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Union Internationale des Avocats I Bringing Together the World’s Lawyers ● Rassembler les avocats du monde ● Reunir a los abogados del mundo INTERNATIONAL 2020.2 October 28-30 Virtual Congress Special 2020 G lobal

L e g al S olution s P remier S p on s or Current Trends in Start-Ups Legal Aspects and Crowd Financing of Artificial Intelligence A useful reference for corporate and commercial For legal practitioners and academics interested in lawyers dealing with legal issues relating to esta- learning about the future of the practice of law and blishing or financing a start-up in Europe or the courtroom decisions. United States. Drafting Effective International Contracts Compliance - Challenges and of Agency and Distributorship - Opportunities for the Legal Profession a Practical Handbook A useful reference for legal practitioners dealing Intended for lawyers in private-pratice or for inhouse with day-to-day compliance issues in the fields of lawyers, who are faced with drafting international corporate, commercial, banking & finance, and anti- commercial agency or distributorship contracts, and trust law. contracts for other forms of distribution. Recognition and Enforcement International Public Procurement of Judgments and Arbitral Awards Intended to assist any practitioner in the public For dispute resolution lawyers with international procurement sector in developing a fuller under- clients as well as academics specialising in the field of standing of the public procurement process and its international dispute resolution. legislative developments at a global level.

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PURCHASE THE COMPLETE COLLECTION ON store.lexisnexis.co.uk boutique.lexisnexis.fr store.lexisnexis.ca/en Table of contents Sommaire Indice

Table of contents I Sommaire I Indice I 2 President’s Editorial 3 Éditorial du Président 4 Editorial del Presidente 5 In Memoriam Luis Delgado De Molina 6 Message from the Editor-in- Chief 7 Message du rédacteur en chef 8 Mensaje del Redactor Jefe 9

UIA News I Actualités de l’UIA I Novedades de la UIA I 10 UIA 2020 Virtual Congress 11 La médiation internationale 14 Digital Presence: Now You See Me, Now You Don’t 17 Le 28e Forum mondial UIA des centres de médiation sera virtuel 21

Human Rights and Protection of Lawyers I Droits de l’Homme et de la Défense I Derechos Humanos y de la Defensa I 22 Les avocats du Barreau de Bordeaux créent un pôle destiné aux mineurs étrangers 23 Visages de la liberté : ils prennent le risque de défendre 24 Saudi Arabia Human Rights Defender, Waleed Abu Al-Khair 26

The Legal Profession I La Profession d’Avocat I La Abogacía I 28 How Notary Publics are Gatekeepers to Prevent Property Identity Theft 29 Cross-Cultural Lawyering and International Succession Law 32 Innovation in Legal Education: The Entrepreneurial Law Course 35

Legal Practice I Pratique du Droit I Ejercicio de la Abogacía I 38 Bancarrota de los consumidores: salida legal 39 How the European Union and the United States Differ Regarding Agricultural GMOs and NBTs 41 5 Things you Need to Know When Posting Employees to the Heart of Europe 45 Las empresas B 49 Les nouveaux régimes fiscaux incitatifs pour les expatriés HNWIs et retraités résidents en Italie 52 “Life Moves Pretty Fast”: a decade on from bitcoin, English law confronts cryptoassets 55 Website Accessibility Litigation 101 59 The “Cat-and-Mouse Game” with Tax Avoidance 63 Digital Natives and Analogue Adults: The Same Naive Approach to Technological Evolution and Data Protection 66 Health Science, Virtual and Augmented Reality, and Legal Frameworks: What is the Future? Part II 69 Africa and International Arbitration: New Developments 73 Plaidoyer visant à l’adoption rapide d’un acte uniforme OHADA sur la protection des données à caractère personnel 76

Bringing Together the World’s Lawyers I 2 ■ 2020 1 Actualités de l’UIA EditorialUIA News Novedades de la UIA President’s Editorial

I Jerome ROTH

On June 16, I sent a letter to all UIA members oppose discrimination, and to challenge do not start at home. The Rule of Law on behalf of myself and certain members of inequalities that have persisted for far too is constantly tested – in China, by laws our United States National Committee. In long. Those are UIA values. We stand that raise alarm bells in Hong Kong and it we recognized the traumatic events that for diversity and multiculturalism. We are by treatment of dissident lawyer and the had recently rocked the United States. The committed to exchanging information with Uighur population; in Turkey where the Actualités de l’UIA Covid crisis and related financial meltdown and learning from those from backgrounds government continues to prosecute lawyers ceded the headlines to the obscene killing of different from our own. We cherish for doing their jobs; in Poland, where a Black man by a Minnesota police officer. collegiality and dialogue. How can we the independence of the judiciary remains EditorialUIA News The video of the officer kneeling on the trumpet such principles but shy away from under assault. Covid exacerbated many man’s neck until he died shocked a nation. opposing injustice? of these tendencies, giving authorities an The incident gave rise to protests around excuse to clamp down on free speech, the the globe demanding action in response to I also struggled with UIA’s status as an right of assembly, and access to justice. Novedades de la UIA police killings of unarmed Black people and international organization. Issues raised by to systemic racial injustice. the death of George Floyd are, in many But how can we speak out against these ways, uniquely American. They grow from incursions if we do not face hard truths I have to admit, as the Association’s the particular history of the United States. I in our own societies? How can I, as an president during this tumultuous period, I feared that “globalizing” the racial question American, advocate for the Rule of Law if was torn in several ways. we face would diminish or even excuse it I do not fight for it in the United States? as a “universal” problem, part of the human How can UIA and IROL strive to safeguard First, I was concerned that addressing issues condition, rather than an American stain. the Rule of Law if we do not demand it raised by the killing might be deemed too And would the death of a Black man in of all nations, of all members of our own “political.” I have been criticized by some Minnesota be relevant to UIA members association, and of our profession? for veering into the “political” when I have around the world, to lawyers millions of addressed what I believe to be issues of miles away whose daily lives have nothing These questions also answer themselves. paramount importance to lawyers, such as to do with his death. I also wondered their response to increasing populism and if criticism of my own country to an Jerome C. ROTH nationalism. Yes, the protests had given rise international audience was disloyal in some UIA President to political debates throughout the United way – should the reckoning we need to [email protected] States pitting those who demand racial undertake remain with the US “family”? justice against those who emphasize “law and order”. Efforts to address our past dating My conversations with UIA colleagues gave back to slavery run up against those who me clarity on these concerns as well. insist we cannot “change” history. Does that tension, do those opposing viewpoints, mean The more I talked to our members, the that I, or that the UIA, should refrain from more I learnt about how the scourge of taking a position? Must lawyers, in their quest racism infects the entire world. While to remain above the political fray, remain globalism has brought peoples together, it neutral on an issue as fundamental as racial has also resulted in new and increased forms inequities, including in our legal system? of discrimination. Those who marched in protest on every continent decried racism in The question answered itself. Lawyers the United States and in their own countries. must engage in the moral issues of the To recognize that did not minimize the long day. To ignore them, to turn a blind eye road we in America must travel to live up to to inequalities, to overlook distortions in our ideals. It simply acknowledged that the the legal system, in the name of political world as a whole, and lawyers everywhere, neutrality, is not an option. Of course, have a responsibility to root out prejudice we cannot impose viewpoints on others. and inequality in our profession and our Each of us must chart our own course. communities. But it is our duty to stand with lawyers and communities of all ethnic and national Finally, I realized we cannot speak out backgrounds to demand fair treatment, to against violations of the Rule of Law if we

Rassembler les avocats du monde I 2 ■ 2020 3 Editorial du Président

I Jerome ROTH

Le 16 juin, j’ai envoyé une lettre à tous les du système juridique, au nom de la neutralité Si le mondialisme a rapproché les peuples, membres de l’UIA en mon nom et au nom politique : ce n’est pas une option. Bien sûr, il a également entraîné de nouvelles formes de certains membres de notre Comité nous ne pouvons pas imposer des points de de discriminations, qui se sont multipliées. national américain. Nous y prenions acte vue aux autres. Chacun de nous doit tracer sa Ceux qui ont manifesté sur tous les conti- des événements traumatisants qui avaient propre voie. Mais il est de notre devoir d’être nents ont dénoncé le racisme aux États- récemment secoué les États-Unis. La pan- aux côtés des avocats et des communautés Unis et dans leur propre pays. Reconnaître démie du Covid et la crise financière qui de toutes origines ethniques et nationales cela ne minimise pas le long chemin que en a découlé ont fait la une des journaux pour exiger un traitement équitable, pour nous devons parcourir aux États-Unis pour jusqu’au meurtre obscène d’un homme noir nous opposer à la discrimination et pour être à la hauteur de nos idéaux. Il faut sim- par un policier du Minnesota. La vidéo du protester contre les inégalités qui persistent plement admettre que le monde dans son policier agenouillé sur le cou de cet homme depuis bien trop longtemps. Ce sont-là les ensemble, et les avocats où qu’ils soient, ont jusqu’à ce qu’il meurt a choqué toute une valeurs de l’UIA. Nous défendons la diversité la responsabilité d’effacer les préjugés et les nation. L’incident a donné lieu à des protes- et le multiculturalisme. Nous nous engageons inégalités au sein de notre profession et de tations dans le monde entier, exigeant que à échanger des informations et à apprendre nos communautés. des mesures soient prises en réponse aux de ceux qui ont des origines différentes des meurtres par la police de Noirs non armés nôtres. Nous chérissons la collégialité et le Enfin, j’ai réalisé que nous ne pouvions pas et à l’injustice raciale systémique. dialogue. Comment pouvons-nous claironner dénoncer les violations de l’État de droit si de tels principes tout en esquivant tout effort nous ne commencions pas par notre propre Je dois admettre qu’en tant que président de pour nous opposer à l’injustice ? pays. L’État de droit est constamment mis l’association pendant cette période tumul- à l’épreuve : en Chine, par des lois à la tueuse, j’ai été tiraillé de plusieurs façons. Je me suis également confronté au fait que suite desquelles Hong Kong tire la sonnette l’UIA est une organisation internationale. d’alarme à et par le traitement réservé aux Tout d’abord, je craignais qu’aborder les Les questions soulevées par la mort de avocats dissidents et à la population ouïgoure ; questions soulevées par ces meurtres ne George Floyd sont, à bien des égards, en Turquie, où le gouvernement continue de soit jugé trop « politique ». Certains m’ont uniquement américaines. Elles découlent poursuivre les avocats pour avoir simplement critiqué pour touché au « politique » quand de l’histoire particulière des États-Unis. Je exercé leur profession ; en Pologne, où j’ai abordé des questions qui me paraissent craignais que la « mondialisation » de la l’indépendance du pouvoir judiciaire reste d’une importance capitale pour les avo- question raciale à laquelle nous sommes menacée. Le Covid a exacerbé nombre de cats, comme leur réponse à la montée du confrontés ne l’atténue ou même ne l’ex- ces tendances, donnant aux autorités une populisme et du nationalisme. Oui, c’est cuse comme un problème « universel », fai- excuse pour restreindre la liberté d’expres- vrai que les manifestations ont donné lieu sant partie de la condition humaine, plutôt sion, le droit de réunion et l’accès à la justice. à des débats politiques à travers les États- que comme une ignominie américaine. Et la Unis opposant ceux qui réclament la justice mort d’un homme noir dans le Minnesota Mais comment pouvons-nous nous éle- raciale à ceux qui mettent l’accent sur aurait-elle un rapport avec les membres ver contre ces incursions si nous ne nous « l’ordre public ». Les efforts pour faire face de l’UIA dans le monde, avec les avocats à confrontons pas aux dures vérités dans nos à notre passé qui remonte à l’esclavage se des millions de kilomètres de là, dont la vie propres sociétés ? Comment puis-je, en heurtent à ceux qui insistent sur le fait que quotidienne n’a rien à voir avec sa mort ? tant qu’Américain, défendre l’État de droit nous ne pouvons pas « changer » l’histoire. Je me suis également demandé si la critique dans le monde si je ne me bats pas pour lui Ces tensions, ces points de vue opposés, de mon propre pays devant un public inter- aux États-Unis ? Comment l’UIA et l’IROL signifient-ils que moi, ou l’UIA, devrions national n’était pas déloyale d’une certaine peuvent-elles s’efforcer de sauvegarder l’État nous abstenir de prendre position ? Les manière : la remise en cause que nous de droit si nous ne l’exigeons pas de toutes avocats, dans leur quête pour rester au-des- devons entreprendre doit-elle plutôt rester les nations, de tous les membres de notre sus de la mêlée politique, doivent-ils rester au sein de la seule « famille » américaine ? propre association et de notre profession ? neutres sur une question aussi fondamen- tale que les inégalités raciales, y compris Mes conversations avec mes confrères de Là encore, les réponses se trouvent dans dans notre système juridique ? l’UIA m’ont également permis de clarifier les questions. ces préoccupations. La réponse est dans la question. Les avocats Jerome C. ROTH doivent s’engager dans les questions morales Plus je parlais à nos membres, plus j’appre- Président de l’UIA d’actualité. Les ignorer, fermer les yeux sur nais comment le fléau du racisme infecte le [email protected] les inégalités, négliger les dysfonctionnements monde entier.

4 2 ■ 2020 I Reunir a los abogados del mundo Editorial del Presidente

I Jerome ROTH

El 16 de junio envié una carta a todos de las desigualdades, pasar por alto las entero. Aunque la globalización ha acercado los miembros de la UIA en mi nombre distorsiones del sistema jurídico en nombre a la gente, también ha dado lugar a nuevas y y en el de algunos miembros de nuestro de la neutralidad política, no es una opción. mayores formas de discriminación. Quienes Comité Nacional estadounidense En Naturalmente, no podemos imponer se manifestaron para protestar en todos ella reconocíamos los acontecimientos nuestros puntos de vista a los demás. Cada los continentes condenaban el racismo en traumáticos que han azotado últimamente uno debe marcar su propio rumbo. Pero es Estados Unidos y en sus propios países. a Estados Unidos. La crisis del coronavirus nuestra obligación apoyar a los abogados y Este reconocimiento no minimizaba el largo y el derrumbe financiero cedieron los comunidades de cualquier etnia o nación camino que debemos recorrer en América titulares al despreciable asesinato de un para exigir un tratamiento justo, luchar para estar a la altura de nuestros ideales. hombre negro a manos de un agente de contra la discriminación y hacer frente a las Simplemente reconocía que el mundo policía de Minnesota. El vídeo del policía desigualdades que siguen existiendo desde entero, y todos los abogados, tienen la hincando su rodilla sobre el cuello del hace ya demasiado tiempo. Esos son los responsabilidad de desterrar los prejuicios hombre hasta matarlo conmocionó a toda valores de la UIA. Defendemos la diversidad y la desigualdad en nuestra profesión y en una nación. El incidente generó en todo y la multiculturalidad. Nos comprometemos nuestras comunidades. el planeta protestas para exigir una acción a intercambiar información y aprender contra los homicidios de personas negras de aquellos que tienen orígenes distintos Por último, me he dado cuenta de que desarmadas cometidos por la policía y del nuestro. Valoramos el compañerismo no podemos manifestarnos contra contra la injusticia racial sistémica. y el diálogo. ¿Cómo vamos proclamar las violaciones del Estado de derecho estos principios y al mismo tiempo evitar si no empezamos por nuestro entorno Debo admitir que, como Presidente de la oponernos a la injusticia? inmediato. El Estado de derecho se pone asociación durante este periodo tumultuoso, constantemente a prueba: en China, por las me he sentido dividido por varios motivos. También he tenido dificultades con leyes que hacen saltar las alarmas en Hong el estatus de la UIA como organización Kong y por el tratamiento de los abogados En primer lugar, me preocupaba que me internacional. Los problemas que plantea la disidentes y la población uigur; en Turquía, tacharan de ser demasiado «político» si muerte de George Floyd son, en muchos porque el gobierno sigue persiguiendo a abordaba las cuestiones que plantea este sentidos, puramente americanos. Son el los abogados por hacer su trabajo; en asesinato. A veces se me ha criticado resultado de la historia particular de Estados Polonia, porque la independencia del poder por adoptar una postura «política» Unidos. Temía que la «globalización» de la judicial todavía se ve atacada. La covid ha cuando he tratado temas que considero cuestión racial a la que nos enfrentamos acentuado muchas de estas tendencias, de vital importancia para los abogados, la redujera o incluso la excusara como dando a las autoridades una excusa para tales como su respuesta al aumento del un problema «universal», inherente a la reprimir la libertad de expresión, el derecho populismo y el nacionalismo. En efecto, las condición humana, más que como una de reunión y el acceso a la justicia. protestas dieron lugar a debates políticos lacra americana. ¿La muerte de un hombre en todo Estados Unidos, enfrentando a negro en Minnesota sería relevante para ¿Pero cómo podemos denunciar estas quienes exigen justicia racial con quienes los miembros de la UIA de todo el mundo, incursiones si no nos enfrentamos a la cruda dan importancia a «la ley y el orden». para abogados que se encuentran a millones realidad en nuestras propias sociedades? Los esfuerzos por enmendar la esclavitud de kilómetros, cuya vida diaria no tiene ¿Cómo puedo, como americano, defender de nuestro pasado chocan con quienes nada que ver con esta muerte? También el Estado de derecho si no lucho por él en insisten en que no podemos «cambiar» me preguntaba si la crítica de mi propio Estados Unidos? ¿Cómo pueden la UIA y la historia. ¿Significan esa tensión y esos país de cara a un público internacional sería el IROL esforzarse por defender el Estado puntos de vista enfrentados que yo, o la en cierto modo desleal. ¿La valoración que de derecho si no lo exigimos a todas las UIA, debamos abstenernos de adoptar una hemos de hacer debería quedarse en la naciones, a todos los miembros de nuestra postura? ¿Deben los abogados, en su afán «familia» estadounidense? propia asociación y a nuestra profesión? por estar por encima de cualquier debate político, mantenerse neutrales ante un tema Mis conversaciones con compañeros de la Aquí las respuestas caen también por su tan importante como son las desigualdades UIA me han arrojado luz también sobre propio peso. raciales, incluso en nuestro sistema jurídico? estos temas. Jerome C. ROTH La respuesta cae por su propio peso. Los Cuanto más hablaba con nuestros Presidente de la UIA abogados deben implicarse en las cuestiones miembros, más aprendía sobre cómo [email protected] morales actuales. Ignorarlas, apartar la vista contamina la lacra del racismo al mundo

Bringing Together the World’s Lawyers I 2 ■ 2020 5 IN MEMORIAM Luis DELGADO DE MOLINA

Ha fallecido recientemente Luis Delgado de Siempre fue, en uno u otro ámbito, referente Tenemos la convicción moral de que Molina, Presidente de Honor de UIA. de ponderación, conocimiento, justicia y su impronta perdurará en UIA siempre porque, aún las generaciones que no le Este artículo es el eco del sentir de los amistad. Entendía la vida con hidalguía y así llegaron a conocer, verán una Institución presidentes de la Institución y de muchos lo hacía ver y sentir a los que le rodeaban. que desarrolla su actividad de modo eficaz otros que lo conocieron a lo largo de su Creemos que como presidente Luis Delgado y sin estridencia. dilatada vida. de Molina llevó el equilibrio, bajo el principio La perdurabilidad de la gestión es el gran Aun teniendo todos los atributos que “todo en su medida y armoniosamente”, a patrimonio de UIA al que los presidentes, corresponderían al concepto de bonhomía, la gestión de UIA. Los presidentes que le y Luis a la cabeza, han dedicado su tiempo lo que hoy debemos resaltar de Luis es que precedieron y sucedieron en el cargo lo respetando los diferentes estilos. La fue un gran abogado. Fue un abogado tan recuerdan con cariño por su hombría de diversidad, potenciada por Luis, es una exitoso en el foro como cuando representó bien y con respeto por su saber hacer. muestra más de la riqueza intelectual que a la profesión en organismos y entidades. promovió. Su conocimiento de la técnica jurídica y Tener liderazgo sin que se perciba, auctoritas, su brillante modo de exponerla coadyuvó es lo que hoy tiene UIA en la comunidad a tener una Administración de Justicia jurídica y Luis ha sido uno de los grandes eficiente. Por ello, se ganó el respeto de orfebres para alcanzar ese objetivo. todos los profesionales con los que se relacionó. Donde quiera que puedas estar, querido Luis, permanecerá siempre tu recuerdo en La denodada defensa de la defensa que la Unión Internacional de Abogados, que mantuvo siempre hizo que la abogacía es y será sabia y fuerte por la contribución fuera una profesión baluarte de libertades recibida de hombres como tú. cívicas. Así lo sostuvo en las instituciones profesionales que dirigió tanto en España Presidentes de Honor como en todo el mundo, lo que llevó a un y Presidentes de la Unión Internacional de robustecimiento del Estado de Derecho. Abogados.

Luis Delgado de Molina, President of his good repute and respectfully for his Honour of UIA has recently passed away. know-how. This article is the echo of the feelings of all the We have the moral conviction that his Presidents of the Institution and many others stamp will remain in UIA forever as, even who knew him throughout his long life. the generations who never met him, will see an Institution which develops its activity Although he had all the qualities the concept successfully and without stridency. of kindheartedness can involve, what we must highlight from him is the fact that he The durability of the management is the was a great lawyer who was as successful great legacy of UIA to which all Presidents, with Luis at the lead, have dedicated their in the forum as when he represented the time respecting the different styles. The profession in bodies and entities. diversity, reinforced by Luis, is one more His knowledge of the legal technique and his proof of the intellectual wealth he fostered. brilliant way of showing it helped to have an Having leadership without being noticed, Administration of efficient Justice. Thus, he auctoritas, is what UIA currently has within gained the respect of all the professionals the legal community and Luis was one of whom he dealt with. and friendship. He understood life with the main goldsmiths who achieved that goal. nobility, what he made people around him His indefatigable defense of advocacy see and feel. Wherever you may be, dear Luis, you will made this legal profession a bastion of civil be always remembered by the International liberties, which he supported within all We believe that, as President of UIA, Luis Association of Lawyers which is and will be the professional institutions he managed Delgado de Molina brought the balance to wise and strong thanks to the contribution in Spain and worldwide and led to the the management of UIA under the principle: of men like you. strengthening of the Rule of Law. “everything harmoniously and in the right Presidents of Honour In one area or another, he always was a measure”. All the former Presidents and and Presidents of the International reference of balance, knowledge, justice his successors remember him fondly for Association of Lawyer

6 2 ■ 2020 I Rassembler les avocats du monde Message from the Editor-in-Chief

I Nicole VAN CROMBRUGGHE

Covid, Covid, Covid – that’s the new associated with their positions in terms of information on a variety of issues: from the leitmotif of any discourse, whether private responsibility, they are also likely to adopt difference between the policies adopted by or public. And the message conveyed to radically conservative or even alarmist the European Union and the United States people is: Protect yourselves, the enemy positions, to be taken “with a grain of salt”. on GMOs and new plant breeding techniques is within our walls. Protect yourself, for Shouldn’t we also question the growing (Diego Saluzzo) and the future of health yourself and for others, in the name of the tendency of our governments to shift their science in our contemporary digital context solidarity you owe to the community. responsibility to these famous experts, with (Barbara Gislason), to B companies whose aim And meanwhile, between the holidays governments and experts passing the buck to is not confined to profit-making alone (José and Covid, we are deaf to any other the people, because isn’t it because of their Pajares Echeverría), to tax-related subjects information: Lebanon is on the verge of failure to abide by the rules laid down for their – whether it is the article by Anne-Manuelle disaster? Every day, 25,000 people, including protection that the pandemic is witnessing Gaillet & Luca Valdameri on expatriates and more than 10,000 children, die of hunger such spikes, rebounds or even waves? retirees or the one by Constantin Neacsu and its associated causes, mainly disease, the That being the case, the situation is difficult on tax evasion, as well as the essential points lack of drinking water and hygiene, or at the and complex, not to say complicated, and will to bear in mind when it comes to positioning very least, a little more than 9 million deaths no doubt continue to be so for a long time to staff in the European Union (Kato Aerts). a year, including 6 million children under the come. Nevertheless, despite the difficulties As Marc Jones puts it in the article he has age of five who die prematurely as a direct faced, UIA is staying the course, holding its devoted to the solutions adopted by English or indirect result of hunger... It is estimated head high and sparing no effort to continue law on crypto assets, “Life Moves Pretty that 854 million people in the world are to keep in touch with its members and keep Fast” – and that is also the feeling you undernourished and that rising prices could them informed. Holding the annual Congress get while reading the articles by Michelle push an additional 100 million people into under these circumstances is a challenge, Worrall Tilton or Guido Lacchi on issues poverty and hunger... But all this seems to but UIA is embarking on the adventure specific to our digital world. be a very distant reality. with determination and imagination and is Last but not least, let us underline what My aim is certainly not to minimise the risk counting on you to be there. a real pleasure it was to read the articles – according to the WHO’s website, by July As for the Juriste, after an edition wholly by Esteban Carbonell O’Brien containing a 23, 2020, the pandemic caused by this new devoted to the consequences of Covid in very interesting proposal for innovation in coronavirus had already claimed 623,658 our sector of activity, we are returning to bankruptcy law in Peru and by Aboubacar lives worldwide since the WHO office in a more traditional version of the magazine, Fall on arbitration, as well as the vibrant China reported the outbreak of the disease because Covid or not, life goes on. plea by Jean-François Henrotte and Coco in late December. That is a lot – too many, You will find, in the Human Rights section Kayudi Misamu for the rapid adoption of an especially since this virus and its immediate of this issue, a very interesting article Uniform OHADA Act on the protection of and future consequences on organisms are in which Christine Maze explains the personal data. still largely uncertain. courageous initiative taken by the Bordeaux Finally, I would like to take this opportunity But let us beware of the potential perverse Bar Association which, having noted a to say again what a pleasure it is for me effects of this threat: yesterday, the enemy significant increase in the number of to work with Marie-Pierre Richard and was a foreigner, an immigrant who had foreign minors in the Gironde (South- Anne-Marie Villain, whose professionalism come to “enjoy” the benefits of the society West of France), has set up a dedicated no longer needs to be highlighted, and with that “we” have built. Today, the enemy unit within the Bar, in order to facilitate each of the members of the Editorial Board. is not the virus, which is all too invisible, their administrative regularisation. In the Long live the Juriste and happy reading! but our next-door neighbour, who can section on Legal Profession, three articles infect us and bring death to our door. The deal with important aspects of our practice: Nicole VAN CROMBRUGGHE media echo the often alarming findings Peter Kun stresses how crucial it is to Chief Editor – Juriste International and predictions of experts, day in and day take cultural differences into account in [email protected] out. Of course, it is fully justified to take the context of international succession, the experts’ opinion into account. But let David Postolski points out the advantage us remember that as specialists – that is of introducing a course on business law as to say, as the dictionary says, “capable of part of continuing education and Jill Mariani judging something”, “empowered to give examines in detail the role of notaries in an opinion on a question requiring special preventing identity theft. knowledge” – by their very nature, because The section in the Juriste devoted to the of this specialisation and the potential risks Legal Practice of Law is once again rich in

Reunir a los abogados del mundo I 2 ■ 2020 7 Message du rédacteur en chef

I Nicole VAN CROMBRUGGHE

Covid, Covid, Covid, nouveau leitmotiv de responsabilité, susceptibles d’adopter des Européenne et les Etats-Unis en matière de tous les discours qu’ils soient privés ou positions radicalement conservatrices voire d’OGM et de nouvelles techniques de sélec- publics. Avis à la population : Protégez-vous, alarmistes, à prendre ‘avec un grain de sel’. tion végétale (Diego Saluzzo) et de l’avenir l’ennemi est dans nos murs. Protégez-vous, Ne faudrait-il pas aussi s’interroger sur cette de la science de la santé dans notre contexte pour vous et pour les autres, au nom de la tendance croissante de nos gouvernants à digital contemporain (Barbara Gislason), aux solidarité que vous devez à la collectivité. se défausser de leur responsabilité sur ces entreprises B dont le but n’est pas exclusi- Et pendant ce temps-là, entre vacances et fameux experts, gouvernants et experts vement lucratif (José Pajares Echeverría), à Covid, nous voilà sourds à tout autre infor- renvoyant la balle à la population, car n’est- des sujets de nature fiscale qu’il s’agisse de mation : le Liban est au bord du désastre ? ce pas en raison de ses défaillances dans le celui consacré par Anne-Manuelle Gaillet & Chaque jour, 25 000 personnes, dont plus respect des règles qu’on édicte pourtant Luca Valdameri aux expatriés et retraités ou de 10 000 enfants, meurent de la faim et pour sa protection que la pandémie connaît de l’article de Constantin Neacsu en matière des causes associées essentiellement maladies, sursauts, rebonds voire vagues? d’évasion fiscale en passant par les points manque d’eau potable et d’hygiène, soit au bas Cela étant, la situation est difficile et complexe essentiels à garder à l’esprit lorsqu’il est ques- mot, un peu plus de 9 millions de morts par an, pour ne pas dire compliquée et le sera sans tion de positionner du personnel sur le ter- dont 6 millions d’enfants de moins de cinq ans doute encore longtemps. Malgré tout, en ritoire de l’Union Européenne (Kato Aerts). mourant prématurément des suites directes ou dépit des difficultés rencontrées, l’UIA main- Comme le dit Marc Jones dans l’article qu’il indirectes de la faim? On estime que 854 mil- tient le cap, la tête haute et ne ménage pas consacre aux solutions adoptées par le lions de personnes sont sous-alimentées dans ses efforts pour continuer à garder le contact droit anglais en matière cryptoassets, “Life le monde et que la hausse des prix risque de avec ses membres et à les informer. Organiser Moves Pretty Fast” et c’est aussi le sentiment faire basculer 100 millions de personnes sup- le Congrès annuel dans ces circonstances est lorsqu’on lit les articles de Michelle Worrall plémentaires dans la pauvreté et la faim? Tout une gageure mais l’UIA se lance dans l’aven- Tilton ou de Guido Lacchi consacrés à des cela ne semble plus qu’une réalité fort lointaine. ture avec détermination et imagination et problématiques propres à notre univers digital. Il ne s’agit certes pas de minimiser le risque : compte sur vous pour être au rendez-vous. Last but not least, soulignons le plaisir particulier d’après le site de l’OMS, le 23 juillet 2020, Quant au Juriste, après une édition entiè- que nous avons eu à lire les articles de Esteban la pandémie causée par ce nouveau corona- rement consacrée aux conséquences du Carbonell O’Brien contenant une très inté- virus avait déjà fait 623 658 morts dans le Covid dans notre secteur d’activité, nous ressante proposition d’innovation en matière monde depuis que le bureau de l’OMS en revenons à une version plus traditionnelle de droit de la faillite au Pérou et d’Aboubacar Chine a fait état de l’apparition de la maladie car Covid ou pas, la vie continue. Fall en matière d’arbitrage ainsi que le vibrant fin décembre. C’est beaucoup, c’est trop, Vous trouverez dans la rubrique droits de plaidoyer de Jean-François Henrotte et Coco d’autant que ce virus et ses conséquences l'homme de ce numéro un article très inté- Kayudi Misamu en faveur de l’adoption rapide immédiates et futures sur les organismes ressant dans lequel Christine Maze expose d’un acte uniforme OHADA sur la protection sont encore largement incertaines. l’initiative courageuse prise par le Barreau des données à caractère personnel. Mais prenons garde aux effets pervers poten- de Bordeaux qui, devant l'augmentation Enfin, je tiens à réitérer tout le plaisir que tiels de cette menace : hier, l’ennemi, c’était sensible du nombre de mineurs étrangers j’ai à travailler avec Marie-Pierre Richard et l’étranger, l’immigré venu « profiter » des en Gironde (Sud-Ouest de la France), a créé Anne-Marie Villain dont le professionnalisme avantages de la société que « nous » avons en son sein, un pôle dédié, afin de faciliter n’est plus à souligner ainsi qu’avec chacun des bâtie. Aujourd’hui, l’ennemi, c’est non pas le leur régularisation administrative. membres du comité de rédaction virus, réalité par trop invisible, mais notre voi- Dans la rubrique profession d'avocat, trois Longue vie au Juriste et bonne lecture ! sin de palier, susceptible de nous contaminer articles relevant des aspects importants de et de nous apporter la mort. Les médias se notre pratique : Peter Kun souligne ainsi com- Nicole VAN CROMBRUGGHE font journellement l’écho des constats et pré- bien il est crucial de tenir compte des différences Rédacteur en Chef – Juriste International dictions, souvent alarmants, des experts. Bien culturelles dans le cadre d’une succession inter- [email protected] sûr, il est justifié de tenir compte de l’avis des nationale, David Postolski relève l’intérêt de experts. Mais souvenons-nous qu’en tant que l’introduction d’un cours de droit entrepreneu- spécialistes, c’est-à-dire comme le précise le rial dans le cadre de la formation continue et Jill dictionnaire, « aptes à juger de quelque chose », Mariani détaille le rôle des notaires en matière « habilités à émettre un avis sur une question de prévention du vol d’identité. exigeant des connaissances spéciales », ils sont La section du Juriste consacrée à la Pratique également, par nature, en raison même de du droit est une fois de plus riche d’informa- cette spécialisation et des risques potentiels tions sur des sujets variés : de la différence liés à leurs prises de position en termes entre les politiques adoptées par l’Union

8 2 ■ 2020 I Bringing Together the World’s Lawyers Mensaje del Redactor Jefe

I Nicole VAN CROMBRUGGHE

Covid, covid, covid, el nuevo leitmotiv de responsabilidad de sus posicionamientos, continua y Jill Mariani detalla el papel de los todos los discursos, públicos o privados. susceptibles de adoptar posiciones notarios para la prevención de la usurpación Aviso a la población: protéjanse, el enemigo radicalmente conservadoras, e incluso de la identidad. está entre nosotros. Protéjanse ustedes y alarmistas, que debemos tomar «con pinzas». La sección del Juriste dedicada al Ejercicio protejan a los demás, por la solidaridad que ¿No habría que interrogarse también del derecho presenta, una vez más, valiosa deben a la colectividad. sobre esta tendencia creciente de nuestros información sobre diversos temas: de la Y ahora, entre las vacaciones y la Covid, gobernantes a delegar su responsabilidad diferencia entre las políticas adoptadas por la volvemos a no oír el resto de las noticias: ¿que en los famosos expertos – gobernantes y Unión Europea y Estados Unidos en materia el Líbano está al borde del desastre? ¿Que expertos que pasan la pelota a la población de OGM y las nuevas técnicas de selección cada día, 25 000 personas (más de 10 000 son – pues, acaso no es por sus brechas en el vegetal (Diego Saluzzo) y del futuro de la niños), mueren por hambre, enfermedades, respeto de las reglas dictadas para protegerla ciencia de la salud en nuestro contexto digital falta de agua potable e higiene, lo que supone por lo que la pandemia experimenta contemporáneo (Barbara Gislason), a las como poco algo más de 9 millones de muertos sobresaltos, rebrotes e incluso oleadas? empresas B, cuyo fin no es exclusivamente al año, de los que 6 millones son niños menores La situación es difícil y compleja, por no decir lucrativo (José Pajares Echeverría), pasando por de cinco años que mueren prematuramente complicada, y lo será sin duda durante mucho temas de naturaleza fiscal, ya sea el dedicado por las secuelas directas o indirectas del tiempo todavía. No obstante, a pesar de las por Anne-Manuelle Gaillet & Luca Valdameri hambre? ¿Que se calcula que 854 millones de dificultades encontradas, la UIA sigue su a los expatriados y jubilados o el artículo de personas están infraalimentadas en el mundo y rumbo, con la cabeza bien alta y no escatima Constantin Neacsu en materia de evasión fiscal, que la subida de los precios puede llevar a 100 en esfuerzos para mantener el contacto así como los aspectos esenciales que debemos millones de personas más a una situación de con sus miembros e informarles. Organizar recordar cuando hay que colocar personal en pobreza y hambre? Todo esto parece solo una el Congreso anual en estas circunstancias el territorio de la Unión Europea (Kato Aerts). realidad muy lejana. es todo un reto, pero la UIA se lanza a la Como dice Marc Jones en el artículo que No es cuestión de minimizar el riesgo: según aventura con determinación e imaginación y dedica a las soluciones adoptadas por el la web de la OMS, el 23 de julio de 2020, la cuenta con ustedes para acudir a la cita. derecho inglés en materia de cryptoassets: pandemia causada por este nuevo coronavirus En cuanto al Juriste, tras una edición «Life Moves Pretty Fast», y esa es también ya había dejado 623 658 muertos en el mundo totalmente dedicada a las consecuencias la sensación que despierta la lectura de los desde que la oficina de la OMS en China de la covid en nuestro sector de actividad, artículos de Michelle Worrall Tilton o de constatase la aparición de la enfermedad a volvemos a una versión más tradicional Guido Lacchi dedicados a las problemáticas final de diciembre. Es mucho, demasiado, porque, con o sin covid, la vida continúa. propias de nuestro universo digital. sobre todo porque todavía no conocemos En este número encontrarán dos artículos Last but not least, cabe destacar el gusto bien este virus y sus consecuencias inmediatas de sumo interés dedicados a los derechos especial con el que hemos leído los artículos y futuras en el organismo. humanos. En el primero, Christine Maze de Esteban Carbonell O’Brien, que contiene Pero debemos tener cuidado con los posibles expone la valiente iniciativa emprendida por una interesante propuesta de innovación en efectos perversos de esta amenaza: ayer el Colegio de Abogados de Burdeos que, tras materia de derecho concursal en Perú, y de el enemigo era el extranjero, el inmigrante constatar el sensible aumento del número Aboubacar Fall en materia de arbitraje, así como que venía a «aprovecharse» de las ventajas de menores extranjeros en el departamento el vibrante alegato de Jean-François Henrotte y de la sociedad que «nosotros» habíamos de Gironda (en el Sudoeste de Francia), Coco Kayudi Misamu a favor de la aprobación construido. Hoy el enemigo no es el virus, ha creado una sección con la ayuda de rápida de una ley uniforme OHADA sobre la una realidad demasiado invisible, sino las autoridades del departamento, para protección de los datos personales. nuestro vecino de al lado, susceptible de facilitar su regularización administrativa. El Este es mi último editorial, ya que mi contagiarnos y provocarnos la muerte. Los segundo, redactado por Henri Carpentier, mandato llegará muy pronto a su fin. En esta medios de comunicación se hacen eco a nos recuerda la suerte nada envidiable que ocasión, deseo subrayar el placer que ha sido diario de las constataciones y predicciones corren aquellos compañeros perseguidos, para mí trabajar con Marie-Pierre Richard y de los expertos, a menudo alarmantes. Por juzgados, condenados o asesinados por el Anne-Marie Villain, cuya profesionalidad no supuesto, está justificado tener en cuenta mero hecho de ejercer su profesión. necesito recalcar, así como con cada uno la opinión de los expertos. Pero, como En la sección Abogacía, tres artículos sobre de los miembros del comité de redacción. especialistas —es decir, «aptos para juzgar aspectos importantes de nuestra práctica: ¡Larga vida al Juriste y feliz lectura! algo», «habilitados para emitir una opinión Peter Kun destaca la importancia de tener sobre una cuestión que exige conocimientos en cuenta las diferencias culturales en una Nicole VAN CROMBRUGGHE especiales»— hemos de recordar que son sucesión internacional, David Potolski señala Redactora Jefe – Juriste International también, por esta misma especialización y el interés de introducir una clase de derecho [email protected] por los riesgos potenciales asociados a la empresarial en el marco de la formación

Rassembler les avocats du monde I 2 ■ 2020 9 www.uianet.org #UIAVirtualCongress

UIA News Actualités de l’UIA Novedades de la UIA

October 28 30 UIA 2020 VIRTUAL CONGRESS SAVE THE DATE OCTOBER 28-30 Around the Legal World in Three Days #UIAVirtualCongress

The UIA 2020 Congress will be an entirely virtual event! UIA News It will take place on October 28, 29 and 30, 2020, at various times during the day to take account of the Actualités de l’UIA many time zones in which our Congress participants Novedades de la UIA are located.

