# C_2021114EN.01017701.xml

| 31.3.2021 | EN | Official Journal of the European Union | C 114/177 |
| --- | --- | --- | --- |

31.3.2021

EN

Official Journal of the European Union

C 114/177

---

Statement of revenue and expenditure of the European Securities and Markets Authority (ESMA) for the financial year 2021

(2021/C 114/32)

REVENUE

| Title
  Chapter | Heading | Financial year 2021 | Financial year 2020 | Financial year 2019 |
| --- | --- | --- | --- | --- |
| 1 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES |
| 1 0 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES | 23 936 648 | 21 603 906 | 19 659 349 ,— |
| | Title 1 — Total | 23 936 648 | 21 603 906 | 19 659 349 ,— |
| 2 | CONTRIBUTION FROM THE EUROPEAN UNION |
| 2 0 | CONTRIBUTION FROM THE EUROPEAN UNION | 19 172 407 | 16 765 425 | 13 612 497 ,— |
| | Title 2 — Total | 19 172 407 | 16 765 425 | 13 612 497 ,— |
| 3 | FEES PAID TO THE AUTHORITY |
| 3 0 | FEES PAID TO THE AUTHORITY | 17 087 867 | 15 561 159 | 11 527 276 ,— |
| | Title 3 — Total | 17 087 867 | 15 561 159 | 11 527 276 ,— |
| 4 | CONTRIBUTION FROM OBSERVERS |
| 4 0 | CONTRIBUTION FROM OBSERVERS | 741 073 | 618 617 | 558 504 ,— |
| | Title 4 — Total | 741 073 | 618 617 | 558 504 ,— |
| 6 | ADMINISTRATIVE OPERATIONS |
| 6 0 | ADMINISTRATIVE OPERATIONS | 0 | 0 | 0 ,— |
| | Title 6 — Total | 0 | 0 | 0 ,— |
| 7 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS |
| 7 0 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS | 1 722 449 | 1 697 615 | 2 021 728 ,— |
| | Title 7 — Total | 1 722 449 | 1 697 615 | 2 021 728 ,— |
| | GRAND TOTAL | 62 660 444 | 56 246 722 | 47 379 354 ,— |

