February 20, 2008 BY ECF AND HAND Magistrate Judge Kiyo A

Case 1:06-cv-00702-CPS-MDG
Document 135
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February 20, 2008
BY ECF AND HAND
Magistrate Judge Kiyo A. Matsumoto
United States Magistrate Judge
United States Courthouse
225 Cadman Plaza East
Brooklyn, New York 11201
Re: Strauss et al. v. Credit Lyonnais, S.A., 06-CV-702 (CPS) (KAM)
Wolf et al. v. Credit Lyonnais, S.A., 07-C V-914 (CPS) (KAM)
Dear Magistrate Judge Matsumoto:
Pursuant to the Court's Order in the above-referenced matters dated February 14.
2008, I hereby enclose the certified English translation and the original French language version
of the French Supreme Court's decision dated December 12, 2007, affirming the March 28, 2007
Paris Court of Appeals decision.
Respectfully,
Lawrence B. Friedman
Enclosures
cc: All Counsel of Record
Case 1:06-cv-00702-CPS-MDG
Document 135-2
Filed 02/20/2008
Page 1 of 9
COUR DE CASSA4TION (Supreme Court), CRIMINAL CHAMBER.
Reduced bench.
December 12, 2007
Referral no.07-83.228. Decision no.7 168
CRIMINAL BULLETIN
-
INFORMATION BULLETIN
Ruling on the cassation appeal formed by:
- X... .Christopher,
against the decision of the 9 th chamber of the PARIS Court of Appeals (Cour d'appel) dated
March 28, 2007, which sentenced him to a £1I0,000 fine, for the search for information of an
economic, commercial, industrial, financial or technical nature for the purpose of gathering
evidence in foreign proceedings;
On the pleadings submitted;
On the first cassation ground, resulting from the breach and mistaken application of
Chapter 2 of the Hague Convention of March 18, 1970 on the collection of evidence abroad
in civil or commercial matters, and of articles 1134 of the civil code, 11 1-4 of the criminal
code, Ibis of law no.68-678 of July, 26 1968 modified by law no. 80-538 of July 16, 1980,
591 and 593 of the criminal procedure code, lack and contradiction of arguments, lack of
legal grounds;
"the challenged invalidating decision declared Christopher X. ...guilty of the offence
defined in article Ibis of the law of July 26, 1968 modified by the law of July 16, 1980;
" on the grounds that it appears from the letter sent on December 21, 2000 by Jean-Claude
Y... to Christopher X..., as a reaction to a prior meeting, that this attorney requested his
interlocutor to provide him with indications on the manner in which the decisions of the
Board of Directors of La MAAF had been taken at the time of the purchase of Executive Life,
alleging that "the members of the Board of Directors had not been duly informed ... that the
issue had not been discussed and that the decisions were allegedly made in the hallways";
that "having made false statements in order to discover the truth", Christopher X... heard
Jean-Claude Y... reply to him that "he had never taken any decision in the hallways in any of
the Board of Directors Meetings in which he has participated"; that he has, in this way,
obtained, or at least tried to obtain, the proof that the Directors of La MAAF had taken their
decision with full knowledge of the facts; that as opposed to what he alleges, Christopher
X... did not merely approach, in a neutral way, people whose testimony could later on be
requested in the framework of proceedings in compliance with Chapter 2 of the Hague
Convention that authorizes the search for evidence by a diplomatic agent or an independent
commissioner authorized by the foreign court of justice, subject to the agreement of the
relevant authority designated by the State of enforcement; that he searched, without having
received any such authorization under the terms of this Convention, information of which the
economic, commercial or financial nature is asserted, for the purpose of gathering evidence,
since it was likely to justify' the designation of Jean-Claude Y... as a prosecution witness in
the pending proceedings before the California court and to influence his later examination;
that the violation of article Ibis of law no.68-678 of July 26, 1968 modified by law no.80-538
of July 16, 1980 is established;
Case 1:06-cv-00702-CPS-MDG
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"P1)whereas the provisions of article Ibis of law no.68-678 of July 26, 1968 modified by
the law of July 16, 1980 are prescribed subject to treaties or international agreements among
which the Hague Convention of March 18, 1970 which provides, in its Chapter 2, for the
collection of evidence by a diplomatic agent or independent commissioner authorized by the
foreign court ofjustice; that, as Christopher X did... in his pleadings regularly filed and on
his own initiative left aside, the collection of evidence in application of the provisions of this
Chapter requires the prior agreement of the potential witnesses when, according to the terms
of article 17 of the Convention, the commissioner has no power to carry out acts of inquiry
and that it was such an agreement that he had therefore tried to obtain from his interlocutor,
Jean-Claude Y ... :
"~2O) whereas the letter of December 21, 2000 sent by Jean-Claude Y... to Christopher X...
