# C_2020107EN.01014501.xml

| 31.3.2020 | EN | Official Journal of the European Union | C 107/145 |
| --- | --- | --- | --- |

31.3.2020

EN

Official Journal of the European Union

C 107/145

---

Statement of revenue and expenditure of the European Securities and Markets Authority (ESMA) for the financial year 2020

(2020/C 107/29)

REVENUE

| Title
  Chapter | Heading | Financial year 2020 | Financial year 2019 | Financial year 2018 |
| --- | --- | --- | --- | --- |
| 1 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES |
| 1 0 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES | 22 015 379 | 19 659 349 | 18 425 189 ,— |
| | Title 1 — Total | 22 015 379 | 19 659 349 | 18 425 189 ,— |
| 2 | CONTRIBUTION FROM THE EUROPEAN UNION |
| 2 0 | CONTRIBUTION FROM THE EUROPEAN UNION | 20 112 045 | 13 612 497 | 11 768 296 ,— |
| | Title 2 — Total | 20 112 045 | 13 612 497 | 11 768 296 ,— |
| 3 | FEES PAID TO THE AUTHORITY |
| 3 0 | FEES PAID TO THE AUTHORITY | 13 383 007 | 11 527 276 | 11 411 958 ,— |
| | Title 3 — Total | 13 383 007 | 11 527 276 | 11 411 958 ,— |
| 4 | CONTRIBUTION FROM OBSERVERS |
| 4 0 | CONTRIBUTION FROM OBSERVERS | 625 437 | 558 504 | 523 443 ,— |
| | Title 4 — Total | 625 437 | 558 504 | 523 443 ,— |
| 6 | ADMINISTRATIVE OPERATIONS |
| 6 0 | ADMINISTRATIVE OPERATIONS | 200 000 | 0 ,— | 0 ,— |
| | Title 6 — Total | 200 000 | 0 ,— | 0 ,— |
| 7 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS |
| 7 0 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS | 1 697 615 | 2 021 728 | 2 167 976 ,— |
| | Title 7 — Total | 1 697 615 | 2 021 728 | 2 167 976 ,— |
| | GRAND TOTAL | 58 033 483 | 47 379 354 | 44 296 862 ,— |