Title

Chapter

Heading

Financial year 2021

Financial year 2020

Financial year 2019

1

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES

1 0

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES

23 936 648

21 603 906

19 659 349 ,—

Title 1 — Total

23 936 648

21 603 906

19 659 349 ,—

2

CONTRIBUTION FROM THE EUROPEAN UNION

2 0

CONTRIBUTION FROM THE EUROPEAN UNION

19 172 407

16 765 425

13 612 497 ,—

Title 2 — Total

19 172 407

16 765 425

13 612 497 ,—

3

FEES PAID TO THE AUTHORITY

3 0

FEES PAID TO THE AUTHORITY

17 087 867

15 561 159

11 527 276 ,—

Title 3 — Total

17 087 867

15 561 159

11 527 276 ,—

4

CONTRIBUTION FROM OBSERVERS

4 0

CONTRIBUTION FROM OBSERVERS

741 073

618 617

558 504 ,—

Title 4 — Total

741 073

618 617

558 504 ,—

6

ADMINISTRATIVE OPERATIONS

6 0

ADMINISTRATIVE OPERATIONS

0

0

0 ,—

Title 6 — Total

0

0

0 ,—

7

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS

7 0

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS

1 722 449

1 697 615

2 021 728 ,—

Title 7 — Total

1 722 449

1 697 615

2 021 728 ,—

GRAND TOTAL

62 660 444

56 246 722

47 379 354 ,—

EXPENDITURE

| Title
  Chapter | Heading | Financial year 2021 | Financial year 2020 | Financial year 2019 |
| --- | --- | --- | --- | --- |
| 1 | STAFF EXPENDITURE |
| 1 1 | STAFF IN ACTIVE EMPLOYMENT | 37 914 176 | 29 669 439 | 26 729 738 ,— |
| 1 2 | EXPENDITURE RELATING TO STAFF MANAGEMENT AND RECRUITMENT | 450 000 | 470 000 | 325 300 ,— |
| 1 4 | SOCIAL-MEDICAL INFRASTRUCTURE | 999 000 | 565 000 | 568 407 ,— |
| 1 6 | TRAINING | 300 000 | 260 000 | 234 953 ,— |
| | Title 1 — Total | 39 663 176 | 30 964 439 | 27 858 398 ,— |
| 2 | INFRASTRUCTURE AND ADMINISTRATIVE EXPENDITURE |
| 2 0 | RENTAL OF BUILDING AND ASSOCIATED COSTS | 6 160 000 | 6 352 000 | 7 074 108 ,— |
| 2 1 | INFORMATION AND COMMUNICATION TECHNOLOGY | 450 000 | 450 000 | 354 421 ,— |
| 2 3 | CURRENT ADMINISTRATIVE EXPENDITURE | 1 215 000 | 1 110 115 | 668 586 ,— |
| 2 7 | REPRESENTATION EXPENSES, RECEPTIONS AND EVENTS | 6 000 | 6 000 | 5 000 ,— |
| | Title 2 — Total | 7 831 000 | 7 918 115 | 8 102 115 ,— |
| 3 | OPERATING EXPENDITURES |
| 3 1 | TRAINING FOR A COMMON SUPERVISORY CULTURE | 25 000 | | 840 ,— |
| 3 2 | COLLECTION OF INFORMATION: IT PROJECTS | 9 780 000 | 10 916 251 | 7 244 570 ,— |
| 3 4 | LEGAL ADVICE | 120 000 | 65 000 | 60 332 ,— |
| 3 5 | ACCESS TO DATA FOR ECONOMIC RESEARCH | 600 000 | 600 000 | 418 485 ,— |
| 3 6 | MISSIONS EXPENSES, TRAVEL AND INCIDENTAL EXPENSES | 400 000 | 70 811 | 512 196 ,— |
| 3 7 | COMMUNICATION | 260 000 | 793 200 | 558 757 ,— |
| 3 8 | MEETING EXPENSES | 360 000 | 108 529 | 324 882 ,— |
| 3 9 | SERVICES ON OPERATIONAL MATTERS | 30 000 | 2 077 | 87 021 ,— |
| | Title 3 — Total | 11 575 000 | 12 555 868 | 9 207 083 ,— |
| 4 | DELEGATED TASKS |
| 4 0 | SINGLE INTERFACE TO TRADE REPOSITORIES | 700 000 | 400 000 | 221 758 ,— |
| 4 1 | INSTRUMENTS REFERENCE DATA | 1 790 000 | 2 050 000 | 1 990 000 ,— |
| | Title 4 — Total | 2 490 000 | 2 450 000 | 2 211 758 ,— |
| 9 | ITEMS OUTSIDE THE FORESEEN BUDGET LINES |
| 9 0 | ITEMS OUTSIDE THE FORESEEN BUDGET LINES | 1 101 268 | 2 358 300 | |
| | Title 9 — Total | 1 101 268 | 2 358 300 | |
| | GRAND TOTAL | 62 660 444 | 56 246 722 | 47 379 354 ,— |