What to Expect

The UIA 2020 Congress will take place online on 4 channels which will replace – virtually – the different meeting rooms of an in-person Congress. • Live panel discussions covering a wide range of legal topics • Practice tips • Real-time moderation with question and answer sessions and live chats • Unlimited access to 30+ videos on demand during and after the Congress • Virtual exhibit hall • Multi-location cultural tours and events Connect with the global legal community, increase your network, and learn about current legal issues – all from your home or office anywhere in the world!

Substantive programme 3 main themes Each plenary session will include expert presentations as well as a formal debate of a specific proposition -- with an opportunity for the audience to weigh in: • Does Third Party Funding Help or Harm International Arbitration – Contrasting Perspectives of Parties, Arbitrators and Funders October 28 - 4.00 pm - 5.20 pm* • Have Traditional Court Systems Seen Their Day: Time for a New Model? October 29 - 1.30 pm - 2.50 pm* • Confronting Issues of Systematic Racism in the Legal System: The Role of Lawyers Around the World October 30 - 1.00 pm - 2.20 pm*

Reunir a los abogados del mundo I 2 ■ 2020 11 15+ working sessions This year, UIA commissions will foster debate on pressing legal issues across different areas of the law, including: • Public Private Partnerships Administrative and Regulatory Law on October 29 • The Art Market Goes Digital Art Law on October 30 • Crowdfunding Banking and Financial Law / Real Estate Law on October 29 • Limiting Liability – What’s The Risk? Contract Law / Litigation / International Sale of Goods on October 29 12 special sessions • Regional Forum Sessions • The Potential Impact of Covid-19 on Law Firms Corporate Law and Mergers & Acquisitions / October 28 Management of Law Firms on October 29 On the first day of the Virtual Congress, participants are invited to attend discussions and debates on • Post-Brexit Relations between the EU and the UK: legal issues in specific regions or by language Living Happily Ever After? groups: Asian Lawyers’ Forum, African Lawyers’ EU Law on October 30 Forum, Arabic-Speaking Lawyers’ Forum, Forum of Lawyers from Central and Eastern European • Practical Questions on Environmental Protection to Countries, French-Speaking Lawyers’ Forum, Latin Consider in Foreign Investment American Lawyers’ Forum, Portuguese-Speaking Environment and Sustainable Development Law / Lawyers’ Forum, and Spanish-Speaking Lawyers’ Foreign Investment on October 29 Forum • New Challenges in Family Law post Covid-19 • Young Lawyers’ Session Family Law on October 30 • UIA Women’s Network Session • Covid-19 and the Future of IP, IT and Fashion Litigation • Collective Members’ Forum Fashion Law / Information technology Law / • UIA-ABA Joint Session Intellectual Property on October 30 • Human Rights in the Covid-19 Era Cérémonie d’ouverture Human Rights on October 29 28 octobre - 15h00 - 15h50* • Global Immigration – A Means to Advance Racial Plusieurs personnalités se succèderont pour Equality? accueillir les participants au congrès et leur souhaiter Immigration and Nationality Law on October 30 de fructueux travaux. C’est en outre lors de la cérémonie d’ouverture que sera remise la cinquième • New Internet Businesses Models that are édition du Prix État de Droit UIA / LexisNexis, qui Revolutionising Labour Concepts and Relationships récompense une personne ou une organisation pour Labour Law / Start-ups and Venture Capital on sa contribution au développement de l’État de Droit October 30 au sein de la communauté juridique. • Whistleblowers Media Law on October 30 Ceremonia de clausura • Deceptive and Unethical Practices in Mediation: 30 de octubre - 17:30 - 18:15* How to Prevent, Identify and Overcome Them La entrega de la presidencia del actual Presidente, Jerome Roth, al Presidente Electo, Jorge Martí Mediation and Conflict Prevention on October 30 Moreno, será un momento significativo en el • Specialised Courts for International Commercial transcurso de la ceremonia de clausura. Entre otros Disputes: an Efficient Model? momentos importantes, se hará entrega del premio Private International Law / Transport Law on de la comisión del año, que recompensa el trabajo October 29 científico y todas las actividades desarrolladas alo largo del año, y del premio del comité nacional del … and more! año.

12 2 ■ 2020 I Bringing Together the World’s Lawyers Frequently Asked Questions

When should I register? Registration will open on August 24, 2020. For the most up-to-date information, please visit www.uianet.org.

How much will the Virtual Congress cost? Registration fees for the Virtual Congress will be significantly lower than for an in-person Congress: Until September 30, From October 1, 2020 2020 onwards UIA Member € 300 € 350 Standard (categories 1 and 2 as per the UIA list)* UIA Member € 200 € 250 Emerging country (categories 3 and 4 as per the UIA list)*

Non-Member € 400 € 450

* The list is available on the UIA Website: www.uianet.org, membership section

When will live programming take place? All scheduled times for UIA 2020 Virtual Congress live programming are listed in Central European Time (CET) (Paris). In a different time zone? No worries. Although all content will be broadcast live, we will also record all sessions and make them available to participants so you will not miss anything regardless of your time zone!

How long will Congress content be available to access? All registered attendees will be able to access on demand content until at least two weeks after the Virtual Congress.

One of the best things about attending the UIA Congress is networking and meeting new colleagues – What plans are in place for the virtual format? We will be providing an exciting virtual experience! The Congress platform will enable both formal presentations and casual conversation among colleagues using a variety of technologies, including an interactive chat box. Our Congress partners will also be available to interact directly with participants in the virtual exhibit hall.

For more information, please contact the UIA team at [email protected]

* All times are listed in Central European Time (Paris)

Rassembler les avocats du monde I 2 ■ 2020 13 La médiation internationale

27e Forum mondial UIA des centres de médiation : un grand succès à Milan, Italie

I Fabienne VAN DER VLEUGEL

La médiation constitue une méthode professionnelles en adaptant et corrigeant Le 27e Forum organisé à Milan, Italie, les efficace de résolution de conflits, si son d’une façon adéquate, et concertée, ce qui 17 et 18 janvier 2020, a été auréolé d’un initiation et sa mise œuvre sont gérées de aura été identifié comme correspondant beau succès, avec presque 90 participants façon adéquate. Sans nul doute, les chefs aux causes réelles ayant fait naître le conflit. venant de 25 pays différents, et de tous les d’entreprises sont intéressés par cet outil continents. qui respecte leur vision pragmatique et le L’international et l’intergénérationnel : ce souci de l’efficacité. sont deux notions que le Forum mondial Marina Tavassi, présidente de la cour d’appel UIA des centres de médiation veille à de Milan, Stefano Azzali, secrétaire général Au cours de la médiation, les parties en combiner à chaque rencontre organisée. de la cour d’arbitrage de Milan, et Francesca conflit – les « parties médiées » –ont Maria Zanasi, présidente de la commission l’opportunité de fixer elles-mêmes la Tous les 9 mois, le Forum mondial UIA des des affaires internationales du Barreau de solution définitive du conflit qui crispe centres de médiation réunit des médiateurs, Milan ont aimablement participé à la séance leurs relations. C’est elles qui décident chefs d’entreprises, étudiants, professeurs, solennelle d’ouverture, en partageant avec d’initier le processus, de le maintenir actif chercheurs, juges et avocats qui étudient la salle leur enthousiasme de voir le Forum et de profiter de cette occasion qui leur est leurs pratiques professionnelles respectives organisé en Italie. donnée, pour définir et construire de toutes donnant un essor au développement de la pièces la solution exceptionnelle qui répond médiation. Le Forum a déjà été organisé dans Dès la 1re session, consacrée au développement à leurs attentes et qui sera adaptée aux de multiples pays du continent européen, de la médiation en Italie, la dynamique circonstances pour purger – définitivement aux États-Unis, à Singapour, toujours avec habituelle du Forum – professionnalisme, – leur litige. un succès grandissant. écoute, et participation – ont marqué la

Il n’est pas nécessaire, pour qu’il y ait médiation, que la procédure judiciaire ait été entamée. Si la médiation est initiée en cours Intégrer, au sein d’entreprises et d’organisations, un système de management de de procédure judiciaire, la poursuite de la conflits internes, relève d’un réel changement de culture. procédure judiciaire n’est que suspendue, et les parties en conflit pourront reprendre, si elles le souhaitent, le chemin du Palais de Justice, pour confier au juge compétent le soin de trancher le litige. Ce sera toujours leur choix. Personne ne pourra les blâmer de préférer une solution judiciaire, publique, fixant une solution en droit, par rapport à une solution négociée confidentielle.

La pratique de la médiation est, par définition, internationale : les litiges frappent tout type de sociétés, quel que soit le lieu de leur siège social, et toute personne, quel que soit son lieu de vie.

Le thème de la médiation est, en outre, intergénérationnel : il bouscule la vision traditionnelle que l’on peut avoir de la gestion des litiges. Les parties médiées, en présence du médiateur – neutre, indépendant et impartial – se parlent, se concertent, et parviennent, de façon parfois surprenante et inattendue, à fixer leur solution, à purger les frictions les crispant, voire parfois à maintenir des relations

14 2 ■ 2020 I Reunir a los abogados del mundo salle. Stefano Pavletic, médiateur CCPIT, Christian Hausmann, qui a participé à ces Un challenge permanent. Nicola Giudice, département médiation travaux, n’hésite pas à faire allusion à un de la cour d’arbitrage de Milan, Angelo système de médiation universelle – plus que Dr Renate Dendorfer-Ditges, avocat arbitre Santi, avocat médiateur de l’UNAM (Unione de simple médiation conventionnelle. Les médiateur Ditges Partnerschaft mbB et Nazionale Avvocati per la Mediazione) et pays doivent collaborer pour initier et faire Galyna Yeromenko, avocat médiateur et Adriana Capozzoli, avocat et professeur à perdurer la prise de conscience de la nécessité fondateur de Ukrainian Mediation Center l’Université de Florence, ont résumé la façon d’organiser mieux et plus encore la médiation : (UMC) nous ont éclairé sur les éventuels avec laquelle la médiation a pu s’imposer permettre aux personnes de ne plus subir le risques d’abus au cours du processus de en Italie, suite à la loi de 2010. Ainsi que litige, mais de tirer avantage de leurs conflits médiation. La médiation requiert la bonne Nicola Giudice le mentionnait d’une façon est tout un art. foi des parties médiées. Mais, comment imagée : « [---] nous ne sommes pas encore interpréter le comportement de certaines sur le sommet de la montagne, mais nous Le 4e sujet du Forum a été consacré aux personnes en cours de médiation. D’ailleurs, grimpons et nous y arriverons [---] ». La phase systèmes de conflict management avec d’autres doit-on vraiment chercher à interpréter ? expérimentale est passée : aujourd’hui, la éminents orateurs : Pete Swanson, Conflict Le médiateur est-il là pour « moraliser » ? médiation constitue réellement un service Management and Prevention, Federal and Les participants au Forum ont pu analyser différent et alternatif, offrant des avantages Mediation and Conciliation Service (FMCS), des cas pratiques imaginés, en groupes de indéniables de flexibilité, adapté aux besoins Washington D.C., États-Unis ; Paul Latreille, travail plus restreints, et échanger leurs des parties, répondant aux exigences de Sheffield University Management School, UK points de vue. Il en est ressorti que, d’une confidentialité et de rapidité. En outre, osons ; Corina Bölsterli Maier, Coach et médiateur façon générale, très peu de cas flagrants l’affirmer : si le processus de médiation est cbm Office for Mediation, Coaching and de mauvaise foi ont pu être identifiés. Les reconnu et bien ancré, il peut, à long terme, Supervision, Allemagne) et David Thaler, parties médiées réellement impliquées dans améliorer la compétitivité du pays en attirant Senior Advisor, FMCS. Du point de vue le processus de médiation veulent une les investissements étrangers. américain, le médiateur est perçu comme solution et restent volontairement dans étant un connecteur. Le FMCS, constitué en le processus. Certes, elles ont besoin de La 2e session consacrée aux approches 1947, est une agence indépendante, dont les réflexion pour y arriver, elles analysent innovantes en matière de médiation, a donné missions consistent à accompagner et aider autrement une même situation avec le l’opportunité à Danielle Hutchinson, avocat pour assurer la mise en place de systèmes de temps qui passe, et s’offrent une vision médiateur Resolution Resources (Australie) d’expliquer le fonctionnement très innovateur de la plateforme MyDRHub : instrument Les centres de médiation doivent encore œuvrer pour que l’accompagnement délivré permettant d’établir le diagnostic d’un conflit et les méthodes pour fixer des pistes de soit recherché plus spontanément par les parties médiées. solution. Jill Goldson, médiateur en matière familiale (Nouvelle Zélande) a submergé toute la salle d’émotions intenses en exposant ses management de conflits intégrés et adaptés, différente du conflit qu’elle commence à méthodes de travail impliquant la participation permettant l’identification des points analyser avec un recul. Cela n’a rien à voir des enfants dans les processus de médiation provoquant des difficultés récurrentes, et la avec la mauvaise foi. L’évolution de ce qu’elle met en place, en leur permettant définition de mécanismes de prévention. La comportement fait, justement, partie de la d’avoir la parole, d’exprimer leurs sentiments volonté de mettre en place de tels systèmes recherche de la solution. pour que les parents prennent conscience de internes, participe sans aucun doute à la prise l’impact que leurs propres disputes peuvent de conscience des avantages des processus Le dernier sujet de la première journée du avoir sur leurs enfants. L’enfant parle et est de médiation et, en général, des méthodes Forum a été consacré aux opportunités et entendu (Therapeutic Family Facilitation - alternatives de résolution des conflits. D’une obstacles pour la médiation en business et le TFF), dans un espace de confidentialité, pour façon générale, les systèmes de management management des conflits. Monique Van de fixer des solutions pérennes. de conflits permettent de légitimer des Griendt, médiateur Dialogue BV (Pays-Bas) approches bien plus stratégiques, et non et Pasquale Orrico, avocat Arlenghi Agostini Brigitte Bouvier, BBMT Avocats, médiateur plus uniquement basées sur l’idée de simples Avvocati and Mediator (Milan), ont animé CEDR, et fondateur d’Avomarc a organisé la négociations et transactions. Intégrer, au ensemble cette session très interactive, et 3e session avec Christian Hausmann, avocat sein d’entreprises et d’organisations, un analysé les résultats d’une étude menée médiateur, sur un sujet fort attendu : le besoin système de management de conflits internes, aux Pays-Bas, sur le développement de la de la médiation en Afrique, et la réponse relève d’un réel changement de culture. médiation, en comparant ensuite avec la apportée par l’OHADA. La volonté de légiférer En quelque sorte, les conflits sont positifs, pratique en Italie : expertise du médiateur, est réelle, les décisions pour mettre en œuvre s’ils sont correctement gérés. Ils peuvent qualité et coût du processus, rôle des la médiation sont concrètes, mais la mise en aussi assurer la confrontation des idées et avocats et des juges, efficacité. œuvre du tout requiert du temps. Le texte participer à l’amélioration d’une situation date de novembre 2017, les délégations des 17 – le tout consiste à fixer un système bien La journée du samedi a commencé avec un États Parties sont impliquées : le nombre réel calibré autorisant l’échange rationnel et sujet passionnant : les pratiques et bénéfices de médiations à gérer ne peut qu’augmenter. construit des idées, et ne les étouffant pas. des systèmes de règlement des différends,

Bringing Together the World’s Lawyers I 2 ■ 2020 15 au sein des industries et sur les continents. Georges Hanot, médiateur et fondateur Con-Sent ADR, président de Belgian Supply Chain Initiative, Shirli Kirschner, dispute system designer, médiateur (Australie) et BC Thiruvengadam, avocat et médiateur Bangalore International Mediation, (Inde), nous ont éclairé sur ce sujet qui sort de l’ordinaire en nous faisant part de leurs diverses expériences personnelles. Le conflit n’est pas un problème en soi, s’il est perçu comme étant une opportunité d’amélioration du futur, et qu’il conduit à fixer des systèmes de solution permettant de mieux gérer les difficultés. BC Thiruvengadam a notamment décrit aux participants, images à l’appui, le (Paris) ; Catherine Peulvé, avocat médiateur Ces 2 jours de Forum ont été, à nouveau, riches système du Panchayath dans les villages en (Paris) et Ettore Maria Lombardi, avocat en débats, discussions, échanges, connexions, Inde, conduisant à la gestion des conflits et professeur à l’Université de Florence, et ont participé aux enrichissements person- locaux d’une façon non judiciaire et privée. ont souhaité ensemble donner un éclairage nels, culturels, professionnels des participants. sur la convention de Singapour, perçue La session animée par l’exceptionnel Ross comme étant un outil d’accélération du La médiation reste un sujet d’actualité, W Stoddard III, avocat médiateur (Texas, développement de la médiation internationale une pratique en constant devenir, un outil États-Unis) nous a tous empli d’une énergie en droit des affaires. Le sujet est d’actualité pragmatique conduisant à des solutions positive et enthousiasmante. Ross avait et mérite qu’on s’y attarde. Nul doute que « sur mesure » que les parties médiées intitulé sa session: « Seeing the glass as ce thème déclenche d’autres échanges et peuvent fixer en tout type de matière et half full not half-empty, use any impact of discussions dans des conférences à venir. pour toute sorte de litige, qu’il soit de mediators’ optimism during the mediators’ nature familial, commercial, industriel, lié au process », pour nous expliquer à quel point La 5e session à propos de la médiation en droit des affaires, au droit immobilier. Tous le comportement, l’attitude, la personnalité, Chine et les récents développements qui les 9 mois, le Forum aide à l’amélioration les mots, le discours, le sourire, le regard y sont nés était tout aussi passionnante de vos techniques, dans un environnement du médiateur a un impact sur la gestion du que toutes les autres sessions précédentes professionnel et international. conflit, le comportement des parties médiées, du Forum. Stefano Pavletic, Antonietta l’atmosphère des lieux. Le médiateur peut – Marsaglia, médiateur CCPIT et Chun Wai Le prochain Forum aurait dû se tenir à et doit – veiller à ce que les choses soient Ling, chairman du Hong Kong Mediation Sydney en Australie, les 4 et 5 septembre perçues de façon positive pour aider les Council ont, ensemble, donné un résumé 2020. En raison de la pandémie mondiale, il parties médiées à avancer, à restaurer et instructif de la situation, en indiquant que sera organisé virtuellement (voir article dans ce numéro du Juriste International en pages maintenir le dialogue, et à négocier en le système de la médiation est suffisamment 11/13). Nous vous y attendons nombreux. gardant une volonté constructive. Ross nous bien introduit à ce jour en Chine, pour qu’il Le programme, en cours de finalisation au rappelle que « Everything is linked on how you puisse s’y ancrer petit à petit d’une façon moment de l’écriture du présent article, est say it! ». Tout peut dériver pour un moins efficace et pérenne. Le temps permettra particulièrement innovateur. Il s’agira aussi de que rien. Veillons à remplacer dans nos de démontrer l’efficacité du processus. profiter de cette 28e rencontre professionnelle paroles le mot “difficulté” par “défi”, le mot Les centres de médiation doivent encore de haut niveau pour sensibiliser les étudiants “mais” par “et”. œuvrer pour que l’accompagnement délivré – nos futurs décideurs et chefs d’entreprises soit recherché plus spontanément par les – sur le sujet de la médiation, pour entendre Gérard Kuyper, associé Alterys, médiateur parties médiées. leur vision de l’avenir et leurs idées modernes et président bMédiation (Belgique) a analysé sur la résolution des conflits. et expliqué, dans une session fort bien Le dernier sujet du Forum, traité par Raffaella Maria Pileri, In Mediazione SRL, construite et très pertinente, comment le Fabienne VAN DER VLEUGEL1 Roberta Regazzoni, cour d’arbitrage médiateur peut améliorer – ou non – la Présidente du Forum Mondial des Centres de de Milan, Georges Hanot et Pasquale qualité et la performance des négociateurs. Médiation de l’UIA De multiples clés alimentant le succès d’une Orrico ont initié de multiples échanges VDV Avocats (Meaux - New York) médiation sont à la portée des médiateurs et discussions avec les participants, qui Serris, France s’ils restent consciencieux et rigoureux dans ont pu de la sorte repartir avec des idées [email protected] leur travail d’accompagnement. nouvelles pour construire leurs offres de services, améliorer la structure de leurs e 1. Fabienne van der Vleugel est aussi Médiateur Au cours de la 4 session, David Lutran, associations, peaufiner leurs stratégie de accrédité (IEAM, AMIDIF, bMed, MClArb, CMCC), avocat médiateur Lutran & Associés développement de la médiation dans leurs Professeur Associé à l’Université Gustave Eiffel (Paris) ; Joséphine Hage Chahine, avocate pays respectifs. (Meaux, France), et Conseiller en commerce extérieur.

16 2 ■ 2020 I Rassembler les avocats du monde Digital Presence: Now You See Me, Now You Don’t

Annual Business Law Forum in Amsterdam, January 2020

I Olivier NICOD & Hugh REEVES

1. Introduction Sebastiaan Molenaar warmly welcomed the law, an IP rights infringement occurred. The participants in the south Amsterdam offices same challenges arise in the current context of In this article, we will first summarize this of the Benelux law firm AKD in order to worldwide access to global websites. year’s excellent Annual Business Law Forum discuss this year’s theme of “Geography and and its various panels. Given the diversity of the Digital World”. Alain Alberini, with great foresight, noted the panels and the challenging questions which that non-national settings, such as the the speakers brought up, we are also taking Under this somewhat enigmatic leitmotif, supranational dispute resolution scheme this opportunity to offer some thoughts and we were invited to discuss a wide-ranging of the Uniform Domain Name Dispute guidance on how best to work with clients set of topics and tackle legal issues in Resolution Policy (UDRP), can lead to a who are active internationally but in a primarily matters ranging from private international problematic parallel application of rules of digital form, through the internet, rather than law and consumer protection, to cross- Civil law and Common law. In a UDRP through a traditional physical form. border taxation issues, via M&A processes context, this is – strikingly – the case of and competition law aspects. trademarks, as parties based in a Civil law Indeed, through what one might call a country can invoke protection of unregistered “digital presence”, modern businesses can As a result, the participants got acquainted trademarks (an eminently “Common law” connect with customers in faraway places through various panels with the increasingly concept), something they would not be able and without needing any local offices or a complex legal landscape that applies to do in a dispute before their local courts. “physical presence” abroad. to digital commerce and the seemingly vanishing borders in this new Internet 2.2. M&A Issues in Cross-Border This digital world in which we live has unlocked dominated world. Transactions Involving Digital a myriad of possibilities for new business Platforms models. It does come with teething pains too, 2.1. Transnationalism and the Panelists Francisco Luis Soler Caballero, though. Obviously, it is in these businesses’ best Internet: legal concepts under stress Laura de Jong, and Federico Torzo, interests to benefit from a digital presence, In a first panel, moderated by James Rosener, practicing in Spain, the Netherlands and though they will – understandably – not be Professor Gilles Cuniberti treated the Italy, respectively, highlighted recent overly keen on ensuring legal compliance in attendees with a detailed and clear presentation developments in cross-border M&A such a global manner. How to best proceed in on the regulation of conflicts of jurisdictions transactions involving digital platforms. such cases? Are our laws up to speed? Where and the solutions that private international law do we, as lawyers, fit in? These are but a few of offers. Most interestingly, he highlighted that, Indeed, they all noted that these digital the questions which arise in the current legal despite evolutions in the EU legal landscape, platforms frequently lack any clear assets and technological landscape. most issues of private international law do or substance. Rather, their value resides remain unchanged. This is typically the case in the data which these platforms collect, th 2. Overview of the 11 UIA in regards to the choice of laws and the as well as the other immaterial elements, Annual Business Law Forum assessment of the competent jurisdiction. such as the intellectual property rights and Prof. Cuniberti nonetheless warned that the the know-how. This has a noticeable impact The eleventh Annual Business Law Forum traditional solutions, such as those pertaining not only on the valuation of the target took place over the course of two days in to the determination of the location of a tort, companies in a M&A transaction, but also late January 2020, in Amsterdam. President now give rise to risks. Indeed, it is for instance on how lawyers must conduct their due elect Jerome Roth and Congress Director difficult to define where, in a matter of tort diligence activities.

Reunir a los abogados del mundo I 2 ■ 2020 17 2.3. Financial and other Services on Furthermore, they underlined the necessity the notion of “permanent establishment” the Internet – Scope of Applicable for digital platforms to carefully assess as comprising a server presence. The EU Regulations and State Intervention and monitor the persons to whom they is aiming at a fairer taxation of the digital offer financial services and to put in place economy through a digital services tax and Olivier Nicod moderated a compelling the necessary restrictions to comply with a definition of what would constitute a panel on the theme of “Financial and other evolving applicable laws. digital permanent establishment. Decision- services on the Internet – Scope of applicable making and consensus has so far proven regulations and State intervention”. Panelists The panelists further stressed that complex and elusive in the EU context, as Thomas Goossens (Switzerland), Silvestre regulators tend to broaden the scope noted by Margriet Lukkien. Mayra Lucas Tandeau de Marsac (France) and Travis of their jurisdiction. They touched on offered insights into the proposed OECD’s Gering (USA) shared their views on the recent decisions from US authorities on approach which also rethinks the nexus legal pitfalls stemming from the use of the foreign banks using US dollars and on rules - so as to move away from a pure Internet and smart devices in the banking the very broad remit of such authorities physical presence approach - as well as the and financial services sector. with respect to sanction lists. This was profit allocation principles. also the opportunity to discuss a decision Although jurisdictions have significantly from French regulators ruling that they 2.5. Recent Competition Issues different rules, the panelists underlined had jurisdiction on an English bank trading Arising from New Technology the general trend of local lawmakers to securities of a Belgium issuer because such increasingly regulate the offering of financial a trading had an effect on the trading of Competition law issues arising from new services to investors located in their securities issued by a French company. technology include amongst others (i) jurisdiction. Although this decision is not final, it is a the somewhat paradoxical fact that many very good example of the general trend of businesses provide their services free of Switzerland is a recent illustration of this regulators willing to intervene when they charge, or so it would seem (as the income trend. Except for insurance products and consider that a conduct may have, directly is coming not from the users but from a third investment funds, the cross-border offering or indirectly, an impact in their jurisdiction party), (ii) the use of data (and refusal to grant of financial services was not regulated before or on their policy. third party access to said data) as a form of 1 January 2020. Since then, Swiss lawmakers abuse of a dominant position, or (iii) collusion adopted a very broad legislation applicable to 2.4. Taxation of Digital Commerce: through the use of pricing algorithms. such offerings, including for digital platforms The Digital World Goes Tax Gerhard Fussenegger (moderator, Austria), having no physical presence in this country. Beatrice Stange (Germany), Aleksandra Taxation was the clearest example of the Dziurkowska (Poland), Jeremy Heep (USA) In France, the trend to extend the scope difficulties for the rule of law to adequately and Robert Hardy (Netherlands) explained of French law to cross-border financial adapt to the digitalization of international that these novel issues may frequently be activities was also underlined, in particular commerce. new wine in old skins, as could be the case if the website of the platform is presented of the use of pricing algorithms leading to in French, the server is located in France In the tax panel, moderated by Martí Adroer collusion and price fixing. or displaying a “.fr” top-level domain, the Tous, speakers Mayra Lucas (France), Margriet website is used for canvassing, advertising or Lukkien (Netherlands), Riccardo G. Cajola Interestingly, the EU has opted for a rather promoting products for France and/or the (Italy) and Slawomir Luczak (Poland) put proactive regulatory approach while the platform is offering services via a third party their finger on the central challenge of digital USA is loathe to move away from the in France. More generally, French jurisdiction platforms from a taxation viewpoint: the application of the traditional principles and and French law could apply if it induces a (frequent) absence of physical presence, thus cautious in its interventions on dynamic doubt in the mind of the Internet user as to allowing digital businesses to trade worldwide markets. Despite this diverging philosophy, his or her precise geographical location. in a streamlined manner and without needing both the EU and the USA are focusing on local offices in every country in which they the issues posed by online platforms’ use of In the USA, this trend has been growing are (digitally) present. Because taxation data and whether this results in a situation since the 1930s and the US regulations do generally flows from the place of the tax of reduced competition and requires any not only apply to investors located on the subject’s physical presence, taxation in many regulatory intervention. US territory, but also to US persons, which jurisdictions is proving virtually impossible. include, among others, green card holders. Despite this, digital presence allows the 2.6. Liability of Companies & The panelists discussed various exceptions generation of large revenues from customers Managers: Online Communications, to the application of the laws of their in those jurisdictions. This leads to an incentive Telecom Restrictions, Information jurisdictions or the obligation to obtain an to find a functional global solution to properly Requests and Lawful Intercepts authorization, e.g. institutional investors, levy taxes on the digital economy. the number of investors targeted, the Anthony Rosen (UK), Raoul Grifoni amount invested, the currency to be used, To tackle this thorny issue, a variety Waterman (Netherlands) and Hugh Reeves the number of days of the offering of of approaches are possible. Several (Switzerland) delved into matters of investments, etc. jurisdictions currently choose to interpret telecommunications legislation in a panel on

18 2 ■ 2020 I Bringing Together the World’s Lawyers online communications, telecommunication given the latest legal developments around cover for instance purely internal transactions, restrictions, information requests and lawful privacy, data security and cybercrime. Jeremy electronic communication services, healthcare intercepts. Heep also flagged the strong enforcement services, to name but a few. measures that the American DOJ can Telecommunications legislation has implement in matters of antitrust violations 3. Implementing Good (Legal) recently started to play a more central and, consequently, the mitigating virtues of Practices to Enhance One’s role as many new technology companies, proper internal compliance programmes. in one way or another, provide Digital Presence telecommunications services, sometimes 2.8. Online Sales of Retail Goods Thanks to their diverse approaches, the unbeknownst to them. Moreover, recently and Services – Digital Consumers, panelists enlightened us on the challenges of revised telecommunications surveillance Businesses and the Law doing business in a digital and cross-border legislation across the globe not only defines context and provided us with some valuable telecommunications services broadly, but The final panel, held by Francisco Javier food for thought. sometimes also empowers the competent García Pérez (Spain) and Gavin Llewellyn national authorities to request information (UK), revolved around the online sales of With the Internet, businesses big and small, from companies not physically present in retail goods and services in a context of can roll out their activities online and their jurisdiction. Anthony Rosen mentions digital consumers and businesses. worldwide in the blink of an eye. In that sense, for instance that under UK law, a foreign- a digital presence is the promise of speed based provider of telecommunication The speakers relied on a captivating two- and simplicity: what used to take unthinkable services would nonetheless have to comply pronged approach to help the participants amounts of time, money and manpower with requests from a UK authority based on understand the challenges found in the online now requires little else than a computer a “reasonably practicable” test. retail business. Gavin Llewellyn, discussing connected to broadband Internet access and branding of companies active online, showed a comfortable chair. Yet the reward stays the In other words, the legislation around the strengths and limitations of exclusive same: access to global markets. telecommunications and its surveillance distribution methods for producers of requires the storage of a relatively high branded goods. Indeed, a contractual set-up Technically, deploying a business amount of information as well as compliance through a distribution agreement allows the internationally has never been easier. Can with telecommunication surveillance requests producer to retain some control, though the same be said from the legal standpoint, emanating from the authorities. Therefore, it remains difficult for the producer to ie is compliance with national/regional new technology companies are always well simply prohibit online sales on its contracting legislation easier today than in those pre- advised, according to the panelists, to assess retailer’s reliance on third-party online Internet days of yore? the compliance of their activities with the market places. Conversely, online retailers laws of the jurisdictions in which they are looking to use certain third-party trademarks In general, no, it is not. True, compliance might not only physically but also digitally present. as search engine keywords or metatags need be in some ways easier today. Legislation is to proceed with caution if they do not want often harmonized on an international or 2.7. Compliance for Multinational to face a trademark infringement claim from a regional level, as is the case with EU Companies: Cybercrime, Unfair the third-party trademark holder. legislation. In addition, national interests in Competition, Privacy and Data reducing barriers to world trade has also Security Across Borders Francisco Javier García Pérez informed led to a watered down legislation opposing the participants on EU rules that apply to or hindering globalization. Moreover, The diversity of legal and regulatory online platforms. In particular, he discussed despite rules against geo-blocking and other requirements naturally stimulates business’ requirements for the contents of the terms discriminatory behaviour, companies are still needs for strong compliance practices. and conditions that the online platforms free to set up distribution networks and use. Of particular interest however, was his decide on their market deployment strategy. Dominik Suoniemi (Geodis representative), analysis of the rules around geo-blocking offered valuable advice on how internationally under EU law. Geo-blocking is a technical There are however several considerations active companies can attain compliance with means of limiting access to online spaces or that show that companies looking to further the legal requirements in the many jurisdictions the differentiation of an online provider’s their digital presence do face legal hurdles. in which they are present. In particular, he offering based on the geographical origin of Firstly, this is in part because of the reminded all attendees that compliance is not the customer. This tool is problematic from increasing technicality and specialization of (only) a matter of up-to-date internal policies, an EU law standpoint as it goes against the laws. Indeed, no international deployment but is strongly reliant on sound corporate EU’s digital single market strategy. EU rules is nowadays possible without, for instance, culture, internal training and awareness. on geo-blocking prohibit the blocking or ensuring compliance with data protection limiting access to online interfaces for reasons and privacy legislation, a legal field of Both Jeremy Heep (USA) and Fernando relating to the nationality, place of residency arguably much lower relevance in the de la Mata (Spain) echoed this advice and or establishment of the potential customer. past. Also, certain legal domains, such as highlighted the growing need for a strong That said, there are many limitations to telecommunications legislation, used to compliance company culture, especially the scope of this prohibition as it does not apply only to a very limited subset of

Rassembler les avocats du monde I 2 ■ 2020 19 actors and has become, nearly overnight, an Here again, the answer to these questions is jurisdictions, there remains strong risks that unexpected yet mandatory consideration in general negative. A full global compliance is the legal solution that works in one country for many businesses. hardly realistic, yet businesses would still be will – perhaps unexpectedly – go against the well advised to mitigate as many legal risks as laws of another country. There is no one- A second reason is the fact that businesses possible. Indeed, be it in the USA or in Europe size-fits-all legal solution. In this respect, the cannot pick and choose the jurisdictions in (supposedly all around the globe), authorities ease with which businesses can implement which they will be digitally present as easily appear keen to retain all enforcement powers. their international digital presence might as they could have done in the traditional In this respect, any argument according to make us lawyers forget that we are still brick-and-mortar context. Accessing a French which an actor is “only” digitally present working with an ancient system that is Internet platform from Spain is indeed a simple seems to be carrying less and less weight very much lagging behind the technological process and the French party would possibly with authorities. Competition authorities have reality in terms of its globalization. fail to lawfully prevent customers in Spain from already expressed their willingness to enforce • A fourth lesson is that any strategy whereby accessing its platform, in no small part due to competition law in this digital age, remaining a company looks to avoid legal exposure in the EU rules against geo-blocking. In the same unphased by arguments such as: “We’re a any given jurisdiction solely by invoking its way, the France based business would struggle [name country] tech company and not active lack of physical presence is not a prudent to argue against the (at least partial) applicability on your market”, “But the services are provided way of doing business. Indeed, this “now you of Spanish legislation should Spanish residents free of charge”, “It’s only some algorithm”, or see me, now you don’t” approach is at best acquire products or services or in any other “Nothing wrong with having some data and cavalier and at worst self-destructive. We way use this French platform. jealously watching over it”. The threat of US class indeed see that we are moving towards a actions or antitrust enforcement and – albeit strong assimilation of the digital existence Thirdly, as highlighted during the business to a significantly lesser extent - EU consumer and the physical one. protection law enforcement must rightly forum through the various panels, businesses • The last lesson learned is truly a positive discourage many businesses from attempting a face a fragmented legal landscape. Not one. There is such a plethora of new “now you see me, now you don’t” strategy under unlike a pack of cigarettes out of which the technological developments and such a which they would for instance claim that digital individual cigarettes stick out more or less strong ripple effect on the laws in virtually presence in no way equates physical presence far, the applicable laws are at varying degrees every area, that practicing the law will and that only authorities from states in which of maturity relative to the digitalization of remain extremely stimulating. businesses. For instance, where the experts they have a physical presence should have any kind of enforcement rights. and the legislators are still in active policy 4. Conclusion discussions around revising the tax law space The panelists taught us a few lessons that to more effectively tax international sources To summarize, the strengths of this year’s of revenue of digitally present actors, financial will always be good reminders for us lawyers attempting to soundly assist our clients in a Annual Business Law Forum were the services specialists seem quite comfortable fast changing world: quality of the speakers and the different with the current set of rules and their viewpoints they put forward. This wealth • Firstly, it has never been as important applicability in our digitalized environment. of contributions is a rare occurrence and as it is now to understand what our offered these writers much food for thought. So, with the advantages of a global digital clients’ businesses are about. Indeed, when billions are invested through M&A presence comes a greater and swifter legal Digital presence, if not (yet) a clear legal transactions to acquire companies (e.g. exposure and a need to proactively seek notion, is a reality. Digital businesses that up digital platforms) with no physical assets, compliance globally. In other words, with until recently might have felt shielded behind no real estate and novel business models, great power comes great responsibility. And national borders will have to face diverging and when software companies happen to one cannot, in a legal context, discuss power opinions from many national or regional fall under telecommunications surveillance and responsibility without touching on authorities around the world. Conversely, legislation, there is a need for forward- competition law matters and, more generally, everyday legal practice has had to adapt, and thinking, curious (yet cautious) lawyers. enforcement. Indeed, assuming as mentioned will need to continue to do so: if our clients above that a global legal compliance is an • Secondly, transversal thinking should be evolve, then so should we. arduous task, one may wonder if it is a the name of the game. Contemplating necessary one, or can businesses take their legal pitfalls in areas with which one may Olivier NICOD chances hoping that no enforcement action not be familiar is certainly not every Attorney, LL.M., Partner will follow their lack of compliance? Could lawyer’s priority. Yet, because of the Walder Wyss SA these businesses validly argue that their growing legal complexity and the very Lausanne, Switzerland digital presence is not legally significant and real consequences of a breach of the law, [email protected] that the true measure must generally remain it has become essential to have some a physical presence? Put differently, should awareness of the challenges that may Hugh REEVES we not treat new technology companies, arise from legal domains alien to us. Attorney, LL.M., Senior Associate active globally over the Internet, differently • Thirdly, we must keep in mind that, despite Walder Wyss Ltd. than traditional brick-and-mortar providers many harmonized rules on the international Lausanne, Switzerland of goods and services? level and similar practices in foreign [email protected]

