► Full reference: Journal of Regulation & Compliance (JoRC) and University Jean Moulin - Lyon 3, Centre de recherche Louis Josserand : La contractualisation de la compliance : clause après clause (Compliance contractualisation: clause by clause), 25 September 2026
The symposium is under the scientific responsibility of Marie-Anne Frison-Roche and Jean-Christophe Roda.
Il will be held in French.
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To register:
🧮The event will take place at the University of Jean Moulin - Lyon 3.
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Presentation of the topic: There are numerous compliance clauses. Surprisingly little research has been done on them, which hinders the development of this practice. However, the Compliance Obligation that is so often emphasised in relation to civil liability no doubt because Compliance Law is excessively associated with sanctions, can just as easily originate from contracts and multiple clauses, since this is another way of being bound, without it being anything more than a means for the persons thus bound to fulfil their regulatory obligation.
It is therefore practice that has developed compliance clauses, the very existence of which is the subject of this symposium. By highlighting these provisions, their originality can be revealed, as well as the uniqueness conferred on them by Compliance Law and the diversity that may be required depending on criteria related to the purpose of the clauses, but also to the sector of activity or the identity of the contracting parties themselves.
From this already established practice, it is certainly the Judge who will determine its uniqueness and specificity. This case law is in its infancy because this practice is the result of compliance requirements arising from an emerging branch of Law, which is still under development.
Furthermore, the clauses examined here are not conceived from scratch, but are often adaptations of clauses familiar to lawyers, and as such may be reproduced, regulated, or even restricted or prohibited by rules that fall not only under general Contract Law, but also, clause by clause under Competition Law, Distribution Law, Consumer Law, Judicial and Procedural Law, or Private International law. The logic of Compliance Law, when it takes contractual form, does not always prevail and, in the same way that Compliance Law as a branch of Law is linked to other branches, compliance clauses, if they are to multiply and become more sophisticated, must be subject to this link.
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Speakers include:
🎤 Marie-Anne Frison-Roche, university professor, editor-in-chief of the Journal of Regulation & Compliance (JoRC) and Director of theEuropean School of Regulation and Compliance (EeRC)É
🎤 Julia Heinich, professor at Panthéon-Sorbonne University (Paris I)
🎤 Jacques Mestre, emeritus professor at the University of Aix-Marseille, president of the French Association of Doctors of Law (AFDD)
🎤 Jean-Christophe Roda, professor at the University of Lyon 3, director of the Louis Josserand research centre
The proceedings of this symposium will form the basis of a specific chapter in the following publications:
📕Compliance et Contrat, to be published in French in the collection 📚Regulations & Compliance, co-published by the Journal of Regulation & Compliance (JoRC) and Lefebvre-Dalloz.
📘Compliance and Contract, to be published in English in the 📚Compliance & Regulation Serie, co-published by the Journal of Regulation & Compliance (JoRC) and Bruylant (Larcier-Intersentia).
Nicolas Beck holds a Masters degree in "Law of the Economy and of Regulation" from the Institut d'Etudes Politiques de Strasbourg as well as a Master in "Banking and Financial Law" from the Faculté de Droit de Strasbourg. (...)
PeruRail, the operator of Peru’s famous railway line, providing service between Cuzco and Machu Picchu, was sanctioned USD$800,000 on May 10, 2010 by the {‘Instituto Nacional de Defensa de la Competencia y de la Protección de la Propiedad Intelectual’} (INDECOPI- Peru’s national institute for the defense of competition and protection of intellectual property) for having restricted competitors’ market entry. An appeal is underway.
La régulation bancaire européenne est toujours en attente de réforme, les Etats-Unis ayant adapté les règles par la loi Dodd-Frank, notamment via la règle Volcker qui exige au sein des banques la séparation de certaines activités et interdit aux banques de dépôt une liste d'activités. En Europe, le Royaume-Uni dispose du rapport de la Commission Vickers, qui prône un système beaucoup plus radical et d'une autre nature, à savoir la séparation entre les banques de dépôt et les banques d'investissement. La Commission Européenne a demandé sur le même thème un rapport à la Commission Liikanen.
