Compliance: the company, the regulator and the judge

What phenomenon is compliance the translation of?

Like all Anglicisms, the word sometimes provokes reactions tinged with mistrust, even rejection. But for others, compliance is above all one of the most striking manifestations of an economic law that has become global, of a right to global claims.

From this angle, compliance can only arouse the interest of the lawyer. Which however comes up fairly quickly to the both sprawling and elusive character of the concept. We can obviously translate the word compliance by the word compliance. But it is still necessary to determine the rules to which it would be a question of complying. Unless we admit that the concept is absolutely meaningless, it cannot be a matter of complying with positive law.

The phenomenon is infinitely richer and more complex.

The entities responsible for ensuring the dissemination of the culture of compliance, the main recipients and those responsible for resolving conflicts in connection with this new situation must therefore take cognizance of this phenomenon. Compliance invites you to revisit the reports of the company, the judge and the regulators, which constitutes the general framework of this book.
Thus, the latter strives, first of all, to approach the concept as closely as possible, through a first part devoted to the guiding principles of compliance. It is because the law of compliance remains to be built, beyond certain spectacular manifestations such as American extraterritorial laws.

Compliance is then readily associated with a particular dynamic. We are indeed far from a static conformity. This may involve anticipating non-compliance, by setting up a compliance program, an ethics charter, or even a line dedicated to whistleblowers. We may still be tempted to verify the degree of compliance by carrying out an audit. Finally, when the compliance policy implemented upstream has not borne fruit, it is advisable to react to the sanction by remedying the lack of conformity, which sometimes goes hand in hand with negotiating the sanction. This particularity meant that a large place be left to concrete experiences of compliance.

Finally, compliance invites us to take a detailed look at the various compliance players. Everyone must find their place here, which will only be possible when the entire legal community has become familiar with compliance and the issues it raises.

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