is in the procedural file, the Cour de Cassation is in a position to make sure that it does not
result from its terms that Christopher X... has committed, according to the expression of the
Court, "an abusive search for evidence" likely to constitute the offence described in article
Ibis of the law of July 26, 1968, but, being in charge of the interests of the State in the
Executive Life case, had merely approached people the testimony of whom could be
requested later on in the framework of proceedings in compliance with Chapter 2 of the
Hague Convention, and, in addition, by distorting the clear termis of the letter which was
submitted to it, the Court of Appeals rendered a decision comprising contradictory grounds
and must therefore be invalidated;
"Y3)whereas the collection of evidence without any request is not an offence under the
terms of article Ibis of the law of July 26, 1968, whereas the terms of the same letter
evidence that the "information" according to which Jean-Claude Y... would "never have
taken the decision in the corridors in any Board of Directors Meetings in which he has
participated" does not result from a solicitation of Christopher X... but from a spontaneous
declaration of his interlocutor, and as such not punishable;
"V4)whereas it results from the statements of the letter sent on December 21, 2000 by
Jean-Claude Y... to Christopher X... that "the initiative" taken by Christopher X. ...was
"based on the search for the truth" consequently excluding that Christopher X... sought to
"influence potential later testimony" of his interlocutor as the Court of Appeals stated in the
grounds of its decision which are, once again, contradictory";
On the second cassation ground, resulting from the breach and mistaken application of
article Ibis of law no.68-678 of July, 26 1968 modified by law no. 80-538 of July 16, 1980,
591 and 593 of the criminal procedure code, lack of arguments, lack of legal grounds;
"the challenged invalidating decision declared Christopher X. .. .guilty of the offence
defined in article Ibis of the law of July 26, 1968 modified by the law of July 16, 1980;
"on the grounds that it appears from the letter sent on December 21, 2000 by Jean-Claude
Y... to Christopher X..., as a reaction to a prior meeting, that this attorney requested his
interlocutor to provide him with indications on the way the manner in which of the Board of
Directors of La MAAF had been taken at the time of the repurchase of Executive Life,
alleging that "the members of the Board of Directors had not been duly informed ... that the
issue had not been discussed and that the decisions were allegedly made in the hallways";
that "having made false statements in order to discover the truth", Christopher X... heard
Jean-Claude Y... reply to him that he had "never taken any decision in the hallways in any of
2
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Page 3 of 9
the Board of Directors Meetings in which he has participated"; that he has, in this way,
obtained, or at least tried to obtain, the proof that the Directors of La MAAF had taken their
decision with full knowledge of the facts;
"Whereas, as the first judges had pertinently stated so, the simple allusion to the fact that
the decisions of a Board of Directors would be taken "in the hallways" or not, does not
constitute information of an economic, commercial, industrial financial, or technical nature
within the scope of article Ibis of the law of July 26, 1968";
On the third cassation ground, resulting from the breach and mistaken application of
articles 6 and 7 of the European Convention on Human Rights, Ibis of the law no.68-678 of
July, 26 1968 modified by the law no. 80-538 of July 16, 1980, 591 and 593 of the criminal
procedure code, lack of arguments, lack of legal grounds;
"the challenged invalidating decision declared Christopher X. .. .guilty of the offence
defined in article Ibis of the law of July 26, 1968 modified by the law of July 16, 1980;
"on the grounds that contrary to what Christopher X alleges..., this incrimination that aims
at limiting abuses that may be committed while seeking evidence does not constitute "a