Celle-ci a rendu son rapport le 2 octobre, dont les conclusions se situent entre les deux. Le rapport ne demande pas la séparation préservant le modèle continental de la banque universelle, mais préconise à l'intérieur des banques la séparation des activités non-risquées de gestion de fonds (qui continueraient d'être garanties par l'Eat) et des activités risquées de gestions de fonds (qui cesseraient de bénéficier d'une telle garantie).
► Full Reference: Journal of Regulation & Compliance (JoRC) and Law Faculty of Perpignan, Le juge face aux clauses et aux contrats de compliance (The Judge facing clauses and contracts of Compliance), Faculty of Perpignan, 7 April 2023.
🧮The event takes place in the premises of the University of Perpignan, on Friday 7 April 2023, from 9:00 to 18:30. It takes place in a hybrid way.
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Presentation of the theme:
The Compliance obligation will increasingly take the form of contracts. This is because the texts unilaterally adopted by Public Authorities oblige economic operators to adopt clauses to give concrete form to the legal obligations of Compliance, for instance active prevention of corruption or effective vigilance in the value chain to avoid environmental or human rights violations. It also comes from the fact that companies, for many reasons, commit themselves to contribute to the efficacy achievement of the Monumental Goals of Compliance, with the contract being the most natural, balanced and flexible way to achieve this.
In this multiple contractual activity, which can manifest itself either in complete contracts, "compliance contracts", or in stipulations that more or less deviate from the regulations, the judge is never far away, because the judge is always, regardless of the legal system and the type of contract, active in this matter.
The general relationship between the Judge and Compliance Law has just been the subject of a series of symposiums and the publication of a book, La juridictionnalisation de la Compliance (Compliance Jurisdictionalisation, to be published in English). The aim here is to refocus the perspective on what happens when the judge is facing a contract that has Compliance issues at stake or, at the very least, contains Compliance stipulations.
The purpose of this symposium and the articles that will follow is to study this hypothesis, which is becoming more and more frequent and could become the standard.
The Report on The Patent Markets in Knowledge Economy focuses on the development of new forms of “commoditisation” patents (as sold at auction, by brokers’ interventions, electronic platforms...) that lead to a more structured and open market. The difficulties linked to the emergence of those new tools, first and foremost, the valuation of the patents, are real and must not be ignored. However, for the authors of the Report, the great state of uncertainty where we currently find ourselves implies the need for the authorities to be very cautious, despite that fact the opportunities these different Patent Markets present must at the same time lead to a positive and proactive approach. France and Europe (the European level is imperative) must be present in this arena. For these actors, new experiments must undoubtedly be encouraged and the creation of new forms of valorisation must be developed. Simultaneously, the Patent System would have to be reconsidered to ensure the delivery of high quality patents. In sum, the authors of the Report plead for “sustained attention” to be accorded to these questions on behalf of the public authorities.
FRENCH
Rapport bibliographique (Littérature Grise): Les marchés des brevets dans l'économie de la connaissance (The Patent Markets in Knowledge Economy)
Le rapport sur Les marchés des brevets dans l'économie de la connaissance se concentre sur le développement de nouvelles formes de "marchandisation" des brevets (lorsque vendus aux enchères, par l'intervention de courtiers, sur des plateformes électroniques...) qui aboutissent à un marché plus structuré et plus ouvert. Les difficultés liées à l'émergence de ces nouveaux outils, avant tout l'évaluation des brevets, sont réelles et ne doivent pas être ignorées. Cependant, pour les auteurs du rapport, l'état de grande incertitude dans lequel nous sommes aujourd'hui implique des autorités qu'elles soient très précautionneuses, malgré le fait que les possibilités que ces marchés des brevets offrent doivent faire l'objet d'une approche à la fois positive et incitative. La France et l'Europe (le niveau Européen est inévitable) doivent être présentes dans domaine. Pour ces acteurs, de nouvelles formes de valorisation doivent être développées. Simultanément, le système de brevets devrait être reconçu pour assurer la délivrance de brevets de haute qualité. En somme, les auteurs du rapport plaident pour qu'une "attention maintenue" soit accordée à ces questions au nom des autorités publiques.