Title

Chapter

Heading

Financial year 2020

Financial year 2019

Financial year 2018

1

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES

1 0

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES

22 015 379

19 659 349

18 425 189 ,—

Title 1 — Total

22 015 379

19 659 349

18 425 189 ,—

2

CONTRIBUTION FROM THE EUROPEAN UNION

2 0

CONTRIBUTION FROM THE EUROPEAN UNION

20 112 045

13 612 497

11 768 296 ,—

Title 2 — Total

20 112 045

13 612 497

11 768 296 ,—

3

FEES PAID TO THE AUTHORITY

3 0

FEES PAID TO THE AUTHORITY

13 383 007

11 527 276

11 411 958 ,—

Title 3 — Total

13 383 007

11 527 276

11 411 958 ,—

4

CONTRIBUTION FROM OBSERVERS

4 0

CONTRIBUTION FROM OBSERVERS

625 437

558 504

523 443 ,—

Title 4 — Total

625 437

558 504

523 443 ,—

6

ADMINISTRATIVE OPERATIONS

6 0

ADMINISTRATIVE OPERATIONS

200 000

0 ,—

0 ,—

Title 6 — Total

200 000

0 ,—

0 ,—

7

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS

7 0

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS

1 697 615

2 021 728

2 167 976 ,—

Title 7 — Total

1 697 615

2 021 728

2 167 976 ,—

GRAND TOTAL

58 033 483

47 379 354

44 296 862 ,—

EXPENDITURE

| Title
  Chapter | Heading | Appropriations 2020 | Appropriations 2019 | Outturn 2018 |
| --- | --- | --- | --- | --- |
| 1 | STAFF EXPENDITURE |
| 1 1 | STAFF IN ACTIVE EMPLOYMENT | 34 840 483 | 26 729 738 | 24 240 384 ,— |
| 1 2 | EXPENDITURE RELATING TO STAFF MANAGEMENT AND RECRUITMENT | 600 000 | 325 300 | 380 200 ,— |
| 1 4 | SOCIAL-MEDICAL INFRASTRUCTURE | 820 000 | 568 407 | 546 662 ,— |
| 1 6 | TRAINING | 305 000 | 234 953 | 357 200 ,— |
| | Title 1 — Total | 36 565 483 | 27 858 398 | 25 524 446 ,— |
| 2 | INFRASTRUCTURE AND ADMINISTRATIVE EXPENDITURE |
| 2 0 | RENTAL OF BUILDING AND ASSOCIATED COSTS | 6 560 000 | 7 074 108 | 6 009 217 ,— |
| 2 1 | INFORMATION AND COMMUNICATION TECHNOLOGY | 600 000 | 354 421 | 290 958 ,— |
| 2 3 | CURRENT ADMINISTRATIVE EXPENDITURE | 855 000 | 668 586 | 858 567 ,— |
| 2 7 | REPRESENTATION EXPENSES, RECEPTIONS AND EVENTS | 6 000 | 5 000 | 6 507 ,— |
| | Title 2 — Total | 8 021 000 | 8 102 115 | 7 165 249 ,— |
| 3 | OPERATING EXPENDITURES |
| 3 1 | TRAINING FOR A COMMON SUPERVISORY CULTURE | 50 000 | 840 | 35 365 ,— |
| 3 2 | COLLECTION OF INFORMATION: IT PROJECTS | 8 540 000 | 7 244 570 | 6 898 589 ,— |
| 3 4 | LEGAL ADVICE | 150 000 | 60 332 | 283 521 ,— |
| 3 5 | ACCESS TO DATA FOR ECONOMIC RESEARCH | 600 000 | 418 485 | 346 117 ,— |
| 3 6 | MISSIONS EXPENSES, TRAVEL AND INCIDENTAL EXPENSES | 610 000 | 512 196 | 526 755 ,— |
| 3 7 | COMMUNICATION | 517 000 | 558 757 | 647 518 ,— |
| 3 8 | MEETING EXPENSES | 445 000 | 324 882 | 369 509 ,— |
| 3 9 | SERVICES ON OPERATIONAL MATTERS | 85 000 | 87 021 | 113 880 ,— |
| | Title 3 — Total | 10 997 000 | 9 207 083 | 9 221 254 ,— |
| 4 | DELEGATED TASKS |
| 4 0 | SINGLE INTERFACE TO TRADE REPOSITORIES | 400 000 | 221 758 | 595 913 ,— |
| 4 1 | INSTRUMENTS REFERENCE DATA | 2 050 000 | 1 990 000 | 1 790 000 ,— |
| | Title 4 — Total | 2 450 000 | 2 211 758 | 2 385 913 ,— |
| 9 | ITEMS OUTSIDE THE FORESEEN BUDGET LINES |
| 9 0 | ITEMS OUTSIDE THE FORESEEN BUDGET LINES | | p.m. | |
| | Title 9 — Total | | p.m. | |
| | GRAND TOTAL | 58 033 483 | 47 379 354 | 44 296 862 ,— |

Title

Chapter

Heading

Appropriations 2020

Appropriations 2019

Outturn 2018

1

STAFF EXPENDITURE

1 1

STAFF IN ACTIVE EMPLOYMENT

34 840 483

26 729 738

24 240 384 ,—

1 2

EXPENDITURE RELATING TO STAFF MANAGEMENT AND RECRUITMENT

600 000

325 300

380 200 ,—

1 4

SOCIAL-MEDICAL INFRASTRUCTURE

820 000

568 407

546 662 ,—

1 6

TRAINING

305 000

234 953

357 200 ,—

Title 1 — Total

36 565 483

27 858 398

25 524 446 ,—

2

INFRASTRUCTURE AND ADMINISTRATIVE EXPENDITURE

2 0

RENTAL OF BUILDING AND ASSOCIATED COSTS

6 560 000

7 074 108

6 009 217 ,—

2 1

INFORMATION AND COMMUNICATION TECHNOLOGY

600 000

354 421

290 958 ,—

2 3

CURRENT ADMINISTRATIVE EXPENDITURE

855 000

668 586

858 567 ,—

2 7

REPRESENTATION EXPENSES, RECEPTIONS AND EVENTS

6 000

5 000

6 507 ,—

Title 2 — Total

8 021 000

8 102 115

7 165 249 ,—

3

OPERATING EXPENDITURES

3 1

TRAINING FOR A COMMON SUPERVISORY CULTURE

50 000

840

35 365 ,—

3 2

COLLECTION OF INFORMATION: IT PROJECTS

8 540 000

7 244 570

6 898 589 ,—

3 4

LEGAL ADVICE

150 000

60 332

283 521 ,—

3 5

ACCESS TO DATA FOR ECONOMIC RESEARCH

600 000

418 485

346 117 ,—

3 6

MISSIONS EXPENSES, TRAVEL AND INCIDENTAL EXPENSES

610 000

512 196

526 755 ,—

3 7

COMMUNICATION

517 000

558 757

647 518 ,—

3 8

MEETING EXPENSES

445 000

324 882

369 509 ,—

3 9

SERVICES ON OPERATIONAL MATTERS

85 000

87 021

113 880 ,—

Title 3 — Total

10 997 000

9 207 083

9 221 254 ,—

4

DELEGATED TASKS

4 0

SINGLE INTERFACE TO TRADE REPOSITORIES

400 000

221 758

595 913 ,—

4 1

INSTRUMENTS REFERENCE DATA

2 050 000

1 990 000

1 790 000 ,—

Title 4 — Total

2 450 000

2 211 758

2 385 913 ,—

9

ITEMS OUTSIDE THE FORESEEN BUDGET LINES

9 0

ITEMS OUTSIDE THE FORESEEN BUDGET LINES

p.m.