20 2 ■ 2020 I Reunir a los abogados del mundo Le 28e Forum mondial UIA des centres de médiation sera virtuel

4-5 sept. 2020 I Fabienne VAN DER VLEUGEL

Le 28è Forum Mondial UIA des centres Le 2e webinar est tout autant d’actualité. sujet d’intervenir à propos des conflits qui de médiation devait se tenir à Sydney en ont un lien avec l’espace. C’est l’opportunité Australie ces 3 et 4 septembre 2020. La pandémie a conduit les divers pro- de comprendre combien l’outil de la média- fessionnels intéressés par la médiation à tion peut s’intégrer dans la gestion de ce Compte tenu de la crise mondiale liée au adapter leur pratique et à proposer aux type de conflit très particulier. Covid-19, la ville de Sydney est retenue parties médiées d’utiliser les outils informa- pour un prochain Forum qui, de toute tiques nouveaux, et notamment les visio- évidence, devra être reporté à une date conférences, pour avancer, voire initier des Steven Freeland, Professeur à l’International qui sera fixée d’un commun accord avec médiations conventionnelles ou judicaires Law at Western Sydney University, inter- le comité organisateur local. Nous nous pendant le confinement. viendra pour cette session aux côtés de réjouissons d’organiser un prochain forum Donna Lawler, avocate spécialiste en droit en Australie à une date qui conviendra. La crise du Covid-19 a déclenché la prise de commercial de l’espace et Lucy Stewardson, conscience de réels besoins et la nécessité avocate belgo-australienne admise au Les circonstances obligent à s’adapter et à d’aller de l’avant et d’utiliser à l’avantage des Barreau de Bruxelles. faire preuve d’imagination. personnes en conflit les outils modernes, sans réunions présentielles. Au cours de la dernière session intitulée Exactement comme un médiateur qui, au cours du process utilise à l’avantage des En octobre 2017, durant le 24è Forum orga- « Mediation as a profession – Setting the parties médiées divers outils et techniques nisé à Singapour, la technologie de l’outil standards », modérée par l’incontournable de négociation, le Forum Mondial UIA Modron autorisant la gestion des médiations Rosemary Howell, nous aurons l’occasion des centres de médiation utilise les outils à distance avait été fort appréciée. Depuis, d’écouter Danielle Hutchison et Emma-May modernes pour adapter son rendez-vous de l’outil a été amélioré. Litchfield qui nous éclaireront utilement sur début septembre 2020. les méthodes efficaces assurant le dévelop- En juin 2013, lors du Forum organisé en pement des activités de la médiation. Une République Tchèque, l’importance de la Quatre webinars, d’une durée d’une heure session qui se veut pragmatique, utile, avec chacun, seront organisés et s’étaleront sur gestion des médiations online avait été sou- la dynamique que l’on connaît de Danielle deux jours : le jeudi 3 septembre et le ven- lignée et les participants au Forum avaient dredi 4 septembre 2020. apprécié les professionnels qui appuyaient et Emma-May, speakers habitués du Forum. la nécessité de développer cette pratique. Le premier webinar intitulé “The Impact Le Forum Mondial UIA des Centres de on International Disputes of the Singapore Aujourd’hui, ce ne sont plus uniquement des Médiation se réunit tous les neuf mois avec Convention” sera l’occasion pour les partici- idées qui sont partagées, mais il y a nécessité un taux de participation croissant à chaque pants au Forum d’écouter les observations de connaître et de parfaire les outils adéquats. session. Il permet à ses participants, de du Professeur Khory McCormick (Griffith partager de façon libre et efficace leurs pra- Cette session est l’occasion pour les pro- University), Dr Christopher Ward SC tiques, leurs idées, leurs observations pour (Australian National University) et George fessionnels médiateurs ou tous ceux qui peaufiner leurs pratiques de la médiation et Lim SC (Singapore International Mediation sont intéressés par le développement de la Centre). médiation au sein de leur pratique profes- les améliorer. sionnelle, de vivre une première expérience La convention de Singapour reste un sujet avec l’outil Modron, et de connaître ses A vos agendas pour les rendez-vous du 3 de discussion partagé entre ceux qui en sont caractéristiques. et 4 septembre 2020, sous forme de webi- satisfaits et d’autres qui n’en perçoivent pas nars ! les aspects bénéfiques. Ce sujet a d’ores et Le formateur de Modron, Nathan Polito, sera déjà été traité en divers points au cours du l’interlocuteur direct et pourra répondre, le Fabienne VAN DER VLEUGEL è cas échéant, aux questions qui lui seraient 27 Forum organisé à Milan, Italie, en janvier Présidente du Forum Mondial des Centres de 2020. posées durant la session qui se veut très Médiation de l’UIA interactive, autant que possible. C’est l’occasion, aujourd’hui, d’entendre VDV Avocats (Meaux - New York) des intervenants d’autres continents et de La troisième session intitulée « Mediation Serris, France comprendre la position de l’Australie sur and space law » est particulièrement inno- [email protected] le sujet. vante. Elle permettra à trois spécialistes du

Bringing Together the World’s Lawyers I 2 ■ 2020 21 Human Rights and Protection of Lawyers Droits de l’Homme et de la Défense Derechos Humanos y de la Defensa Les avocats du Barreau de Bordeaux créent un pôle destiné aux mineurs étrangers

I Christine MAZE

parcours migratoire chaotique. Il est donc In recent years, the number of foreign nécessaire que les avocats interviennent minors has increased considerably au plus tôt pour se donner les meilleures in Gironde (south-west of France). chances », relève Me Christine Maze. Not satisfied with the support they received and to meet their legal Contestée, notamment sur la validité des Human Rights and Protection of Lawyers needs, the Bordeaux lawyers have tests osseux, objet d’une question prio- created a dedicated center for them ritaire de constitutionnalité, la pro- within the Bordeaux Bar. Supported cédure donne régulièrement lieu à des Droits de l’Homme et de la Défense by the Department (a French local recours, environ 80 par an en Gironde. « À administrative entity), the establishment chaque fois, les notifications de décisions of this efficient partnership makes it précisent bien les voies de recours, et Derechos Humanos y de la Defensa possible to facilitate the administrative renvoient notamment vers le pôle MNA du regularization of these young people. Barreau ».

Venus principalement d’Afrique subsa- « Pas d’insertion sans juridisme » harienne, les mineurs non accompagnés (MNA) – ces jeunes étrangers privés tem- Au sein du pôle, les avocats spécialisés en porairement ou définitivement de la - pro droit des mineurs et en droit des étrangers, tection de leur famille – sont de plus en ont été rejoints peu à peu par des confrères avocats sont pleinement dans leur rôle », plus nombreux en Gironde. Fin 2019, 1 100 spécialisés en droit du travail ou de la santé. renchérit Me Christine Maze. jeunes étaient ainsi pris en charge par les « Nous avons décidé de décliner cet accom- services de l’aide sociale à l’enfance (ASE) pagnement sur tous les autres aspects de Pour conclure, Me Maze ne compte pas du département, contre à peine 200, trois l’insertion, professionnelle, économique ou s’arrêter là… avec l’appui du Conseil ans auparavant. Une « question humaine sociale », raconte Christine Maze. Avec Départemental, elle a sensibilisé les très préoccupante », selon Me Christine toujours, en ligne de mire, la nécessité de Bâtonniers d’Afrique de l’Ouest sur un Maze, membre du Conseil de l’Ordre de régulariser la situation administrative avant projet de retour au pays, des jeunes MNA, Bordeaux. Elle s’est saisie de cette pro- le passage à la majorité : « À 18 ans et un qui une fois formés, seront opérationnels blématique en créant, il y a un an, un pôle jour, on peut devenir expulsable », rappelle pour une future vie professionnelle sur leur d’entraide et de soutien juridique unique en l’avocate. continent d’origine. Une démarche volon- France. Une quarantaine d’avocats volon- taire et incitative pour permettre à l’Afrique taires s’y relaient, épaulés par un salarié de Compte tenu de la moyenne d’âge à l’arri- de garder ses enfants. l’ordre, pour défendre et accompagner dans vée – autour de 15 ans –, l’enjeu préoc- leur parcours les jeunes concernés. cupe grandement les travailleurs sociaux de Le Barreau de Bordeaux espère vivement l’ASE. Des professionnels éducatifs « insuf- voir le modèle bordelais rapidement décliné Pour l’instant, l’accompagnement se fait fisamment armés » sur le plan juridique et dans tous les barreaux de France voire surtout par rapport à la question de la manquant de moyens pour « se battre afin d’Europe ! reconnaissance de la minorité. Depuis la d’obtenir les papiers ». loi du 14 mars 2016, c’est en effet au Christine MAZE Président du Conseil Départemental qu’il Issue d’un partenariat avec l’Ordre des Avocate revient de statuer sur l’âge des jeunes Avocats, une application financée par le Christine Maze – Avocat Bordeaux réfugiés. À la clé pour les mineurs, le département devrait ainsi voir le jour lors Bordeaux, France bénéfice des dispositions de la protection du 1er semestre 2020. Elle offrira aux [email protected] de l’enfance ; pour les demandeurs consi- accompagnants des MNA – professionnels, dérés comme majeurs, un refus de prise associations… – un accès direct, immédiat en charge mettant fin à l’accueil provisoire et sécurisé aux compétences du pôle, qu’il d’urgence, et replaçant l’intéressé sous le s’agisse de s’opposer à un refus de soin, coup du Ceseda (Code de l’entrée et du d’intervenir dans un conflit du travail ou séjour des étrangers et du droit d’asile). d’assurer le lien avec un consulat pour récu- « Apporter la preuve de son âge, cela peut pérer des documents d’identité. « Il n’existe être très compliqué, surtout auprès un pas d’insertion sans juridisme et, ici, les

Rassembler les avocats du monde I 2 ■ 2020 23 Visages de la liberté : ils prennent le risque de défendre

#avocatsendanger

I Henri CARPENTIER

Un avocat, c’est celui qui conseille et qui depuis Nantes, et elles ont apporté leur défend. Lorsqu’une personne est poursuivie expertise, leur professionnalisme et leur par les autorités judiciaires de son pays, infinie disponibilité pour réussir ce projet. l’avocat est là, pour défendre. Cette défense est l’essence même de notre profession. Œuvrant dans ce seul but, ces institutions ont effectué un travail formidable. Durant Mais cette défense est aussi vaine 5 mois, il a fallu choisir les différents qu’impossible lorsque le droit et la loi sont profils que nous souhaitions exposer, puis bafoués. Face à l’arbitraire, un avocat ne contacter chaque confrère à travers le peut rien. Ainsi, lorsqu’un avocat défend monde, depuis la Tanzanie jusqu’à la Russie, une personne, il défend aussi le droit, pour obtenir son accord, exposer notre les textes nationaux et internationaux qui démarche et lui témoigner notre soutien… protègent et qui permettent à la justice de tout en s’assurant que ce projet n’interférait s’exercer librement. pas avec les nécessités locales de sa défense.

Les personnes que nous avons exposées, comme tant d’autres, n’ont pas accepté ce silence.

Ces principes, en tant qu’avocats, nous Les portraits qui ont été choisis pour figurer sont chers. Car nous le savons, ces textes dans cette exposition, accompagnés par de loi ne peuvent vivre que s’ils sont des textes juridiques internationaux qui défendus, portés par des individus. Ce ne portent nos libertés fondamentales, ne sont sont plus des mots vides de sens, jargon pas exhaustifs. Ils illustrent cependant la juridique désincarné, ce sont des valeurs, détermination de certains à faire de l’État des engagements qui tracent la frontière de droit une réalité humaine. entre une société de droit et une société de violence et qui sont incarnés par nos L’exposition, soit 13 visages représentés confrères à travers le monde. sur des affiches de 1,70 m de haut, a été inaugurée le 24 janvier 2020, au sein du C’est en partant de ce constat que la Palais de Justice de Nantes. Commission Internationale du Barreau de Nantes, l’Union Internationale des Avocats Car, le 24 janvier 2020, journée internationale (UIA) et le Conseil National des Barreaux de l’avocat en danger, nos confrères à travers ont décidé d’honorer ces avocats qui sont le monde demeurent poursuivis, jugés ou assas- poursuivis, jugés, condamnés ou assassinés sinés pour la seule raison qu’ils sont avocats. pour la seule raison qu’ils exercent leur métier. Tous ces mois de préparation, ces entretiens Ainsi, ces institutions ont travaillé ensemble téléphoniques avec les comités de soutien, autour d’une idée simple – afficher le temps avec les familles, les visites en détention d’une exposition à l’attention du grand effectuée auprès de nos confrères, nous ont public le visage des hommes et femmes de rappelé cette sordide réalité : Les visages de loi qui sont persécutés en raison de leur nos confrères sont des visages que certains profession. Car à travers leur métier, ils voudraient battre, que certains voudraient défendent nos libertés. voir fouettés, défigurés ou tuméfiés.

L’UIA et le CNB ont répondu immédiatement Quelle que soit la violence exercée, une présents à l’appel que nous leur avons lancé violence physique ou judiciaire, quel que soit

24 2 ■ 2020 I Reunir a los abogados del mundo Car cette défense de l’État de droit doit être fondamentaux, ces phrases aussi essentielles la mission première de nous autres, gens que magnifiques qui donnent à ces visages de robe, avocats, magistrats ou personnel toute l’ampleur qu’ils méritent. de justice. Car si les gens de robe, les professionnels du droit ne le font pas, Cette volonté de faire de l’État de droit qui le fera ? A l’échelle d’une population, une réalité humaine est la raison même finalement très peu de gens se préoccupent de cette exposition. Car si les hommes et de la loi et de son application. En France, les femmes qui se battent pour l’État de dans le secret du délibéré d’un conseil droit sont peu nombreux, leur action est constitutionnel, il ne reste en définitive que universelle. 9 personnes pour décider si une loi est conforme à nos libertés essentielles ou si, Cette exposition a été faite pour être au contraire, elle tord le cou à nos droits reprise, diffusée, affichée par tous les élémentaires. barreaux et institutions qui le souhaitent. Une version internationale de l’exposition Comme le dit François Sureau, dans son est à disposition, en plus de la version ouvrage « Sans la liberté » : « Il dépend française. Je vous invite à prendre attache l’auteur de cette violence – États autoritaires de très peu de monde que notre société avec l’UIA, le Barreau de Nantes ou moi- ou groupes mafieux, le but est le même : se corrompe ». Cette défense de l’État de même : l’exposition vous sera envoyée le silence. Voilà le but poursuivi par ceux- droit ne doit jamais être perdue de vue. Car pour que vous puissiez la reprendre dans là. Faire taire la voix du droit, la voix de l’obscurité n’est jamais loin. L’obscurité où vos instances locales et faire de ce projet la liberté. Ces groupes savent que cette l’on juge à l’abri des regards, l’obscurité où un témoignage clair de notre attachement voix porte davantage que leur bruit et leur se pratique la torture, l’obscurité qui nous collectif à la promotion de l’État de droit fureur. Alors, ils emprisonnent, bâillonnent fait nous détourner de nos libertés vers et à la solidarité envers nos confrères. Ces ou mutilent cette voix qui les dérangent. l’impossible chimère d’une sécurité absolue. visages de la liberté doivent être mis en L’État de droit, le « rule of law » n’est pas un lumière et l’exposition est ainsi un moyen Les personnes que nous avons exposées, idéal naïf, une eau de rose qu’on sert dans concret pour le faire. comme tant d’autres, n’ont pas accepté les colloques pour se gargariser et digérer ce silence. Elles ont au contraire prêté des discours lénifiants. L’État de droit doit Henri CARPENTIER leurs voix pour faire résonner nos libertés être un référentiel pour l’action et pour la Avocat fondamentales. Ces visages sont autant de construction de nos sociétés à travers le Président de la Commission Internationale du preuve de courage et de détermination que refus de l’arbitraire, qu’il soit individuel ou Barreau de Nantes nous souhaitons porter haut. Ce sont ces étatique. Carpentier Avocats visages qui crient la liberté. Et c’est la raison Nantes, France pour laquelle nous les soutenons à travers Par conséquent, face à cette obscurité [email protected] cette exposition « Visages de la liberté : Ils toujours rampante, nous avons voulu prennent le risque de défendre ». mettre également en lumière nos textes

Bringing Together the World’s Lawyers I 2 ■ 2020 25 SAUDI ARABIA HUMAN RIGHTS DEFENDER, WALEED ABU AL-KHAIR, IMPRISONED AND TREATED LIKE A TERRORIST FOR DEFENDING HUMAN RIGHTS

Waleed Abu Al-Khair has provided legal representation to many victims 2008 of human rights violations in Saudi Arabia.

The authorities banned Al-Khair from representing specific defendants in 2009 courts, but he refused to obey them.

Al-Khair was awarded the prize of the In March, he was banned Olof Palme Memorial Fund for from leaving the country International Understanding for "security reasons". and Common Security. 2012 UIA issued a statement of support for Al-Khair, noting that his rights to due process and a fair trial had been violated by Saudi Arabia.

He was arrested for holding a ‘diwanniya’ – an informal gathering at his home to discuss human rights issues and reforms; later that month he was sentenced to three months in prison for harming the image of 2013 the state by communicating with international organisations. Additional charges were presented against him later in this year.

In April he was imprisoned on fabricated Halfway through his trial, charges after an unfair trial that violated Saudi Arabia enacted a new international standards of due process. anti-terrorism law, which the 2014 In July, he was sentenced to 15-years’ courts improperly applied to imprisonment on charges related to Al-Khair’s case. his peaceful activities in the field of human

UIA continued its support of Al-Khair by commencing a media campaign to raise awareness of Saudi Arabia’s persecution and mistreatment of Al-Khair.

In August, UIA, along with several of While in prison, its partner organizations, asked the Al-Khair was awarded the United Nations Working Group Ludovic Trarieux International 2015 on Arbitrary Detention (WGAD) Human Rights Prize. to rule on Al-Khair’s case.

In October, the UN WGAD released a first opinion on his case concluding

that his detention following his arrest in 2014 was arbitrary.

26 2 ■ 2020 I Rassembler les avocats du monde

Al Khair was awarded the 2016 Human Rights Award of the Law Society of Upper Canada (LSUC)

In June, Al-Khair began a hunger 2016 Al-Khair was beaten by strike, in protest against the prison another prisoner in April. authorities’ refusal to provide him When he complained to prison with needed medical care. authorities about it, his cell was raided. Al-Khair suffered from complications of diabetes and intestinal complications.

The UN WGAD declared his detention, following his conviction 2018 and sentencing, as being violative of the relevant provisions of the Universal Declaration of Human Rights.

Al-Khair undertook another hunger strike which he first ended on December 10, Waleed Abu Al-Khair the anniversary of the UN Declaration was awarded the 2019 of Human Rights. He continued his strike ABA International the next day after the prison authorities Human Rights Award. did not respond to his demands 2019 and kept him in an isolation cell.

This year, Saudi Arabia’s term as a member of the UNITED NATIONS HUMAN RIGHTS COUNCIL expired.

He was returned to solitary After 30 days on a hunger strike, Al-Khair was transferred to a hospital confinement and restarted under high security measures. his hunger strike until authorities 2020

While in the hospital, he was finally transferred him denied appropriate medical attention. from solitary confinement to his former cell.

For further information: https://www.uianet.org/en/uia-irol

INFOGRAPHIC BY GUSTAVO SALAS RODRÍGUEZ, PH. D. - g [email protected] UIA-IROL, HUMAN RIGHTS AND PROTECTION OF LAWYERS CO-DIRECTOR.

Reunir a los abogados del mundos I 2 ■ 2020 27 The Legal Profession La profession d’avocat La Abogacía How Notary Publics are Gatekeepers to Prevent Property Identity Theft

I Jill MARIANI

There is no greater threat to one’s security publicly filed deeds of property owned the trust. This forged deed and related than being displaced from one’s home. by older individuals with no mortgages forged documents were recorded with the Shockingly that can happen with the stroke and substantial equity. Such real estate New York City Register’s Office of the of a pen or the click of a mouse. A class usually represents the accumulated family New York City Department of Finance, of criminals specializing in the fraudulent wealth of several generations, often the only thereby depriving the unknowing victim, The Legal Profession conveyance of residential real estate is family asset. Modestly priced at the time the defendant’s 84-year-old neighbor, of an flourishing throughout major metropolitan of purchase decades ago, these properties asset worth approximately $445,000. areas in the United States. This property title now command great value. La profession d’avocat theft, a form of identity theft, is pernicious In Philadelphia, a half dozen properties in and emotionally harrowing, especially to the Unfortunately, the transparency that is a gentrifying neighborhood with soaring more vulnerable segments of the population. afforded through public filings provides these values were fraudulently conveyed to the La Abogacía charlatans with a plethora of information to defendants. The purported sellers were The international community is not immune commit their crimes. The public records deceased before their signatures were from victimization of the American criminals. expose liens from unpaid real property purportedly sworn to before a notary Foreign investors in American cities on taxes and/or water and sewage charges, and public. Some of the transactions were the cusp of renaissance, like Detroit, are disclose information about both the owners concluded by a man still on parole from undergoing gentrification. Neighborhoods and the notaries public, including their a lengthy prison sentence for a string of in Philadelphia and New York City are actual signatures. violent crimes. particularly vulnerable to property title theft since they are often physically absent B. Consequences Some thieves transfer the property to a from the property for long periods of limited liability corporation, or through time. Additionally, an apostille1 based upon Property title theft devastates the property a series of shell entities, or to a totally a fraudulent notarization corrupts the owner. The real estate is transferred fictitious person. The fraudsters are then integrity of the record-keeping authorities through a new deed, usually a “quitclaim” free to use the property as collateral to in other countries. deed, conveying property “as is” without obtain a mortgage or a loan. The funds are any warranties on the part of the seller. used to make renovations or extracted in The modus operandi of these title thieves is The deed contains either the forged cash for personal benefit. They can also sell being replicated in communities around the signature of the true owner, who may be the property to a bona fide purchaser. globe. For example, individuals forged deeds deceased, sometimes for decades, or the by unassuming British or Irish homeowners, owner’s actual signature, who had been The victims of these crimes face a difficult, including an attempt to acquire property tricked into believing that he or she would and sometimes, impossible legal challenge in owned by Penny Hastings, the wife of still retain ownership. In other instances, their efforts to undo the transactions and journalist and historian Sir Max Hastings. particularly when the homeowner has died regain title. It is time-consuming and costly Fortunately, many transactions have been intestate, meaning without a will, the deed to evict a fraudster in a housing court action thwarted, or reversed in a timely fashion.2 contains the signature of a distant heir or to commence a “quiet title” action in a Nevertheless, being able to recognize the or an imposter masquerading as a legal civil court to establish which party has legal red flags of this criminal activity would distributee. Even a fractional interest in the ownership to real property. benefit residential owners worldwide. property, transferred for a sum of money well below the property’s market value, C. Notaries Public – A. Targeting may enable a fraudster to gain control over the Gatekeeper the entire property eventually, or at the The method of attack is systematic and very least to obtain a share in a portion of A notary public is an intrinsic party to the diabolical. American fraudsters prowl for future sale proceeds. conveyance of residential real estate. In the single- and two-family houses and residential United States, the notary public is a public brownstones, especially in redeveloping For example, one convicted defendant officer, and is sometimes also a licensed neighborhoods. They also discover stole a three-family residential property in attorney. In several countries, like Greece, prized parcels by scouring obituaries for Brooklyn, New York by creating a trust Italy, and Slovenia, the notary public is a recently deceased owners, by physically naming himself as trustee. The defendant specialized full-time profession; it can be a canvassing neighborhoods for unoccupied then filed a forged deed transferring well-paid profession. The training of notaries or dilapidated residences, or by locating ownership purportedly by the owner to varies among countries, but it appears to be

Bringing Together the World’s Lawyers I 2 ■ 2020 29 responded to this wave of deed frauds by issuing a Grand Jury Report (“Report”).3 Released in December 2018, the Grand Jury made specific recommendations requiring greater scrutiny concerning the qualifications of the notary public in the first instance.

The recommendations are quite simple. The Grand Jury urged the New York State Legislature to require all notary public applicants to be fingerprinted as part of the background check prior to his or her appointment as a notary public, and to file an official bond. In addition to establishing the applicant’s true identity, these procedures would disclose if the more rigorous in some nations than most worked in real estate, when she assisted notary public applicant has been convicted American jurisdictions. Nevertheless, the her father in selling the property. In some of a disqualifying crime, and would provide notary public is the gatekeeper poised to instances, fraudsters arrange for an individual victims with some measure of recovery for avert this most dastardly fraud. with fake identification to forge the signature damages suffered as a result of the notary of the purported homeowner or the public’s misconduct. In the United States, every document purported legal heir on pertinent documents associated with a real estate transaction in the presence of a notary public. The Grand Jury also recommended that requires a notarization. The deed requires an the New York State Legislature increase acknowledgement. The supporting affidavits More brazen perpetrators affix a fake applicants’ required education, while to a deed require a jurat. In both instances, notary public signature themselves. Some mandating applicants to take a designed the notary public must positively identify the fraudsters purloin a valid notary public course on notary public law prior to the signer of the document by obtaining proper stamp, and without the permission or written examination, and also requires identification from that person. In the case authority of the notary public, use it to notaries to take a refresher continuing of a jurat, the notary public also administers notarize the necessary signatures. Others lift education course prior to reappointment. an oral oath or affirmation. valid notary commission information from This practice would ensure that notaries public documents accessible through public public are aware of current law, including Virtually every fraudulent transfer involves a records, and photo-shop the notarization illegal schemes. This is particularly important faulty notarization, either by a willing, or an onto the new documents. because attorneys in most American states unwitting notary public. In many instances automatically qualify for notary licenses of fraud, the notary public affixes his or Still others use information about a notary without even taking a test. Yet, notary her signature and notary seal to documents public that is contained in public filings, public law is rarely, if at all, addressed in any even though the signer does not appear such as the license number, expiration date, law school courses. before the notary. In some cases, the notary and county of issue, to purchase a phony public is persuaded to dispense with lawful notary public seal from a retail vendor of Among other recommendations, the Grand protocol because the notarial services are notary paraphernalia. To test the laxity in Jury encouraged the New York State being provided to someone regarded as the industry, one law enforcement official, Legislature to institute new procedures that a respectable member of the community, acting in an undercover capacity, purchased a notary public should follow in the exercise including an attorney or a police officer. a fake New York notary seal from an of his or her official acts. One critically Unfortunately, such “respectable” persons out-of-state online vendor. The officer important recommendation to combat may turn out to be criminals. In more simply provided the vendor with a fake fraud was to require a notary public to disturbing cases, the notary public signs notary public registration number, county of keep a chronological and contemporaneous and notarizes a blank grantee or grantor issuance, and commission expiration date. journal of all notarial acts. The journal signature line. Upon the payment of a modest fee, a notary would note the date, time, and the type of seal was created. The vendor did not verify the notarial act, that is, the instrument. In For example, a notary public in Ohio, the notary public’s commission as she was addition, the notary public would record indicted in 2019 on state felony charges, met not legally obligated to do so. the name, address, signature, and the type the fraudsters in a parking lot and notarized of photo identification provided by each four deeds that were either unsigned or pre- D. Grand Jury Report person whose signature is being notarized. signed by the purported seller. One of the A survey of the 50 states and all United stolen homes had been in the same family A New York County Grand Jury, empaneled States territories, except Puerto Rico, for 30 years. The fraudulent transaction was upon the application of New York County revealed that 18 jurisdictions require a discovered by the owner’s daughter, who District Attorney Cyrus R. Vance, Jr., journal for all notarized documents; 34 of

30 2 ■ 2020 I Rassembler les avocats du monde the remaining 37 jurisdictions recommend Conclusion keeping such a journal. The notary public stands in a pivotal The Grand Jury further recommended that position to thwart real estate conveyance if the document to be notarized is a deed fraud and to assist in bringing scammers or any other document affecting residential to justice. With Notary Public Day being real property that is required to be publicly celebrated each November 7th in the filed, the notary public would also record United States, there is tremendous pride the block, lot numbers, and the street to be taken in a profession that can be address of the property in the journal. More traced back to ancient Egypt, when notaries importantly, the notary public would have public were known as scribes. The notaries the person signing the document place an public of the past witnessed historic events, inked thumbprint in the journal. Although such as the notary public assigned by the thumbprint requirement has generated King Ferdinand and Queen Isabella to some controversy in some jurisdictions, this accompany Christopher Columbus in 1492 practice has proven successful in the decline to ensure that all discoveries were properly of fraud in California, pursuant to Cal. Gov’t accounted and identified. That prestige, Code § 8206(2)(G), and is contained in the however, comes with a responsibility to Model Notary Act of 2010, § 7.2 (7), Journal be alert to those who would perpetrate Entries, proposed by the National Notary fraudulent schemes and these professionals Association. would be diligent not to contribute to its fraudulent activities. The notary public A journal provides additional benefits. must be the gatekeeper. It demonstrates the notary public’s due diligence and exercise of reasonable care, Jill MARIANI4 and can be used to refresh a notary’s Senior Investigative Counsel memory, months or years after the fact. Rackets Bureau of the New York County It establishes the signer’s identity and District Attorney’s Office corroborates the integrity of notarization. New York City, NY, United States A journal is also a valuable investigative [email protected] tool. There have been instances in which a journal, voluntarily kept by a New York City 1. An Apostille, a specialized certificate necessary notary public, enabled New York City law for the document’s acceptance in a foreign enforcement to prosecute a person engaged country, can be issued by the Secretary of State in deed fraud. of one of the 50 states, the District of Columbia, one of the U.S. territories, or the U.S. Department of State. It is attached to the original document to The Grand Jury also encouraged the New verify it is legitimate and authentic. York Legislature to join the majority 2. Help! My House Has Been Hijacked, Financial of other states requiring commissioned Times, Lucy Warwick-Ching, May 17, 2017; notaries public to obtain a stamp or seal, https:www.ofx.ie/protect-your-land-and and safeguard it in a locked and secured -property-from-fraud, April 30, 2019, last visited area under the exclusive control of the September 1, 2019; and https://www.irishtimes. notary public. This device would contain com/news/ireland/iresh-news/witness-tells-byrne- the name of the notary public, the county of trial-of-horror-at alleged deed fraud, October 11, 2013. the commission, the identifying registration number assigned to the notary public, and 3. Press release and Report of the Grand Jury of the Supreme Court State of New York issued the exact commission expiration date, pursuant to Criminal Procedure Law § 190.85 (1) setting forth the month, day, and year. (c), released by New York Supreme Court Justice Moreover, a new seal would need to Robert Stolz https://www.manhattanda.org/wp- be acquired upon each renewal, thereby content/uploads/2018/12/Deed-Fraud-Grand- no longer permitting the notary public Jury-Report.pdf. to change the expiration date manually. 4. The views and opinions in this article are her Furthermore, the Grand Jury recommended own and do not necessarily reflect her employer’s. that the New York State Secretary of State Jill is a member of the ABA Government and Public Sector Lawyers Division Council, as well as provide each notary public with a certificate a member of the ABA Section of International Law that verifies the notary public’s commission, that has a Memorandum of Understanding with a copy of which would be submitted to a the UIA. retail vendor to purchase a notary seal.

Reunir a los abogados del mundo I 2 ■ 2020 31 Cross-Cultural Lawyering and International Succession Law

I Peter KUN

models for easing cooperation between of abstract, theoretical reason, such as a belief Dans notre vie privée comme dans notre citizens of differing backgrounds had emerged. in the utopia of an ideal intercultural society, vie professionnelle, il nous arrive de plus However, in countries that up until this point but rather by some specific, individual aspect, en plus souvent de nous trouver à la have not faced a pressing need to resolve such as how they can successfully run their croisée de diverses cultures. Cet article the coexistence of diverse cultures in their joint venture. met en lumière les aspects, au-delà des normes professionnelles, qu’il est history, the related challenges are obviously souhaitable qu’un avocat intervenant being addressed a little more slowly and with The number of cross-cultural situations rose au niveau international prenne en more pitfalls. steeply with the breaking down of physical considération lorsqu’il traite avec des barriers and trade restrictions between clients ou des décideurs d’identité Before we explore everyday cross-culturalism “west” and “east” at the end of the Cold War. culturelle différente. Comme ces aspects in more depth, we would like to briefly Companies that had previously only operated apparaissent souvent de façon très discuss the nature of cross-culturalism itself. at a national, or at most a regional level, contrastée dans les affaires successorales, Cross-culturalism, multiculturalism and stepped out into the global market, becoming cet article se propose de les aborder interculturalism are often used as synonyms, multinational. As a result, in addition to sous l’angle du droit des successions. but they all refer to different concepts. In the linguistic barriers, they were faced with a multicultural society, groups with diverse challenges they had never experienced before.

