# C_2022112EN.01003301.xml

| 8.3.2022 | EN | Official Journal of the European Union | C 112/33 |
| --- | --- | --- | --- |

8.3.2022

EN

Official Journal of the European Union

C 112/33

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Statement of revenue and expenditure of the European Securities and Markets Authority (ESMA) for the financial year 2021 – amending budget No 1

(2022/C 112/07)

REVENUE

| Title
  Chapter | Heading | Budget 2021 | Amending budget No 1 | New amount |
| --- | --- | --- | --- | --- |
| 1 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES |
| 1 0 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES | 23 936 648 | | 23 936 648 |
| | Title 1 — Total | 23 936 648 | | 23 936 648 |
| 2 | CONTRIBUTION FROM THE EUROPEAN UNION |
| 2 0 | CONTRIBUTION FROM THE EUROPEAN UNION | 18 071 139 | | 18 071 139 |
| | Title 2 — Total | 18 071 139 | | 18 071 139 |
| 3 | FEES PAID TO THE AUTHORITY |
| 3 0 | FEES PAID TO THE AUTHORITY | 17 087 867 | –1 133 879 | 15 953 988 |
| | Title 3 — Total | 17 087 867 | –1 133 879 | 15 953 988 |
| 4 | CONTRIBUTION FROM OBSERVERS |
| 4 0 | CONTRIBUTION FROM OBSERVERS | 741 073 | | 741 073 |
| | Title 4 — Total | 741 073 | | 741 073 |
| 6 | ADMINISTRATIVE OPERATIONS |
| 6 0 | ADMINISTRATIVE OPERATIONS | 0 | | 0 |
| | Title 6 — Total | 0 | | 0 |
| 7 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS |
| 7 0 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS | 1 722 449 | | 1 722 449 |
| | Title 7 — Total | 1 722 449 | | 1 722 449 |
| | GRAND TOTAL | 61 559 176 | –1 133 879 | 60 425 297 |

