs de la banque et des assurances) ou le processus de Madrid en matière énergétique par lesquels chaque régulateur nationaux se rencontrent et travaillent en commun, avec et autour de la Commission européenne (technique de la comitologie).
L'interrégulation qui est ensuite notionnelle, un "droit commun" de la régulation s'élaborant, commun entre tous les secteurs. Ce "droit commun" (droit horizontal) est venu après la maturation des droits sectoriels de la régulation (droits verticaux). Il s'élabore de fait parce que les objets régulés se situent à la frontière de plusieurs secteurs, voire ignorent celle-ci : par exemple les produits financiers dérivés sur sous-jacent agricole ou énergétique. Plus encore, les "objets collectés" engendrent de l'interrégulation dans l'espace numérique. Ainsi, alors même qu'il est possible qu'Internet, donne lieu à une "interrégulation" avant de donner lieu à une régulation spécifique, celle-ci pouvant justifier que l'on se passe de la première.
Thesaurus : Doctrine
► Full Reference: J.-S. Borghetti, "Le rapport entre le Droit de la responsabilité civile et l'Obligation de Compliance" (The Relation between Tort Law and Compliance Obligation), in M.-A. Frison-Roche (dir.), L'obligation de Compliance, Journal of Regulation & Compliance (JoRC) and Dalloz, coll. "Régulations & Compliance", 2024, to be published.
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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 Author points out that in order to establish civil liability, it is first necessary to find fault, i.e. a deviation from an obligation, which will trigger a secondary obligation, that of reparation. But it can also be argued that it is from liability that this primary obligation arises, civil liability then revealing an obligation which existed only implicitly. That establishes a two-way relationship between liability and obligation. The Compliance Obligation illustrates this, in particular through the Obligation of Vigilance conceived by the French law of 2017.
The author therefore devotes the first part of his contribution to civil liability as a result of an Compliance Obligation, especially the Obligation of Vigilance. issued of the French law of 2017. After discussing whether the constraints generated by compliance should be classified as 'obligations', since there is no creditor, which therefore opens the way to liability in tort, he examines the conditions for incurring such liability, which are difficult, particularly with regard to the burden of proof and the demonstration of the causal link. The requirement concerning the latter may evolve in French law towards the admission of proportional causality, as is now accepted in certain cases in German case law.
In the second part of his contribution, the author deals with the hypothesis of civil liability as an indicator of a Compliance Obligation. He points out that the claims made, particularly in the cases of TotalOuganda (France) and Milieudefensie v. Shell (Netherlands) seek to obtain from the judge a such "revelation".
The author considers that it is not possible to draw from the French 2017 law which refers to article 1240 of the French Civil Code on the liability because this article is referred to only in order to organise the consequences of a breach of article L.225-102-4 of the French Commercial Code organising the Obligation of Vigilance (article 1240 being therefore under the secondary obligation described above) and not to feed what this article L.225-102-4 requires under the primary obligation (defined above).
On the other hand, the Shell judgment derives directly from civil liability an obligation to act. This is understandable if one takes the perspective and the measure of the future challenges posed, in this case in the area of climate change. But the author considers that it is up to the legislator to decide on such a development in Liability Law.
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Teachings : Compliance Law
Sont ici répertoriés les sujets proposés chaque année,
- soit au titre du travail à faire en parallèle du cours, à remettre à la fin du semestre (le jour de l'examen étant la date limite de remise),
- soit les sujets à traiter sur table, sans documentation extérieure et sous surveillance le jour de l'examen final.
Retourner sur la description générale du Cours de Droit de la Compliance, comprenant notamment des fiches méthodologiques.