disproportionate obstacle to the right to prepare one's defense"; whereas the exercise of this
right is ensured by the guarantees attached to the procedures provided for by the Hague
Convention;
10) whereas the solicitation, supposing that it has been proven, of information of an
economic, commercial, industrial, financial or technical nature without constraint, such as in
the present case, does not constitute an "abusive search for evidence";
20) whereas the right to a fair trial which the States are not authorized to restrict in any
way whatsoever, (except as regards the public nature of the hearing) implies the free,
unobstructed search for evidence and whereas article Ibis of the law of July 26, 1968 when
interpreted as barring the exercise of such right, is incompatible with the provisions of
articles 6 and 7 of the European Convention on Human Rights";
On the fourth cassation ground, resulting from the breach and mistaken application of
articles 10 of the European Convention on Human Rights, Ibis of law no.68-678 of July, 26
1968 modified by law no. 80-538 of July 16, 1980, 591 and 593 of the criminal procedure
code, lack of arguments, lack of legal grounds;
"the challenged invalidating decision declared Christopher X... .guilty of the offence
defined in article ibis of the law of July 26, 1968 modified by the law of July 16, 1980;
10) whereas the provisions of article Ibis of law no.68-678 of July 26, 1968 are prescribed
subject to treaties or international agreements including the European Convention on Human
Rights; whereas this Convention specifies in its article 10 that the right to freedom of
expression comprises namely the right to receive or to communicate information without any
possibility for public authorities to interfere and regardless of borders, and that criminally
sanctioning an attorney who had merely stated in a telephone conversation with the former
manager of a mutual insurance company that "the members of the board of Directors (of this
mutual insurance company) has not been duly informed, that the issue had not been discussed
3
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and that the decisions were allegedly made in the corridors" constitutes an obstacle to
freedom of expression and consequently a breach of above-mentioned article 10;
20) whereas this obstacle to freedom of expression is not justified under the terms of
article 10-2 of the Convention insofar as the general and absolute interdiction to
communicate any "information" - as insignificant as it may be- of an economic, commercial,
industrial, financial or technical nature for the purpose of gathering evidence in foreign
judicial or administrative proceedings or in the framework thereof', constitutes an
unnecessary and consequently disproportionate measure in a democratic society, including in
order to protect the rights and reputation of another party and to guarantee the authority and
impartiality of the judicial power";
The grounds being put together;
Whereas it results from the challenged decision and from the procedural exhibits that the
Federal Court of California, to which a dispute was referred relating to the conditions of
purchase of the North American insurance company, Executive Life, and opposing the
insurance commissioner of this State to the Mutuelle d'assurance artisanale de France (La
MAAF), delivered, namely in April and December of 2000, international civil rogatory
commissions aiming at the communication by this company of documents relating to the
dispute, according to the terms defined by the Hague Convention of March 18, 1970; that
Christopher X..., the local lawyer in France for the North American lawyer of the insurance
commissioner, contacted Jean-Claude Y..., a former Director of La MAAF, at the end of
2000, in order to obtain information on the conditions under which the decisions of the Board
of Directors had been taken at the moment of the repurchase of Executive Life, alleging that
"the members of the Board of Directors had not been duly informed ... that the issue had not
been discussed and that the decisions were allegedly made in the hallways"; that after a
judicial inquiry, opened after the filing of a complaint with La MAAF as a civil party