“Culture is like the air we breathe – It is largely invisible and yet we are dependent on it for our very being. [It] is the logic by which we give order Cross-culturalism, multiculturalism and interculturalism are often used as synonyms, to the world.”1 but they all refer to different concepts. To handle a case successfully, is it always enough for lawyers to have a thorough ethnic and cultural backgrounds may live One of these was how to overcome the knowledge of the relevant statutes, case together, but there is not by necessity any conflicts originating from cultural differences, law and professional conventions in his or deeper relationship between them. They do whether they be “in-house” disputes between her country? In cross-border cases, could not necessarily know about each other’s employees or conflicts with the managers of it be sufficient for a lawyer to only request gods or frequent each other’s restaurants. By business partners or companies targeted for advice on the national laws from collaborating contrast, in an ideal inter-cultural community, acquisition. foreign colleagues? Or, could it take more to it is a given that the individuals making successfully represent clients in cases dealing up the community, from various cultural Typical cross-cultural conflicts have arisen with, for example, international succession backgrounds, know, understand, accept and when two companies entered into a cases? These are the questions that we set out mutually respect each other. In an inter- relationship where one operated in accordance to answer in this article. cultural society, there is no dominant norm; with the norms of an individualistic society, the various customs interact with each other, while the other functioned according to those Cross-Culturalism in our changing and evolving together. of a collectivistic society. In individualistic Everyday Lives societies, such as the USA or countries of Cross-culturalism, unlike the previous Western Europe, the individual is largely It is hardly disputable that we are increasingly concepts, is related to cultural differences independent from the other actors in society, exposed to a diversity of cultures as we go at the level of the individual rather than of whereas in collectivistic, for example, Asian about our day-to-day lives. Our personal the society. Research into cross-culturalism societies, a person is typically defined by his futures are heavily influenced by the society in examines the interactions between individuals or her social connections. which we live, and by the forms of coexistence of differing identity in what are referred to as the given society can establish with members cross-cultural situations. A typical example of Presumably, during negotiations between from various cultural backgrounds and such a situation is where people from different a North American and Western European identities. Naturally, this cross-cultural modus cultural backgrounds meet each other, and company, it is unlikely that replacing the vivendi may vary from country to country, and for some reason it is in their best interests to previous negotiating partner with a person even from one community to the next. By the understand and accept the differences arising having the same decision-making authority 21st century, in some countries, especially in from their differing identities. Therefore, this from one meeting to the next would create countries with great commercial traditions, effort is not primarily motivated by some kind any major problem. It is by no means certain,

32 2 ■ 2020 I Bringing Together the World’s Lawyers however, that an Asian company would accept value is, the more challenging it is to reconcile Lawyers cannot disregard these relational this substitution so easily given that, as far as it with a completely different one. In the legal aspects in the course of their work. They the representatives of the Asian company are area, perhaps the most striking differences of must strive to ensure that the arrangement concerned, the trust built up in the course this kind can be found in succession. reached is one the lawyer’s client can live with of the previous personal meetings probably in the long term as well. This is because the carries just as much weight as the professional For a lawyer dealing with international success of any agreement is largely dependent qualifications of the negotiating partner. succession, the question is self-evident. How on whether the parties are able, or willing, to should I act if I find myself in the crossfire of comply with its provisions. Lawyers advocating In addition to the spread of global trade, differing cultures? in such cases must exercise caution, and they numerous other factors, such as the need to be even more careful if the parties decolonization that followed the Second Cross-Cultural Lawyering have contrasting identities and come from World War, the recognition of freedom of different cultural environments. movement as a basic right within the European The lawyer’s role is to counsel, conciliate Union, and several waves of economically and represent.3 It is in the public’s interest In her 2001 landmark paper, Professor Susan and politically motivated migration, have also for a lawyer to be capable of effectively Bryant summarized the results of her several- contributed to culture clashes. These clashes representing the individual and defending the year research project conducted with Jean emerge not only between companies from individual’s private interests. The effectiveness Koh Peters entitled “The Five Habits: Building different business cultures, but also among of this protection of private interests, Cross-Cultural Competence in Lawyers.”4 The employees with different identities at the however, takes a different form in each Five Habits refers to a practical technique same company. These conflicts, and their branch of law. In a litigious proceeding, it is intended to make it easier to overcome the resolution, are perhaps the most clearly visible generally easy to decide whether the lawyer’s barriers resulting from cultural differences. at multinational corporations. A company advocacy was successful. If the court accepted Applying these techniques requires a great that successfully defuses its internal tensions the lawyer’s legal arguments and ruled in deal of skill, attention, and self-knowledge can expect to have more efficient and well- favour of the lawyer’s client, we can say that on the part of lawyers. While an exhaustive balanced employees and lower staff turnover the legal representation was a success. A summary of Bryant’s work is beyond the costs. However, cross-cultural situations are lawyer’s effectiveness is also beyond question scope of this article, it is important to explain not limited to large companies. They are also if a corporate acquisition deal is concluded what is meant by the “Five Habits.” present at a growing number in small and satisfactorily for all parties involved. This medium-sized enterprises, and even in family occurs when the transaction documents are Habit One requires the lawyer to identify relationships. drawn up accurately and as agreed, then and to differentiate between the cultural they are signed, then the seller receives the similarities and differences of the lawyer With the dawning of a globalized world, every purchase price and the buyer acquires the and the client, as well as recognize the country has, and will have, more and more intended shares in the target company. stereotypes and preconceptions that could families consisting of members with differing identities. A rising number of local small and medium-sized enterprises will have members arriving from different business cultures. As in With the dawning of a globalized world, every country has, and will have, more the case of multinational corporations, where and more families consisting of members with differing identities. more effective internal conflict management means a more productive company, it is also essential for the profitability of small It is more difficult to judge the “success” of a subvert lawyer-client communication. Habit businesses, and for the happiness and stability lawyer who has to settle a conflict between Two helps the lawyer identify what impact of families, that their members be capable of people bound by familial and often close the explored similarities and differences might managing their conflicts effectively so they can emotional ties. That can be the case, for have on the relationship between the lawyer devote their time to value creation instead of example, in disputed probate procedures. and the client, the client and the decision- constant infighting. In cases of this type, seemingly irrational maker (for example, judge), and the lawyer It is more than likely that cross-cultural conflict considerations are often in play alongside and the decision-maker. This helps the lawyer management will be a key factor in whether the rational ones. A special feature of these correctly “translate” the client’s position into a society can successfully overcome the cases is that, after their “completion,” for the decision-maker’s “language.” challenges of the 21st century; whether it can example, following the conclusion of the learn to cooperate or have its energy drained probate procedure, the participants remain Nevertheless, it is still common for the by constant struggles between its members. in contact with each other since they are lawyer to misconstrue what the client The principles of “Recognition, Respect, and connected by other factors besides the legal wants to communicate due to their own Reconciliation of Differences”2 describe the relationship. The former disputants may be preconceptions. This is why Habit Three recipe for successful cooperation but cannot just as likely to meet again at weddings and encourages the lawyer to explore what we be applied with equal effectiveness in all areas. funerals as at shareholder meetings of the will call the client’s “parallel universe” and The more deeply rooted a tradition or a basic family company. to utilize effort to interpret what the client

Rassembler les avocats du monde I 2 ■ 2020 33 really intends to communicate in that context. inheritance systems, namely the civil law cultural roots. Lawyers can help with this, Habit Four is concerned with communication system, the common law system and Islamic provided of course that they themselves see between cultures, especially what are referred law, it is clear that while all three essentially the importance of such understanding. to as communication pitfalls and red flags. A treat the family members of the deceased as typical pitfall is when the lawyer starts to think the natural guardians of continuity, subject Closing Thoughts and communicate in old patterns. to specifying how the testator’s wealth be divided up among them, they show substantial There is no such thing as culturally neutral This is a real and usual pitfall, because there differences in terms of how much freedom of lawyering. Lawyers, just like any other human is no guarantee that the previously successful disposal the testator has. beings in the course of their work rely – pattern into which the lawyer places the either consciously or unconsciously – on the solution to a client’s problem will apply when In essence, the inheritance laws encapsulate customs, traditions and norms that they grew there are clients with differing identities. Habit a society’s “genetic code,” and this code is up with, and based on which, or perhaps Five gives the lawyer the task of confronting different for every culture. In cross-cultural contrary to which, they define themselves as the prejudices and stereotypes stemming from situations, the most important first step is individuals. A lawyer dealing with international his or her own cultural background, which to decode and recognize what different laws inheritance law regularly encounters situations are especially capable of influencing how the apply in order to manage a given situation. where the client, the party opposing the client, case is handled in stressful situations. This This decision-making process would benefit or perhaps the authority presiding over the step is far from easy, as prejudices are often very deeply rooted. According to Bryant and Peters, it can help if lawyers constantly and proactively “monitor” themselves in order to recognize when they are being controlled by The central issue under inheritance law is determining the mode of transfer. their own preconceptions.

Each of the habits described above can from identifying the origins of these differing client’s case, have a fundamentally different be a great help for lawyers, enabling them laws and understanding which social, political cultural background and different ideas about to overcome the obstacles resulting from and economic processes led to their creation. what is right or wrong. In these situations, cultural differences. But why does applying a lawyer’s work goes beyond simply having them present an especially big challenge in the For the sake of argument, take the example of a knowledge of the laws. Lawyers must make an field of inheritance law? business founded by three friends, one French, effort to know and understand the points of one Egyptian and one American. Upon reaching view of all the differing conventions and rules, The Inter-Cultural Nature of a certain age, they want to give instructions and their cultural roots, because this is the only International Inheritance Law5 on who should inherit their share of the way they can satisfactorily uphold and advance company in the event of their death, so as their clients’ genuine, long-term interests. The very existence of inheritance law to ensure business continuity. However, they betrays a very human idea: although soon realize that different laws on inheritance Peter KUN individual human lives are finite, they are apply to each of them; what is more, they all UIA National Representative in Hungary not isolated. Rather, they are part of an regard their own rules as “natural.” Kun & Partner intergenerational “web of relationships” in Budapest, Hungary which the transition of property between While the French and Egyptian members are [email protected] certain members must be ensured. accustomed to the idea of strict reserved shares and find it self-evident that they cannot 1 Bryant, Susan, ‘‘The Five Habits: Building Cross- The central issue under inheritance law freely dispose their assets in their will, it Cultural Competence in Lawyers” (2001). CUNY is determining the mode of transfer. Two is far from certain whether the American Academic Works; http://academicworks.cuny.edu/ cl_pubs/258 factors play a key role in this: on one hand, the shareholder, who may have never even heard 2 Samsung: Cross Cultural Management, https:// “permanent” core values of the given society of the reserved or forced share, will find this www.youtube.com/watch?v=rJ4IbhXrqnc and on the other, the individuals who wish method so easy to accept. For the American, 3 Union Internationale des Avocats: “Core to determine what happens to their assets the freedom to decide what should happen to Principles of the Legal Profession”. after their lives are over. These two factors, their assets in the event of death is broader 4 Bryant, Susan, ‘‘The Five Habits: Building Cross- however, are not independent of each other than in most European and Muslim countries. Cultural Competence in Lawyers” (2001). CUNY Academic Works. http://academicworks.cuny.edu/ as the norms of a society largely reflect the For these entrepreneurs to be capable of cl_pubs/258. Note that although Bryant addresses cultural and moral criteria that also shape the finding a solution that both serves the interests her work to students of law, they can also be identity of the individual. of the company and respects the individual applied, mutatis mutandis, by practicing lawyers. considerations of its shareholders, they need 5 This section is based on Olivér Spiriev and These cultural and moral criteria are also in to understand and take into consideration the Péter Kun “Inheritance systems in the light of testamentary freedom” (International Succession play when the inheritance laws set out the laws and rules to which the others are subject. Review, vol. 1 issue 2); http://www.kunadvocate. idealized order of succession that is perceived These laws can only be understood if they hu/wp-content/uploads/2019/11/International- to be “right.” Looking at the three main also get to know, understand and accept their Succession-Review-Vol.-1-No.-2.pdf

34 2 ■ 2020 I Reunir a los abogados del mundo Innovation in Legal Education: The Entrepreneurial Law Course

I David POSTOLSKI

Entrepreneurship means the art of themselves, others, and society at large. It In doing so, a course in entrepreneurship transforming an innovative idea into a is the essence of freedom of expression and law can not only fulfill business practice sustainable enterprise that generates of a society. theory, but also touch on the proprietary value. An entrepreneur (1) provides a new rights of individuals of their self’s and their product or service or (2) develops and Why Entrepreneurship Belongs ideas. Conversations at this intersection uses new methods to produce or deliver in a Learning Curriculum spark ethical, moral, and regulatory debates existing goods and services at a lower cost. in light of emerging technologies. Entrepreneurs take risks to develop a novel, Learning about entrepreneurship is ideal for sustainable enterprise – a new or improved organization that benefits the economy and integral to general education because Basics of Entrepreneurship and society. Entrepreneurship can involve it is a practice that applies to many fields invention, creativity, and management, and because it provides a revealing lens Similar to students investing in their own starting a small business, or becoming self- for studying how cultural values, social educational journey, entrepreneurs must employed. institutions, ethics, economic policies, and invest in their ideas and interests and in their legal practices correlate to shape human resulting company. Their investment includes Entrepreneurship entails the behavior. Entrepreneurship is not an isolated hours worked, which is sometimes referred commercialization of an innovation. activity; it is the epitome of teamwork to as sweat equity. Their investment may New ideas, products, or organizational and cooperation. It is rooted in a society’s be something less tangible, such as the time schemes matter little until they achieve regulatory and ethical constructs. Businesses spent or the skills or reputation brought, but market acceptance and traction. The do not exist in vacuums. In fact, they are it also tends to involve a significant investment market validates utility and need along with excellence. This ultimately means that the market also invalidates new ideas with the judgement that the idea is not good. The Entrepreneurship is not an isolated activity; it is the epitome of teamwork and entrepreneur’s risk, therefore, is as much cooperation. It is rooted in a society’s regulatory and ethical constructs. a gamble as it is an informed calculation about the viability of the new enterprise in the market and about its capacity to meet a integrated and interlock with law, economics, of assets with a clear value, whether they be demand or need of others. politics, finance, and cultural and societal cash, real estate, or intellectual property. values and behaviors. Entrepreneurialism Entrepreneurs who will not or cannot invest In America, our founders valued the focuses on the practical and pragmatic and in their company cannot expect others to do innovation process by embedding notions can hone the ambition and talent of people so and cannot expect it to succeed. and precursors to patent, trademark, and into concrete and tangible projects. copyright law in our constitution such Entrepreneurship requires both extensive as the Commerce Clause. It was these Much of entrepreneurship depends on organization and delegation of tasks, as protective notions that propelled innovators the legal concept of intellectual property. well as traits similar to a typical student and entrepreneurs to share their ideas Under patent law, for example, an idea, in an educational environment: juggling and partake in the industrial revolution once physically embodied, subject to some classes, workloads, friends, personal life, in America. In exchange for sharing one’s restraints, can be “owned,” such that the and responsibilities. This is the organized ideas, America bestowed its entrepreneurial citizens with federal protection for original owner can control the use and practice nature of an entrepreneur and student. and improved intellectual property that of that idea. This concept of ownership of Entrepreneurship also requires risk, benefited technology, culture, and property is directly related to privacy rights i.e. operating under uncertainty and commerce. Impressing or pushing forward and the autonomy of an individual. Our ideas exemplifying the courage to stand up to innovative improvements and their come from within us and therefore belong any risks. Students who can appreciate implementation addresses a society’s needs to us as our property, intellectual property. and practice innovation, delegation, and wants and propels that society forward. The entrepreneurial lens effectively organization, team building, risk assessment, Entrepreneurship is the unique process illustrates how theory, philosophy, and and appreciation will not only benefit from that, by fusing together innovation and sometimes theology constructs become not simulating the entrepreneurial journey in a implementation, allows individuals to bring only real and practical, but affect everyday classroom setting, but this skillset carries new ideas into being for the benefit of life by revealing, in short, how values matter. them through life.

Bringing Together the World’s Lawyers I 2 ■ 2020 35 www.uianet.org #UIAVirtualCongress

Emerging Technologies in student entrepreneurial projects, whether problems is an expected additional benefit to they are based in a real-life venture or a this educational commitment. Many of the emerging technologies in the fantasy setting, perhaps in virtual reality. world today are entrepreneurial-derived, The entrepreneurial course must address The course should enable students to generated and focused. They include: 3D other legal pitfalls that haunt a new venture, explore lean startup concepts for the Printing, Cannabis, Driverless Cars, Smart such as: (1) understanding the regulatory creation of a new venture, conduct a Homes, and Artificial Intelligence. Many of tax implications facing small businesses, customer discovery campaign, understand these emerging technologies fall into the (2) understanding the business structure and analyze the options for new venture unregulated void and thus, it is incumbent that is best suited for one’s business, (3) financing, use financial statements to analyze on students, teachers, and entrepreneurs to understanding the need for legally binding the financial performance of a new or be responsible researchers and innovators. contracts, and (4) understanding the difference existing venture, develop a marketing Societal actors and innovators can become between full time, part time, and casual campaign for a new venture, and pitch a mutually responsive to each other with a view employees, freelancers, and consultants, as venture idea to potential funding sources. to the (ethical) acceptability, sustainability, well as how said status impacts intellectual and societal desirability of the innovation property rights. Emphasis on the teachings Conclusion process and its marketable products. of ethical philosophers and their impact on society, business, law, and freedoms should An entrepreneurial law course emerges as The ability of a student entrepreneur to engage be explored. The development of ethics a synergy of topics, including the regulatory in innovation through an entrepreneurial in business and their impact on regulatory and ethical issues facing entrepreneurs. It is product or service to address poverty frameworks around the world, including beyond the black and white black letter law is a mission most student entrepreneurs intellectual property laws, are integral to the taught in business law courses. Present shocks could get behind. The involvement of entrepreneurial journey. and emerging technologies present ethical corporations in providing financial incentives issues to entrepreneurs and society even to promote entrepreneurial solutions Finally, an academic institution should prepare before they are regulated. Furthermore, just and products to address these goals also itself for the desire of student entrepreneurs to because something is regulated under classic provides an additional incentive to the have their solutions incubated and accelerated schemes, such as intellectual property laws, student entrepreneur. The United Nation’s to a full-fledged self-sustaining business or the this does not always coincide with what may 17 Sustainable Development Goals are an academic institution’s technology transfer be ethical in a given society. Understanding excellent basis for creating the reason, office. Creating a community is important, the right questions to ask by a responsible purpose, and goals for a new entrepreneurial particularly a community that can follow up innovator is just as important as understanding course. The goals and targets could be in on activities such as a business pitch and the regulatory schemes for an emerging areas of critical importance for humanity organized public speaking competitions for technology. A class in entrepreneurial law can and the planet, and who better than interested community and service partners address these issues as students embark on entrepreneurs to solve these problems? at the state, local, and federal level. Creating their legal entrepreneurial journey spanning a first entrepreneurial course is a labor of from conception to possibly an exit or growth Implementing the First love, a term often used by entrepreneurs to of their business. Entrepreneurial Law Course describe their own business ventures. From an educational standpoint, the establishment of David POSTOLSKI this course can enhance an existing curriculum Lawyer A first entrepreneurial law course must and influence student’s current courses of Gearhart Law teach about both the entrepreneurial culture study in many interdisciplinary ways. Student Summit, NJ – United States and mindset, where the academic institution entrepreneurs who strive to solve world [email protected] fosters an entrepreneurial community and ecosystem. The academic institution should seek to work with community partners who can aid and assist in making prototypes and develop programs that implement student’s ideas, perhaps utilizing a 3D printer. The curriculum should touch on present shocks to the commercial world that have the effect of sparking ethical and moral debates due to the lack of regulation. Lack of regulation may apply, for example, to those involved with 3D printing, the gig economy, the October sharing economy, cryptocurrency, and nanotechnology. Market research and financial considerations that emerge during 28 the entrepreneurial journey should be discussed, as should the need for investment 30

36 2 ■ 2020 I Rassembler les avocats du monde www.uianet.org #UIAVirtualCongress

October 28 30 PratiqueLegal Practice du Droit LegalPratique Practice du Droit Ejercicio de la Abogacía Bancarrota de los consumidores: salida legal

El uso de un mecanismo concursal mínimo

I Esteban CARBONELL O’BRIEN

1. Sumario dichos síntomas, se evitará que las empresas competencia, esfuerzo de marketing, costos ahonden sus problemas y se sumerjan en la externos etc. Y ello repercute de manera En este artículo formulamos una propuesta mar de la crisis. directa en los consumidores finales. respecto de plantear una reforma del presupuesto subjetivo de la insolvencia, La falta de liquidez es el primer síntoma de A manera de colofón, ante una crisis, las Pratique du Droit orientada a los consumidores, dado ingreso a una etapa de crisis patrimonial. empresas y en especial los consumidores que debería existir a nuestro juicio, un El aspecto que debemos rescatar y que tienen algunas opciones, como administrar procedimiento especial, no de talla única, lo muchas veces, hace que dicho síntoma pase la coyuntura turbulenta, replanteando su Legal Practice que ayudaría a aliviar la crisis de dicho actor. inadvertido, es el “contexto económico”. estrategia. La otra orilla es “sobrevivir” o Al encontrarse el consumidor en un plano sea identificar los puntos débiles y tratar 2. Antecedentes económico estable y con indicadores de dar soluciones para limitar los daños Ejercicio de la Abogacía financieros positivos, coadyuvan a pensar que pueda ocasionar la crisis. Si estas Me solicitaron para que escribiera una que todo anda sobre ruedas. El consumidor alternativas no fueran posibles, porque el ponencia a la sazón de la insolvencia de la se resiste muchas veces, a siquiera pensar capital o la empresa se sostiene sobre persona natural no comerciante. El tema del que anda mal y que su negocio es uno de los una base endeble, le quedará la opción mismo tendría que estar ligado a un asunto peores. El consumidor debe encarar la crisis, de fusionarse o vender parte del capital de actualidad y particularmente vinculado a revaluando su planificación estratégica. Ello accionario, para ganar con ello, fortaleza. Lo mi especialidad. En ese entendido, bosqueje ayudará a generar mayores ingresos, lo cual ideal para las empresas locales o extranjeras varios títulos y temas, quedando como base reestructurará costos, transformándolos de será aplicar una gestión sobre su propio de estudio, la “crisis patrimonial” que se fijos a variables, y por ende, lograr una dinero, y no trabajar sobre la base de más vive a diario, en este mundo cada vez más mayor eficiencia en el día a día. endeudamiento. globalizado. Dada la crisis económica que agobia a los Lo ideal para las empresas locales o extranjeras será aplicar una gestión sobre su agentes del mercado, considero que se deben replantearse objetivos a corto plazo. propio dinero, y no trabajar sobre la base de más endeudamiento. Ello porque el consumidor debe evitar el endeudamiento, pues cuanto más se financie, más dependerá de terceros y por En tanto, pasar de costos fijos a variables, En suma, el empresario – y en especial ende, agudizará los efectos de la crisis, ya implica que la empresa opte por la el consumidor – requiere no sólo de que el banco o proveedor que ayuda a dicho tercerización o comparta sus gastos con herramientas y soluciones financieras para financiamiento, aumentará su poder frente a otras compañías. Falta ser imaginativo y usar salir a flote, como las antes mencionadas los accionistas de la empresa. el “sentido común” para resolver problemas. – fruto del ejercicio profesional – sino el uso de mecanismos legales que le permitan El consumidor debe buscar estructuras El uso de la información privilegiada es vital viabilizar las decisiones adoptadas de manera de financiamiento menos dependientes de para estos crueles tiempos, por ello cuanto eficiente y oportuna. terceros y aún menos onerosas, como más ágilmente contemos con ella, ayudará la incorporación de nuevos accionistas o a tomar decisiones de manera oportuna La legislación de concursos peruana o Ley socios capitalistas. En suma, las empresas e invertir de la manera más conveniente, 27.809 y sus enmiendas, a razón del reciente no deben ser tan dependientes de las tasas cubriendo, en todo momento, la mayor TLC con EE.UU, ayuda al empresario de interés o efectos exógenos, sino de sus cantidad de riesgos posibles. a contar con un ambiente más cálido, negocios. transparente y seguro para negociar con Los indicadores actuales fijan como las sus acreedores. ¿Cabría acaso incorporar al En coyunturas complicadas como la actual, principales causas de “crisis patrimonial” de consumidor? un primer paso es realizar un diagnóstico los empresarios (de mayor a menor grado) para saber la real situación y, de acuerdo las siguientes: Inadecuado management, Cabe resaltarse, que el objetivo del sistema a ello, atacar los síntomas que podrían políticas contables inadecuadas, compra concursal, no es en estricto la “protección presentar por efecto de la crisis. Lo de empresas inservibles, cambios en la del crédito” pues dicha orientación debe importante, de esta primera etapa es que, demanda del mercado, deficiencias en el entenderse como fin último. Consideramos de ser enfrentados de manera frontal control financiero, estructura de costos, que el mismo está orientado a enmendar

Reunir a los abogados del mundo I 2 ■ 2020 39 rumbos y sean los empresarios, los que Sin embargo, la solución a problemas de social. Partiendo de dicha premisa surge utilicen este mecanismo de reflotamiento, índole patrimonial de los consumidores no la obligación del Estado en participar para reordenar ideas, metas, dependiendo de ha sido de las mejores, no es eficaz. activamente en una reforma concursal o la viabilidad del negocio, o en defecto de ello, en su defecto la necesidad de crear un aislarse sin causar mayor daño patrimonial. Las causas que llevan al consumidor a la instituto que regule de manera exclusiva bancarrota las podemos clasificar en: la insolvencia del consumidor, sea en sede Por ende, la prosperidad y el bienestar general • Insolvencia Activa, la cual conlleva un administrativa o judicial. de una nación dependen substancialmente sobreendeudamiento que arriba la de la solidez de su economía, jugando en persona física como consecuencia de la El Estado más allá de establecer el afianzamiento de la misma, un papel civilización y de una época que lo lleva una norma legal para superar la crisis fundamental: el crédito, como instrumento por un lado exceso o abuso del crédito eventual del consumidor provocada por perfeccionado de cambio económico. De y por otro lado a la bancarización del el sobreendeudamiento excesivo deberá ahí que el crédito requiera el máximo de sistema de pagos de sueldos o haberes incrementar las acciones preventivas en tutela en nuestro ordenamiento jurídico profesionales. relación con la responsabilidad de los positivo, como medio de protección legal acreedores, la regulación de publicidad y de de la riqueza del Estado. • Insolvencia Pasiva, la cual se da por la educación para concientizar a la población la disminución real de los sueldos, sobre los hábitos de consumo desmedido o ¿Acaso está preparado el empresario a usar alteraciones en la vida cotidiana como el acceso irrestricto al crédito. de manera correcta, los mecanismos que pérdida del empleo, problemas de salud prevé la ley de concursos? del deudor etc. Esteban CARBONELL O’BRIEN1 Abogado Estamos seguros que SI, bastará para ello, La mayoría de veces, el sobreendeudamiento Carbonell O’Brien, abogados decisión política y contar con el soporte deriva en problemas sociales y económicos. Lima, Perú de un gestor financiero y legal, los cuales Desde el punto de vista objetivo se debe [email protected] ayudarán a arribar a aguas más tranquilas, en definir al sobreendeudamiento como la cuyas orillas podrá descansar el empresario incidencia de las deudas en los ingresos Nota: Cabe precisarse, que el presente tema de cauto y previsor frente a una “crisis del grupo familiar, estableciendo que ponencia ha sido materia de discusión en otros patrimonial”. Enhorabuena. existe el sobreendeudamiento cuando el foros académicos, tales como en el I Congreso endeudamiento supera un porcentaje de los Iberoamericano de Derecho Concursal en 3. Presupuestos ingresos del citado grupo. Un punto de vista Barranquilla (2005), luego en el IV Congreso subjetivo, destaca que la imposibilidad de Iberoamericano sobre la insolvencia en Rosario La Ley 27.809 (Perú) y otros ordenamientos pago determina el real estado, sin importar (2006) posteriormente en el IV Congreso concursales en especial la Ley 24.522 la incidencia en los ingresos. Iberoamericano de Derecho Concursal en Punta (Argentina) introdujo la total unificación del Este (2008) y finalmente en el V Congreso del régimen concursal, de modo que 4. Conclusiones Iberoamericano sobre Insolvencia celebrado en cualquier persona física, sea comerciante o Mendoza (2009). no, está sujeta al mismo régimen concursal Consideramos en primer término, que la propio del empresario y de las sociedades solución que adoptemos – sea cual fuese 1. (Lima, 1970) Abogado con estudios en mercantiles. – debe privilegiar la paz y la convivencia universidades de Perú y Argentina (1985-92). Master en Justicia Constitucional por la Universitá di Bologna, Italia (2018-19) Master en Derecho Constitucional por la Universidad de Castilla La Mancha (2008-09). Doctor © en Derecho por la Universidad de Castilla La Mancha, España (2008-09). Autor de varios libros entre los destacan “Interpretación a la Ley Concursal peruana” y “El Sistema Concursal”. Director de la Revista Virtual de Derecho Concursal “Vía Crisis” (www.carbonell-law.org/publicaciones). Considerado por la Revista Latin Lawyer e INSOL INTERNACIONAL durante los últimos años, como el mejor abogado de su generación en Latinoamérica en práctica concursal, reestructuración financiera y bancarrotas corporativas. Miembro Fundador del Instituto Iberoamericano de Derecho Concursal (México) y Presidente del IIDC-Capítulo Perú (2007-19) Profesor Visitante de los cursos de Derecho Concursal y Empresarial en universidades de América y Europa. www.carbonell-law.org

40 2 ■ 2020 I Bringing Together the World’s Lawyers How the European Union and the United States Differ Regarding Agricultural GMOs and NBTs

I Diego SALUZZO

be viewed with suspicion. These concerns preliminary objective scientific evaluation.” Différent de l’approche américaine remain despite evidence from extensive Actions should be consistent with measures autorisant les organismes génétiquement GMO cultivation worldwide and a growing adopted in the past, proportionate to the modifiés (OGM) dans l’agro-industrie, body of scientific contributions1 evaluating un processus d’autorisation très strict risk, non-discriminatory, and based on cost/ their agro-environmental impact, related a rendu l’introduction d’OGM rare benefits analysis, all of which are open to risks, and possible benefits, which remain dans l’Union européenne (UE), malgré new scientific data and evidence. subject to legal and scientific debate. les avantages socio-économiques de l’adoption des OGM. L’UE a adopté NBTs and Novel Foods: une approche basée sur des processus For instance, EU Commission Decision n. 2016/321 reintroduced in many UE Countries European Regulations and selon lesquels les denrées alimentaires Case Law transformées à partir de la biotechnologie the prohibition in cultivating maize MON par le biais de nouvelles techniques de 810. This is a GMO variety previously authorized by EU Commission Decision n. For global agribusiness corporations dealing sélection (NTS) doivent être approuvées worldwide and for all related business et étiquetées comme OGM, sauf si 98/294, with the comfort of European Food partners (investors included), it is becoming elles sont obtenues par certaines Safety Authority (EFSA) scientific opinion n. crucial to understand if and to which extent techniques de mutations génétiques 3371/2013, which had confirmed that there this “strict” and conservative approach spécifies qui sont connues pour être are no negative impacts on the environment if should be applied to new methods and conventionnellement utilisées dans un this variety is properly utilized. On September certain nombre d’applications et qui sont 13, 2017, the European Court of Justice, in technologies of plant breeding, the type connues de longue date pour leur sureté. C-111/16, reconfirmed the rulings in C-58/10 called NBTs. The legal approach in the EU is Cette approche entraînera probablement and C-68/10. They state, in a case involving substantially different from U.S. regulations. des restrictions dans l’application des Monsanto, that scientific uncertainty is not As a consequence, any agro-industry dealing NTS dans le développement de nouvelles enough to invoke the precautionary principle on a global scale has to face double regulatory variétés végétales et ne générera pas and to require the adoption of precautionary costs, get multiple approvals, and face the risk nécessairement des avantages positifs measures in the food sector. Instead, a more of obtaining asynchronous approval for the pour les consommateurs. Le vrai risque serious and manifest risk for human health is same products. Legal uncertainty could result est de perdre une opportunité de required for both to apply.2 in investor reluctance and developer fatigue. fournir aux agriculteurs des outils sûrs et à jour, de respecter la durabilité environnementale et d’affecter la compétitivité des entreprises de l’UE et Small farmers may lose the freedom to cultivate the products they want and how des investissements connexes. they want, particularly if the existing genomes are affected.

Legal and Scientific Debate Developed as a pillar of European The downside is that European-based about GMOs in Europe and environmental law, the precautionary agribusiness corporations encounter Precautionary Principles principle became also part of other areas serious problems in complying with U.S. of law, including food law. It constitutes competitors in North America, which In recent decades, the exponential use of a mechanism for how to determine risk remains the first food market in terms of genetic engineering in agriculture raised management measures in a correct manner. revenues. This is because final products, debates both in civil society and among This manner includes balancing economic even when GMO derived, are substantially legal practitioners at national, European, and values on one hand and protecting the equivalent to their “traditional” non-GMO international levels. Although technological health and environment on the other. counterpart. As no specific labelling was progress and innovation in agriculture play EU law suggests an active and restrictive required until now,3 consumers remained a key role in ensuring food safety and interpretation, beginning with Commission unaware of their food’s origin. in addressing challenges associated with Communication on precautionary principle population growth, climate change, and COM/2000/0001. Plant Breeding scarcity of natural resources, the genetic improvement of plants, carried out through The concept is to identify a specific, Intended as progressive introduction of unconventional techniques, continues to well-identified risk or at least utilize “a certain desired characteristics, breeders

Rassembler les avocats du monde I 2 ■ 2020 41 began some 10,000 years ago in Market Access and the level of undesirable substances, or, on Mesopotamia and through their breeding Patentability the contrary, if (2) they are considered to be efforts, increased the number of edible a GMO within EU Regulation n. 1829/2003. plants, reduced possible toxicity, increased NBTs could play an important role in plant yield, and improved crop productivity. terms of access to the seed market and When replacing novel food with another Starting from Mendel studies, breeders democratize research, subject to ad hoc food, consumers should be informed about relied on spontaneous mutations and made regulation. Small seed companies or public the advantages and disadvantages of this continuous efforts to preserve favourable research centres could in fact utilize these substitution, including from a nutritional alleles. Hybrids were created that were opportunities even with limited budgets, perspective. The dossier must be prepared able to adapt to different environments. instead of investing millions in the dossiers and submitted by the applicant, who has the Nowadays, new commercial varieties, the required for the authorization of current burden of proof in demonstrating safety of so-called “elite crosses,” are diminishing GMOs. This could be done by developing the innovation through compliance with risk assessment procedures managed by the due to risk of genetic vulnerability. new fruit and vegetable varieties capable of EFSA. Precautionary principles still apply, resisting the most common diseases without as per art. 7 of EU Regulation. 2283/2015, Further improvement, with integration any use of plant protection products, as part which states that the Commission shall of novel technologies into classical of a sustainable agricultural model facing the breeding, is now a must due to higher only authorise and include a novel food on ecological transition. quality requirements and new challenges the Union list if the food does not, on the and concerns in food security and safety. basis of the scientific evidence available, Another recurring theme concerns the Genome editing technologies are applied pose a safety risk to human health. This is patentability of seeds obtained with NBTs. in a context where: (1) there are technical because the EU must ensure high levels of Plant technologies and trait technologies, barriers, making it impossible to combine health protection, namely in areas where the most patented by large agribusiness players, all the best alleles into a single genotype, (2) scientific uncertainty principle would require are having the effect that in a world where wind and transport systems disperse seeds the adoption of risk management measures, more than 70% of the food is produced worldwide, (3) aggressive pathogens adapt as provided under article 7 of EU Regulation by small scale farms, economic power will faster to climate change than crops, and (4) n. 178/2002 concerning food safety. be concentrated in big agribusiness and new pathogen genes evolve to overcome patent holders. Small farmers may lose the new host resistance genes. The EFSA, in assessing the safety of novel freedom to cultivate the products they foods, needs to consider whether the novel want and how they want, particularly if the Science and Off-Target Effects food concerned is as safe as food from a existing genomes are affected. With private comparable food category already existing investors protecting their own investments With NBTs, from in-vitro culture to on the market within the Union and whether and social parties proposing free access to the composition of the novel food and the genomic engineering and tools, there is the results of research, a solution could more potential for resistance to pathogens, conditions of its use do not pose a safety be the recourse to the so-called “farmer’s risk to human health in the Union based on herbicides, and drought. The essential privilege,” which involves the right for feature of an NBT resides in its ability to the dossier submitted by the applicant and small operators to reuse the seeds of the with no reference to unexpected effects of obtain the desired genome modifications previous crop. in a targeted and specific way, with minor the production process to be applied. It is a waste of time and energy. In agricultural burden, but one less politicized than those treatment there are three main methods Novel Food and Compliance that apply to GMOs. involving mutagenesis. They are: (1) Zinc with Required Approval Finger Nuclease (ZFN), (2) Transcription Procedures C-528/2016: EU Court of Activator-Like Effector Nuclease (TALEN), Justice Interpretation and (3) Clustered Regularly Interspaced Novel foods are governed by EU Regulation Short Palindromic Repeats (CRISPR). n. 2283/2015, a regulation aimed at removing One concern is that NBTs could give CRISPR technology dominates the barriers to free trade, thereby opening the rise to GMOs. On 17 October 2016, laboratories. market either to the traditional foods of case 528/2016, this problem was raised non-EU countries or food deriving, inter before the European Court of Justice by All the above-mentioned genome editing alia, from “a novel production process” means of a preliminary question lodged by nucleases platforms cause a specific break or “with a new or intentionally modified French Conseil d’Etat in a claim by plaintiff, in chromosomal DNA. Although all of molecular structure.” As for GMOs, under inter alia, Confédération Paysanne. It is a them can be very effective, none of them EU applicable regulations, preliminary French Agricultural Union which defends has perfect specificity and outcomes authorization is required for NBT products. the interests of small-scale farming and is can be uncertain, even unanticipated. These products are reasonably expected to led by activist and member of the European Concerns about involuntary and be authorized as novel food, unless: (1) there Parliament, José Bové. unexpected effects of said NBTs are no significant changes in the composition were raised in North Europe, where or structure of the food, which would affect The subject of this controversy was the biodiversity could be impacted. nutritional value, metabolism, or increase Clearfield® soybean variety, a new variety

42 2 ■ 2020 I Reunir a los abogados del mundo making conventionally-bred herbicide innovations and technologies differentiating On the other hand, when there is a serious tolerant seeds more weed resistant, which them from traditional GMOs. The rules will and manifest risk, appropriate precautionary means significantly greater productivity, now have to be adjusted. measures proportionate to the risk must better crop quality, and more farmer taken. profitability. Plaintiff argued that use of GMOs are designed and developed for herbicide-resistant seed varieties could an intensive, single-crop production model A more positive consideration of pose a risk of significant harm to the and dependent on chemical herbicides and innovative mutagenesis techniques would environment, as well as to human and fertilizers. They have little chance in the EU be appropriate in the context of the animal health, in the same way as GMOs for obtaining an authorization and a poor application of EU Directive n. 2018/350.4 obtained by trans-genesis do. Trans-genesis chance of achieving public acceptance. This Directive updated the environmental is a process whereby a gene from one risk assessment requirements for GMOs organism is transferred to the genome of On the contrary NBTs represent a huge intended for cultivation. This update was another. opportunity for agriculture, with products conducted in the light of new scientific and able to keep up with the times in terms technological developments and based on The European Court of Justice decided that of consumer tastes, climate change, and EFSA guidelines5 suggesting a case-by-case there is no difference between GMO and production sustainability. And, differently evaluation and taking into account: (1) mutagenesis because mutagenesis methods from GMOs, forms of non-transgenic persistence of GMOs, (2) gene transfers, alter the genetic material of an organism biotechnology like NBTs cannot be (3) interactions between GMOs and target in a way that does not occur naturally. genetically traced and no labelling obligations and non-target organisms, (4) effects on The EU decision was supported by formal are required. The resulting biotech foods human and animal health, and (5) the impact arguments relating to cross provisions of model is closer to the U.S. approach of specific cultivation, management, and an annex to Directive n. 2001/18 that negotiated under the proposed Transatlantic harvesting techniques. They must obtain includes mutagenesis as a method of Trade and Investment Partnership (TTIP), marketing authorization. “genetic modification.” It was so stated that organisms obtained by means of NBTs would compromise the objective pursued The European Court of Justice decided that there is no difference between GMO by the GMO Directive because this method works to produce genetically modified and mutagenesis, because mutagenesis methods alter the genetic material of an varieties at a rate out of proportion to those organism in a way that does not occur naturally. resulting from application of conventional mutagenesis. The latter has similar risks to those resulting from the production of the comprehensive trade deal negotiated Without further regulatory actions involving GMOs through transgenesis. in the recent past between the EU and separate approval procedures for some the U.S.. And it is similar to the model NBTs, or even adopting a shift from a Towards an EU Regulation for adopted in the Comprehensive Economic process-based to products-based approach, and Trade Agreement (CETA), the free- the products of precise mutagenesis may NBTs trade agreement between Canada and the be difficult to market in the EU. Changes in European Union. In a nutshell, in Europe, the law would require widespread political NBTs are currently in limbo now that the food legal and cultural context and consensus, which is difficult to achieve given cisgenesis and genome editing, the two relevant cultivation are well-defined, with the controversial nature of this issue. In most promising techniques, were subjected no prejudicial preclusion toward agri-food to the GMOs Directive by the European such a context, innovative technologies are biotechnologies, but rather, strong caution Court of Justice with a decision that came neither available for EU breeders, nor is unexpectedly and has thrown the ball back and attention paid to future developments access to new varieties for farmers. Current into the field of politics. and associated risks. NBTs require specific situations may influence the choices of regulations tailored to their real features breeding methods for plant breeders not The EU Council asked the Commission to and needs. only because of the requirements of risk present a study on NBTs and possibly also assessment and high costs, but also because a legislative proposal to be examined by Conclusion of long needed granting authorization in the EU Parliament by 30 April 2021. This the EU, but even more because there is “hot potato” is now on the table of the The legal and practical landscape of GMO no real market for GMO food in the EU. Commissioners for Agriculture and Health- regulation in the EU, exemplified with the Moreover, compulsory labelling means that Food Safety. latest jurisprudence on the legal concept of new varieties will probably be used in the GMOs, suggests that the same strict GMO EU primarily as feed, and EU dependency on The development of novel foods regulation regulations will also apply to NBTs and foreign protein sources, mostly imported may represent an alleyway to open other methods of mutagenesis. As clarified soybeans, will be maintained. discussion, again, about whether NBTs’ legal by the Court, this principle does not make status and regulation best meets national it possible to block transgenic cultivation on Climate change is there for all to see and objectives, taking into account the latest the basis of a mere suspicion of harmfulness. also portends the need for more sustainable

Bringing Together the World’s Lawyers I 2 ■ 2020 43 production. NBTs represent an opportunity In a scenario where the market and food producers?, in 54 Food & Drug Law Journal, to provide farmers with safe and up-to- consumers are looking for tasty, nutrient, 667, 1999. date tools, respecting the precautionary diversified, and cheap products, as well as US Congress passed the National Bioengineered principle, environmental sustainability, free the reduction of waste, fighting diseases, and Food Disclosure Standard in 2016, originally set market access, reversibility, and the need to drought, there is a risk for Europe to stop to take effect by July 2018. But the United States respond to consumer expectations. research and move back to the 20th century. Department of Agriculture (USDA) extended the implementation two years after a public comment Instead of promoting sustainable growth, period. On December 20, 2019 the USDA released Genome editing operates in a way the European agro-industry is losing the official law, effective from 1.1.2020, and similar to what happens in nature, but competitiveness in a global market. require food companies to comply by January 1, with greater precision and speed. The 2022. technique also has the advantage of being Diego SALUZZO In EU labelling provisions are based on detection inexpensive. On the other hand, genome Salary Partner and quantification of authorized GMO. On the editing carries a potential to trigger genome Grande Stevens Studio Legale Associato contrary, it is not easy to quantify the presence modification other than the modifications Turin, Italy of plant material developed through NBTs. For an originally desired, so that an evaluation [email protected] EU perspective see Austrian Agency for Health and Food Safety, Use of Novel Techniques in Plant of potential specific associated risks must Breeding and Practical Consequences Concerning be considered. In case of conventional 1. Relevant study published by Pellegrino et al., Detection, Traceability, Labelling, and Risk Assessment, mutagenesis, unintended modifications Impact of genetically engineered maize on agronomic, AgBioForum, 17(2): 183-190, 2014. environmental and toxological traits: a meta-analysis of could be massive, whereas, for site-directed 4. Amending EU Directive n. 2001/18, entered genome edition, they are restricted to 21 years of field data, Nature, 2017. into force on 29.3.2018 and effective in Italy the so-called “off-target.” Unintended 2. EFSA Journal 2013;11(9):3371. starting from 22.10.2019. effects are not necessarily synonymous 3. On the labelling debate on biotech food from 5. EFSA Journal 2010,8(11):1879. with hazards, but due to NBTs novelty, a US perspective see Lara B.Wing, Special labelling 6. See in this respect Gao C (2018) The future of the need for specific risk assessment and requirements for genetically engineered food: how CRISPR technologies in agriculture. Nat Rev Mol management is absolutely envisaged.6 sound are the analytical frameworks used by FDA and Cell Biol 19:275–276.

