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Les contours dissymétriques du secret de l’avocat – CDBF

<!doctype html> <html lang="fr-FR" class="no-js"> <head> <meta charset="UTF-8"> <title> Les contours dissymétriques du secret de l’avocat &#8211; CDBF </title> <meta http-equiv="X-UA-Compatible" content="IE=edge"> <script type="text/javascript"> /* <![CDATA[ */ var gform;gform||(document.addEventListener("gform_main_scripts_loaded",function(){gform.scriptsLoaded=!0}),document.addEventListener("gform/theme/scripts_loaded",function(){gform.themeScriptsLoaded=!0}),window.addEventListener("DOMContentLoaded",function(){gform.domLoaded=!0}),gform={domLoaded:!1,scriptsLoaded:!1,themeScriptsLoaded:!1,isFormEditor:()=>"function"==typeof InitializeEditor,callIfLoaded:function(o){return!(!gform.domLoaded||!gform.scriptsLoaded||!gform.themeScriptsLoaded&&!gform.isFormEditor()||(gform.isFormEditor()&&console.warn("The use of gform.initializeOnLoaded() is deprecated in the form editor context and will be removed in Gravity Forms 3.1."),o(),0))},initializeOnLoaded:function(o){gform.callIfLoaded(o)||(document.addEventListener("gform_main_scripts_loaded",()=>{gform.scriptsLoaded=!0,gform.callIfLoaded(o)}),document.addEventListener("gform/theme/scripts_loaded",()=>{gform.themeScriptsLoaded=!0,gform.callIfLoaded(o)}),window.addEventListener("DOMContentLoaded",()=>{gform.domLoaded=!0,gform.callIfLoaded(o)}))},hooks:{action:{},filter:{}},addAction:function(o,r,e,t){gform.addHook("action",o,r,e,t)},addFilter:function(o,r,e,t){gform.addHook("filter",o,r,e,t)},doAction:function(o){gform.doHook("action",o,arguments)},applyFilters:function(o){return gform.doHook("filter",o,arguments)},removeAction:function(o,r){gform.removeHook("action",o,r)},removeFilter:function(o,r,e){gform.removeHook("filter",o,r,e)},addHook:function(o,r,e,t,n){null==gform.hooks[o][r]&&(gform.hooks[o][r]=[]);var d=gform.hooks[o][r];null==n&&(n=r+"_"+d.length),gform.hooks[o][r].push({tag:n,callable:e,priority:t=null==t?10:t})},doHook:function(r,o,e){var t;if(e=Array.prototype.slice.call(e,1),null!=gform.hooks[r][o]&&((o=gform.hooks[r][o]).sort(function(o,r){return o.priority-r.priority}),o.forEach(function(o){"function"!=typeof(t=o.callable)&&(t=window[t]),"action"==r?t.apply(null,e):e[0]=t.apply(null,e)})),"filter"==r)return e[0]},removeHook:function(o,r,t,n){var e;null!=gform.hooks[o][r]&&(e=(e=gform.hooks[o][r]).filter(function(o,r,e){return!!(null!=n&&n!=o.tag||null!=t&&t!=o.priority)}),gform.hooks[o][r]=e)}}); /* ]]> */ </script> <meta name="viewport" content="width=device-width, initial-scale=1.0, minimum-scale=1.0"> <meta name="theme-color" content="#ea2221"> <link href="https://cdbf.ch/wp-content/themes/cdbf/img/favicon.ico" rel="shortcut icon"> <link href="https://cdbf.ch/wp-content/themes/cdbf/img/apple-touch-icon.png" rel="apple-touch-icon-precomposed"> <meta name='robots' content='index, follow, max-image-preview:large, max-snippet:-1, max-video-preview:-1' /> <style>img:is([sizes="auto" i], [sizes^="auto," i]) { contain-intrinsic-size: 3000px 1500px }</style> <link rel="alternate" href="https://cdbf.ch/1368/" hreflang="fr" /> <link rel="alternate" href="https://cdbf.ch/de/1368/" hreflang="de" /> <link rel="alternate" href="https://cdbf.ch/en/1368/" hreflang="en" /> <!