claiming damages, Christopher X... .was indicted for having asked for or sought information
of an economic, commercial, industrial, financial or technical nature for the purpose of
gathering evidence in view of foreign judicial or administrative proceedings, facts defined
and punished by article Ibis and 3 of the law of July 26, 1968, modified;
Whereas, in order to declare the defendant guilty of this offence, the decision states that he
did not merely approach, in a neutral way, people the testimony of whom could later on be
requested in compliance with the provisions of the Hague Convention, but obtained, or at
least tried to obtain, the proof that the Directors of La MAAF had made their decision with
full knowledge of the facts; whereas the judges added that by so doing, Christopher X... has
sought, without an authorized mandate under the terms of the above-mentioned Convention,
information of an economic, commercial or nature for the purpose of gathering evidence,
likely to justify, the designation of the person approached as prosecution witness in the
pending proceedings before the Californian court and to influence his later examination;
whereas, finally, they note that, as opposed to what the defendant alleges, the law aiming at
limiting abuses that may be committed in the search for evidence, does not constitute a
disproportionate obstacle to the rights of the defense, the exercise of which is ensured by the
guarantees attached to the procedures defined by the Hague Convention;
Whereas it results from this statement that the information sought on the circumstances
under which the Board of Directors of La MAAF made its decisions on the purchase of
Executive Life is of an economic, financial or commercial nature for the purpose of gathering
4
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evidence in foreign administrative proceedings, the Court of Appeals, which answered the
peremptory arguments of the pleadings, justified its decision, in compliance with the invoked
conventional texts;
Whereas the arguments of the appeal must be set aside;
And whereas the challenged decision is valid in its form;
REJECTS the cassation appeal;
The Cour de Cassation, Criminal Chamber ruled and pronounced so, in a public hearing,
on the date indicated above;
Further to the report of Ms. NOCQUET, Counselor, the observations of the firm PIWNICA
& MOL1N1, attorneys at law, and the pleadings of Mr. BOCCON-GIBOD, General
Attorney;
M. COTTE, President.
5
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Pg
LA COUR DE CASSATION, CHAMBRE CRIMINELLE.
Formation restreinte,
12 d~cernbre 2007.
Pourvoi n' 07-83.228. Arrdt n0 7168.
BULLETIN CRIMINEL - BULLETIN D'JNFORMATION.
Statuant sur le pourvol forms par
- X... Christopher,
contre i'arr~t de Ia cour d'appeJ de PARIS, 9e chambre, en date du 28 mars 2007, qul, pour recherche de
renseignements d'ordre dconomlque, commercial, industrial, fihancier ou technique tendant 6 la constitution de
preuves dans une procddure 4trang~re, ia condarrnd A id 000 euros d'amende
Vu le m6moire produit
Sur ie premier moyen de cassatlon, pris de la violation et fausse application du chapitre 2 de ia Convention de La
Haye du 18 mars 1970 sur i'obtentlon des preuves A l'tranger
en matl~re civile ou commercliae et des articles
1.134 du code clvii, 111-4 du code p~nal, I bis de la ioi n0168-678 du 26 juiliat 1968 modifl~e par la Ioi n* 80-538
du 16 juiliet 1980, 591 et 593 du code de procedure p~nale, d~faut et contradiction de motifs, manque de base
$4gale
.en ce que P'arrAt InfirmatIf attaqud a disciai- Christophier X... coupable du ddilt ddfl'nl A Particie 1 bis de la lol du
26 jufliet 1.968 modfidle par la lol du 16 julilaet 1980
'1aux motifs qu'll rdsulte du courrier adress6 le 21 d~cembre 2000 par Jean-Claude Y... A Christopher X.... en
rdactlon A un entretien ant~rieur, que cat avocat a solllcitd son Interlocuteur de lul fournir des Indications sur la
manl~re dont ies d~cislons du conseli d'admlnlstratlon de TaMAAF avalent dt prIses A PMpoque du rachat
d'Executive Life, aliiguant qua <cles marmbres du conseli dl'admnlnstratlon n'avalent pas dt blen lnform~s... qu'll