44 2 ■ 2020 I Rassembler les avocats du monde 5 Things you Need to Know When Posting Employees to the Heart of Europe

I Kato AERTS

liabilities and can be summarized in “5 Things • Secondly, the employer can only apply La Belgique est le pays d’accueil de You Need to Know When Posting Employees for a work permit if the employee is still nombreux travailleurs détachés. Il s’agit abroad. This is to prevent foreigners from de travailleurs qui sont recrutés ou to the Heart of Europe.” coming to Belgium to look for work while travaillent habituellement dans leur already here. Again, exceptions exist for pays d’origine et qui sont détachés 1. Is the Employee Allowed to highly educated personnel, executives, temporairement pour accomplir un Reside and Work on Belgian long-term residents who come to projet pour une filiale / un client en Territory? exercise a profession during a second Belgique, tout en restant employés par residence in Belgium, etc. leur employeur étranger. Third-country nationals who wish to reside • Lastly, the employee’s monthly salary Le détachement de travailleurs nécessite and work in Belgium generally need a must enable that individual to provide une bonne préparation. Certaines permit to do so. This protects the Belgian for oneself and if applicable, their family. obligations doivent être remplies avant labor market. Several categories, such as EU For the year 2020, the employee must le départ. Ces obligations peuvent être 1 nationals , are exempt from this obligation. therefore earn at least an average résumées en cinq points que vous devez Moreover, there are different ways to guaranteed minimum income of €1.593,81 connaître lorsque vous détachez des obtain the required permits, depending on gross per month. travailleurs en Belgique. the situation. A distinction must be made between the work permit, the single permit, Along with the application, the current Global mobility is increasing in popularity. the European blue card, and the ICT permit. employment contract and other pertinent Belgium, also known as the heart of Europe, is the host country of an ever-growing number of posted employees. Posted Do note that in case an employee is temporarily posted to another country, employees are employees who have been the country where the work is habitually carried out will not be deemed hired in their home country or habitually work there, and who are temporarily to have changed. seconded, or assigned, to complete a project at an affiliate’s or client’s site in ◆ Work Permit documents need to be filed. Depending on the Belgium while remaining under employment category in which the work permit is sought, with their employer in the home country. Third-country nationals who will live and specific documentary proof, such as a copy of work in Belgium for a maximum of 90 a college degree, may be required as well. A few examples are: days need a work permit (“type B”), while • A United States citizen, employed by a their employer is required to have an The entire process takes about two to six company in New York that is part of an authorization to employ a foreign national. weeks, with a maximum of four months. international group, who is posted to Usually, it is the employer who applies for manage the company’s Belgian branch in both documents prior to the employee The work permit is only valid, specifically, Brussels for two years. travelling to Belgium. for one employer only. As a result, the • A group of IT specialists, employed employee does not have the right to work throughout Europe, posted to complete In order to qualify for a work permit, for any other employer in Belgium. In an assignment of six months at a client’s several conditions must be met: addition to the above, a residence permit site in Flanders. • Firstly, a labor market survey should be may be required, too. carried out. In principle, a foreign worker Being exempt from obtaining a visa for short is only allowed to work in Belgium ◆ Single Permit travels to Belgium in the first example, or if a labor market test indicates that making use of the right to free movement in no suitable candidate can be found on As from January 1, 2019, the single permit the second, might lead to the illusion that these the Belgian or European Economic Area is required for third-country nationals who secondments can happen from one day to the (EAA) labor market within a reasonable will live and work in Belgium for a period next. A few obligations and formalities must, term. Specific categories of foreign beyond 90 days. Although the conditions for however, be kept in mind and dealt with prior nationals are exempt from this obligation, obtaining a single permit are more or less to departure. These may vary from obtaining such as those who are highly educated similar to those for obtaining a work permit, necessary work permits to addressing tax personnel, executives, etc. the benefit of obtaining a single permit

Reunir a los abogados del mundo I 2 ■ 2020 45 includes the grant of permission to both who work as managers, specialists, or deviates from the Rome I Regulation by reside and to work in Belgium. The single trainees to be posted by their employer to stipulating and requiring that the so-called permit is valid for three years and is also an entity within the same financial-economic “mandatory provisions” of the host member renewable. Just like the work permit, the group. The Directive enables third-country states must be applied to posted workers, single permit is only valid for one specific nationals who have obtained said permit irrespective of the legislation governing employer. in one member-state to reside and work the employment relationship. The rationale in another member-state without any behind this Directive was to allow member- ◆ European Blue Card additional visa requirements. The Directive states to protect their internal market has not yet been implemented into Belgian and to prevent the side effects of the Highly skilled employees, or better yet, legislation. Until this law is passed, the free market, such as social dumping and their employers, could also choose to requirements stated above still apply. unfair competition. Social dumping typically obtain the European blue card, a simplified manifests when employers choose to system introduced by the EU to attract 2. Can the Employment establish in EU member-states where social highly qualified third-country nationals. As Relationship Remain Governed security charges are low and/or where is the case for the single permit, the blue by the Law of the Employee’s employment terms and conditions are less card allows an employee to both reside and stringent, only to assign the workers hired work on Belgian territory. Home Country? by that establishment to other member- states with higher social security charges Following the European “Rome I” Contrary to the single permit and work and more stringent employment conditions Regulation for cross border employment permit, however, the application will not be to gain an unfair competitive advantage vis- within the European Union and the Belgian subject to any labor market survey. At the à-vis employers established in that member- International Private Law Code for cross same time, a few other conditions need to state. border employment between Belgium and be met. In 2020, the employee must earn a a country outside the European Union, the minimum salary of €55,431 gross per year To some extent, European member-states parties are, in principle, free to decide which and must have completed a higher education, are free to determine which provisions law governs their employment relationship. resulting in at least a bachelor degree. are to be considered mandatory within their jurisdiction. In Belgium, all criminally This choice, however, may not deprive the The process consists of two steps. Firstly, sanctioned employment law provisions are employee from the protection offered by the employer needs to apply for a provisional deemed mandatory since the adoption of the “objectively applicable employment law.” work permit prior to the employee travelling the Act of March 5, 2002. As a consequence, to Belgium, unless the highly skilled employee nearly all provisions of Belgian employment The objectively applicable employment law is: is already legally residing in Belgium. The law, including provisions on minimum wages, Department of Economic Migration will • the law of the country in / from which working time restrictions, and vacation grant the permit within 30 working days. the employee habitually carries out their days, apply to posted employees, with Secondly, the employee must submit an work; or, the exception of, for instance, the Belgian application for the blue card, which will then • if this cannot be determined, for instance Employment Contracts Act of July 3, 1978. be granted within 90 days. for employees habitually carrying out Amonst others, this Act includes the rules their work in several countries at the regarding dismissal. Again, a number of documents, such same time, the law of the country where as a valid passport or equivalent travel the place of business through which the On June 28, 2018, the EU adopted a document, the employment contract, and a employee was engaged is situated; or, new Posted Workers Directive (no. copy of a degree of higher education, need • where it appears from circumstances 2018/957) which is has to be implemented to accompany the application. as a whole, the law of the country to by the Belgian legislation by July 30, 2020 which the employment is more closely at the latest. Since Belgium had already Once granted, the blue card is valid for connected. implemented the previous Directive very a period of 13 months and is renewable broadly, the impact of this new Directive for another 13 months. Upon a second Do note that in case an employee is for Belgium in particular is expected to be renewal, the administration can grant the temporarily posted to another country, the rather limited, except for the introduction blue card for a period of three years, which country where the work is habitually carried of a maximum posting period of 12 months will automatically qualify as an independent out will not be deemed to have changed. that may be extended to an additional six right of the employee to work for every Therefore, it is indeed possible for the month period. employer in Belgium (contrary to the work employment relationship to remain governed permit and the single permit). by the law of the employee’s home country Generally, it is recommended that the during the temporary assignment in Belgium. employee signs an assignment letter clearly ◆ ICT-Directive stipulating and selecting the choice of Some safeguards were adopted when Belgium law, while at the same time covering and The European Intra Corporate Transfers implemented the European Directive 96/71/ addressing the mandatory provisions of Directive allows third-country nationals EG for posted workers. This Directive Belgian law so that compliance is ensured.

46 2 ■ 2020 I Bringing Together the World’s Lawyers Said assignment letter might also include By way of confirmation that the above Switzerland. Nationals of other countries other relevant clauses, such as: (1) clauses conditions are met, the employer must must be employed by the Belgian State or to prevent double use of benefits under the obtain a so-called A1 form from the a company having its registered office in home and host country legislation, (2) tax competent Social Security Administration, Belgium. equalization or tax protection clauses, (3) which is the European equivalent of a clauses on termination of the assignment, certificate of coverage. The completed A1 4. Where is the Employee (4) mandatory return clauses, (5) clauses form principally confirms the concerned on reimbursement of costs, or (6) specific employee is indeed subject to the Social Liable to Pay Taxes? expatriate benefits. Do note that language Security law of a specific member-state To avoid unfair double taxation, Belgium regulations in Belgium are quite strict, and said form has binding power vis-à-vis requiring documents between the employer other member-states. Therefore, if doubts entered into a number of double taxation and employee to be drafted in Dutch arise on the application of the rules or the treaties to determine which country is or French, depending on the location in validity of an A1 form, the host member- competent to levy taxes in any given cross Belgium where the employee will be posted, state cannot ignore the existence of the border employment situation. Most of and this mostly under penalty of nullity. A1 and claim Social Security contributions these double taxation treaties follow the from the employer directly. Instead, it must Organisation for Economic Co-operation 3. Where Should the Employer initiate a specific dialogue and reconciliation and Development (OECD) model, stipulating and stating in Article 15 that Pay the Employee’s Social procedure with the Social Security Administration of the other member-state. the employee is liable to pay taxes where Security Contributions? the employee works. On the contrary, the Outside of the EU, the applicable Social state of residence remains competent to The applicable Social Security law varies Security laws in cross border employment levy taxes if: depending on whether or not the home situations is determined on the basis of a) The recipient is present in the other state country of the employee is an EU member- bilateral Social Security treaties between state. for a period or periods not exceeding the home and host countries directly. in the aggregate of 183 days in any Belgium is a party to 25 bilateral treaties Within the EU, the Social Security Regulation 12-month period commencing or ending designating the applicable laws in case of in the fiscal year concerned, and (No. 883/2004) and the Implementation temporary assignments abroad. In the Regulation (No. 87/2009) coordinate but absence of a bilateral treaty, the posted b) The remuneration is paid by, or on behalf does not harmonize the member-states’ employee will either not be insured at all, of, an employer who is not a resident of Social Security laws to avoid conflicts will be insured in one but not both states, the other state, and of law. Said conflicts could be positive, or will be insured in both the home and c) The remuneration is not borne by a resulting in two Social Security laws being host country. As a protective measure, permanent establishment of the employer applicable at the same time, or negative, Belgium’s national Social Security laws in the other state. resulting in the absence of Social Security coverage altogether. As a consequence, each member-state is free to decide on the Outside of the EU, the applicable Social Security laws in cross border employment content of their own Social Security laws, which will not be impacted by European law situations is determined on the basis of bilateral Social Security treaties between the as such. At the same time, it ensures that home and host countries directly. every EU citizen is – by operation of law – socially insured in only one member-state. For each scenario involving intra-EU provide specific rules allowing employees Specifically, with regard to foreign executives, cross border employment, the Regulation to remain socially insured in Belgium when Belgian tax authorities may grant the so-called contains a set of rules designating the posted to a country with which Belgium special tax status for expats. This regime applicable Social Security law. In the event did not conclude a bilateral Social Security applies to non-residents with a foreign of posting, the Regulation states that the treaty for a maximum of six months, which nationality with a particular knowledge and applicable Social Security law remains the could potentially be extended another six responsibility, who temporarily perform a job law of the home country, provided that: months. The employee could also choose to on Belgian territory within a foreign company affiliate with the so-called Overseas Social or a company under foreign control. • the expected duration of the posting does not exceed 24 months; Security Administration, guaranteeing some sort of minimal Social Security coverage. The benefits of this status are twofold: • the posted employee is not replacing The Overseas Social Security offers the • Firstly, the foreign executives retain the another posted employee; possibility of building up social security rights status of non-resident. As a result, the • the employer has substantial activities in in Belgium while remaining professionally executives do not have to declare their the home state; and active outside the European Economic Area worldwide income in Belgium and are • the posted employee was subject to the or Switzerland. The overseas Social Security only subject to taxes on income for work Social Security law of the sending state is open to nationals of a Member State performed in Belgium, as well as other prior to the start of the posting. of the European Economic Area or of income of Belgian origin.

Rassembler les avocats du monde I 2 ■ 2020 47 • Secondly, the executives may benefit dates and location of the work in Belgium. form a lump sum tax-free cost allowance There are, however, multiple categories of €11,250 per year for specific jobs, of employees who are exempt from this which can even be increased to €29,750 obligation. per year. This is a lump-sum tax free amount that is also exempt from a Social Upon arrival in Belgium, the employer Security contributions. should make sure: • The employee files a request to be This special tax status for expats has no registered in the Belgian foreigners’ legal basis, but it is based on a circular register at the municipality where the from the Belgian tax authorities. As a employee resides in Belgium. juriste consequence, this is no enforceable right and it is granted on a discretionary basis • To apply for the special tax status for by the tax authorities. The status should be expats in due time. L'équipe du applied for within six months of arrival in • To apply for any renewals of work and/or Juriste International Belgium and, once granted, can be enjoyed residency permits well in advance of the vous invite à from the first day of the month following expiration date. devenir rédacteur ! Faites-nous parvenir vos propositions the start of employment in Belgium. • To draft certain mandatory social d'articles en français, anglais ou documents such as work regulations, espagnol sur les sujets qui vous intéres­ 5. Which Formal Steps Should which is similar to an employee handbook, sent en matière de droits de l'Homme, if the period of posting exceeds a period de pratique générale du droit ou sur la I Take to Adequately Prepare profession d'avocat. for the Secondment? of 12 months.

Planning the secondment well in advance is Conclusion key. Most steps are fairly easy to comply Juriste International with and most obstacles, if any, are not Employers and employees alike must invites you to become insurmountable. But… the process might be careful to satisfy legal requirements, an author! take some time. including those pertaining to permits, taxes, Send us your proposed articles in and Social Security, when cross border English, French or Spanish on a subject of your choice in the fields of human When posting employees to Belgium, it is employment is contemplated. Planning rights, substantive legal issues or the recommended that the employer proceed ahead will enable everyone to have a legal profession. as follows from a strictly legal point of view: positive outcome.

Prior to departure of the employee to Kato AERTS Belgium, the employer should make sure: Lawyer jEI equipo del Juriste Lydian International le invita • The required permits to work and/or stay a redactar un artfculo! in Belgium are obtained. Brussels, Belgium [email protected] Envfenos sus proposiciones de artfculos • An A1 form or equivalent certificate en espanol, francés o inglés sobre la 1. Since February 1, 2020, the UK is no longer part of coverage is obtained. In any event, tematica que le interesa en el ambito de of the EU. The withdrawal agreement concluded los derechos humanos, de la practica it should be closely assessed which between the UK and the EU establishes a general del derecho o relativo a la Social Security law will apply during the transition period until at least December 31, profesi6n de abogado. secondment. 2020, renewable for one or two years. During this period, European Legislation will continue to apply • The employee signs a well-drafted to the UK. As a result, British nationals continue to assignment letter and assess early which have the same rights as citizens of the EU in terms mandatory provisions under Belgian law of residence, employment and social security might cause the employment terms and rights for the time being. conditions to be modified during the Informations period of posting. Union Internationale des Avocats • A notification commonly known as the 20, rue Drouot Limosa is complete prior to the start 75009 Paris - France of an employee’s work in Belgium. Any employee who comes to work on Belgian territory without complying with Belgian Anne-Marie Villain Social Security requirements and who [email protected] comes to work in Belgium on a temporary Tel:+ 33 1 44 88 55 66 and/or part-time basis must complete an Fax : + 33 1 44 88 55 77 online notification mentioning at least the

48 2 ■ 2020 I Reunir a los abogados del mundo Las empresas B

I José PAJARES ECHEVERRÍA

En un momento en que cada día público sostenido por los impuestos que financiación ética y la creación de valores. Es es más actual el compromiso social y no prime ese conocimiento y facilite su significativo que la RSC hoy se reconozca y medioambiental no cabe ya ninguna duda acceso a la empresa privada no estará premie en el mundo empresarial y se ignore de que los procesos productivos de las desarrollando adecuadamente su función. – cuanto menos por algún legislador – las empresas han de supeditar el rendimiento empresas B cuando su objetivo es mucho económico al perjuicio medioambiental que Parece evidente entonces que al presente más intenso y el resultado mucho mayor seguramente acabará siendo, en su propia debieran desarrollarse numerosas empresas que aquellos. dicción, fundamental. Esto, y no otra cosa, mixtas con ese doble objetivo. Y ello por es lo que propicia el nacimiento, y la cuanto que además hay que tener en cuenta Hasta ahora lo que es manifiesto en la reputación, de las empresas B (por cierto, un dato objetivo esencial: la desconfianza realidad sin embargo no lo es en el Derecho muy desconocidas en España). general en la empresa ha alcanzado niveles porque, como ya he anticipado, no aparecen altísimos ya que casi un 75% de la población regulaciones de las mismas en muchos De esta manera, si es el lucro el objetivo no confía en la empresa, por lo que cada países, entre ellos en España. Es decir, central de las empresas mercantiles toman vez más se buscan empresas con diferentes concurriendo en el mercado esa idea y protagonismo otro tipo de empresas que valores, que adopten un fin social por habiendo ya mercantiles con ese perfil no lo tienen como referente exclusivo y de encima de sus propios beneficios. social, no pueden actuar bajo un cobijo las que aún se habla poco pero que serán vitales en breve –si no lo son ya-, cuales son las sociedades que se conocen como “empresas B”. En efecto, como su propio […] Cualquier modelo económico que no se base en el conocimiento fracasará a nombre describe – según explicaré – son medio o largo plazo. empresas que no se centran en el beneficio económico al uso, sino en el beneficio medioambiental y social. Pues bien, y salvo excepciones, no hay normativo sino bajo un sistema privado de muchas estructuras de este tipo porque no reconocimiento, lo que no parece operativo El criterio economicista de toda empresa hay un reconocimiento normativo de las ni actual. va pues dejando paso a un criterio social mismas, de las empresas B. En efecto, no hay que junto, claro está, con el ánimo de posibilidad jurídica de crear una estructura Por consiguiente, el primer paso necesario lucro persigue el éxito del proyecto con un societaria que combine el ánimo de lucro y para implantar y facilitar esta necesidad objetivo mixto: el ánimo de lucro junto con el beneficio social y medioambiental: o se será desarrollar un modelo normativo de la protección medioambiental y social. trata de su sociedad mercantil con ánimo de empresa B que ya comenzó en 2007, cómo lucro o de una sociedad civil sin esa finalidad no, en EE.UU. Téngase en cuenta que muchos estudios económica; nada más. comparativos ponen de manifiesto que Jay Coen Gilbert, Bart Houlahan y existe una correlación entre la riqueza de un país, medida por su renta per cápita, y Es pues indiscutible que en la sociedad Andrew Kassoy son tres emprendedores sus inversiones en Investigación, Desarrollo actual debe procurarse esa nueva estructura estadounidenses que, tras ver como la e Innovación (I+D+i), hasta el punto de ante la actual sensibilidad del cambio empresa que habían fundado prefirió dejar a que se ha llegado a afirmar que los países climático, y que ello haya de hacerse un lado el compromiso social para satisfacer más desarrollados no invierten en I+D+i a través de las empresas B que como las demandas económicas de sus accionistas, 1 porque son ricos sino que son ricos porque dice Raúl Aníbal Etcheverry , facilita “un decidieron fundar ‘B Lab’ en 2006, donde invierten o han invertido en ese campo, de nuevo ADN empresarial” que a través del se “cocinaron” los fundamentos que hoy modo que el modelo de empresa termina propio mercado persigue dar soluciones caracterizan a las empresas B. basado en la generación de conocimiento y estructurales a los desequilibrios sociales a través del mismo – máxime ahora con la y ambientales, y no sólo su beneficio No contando con regulación general habrá revolución tecnológica – buscan el recurso económico. que considerar cómo puede, mientras económico pero también el humano. tanto, crearse y desarrollarse su actividad, Se trata de ir un poco más lejos de la pero fundamentalmente cómo podría En efecto, cualquier modelo económico que responsabilidad social corporativa (RSC) realmente hacerse cuando los objetos- no se base en el conocimiento fracasará a actuando ante problemas sociales y sociales y medioambientales no siempre son medio o largo plazo. Y aún más, un sistema medioambientales, valorando también una accesibles sin ayuda y colaboración pública.

Bringing Together the World’s Lawyers I 2 ■ 2020 49 Pues bien, y por ahora, las empresas B 3. Formar parte de una comunidad de Únicamente consta la propuesta de son certificadas por su transparencia, líderes empresariales en sostenibilidad. Ley de apoyo a las actividades de los dinamismo, independencia y credibilidad 4. Atracción de talento. emprendedores sociales presentada en por un organismo privado que una vez las 5. Atracción de inversores y capital. 2013 por el Grupo Parlamentario Catalán, reconoce como tales permite: 6. Benchmarking con empresas afines publicada en el Boletín Oficial de las Cortes basado en información fiable. Generales, Congreso de los Diputados, el a. Demostrar estándares rigurosos de 7. Visibilidad y difusión en medios de 18 de octubre de 2013, donde ya refiere impacto social y ambiental positivos. comunicación. en su exposición de motivos – que por su b. Distribuir legalmente, entre sus 8. Descuentos en servicios y productos de importancia y claridad tomaré textualmente accionistas, la responsabilidad empresas B Corp. – que en varios países han surgido nuevas empresarial al considerar los intereses de formas jurídicas para llevar a cabo los la comunidad, los trabajadores y el medio Será por todo esto por lo que la comunidad proyectos de los emprendedores sociales. ambiente en la toma de decisiones. de empresas B Corps forma un movimiento global de más de 2.500 compañías en 50 La actual normativa española no contempla c. Co-construir una voz colectiva al países y 130 sectores con un único fin: que las nuevas peculiaridades de las empresas pertenecer a la comunidad de Empresas un día todas las compañías compitan por sociales, y eso dificulta el acceso a la B reconocidas bajo una única marca. ser las mejores para el mundo, y, como financiación privada, y dificulta su visibilidad, resultado, la sociedad camine hacia estadios credibilidad y reconocimiento en el mercado ¿Pero qué caracteriza a las empresas B?, de bienestar compartido y superior. por la inexistencia de un marco jurídico más entre otras: amplio que incorpore nuevas modalidades Habrá que aludir, aunque no sea el objeto como la sociedad de responsabilidad 1.- El lucro debe consistir en generar un fundamental de esta reflexión, el proceso limitada de interés general para facilitar el beneficio para la sociedad, y la obtención de obtención de esa certificación, ya que desarrollo de sus actividades sociales así de rentabilidad económica será una tendrán que superar un exhaustivo proceso como su financiación. consecuencia más resultante de que ese de autoevaluación en el que deberán modelo de negocio sea viable y compatible. obtener una puntuación mínima de 80 sobre Serán empresas que tendrán como objeto 2.- El deber de auditar y facilitar toda la 200 y llevar al menos un año funcionando. social desarrollar una actividad económica información relativa a su contabilidad a ojos Superada la prueba, y otros trámites en con el objetivo de reducir o transformar de consumidores, proveedores e inversores los que firmará un documento con sus una necesidad social concreta; proporcionar las hacen transparente. derechos y obligaciones, se certifica el productos y servicios al alcance de individuos ingreso en la comunidad de empresas B. o colectivos vulnerables; promover 3.- El margen entre el salario más alto y el oportunidades económicas para individuos más bajo de la empresa debe ser equilibrado Es posible que la compañía tenga que colectivos en riesgo de exclusión social, y coherente con los valores que transmite, realizar cambios en sus estatutos para preservar y mejorar el medio ambiente sin que ningún salario puede ser más de 10 acoplarse al modelo de negocio ético y y colaborar económicamente o de otro veces superior a cualquier otro dentro de sostenible de manera que en ellos tenga tipo con las entidades contempladas en la organización. en consideración a los trabajadores, la el artículo 5 de la Ley 5/2011, de 29 de comunidad y el medio ambiente para que marzo, de Economía Social, que tengan 4.- Los empleados deben poder optar a una sus derechos sean valorados de manera domicilio fiscal en el Estado español. Todo oferta formativa en temas profesionales y vinculante en la toma de decisiones. ello, mediante el compromiso estatutario valores como sostenibilidad, impacto social, de crear un impacto de interés general en etc. promovido desde dentro de la misma Siendo una necesidad y contando con la sociedad. Este tipo de emprendimiento empresa. el seguro interés de la sociedad, será se diferenciará respecto a otros tipos de fundamental contar con un marco emprendimiento en que existirá limitación 5.- La empresa debe establecer una política regulatorio adecuado, que vaya en directo en el reparto de dividendos, de manera ambiental en sus estatutos que cumpla beneficio a la sociedad a través de una en que cada ejercicio social tan solo podrá requisitos básicos como el reciclaje, el diseño comunidad de Empresas B, con el objetivo de repartirse un 30% del beneficio obtenido, y el uso de productos no contaminantes y diferenciarlas, promoverlas y resguardarlas obligándose a reinvertir el 70%. desarrollar su actividad en un entorno lo estructuralmente2. más limpio posible para sus trabajadores. Con el fin de proteger a los inversores Hasta la fecha se conocen únicamente minoritarios y evitar que la figura de la Los beneficios de las empresas B, podrían, cuatro regulaciones: el Benefit Corporation Sociedad Limitada de Interés General por ahora, identificarse como las siguientes: o Low-Profit Liability Company en EE.UU, se utilice incorrectamente, cualquier Community Interest Company en Reino modificación estatuaria que suponga la 1. Diferenciación y liderazgo a través del Unido y Impresa Sociale en Italia. pérdida de los rasgos característicos de las compromiso social y ambiental. S.L.I.G deberá acordarse a través, de una 2. Excelencia para la mejora continúa del En España, por el contrario, no consta mayoría reforzada del 80% de los votos del desempeño en la gestión empresarial. regulación sobre las empresas B. capital social.

50 2 ■ 2020 I Rassembler les avocats du monde En aras de impulsar la transparencia de de 12 sectores diferentes que han obtenido Cuento de Luz es una editorial de narrativa dichas sociedades, formará parte del el certificado. Danone, Universidad infantil que puede presumir de ser la primera consejo de administración, por lo menos, un Europea, Holaluz, Triodos Bank, Veritas, en Europa y tercera en todo el mundo de consejero totalmente independiente, tanto Change.org o Corresponsables son algunas obtener la certificación B Corp. del equipo de gestión como de los socios. de estas compañías que lideran el cambio. Y además, el Consejo de Administración “Creemos en el poder de las personas Hasta qué extremo es importante esta deberá elaborar un informe anual que se y de cómo cada vez que escogemos lo regulación que incluso la Mutualidad General pondrá a disposición de todos los socios y que comemos y bebemos influimos en el de la Abogacía Española ha invertido en una de cualquier tercero que lo solicite. mundo que queremos. Por ello somos empresa B, en concreto el PENSIUM, lo que conscientes de que, hoy más que nunca, las puede dar una idea que si los abogados así En el título II, que se divide en dos capítulos, empresas debemos actuar como agentes lo hacen qué no harán por regularlos. tiene como objeto establecer incentivos de cambio y asumir la responsabilidad de fiscales para las sociedades limitadas que podemos dibujar un futuro mejor con Me resta recoger una reflexión final de interés general e incentivos fiscales nuestro compromiso y buenas prácticas”, relativa al premio Nobel de Economía 2019 destinados a los llamados inversores de señala con acierto Danone Iberia. obtenido por tres científicos de diferentes proximidad, con el fin de que inviertan en países pues lo ha sido por “un enfoque empresas sociales. Ejemplo de alguna empresa española experimental para aliviar la pobreza global”, reconocida como empresa B son las concretándose en aspectos como por Tributan por las actividades económicas que siguientes: ejemplo métodos oficiales para mejorar la realicen a un tipo reducido, del 18% o del 22%, dependiendo de la base imponible que obtengan. Superada la prueba, y otros trámites en los que firmará un documento con sus En el capítulo II se regulan los incentivos fiscales para el inversor de proximidad o derechos y obligaciones, se certifica el ingreso en la comunidad de empresas B. Business Angel en las diferentes modalidades de empresa social. En primer lugar se Wopi, que es un proyecto web y aplicación salud infantil o la educación, liderando ese incorpora una deducción para el inversor de móvil que permite a los deportistas cambio social incluido en la integración y proximidad del 30% por el capital aportado (profesionales, habituales o esporádicos) el reconocimiento mundial de esta sin que o por el préstamo participativo suscrito, ello conlleve – siendo el de Economía – un sea en el Impuesto sobre la Renta de las convertir en donaciones a proyectos sociales beneficio económico. Personas Físicas, sea en el Impuesto sobre sus kilómetros recorridos, ya sean haciendo Sociedades. Esta deducción tendrá un límite running, natación, senderismo, caminata… Entonces, si la economía mundial discurre máximo en la base sobre la que aplicar todos los metros cuentan. Nació en mayo por estos derroteros ¿qué espera España la deducción de 200.000 euros anuales, de 2014 y suma ya más de 40.000 usuarios para procurarse las medidas que lo regule siempre que dicho capital se mantenga en registrados que han recorrido más de ocho millones de kilómetros para ayudar a 65 y los empresarios para poner todos sus la empresa un mínimo de cuatro años. En esfuerzos en ello? segundo lugar, también se establece que los proyectos sociales, hasta la fecha. inversores de proximidad tendrán derecho friends José PAJARES ECHEVERRÍA a aplicarse una reducción de 1.500 euros 1000 es una B Corp que se dedica, precisamente, a diseñar e implementar Abogado anuales por los dividendos e intereses Pajares & Asociados Abogados desde 1958, estrategias de sostenibilidad y responsabilidad percibidos. Y, en tercer lugar, se establece S.L. social en otras empresas. Se trata de una que, en el caso de que exista transmisión y Zaragoza, España agencia de marketing y comunicación que existieran pérdidas, estas podrán deducirse [email protected] en su totalidad. además de crear oportunidades de negocio para terceros a través de la integración “La certificación B Corp viene a ser como el de las RSC en toda la compañía, realiza 1. La empresa comercial frente a la comunidad: campañas publicitarias con su socio, La casa Empresas B, de Raúl Aníbal Etcheverry, Profesor sello de comercio justo, pero para la empresa de la Universidad de Buenos Aires (Argentina). en su conjunto y no para un producto de Carlota. 2. La empresa comercial frente a la comunidad: concreto. B Corp valora la totalidad de Empresas B, de Raúl Aníbal Etcheverry, Profesor la empresa: que esté bien gestionada, que La casa de Carlota es un estudio de diseño de la Universidad de Buenos Aires (Argentina). tenga un impacto en la sociedad y que sea que juega con las distintas capacidades de sus una buena empresa”, se explica por un empleados (personas con síndrome de Down, empresario. autismo y otras discapacidades intelectuales y estudiantes de diseño) para crear campañas La primera Memoria Anual de B Corp. en publicitarias de lo más creativas. Un trabajo España también destaca que el movimiento que ya está siendo reconocido por clientes y cuenta en nuestro país con casi 50 compañías certámenes publicitarios.