-- This site is optimized with the Yoast SEO plugin v24.7 - https://yoast.com/wordpress/plugins/seo/ --> <title>Les contours dissymétriques du secret de l’avocat &#8211; CDBF</title> <link rel="canonical" href="https://cdbf.ch/1368/" /> <meta property="og:locale" content="fr_FR" /> <meta property="og:locale:alternate" content="de_DE" /> <meta property="og:locale:alternate" content="en_GB" /> <meta property="og:type" content="article" /> <meta property="og:title" content="Enquêtes internes : Les contours dissymétriques du secret de l’avocat - CDBF" /> <meta property="og:description" content="Les arrêts du Tribunal fédéral 7B_158/2023 et 7B_874/2023 du 6 août 2024 ont été rendus dans la même affaire, par la 2ème Cour de droit pénal, dans le contexte d’une procédure de scellés. 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href="https://cdbf.ch/category/enquete-interne/">Enquête interne</a> <a rel="category tag" class="text-dark-grey" href="https://cdbf.ch/category/finma/">FINMA</a> </h6> </div> </div> </article> <hr class="mb-4" data-aos="fade-up" /> <a class="btn btn-secondary" href="https://cdbf.ch/category/enquete-interne/">Plus d'articles en relation</a> </div> <div class="col-lg-9 order-0 order-lg-1 the_content"> <div class="px-lg-4 px-xl-5 position-relative"> <h2 class="h5 font-light"><span class="text-red">Enquêtes internes</span></h2> <h1> Les contours dissymétriques du secret de l’avocat </h1> <!-- auteur --> <nav class="mobile-only mt-4 d-flex align-items-center"> <a class="bubble bubble-lg mb-2 mr-2" href="https://cdbf.ch/author/katia-villard/"> <img class="img-fluid" src="https://cdbf.ch/wp-content/uploads/2024/09/thumbnail-img-8713-2-150x150.jpg" /> </a> <h6 class="text-uppercase text-black font-light mb-2 mr-4"> <a class="text-black" href="https://cdbf.ch/author/katia-villard/"> Katia Villard</a> </h6> </nav> <!-- /auteur --> <div class="d-flex align-items-center justify-content-start"> <ul class="nav translations-list"> <li class="lang-item lang-item-1423 lang-item-de lang-item-first"><a lang="de-DE" hreflang="de-DE" href="https://cdbf.ch/de/1368/">Deutsch</a></li> <li class="lang-item lang-item-1369 lang-item-en"><a lang="en-GB" hreflang="en-GB" href="https://cdbf.ch/en/1368/">English</a></li> </ul> </div> <div class="lead mt-4"> <p>Les arrêts du Tribunal fédéral <a href="https://www.bger.ch/ext/eurospider/live/fr/php/aza/http/index.php?highlight_docid=aza://06-08-2024-7B_158-2023&amp;lang=fr&amp;zoom=&amp;type=show_document" target="_blank" rel="noopener">7B_158/2023</a> et <a href="https://www.bger.ch/ext/eurospider/live/fr/php/aza/http/index.php?highlight_docid=aza://06-08-2024-7B_874-2023&amp;lang=fr&amp;zoom=&amp;type=show_document" target="_blank" rel="noopener">7B_874/2023</a> du 6 août 2024 ont été rendus dans la même affaire, par la 2<sup>ème</sup> Cour de droit pénal, dans le contexte d’une procédure de scellés. Le premier, destiné à publication, nous parait convaincant, au contraire du second.</p> <p>Une fois n’est pas coutume – et cela a son importance – la procédure pénale n’est pas ouverte pour blanchiment d’argent mais pour infraction à la loi contre la concurrence déloyale. En résumé, le Ministère public zurichois soupçonne un individu, que l’on comprend être ou avoir été un collaborateur d’une entreprise, ainsi qu’un autre auteur inconnu au sein de celle-ci, d’avoir fourni des informations trompeuses sur la société aux investisseurs.</p> <p>Par ordre de dépôt du 31 mai 2022, le Ministère public demande à l’entreprise un rapport d’enquête interne, accompagné d’annexes, concernant les faits sous instruction et établi par une étude d’avocats. La société remet les documents et requiert simultanément l’apposition de scellés. Le 24 novembre 2022, le Tribunal des mesures de contrainte rejette la demande de levée de scellés de l’autorité de poursuite pénale et ordonne la restitution des documents à l’entreprise. Le Ministère public recourt au Tribunal fédéral.