n avalt pas 61: ddbattu de la question et quo les ddclsions auratent dt prises dans las couloIrs * ; qu'ayant arinsl <<
pr~chd le faux pour savofr le vral *, Christopher X... slest vu r6pondre par Jean-Claude Y... qua celul-ci navalt 4:
jamals pris de d~cslson dans les couloirs dans tous las conselis d'administration auxquels [1i) aval[t] partIcIp6 >
qu'll a, de cette manl~re, obtenu, ou en tout cas tent6 d'obtenir, ia preuve que las admInIstrateurs de la MAAF
ava lent pris leurs decisions en plelne connaissance de cause ; que, contrairement A ce qu'll soutlant, Christopher
X... ne s'est donc pas contents d'approchar, de manl~re neutre, des personnas dont le tdmoignage auraft pu 6tre
ult~rieurement solltcitd clans le cadre d'une procedure c9nforme aux dispositions du chapitre 2 de la Convention de
La Haye, qul autorise la recherche de preuvqs~par un ag nt dilpomatique ou un commIssaire lnddpendant mandatd
par Tajuridictlon 6trangN-re, sous r~serve~de i'accord de I 4utorltd comp~tente ddslgn~e par i'Etat de 1'exdcutlon
qu'll a recherch6, alors qu'll 6tait d~pourvu de tout mandat autorls6 au sans de cette convention, des Informations
dont le caract~re dconomique, commercial ou financier est av~rd, at qul tendalent A Ia constitution de prauves, d~s
lors queries dtalent susceptIbles de justifier ia d~signatlon de.Jean-Claude Y... comme t~moin A charge dans Ia
procedure pendante devant la juridictlon californienna at d'orienter son Interrogatoire ult~rieur ; que linfraction A
Ilarticle ler bis de la lol nO 68-678 du 26 julilaet 1968, modiflde par Ia Ioi nO 80-538 du 16 julilaet 1980 est stablea
alors qua ias: dispositions de P'articl~e ler bis de la 101n0 68-678 du 26 julillat 11968 modlfide par la Ioi du 16
juillet 1980 sont ddlctdes sous rdserve des traitds ou accords Internatlonaux parmi lesquals figure ia Convention de
La Haye du 18 mars 1970, qul prdvolt, an son chapitre 2, Pobtention de prauves par un agent diplomatique ou un
commissaire Ind~pendant mandatd par la juridiction 6trang~re ; qua, comme Ie falsalt Christopher X... dans ses
conclusions r~gull~rement d~posdes at de ce chef ddlalssdes, l'obtentlon do preuves an application des dispositions
de ce chapitre n~cessIte laccord pr~alable des dventuels t~moins cd~s lors qu'aux termes de I'articte 17 de la
convention, le commIssaire no dispose d'aucun pouvoir de contrainte pour proc~ddr A des actas d'instruction at qua
crest un tel accord prdalable quli avalt donc cherchd A recuellilir aupr~s do son Interlocuteur, Jean-Claude Y...
'101)
'20) alors qua la lettre du 21 d~cembre 2000 adressde par Jean-Claude Y... A Christopher X... istant au dossier
do Ia procedure, la Cour de cassatlon est an mesure do s'assurer qu'ii ne rdsulte pas de ses termes qua Christopher
X... alt commis, salon 1'expresslon de la cour d'appel, ~<
un abus dans la recherche des prouvas v susceptible de
caract~rlser iinfractlon A Particle ler bis do Ia [of du 26 julilaet 1968 mais s'est, 6tant chargd des Int~r~ts de P'Etat do
Californla dans la dossier Executive Life, borrn6 A approcher des personnes dont Ie tdrnoignage pourralt 8tra
uIltrieuromant solilcitd dans Ie cadre d'une procedure conforme aux dispositions du chapltre 2 de la Convention de
La Haye at qu'en denaturant las termes clawms do Ia lettre qul lul dtalt soumise, la cour d'appel a da surcroit status
par una ddcislon emprainte de Contradiction de motifs, laquelle dolt ~tre censurde
"313)alors qua Pobtentlon do preuves en-dehors de touta soilicitation nWest pas Incrlmin~e par Particle ler bis do
la ioi du 26 juillat 1968 ; qua los termes do Ia rh&me lett(r, mottent en 6videnca qua le ~rrenseigneme nt x,selon
leqlual Jean-Claude Y... n'auralt c jarnals -pris la d~cislion dansiols couloIrs do tous las consalls d'adminlstratlon
auxquels 11a partlcfpd > ne rdsulte pas d'une solilicitatlon de Christopher X... mais d'une declaratlon spontande de
http://www.lam'ylinereflex.frlreflexv2/moduleslconsultationldow~nloadPrintHtml.jsp?p
... 01/02/2008
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2 of
son Interlocuteur, en tant que teile, non punissable
fl40) alors quill r6suite enfin des drnonclations de la lettre adress~e le 21 ddcembre 2000 par Jean-Claude Y...