Title 9 — Total

p.m.

GRAND TOTAL

58 033 483

47 379 354

44 296 862 ,—

Establishment plan

| Function group and grade | 2020 | 2019 | 2018 |
| --- | --- | --- | --- |
| Permanent posts | Temporary posts | Permanent posts | Temporary posts | Permanent posts | Temporary posts |
| AD 16 | — | 2 | — | 1 | — | 1 |
| AD 15 | — | 3 | — | 2 | — | 1 |
| AD 14 | — | — | — | 6 | — | — |
| AD 13 | — | 3 | — | 2 | — | 2 |
| AD 12 | — | 7 | — | 7 | — | 6 |
| AD 11 | — | 14 | — | 14 | — | 9 |
| AD 10 | — | 17 | — | 17 | — | 14 |
| AD 9 | — | 39 | — | 39 | — | 28 |
| AD 8 | — | 30 | — | 30 | — | 28 |
| AD 7 | — | 57 | — | 58 | — | 26 |
| AD 6 | — | 10 | — | 10 | — | 14 |
| AD 5 | — | 32 | — | 11 | — | 15 |
| Total AD | — | 214 | — | 197 | — | 144 |
| AST 11 | — | — | — | — | — | — |
| AST 10 | — | — | — | — | — | — |
| AST 9 | — | — | — | — | — | — |
| AST 8 | — | 2 | — | 2 | — | 2 |
| AST 7 | — | 3 | — | 3 | — | 2 |
| AST 6 | — | 3 | — | 3 | — | 3 |
| AST 5 | — | 3 | — | 3 | — | 4 |
| AST 4 | — | 1 | — | 1 | — | 1 |
| AST 3 | — | — | — | 1 | — | — |
| AST 2 | — | — | — | — | — | — |
| AST 1 | — | — | — | — | — | — |
| Total AST | — | 12 | — | 13 | — | 12 |
| AST/SC6 | — | — | — | — | — | — |
| AST/SC5 | — | — | — | — | — | — |
| AST/SC4 | — | — | — | — | — | — |
| AST/SC3 | — | — | — | — | — | — |
| AST/SC2 | — | — | — | — | — | — |
| AST/ASC1 | — | — | — | — | — | — |
| Total AST/SC | — | — | — | — | — | — |
| Total | — | 226 | — | 210 | — | 156 |
| Grand Total | 226 | 210 | 156 |

Function group and grade

2020

2019

2018

Permanent posts

Temporary posts

Permanent posts

Temporary posts

Permanent posts

Temporary posts

AD 16

—

2

—

1

—

1

AD 15

—

3

—

2

—

1

AD 14

—

—

—

6

—

—

AD 13

—

3

—

2

—

2

AD 12

—

7

—

7

—

6

AD 11

—

14

—

14

—

9

AD 10

—

17

—

17

—

14

AD 9

—

39

—

39

—

28

AD 8

—

30

—

30

—

28

AD 7

—

57

—

58

—

26

AD 6

—

10

—

10

—

14

AD 5

—

32

—

11

—

15

Total AD

—

214

—

197

—

144

AST 11

—

—

—

—

—

—

AST 10

—

—

—

—

—

—

AST 9

—

—

—

—

—

—

AST 8

—

2

—

2

—

2

AST 7

—

3

—

3

—

2

AST 6

—

3

—

3

—

3

AST 5

—

3

—

3

—

4

AST 4

—

1

—

1

—

1

AST 3

—

—

—

1

—

—

AST 2

—

—

—

—

—

—

AST 1

—

—

—

—

—

—

Total AST

—

12

—

13

—

12

AST/SC6

—

—

—

—

—

—

AST/SC5

—

—

—

—

—

—

AST/SC4

—

—

—

—

—

—

AST/SC3

—

—

—

—

—

—

AST/SC2

—

—

—

—

—

—

AST/ASC1

—

—

—

—

—

—

Total AST/SC

—

—

—

—

—

—

Total

—

226

—

210

—

156

Grand Total

226

210

156

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

| Contract staff posts | 2020 |
| --- | --- |
| FG IV | 60 |
| FG III | 31 |
| FG II | — |
| FG I | — |
| Total FG | 91 |
| Seconded national experts posts | 14 |
| Total | 105 |

Contract staff posts

2020

FG IV

60

FG III

31

FG II

—

FG I

—

Total FG

91

Seconded national experts posts

14

Total

105

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