Title

Chapter

Heading

Budget 2021

Amending budget No 1

New amount

1

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES

1 0

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES

23 936 648

23 936 648

Title 1 — Total

23 936 648

23 936 648

2

CONTRIBUTION FROM THE EUROPEAN UNION

2 0

CONTRIBUTION FROM THE EUROPEAN UNION

18 071 139

18 071 139

Title 2 — Total

18 071 139

18 071 139

3

FEES PAID TO THE AUTHORITY

3 0

FEES PAID TO THE AUTHORITY

17 087 867

–1 133 879

15 953 988

Title 3 — Total

17 087 867

–1 133 879

15 953 988

4

CONTRIBUTION FROM OBSERVERS

4 0

CONTRIBUTION FROM OBSERVERS

741 073

741 073

Title 4 — Total

741 073

741 073

6

ADMINISTRATIVE OPERATIONS

6 0

ADMINISTRATIVE OPERATIONS

0

0

Title 6 — Total

0

0

7

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS

7 0

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS

1 722 449

1 722 449

Title 7 — Total

1 722 449

1 722 449

GRAND TOTAL

61 559 176

–1 133 879

60 425 297

EXPENDITURE

| Title
  Chapter | Heading | Budget 2021 | Amending budget No 1 | New amount |
| --- | --- | --- | --- | --- |
| 1 | STAFF EXPENDITURE |
| 1 1 | STAFF IN ACTIVE EMPLOYMENT | 37 599 669 | –1 133 879 | 36 465 790 |
| 1 2 | EXPENDITURE RELATING TO STAFF MANAGEMENT AND RECRUITMENT | 535 000 | | 535 000 |
| 1 4 | SOCIAL-MEDICAL INFRASTRUCTURE | 819 577 | | 819 577 |
| 1 6 | TRAINING | 300 000 | | 300 000 |
| | Title 1 — Total | 39 254 246 | –1 133 879 | 38 120 367 |
| 2 | INFRASTRUCTURE AND ADMINISTRATIVE EXPENDITURE |
| 2 0 | RENTAL OF BUILDING AND ASSOCIATED COSTS | 6 216 000 | | 6 216 000 |
| 2 1 | INFORMATION AND COMMUNICATION TECHNOLOGY | 450 000 | | 450 000 |
| 2 3 | CURRENT ADMINISTRATIVE EXPENDITURE | 1 262 000 | | 1 262 000 |
| 2 7 | REPRESENTATION EXPENSES, RECEPTIONS AND EVENTS | 6 000 | | 6 000 |
| | Title 2 — Total | 7 934 000 | | 7 934 000 |
| 3 | OPERATING EXPENDITURES |
| 3 1 | TRAINING FOR A COMMON SUPERVISORY CULTURE | 0 | | 0 |
| 3 2 | COLLECTION OF INFORMATION: IT PROJECTS | 9 930 000 | | 9 930 000 |
| 3 4 | LEGAL ADVICE | 80 000 | | 80 000 |
| 3 5 | ACCESS TO DATA FOR ECONOMIC RESEARCH | 625 000 | | 625 000 |
| 3 6 | MISSIONS EXPENSES, TRAVEL AND INCIDENTAL EXPENSES | 135 300 | | 135 300 |
| 3 7 | COMMUNICATION | 783 000 | | 783 000 |
| 3 8 | MEETING EXPENSES | 272 507 | | 272 507 |
| 3 9 | SERVICES ON OPERATIONAL MATTERS | 55 123 | | 55 123 |
| | Title 3 — Total | 11 880 930 | | 11 880 930 |
| 4 | DELEGATED TASKS |
| 4 0 | SINGLE INTERFACE TO TRADE REPOSITORIES | 700 000 | | 700 000 |
| 4 1 | INSTRUMENTS REFERENCE DATA | 1 790 000 | | 1 790 000 |
| | Title 4 — Total | 2 490 000 | | 2 490 000 |
| 9 | ITEMS OUTSIDE THE FORESEEN BUDGET LINES |
| 9 0 | ITEMS OUTSIDE THE FORESEEN BUDGET LINES | | | |
| | Title 9 — Total | | | |
| | GRAND TOTAL | 61 559 176 | –1 133 879 | 60 425 297 |

Title

Chapter

Heading

Budget 2021

Amending budget No 1

New amount

1

STAFF EXPENDITURE

1 1

STAFF IN ACTIVE EMPLOYMENT

37 599 669

–1 133 879

36 465 790

1 2

EXPENDITURE RELATING TO STAFF MANAGEMENT AND RECRUITMENT

535 000

535 000

1 4

SOCIAL-MEDICAL INFRASTRUCTURE

819 577

819 577

1 6

TRAINING

300 000

300 000

Title 1 — Total

39 254 246

–1 133 879

38 120 367

2

INFRASTRUCTURE AND ADMINISTRATIVE EXPENDITURE

2 0

RENTAL OF BUILDING AND ASSOCIATED COSTS

6 216 000

6 216 000

2 1

INFORMATION AND COMMUNICATION TECHNOLOGY

450 000

450 000

2 3

CURRENT ADMINISTRATIVE EXPENDITURE

1 262 000

1 262 000

2 7

REPRESENTATION EXPENSES, RECEPTIONS AND EVENTS

6 000

6 000

Title 2 — Total

7 934 000

7 934 000

3

OPERATING EXPENDITURES

3 1

TRAINING FOR A COMMON SUPERVISORY CULTURE

0

0

3 2

COLLECTION OF INFORMATION: IT PROJECTS

9 930 000

9 930 000

3 4

LEGAL ADVICE

80 000

80 000

3 5

ACCESS TO DATA FOR ECONOMIC RESEARCH

625 000

625 000

3 6

MISSIONS EXPENSES, TRAVEL AND INCIDENTAL EXPENSES

135 300

135 300

3 7

COMMUNICATION

783 000

783 000

3 8

MEETING EXPENSES

272 507

272 507

3 9

SERVICES ON OPERATIONAL MATTERS

55 123

55 123

Title 3 — Total

11 880 930

11 880 930

4

DELEGATED TASKS

4 0

SINGLE INTERFACE TO TRADE REPOSITORIES

700 000

700 000

4 1

INSTRUMENTS REFERENCE DATA

1 790 000

1 790 000

Title 4 — Total

2 490 000

2 490 000

9

ITEMS OUTSIDE THE FORESEEN BUDGET LINES

9 0

ITEMS OUTSIDE THE FORESEEN BUDGET LINES

Title 9 — Total

GRAND TOTAL

61 559 176

–1 133 879

60 425 297

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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