Christopher X... que K a d~marche * de Christopher X... dtalt <<fondde sur la recherche de la vdrltd -oexcluant par
consdquent que ce dernler alt cherchd <~corlenter i'gvent:Uel tdmoignage ultdrleur >>de son intarlocuteur comme Va
6noncd la cour d'appel dans ses motifs une fois encore empreints de contradiction"
Sur le deuxcirne moyen dea cassatlon, prIs de la violation et fau~ssa pplicatlon des articles 1 bls de la lo[ n0 68678 du 26 julflet 1968 modfifle par la Io1 n0 8G-538 du 16 julillet 1980, 591 et 593 du code die procedure p~nale,
d~faut de motifs, manque de base Idgale
"1en ce que i'arret infirmatif attaqu6 a d~ciard Christopher X_. coupable du d~flni Ai'article 1 bis de la lol du 26
juillet 1968 modlflde par la lot du 16 juillaet 1980
"aux motifs quilt rdsulte du courrler adressd le 21 d~cembre 2000 par Jean-Claude Y... 6 Christopher X.,., en
reactlon A un entretien ant~rleur, qua cat avocat a soliicit6 son interlocuteur de lul fournir des Indications sur la
manl~re dont [es decisions du consall c'acid~nIistration de la MAAF avalent 61: prlses 6 M'poque du rachat
d'Executive Uife, alldguant que v [es membres du consell d'administration n'avaient pas 61: blen lnformds... quilt
n'avalt pas W ddbattu de la question et que les decisions auralant W prises dlans les couloirs o ; qu'ayant ainsi e
pr~chd le faux pour avoir le vral D,Christopher X... s'est-vu r6pondre par jean-Claude Y... que celui-rf navalt Oc
jamnais prIs: do declslons clans las couloirs dlans tous les Cbnselis d'admlnistration auxquels II avalt partlcIp6 'v; quill
a, de cette manibar, obtenu, ou en tout cas'tentd d'obtenir, la preuve que las admInIstrateurs de la MAAF avaient
prIs leurs declslons en plelne connaissance do cause
"Jalors que, ainsi que lavalent pertinermmant 6noncd les premiers juges, la simple allusion au fait qlua les
ddclsions d'un conseli d'administratlon soralent ou non (<prIsas dlans les couloirs )) ne constitue pas un
renseIgnement d'ordre 6conorilque, commercial, industriel, financier ou technique tombant sous le coup de l'artclce
1 bis de Ia lo1 du 26 julllet 1968" ;
Sur ietroisi~rne moyen de cassatlon, pris do la violation des articles 6 at 7 de la Convention europ~enne des
drolts de l'homme, 1 bls de Ia 101n0l 68-678 du 26 ju)llet 1968 modifide par la lol nil 80-538 du 16 juillet 1980, 591
at 593 du code do procedure pdnalea, ddfaut do motifs, manque de base Idgale
lien ce que l'arr&t InfI'rmatif attaqud a ddclard Christopher X... coupable du dlIft d~finl 6 I'artlcle Ibis da la lol du
26 juillet 1968 modlffde par la Iol du 16 julillat 1980 ;
"aux motifs qua contralrement b ca qua soutlant Christopher X.... cette Incrimination qui vise 6 limiter las abus
pouvant 6tre commis dlans la recherche do la preuve, ne constltue pas ~cune entrave disproportionn~a aux drolts
da la d~fense * ; que 1'exercice de ces droits; est assurd par las garantlas attachdes aux proc~dcures Instaur~es par
la Convention de La Haye ;
"101) alors que ne sauralt i~tre consId~rde comma un acabus dans la recherche des preuves v, la sollicitatlon, 6 la
supposer avdrde, d'un ranselignernent d'ordre kconornlque, commercial, industrial, financier ou technique op~rd
comnme en I'espke sans contraintea
"29) afors quo le drolt au proc~s Equitable auquel les Etats no sont. autorlsds 6 n'apporter aucuna restriction (si