Reunir a los abogados del mundo I 2 ■ 2020 51 Les nouveaux régimes fiscaux incitatifs pour les expatriés HNWIs et retraités résidents en Italie

I Anne-Manuelle GAILLET & Luca VALDAMERI

ces régimes se révélant très compétitifs This article describes the new Italian 4. Le régime “Impatriés” 2020 : par rapport aux régimes comparables ins- attractive tax regimes available for avantages pour les travailleurs titués par d’autres États européens (par ex. Expats, HNWIs and pensioners moving Royaume-Uni, Espagne, Benelux). expatriés to Italy such as: Le régime fiscal spécial pour les « impa- 1. The “Impatriati” regime (Expats A ce jour, les avantages pour les particuliers triés » (soit les travailleurs expatriés trans- tax breaks), for “inpatriates” which qui transfèrent leur résidence en Italie sont : offers a beneficial tax treatment to Italian férant leur résidence en Italie pour y travail- ler) offre une imposition fiscale avantageuse source employment or self-employment 1. le régime “Impatriés” (Expat tax breaks), en ce qui concerne les revenus italiens déri- income limiting, under certain conditions, qui a été introduit en 2016 et qui, depuis, a vant de l’activité de salarié ou de travailleur to 30% (10% in certain regions) the été rendu de plus en plus attractif ; taxable income in Italy for individuals indépendant. transferring their residence in Italy. 2. le régime “Nouveau Résident” (Flat tax), 2. The “New Resident” regime (Flat qui est un régime fiscal spécifique destiné Le régime est une combinaison du célèbre tax) is addressed to High Net Worth plutôt aux grandes fortunes, soit les HNWIs 30% ruling néerlandais, du régime « impatrié » Individuals (HNWIs) who transfer to Italy (High Net Worth Individuals) ; français et du régime espagnol, mais, contrai- after having been tax residents out of Italy rement à ces autres régimes, le régime italien for tax purposes for 9 out of 10 years. 3. le régime “Retraités” (Pensioners tax présente des caractéristiques supplémentaires They can opt for the regime and, for 15 breaks), qui est un régime fiscal spécial pour intéressantes (par ex. : il est applicable égale- years, pay an annual flat tax of € 100,000, les contribuables retraités. ment aux travailleurs indépendants). that substitutes any tax (income and wealth tax) on non-Italian sourced income Ces régimes sont liés à l’acquisition de la A noter que pour ces derniers, comme and assets (both financial and income from résidence fiscale italienne, qui est acquise pour les entrepreneurs, l’avantage fiscal a working activity), even if remitted to dès lors que l’une des conditions ci-après découlant de l’application du régime est Italy; conversely, Italian-sourced income is se trouve remplie sur le territoire italien plafonné à 200.000 Euros sur une période taxable under ordinary rules. pendant une durée supérieure à 183 jours de trois années d’imposition. 3. The “Retirees” regime (Pensioners au cours d’une année fiscale : Comment le régime “Impatriés” tax breaks), is addressed to pensioners • Inscription au registre de la population fonctionne-t-il ? and retired individuals who have not been résidente d’une commune (Anagrafe), ou tax residents in Italy for the last 5 years and relocate to a southern Region of Italy; • Présence physique sur le territoire, ou Le régime prévoit que, sous réserve que they may elect to pay a flat 7% tax rate • Établissement en Italie du centre de ses soient remplies certaines conditions, l’as- on their non-Italian sourced income for a intérêts vitaux. siette imposable des revenus italiens dérivant maximum of 9 tax periods. de l’activité de salarié ou de travailleur indé- Le droit de l’immigration italien a été pendant exercée par un particulier transfé- également modifié pour faciliter les procé- rant sa résidence fiscale en Italie, peut être Au cours des dernières années, la loi ita- dures d’immigration pour les ressortissants limitée selon le cas à 30% ou même 10%. lienne a introduit des régimes spéciaux et de nationalité non européenne qui sont avantages fiscaux, pour attirer en Italie des intéressés à bénéficier des régimes fiscaux Ainsi, le taux d’imposition maximum pour personnes physiques résidant à l’étranger, spéciaux visés ci-dessus. l’impôt sur les revenus du travail de source

52 2 ■ 2020 I Bringing Together the World’s Lawyers italienne se trouve réduit à environ 13%, Si le particulier transfère sa résidence dans 5. Le régime forfaitaire italien mais il peut être abattu jusqu’à 4,5% en une région du sud de l’Italie (soit Abruzzes, Flat tax pour les HNWIs fonction du lieu de résidence en Italie. Molise, Campanie, Pouilles, Calabre, Sicile, Basilicate) ou en Sardaigne, la base impo- Le régime forfaitaire italien s’inspire du Le régime est applicable pendant cinq sable est réduite à 10% du revenu (portant à régime suisse « globaliste » et de celui des années fiscales mais, dans certaines -condi un taux d’imposition d’environ 4,5%). non-dom anglais, même si, contrairement au tions, il peut être appliqué jusqu’à 10 années régime suisse, il n’empêche pas d’exercer fiscales. Si le bénéficiaire de ce régime ne De plus, les avantages supplémentaires sui- une activité professionnelle ou salariée en maintient pas sa résidence en Italie au cours vants pourront s’appliquer : Italie et si à la différence du régime britan- des deux premières années au moins, ou • si le contribuable a au moins un enfant, le bien n’exerce pas une activité substantielle nique, tout paiement perçu en Italie n’est bénéfice du régime est étendu pour une pas soumis à imposition. en Italie, il perd la possibilité de se prévaloir période supplémentaire de 5 ans, avec de ce régime. une base imposable réduite à 50%; En outre, l’Italie bénéficie d’un grand Comment un particulier peut-il Ou bien nombre de conventions fiscales (en -com demander l’application du régime • si le contribuable (ou son conjoint, parte- paraison à la Principauté de Monaco, autre “Impatrié” ? naire ou enfant) acquiert la propriété d’un localité privilégiée par les HNWIs) et son bien immobilier résidentiel, le bénéfice du patrimoine culturel et artistique, sa qualité L’exonération est effectuée directement régime est étendu pendant cinq années de vie, sa position stratégique et la libre cir- par l’employeur qui, aux fins du calcul du supplémentaires, avec une base imposable culation dans l’espace européen Schengen, prélèvement à la source de l’impôt sur réduite à 50% ; font de l’Italie une destination idéale pour le revenu, appliquera la base imposable Ou encore : les HNWIs. réduite. La demande doit être formulée • si le contribuable a au moins trois enfants, auprès de l’employeur en justifiant du béné- le bénéfice du régime est étendu pour Comment le régime forfaitaire fice du régime. une période supplémentaire de 5 ans, fonctionne-t-il ? avec une base imposable réduite à 10%. En alternative, le régime pourra être choisi Le mécanisme est très simple : dans le cadre de la déclaration de revenus Par exemple, un particulier qui a trois • les nouveaux particuliers résidents fis- individuelle, notamment pour les travail- enfants et qui transfère sa résidence dans caux qui choisissent le régime payeront leurs non-salariés. une Région du Sud de l’Italie pourra ne un impôt annuel forfaitaire de 100 000 payer l’impôt que sur une base de 10% de Euros, qui substitue tous les impôts sur Qui peut se prévaloir de ce régime ? ses revenus professionnels de source ita- les revenus et le patrimoine qui ne sont lienne pendant dix ans. pas de source italienne (tant financiers Ce régime s’applique aux particuliers qui que découlant de revenus d’une activité n’ont pas été résidents en Italie pendant au Règles pour les sportifs profession- salariée ou professionnelle), même s'ils moins deux périodes d’imposition avant le nels sont perçus en Italie; transfert de leur résidence en Italie. Le régime « Impatriés » s’applique aux sportifs • en revanche, les revenus de source ita- Comment bénéficier de la période professionnels dans les limites suivantes : lienne sont imposés selon les règles ordi- naires italiennes. et du taux maximal d’exonération ? • la durée est limitée à cinq périodes d’imposition ; Le régime est applicable pendant cinq Le bénéfice du régime a une durée limitée périodes d’imposition pour tous les parti- • la base imposable est de 50% et ne peut à 15 ans. culiers, avec une base imposable réduite à pas être réduite ; 30% du revenu imposable (portant à un taux • un impôt supplémentaire de 0,5% est dû Néanmoins, une règle anti-évasion fiscale d’imposition d’environ 13%). sur les revenus bruts. exclut de l’assiette de la Flat Tax les plus-

Rassembler les avocats du monde I 2 ■ 2020 53 6. Régime “Retraités”: avantages fiscaux pour les retraités - Comment ça marche ?

Les particuliers retraités qui transfèrent leur résidence dans certaines régions de l’Italie (soit Abruzzes, Molise, Campanie, Pouilles, Calabre, Sicile, Sardaigne, Basilicate) peuvent choisir de payer un impôt forfaitaire à un taux de 7% sur leurs revenus d’origine non italienne (par ex., pension étrangère, revenu financier, revenu dérivant d’une location, etc.), pendant au maximum 9 périodes d’imposition.

Comment un particulier peut-il choisir ce régime ?

L’option en faveur de ce régime doit être values découlant de la vente de participations de la famille (la notion de membre de la exercée dans le cadre de la déclaration de qualifiées détenues dans des sociétés étran- famille est assez large): dans ce cas, un revenus. gères, intervenant dans les cinq premières impôt forfaitaire supplémentaire s’élevant à années de résidence en Italie, qui restent 25.000 Euros sera dû par chaque membre Qui peut s’en prévaloir ? donc assujetties à l’imposition ordinaire. supplémentaire de la famille. Les personnes physiques qui peuvent s’en Les HNWIs qui maintiennent une activité Comment un particulier peut-il prévaloir sont les retraités qui : d’entreprise (par ex. par le biais d’une hol- choisir le régime forfaitaire ? • perçoivent une pension ou une annualité ding) ne sont pas soumis aux règles CFC de la part d’une entité étrangère ; (règles de transparence du Company Foreign Pour choisir ce régime, le particulier peut • n’ont pas été fiscalement résidents en Control) ni aux règles du lieu de management. déposer une requête spécifique (rescrit) Italie pendant les 5 années précédant le auprès de l’administration fiscale italienne, transfert de leur résidence en Italie ; Les HNWIs peuvent également choisir qui peut inclure également les membres • transfèrent leur résidence dans une com- d’exclure du régime forfaitaire les reve- de la famille. En alternative au rescrit, mune d’une des Régions susvisées dont la nus ayant leur origine dans certains États l’option en faveur du régime peut être population est inférieure à 20 000 habitants. déterminés (cherry picking), qui deviennent indiquée dans la déclaration des revenus totalement assujettis à imposition en Italie, après le transfert de la résidence en Italie. Avantages supplémentaires tout en bénéficiant des règles étrangères en Dès lorsque le rescrit peut être demandé matière de crédit d’impôt. avant le transfert de la résidence fiscale en Les particuliers bénéficiaires de ce régime Italie, cette modalité même si elle n’est pas sont exonérés de l’obligation de droit ita- Qui peut se prévaloir de ce régime ? obligatoire, est fortement recommandée lien de déclarer les éléments du patrimoine afin de sécuriser le régime applicable et les situés à l’étranger et ne sont pas soumis au Toute personne physique peut choisir biens qui y seront soumis. L’Administration paiement des impôts italiens sur le patri- d’appliquer ce régime si elle n’a pas été fiscale adressera une réponse dans le délai moine situé à l’étranger. fiscalement résidente en Italie pendant 9 de 120 jours. des 10 dernières années (bien évidemment, Anne-Manuelle GAILLET ce régime s’applique aussi aux particuliers Qu’en est-il des droits de succes- Avocate aux barreaux de Milan et Paris qui n’ont jamais été résidents en Italie). sion et donations ? Associée Contrairement au Royaume-Uni ou à la Pirola Pennuto Zei & Associati Suisse, le régime s’applique aussi aux parti- Les droits de succession et de donation Milan, Italie culiers de nationalité italienne. prévus par les règles fiscales italiennes ne [email protected] sont pas applicables aux biens situés en Qu’en est-il des membres de la dehors de l’Italie, d’où la possibilité de Luca VALDAMERI famille ? considérer une réorganisation patrimoniale Dottore commercialista tenant compte de l’ensemble des règles Associé Les particuliers qui choisissent d’appliquer susceptibles de s’appliquer, y compris sur la Pirola Pennuto Zei & Associati ce régime peuvent l’étendre, sur base base des conventions internationales le cas Milan, Italie volontaire, à certains ou à tous les membres échéant applicables. [email protected]

54 2 ■ 2020 I Reunir a los abogados del mundo “Life Moves Pretty Fast”: a decade on from bitcoin, English law confronts cryptoassets1

I Marc JONES

Bitcoin was born in January 2009. To say The most significant English response to was supportive of Mr Robertson’s claim but it arrived largely unnoticed by most of date came on 18 November 2019 when was limited in what it could do, given its the world would be an understatement. Sir Geoffrey Vos, Chancellor of the High contractual and regulatory obligations, unless Just over a decade on, and even those Court, launched the Legal Statement on complying with a court order. who still do not have the faintest idea Cryptoassets and Smart Contracts (the what a cryptocurrency actually is or how “Legal Statement”) and in doing so made A key issue at the hearing was: is bitcoin ”blockchain” operates, will at least have the point that “There is no point in introducing “personal property”? If not, then a heard of them. For those who did stop regulations until you properly understand the proprietary injunction could not be made. and look around, the reality is that over legal status of the asset class that you are The prevailing view was that in English law: the last decade cryptocurrencies and the regulating”. By coincidence the launch was “All personal things are either in possession or blockchain technologies that underpin them book-ended by the first two interim judicial in action” (Lord Justice Fry in Colonial Bank have moved at an ever-accelerating speed decisions (Robertson v Persons Unknown in v Whinney (1885)). The first is a “thing” from their origins on the periphery of the July 2019 and AA v Persons Unknown in that you can take physical possession of, periphery and into the financial mainstream. December 2019) in which bitcoin was and the second is a property right that can Early prophecies that cryptocurrencies treated as legal property. It is fair to say that only be obtained or enforced through legal and blockchain technology generally were the Legal Statement is a first in English law action. At first blush, bitcoin is neither. It is everything from a criminal enterprise to and a genuine legal landmark; and that the not a physical thing and English law is clear simply pointless have fallen away. Financial two cases are important indicators of the that intangibles are not chose in possession markets now offer a variety of products challenges ahead. (OBG v Allen). linked to cryptocurrencies, from plain vanilla futures to exchange traded notes. In July 2019 the Securities and Exchange Commission approved a digital public token offering to Beyond the context of fraud litigation, whether cryptocurrencies are property the general public for the first time. At the retail end there is an ever-growing array of will be a matter a importance in a variety of commercial contexts […] applications enabling consumers to transact and invest in a variety of cryptocurrencies, commonly grouped under the tag “DeFin”: Robertson v Persons And unlike, for example, money in a bank decentralised finance. Unknown2 account which creates a relationship of debtor and creditor, a bitcoin is an As the technology has raced ahead, a wide Mr Robertson was the victim of a “spear intangible “thing” that does not depend range of novel and difficult questions have phishing” attack which resulted in one of upon a legal right enforceable against some arisen about the legal fundamentals of this Mr Robertson’s intended investment, of 100 other person in order to have value. In that new asset class and its underlying technology. bitcoin (at the time worth approximately sense, bitcoin it is more like a bank note Until very recently most legal activity has £1.2M) being misdirected to the fraudster(s). than the money in your bank account: the been focussed on controlling this new asset These were the “persons unknown” who former has value simply by virtue of being a class through criminal or financial regulatory were sued as the first defendant. Having bank note to which people attach value; the measures. Perhaps that is a product of the established that 80 bitcoin had been sent latter depends upon the account-holder’s history of cryptocurrencies which early to a wallet held at Coinbase UK Ltd, the ability to enforce a right against the bank on were portrayed as an off-grid method UK arm of San Francisco-based Coinbase, and the bank’s ability to pay. of selling and purchasing illegal goods and one of the world’s leading cryptocurrency laundering money. That regulatory focus has exchanges. Mr Robertson applied to court When the Robertson application was heard tended to obscure the legal fundamentals, for a proprietary interim injunction called there was no English authority on the issue3, in particular “what are cryptocurrencies”: an asset preservation order to “freeze” the so the claimant relied on B2C2 Ltd v Quoine mere information , intangible property, or 80 bitcoin , as well as a Bankers Trust order Pte Ltd [2019] SGHC(I) 03 in which the something else entirely? The implications to permit Coinbase to reveal the identity Singapore International Commercial Court are enormous, and answers are required of the individual who controlled the wallet held that bitcoin are personal property. The urgently to provide the legal certainty containing the 80 bitcoin. (A Bankers Trust closest English law analogue was Armstrong needed by developers, financial service order is an order that typically requires a bank DLW GmbH v Winnington Networks Ltd providers and investors in this rapidly to provide details ordinarily protected by the [2012] EWHC 10(Ch), which concerned growing new technology. bank’s duties of confidentiality.) Coinbase the fraudulent transfer of carbon emissions

Bringing Together the World’s Lawyers I 2 ■ 2020 55 allowances (EUAs). In that case the court see how it could affect a chose in action 2019 by Sir Geoffrey Vos, Chancellor of the held that the claimant had a proprietary (and authorities on this are hard to find). High Court: restitutionary claim for the value of the Also, there are far more statutory defences EUAs which constituted “a chose in action or available in respect of chose in possession I believe that this morning is a watershed for some form of other intangible property”. (for example sale of goods legislation). In English law and the UK’s jurisdictions. Our short, the ability to satisfy the court that statement on the legal status of cryptoassets Despite the fact that cryptocurrencies there is a serious issue could well be harder and smart contracts is something that no have no physical existence, the idea to satisfy if cryptocurrencies are classified as other jurisdiction has attempted. It is genuinely that cryptocurrencies may be things in chose in possession because there will be a groundbreaking… The first thing to understand possession was not regarded as unthinkable. much greater likelihood of the defendant(s) about cryptoassets is that they are not all about For example, the Financial Markets Law having a potentially good defence. And quite Bitcoin and Bitcoin mining as some people tend Committee (FMLC) (July 2016) took the what the position is if they are some third to think when the subject is raised. There is an view that “it may be convenient to understand type of property is unknown. endless spectrum of types of cryptoasset and [cryptocurrencies]… as a kind of hybrid: ‘virtual cryptocurrencies, many of which already are or chose in possession’. That is, intangible property Beyond the context of fraud litigation, certainly will be designed for use as wholesale with the essential characteristics of chose whether cryptocurrencies are property will and retail payment mechanisms. They will be in possession.” In the event the judge in be a matter a importance in a variety of what one might call investment grade. It is for Robertson was prepared to proceed on commercial contexts (for example taxation, that reason that the thinking behind this legal the basis that whether bitcoin is a thing in sale of goods legislation, transfer of title, statement was that what was lacking was a possession, in action or some form of other the taking of security, etc.) and perhaps clear view of the legal status of cryptoassets intangible property, – here was a serious especially in insolvency scenarios. For under English law. If the legal foundation could issue to be tried and that it was appropriate example, an office-holder would need to once be established, uncertainty would dissipate, to make an interim proprietary injunction know against whom action could be taken and it would be possible for the regulators to protect Mr Robertson’s interest. in order to realise the value of the virtual to consider what regulatory measures were currency. needed, and for the courts to consider, where Why does it matter whether cryptocurrencies are property? In the narrow context of fraud claims, obtaining proprietary relief One of the great virtues of the Legal Statement is the brevity and accuracy gives the claimant a much stronger position. The specific assets are better secured and with which it cuts through difficult issues to produce clear answers. (generally) cannot be used to pay the defendants costs. Then claimants’ ability to trace and the range of remedies available is The Legal Statement on appropriate, what remedies might be available increased. Also the cryptocurrency might Crypto-assets and Smart in respect of transactions involving the transfer appreciate significantly in value during the Contracts and securitisation of cryptoassets… I hope that time the claimant is out of possession the document will be hugely influential on legal thinking across the common law world”. and the claimant may want the specific The Legal Statement is the result of the cryptocurrency returned rather than having Law Tech Delivery Panel’s (“LTDP”) to seek damages and engage in arguments consultation in relation to cryptoassets, In the foreword to the Legal Statement over the quantum of loss. distributed ledger technology and smart Sir Geoffrrey notes: “I hope that the Legal contracts. The LTDP was established by the Statement will go a long way towards providing Whether cryptocurrencies are chose in UK Government, the Judiciary and the Law much needed market confidence, legal certainty action, in possession or something else does Society of England and Wales and has as its and predictability in areas that are of great matter. Defences under English law that overarching objective the promotion of the importance to the technological and legal are open to a defendant who has received use of technology in the UK’s legal sector. communities and to the global financial services stolen cryptocurrency are probably wider The UK Jurisdiction Taskforce (UKJT) is industry.” if the cryptocurrency is treated as a chose one of six taskforces established by the in possession than a chose in action. The LTDP for the purposes of achieving this The Legal Statement has an explicitly starting point for both is the ‘nemo dat’ rule objective, and it is the UKJT that produced commercial purpose. It anticipates the day (i.e. a seller of property cannot give better the Legal Statement. The stated objective when “investment grade” cryptoassets title to the property than he himself has). of the UKJT is “to demonstrate that English will be commonplace. In a wide-range of The main exception to that rule is the ‘bona law and the jurisdiction of England and Wales international commercial activities English fide purchaser for value without notice’ together provide a state-of-the-art foundation law is the most widely chosen governing law rule (i.e. a person who buys property for the development and use of DLT, smart in the word, and it is nothing if not rooted in good faith and is not on notice of contracts and associated technologies”. in, and accommodating of, the changing defects in the transferor’s title takes good realities of commercial enterprise. So it is title). While that applies to both types of The Legal Statement was launched at a not surprising that English law should want personal property, it is more difficult to packed Guildhall in London on 18 November to get ahead of the game. But it is the

56 2 ■ 2020 I Rassembler les avocats du monde manner in which this has been attempted There is an important qualification to all this. the BitPaymer ransomware virus. The virus that is genuinely novel. The Legal Statement Whether or not any particular cryptoasset is encrypted the company’s files and demanded is not a piece of legislation nor a binding treated as property will depend on its specific a US$950,000 payable in bitcoin as ransom to judicial decision. As Sir Geoffrey explained: traits. The number and variety of cryptoassets decrypt them. The claimant paid the ransom “The process that the taskforce adopted was is ever-expanding, and the underlying for its insured by buying 109.25 bitcoins to draft a short list of legal questions, and then structure of each can differ radically. What and transferring them to a bitcoin address to consult widely about the appropriateness of traits must a particular cryptoasset possess in provided by the anonymous attackers (the those questions amongst the tech community, order to qualify as property? The authoritative “persons unknown”). Once the files had the financial services sector, the regulators and description of the necessary characteristics been recovered, the claimant traced and the lawyers. The Taskforce held public meetings of property is set out in National Provincial attempted to recover the bitcoin. 96 bitcoin and received a wide range of the very best expert Bank v Ainsworth (1965): before a right or an were located at an address linked to the opinion. The resulting questions were put to the interest can be admitted into the category cryptocurrency exchange known as Bitfinex, team of expert QCs and barristers asking them of property it must be: (a) definable; (b) which is operated by two BVI companies. to deliver a definitive statement of what English identifiable by third parties; (c) capable in its law now provides in this area. The outcome is not nature of assumption by third parties, and (d) The judge granted an interim proprietary about what they would like English law to be; it have some degree of permanence or stability. injunction over the bitcoin against the BVI is about what they believe English law actually to In other words: certainty, exclusivity, control companies and the attackers. The judge be”. As such it has no legally binding effect – and assignability. stated: “I consider it is fallacious to proceed or any legal effect at all. on the basis that the English law of property One of the great virtues of the Legal recognises no forms of property other than Having said that, the range and quality Statement is the brevity and accuracy with choses in possession and chose in action. The of individuals involved in the consultation which it cuts through difficult issues to reasons for this are set out at paragraphs 71 to should inevitably mean that significant weight produce clear answers. It deals with many 84 of the Legal Statement”. will be attached to the Legal Statements other issues which flow from the conclusions conclusions. What are they? on cryptocurrencies as property, such as Cases combining “persons unknown” transfer, security and insolvency. But the Legal and cryptocurrencies present novel legal The key conclusion of the Legal Statement Statement is very far from comprehensive, problems for unwary claimants, and it’s clear as regards cryptocurrencies4 is that: and never set out to be. Two areas are with that difficulties arose in AA. As the Bitfinex (a) cryptoassets have all of the indicia of noting. First, how rules of private international companies were based in the BVI, and the property; law are to be applied to the proprietary whereabouts of the “persons unknown” aspects of dealings in cryptoassets. This was not known, the claimant needed the (b) the novel or distinctive features possessed is a particularly complex area and this is court’s permission to serve process out by some cryptoassets – intangibility, reflected in the Legal Statement: “…we think of the jurisdiction. Although the claimant cryptographic authentication, use that there is a good argument that the normal insurer was based in England and was of a distributed transaction ledger, rules should not apply… [but] it is very difficult subrogated to the rights of the assured, the decentralisation, rule by consensus – do to say which rules would be used instead”. malware attack had been carried out against not disqualify them from being property; Second, the Legal Statement specifically did a Canadian company, and presumably the (c) nor are cryptoassets disqualified from not address the issue of remedies. Again, tortious acts and/or damage encompassed being property as pure information, or another fundamental and difficult area. Quite by the hack occurred in Canada, providing because they might not be classifiable how problematic these issues will prove to no basis for English jurisdiction. either as things in possession or as be is touched on in the case of AA v Person things in action; Unknown What claims could the claimant pursue (d) cryptoassets are therefore to be treated in England? The judge explored in some in principle as property. AA v Persons Unknown depth the potential causes of action and jurisdictional bases, which were clearly very Significantly the Legal Statement also The decision in AA v Person Unknown problematic for the claimant. Ultimately, concludes that the famous statement of Lord is believed to be the first occasion on the claimant narrowed its application to Justice Fry in Colonial Bank v Whinney (referred which any common law court has not “the claims of the insurer in restitution and/or to above), properly understood, did not only referred to the Legal Statement but constructive trust against all four defendants”, restrict the types of personal property known has positively approved its conclusions as seeking a proprietary injunction against all to English law in the way it had been assumed regards cryptocurrencies. Beyond that AA defendants. Essentially the claim was that: for the best part of 150 years, but that “the is a fascinating early example of the many (a) the $950,000 used to purchase bitcoin class of things in action could be extended to all difficult questions that disputes involving was the claimant’s property; (b) the payment intangible property (i.e. it was a residual class of cryptocurrencies, indeed any blockchain was wrongfully extorted by the “persons all things not in possession) rather than on the based digital asset, are going to raise. unknown” who have no right to the money, basis that the class of intangible property should and (c) the bitcoin represent the traceable be restricted to rights that could be claimed or The claimant was the English cybercrime proceeds of the claimant’s money against enforced by action”. insurer of a Canadian company targeted by which it has a claim in unjust enrichment.

Reunir a los abogados del mundo I 2 ■ 2020 57 The judge concluded that the claims for restitution and constructive trust gave the English court jurisdiction on two bases: the claimant was seeking an interim remedy under s.25.1 of the Civil Jurisdiction and Judgments Act 1982; and the claim was in tort where loss was (likely to be) sustained within the jurisdiction or result from acts (likely to be) committed in the jurisdiction. Both are problematic5 but only the second is on interest for present purposes.

The judge proceeded on the basis that because the claimant is based in England and had paid the $950,000 from an English bank account, damage was suffered in the jurisdiction. It’s not clear whether it was the location of the claimant or the bank account or both that mattered. But that is not the full picture. The claimant paid the money to its agent, JJ, who then purchased the bitcoin which were then transferred to be considered because it affects what claims As cryptocurrencies, digital assets more the “persons unknown”. and (interim) remedies can be pursued. broadly, and the underlying technologies Suppose AA’s agent had been outside on which they rest become ever more On that basis, the claimant didn’t suffer loss England when he transferred the bitcoin, widely adopted and continue to multiply until JJ transferred the bitcoin. As such, the say Utopia; and (to keep it simple) that he in number, the days when any lawyer focus should be on the bitcoin. But where transferred the bitcoin from the wallet of a could dismiss this area as one that has no was the bitcoin transferred from? Arguably cryptoexchange also located in Utopia. The relevance to his/her practice are rapidly nowhere. As a bitcoin is simply a record law of Utopia would prima facie apply to any diminishing. Banking and financial markets, on a distributed ledger that has no locus, tort claims. If Utopian law permits claims for corporate finance, international trade, it does not exist anywhere. On another restitution and/or constructive trust, would insolvency, estate management, trusts, tax, view, it is wherever the payor is when the the Utopian law also apply to any tracing divorce, intellectual property, the list goes transfer is made. But should that be the exercise, or would English law still apply? on. And if you thought that the pace of claimant’s location (England) or its agent’s And what if the law of Utopia does not development over the last decade has been (which may have been elsewhere?) These treat bitcoin as property at all? What type surprising, then you need to “stop and look are difficult questions with which the English of interim and final relief could the claimant around once in a while” over the next decade courts are going to have to grapple. seek from an English court? - or you’re probably in for a shock.

Finally, it is worth highlighting a few difficult What have we learned so far? Marc JONES points which are not addressed in AA v Partner Person Unknown but are bound to arise in It now looks increasingly clear that English Stewarts cryptocurrency fraud claims in the future. law will treat bitcoin and similar cryptoassets London, United Kingdom The applicable law of a tort under article 4 as legal property. The first outing of the [email protected] of Rome II is “the law of the country in which Legal Statement in court has been a positive the damage occurs irrespective of the country one, its approach and conclusions endorsed. 1 For those who missed the 1980s the quote is in which the event giving rise to the damage That is a good start and good news for all from “Ferris Bueller’s Day Off”. occurred and irrespective of the country or commercial parties involved in this area. 2 The author represented Mr Robertson in the countries in which the indirect consequences But an authoritative and binding decision on litigation of that event occur”. If it is correct that AA’s this specific point is still needed and we may 3 The decision in Vorotyntseva had not been made loss was suffered in England because the have to wait a while for the right case to public at the time. ransom money was paid out of an English reach appeal level for that to happen. 4 It must be remembered that the report also bank account, then English law applies. But looked at the legal status of “smart contracts” what if it is the place of the transferor or However, that positive news is tempered which are not considered in this article. the transfer of the bitcoin (if there is such by the fact that AA highlights how many 5 The court’s jurisdiction to grant interim a thing) that is determinative? Even in cases more legal conundrums lie in wait in this remedies under s.25 is limited to doing so in where the High Court has jurisdiction on area which have yet to receive the detailed support of foreign proceedings. Here, no mention some basis unrelated to the place where judicial consideration that will be needed in is made of any foreign proceedings in respect of damage was suffered, the applicable law must order to provide clarity. which a s.25 order was sought.

58 2 ■ 2020 I Bringing Together the World’s Lawyers Website Accessibility Litigation 101

I Michelle WORRALL TILTON

Website accessibility has sparked litigation, hardware stores, dry-cleaners, banks, legal and factual defenses to the claim to class actions and uncertainty for businesses professional offices of health care providers, use as points of leverage and engage in in the United States. Title III of the lawyers, and accountants, hospitals, private early settlement discussions to negotiate a Americans with Disabilities Act (“ADA”) bus or train stations, museums, libraries, favorable resolution, including reasonable protects individuals against discrimination zoos, amusement parks, places of education, web accessibility accommodations. on the basis of disability in “places of public day care centers, senior citizen centers, accommodation.” In this article, we address homeless shelters, gymnasiums, health spas, Disability Statistics the legal accessibility requirements that bowling alleys, and golf courses to name a pertain to websites and applications. Other few.”2 Nearly any business that serves the According to the Centers for Disease countries have similar civil rights legislation.1 public fits within a public accommodation Control and Prevention (“CDC”) based in category. Private clubs and religious Atlanta, GA, it is estimated that 1 out of The inherent problem with the ADA is that organizations are exempt under Title III. 4 individuals have some type of disability it addresses accessibility to physical – not at some point in their lives, including sight, virtual – spaces. The internet was still in its ADA claims against business websites have hearing, motion and cognition impairment, infancy and not yet an integral part of daily typically been brought by visually impaired which can limit website access. This number life when the ADA was passed in 1990. individuals alleging that the website owners increases to 2 out of 5 for adults age 65 Despite the spate of litigation, Congress failed to provide accommodations for their and older. The CDC identifies mobility as has not identified what website compliance disabilities. A prevailing plaintiff is entitled being the most common disability, followed should be under the ADA, resulting in to attorney’s fees and costs, as well as by cognition. Moreover, the World Bank conflicting rulings in the federal circuits. The injunctive relief, wherein, effectively, a estimates that 15% of the world’s population lack of guidance has created a conundrum federal judge issues a curative order in – or a billion people – have a significant for business owners and for attorneys who favor of the plaintiff. Additionally, a number disability. advise clients regarding website accessibility.

The ADA is the most comprehensive of the United States’ disability laws. It is a civil rights law that guarantees the right While experts agree that web accessibility is good for business, it comes at a cost. of individuals with disabilities to receive reasonable accommodations to be able to work and to participate in the many of states within the United States have The U.S. Office of Disability Employment benefits of society. The law is divided into disability rights laws that complement the Policy (“ODEP”) estimates that people “Titles.” Title III, which is the focus of this ADA and may impose additional damages. with disabilities are “the third largest market article, covers public accommodations and segment in the United States.” This number commercial facilities. It focuses, in significant According to Victor Zarrilli, a partner at more than doubles when considering the part, on private and public entities providing White and Williams LLP in Cherry Hill, N.J. family members of disabled people and their goods or services to the public. The language who represents clients regarding disability caregivers, who appreciate and support of Title III, which has been the primary focus access laws, the fee shifting component businesses that are inclusive. Most business of web accessibility litigation, is as follows: under the ADA makes litigation attractive owners agree that websites should be No individual shall be discriminated against to some plaintiff attorneys. “It doesn’t take accessible to everyone. If a website is not on the basis of a disability in the full and equal much to trigger liability under the ADA,” accessible by a consumer with a disability, enjoyment of the goods, services, facilities, Mr. Zarrilli cautioned, “which exposes the he or she may make a purchase from a privileges, advantages, accommodation of any defendant to the plaintiff’s attorney’s fees and competitor’s site. place of public accommodation by any private costs.” The defendant may be ordered by the entity who owns, leases (or leases to), or court to modify its website to accommodate While experts agree that web accessibility operates a place of public accommodation.” the disabled plaintiff within a limited time is good for business, it comes at a cost. 42 U.S.C. § 12182(a)(2011) frame. Because of the exposure to myriad Remediation expenses can be significant for expenses under the ADA, including the a small business, whose sites and applications Types of businesses that are considered to defendant’s own legal expense, Mr. Zarrilli were launched prior to the emergence of be “public accommodation” are: “hotels, generally recommends to his corporate web accessibility legal issues and awareness. restaurants, bars, theaters, grocery stores, defendants that they quickly identify all A recent article in Entrepreneur magazine

Rassembler les avocats du monde I 2 ■ 2020 59 estimates it could cost “tens of thousands of has required entities that fall within Title wcag-2-1-explained-c26e62b196f2. There dollars” for businesses to meet accessibility III to comply with WCAG 2.0 in consent are also a number of YouTube videos that recommendations. A U.S. defendant in the decrees involving the United States. Most demonstrate how text readers help the 2017 web accessibility case, Juan Carlos web accessibility vendors recommend that visually impaired access a website. Gil v. Winn-Dixie Stores, Inc., argued that websites meet the most current WCAG accessibility conformance would cost standards. Courts Divided $250,000 for the grocery store chain. In the United States, government sites Because every website is different, costs UseableNet, a website access company will vary depending on the complexity and must meet accessibility standards set that promotes an inclusive website and functionality of any given site. forth under Section 508, an amendment application experience for its clients, tracks to the U.S. Workforce Rehabilitation Act statistical information about the ADA Joshua Mooney, a data privacy and cyber law of 1973 (29 U.S.C. § 794(d)) that applies website and mobile application accessibility expert and Chair of White and Williams’ to electronic and information technology lawsuits filed in federal court. This site Cyber Law Group, frequently collaborates “developed, procured, maintained, or used by with Mr. Zarrilli on web accessibility cases the federal government.”4 If you have ever estimates that one accessibility lawsuit is because of his expertise in technology. wondered why government websites are filed every hour and that more than 2,000 Both he and Mr. Zarrilli emphasized that it relatively plain and simple, it is because they lawsuits will be filed in 2019. Litigation is is preferable to make changes to websites comply with accessibility standards. Section predicted to continue into 2020. Retailers prior to litigation. Mr. Mooney, who is 508 incorporates WCAG guidelines by are identified as a “top target,” particularly based in Philadelphia, emphasizes that a reference. those providing food services. Legal experts small business should do what it can within note that most cases are quickly settled its budget constraints to identify and address In the first U.S. trial over web accessibility, because of the cost of defense and the risk accessibility issues. “For a small business, Juan Carlos Gil v. Winn-Dixie Stores, Inc., of having to pay for the plaintiff’s attorney’s doing a little something is better than doing a federal District Court judge in Florida fees and costs. Only a handful of cases have nothing at all” Mooney said. He described the determined that the website of supermarket proceeded to trial. current litigation environment as a “ticking time bomb” and warned that websites that are not compliant are at risk. Mr. Zarrilli confirmed that businesses of all sizes must The guidelines have been adopted globally, including by the EU, to help people consider website accessibility issues. with a variety of disabilities better navigate the Internet. What Standards Apply for Website Accessibility? chain, Winn-Dixie, is a place of “public The federal courts are divided about accommodation” under Title III. This was whether the definition of “public Absent formal guidelines from Congress, because it is highly integrated with its accommodations” under Title III applies most experts point to the Web Content stores and serves as a “gateway” to the to a digital space or whether it is limited Accessibility Guidelines (“WCAG or store’s physical locations. The plaintiff, to websites with a nexus or relationship guidelines”) 2.0 and 2.1 as the website and Juan Carlos Gil, has cerebral palsy and is to physical locations. Courts in the federal mobile application accessibility standards.3 visually impaired. He unsuccessfully tried First, Second, and Seventh Circuit Courts The guidelines are technical and written to access the defendant’s website to fill a of Appeals have determined that a place of for website developers and, for this reason, prescription. In ruling for the plaintiff, the public accommodation does not need to be are referenced in the broadest terms in this court granted injunctive relief and ordered a physical location. In these jurisdictions, article. the defendant to implement a website a stand-alone website that provides goods accessibility policy in conformance with and services does not require a nexus to a The guidelines were developed by WCAG guidelines. Winn-Dixie appealed physical business location to be subject to technology and accessibility experts this decision to the 11th U.S. Circuit Court exposure and liability under Title III of the with the World Wide Web Consortium of Appeals in Atlanta, which heard the ADA. The federal Third, Sixth, Ninth, and (“W3C”), who were tasked with providing appeal in October 2019 and has not yet Eleventh Circuit Courts of Appeals, on the private international industry standards. The issued an opinion. other hand, have determined that online accessibility guidelines they developed are goods or services offered without a nexus to recommendations only as the W3C lacks For attorneys who are not particularly tech- a public accommodation’s physical location enforcement power. The guidelines have savvy, do not practice disability law, and are not subject to Title III. been adopted globally, including by the EU, are able to access websites without a text to help people with a variety of disabilities reader or other software accommodation, There has been no direction from the U.S. better navigate the Internet. The guidelines accessibility guidelines may be entirely new. Supreme Court regarding web accessibility carry significant weight and are widely It is helpful to read a WCAG blog written to resolve the split in the circuit courts. considered to be the gold standard. In some in layperson’s terms. Take a look at: https:// Last summer, the U.S. Supreme Court instances, the U.S. Department of Justice blog.prototypr.io/the-new-guidelines-in- declined to review the U.S. Ninth Circuit

60 2 ■ 2020 I Reunir a los abogados del mundo Court of Appeals ruling, which held that the it first interpreted the ADA as applying to potential business opportunity, and should Domino’s pizza chain and other retailers public accommodations’ websites more be addressed accordingly. must make online services accessible to than 20 years ago, and its interpretation is people with disabilities. The Ninth Circuit consistent with Title III’s requirement that Tips to Mitigate Risk Court reasoned that the website and “goods, services, privileges or activities” application, which allowed custom pizza be equally accessible to people with Even without clear direction from the courts orders and access to coupons, supported disabilities. or the legislature in the United States, the pizza chain’s carry-out and delivery there is risk of liability for business websites locations and were an extension of the The EU and Web Accessibility and applications that serve as a “public physical locations. Because the Supreme accommodation” with respect to the sale Court chose not to review the Ninth Even with the deficiencies in the U.S., EU of goods or services. Mr. Mooney and Mr. Circuit ruling, it remains in effect. countries have lagged behind the U.S. with Zarrilli emphasize that it is a best practice for respect to web accessibility standards for businesses to address website and application Lack of Congressional governmental websites and applications. accessibility early on and not wait until a client Guidance in the United States EU countries did not pass the EU Web is served with a demand letter or a complaint. Accessibility Directive (“Directive”) until Best practices for website accessibility risk As Title III website cases continue to 2016.5 This 15-page directive requires EU management include the following: proliferate, it is unlikely that Congress member states, as well as those seeking • Discuss website accessibility issues with will provide guidance regarding website to become members, to implement and an experienced attorney and web vendor. accessibility any time soon. According to enforce accessibility guidelines requiring all • Have a web vendor audit the website at the Hunton Andrews Kurth LLP labor blog, public sector websites to be compliant and issue to determine if it is accessible for which provides an excellent summary of the to generally incorporate the WCAG 2.0. All people with disabilities. legislative history surrounding websites and public sector websites are to be accessible Title III, the U.S. House of Representatives by September 23, 2020, and all mobile • If there are deficiencies, a remediation tackled the accessibility issue by amending applications by June 23, 2021. While each plan and budget should be developed. It the ADA Education and Reform Act of member state of the EU is responsible for is a good idea to get several bids from 2017 (HR.620) in February 2018 to include identifying penalties for websites that are reputable vendors. a notice provision. The Act did not directly not in compliance, the Directive goes a long • New businesses should develop websites address website accessibility but amended way to establish uniformity and clarity in the from inception that are accessible for requiring prospective plaintiffs to provide EU as to governmental sites. people with disabilities. written notice of noncompliance to the operator of a public website prior to filing suit. The entity placed on notice would have 60 days to address the claimant’s concerns. Courts in the federal First, Second, and Seventh Circuit Courts of Appeals have The Act was supported by Republicans, who determined that a place of public accommodation does not need to be a physical believed that the ADA was being abused by location. anti-business plaintiff attorneys. Democrats, on the other hand were concerned that the Act would have a detrimental impact on Under the Directive, public sector websites • If remediation costs are cost prohibitive, civil rights. The Act faltered in the Senate include those operated by: (1) state, regional identify the digital pages that are most after Democrats threatened to filibuster. A and local governmental entities, (2) entities important with respect to the sale of filibuster essentially means to obstruct by governed by public law and financed by public products or services and address those speaking an inordinate length of time. contract, and (3) associations formed by such first. Include a dedicated helpline for entities for the purpose of “meeting needs of disabled individuals to call for assistance. Guidance has been provided by the U.S. general interest” that are neither industrial • A website that is compliant now may Department of Justice (“DOJ”), which nor commercial. There are a number of not stay in compliance if new content is is the administrative agency responsible public entities that are excepted from uploaded to the site or if other changes for enforcing the ADA. With respect to compliance with the Directive, including, but are made. Make sure that new digital website accessibility issues, the DOJ has not limited to, public service broadcasters content is accessible. sided with disabled plaintiffs. This support and most public schools. Private entities that service or support governmental sites • Consider adopting and posting a web was reiterated in a DOJ letter dated C September 28, 2018 to The Honorable are also required to be WCAG compliant. accessibility statement. The W3 Ted Budd, a member of the U.S. House Attorneys who represent private companies provides excellent information about of Representatives. Bipartisan members in other countries should be familiar with how to draft a statement at www. of Congress had written to then Attorney applicable disability legislation and advise W3.org/WAI/planning/statements/. General, Jeff Sessions, to clarify website their clients that website accessibility for • Discuss potential insurance coverage with accessibility under Title III. The Office of people with a range of disabilities is an an experienced insurance professional the Assistant Attorney General replied that emerging legal liability issue, as well as a or coverage attorney. In the event of a

Bringing Together the World’s Lawyers I 2 ■ 2020 61 threat of litigation or upon receipt of a Conclusion 1 See generally, Directive (EU) 2016/2102 of the complaint, timely submit the claim to all European Parliament and of the Council of October relevant insurers, including employment 26, 2016 on the accessibility of the websites Because of the continued lack of clarity as to and mobile applications of public sector bodies. practices liability, commercial general website and mobile application accessibility Retrieved from https://eur-lex.europa.eu/legal- liability, technology errors and omissions, and ADA compliance, there are challenges content/en/TXT/?uri=CELEX%3A32016L2102 cyber and media liability, to see if there is for attorneys who counsel their clients 2 ADA National Network, www.adata.org/what- potential coverage. on the subject matter, or when reviewing title-iii. their own law firm websites. Businesses • Make sure that contracts with web 3 WorldWide Web Consoritum, Web Content should engage in proactive risk management designers and other vendors include Accessibility Guidelines (WCAG) Overview, to identify whether there are accessibility language that websites and applications https://www.section508.gov/manage/laws-and- issues; and if so, implement a reasonable policies are designed to meet all state and remediation plan. Risk may be further federal requirements, including ADA 4 Directive (EU) 2016/2102 of the European mitigated through appropriate insurance Parliament and The Council of Oct. 26, 2016, accessibility. Better yet, require the and contracts with technology vendors. In vendor’s contractual promise to pay to https://eur-lex.europa.eu/legal-content/en/ the long term, it is a good business decision TXT/?uri=CELEX%3A32016L2102 be backed by suitable insurance. Require for you and your clients to make websites a “certificate of insurance” as proof of accessible to as many people as possible. 5 Directive (EU) 2016/2102 of the European the insurance coverage and adequacy Parliament and The Council of 26 Oct. 2016, https://eur-lex.europa.eu/legal-content/en/ of limits. It may even be possible to Michelle WORRALL TILTON6 TXT/?uri=CELEX%3A32016L2102. be added to the vendor’s policy as an Principal 6 Michelle Worrall Tilton represents clients in the additional insured. These are important Media Risk Consultants LLC areas of media and cyber liability. She is chair of issues to be discussed with an insurance Shawnee Mission, Kansas, United States the ABA Tort Trial and Insurance Practice Section’s professional or coverage attorney. [email protected] Cybersecurity and Data Privacy Committee

62 2 ■ 2020 I Rassembler les avocats du monde The “Cat-and-Mouse Game” with Tax Avoidance

I Constantin NEACSU

La fraude fiscale est un phénomène omni- présent, commun à différents pays en termes de développement économique ou social. Bien que certains pays soient plus vulnérables que d'autres et souffrent davantage des effets dévastateurs de la fraude et de la criminalité en col blanc, aucun pays au monde n'est actuellement à l'abri de l'influence destructrice de ces formes de criminalité. En Roumanie, la formulation et l'application des règles fiscales sont difficiles car la politique bud- gétaire doit concilier les préoccupations concurrentes d'attirer les investissements et les revenus tout en persuadant des multinationales de ne pas délocaliser vers d'autres pays dont la fiscalité est plus favorables aux entreprises.