GERMAN
Bibliographischer Bericht: die Patentmärkte in der Ökonomie des Wissens (The Patent Markets in Knowledge Economy)
Der Bericht über „Die Patentmärkte in der Ökonomie des Wissens“ beschreibt die Entwicklung von neuen Formen der „Kommodifizierung“ und Kommerzialisierung von Patenten (Verkauf auf Auktionen, durch Börsenmakler, auf elektronischen Plattformen…), die zu einem strukturierteren und offeneren Markt führen. Die Schwierigkeiten dieser Kommerzialisierung sind beträchtlich, vor allem im Hinblick auf die Wertbestimmung der Patente. Die Autoren betonen einerseits, dass die allgemeine Ungewissheit, in der wir uns befinden, zur Vorsicht anhält, aber dass andererseits ein proaktives Eingreifen und Regulierung notwendig erscheinen um dieses Potential zu nutzen. Frankreich und vor allem Europa muss in diesem Bereich aktiv werden. Sie müssen sich hier auf unbekanntes Terrain wagen und neue Formen der Bewertung von Patenten erproben. Gleichzeitig sollte jedoch das Patentsystem reformiert werden um eine hohe Qualität der Patente zu sichern. Insgesamt, fordern die Autoren „nachhaltige Aufmerksamkeit“ der öffentlichen Autoritäten zu diesen Fragen.
ITALIAN
Relazione bibliografica (Letteratura Grigia): Les Marchés des brevets dans l’economie de la connaissance (I mercati dei brevetti nell’economia della conoscenza)
La relazione su “I mercati dei brevetti nell’economica della conoscenza” si concentra sullo sviluppo di nuove forme di mercificazione di brevetti (vendita all’asta, per mezzo di intermediari finanziari, piattaforme elettroniche…) che portano verso un mercato più strutturato e più aperto. Le difficoltà legate alla diffusione di questi nuovi meccanismi, soprattutto per quanto riguarda la valutazione dei brevetti, sono reali e non devono essere sottovalutate. Tuttavia, secondo gli autori della relazione, il grande stato di incertezza, in cui versiamo , implica la necessità per le autorità di essere molto caute, nonostante le opportunità offerte da questi mercati dei brevetti e devono indurre ad un approccio positivo e proattivo. La Francia e l’Europa (lo standard europeo è obbligatorio) vanno tenuti in debita considerazione. Per questi operatori, vanno certamente incoraggiate nuove esperienze e sviluppata la creazione di nuove forme di valorizzazione. Nel contempo, il sistema dei brevetti dovrebbe essere riconsiderato in modo da assicurare il rilascio di brevetti di alto livello. In sintesi, gli autori sostengono che le autorità pubbliche debbano accordare una “attenzione sostenuta” a tali questioni.
CHINESE
书目报告（灰色文献）：知识经济中的专利交易(The Patent Markets in Knowledge Economy)
Informe bibliográfico (Literatura Gris): Los mercados de patentes en la economía del conocimiento (The Patent Markets in Knowledge Economy)
El informe Los mercados de patentes en la economía del conocimiento se enfoca en el desarrollo de nuevas formas de patentes de "commoditización" (vendidos en subastas, por intervención de agentes, plataformas electrónicas...) que llevan a un mercado más estructurado y abierto. Las dificultades liadas al surgimiento de esos nuevos instrumentos, primordialmente, la tasación de los patentes, son reales y no deberían de ser ignoradas. Sin embargo, para los autores del informe, el estado de gran incertitud en la cual nos encontramos ahora implica la necesidad de que las autoridad actúen con cautela, pero a pesar de esto, las oportunidades que presentan estos diferentes Mercados de Patentes deberán a la misma vez llevar a una postura positiva y proactiva. Francia y Europa (el nivel europeo es imperativo) deberán de estar presentes en esta arena. Para estos actores, nuevos experimentos deberán ser alentados y la creación de nuevas formas de valoración deberán ser desarrolladas. Simultáneamente, el Sistema de Patentes debería de ser reconsiderado para asegurar la entrega de patentes de alta calidad. En síntesis, los autores del informe le ruegan a las autoridades públicas una mayor "atención sostenida" a estas cuestiones.