ce n'est en ice qul concerne la publlcitd de I'audience) Implique~une recherche fibre et sans entrave de la preuve at
qua l'artlcla Ibis dea la 101
du 26 juill~et 11968, en tant qu'll~est initerpridt6 comma falsant obstacie 6 1'exercice da ce
droit, est incompatible avec las dispositions'des artcIcla 6 at 7 de la Convention europdenne des drolts de
i'ormma";
Sur le quatrl~rne moyan de cassatlon, prIs de la violation des articles 10 dea la Convention europdenne des drolts
de l'homme, 1 bls do la lol n0 68-678 du 26 juillet 1968 modlflde par la lol n0 80-538 du 16 juillet 1980, 591 at 593
du code do proc~dure p~nale, d~faut da motifs, 'manque de base 16gale ;
".en ce que I'arr~t infIrmatif attaqud a ddclar6 Christopher X... coupable du ddllt WINl
26 julillat 1968 modlflde par la Iol du 16 juillet 1980 ;
~ I'article ibis de Ia 101du
"10) alors qua las dispositions do I'artIcle ler bNs do la lol n0 68-678 du 26 juillat 1968 sent ~ddkt~es sous r4serve
des traltds ou accords InternatIonaux parmi lasquals figure [a Convention evropdenne des drolts do l'homme ; qua
cette convention pr~clse en son article 10 qua le drolt de toute parsonnea la llbert6 d'expression comprend
notarnment la libertd dea recevoir ou do communlquer des Informations sans qu'll pulsse y avoIr Ing~rance
d'autorftds pubiiquas at sans consfd~ration do fronti~re at qua sanctionner p~nalemnent las propos d'un avocat qul
s'est born 6&faire Rtat au cours d'une conversation t~ldphonique adress~e & Panclan dirigeant d'une mutuelle do ce
qua ~clas membres; du consell d'admInistratlon (do cette mutuelia) navalent pas dt6 bien Inform~s, quli) navait pas
61:6 d~battu do la question et quo les d~clsions auralent 61t6 prisas dans les couloirs )>constItue une entrave t la
Ilbert6 d'expresslon at par consequent une violation do l'article 10 susvisd ;
'20) alors qua cotta entrave Ala llbert6 d'expression n'est pas justifide au sans do I'artilci
10-2 do la convention
d~s lors qua i'interdiction g~ndrale at absolue de communIquer tout <(renseignement* - si anodin solt-11 - i d'ordre
dconomnique, commercial, IndustrIal, fInancier ou technique tendant h la constitution do preuves. en vue dea
procedures judicilares ou administratlves dtrangbres ou dans le cadre do celies-cl *, constitue une mesure non
ndcessalra at par consequent dlsproportlonn~e dans una socldtd ddmocrat~que y compris pour protdger los drolts at
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Case
1:06-cv-00702-CPS-MDG
Impression
du document
Document 135-2
Filed 02/20/2008
Page
of39
Page 39 of
la r6putation d'autrui et pour garantirl'autoritd atlPim~artialllt6 du pouvoirjudlcia Ire';
Les moyens dtant r~unis
Attendlu quill rdsuite de I'arrdt attaqu6 et des plicas de procddure qlue le tribunal f6ddrai de Californie, saisi d'un
iltige portant sur ies conditions de la reprise de la soci~td d'assurance vie nord-am~ricalne Executive Life et
opposant le commissalre aux assurances de cet Etat 6 [a socl~t6 Mutuelle d'assurance artlsanale de France (MAAF),
a ddiivr~,-notammrent en avrii et ddcem~bre 2000, des commissions rogatoires clvlles internationales tendlant 6 la
communication, par cette dernibre socilt6, de documents se rapportant au Iltige, selon les modailt~s ddfinles par la