Title

Chapter

Heading

Financial year 2021

Financial year 2020

Financial year 2019

1

STAFF EXPENDITURE

1 1

STAFF IN ACTIVE EMPLOYMENT

37 914 176

29 669 439

26 729 738 ,—

1 2

EXPENDITURE RELATING TO STAFF MANAGEMENT AND RECRUITMENT

450 000

470 000

325 300 ,—

1 4

SOCIAL-MEDICAL INFRASTRUCTURE

999 000

565 000

568 407 ,—

1 6

TRAINING

300 000

260 000

234 953 ,—

Title 1 — Total

39 663 176

30 964 439

27 858 398 ,—

2

INFRASTRUCTURE AND ADMINISTRATIVE EXPENDITURE

2 0

RENTAL OF BUILDING AND ASSOCIATED COSTS

6 160 000

6 352 000

7 074 108 ,—

2 1

INFORMATION AND COMMUNICATION TECHNOLOGY

450 000

450 000

354 421 ,—

2 3

CURRENT ADMINISTRATIVE EXPENDITURE

1 215 000

1 110 115

668 586 ,—

2 7

REPRESENTATION EXPENSES, RECEPTIONS AND EVENTS

6 000

6 000

5 000 ,—

Title 2 — Total

7 831 000

7 918 115

8 102 115 ,—

3

OPERATING EXPENDITURES

3 1

TRAINING FOR A COMMON SUPERVISORY CULTURE

25 000

840 ,—

3 2

COLLECTION OF INFORMATION: IT PROJECTS

9 780 000

10 916 251

7 244 570 ,—

3 4

LEGAL ADVICE

120 000

65 000

60 332 ,—

3 5

ACCESS TO DATA FOR ECONOMIC RESEARCH

600 000

600 000

418 485 ,—

3 6

MISSIONS EXPENSES, TRAVEL AND INCIDENTAL EXPENSES

400 000

70 811

512 196 ,—

3 7

COMMUNICATION

260 000

793 200

558 757 ,—

3 8

MEETING EXPENSES

360 000

108 529

324 882 ,—

3 9

SERVICES ON OPERATIONAL MATTERS

30 000

2 077

87 021 ,—

Title 3 — Total

11 575 000

12 555 868

9 207 083 ,—

4

DELEGATED TASKS

4 0

SINGLE INTERFACE TO TRADE REPOSITORIES

700 000

400 000

221 758 ,—

4 1

INSTRUMENTS REFERENCE DATA

1 790 000

2 050 000

1 990 000 ,—

Title 4 — Total

2 490 000

2 450 000

2 211 758 ,—

9

ITEMS OUTSIDE THE FORESEEN BUDGET LINES

9 0

ITEMS OUTSIDE THE FORESEEN BUDGET LINES

1 101 268

2 358 300

Title 9 — Total

1 101 268

2 358 300

GRAND TOTAL

62 660 444

56 246 722

47 379 354 ,—

Establishment plan

| Function group and grade | |
| --- | --- |
| 2021 | 2020 |
| Authorized under the Union budget | Actually filled as at 31 December 2019 | Authorized under the Union budget |
| Permanent posts | Temporary posts | Permanent posts | Temporary posts | Permanent posts | Temporary posts |
| AD 16 | — | 1  (1) | — | 1 | — | 2 |
| AD 15 | — | 3  (2) | — | 1 | — | 3 |
| AD 14 | — | 1  (3) | — | — | — | — |
| AD 13 | — | 3 | — | — | — | 3 |
| AD 12 | — | 10 | — | 5 | — | 7 |
| AD 11 | — | 15 | — | 1 | — | 14 |
| AD 10 | — | 24 | — | 10 | — | 17 |
| AD 9 | — | 42 | — | 31 | — | 39 |
| AD 8 | — | 40 | — | 33 | — | 30 |
| AD 7 | — | 45 | — | 25 | — | 57 |
| AD 6 | — | 17 | — | 13 | — | 10 |
| AD 5 | — | 37 | — | 26 | — | 32 |
| Subtotal AD | — | 238 | — | 146 | — | 214 |
| AST 11 | — | — | — | — | — | — |
| AST 10 | — | — | — | — | — | — |
| AST 9 | — | — | — | — | — | — |
| AST 8 | — | 2 | — | — | — | 2 |
| AST 7 | — | 3 | — | — | — | 3 |
| AST 6 | — | 3 | — | — | — | 3 |
| AST 5 | — | 3 | — | 4 | — | 3 |
| AST 4 | — | 1 | — | 3 | — | 1 |
| AST 3 | — | — | — | — | — | — |
| AST 2 | — | — | — | — | — | — |
| AST 1 | — | — | — | 2 | — | — |
| Subtotal AST | — | 12 | — | 9 | — | 12 |
| AST/SC 6 | — | — | — | — | — | — |
| AST/SC 5 | — | — | — | — | — | — |
| AST/SC 4 | — | — | — | — | — | — |
| AST/SC 3 | — | — | — | — | — | — |
| AST/SC 2 | — | — | — | — | — | — |
| AST/SC 1 | — | — | — | — | — | — |
| Subtotal AST/SC | — | — | — | — | — | — |
| Total | — | 250 | — | 155 | — | 226 |
| Grand Total | 250 | 155 | 226 |
| (1)
   (2)
   (3) |

Function group and grade

2021

2020

Authorized under the Union budget

Actually filled as at 31 December 2019

Authorized under the Union budget

Permanent posts

Temporary posts

Permanent posts

Temporary posts

Permanent posts

Temporary posts

AD 16

—

1  (1)

—

1

—

2

AD 15

—

3  (2)

—

1

—

3

AD 14

—

1  (3)

—

—

—

—

AD 13

—

3

—

—

—

3

AD 12

—

10

—

5

—

7

AD 11

—

15

—

1

—

14

AD 10

—

24

—

10

—

17

AD 9

—

42

—

31

—

39

AD 8

—

40

—

33

—

30

AD 7

—

45

—

25

—

57

AD 6

—

17

—

13

—

10

AD 5

—

37

—

26

—

32

Subtotal AD

—

238

—

146

—

214

AST 11

—

—

—

—

—

—

AST 10

—

—

—

—

—

—

AST 9

—

—

—

—

—

—

AST 8

—

2

—

—

—

2

AST 7

—

3

—

—

—

3

AST 6

—

3

—

—

—

3

AST 5

—

3

—

4

—

3

AST 4

—

1

—

3

—

1

AST 3

—

—

—

—

—

—

AST 2

—

—

—

—

—

—

AST 1

—

—

—

2

—

—

Subtotal AST

—

12

—

9

—

12

AST/SC 6

—

—

—

—

—

—

AST/SC 5

—

—

—

—

—

—

AST/SC 4

—

—

—

—

—

—

AST/SC 3

—

—

—

—

—

—

AST/SC 2

—

—

—

—

—

—

AST/SC 1

—

—

—

—

—

—

Subtotal AST/SC

—

—

—

—

—

—

Total

—

250

—

155

—

226

Grand Total

250

155

226

(1)
   (2)
   (3)

Estimate of number of contract staff (expressed in full-time equivalents) and seconded national experts

| Contract staff posts | 2021 | 2020 |
| --- | --- | --- |
| FG IV | 66 | 60 |
| FG III | 35 | 31 |
| FG II | | — |
| FG I | | — |
| Total FG | 101 | 91 |
| Seconded national experts posts | 15 | 14 |
| Total | 116 | 105 |

Contract staff posts

2021

2020

FG IV

66

60

FG III

35

31

FG II

—

FG I

—

Total FG

101

91

Seconded national experts posts

15

14

Total

116

105

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(1)  1 AD 16 post for the Chair of the CCP Supervisory Committee and 1 ad personam AD 16 post from 1 January to 31 March 2021, the end of the mandate of the current ESMA Chairperson.

(2)  Of which 1 post to be used for the above mentioned ad personam AD 16 post until the end of the mandate of the current ESMA Chairperson.

(3)  To be used for an ad personam AD15 post until the end of the mandate of the current Executive Director.

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