Financial and banking crime is in correlation and interdependence with a series of destructive mechanisms and political, Most multinationals are involved in a cat-and-mouse game with origine state tax moral, normative, and cultural deregulation, authorities, and use some very creative strategies to minimise income tax payments. which are manifested at national level. The facilities provided by the political, social, and economic structures of a country, coupled Financial activities create an infrastructure Most multinationals are involved in a cat- with the insufficiency and sometimes that can be used by legitimate companies as and-mouse game with origine state tax inefficiency of legitimate control, favor well as criminals to hide illicit funds. Most authorities, and use some very creative profit-oriented criminality that tends to, tax havens follow a policy of encouraging strategies to minimise income tax payments. and in some places, succeeds in, gaining a non-residents’ banking activity by introducing Much discussed is the criminal potential of global and organized character. This leads a distinction between the banking activity of the offshore world. Although the general to aggrieving the economy as a whole, the country’s residents and those of foreign impression is that tax havens primarily structuring and multiplying continuously, citizens. In general, the activity of foreign deal with money laundering of any origin, materializing in a great diversity and entities is not subject to requirements the reality is that even in some traditional complexity in terms of the number of participants, the methods used, the damage regarding the reserve of funds, nor on offshore centers (Luxembourg or caused, and the importance of the economic contracts for foreign exchange, or other Switzerland, for example), the regulations agents and institutions concerned. controls. Compared to foreign trade, bank are even more stringent than in developed deposits abroad in the jurisdictions of tax countries. In this respect, it should be Representing a complex social problem havens are considerably higher than foreign noted that the majority of governments whose manifestation, social consequences, bank accounts in banks that are not located in offshore states carefully supervise the and remedies are of interest to both the in tax havens. The largest banks in the world activity of licensed banks in the territory public and the institutionalized level of social (UBS, HSBC Holdings, Bank of America, and ensure appropriate regulation of new control, financial banking crime is conceived Morgan Stanley, China Merchants Bank or financial institutions. by most social segments as a particularly Deutsche Bank) often have subsidiaries in serious and dangerous phenomenon, tax havens. They set up these headquarters However, the increase in interest in offshore capable of undermining the structures of to participate in the increasingly aggressive companies was directly proportional to the power, the hope of moving towards a and refined market of financial instruments, acceleration of the economic crime rate. solid legal system, and ability to eliminate accepting deposits from foreign nationals, and One circumstance of excessive regulation economic and social injustices. borrowing money to non-resident clients. that has political tones is where a nation

Reunir a los abogados del mundo I 2 ■ 2020 63 collecting fees from registering companies, or for regulating local financial services, and income tax on anyone working in that industry. All this is possible because secrecy jurisdictions create the structures that the financial services industry sells access to. Typical among these are tax haven companies.

The Companies

The tax haven companies are almost invariably owned by trusts, which are also registered ‘offshore’ and are run by the local imposes financial commitments of capital activity might be tax evasion itself, but financial services industry. The trusts are to the sole benefit of the country’s budget. it might also be money-laundering or completely anonymous. There is no record As an example, foreign capital in Romania crimes generating cash that needs to be of them on any public register and local tax achieves the highest outcomes with minimal laundered. authorities know nothing about them. spending from its angle of interest: (1) uses • Third, they are used by those who want too little capital; (2) make their profits their activities to be anonymous, even if An offshore company owned by an offshore by exploiting small wages in Romania and trust presents an almost impenetrable legal. Some people wish to hide wealth by accessing resources and assets at low barrier to inquiry: not least to law from their spouses, for example. costs; and (3) increases its financial results enforcement agencies and tax authorities. by masking the real profitability achieved, • Fourth, they are used by those seeking Tax havens may call themselves ‘offshore especially by outsourcing the profits (even somewhere cheaper to do business, to finance centers’ or ‘international finance 80-90%) before taxing. avoid the costly obligation to comply with centers,’ but that is misleading. Secrecy is regulations. what they are selling. The example of Romania is not singular. The European Commission itself, in a press release to the European Parliament (COM Secrecy jurisdictions raise revenue by collecting fees from registering companies, / 2012/0351), states that tens of billions of euros, often undeclared and unimpaired, or for regulating local financial services, and income tax on anyone working are still in offshore jurisdictions, reducing in that industry. national tax revenues. In order to increase cooperation, measures have been taken to strengthen existing instruments to avoid the Secrecy The Spurious Argument generalized practice of offshore structures, The need for anonymity is common to Secrecy jurisdictions argue that because the intensify the exchange of information, all these activities, which take place in transactions take place ‘elsewhere,’ they are combat tax evasion and tax fraud patterns, what one might call the ‘secrecy world.’ not taxable within the secrecy jurisdiction. and strengthen fiscal governance. Governments that choose to create laws Such places choose not to tax transactions allowing it to exist must have status as happening outside their domain. They then It is thought that the total sum hidden international jurisdictions (though not insist that declaring these transactions is away in low-tax, low-regulation jurisdictions necessarily as countries, as the British the responsibility of their clients. That around the world could be $21tn—as much Crown Dependencies demonstrate). Since way, the secrecy providers are able to as the total annual economic output of no jurisdiction willingly undermines its own argue that they are fully tax compliant. But the United States and Japan combined.1 laws, the secrecy so created can be used transactions undertaken ‘elsewhere’ will There are four primary uses for ‘tax haven’ only by people residing outside its own also escape regulation in the jurisdiction locations: domain. where the activity is actually taking place. • First, they are used by those wishing to That of course is the intention. The truth avoid or evade their obligation to pay tax. The regulations created by these ‘secrecy is that multinational corporations do not Common tax avoidance strategies include jurisdictions’ are designed to undermine really have what most think to be real assigning intellectual property rights to the legislation or regulations of another offshore operations. They simply record foreign subsidiaries, and then paying the jurisdiction. To facilitate matters, a legally some transactions in the secrecy space subsidiaries to use a brand, trademark, backed veil of secrecy ensures that those provided by tax havens. patent, or license. making use of them cannot be identified as • Second, they are used to hide criminal doing so. The emergence of the so-called “Paradise activities from view. That criminal Secrecy jurisdictions raise revenue by Papers” has highlighted once again the

64 2 ■ 2020 I Bringing Together the World’s Lawyers conundrum faced by any world’s Parliament First, if the offshore tax structures exposed financial penalties despite falling short ofa in legislating in response to the lawful by the Paradise Papers were to be classed criminal offense. avoidance of tax in offshore tax structures. as “avoidance” rather than “evasion” (which The Paradise Papers are only slightly smaller certainly seems to be the case) then the in scale to that of the Mossack Fonseca first test of the new offense would not be “Panama Papers” in early 2016.2 satisfied. If there was evidence of criminal evasion, then the second question would be The outrage precipitated by this latest whether the evasion was criminally facilitated disclosure, which implicates Apple, by a person acting on behalf of the corporate Facebook, and Bono, as well as a myriad entity. This would require evidence of that of other well-known companies and person being knowingly concerned in the individuals, is largely the result of distrust aiding, abetting, counseling, or procuring of offshore tax havens. As many have of the tax evasion, as well as evidence of struggled with austerity since the global that person acting for or on behalf of the financial crisis, the use of lucrative and company and not on a frolic of their own. opaque structures by the ultra-wealthy is not a welcome concept to the ordinary person on the street. The value of those who advise in relation to “tax-efficient investment structures” is However, it is important to evaluate their expertise in navigating the grey area in the financial benefit of their clients. what exactly is the primary focus of the outcry. At the moment, it is apparent that most of the structures identified in the However, widening the scope of strict Paradise Papers are those which enable the Conclusion liability offenses relating to individuals would legitimate avoidance of tax. This is to be be a bold legislative move given the inherent contrasted with the unlawful evasion of tax. Sweeping changes in global tax law and more complexities of tax law. It would risk aggressive government enforcement has made The difference between the two concepts criminalizing negligent or reckless offending it more difficult than ever for the wealthy continues to be a source of confusion, even by those who do not have the benefit of to stash their assets and income out of for those well-versed in the complexities of sophisticated wealth managers or advisors. It sight. Longtime tax resorts like Switzerland, tax law. Essentially, the difference is one of is a natural reaction to perceived unfairness Liechtenstein, and the Bahamas that used legality; tax evasion exists where there is a or inequality to look to the criminal law to pride themselves on their secrecy are deliberate manipulation of the tax regime in for remedy, but great care should be taken increasingly having to cooperate with other order to gain an advantage which was never not to assume that further reactionary governments searching for tax fraud.3 intended by government. The value of those offenses on the statute books will address who advise in relation to “tax-efficient the underlying problem. In fact, remedy The OECD is in the process of coming investment structures” is their expertise is more likely to be found in reducing up with rules designed to tackle ‘‘base in navigating the grey area in the financial or eliminating the secrecy associated with erosion and profit shifting,” which involves benefit of their clients. offshore structures. Transparency in these companies using mismatches in tax rules to regimes would, given the uproar caused make profits ‘‘disappear” legally. However, The reaction of the European Commission by the Paradise Papers, act as a direct these efforts may take many years to come to the Panama Papers scandal was, in part, deterrent to their use by any individual or to fruition. In the meantime, the cat-and- to fast-track legislation designed to hold company with a reputation to uphold. mouse game between multinationals and tax corporate bodies criminally liable for the authorities continues. facilitation of tax evasion by an associated The combination of these enhanced powers person acting for or on its behalf. Simply put, and information sharing may in the long Constantin NEACSU4 a corporate body is now criminally liable if term result in a greater interrogation Attornet-at-Law it fails to prevent such facilitation without of high net worth individuals and their Bucharest, Romania having reasonable prevention procedures in financial affairs. In the short-term, those [email protected] place. The legislation is not retrospective, individuals should expect greater reticence so cannot be used as the basis for any or introspection by those professionally 1. https://www.bbc.com/news/business-33628020. prosecutions which may be appropriate engaged to advise them on their tax affairs. 2. https://www.corkerbinning.com/paradise-lost-the- arising from the latest disclosure. In any Given the apparent susceptibility of offshore beginning-of-the-end-for-offshore-tax-havens/ event, on the basis of the information firms to data leaks or hacking, tax advisers ?utm_source=Mondaq&utm_medium=syndication disclosed so far in the Paradise Papers, it will need to be more confident than ever &utm_campaign=View-Original does not appear as though any Directives before that their advice will not expose 3. https://www.wsj.com/articles/SB100014240531 and Regulations could have made it easier their clients to investigation, either for 11903285704576560833256432222. to prosecute wrongdoers even if it had criminal tax evasion or for “aggressive” tax 4. Doctor of Juridical Science at Romanian State been applicable. Why is that? avoidance, which is capable of incurring Academy.

Rassembler les avocats du monde I 2 ■ 2020 65 Digital Natives and Analogue Adults: The Same Naive Approach to Technological Evolution and Data Protection

I Guido LACHI

Introduction: Technological provider, issued a press release on July 23, progress, and decide not to implement Progress and Related Issues 2019, reporteding a 60% rise in consumers protection and defence mechanisms. The hit by “password-stealers” malware, from process of practical adaptation of Italian Nowadays, the debate on technological less than 600,000 people in the first half companies to the GDPR – despite the full development is rapidly becoming one of the of 2018 to over 940,000 during the same legal validity of Legislative Decree 101/2018 focal points of greatest interest, increasingly period in 2019. Also, ransomware attacks – appears to be fractional and cumbersome, at the centre of our attention. We often hear have become much more common. especially in the case of small and medium about “Big Data,” the Internet of Things, sized enterprises (SMEs). Blockchain, and 5-G coverage, to name a In conclusion, it is important that few. But new terms and phenomenon are technological lights are not overcome by Deficient behavior generally concerns: (1) becoming part of the vocabulary, such as their shadows. A filter for new processes is the failure to publish the contact data of the ransomware, hack attacks, and violation of needed in order to adapt digital evolution company’s data protection officer (DPO), computer systems. over “our” mandatory paradigms, be they assuming the company even has one, (2) ethical or professional. privacy policies that are difficult to read, Technology evolves quickly. The potential positive effect for consumers is considerable, thanks to the information daily released Except for some virtuous exceptions, the protection of one’s personal data is not by the same users on different networks and platforms. The aggregation of gigantic particularly effective, and may even be lacking. amounts of data and the use of specialized tools make it possible to deeply analyse online consumer habits, with significant Focus on Italy: Awareness of due to excessive length or exaggerated market consequences. For example, the Rights and Obligations technicalities, and (3) broad requests so-called “addressable TV” is a digital for consent without information on the advertisement development by which ad The analysis of the Italian context focuses purposes and methods of the concerned personam spots are allowed, realized on on corporate compliance in respect to processing. Sometimes, the corporate the basis of the geographical location of the regulatory changes, with specific reference attitude may even be inclined to risk a viewer and characteristics such as age, sex, to small and medium enterprises (“SMEs”), possible sanction imposed by the Data and employment. and based on the information made public, Protection Authority rather than orient as well as on user behaviour with respect to itself to bear the costs of a technical and Nevertheless, technological progress technological means and IT transformations. legal consultancy. engenders complexities and grey areas, The attitude of Italian companies towards from the increase in hack attacks and innovation is often contradictory. The approach of single Italian users (being computer systems violations to possible the average age of the Italian population nonconformities by operators while treating Despite a widespread but nonspecific on January 1, 2019 of 45.4 years)2 to the and processing the interested parties’ data, appreciation towards technological novelty technological universe shows certain digital up to the actual dispersion of information. (considered as essential), data shows a large ignorance and less than full awareness of gap between large and small businesses on personal rights. Except for some virtuous In this regard, the Cambridge Analytica case “digital intensity indicator,” with “high” or exceptions, the protection of one’s is of interest. Cambridge Analytica was a “very high” levels being present in 44.0% personal data is not particularly effective, company dealing with consumer research of companies with at least 250 employees and may even be lacking.3 The impression and targeted advertising. It was accused of and only in 12.0% of companies with 10 to is that, despite the efforts of the European having stolen and used without consent the 49 employees, as per the Istituto Nazionale legislator, the hoped-for “Copernican personal data of many Facebook accounts di Statistica (ISTAT), National Institute of revolution” of the GDPR is still a distant to create customized political spots. While Statistics press release dated January 18, horizon for Italian users. This is also caused the case was sensational, it is not an isolated 2019. by a systematic lack of attention towards example.1 Other than that, the risk for one’s own intimacy and the protection of online users of being infected with different Moreover, numerous entrepreneurial personal data, often not in line with the kinds of malware has been increasing rapidly. companies seem not to understand the defence of other values which are instead Kaspersky, a cybersecurity and anti-virus significance of the risks connected to IT considered as primary.

66 2 ■ 2020 I Reunir a los abogados del mundo As a final remark, note that to date, the context in which the standards are being professional operators specializing in the implemented. This is, however, up to debate. personal data market gain enormous advantages, to the detriment of the users’ The “Business-Oriented” often-sacrificed awareness of the value of Turning Point their information. To partially “correct” this remarkable imbalance, two different At one point, some specialist operators solutions will be analysed: the “business- have decided to offer commercial proposals oriented” turning point and the educational to the recipients of the technology in proposal. order to strengthen the relationship between professionals and online users. to our privacy, and in general, the hastiness Data Breach and Privacy For example, certain Apps (i.e., Wibson, of our technological actions. Sanctions: A Comparative Citizen.Me, People.io.) have allowed users Analysis to transfer their personal data in favour of From where does the seemingly carelessness a fee; another example is the compensation with which we use online services, and from DLA Piper’s report of February 2019 shows offered by Google in exchange for facial which we expect nothing but immediacy, that personal data breaches reported to photographs. Such an approach, although it originate? What are the reasons for this data regulators amounted to more than may trigger the curiosity of the interested indifference to the culture of our rights 59,000 cases, with the Netherlands leading users, does not yet appear to be systematic. (and why not duties) on the internet? It with more than 15,400 notifications (89.8 These are isolated proposals that are solely is simply a question of digital education. data violations per 100,000 people). In Italy, aimed at the acquisition of personal data, Gloria Gonzàlez Fuster and Dariusz Kloza, only 610 violations were reported (0.9 data not inclined towards the development of authors of European Handbook for Teaching violations per 100,000 people). It seems true digital culture and lacking a necessary Privacy and Data Protection at Schools,5 set a incredible that such a small number of informative background. goal of raising the awareness of educational reports depends on the fact that, in reality, a limited amount of violations truly happened. It is more likely to assess that violations Lastly, it is to be noted that certain examples would require a deeper study might not have been reported, thus perhaps depending on a misleading practice, not because of their complexity. fully oriented towards transparency and accountability. The real risk is in proposing a model that institutions on the subject, believing that More recent numbers, based on the is pragmatic, but contrary to the “spirit” of today’s digital natives lack the correct know- sanctions issued during 2019 by European the GDPR.4 The economic advantage of an how to immerse – and coexist – correctly data protection authorities, show that the unaware commodification of one’s personal with the digital world. The “protected Italian “Garante per la Protezione dei Dati data could cause one to forget the digital categories” cannot, however, be exhausted Personali” was the most active authority in individual rights, originally conceived in the to the digital natives (who, despite any the EU, having imposed 30 sanctions. It is Charter of Fundamental Rights of the Union cognitive/implementation deficits, are users curious to note that the authority of the European and subsequently merged into completely at ease in the virtual world). Netherlands has only issued three sanctions. Regulation 2016/679. If the economic motive Even within the EU, national cultures on is the only one that is today easily understood There are also other subjects who, although data protection can be quite different from and accepted, then would it not be more legally independent, are particularly unaware each other, thus reflecting over consumers’ correct to reward (with incentives, or quality of the dynamics and problems connected to behaviours, companies’ habits, and data certificates) companies and applications that technology and personal data. These subjects protection authorities’ actions. effectively protect our privacy? recognize the need for greater understanding, directly requested from professional Lastly, it is to be noted that certain examples operators and public bodies, which should, would require a deeper study because of The Educational Proposal therefore, offer to the general public more their complexity. In the case of Ireland and information on the advantages and challenges Luxembourg, authorities have imposed no The current asymmetry between supplier of new technologies. Consequently, the sanctions over companies or their company and consumer could be reduced due to goals of awareness-raising and digital literacy branches incorporated on their national soils. a systematic approach, and be useful in should not remain an exclusive prerogative The question is whether such enterprises developing an equal relationship, based for a restricted audience of young users are really applying their best practices in on users’ awareness of both their rights but establish themselves as a bulwark for all observing the privacy requirements set by the and technological evolution. To suggest an those in need of protection. law, or a slightly different evaluation method effective action, neither extemporaneous is being used, thus showing that there could nor merely opportunistic, it is necessary to At the same time, companies should change be various levels of tolerance according to analyse the reasons for the scarce attention their current approach, i.e. the need to

Bringing Together the World’s Lawyers I 2 ■ 2020 67 invest in consultancy and training in the privacy field not only if there is a concrete risk of a dispute (or has already been), but in favour of ethical and professional practices able to revitalize and enhance the corporate image on the market. A synergistic approach must be set up between businesses and consumers to promote a circle based on legitimate claims of users who are aware of their rights and on the functioning of the digital market. In this sense, only a really competent offer can satisfy an increasingly careful and punctual demand.

To protect consumers from a market To gain an economic and image advantage, 1. See the sanction imposed by the Federal Trade perspective, digital education and Italian companies (specifically SMEs) could be Commission and the New York State Attorney on information can play a decisive role, Google for violating the Children’s Online Privacy the bearers of an alternative model to those Protection Act (COPPA), prohibiting tracking and involving the revision of business models adopted by market giants, currently inclined commercial targeting for children under 13; in the light of the privacy discipline, as well to vast standard processing in order to see also Marriot case, British Airways case and as to create ethical models and transparent monetize users’ personal data. SMEs could, recently the Capital One cyber incident, where business practices. In this way, it would the U.S. Bank has been under hacker attack over therefore, become effective promoters of be the same companies that could obtain about 100 millions of requests for credit cards in considerable market advantages, in terms “privacy by design” – enhancing the attention U.S.A. and Canada. of image and relationships with actual and to details and developing customers’ digital 2. See http://dati.istat.it/. potential customers. rights, with full dedication and care to their 3. According to research conducted by YouGov specific needs. This, also thanks to the for VMware (survey that involved 1,030 adults In this sense, the correct market interaction between operators and users should be mediated by the professional contribution of a class of “knowledge bearers,” indirect There are also other subjects who, although legally independent, are particularly guarantor of the effective (therefore, unaware of the dynamics and problems connected to technology and personal data. efficient) application of the protections provided for by the EU legislation. A qualified workforce capable of conveying contribution of specialized professionals, interviewed from 3 to 8 May 2019), 62% of Italian a strong educational proposal might be, awareness of business processes enables consumers admit that they do not know who can therefore, able to enhance the digital market, assessment of risks and identification of actually access their personal data when using new expanding the trust of new educated users services. In addition, 39% of respondents admit to advantages in relation to customers, having little knowledge of new technologies. towards the awareness of the personal data employees, and suppliers. protection system. 4. As pointed out in Reg. EU n.679/2016, Whereas (4): “The processing of personal data should be In this sense, the concept of privacy by design designed to serve mankind.” Conclusion could find effective application, escaping 5. Gloria Gonzàlez Fuster & Dariusz Kloza (2016), from the standard schemes and automatic European Handbook for Teaching Privacy and Data What’s next? Currently, individual digital procedures of the “large-scale distribution.” Protection at Schools, 3 rd edition, EAP. users do not seem to have fully understood The prospect of data monetization could 6. The Ferrero company has for example the value and meaning of their personal even be analysed under a different light, obtained the “Privacy OK” quality mark, an data and the related processing. This does supported by educated and aware users evaluation benchmark that expresses compliance not mean that the commodification of and assumed that companies guarantee with a specific code of conduct (in this case: information – in the absence, however, consumers an ethical and transparent Federprivacy) and with the general principles of the relevant legislation. of adequate awareness – is the only service. Only such a fullness disclosure, conceivable solution. On the contrary, which at present seems to be missing, could increased education and awareness could constitute the foundation over the choice help in fueling confidence towards the for the economic transfer of user data. technological system, developing the adoption of technology and its market. Guido LACHI Professional operators could, alongside, opt Lawyer for specialization in the market, tending Studio Legale Mastellone towards the protection of users and the Florence, Italy quality of the processing of personal data.6 [email protected]

68 2 ■ 2020 I Rassembler les avocats du monde Health Science, Virtual and Augmented Reality, and Legal Frameworks: What is the Future? Part II1

I Barbara J. GISLASON

In Part I of this article that was published in for a preliminary injunction where the speech,” the court in Candy Lab ultimately the 2019.4 issue of the Juriste International, court not only considered the standard determined that the ordinance “dooms the background of virtual reality (VR) and requirements for a preliminary injunction in itself” by failing to narrowly draw augmented reality (AR) was discussed. In federal court – irreparable harm, inadequate reasonable and definite standards. The Part II, the focus is on the current state legal remedies, and likelihood of success court also complained how the application of the law, and what an evolving legal on the merits – but also delved into process under the ordinance had the effect framework will need to address. Lawyers whether the ordinance violated the First of treating AR applications in a separate may be surprised to learn that how we Amendment. The court was aware of the category from other games. think about intellectual property, crimes, dearth of law on point when it stated, torts, and contracts in the real world (RW) “These are multifaceted issues where little Next, we will review selected IP issues in may be different in a VR environment. The definitive guidance exists.” more detail. rule of law may apply differently in real and virtual realities. Before rendering its decision, the court Copyright turned to a precedent in the U.S. Supreme The Law – At First Court decision Brown v. Entm’t Merchs. When holding a copyright, the owner has Ass’n,3 wherein the Court determined that legal right, including, but not limited to, the Technology advances often come with video games were a form of expression exclusive right to print, publish, perform, unintended consequences. Pokémon Go, a entitled to First Amendment free speech film or record literacy, artistic, and visual game app created by Nintendo that became protection. The Court also said, “whatever material derived from the original work. popular in 2016, represented many game the challenges of applying the Constitution The two primary international copyright users’ first AR experience. Gamers who were to ever-advancing technology, ‘the basic agreements are the Berne Convention searching for Pokémon could be careless of principles of freedom of speech and the and the Universal Copyright Convention. their own safety or oblivious to trespassing, press, like the First Amendment’s command, The original copyright holder has the right as well as other problems they caused. do not vary’ when a new and different to create a derivative work, unless the medium for communication appears.” derivative work is transformational enough How augmented environments continued The Court reasoned that as the Brown to qualify for an independent copyright. to collide with RW reality is exemplified in precedent eschewed aesthetic judgments, The transformational standard, difficult to the U.S. common law decision Candy Lab Inc. “Texas Rope ‘Em Up” met the “minimum apply in the RW, is even more difficult to v. Milwaukee County.2 As there is a dearth of quantum of expression” necessary for First apply in the context of our new realities statutes or common law pertaining to VR Amendment protection. Even otherwise (NR). or AR technology anywhere, this case will be discussed in some detail.

Candy Lab created its own software to The original copyright holder has the right to create a derivative work, unless the be used on the owner’s own hardware derivative work is transformational enough to qualify for an independent copyright. platform where users could interact with digital content in a game called “Texas Rope ‘Em Up” by utilizing the device’s protected express content can be regulated When looking at a copyrighted work, if geolocation. A popular place for this AR constitutionally if (1) within the constitutional a device causes the user to experience game to be played was in Wisconsin’s power of the government; (2) furthers new images or sounds that overlap with Milwaukee County parks. important or substantial governmental the copyrighted work, is there copyright interest; (3) government interest unrelated infringement? Does the new work on the With security, garbage collection, and to the suppression of free expression; and screen device constitute a work subject to medical services expenses rising at the park, (4) the incidental restriction is no greater copyright protection? These types of issues the local government passed an ordinance than is essential to the furtherance of that will busy copyright lawyers. requiring Candy Lab park users to obtain interest.4 permits. The developer claimed that this Users should be careful not to run afoul of violated the company’s First Amendment Foreseeing that censorship would give copyright laws when creating an avatar with constitutional right to free speech. The government officials “unbridled discretion” characteristic traits of a copyrighted work. Candy Lab developer prevailed on a motion and the ability to “suppress disfavored It remains to be seen what the fair use

Reunir a los abogados del mundo I 2 ■ 2020 69 doctrine limitations will be. Similarly, liability claim, too, when the app replicates, distorts, specific analysis, patient-specific diagnosis, or may be an issue under licensure agreements or replaces the trademark? These are all treatment recommendation. The subject of if the court determines an impermissible expected legal claims. what constitutes an FDA regulated medical liability shifting provision in a contract is device will predictably arise regarding mobile involved. VR and AR operators should be Another typical trademark violation apps pertinent to Covid-19. aware of evolving direct or contributory involves dilution. Trademark dilution laws infringement standards. are typically limited to commercial uses Right of Publicity involving famous marks. It is not yet known DMCA how dilution claims will be addressed in In the U.S., an individual’s right to profit virtual spaces. First Amendment defenses, from the personal use of that individual’s Typical IP claims arise under the auspices at least in the U.S., will predictably be name, likeness, or persona is protected of the World Intellectual Property asserted. by the right of publicity under individual Organization (WIPO) treaties. In the U.S., state, rather than federal, law, and can vary there are also protections for software An important early decision involving IP from state to state. This extends to when developers under the Digital Millennium infringement, that lays out the quagmire someone assumes another’s name, likeness, Copyright Act (DMCA), which constitutes of legal issues that pertain to VR litigation or voice, effectively another’s persona, even an amendment to Title 17 of the U.S. in the U.S., is Zenimax v. Oculus.6 The as an avatar. When a claim is made against a Code, where it is a crime to circumvent jury determined that the defendants had VR company, the business may posit a First anti-piracy measures in software. Immunity engaged in trademark infringement but did Amendment defense. for operators and intermediaries under not award any damages for this claim. the DMCA is expected to have limits, Communications Decency Act particularly if a notice and takedown request Software as Medical Device is ignored following a claim of infringement, Under 47 U.S.C. § 230, commonly referred to or if there are repeat infringements. One important legal question in the U.S., as the Communications Decency Act of 1996 when it comes to VR and AR applications, (CDA), providers and users of interactive Even so, the DMCA shields virtual platform is whether the underlying software is computer services are not treated as the creators and owners from liability for Software as a Medical Device (SaMD) publisher or speaker of information provided publishing information sourced by another subject to regulation by the U.S. Food & by another information content provider. content provider that might otherwise Drug Administration. SaMD could include This means online platforms are treated result in an invasion of privacy, defamation, software run on a hardware medical device like newspaper editors and have unique or intentional infliction of emotional for which it was not designed. protection under the U.S. Constitution’s distress claim.5 In contrast, the European Union’s General Data Protection Regulation (GDPR) has high standards that require platform holders to design and implement Trademark dilution laws are typically limited to commercial uses involving famous privacy practices. marks. Trademark It is possible for a software application to First Amendment. When countries and Trademarks are works, names, symbols, meet the definition of a medical device if businesses outside of the U.S. have online or designs, or a combination thereof, that classified as a Mobile Medical App (MMA). services originate from the U.S., the CDA is identify the source of the good. Trademark This can occur when a mobile app is expected to apply. It is yet to be seen how applications and registrations are typically used to “transform the mobile platform this law will impact VR and AR. subject to the Madrid Agreement or the into a regulated medical device by using Madrid Protocol treaties. While there are attachments, display screens, or sensors or Tort Claim international trademark rights under these by including functionalities similar to those treaties, each signatory country may only of currently regulated medical devices.”7 recognize and protect trademark rights A tort is typically a cause of action that according to its own jurisprudence. Another example of an MMA is when arises from a duty, breach of duty, causation the mobile apps are effectively a medical of an injury, and an injury. Tort claims may Is there trademark infringement, meeting the device extension because the app connects arise from negligent or intentional acts by “in commerce” requirement, when an app to medical devices for the purposes of an individual or business. Epileptic VR users enables a user looking at a trademark to gain (1) controlling the devices, (2) for use in might be virtually assaulted or harmed by information about competing trademarks active patient monitoring, or (3) for use in strobe lighting and loud noises. These risks when utilizing an AR platform? If a doctor analyzing medical device data. It can also could be mitigated, and potential liability prescribes a name-brand prescription for a occur when mobile apps become a regulated limited, by precautionary action in software patient, is it legal for competing drugs to be medical device, such as an SaMD. This design, including the presence of safety promoted in AR? Is there an infringement occurs when a SAMD performs a patient- conscious default settings.