In Morocco, after months of adjustments to bring together stakeholders, a draft law has been prepared and introduced in the Council of Ministers the end of May 2012. The Département des assurances du ministère (Insurance Department) will then give way to an independent regulator, the Autorité de Contrôle des Assurances et de la Prévoyance Sociale - ACAPS (Supervisory Authority of Insurance and Social Welfare). Independent of the Executive, the regulator is financed by a tax on insurers and the administrative fines which it imposes. It is composed of two bodies. The first determines the general policy of the Authority, fixes the financial contribution due from insurers, approves staff plan, grants licences to insurers. The second, sets up by the President, draws up the annual budget, and adopts the agenda of the meetings and the decisions of sanctions. The Board of discipline certainly presided by a magistrate of the Cour de cassation (Civil Supreme Court), only provides an advisory opinion to the President of the Authority on proposed sanctions.
In a report published on October 26th, 2010, the Autorité de Régulation de la République Islamique de Mauritanie (the Mauritanian Multi-sector Regulatory Authority) orders three mobile telephony operators to enhance quality of service provided in the country. Mauritel SA, Mattel SA and Chinguitel SA all have one month from October 26th, 2010, to comply with their obligations to provide less than 5% of dropped phone calls.
FRENCH
Fiche thématique (Télécommunications): L'Autorité de Régulation mauritanienne ordonne à trois opérateurs de téléphonie mobile d'augmenter leur qualité de service.
Dans un rapport publié le 26 octobre 2010, l'Autorité de Régulation de la République Islamique de Mauritanie ordonne à trois opérateurs d'augmenter la qualité des services délivrée dans le pays. Mauritel SA, Mattel SA et Chinguitel SA disposent d'un mois à partir du 26 octobre 2010 pour se conformer à leur obligation de fournir moins de 5% de perte d'appels téléphoniques.
GERMAN
Thematischer Bericht (Telekom): Die Regulierungsbehörde Mauretanien befehlt, dass drei Mobilfunkanbieter die Dienstqualität verbessern.
In einem Bericht, der am 26. Oktober 2010 veröffentlicht wurde, hat die Autorité de Régulation de la République Islamique de Mauritanie (die multi-sektorielle Regulierungsbehörde der Islamische Republik Mauretanien) befehlt, dass drei Mobilfunkanbieter die Dienstqualität verbessern. Mauritel SA, Mattel SA und Chinguitel SA verfügen über einen Monat ab dem 26. Oktober 2010, um weniger als 5% unterbrochener Anrufe anzubieten.
SPANISH
Informe Temático (Telecom): La Autoridad Regulatoria de Mauritania ordena a tres operadores de teléfonos móviles de incrementar su calidad de servicio.
En un informe publicado el 26 de octubre del 2010, la Autorité de Réglation de l République Islamique de Mauritanie (la Autoridad regulatoria multi-sector de Mauritania) ordena a tres operadoras de teléfonos móviles de realzar la calidad del servicio proveído en el país. Se les ha dado un mes comenzando el 26 de octubre del 2010 tanto a Mauritel SA, Mattel SA como Chinguitel SA para llenar los requisitos y cumplir con las obligaciones de proveer menos del 5% de llamadas cortadas.
CHINESE
主题性报告（电信）：毛里塔尼亚监管机构勒令三家移动电信运营商提高其服务质量。
在2010年10月26日所公布的报告当中，Autorité de Régulation de la République Islamique de Mauritanie（毛里塔尼亚伊斯兰共和国跨部门监管机构）勒令该国三家移动电信运营商改善其国内电信服务质量。自2010年10月26日起，Mauritel SA, Mattel SA and Chinguitel SA三家公司要在一个月期限之内将其通话掉线率控制在5%以内。
