476.87 (1) A judge dealing with an application under section 476.86 or 476.88 who is satisfied that a nomination contestant or a financial agent has not provided the documents referred to in subsection 476.75(1), (10), (11), (12) or (15) in accordance with this Act because of a failure of the financial agent or a predecessor of the financial agent shall, by order served personally, require the financial agent or that predecessor to appear before the judge.

In this vein, we are pushing for solutions that ensure, first of all, that excessive risk taking policies are avoided on a preventive basis, in order to address, among others, the too big to fail problem or the accumulation of systemic risks in certain financial markets or agents.

These intermediaries or financial agents must also provide the information that you referred to.

5. Officials of, as well as those authorised or appointed by, the competent authority of the Member State in whose territory the inspection is to be conducted shall, at the request of the European Supervisory Authority (European Securities and Markets Authority), actively assist the officials and other persons authorised by the European Supervisory Authority (European Securities and Markets Authority).

Let us not forget that they exist as a profession in the vast majority of Member States and they serve an important role to the benefit of all financial agents and especially for small- to medium-sized enterprises whose activities are of vital importance to European growth.

22. Recognises the great importance of financial service intermediaries (agents and brokers), in providing financial services from other Member States to consumers and SMEs; calls on the Commission to ensure a framework that will strengthen that industrial sector; reiterates that any framework for that sector must follow the principle 'same business, same risks, same rules', while avoiding an ill-adapted 'one-size-fits-all' approach; stresses that any provision for intermediaries must ensure legal certainty for agents and brokers, as well as the protection of consumers, fo ...[+++]r example from dubious sales practices; emphasises, furthermore, that rules should also be established for the training of financial services intermediaries and advertising and sales consultancies;