Convention de La H-aye du 18 mars 1970 ;que Chritopher X.... avocat correspondant en France de iavocat nordam~ricain du commissaire aux assurances, a, & la fin de IVann~e 2000( contacts Jean-Claude Y..., anclen
administrateur de ia MAAF, pour obtenir des renseignements sur ies conditions dans iesquelias avalent dt prisas
ies d(!clslons du conseil d'admInIstratfon de cette socidtO 6 i'poque du rachat d'Executive Life, aii~guant que "ies
membres du consell d'admInIstration n~avalent pas dt bien inform6s... qu'li navalt pas 61:6 d~battu de la question
et qua ies d~clsions auralent dtd prises dans ies couloIrs" ; qu'au terme d'une Information judiclaire, ouverte sur
piainte avec constitution de partie civile de ia MAAF, Christopher X... a Rd renvoyd devant ie tribunal pour avoir
demands ou recherchM des renseignements d'ordre 6conomIque, commercial, Industriei, financier ou technique
tencdant 6 la constitution de preuves en vile de procedures judicalires ou adminIstratives dtrang~res, falts prdvus et
r~prim~s par ies articles 1 bis et 3 de la ioi du 26 JuIllet 1968, modif'i~e
Attendu que, pour d~clarer [a pr6venu Co4Jpabie de cette Infraction, Parrdt 6nonce que celui-ci ne sest pas
contentd d'approcher, de manilre neutre, des personnes dont la t~moignage aurait pu 6tre ultdrieurement soliicits
conform~ment aux dispositions de ia Convention de la i-aye, mals a obtenu, ou, en tout cas tents d'obtenlr, la
preuve qlue ies administrateurs de la MAAF avalent pris leur d~cision en plelne con nalssance de cause; qlue les
juges ajoutent qu'en agissant ainst, Christopher X... a recherche, alors qlull dtalt ddpourvu de tout mandat autorlsd
au sans de la convention prdcltde, des Informatlons Acaractbre Aconomique, commercial ou financier tendant Aia
constitution de prauves, susceptibles de justifier la d~signation de la personne approchde comma t~moin 6 charge
dans ia proc~cdure suivia devant la Juridiction c~illfrnienn6eat d'orlanter son interrogatoire ultdrleur ; quills rel~vent,
enfin, que, contralrement 6 ce qua soutiant le prdvenu, i'in~crimlnation, qui vise A limiter ies abus pouvant Atre
commis dans ia recherche de la preuve, ne const~tue pas une entrave disproportlonnde aux drolts de la d6fensej
dont Pexercice est assurd par les garantles attachdes aux procedures instaur~es par la convention de La Haye
Attendu qu'en PNtat de ces drnonclations, d'oO 1irdsulte que les renseignements recherchds sur les circonstances
dans iesquelles le consail d'adminlstration de la MAAF a prIs ses d~clsions sur ie rachat de la soci[t Executive Life
sont d'ordre dconornIque, financier ou comm~ercial et tendant 5 la constitution de preuves dans une procedure
judclcaire dtrang~re, la cour d'appel, qui a rdpondu aux arguments p~remptolres des conciusions, a justlfI6 sa
ddcislon, sans m~connaltre [as textas conventionneis InVocqu~s
Vo1 suit que [es moyens dolvent 8tre kcort~s;
Et attendlu qua Varrft est r~gulier en la forme;
REJETTE ie pourvol
Ainsi jugs et prononcd par ia cour de cassation, chamnbre criminalia, an son audience publique, ies jour, mois et
an qua dessus ;
Sur le rapport de Mine le conseillaer NOCQUET, les observations de
la socidtd clviie professionnelie PIWNICA at MOLINIt, avocat en la Cour, et las conclusions de M.ravocat
96ndral BOCCON-GIBOD;
M. COTTE president.
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... 01/02/2008