70 2 ■ 2020 I Bringing Together the World’s Lawyers When one avatar gropes another, and causes a design defect, a manufacturing defect, made a claim of virtual groping, a grope that a traumatic reaction by the user, is there a or a failure to warn or label. The Council felt like sexual battery. It was not technically civil cause of action? Do VR companies have of the European Union’s Product Liability one based upon the peculiarity of the law a duty to keep the bad actor out of the VR Directive of 1985 established a regimen of of physical assault being tied to a battery, world? While the groping of an avatar may strict liability for defective products, and where there is fear of an actual “physical be virtual, what about a claim for intentional this Directive has influenced the passage of assault.” Jordan claimed she was virtually infliction of emotional distress to the RW strict liability laws in Asia. sexually assaulted by one of the participants person behind the avatar? Is this possible in a multi-user game called QuiVr. When when the platform has worldwide access Not only is there liability potential for haptic she realized BigBro442’s avatar was rubbing and bad actors can quickly cloak themselves technology, but also, for its cousin, algic her avatar’s virtual crotch and groin, she with new identities? These are all subjects technology. There, some seek a negative felt violated. for developers, businesses, and the courts experience, such as an electric shock or to wrestle with. bitter taste, in context specific situations. Regarding crime on the virtual street, the ability to get law enforcement involved Research has shown that a subject slapped From a product liability standpoint, default requires overcoming what is called the in VR responds with skin conductance and settings may affect liability. Safe default “Bangladesh problem,” a location chosen heart rate level changes. VR liability may settings are particularly warranted for loud for illustrative purposes given this country’s increase with haptic technology, whereby sounds, strobe lights, nudity, and private perceived remoteness. If the crime happens a user wearing a body suit has a greater spaces. Another approach to this same outside of the local area, the police may immersive experience and the avatar’s concern is for the user to give valid consent. experience jurisdictional headaches. If sense of touch is directly felt by the user. But if a user gives permission for a painful the perpetrator is far away, perhaps in algic experience and determines how strong Bangladesh, the problem is compounded by In the U.S., a user could bring a personal or frequent electric shocks would be, will whether the alleged crime would be a crime injury claim against a VR company if an that consent be valid if the user dies? in Bangladesh and the U.S., and if so, whether injury occurs during or following the use Pursuant to the U.S. Restatement (Third) of the crime is serious enough to warrant of a VR product. There might be a failure to warn claim, for example, if off the shelf Torts, a treatise, there may be liability for extradition and the associated costs. software fails to caution the user that vital signs should be monitored when undergoing PTSD treatment. Safe default settings are particularly warranted for loud sounds, strobe lights, In a hospital context, a virtual intrusion nudity, and private spaces. could occur on a computer system, where a perpetrator could make their avatar invisible by stalking a surgeon and utilizing physical and emotional harm when there On the horizon, VR operators may be this information to harm a target. From is a duty to exercise reasonable care. The expected to have utilized sophisticated the standpoint of hospital management, the developer may have a duty to implement biometric identification methods and chair and board have a fiduciary duty of care, low-cost effective measures to enable a VR police who, at the very least, could including ethics compliance. The business user to be protected from harm, such efficiently eject or suspend a perpetrator may need to utilize new tools to monitor as electrocution, without excluding other from the VR environment. and protect AR and VR platforms. Businesses users or invading their privacy. may also have a duty to self-report under Right of Privacy applicable laws, rules, and regulations. Defamation In the U.S., tort claims based on privacy are Will plaintiffs be able to make legal theory Defamation is another tort claim that may arise generally a function of state common law claims when a business knowingly causes the differently in VR. Is there a claim when a user’s or statute, or a combination of those. Of compulsive use of technology where injuries, avatar has been defamed? A user may not only more relevance for this discussion are state perhaps a loss of job or failure of self-care, strongly identify with the user’s own avatar, and federal statutory rights that implicate result? Already, the widow of a RW slot but also spend time and money to develop it. personal data. Claims for privacy violations machine user who committed suicide was Once that avatar has been defamed, it could may not survive when users are aware unsuccessful against MTR Gaming Group on affect, in effect, the defamed avatar’s access to that VR and AR providers readily use the tort theories of strict product liability, social groups and thereby change the avatar their data. Medical providers in the U.S. negligent design, and failure to warn. owner’s business opportunities. should develop a protocol on how to expand patient privacy under the Health There is also the specter of a products Crime Insurance Portability and Accountability liability claim. These claims typically arise Act of 1996 (HIPAA), which applies to when a manufacturer distributes or sells According to multiple national news medical providers, but not others who gain a product available to the public that has sources, Jordan Belamire (pseudonym) possession of patient data. In Europe, this

Rassembler les avocats du monde I 2 ■ 2020 71 type of data is subject to the General Data South Korea, Vietnam, and Thailand have obsolete. Is the nutrient quality of your Protection Regulation (GDPR). In Canada, made mandated anti-addiction designs and food substandard, your air quality poor, patient records and sensitive information are zealous about protecting minors. China and your life expectancy dwindling? Well, are subject to the Personal Information requires its developers to utilize “fatigue you get the point. In addition to addictive Protection and Electronic Documents Act mechanics,” which means games become pharmaceutical products and street drugs, (PIPEDA). In Mexico, patients are protected less entertaining for identified problem users. VR may cause the user to lose interest in by the Federal Law on the Protection of self-care and quality of life, and the health Personal Data. Strategies for regulation include labeling of their body while their brain is, effectively, requirements, such as “use of this product elsewhere. Contract Law may promote the development of a VR disorder that may have harmful medical Our sense of self is linked to our environment, The owners of platforms, including Amazon, effects.” Regulations may require device even as our sense of environment shifts from Facebook, and Yelp, have crafted end-user feedback for users to let them know how an external reality to new forms of reality. license agreements and terms of service. often they are using the technology. If our loss of focus causes ecosystems to These agreements are designed to give the diminish and collectively, our disorientation platform holders the right to regulate user Software developers could be required and obsessive behaviors increase, who will behaviors on their spaces as they see fit. to design anti-addiction functionality. This serve as the gatekeepers of the external Within the confines of their platforms, they could mean utilizing a warning if the user world? Lawyers, as natural leaders, must be determine what speech is permitted and exceeds self-imposed use limits. Currently, vigilant and on the front lines. assert authority to do that by user consent this type of function is often purposefully as part of the conditions for using the site. difficult to find, buried in menus, or anti- Barbara J. GISLASON8 To the extent that creative behavior exists addiction functionality turned off “by Lawyer on a platform, such as an innovative design default.” Another desirable regulatory Deputy Chief Editor of Juriste International on a platform by a user, the platform owner feature could be to limit features known to Law Office of Barbara Gislason can claim it owns the content through these drive compulsive behavior. For gamers, the Minneapolis, MN, United States types of contractual agreements. “loot box” might disappear in VR gaming. [email protected] Use of the color red, known to drive Regulation and Addictive compulsive behaviors, might be restricted. Technology

The U.S. currently has few safeguards in place regarding addictive technology. There Claims for privacy violations may not survive when users are aware that VR are gambling laws and consumer protection and AR providers readily use their data. laws which prevent unfair and deceptive practices that are regulated by the Federal Trade Commission (FTC). Under the FTC, Conclusion 1. In Part I of this article that was published in the an unfair practice is defined as (1) causing 2019.4 issue of the Juriste International, the background substantial harm to consumers, (2) the harm of virtual reality (VR) and augmented reality (AR) was The purpose of this article is to help lawyers discussed. In Part II, the focus is on the current state must not be reasonably avoidable by the learn how everyone will be profoundly consumer, and (3) the injury sustained must of the law, and what an evolving legal framework will affected by the addition of new realities need to address. Lawyers may be surprised to learn not be outweighed by the countervailing in their personal and professional lives. In that how we think about intellectual property, crimes, benefit to competition and consumers. The the health sciences context, AR and VR torts, and contracts in the real world (RW) may be FTC is known to place more emphasis on different in a VR environment. The rule of law may products may enable medical and mental deceptive, rather than unfair, practices. apply differently in real and virtual realities. health diagnoses, treatments, and outcomes 2. 266 F.Supp.3d 1139 (2017). As more is learned about habit-forming never imagined. Entrepreneurs and bad actors will seek to exploit the opportunities 3. 564 U.S. 786 (2011). technology, it is likely that the FTC will 4. United States v. O’Brien, 391 U.S. 367 (1973). engage in rulemaking that expands the these new technologies represent, too. 5. Daniel Koburger, Legal Implications of Public meaning of unfair practices, particularly if Remember soma, a happiness producing Spaces in Virtual Reality, Landslide, September/ Congress gives the FTC requisite authority. October 2019. drug described in Aldous Huxley’s In the meantime, addictive technology 6. N.D. Tex. Civil Case No. 3:14-cv-01849-p. targeting children, perhaps under friendly dystopian novel, the Brave New World? The 7. Digital Health Criteria, U.S. Food & Drug banners such as “Family” at the Google author’s warnings still have relevance. Is Administration, https://www.fda.gov/medical- Play Store, may be more subject to FTC the individual agitated by demonstrations devices/digital-health/digital-health-criteria (last deceptive practice violations. in the street? Hormone producing VR visited Oct. 14, 2019). products can reduce anxiety. Have all 8. Barbara J. Gislason is Past President of both the Asian countries are at the forefront of the factories been automated? VR will UIA Biotechnology Law Commission and the U.S. methods to promote anti-addiction design. make you feel better as your skills become National Committee.

72 2 ■ 2020 I Reunir a los abogados del mundo Africa and International Arbitration: New Developments

I Aboubacar FALL

“With the growing importance of African States decade of growth cycles, which resulted these, only 2% of the cases had African and private corporations in international economic in increased per capita income, better arbitrators. In 2019, only two arbitrators transactions, and the paralleled economic growth governance, and increased investment were appointed in ICSID cases compared in the continent in the last decades, it is high opportunities. These investments are no to 18 from France only. time that this should be matched by a better longer limited to the traditional mining and recognition of African institutions’ ability to serve hydrocarbon sectors, but also cover banking, The frequently adduced reason to explain as a venue for arbitration in the continent”. finance, real estate, telecommunications, or justify such a situation was that Africa Judge Yusuf, President of the International and high value-added consumer goods. allegedly lacks technical capacity and Court of Justice, Keynote Speech at the expertise in this regard. In fact, recent 2016 International Council for Commercial In addition to foreign direct investment, there developments in arbitration on the continent Arbitration (ICCA) has been an increase in intra-African trade largely belied this assertion. Manifestations and as a result, the inevitable disputes that it of these developments are observed in: generates. As pointed out by some African Introduction • the increase in arbitration disputes practitioners, the development of international between African parties; The launch of the African Arbitration arbitration in Africa is attributable to risk factors • the emergence of new areas of Association (the “Association”) took place investors face. These include, in particular, the investment in Africa such as real estate, in Abidjan in June 2018, under the auspices legal and tax risk relating to the violation of the of the African Development Bank (AfDB) stabilization clause, the political risk, as well as telecommunications, banking, finance, Group and with the financial support of the the risk related to new regulations concerning construction, and energy; African Legal Support Facility (ASLF). The the local content. Indeed, these risk factors are • the development of arbitration training Association’s primary objective as stated in likely to generate disputes. centers on the continent; its Constitution is “to provide a platform for • the Africans’ awareness of the importance the international arbitration practitioners Underpinning the of promoting the hiring of African in Africa as well as African arbitration Participation of Africans in practitioners in arbitration procedures. institutions and to strengthen the capacities International Arbitration of all actors on the continent.” These recent developments have Statistics and empirical studies show that contributed to revisiting the arbitration Created in the legal form of an international the majority of arbitration disputes taking legal framework in many African countries. non-governmental organization, the place in Africa or involving African parties Association received the support of the (states or private companies) are settled Examples of Reforms of Arbitration Legal Government of the Republic of Rwanda, outside the continent, namely in Europe and Institutional Framework in Africa which authorized the establishment of and in the United States, by non-African its headquarters in the capital, Kigali, in arbitrators and lawyers. Without being exhaustive, these examples the premises of the Kigali International highlight some of the most important Arbitration Centre (KIAC). Fifteen percent (15%) of the cases in reforms that were recently adopted on the ICSID are from Sub Sharan Africa. Out of continent. On April 3-4, 2019, the Association held its first Conference in Kigali. The event was attended by African and foreign practitioners as well as representatives of different African arbitration institutions, notably the Centers in Cairo, Lagos, Mauritius, Kigali, Nairobi and Johannesburg, among others.1

The Economic Context of the Development of Arbitration in Africa

After several years of stagnation, most African economies have experienced a

Bringing Together the World’s Lawyers I 2 ■ 2020 73 The Case of South Africa

In October 2017, South Africa passed the International Arbitration Act, which is substantially based on the United Nations Commission on International Trade Law (UNCITRAL) model law. This new legal instrument aims to: (i) streamline South African arbitration law; and (ii) promote South Africa as an arbitration proceedings seat. The OHADA Reforms

During its session of November 23-24, 2017, the Council of Ministers of the Organization for the Harmonization of Business Law in Africa (OHADA) adopted a number of texts designed to attract investors and foster their confidence in the OHADA area countries as seat for their arbitration proceedings.

These are primarily: (i) the reform of the 1999 Arbitration Law Uniform Act; (ii) the strengthening of the Common Court of Justice and Arbitration (CCJA) Arbitration Rules; and (iii) the introduction of a Uniform Act on Mediation. As such, public institutions, decentralized authorities, and As pointed out by some African practitioners, the development of international any legal persons may now be parties to an arbitration in Africa is attributable to risk factors investors face. arbitration proceeding, in addition to States.

Similarly, arbitration proceedings may be 2018: A Year of Reforms in The Nigerian Arbitration and initiated based on an arbitration clause Africa Conciliation Act or an investment-related legal instrument, such as an investment code or a bilateral A large number of reforms on arbitration The major innovations brought by this or multilateral investment treaty. The new was recorded on the African continent in new law include: (i) the possibility for reforms have also introduced the possibility 2018.3 This reform movement had the twin the parties to conclude an arbitration for the parties to expressly waive their right objectives of: (i) promoting African countries agreement electronically; (ii) the implicit to request the annulment of the arbitral as seats for arbitration proceedings, and recognition of the funding of arbitration award, except in cases where such waiver (ii) reaffirming their sovereignty in dispute costs by third parties (Third Party Funding); proves to be contrary to international settlement.4 and (iii) the arbitrators’ power to order public policy, as defined in the new Uniform interim measures to protect the interests Act. The China-Africa Joint of a party.6 However, these positive developments of the arbitration in Africa In addition, the CCJA Rules clearly provide Arbitration Center are opposed in some countries, such as that arbitration fees between the court and the parties must be approved by the CCJA. The Center has been created pursuant Cote d’Ivoire, Ethiopia, and Tanzania. Furthermore, the deadline for the review to the ambitious Chinese project “Belt of the arbitral award by the CCJA has been and Road Initiative.” The objective of the Arbitration in the New shortened in order to ensure swiftness and Joint Arbitration Center is to roll out Ivorian Investment Code efficiency.2 a neutral and accessible mechanism for settling commercial disputes that may arise In 2018, Cote d’Ivoire revised its Investment The new Uniform Act on Mediation, on between the African and Chinese parties.5 Code dispute settlement regime by indicating the other hand, provides the parties the A few prerequisites must be met prior in its Article 50 that parties shall endeavor to possibility to use the services of a third party to enforcing this mechanism, notably the resolve amicably their dispute and may submit to help them negotiate the best solution harmonization of business practices and it to arbitration. This is a clear departure to their dispute, in compliance with the arbitration systems, as well as the training of from Article 20 of the 2012 Investment principles of confidentiality, independence, arbitrators on African and Chinese cultural Code which unambiguously consented to and impartiality. standards. submit all investment disputes to ICSID.

74 2 ■ 2020 I Rassembler les avocats du monde As noted by commentators, “this glaring national courts or other bodies established 2016. “Watch Out, Africa is Here.” The East African omission appears deliberate and seeks to in Tanzania, and the Tanzanian law will International Arbitration Conference 2019. By Sadaff address a criticism against the current format apply.8 Should this be considered as a Habib-. Kuwer Arbitration Blog 29 October 2019. of investor-state dispute settlement (ISDS) resurgence of the Calvo doctrine?9 3. 2018 in Review: A Tug of War for International which is the lack of African participation.” Arbitration in Africa by Sadaff Habib in Kluwer Conclusion International Arbitration Blog, 17 January 2019. Recent Ethiopian Arbitration 4. Impact of Foreign Direct Investment on Arbitration Case Law The examples of Ethiopia and Tanzania in Africa by Sadaff Habib, in Kluwer International mentioned above constitute a cause of Arbitration Blog, 27 March 2018. In re National Mineral, opposing an Italian concern with respect to African States 5. www.shiac.org/CAJAC/index_E.aspx. company Consta J.V. against the joint and practitioners’ objective to promote 6. Demystifying the Nigerian Arbitration and venture formed by Ethiopia and the Republic the continent’s attractiveness in terms Conciliation Bill 2017 by Joseph Onele in Kluwer of Djibouti, the Supreme Court of Ethiopia of arbitration. Notwithstanding these International Arbitration Blog, 11 May 2018. ruled that, although the parties had waived isolated cases however, optimism should 7. “The new Ivorian Investment Code: Tinkering their right to appeal, it (the Supreme Court) prevail, especially when one observes the with an Imperfect System or Pioneering a Path?” remains competent to examine whether or movement towards arbitration, supported by Jonathan Ripley-Evans, Jenalee Harrison and Marie Terrien in Kluwer Arbitration Blog not the judgment is vitiated by an error of by the creation of the African Arbitration November 2019. law.7 This judgment contradicts a previous Association, the development of arbitration 7. Judgment of 24 May 2018 by which the Supreme ruling (National Motors Corp. vs. General centers, as well as the new reforms of the Court of Ethiopia annulled the arbitral award, Business Development), in which the same legal framework, that have been happening which had awarded the sum of 20 million euros Supreme Court of Ethiopia reaffirmed that on the continent since 2018, particularly to the Italian company CONSTA J.V. in a case the parties’ waiver of their right to appeal those carried out by the OHADA. against the Ethiopian-Djiboutian mixed economy the judgment could not be challenged by any company CDE. See https://www.iarbafrica./ court, including the Supreme Court. Aboubacar FALL10 com/en/news-list/17-news/660-the-ethiopian- PhD, LL.M supreme-court. Arbitration in Tanzanian Law Partner 8. A Wind of Change! Tanzania’s Attitude towards Foreign AF LEGAL Law Firm Investors and International Arbitration, by Ibrahim The Tanzanian Law on Public-Private Dakar, Senegal Amir in Kluwer Arbitration Blog 28 December Partnerships (PPP), which entered into force [email protected] 2018. See www.arbitrationblog.kluwerarbitration. com/2018/12/28/a-wind-of-change-tanzania. in September 2018, provides in its Section 9. The Calvo Doctrine is a foreign policy doctrine, 22 that the settlement of mediation or 1. For more information on the African Arbitration which maintains that in disputes relating to investment, Association, visit https://www.afaa.ngo. arbitration proceedings related to disputes the jurisdiction is determined by the place where arising from the performance of a PPP 2. When Arbitrators and Institutions Clash or The the investment is made. Consequently, the foreign contract or a project in natural resources, Strange Case of Société GETMA Internationale v. investor must submit any claim to the host country’s will henceforth be the sole competence of Republic of Guinea in Kluwer Arbitration Blog 12 May jurisdictions and not to those of his home country or another foreign country. The Calvo Doctrine is the expression of a legal-judicial nationalism and was applied in a number of Latin American countries. 10. Aboubacar FALL is a member of the Senegalese Bar Association and a former member of the Paris Bar. He has served as Senior Legal Advisor of the African Development Bank (AfDB) Group and as Chairman of the Management Board of the African Legal Support Facility (ALSF) (June 2011-June 2014). In 2019, he was appointed as a Board of the Board of the International Lawyers for Africa (ILFA). Dr. FALL is a member of several professional arbitration associations including the African Arbitration Association (AfAA), the International Arbitration Institute (IIA), the London Court of International Arbitration (LCIA) etc. He teaches international commercial & investment arbitration. In January 2020 he participated in the UNCITRAL Working Group3 on the Reform of ISDS in Vienna (Austria). Dr. FALL has published a number of articles on arbitration including the Senegal Arbitration Guide in the IBA Arbitration Committee website. . His latest article, “Incorporating a charter party arbitration clause into a bill of lading by reference: The case study of the arrest of the vessel DUDEN”, appeared in the International Bar Association (IBA) Arbitration Committee Newsletter in September 2019.

Reunir a los abogados del mundo I 2 ■ 2020 75 Plaidoyer visant à l’adoption rapide d’un acte uniforme OHADA sur la protection des données à caractère personnel

I Jean-François HENROTTE & Coco KAYUDI MISAMU

I. Introduction On pense par exemple à l’introduction de la Pour faciliter la mise en œuvre de la dimension électronique dans le Registre du Convention, la Commission de l’Union afri- La mondialisation du numérique, l’utilisation Commerce et du Crédit Mobilier (RCCM) et caine a demandé à l’Internet Society d’éla- de l’Internet, l’utilisation de nouvelles tech- ses fichiers connexes institués par les articles borer conjointement les lignes directrices nologies et le besoin de communication et 34 et suivant de l’acte uniforme révisé por- du 9 mai 2018 sur la protection de la vie de consommation des services … sont des tant sur le droit commercial général, adopté privée et des données à caractère personnel occasions donnant lieu à des traitements de le 15 décembre 2010 à Lomé. pour l’Afrique. données à caractère personnel. Une telle base de données à caractère Elle vise, en vertu de son article 8, à ce En effet, plus personne n’échappe à la col- personnel présente évidemment des dan- que chaque État partie mette en place un lecte des données personnelles pour des gers pour les commerçants dont les don- cadre juridique ayant pour objet de renfor- raisons telles qu’évoquées ci-dessus. nées à caractère personnel sont traitées, cer les droits fondamentaux et les libertés dangers auxquels nous pensons, à l’ins- publiques, notamment la protection des On peut lire dans un rapport intitulé : tar de D. Allechi dans sa contribution « données physiques et de réprimer toute Surveillance Giants récemment publié par une L’informatisation du RCCM et la protection infraction relative à toute atteinte à la vie grande organisation de défenses des droits l’homme « Google et Facebook dominent nos vies modernes ; ils ont accumulé un pouvoir inégalé sur la sphère du numérique Malgré l’inspiration commune de la directive 95/46, les législations européennes en collectant et en monétisant les données étaient trop diverses et cela nuisait à l’efficacité des entreprises européennes et à la personnelles de milliards d’utilisateurs. Leur libre circulation des données. contrôle insidieux de nos vies numériques sape le fondement même de la vie privée et c’est l’un des défis majeurs de notre époque des données à caractère personnel », qu’il privée sans préjudice du principe de la en termes de droits humains ». devrait être obvié par une législation rela- liberté de circulation des données à carac- tive à la protection des données. tère personnel. Nous partageons le point de vue de Kumi Naidoo, secrétaire général d’Amnisty Enfin, une telle législation, si elle est recon- L’échéance des dernières signatures était International, lorsqu’il écrit « À l’ère numé- nue par la Commission européenne comme fixée au 14 mars 2018. Or, force est consta- rique, afin de protéger nos valeurs humaines offrant un niveau de protection adéquat, ter que seuls 14 pays sur les 55 de l’Afrique fondamentales – dignité, autonomie et vie facilite le transfert de données à caractère ont signé cette convention : Bénin, Tchad, privée – il faut une refonte radicale du fonc- personnel encadrées par le règlement géné- Comores, Congo, Ghana, Guinée-Bissau, tionnement des géants de la haute techno- ral sur la protection des données à caractère Mozambique, Mauritanie, Rwanda, Sierra logie et l’essor d’un Internet qui accorde la personnel vers ces pays tiers (voy. infra). Leone, São Tomé-et-Príncipe, Togo, Tunisie priorité aux droits humains ». et Zambie. La Convention de l’Union africaine (UA) sur La protection de la vie privée doit égale- la cybersécurité et la protection des don- Et encore, seulement cinq pays – Ghana, ment être une priorité pour les États parce nées à caractère personnel – appelée aussi Guinée, Ile Maurice, Namibie et Sénégal qu’ils sont également responsables de trai- « Convention de Malabo » – a été adoptée – l’ont ratifiée pour que celle-ci entre en tement pour des fins diverses. à cette fin le 27 juin 2014. vigueur sur leur territoire national …

76 2 ■ 2020 I Bringing Together the World’s Lawyers La Convention n’entrera en vigueur 30 II. Plaidoyer pour l’adoption III.La stricte protection des jours après le dépôt du 15e instrument de d’un acte uniforme OHADA données à caractère personnel ratification. sur la protection des données au sein de l’Union européenne On peut donc craindre, avec C. de Laubier à caractère personnel et à la du RGPD dans sa contribution « L’Afrique se met en libre circulation de ces données ordre de bataille contre la cybermalveillance En effet, les règles encadrant la vie privée et la cybercriminalité », que cette conven- L’Union européenne s’est dotée d’un nou- et les traitements de données à caractère tion soit un échec. veau règlement général sur la protection personnel en vigueur au sein de l’Union des données à caractère personnel (RGPD) européenne sont considérées internatio- Si l’on examine les législations des États pour deux raisons : une uniformisation de nalement comme étant particulièrement OHADA, tous les États parties ne sont pas la législation au sein de l’Union et une prise protectrices des citoyens, ou contraignantes dotés d’une telle législation et parmi ceux en compte des nouvelles technologies et pour les entreprises, spécialement non qui en sont dotés, certaines de leur législa- des nouveaux risques pour la protection de européennes, selon le point de vue. tion sont obsolètes : la vie privée. Bien qu’appliqué avec plus ou moins de • Le Benin est doté d’une loi 2009-09 du En effet, malgré l’inspiration commune de la vigueur selon les États membres et les dif- 27 avril 2009 portant protection des directive 95/46, les législations européennes férentes autorités nationales de protection données à caractère personnel ; étaient trop diverses et cela nuisait à l’effi- des données, le RGPD forme un cadre • Le Burkina Faso est doté d’une loi 010- cacité des entreprises européennes et à la cohérent à l’intérieur des frontières de 2004/AN du 20 avril 2004 portant pro- libre circulation des données. l’Union. tection des données à caractère person- nel ; Par ailleurs, si en 1995 on se méfiait des Toutefois, les flux internationaux de - don • Le Cameroun est doté d’une loi 2010/012 États, il devenait urgent d’encadrer égale- nées sont inhérents au monde globalisé du 21 décembre 2010 relative à la cyber- ment l’activité des GAFA et leurs nouveaux dans lequel les citoyens de l’Union se sécurité et à la cybercriminalité ; moyens technologiques. meuvent, singulièrement depuis l’avènement • Le Congo-Brazzaville a adopté le 30 juillet 2019 une loi portant protection des don- L’utilisateur d'Internet ne sait pas toujours si le site web qu’il va visiter et auquel nées à caractère personnel ; • La Cote d’ivoire est dotée d’une loi il va fournir des données est établi ou non sur le territoire de l’Espace économique 2013-450 du 19 juin 2013 relative à européen (EEE). la protection des données à caractère personnel ; Du fait de l’hétérogénéité de législations, du Cloud, dont les plus grands acteurs ne se • Le Gabon est doté d’une loi 01-2011 du parfois obsolètes, de ses États parties et que situent pas sur le territoire européen. 25 septembre 2011 relative à la protec- certains de ceux-ci ne disposent même pas tion des données à caractère personnel ; de législation sur la protection des données, L’utilisateur d’Internet ne sait pas toujours si le site web qu’il va visiter et auquel il • La Guinée est dotée d’une loi 2016/037 nous estimons, à l’instar d’autres auteurs va fournir des données est établi ou non du 28 juillet 2016 relative à la protection comme Mouhamadou Lô, auteur d’un livre sur le territoire de l’Espace Economique des données à caractère personnel ; sur « La protection des données à caractère personnel en Afrique », qu’il est temps pour Européen (le RGPD est en vigueur en • Le Mali est doté d’une loi 2013-015 du 21 Islande, Norvège et Liechtenstein). mai 2013 portant protection des données l’OHADA de se doter d’un acte uniforme à caractère personnel ; relatif à la protection des personnes phy- siques à l’égard du traitement des données à Des données à caractère personnel peuvent donc être traitées dans d’autres pays du globe • Le Niger est doté d’une loi 2017-28 du caractère personnel et à la libre circulation 3 mai 2017 relative à la protection des n’offrant pas un niveau de protection de la vie de ces données, à l’instar du RGPD. données à caractère personnel ; privée équivalent, voire aucune protection. • Le Sénégal est doté d’une loi 2008-12 Un tel acte pourrait en outre être reconnu La portée des droits conférés par le règle- du 25 janvier 2008 sur la protection des comme offrant un niveau de protection données à caractère personnel ; ment serait dérisoire si les internautes adéquat autorisant le transfert de données à européens bénéficiaient d’une protection • Le Tchad, notre hôte, est doté d’une loi caractère personnel de l’Union européenne précaire face aux entreprises étrangères qui 007/PR/2015 du 10 février 2015 portant vers les États parties de l’OHADA (voy. exercent des activités dans l’EEE. protection des données à caractère per- infra). sonnel ; La technologie et la globalisation induisent • Et enfin, le Togo vient de se doter d’une À défaut, les entreprises africaines seront une multitude de transferts de données loi 2019-014 du 29 octobre 2019 relative en outre victimes si pas du protectionnisme transfrontières. Le responsable du traite- à la protection des données à caractère de l’Union européenne, de sa stricte pro- ment, soumis au règlement, peut transférer personnel. tection des données. les données à caractère personnel vers

Rassembler les avocats du monde I 2 ■ 2020 77 des tiers ou faire appel à des sous-trai- sible des données sur un serveur informa- nécessaire pour transférer des données tants étrangers. Le RGPD autorise ces flux, tique à partir de l’étranger ne constituerait vers ces entités. mais les règles sont différentes lorsque les par contre pas un transfert selon une frange données sont transférées au sein de ou en de la doctrine1 se basant sur une interpréta- Le règlement formalise et étend les critères dehors de l’Union européenne. tion de l’arrêt Lindqvist de la Cour de Justice. déjà examinés in concreto par la Commission Cette interprétation est toutefois critiquée ou les Autorités nationales pour déterminer IV. Les transferts de données à par une autre partie de la doctrine2. si un état offre un niveau de protection adé- des responsables de traitement quat (ou si des BCR sont valables au regard En suivant ces derniers auteurs, il convient du droit européen). De manière générale ou à des sous-traitants établis effectivement de tenir compte du caractère à travers l’ensemble du RGPD, les procé- en-dehors de l’Union euro- limité de la question préjudicielle ayant dures à suivre sont également détaillées afin péenne amené la Cour de Justice à se prononcer en de dégager des solutions cohérentes, par partie sur la notion de transfert dans l’arrêt référence soit à la procédure de concer- Grâce au RGPD, les États membres appliquent Lindqvist. tation contenue dans le règlement, soit à le même niveau de protection lors du traite- la procédure d’examen contenue dans le ment de données à caractère personnel. Une manière de réconcilier les positions règlement 182/2011 du Parlement Européen tout en tenant compte du libellé du RGPD et du Conseil du 16 février 2011 établissant Un transfert au sein de l’Union euro- est de considérer que le transfert de don- les règles et principes généraux relatifs aux péenne est par conséquent autorisé et régi nées visé par le RGPD suppose, à la fois, un modalités de contrôle par les États membres de la même manière qu’un transfert au sein déplacement effectif de donnée et un objec- de l’exercice des compétences d’exécution d’un même État et doit donc respecter les tif de traitement dans un pays tiers. par la Commission. En l’occurrence, en principes généraux de la réglementation vertu de l’article 93.2, la procédure prévoit (respect notamment des principes de légi- Il est à noter que le transfert de données un avis préalable du Comité Européen de la timité, compatibilité de la communication constitue en tant que tel un traitement de Protection des Données (CEPD) et renvoie, avec le traitement d’origine, information des données et qu’il doit donc respecter, outre pour les modalités pratiques de l’examen à la personnes concernées). les règles encadrant le transfert, l’ensemble procédure décrite à l’article 5 du règlement des règles afférentes aux traitements de 182/2011. Les choses sont différentes si le responsable données en général. de traitement souhaite exporter des don- Dans son processus d’évaluation, la nées à caractère personnel hors de l’Union L’article 44 du RGPD pose comme principe Commission devra particulièrement tenir européenne. l’interdiction des transferts de données vers compte des éléments listés à l’article 45, des pays n’offrant pas un niveau de protec- plus nombreux et plus précis que ceux L’article 44 du RGPD dispose qu’ : « un tion adéquat. contenus dans la directive 95/46. transfert, vers un pays tiers ou à une orga- nisation internationale, de données à carac- Différents régimes permettent d’aboutir à La décision devrait préciser sa portée ter- tère personnel qui font ou sont destinées à ce niveau de protection adéquat, à diffé- ritoriale et, si possible, identifier l’Autorité faire l’objet d’un traitement après ce trans- rentes conditions. Des États non européens indépendante de Protection des données. fert ne peut avoir lieu que si, sous réserve peuvent avoir mis en place un niveau de des autres dispositions du présent règle- protection suffisant, leur permettant d’être Un document de travail wp254rev.01 du ment, les conditions définies dans le présent reconnus. Groupe de travail de l’article 29, désormais chapitre sont respectées par le responsable CEPD, établit les critères de référence pour du traitement et le sous-traitant, y compris Les transferts vers un État tiers ou une orga- l’adéquation. pour les transferts ultérieurs de données à nisation internationale peuvent se faire si la caractère personnel au départ du pays tiers Commission européenne a constaté, par voie Une intéressante nouveauté par rapport ou de l’organisation internationale vers un de décision qu’un État tiers, un territoire ou à la situation actuelle réside dans l’obliga- autre pays tiers ou à une autre organisation un secteur spécifique de cet État tiers ou l’or- tion pour la Commission de surveiller le internationale. Toutes les dispositions du ganisation internationale concernée présente déroulement effectif des transferts réalisés présent chapitre sont appliquées de manière un niveau de protection adéquat. sur base de cette décision et de vérifier à ce que le niveau de protection des per- que l’État tiers ou l’organisation interna- sonnes physiques garanti par le présent En effet, l’article 45 du règlement autorise tionale concernée présente toujours un règlement ne soit pas compromis. » la Commission européenne à décider qu’un niveau de protection adéquat. À défaut, la État tiers (voire un territoire ou un sec- Commission peut entrer en discussion avec Ni la directive antérieure 95/46, ni le règle- teur spécifique – comme le secteur privé l’État tiers ou l’organisation en vue de trou- ment ne définissent cette notion de «trans- ou un secteur économique particulier3 – ver une solution et amender ou suspendre fert». Le transfert de données suppose un de cet État tiers) ou qu’une organisation la décision, sans possibilité de rétroaction déplacement effectif de données à l’étranger, internationale présente un niveau suffisant toutefois. La Commission peut également quel que soit le support utilisé, dans le but de de protection des données, de telle sorte décider, suivant le considérant 106, qu’un faire l’objet d’un traitement. Rendre acces- qu’aucune autorisation spécifique ne sera État tiers ne présente pas de niveau de

78 2 ■ 2020 I Reunir a los abogados del mundo protection adéquat et interdire les trans- V. Conclusions Dans l’intervalle, mais également pour les ferts vers ces États tiers, sous réserve de responsables du traitement établis dans l’application des articles 46 à 49. La collecte des données à caractère person- les autres États tiers, les responsables de nel est soit subie (à l’utilisation des services) traitement peuvent utiliser une des options La modification ou la suspension de la déci- soit obligatoire (imposé par l’État pour des offertes par le RGPD : par exemple des sion doit également respecter la procédure besoins d’identification de la personne ou règles d’entreprise contraignantes, des clauses contractuelles types ou particulières, décrite à l’article 5 du règlement 182/2011. des de sécurité nationale). Dans les deux passer par le mécanisme de la certification cas, personne concernée se voit contraint Outre les trois membres de l’Espace ou l’adhésion à un code de conduite. Le par une machine puissante contre laquelle Économique Européen que sont la Norvège, règlement prévoit enfin un certain nombre elle n’a d’autre choix que de subir. le Liechtenstein et l’Islande, au jour de la d’exceptions que les entreprises, et leurs rédaction des présentes, les pays suivants conseils, pourront exploiter. Il revient donc aux États de garantir la sont considérés par la Commission comme présentant un niveau de protection adéquat protection des données de types divers, col- Une chose est sûre : le RGPD est exigeant, : la Suisse, le Canada (pour les traite- lectées à différents niveaux. Il est sidérant de mais n’est qu’un cadre. Il autorise encore ments soumis à la loi canadienne «Personal voir les collecteurs de ces données les vendre les traitements de données à caractère per- Information Protection and Electronic à l’insu et/ou contre le gré des personnes sonnel dans l’Union européenne et dans le Documentation Act» et pour les données concernées (usagers de services). reste du monde. relatives aux passagers aériens), Andorre, l’Argentine, les États-Unis (si le destinataire des données aux États-Unis a adhéré aux L'article 44 du RGPD pose comme principe l'interdiction des transferts de données « principes du bouclier de sécurité», ou «Privacy Shield» ainsi que pour les données vers des pays n'offrant pas un niveau de protection adéquat. relatives aux passagers aériens), Guernesey, l’île de Man, les îles Féroé, Jersey, l’Australie (pour les données relatives aux passagers L’intervention des États devrait garantir un Il convient néanmoins que les responsables aériens), Israël, la Nouvelle-Zélande, l’Uru- traitement transparent des données à carac- du traitement situés dans les États tiers guay et le Japon. tère personnel exclusivement pour les fina- maîtrisent, avec leurs conseils, le RGPD. lités pour lesquelles elles sont collectées. Il Ce sera bientôt la clef obligatoire pour Dans les limites éventuellement édictées est impérieux que les États, particulièrement continuer à traiter avec des entreprises par la Commission et dans les limites du africains, se dotent d’une loi pour encadrer européennes. champ d’application du RGPD, des don- les traitements de données à caractère per- nées à caractère personnel peuvent donc sonnel. Il faut également prévoir la création Jean-François HENROTTE être transmises vers ces pays à des fins de d’autorités de protection des données char- Avocat aux barreaux de Liège et de traitement, moyennant uniquement le res- gées d’assurer le contrôle et sanctionner les Bruxelles pect de l’ensemble des règles encadrant la abus et tout manquement à la loi. Directeur de la Stratégie Digitale de l’UIA protection des données dans l’État membre Lexing de départ. En plein essor de la quatrième révolution, celle Liège, Belgique du numérique, les États africains devraient [email protected] Aucun pays africain n’est reconnu comme prendre leur destin en main afin d’éviter de offrant un niveau de protection adéquat. subir le même sort que lors des trois dernières Coco KAYUDI MISAMU révolutions notamment agricole et industrielle. Bâtonnier du barreau de Kinshasa-Matete En l’absence de décision d’adéquation, le Etude Bâtonnier Kayudi transfert ne peut donc se faire vers un Nous plaidons donc pour l’adoption rapide Kinshasa, R.D. Congo État africain que moyennant des garanties par l’OHADA d’un acte uniforme relatif à [email protected] appropriées offertes par le responsable du la protection des personnes physiques à traitement ou par le sous-traitant, garan- l’égard du traitement des données à carac- ties coulées dans un instrument juridique tère personnel et à la libre circulation de contraignant, par exemple des clauses ces données. 1. V. notamment l’avis prudent de B. DOCQUIR, « Le droit de la vie privée », Bruxelles, Larcier, 2008, contractuelles, des règles d’entreprise p. 244. contraignantes ou des codes de conduite L’acte uniforme relatif à la protection des 2. V. notamment C. DE TERWAGNE (ed.), «Vie ou mécanisme de certification. Le règlement données à caractère personnel que nous privée et données à caractère personnel», Bruxelles, prévoit enfin un certain nombre d’excep- appelons de nos vœux pourra, outre la pro- Politiea, 2014, chapitre 4.2/2. tions (le consentement de la personne tection moderne des personnes concernées 3. Considérant 104. concernée, le transfert est nécessaire à la elles-mêmes, à terme, être reconnu par la 4. Que ce soit dans une procédure judiciaire, dans conclusion ou à l’exécution d’un contrat ou Commission européenne comme offrant un une procédure administrative ou toute procédure à la constatation, à l’exercice ou à la défense niveau de protection adéquat et permettre à l’amiable, y compris les procédures devant les de droits en justice4 …). donc de mêmes transferts aisés. organismes de réglementation, considérant 111.

Bringing Together the World’s Lawyers I 2 ■ 2020 79 JURISTE INTERNATIONAL Juriste International : editorial policy UIA PUBLICATION / PUBLICATION DE L’UIA / PUBLICACIÓN DE LA UIA

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