</p> <p>En parallèle, en janvier 2023, l’autorité de poursuite pénale se tourne vers la FINMA qui a mené, en lien avec les mêmes évènements, une procédure d’<em>enforcement</em>. Dans le cadre de celle-ci, l’entreprise a remis au régulateur le rapport d’enquête interne objet de la procédure de scellés susmentionnée. Le Ministère public demande à l’autorité administrative les conclusions du chargé d’enquête ayant assisté la FINMA ainsi que la décision en constatation de graves violations du droit de la surveillance rendue à l’issue de la procédure d’<em>enforcement.</em></p> <p>La FINMA transmet les documents sous scellés au procureur à la suite d’une requête à titre préventif de l’entreprise en ce sens. Le Ministère public refuse d’apposer les scellés. Saisie par la société, la Cour suprême zurichoise reconnait que les pièces transmises par la FINMA pouvaient être mises sous scellés. Le Tribunal des mesures de contrainte, se ralliant à la position du Ministère public, n&rsquo;entre pas en matière sur la demande de levée de scellés de celui-ci mais ordonne, par décision du 5 octobre 2023, «&#160;la libération&#160;» des documents en vue de leur utilisation dans la procédure pénale.</p> <p>Le Tribunal fédéral rejette tant le recours du Ministère public dirigé contre la décision de maintien des scellés sur le rapport d’enquête interne (7B_158/2023) que celui de la société contre le descellement des documents demandés à la FINMA (7B_874/2023), sans trancher la question de la possibilité de principe de la mise sous scellés de ces derniers.</p> <p>Dans son premier arrêt, le Tribunal fédéral tranche, à notre connaissance pour la première fois de manière claire, que l’établissement des faits relève de l’activité typique de l’avocat. Le rapport d’enquête interne est ainsi protégé par le secret professionnel. A noter que le propos ne peut probablement pas être transposé tel quel dans le cadre d’une procédure pour blanchiment d’argent, puisque les clarifications factuelles, y compris celles effectuées par une étude d’avocats, peuvent, suivant les circonstances, être considérées comme une tâche – atypique – de contrôle et d’audit en lien avec le respect des obligations anti-blanchiment. Ainsi, la jurisprudence – certes non publiée – rendue jusqu’alors par la 1<sup>ère</sup> Cour de droit public (cf. <a href="https://www.bger.ch/ext/eurospider/live/fr/php/aza/http/index.php?highlight_docid=aza%3A%2F%2F02-03-2023-1B_509-2022&amp;lang=fr&amp;zoom=YES&amp;type=show_document&amp;" target="_blank" rel="noopener">1B_509/2022</a> du 2 mars 2023, commenté <em>in</em> Villard <a href="https://cdbf.ch/1279/" target="_blank" rel="noopener">cdbf.ch/1279</a>), qui a été déchargée de la matière par la création, avec effet au 1<sup>er</sup> juillet 2023, de la 2<sup>ème</sup> Cour de droit pénal, nous parait <em>a priori</em> toujours d’actualité.</p> <p>Le Tribunal fédéral juge également que les annexes au rapport d’enquête, constituées de (copies de) documents préexistants internes à l’entreprise, mais qui ont été sélectionnées et triées par l’avocat sont également protégées par le secret professionnel. Le Ministère public peut en revanche évidemment séquestrer lesdits documents au sein de la société. La Haute Cour ajoute à cet égard qu’un Etat de droit doit s’accommoder du fait que le secret professionnel puisse compliquer la recherche de la vérité.</p> <p>Enfin, l’arrêt nous enseigne que la transmission à un tiers – en l’occurrence la FINMA – du rapport d’enquête interne ne fait pas automatiquement perdre au document son caractère secret.</p> <p>Cette dernière considération est toutefois largement tempérée par le deuxième arrêt du Tribunal fédéral, qui nous indique simultanément que les documents qui ont été remis, consciemment et volontairement, au tiers – en l’occurrence la FINMA – ne sont plus protégés en mains de ce dernier. En d’autres termes, selon le Tribunal fédéral, le Ministère public aurait même pu demander le rapport d’enquête interne à la FINMA… <em>A fortiori</em>, les résultats de la procédure d’<em>enforcement</em>, même s’ils se basent sur le rapport d’enquête interne, peuvent être utilisés dans la procédure pénale.</p> <p>Comme indiqué en introduction, l’approche ne nous parait pas la bonne. Premièrement, estimer que la remise de l’enquête interne, par l’assujetti au régulateur, dans le contexte d’une procédure d’<em>enforcement</em>, a été effectuée de manière (totalement) volontaire, puisqu’elle n’a visiblement pas été formellement exigée par la FINMA, nous semble relever de la fiction. Secondement, admettre, d’un côté, qu’un document ne perd pas la protection du secret de par sa transmission à un tiers, tout en acceptant, de l’autre, le prélèvement dudit document en mains de ce tiers apparait contradictoire. La question doit être résolue dans sa globalité. On rappellera à cet égard que, conformément à l’<a href="https://www.fedlex.admin.ch/eli/cc/2010/267/fr#art_264" target="_blank" rel="noopener">art. 264 CPP</a>, les documents sont protégés par le secret professionnel&#160;: «&#160;[q]uels que soient l’endroit où ils se trouvent&#160;».</p> <p>Dans le deuxième arrêt, la question qu’aurait dû se poser le Tribunal fédéral est, à notre sens, celle de savoir si, et à quel point, les informations contenues dans les conclusions du chargé d’enquête et la décision finale de la FINMA proviennent du rapport d’enquête interne et si elles auraient également pu être obtenues sans ce rapport.</p> </div> </div> </div> </div> </div> </main> <footer id="footer" class="py-5"> <div class="container"> <div class="row"> <div class="col-lg-2 mb-4 mb-lg-0 text-center text-lg-left"> <img class="img-fluid" alt="Unige" src="https://cdbf.ch/wp-content/themes/cdbf/img/unige.png"> </div> <div class="col-lg-6"> </div> <div class="col-lg-4"> <nav class="nav flex-column align-items-center align-items-lg-end text-right"> <a class="nav-link text-white font-sans-serif small" href="https://cdbf.ch/impressum/">Impressum</a> <a class="nav-link text-white font-sans-serif small" href="mailto:webmaster@cdbf.ch">Webmestre</a> <a class="nav-link text-white font-sans-serif small" href="https://cdbf.ch/charte-editoriale/">Charte éditoriale</a> <a class="nav-link text-white font-sans-serif small" href="https://cdbf.ch/politique-dutilisation-des-cookies/">Politique d&rsquo;utilisation des cookies</a> <a class="nav-link text-white font-sans-serif small" href="https://cdbf.ch/le-centre/contact/">Contact</a> </nav> </div> </div> </div> </footer> <div id="cookiebar" class="fixed-bottom w-100 text-light py-3" style="display:none;"> <div class="container"> <div class="row"> <div class="col-md-10 small"> Ce site utilise des cookies à des fins de statistiques, d’optimisation et de marketing ciblé. 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