# C_2016113EN.01016401.xml

| 30.3.2016 | EN | Official Journal of the European Union | C 113/164 |
| --- | --- | --- | --- |

30.3.2016

EN

Official Journal of the European Union

C 113/164

---

Statement of revenue and expenditure of the European Securities and Markets Authority (ESMA) for the financial year 2016

(2016/C 113/34)

REVENUE

REVENUE

| Title
  Chapter | Heading | Financial year 2016 | Financial year 2015 | Financial year 2014 |
| --- | --- | --- | --- | --- |
| 1 |
| CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES |
| 1 0 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES | 15 733 282 | 14 153 059 | 14 954 833,— |
| | Title 1 — Total | 15 733 282 | 14 153 059 | 14 954 833,— |
| 2 |
| CONTRIBUTION FROM THE EUROPEAN UNION |
| 2 0 | CONTRIBUTION FROM THE EUROPEAN UNION | 10 203 000 | 9 703 423 | 10 949 148,— |
| | Title 2 — Total | 10 203 000 | 9 703 423 | 10 949 148,— |
| 3 |
| FEES PAID TO THE AUTHORITY |
| 3 0 | FEES PAID TO THE AUTHORITY | 10 548 293 | 9 752 297 | 6 549 618,— |
| | Title 3 — Total | 10 548 293 | 9 752 297 | 6 549 618,— |
| 4 |
| CONTRIBUTION FROM OBSERVERS |
| 4 0 | CONTRIBUTION FROM OBSERVERS | 446 968 | 402 076 | 424 853,— |
| | Title 4 — Total | 446 968 | 402 076 | 424 853,— |
| 6 |
| ADMINISTRATIVE OPERATIONS |
| 6 0 | ADMINISTRATIVE OPERATIONS | — | 20 748 | 20 095,— |
| | Title 6 — Total | — | 20 748 | 20 095,— |
| 7 |
| CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS |
| 7 0 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS | 2 461 199 | 2 708 547 | 0,— |
| | Title 7 — Total | 2 461 199 | 2 708 547 | 0,— |
| | GRAND TOTAL | 39 392 742 | 36 740 150 | 32 898 547,— |

Title

Chapter

Heading

Financial year 2016

Financial year 2015

Financial year 2014

1

1

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES

1 0

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES

15 733 282

14 153 059

14 954 833,—

Title 1 — Total

Title 1 — Total

15 733 282

15 733 282

14 153 059

14 153 059

14 954 833,—

14 954 833,—

2

2

CONTRIBUTION FROM THE EUROPEAN UNION

CONTRIBUTION FROM THE EUROPEAN UNION

2 0

CONTRIBUTION FROM THE EUROPEAN UNION

10 203 000

9 703 423

10 949 148,—

Title 2 — Total

Title 2 — Total

10 203 000

10 203 000

9 703 423

9 703 423

10 949 148,—

10 949 148,—

3

3

FEES PAID TO THE AUTHORITY

FEES PAID TO THE AUTHORITY

3 0

FEES PAID TO THE AUTHORITY

10 548 293

9 752 297

6 549 618,—

Title 3 — Total

Title 3 — Total

10 548 293

10 548 293

9 752 297

9 752 297

6 549 618,—

6 549 618,—

4

4

CONTRIBUTION FROM OBSERVERS

CONTRIBUTION FROM OBSERVERS

4 0

CONTRIBUTION FROM OBSERVERS

446 968

402 076

424 853,—

Title 4 — Total

Title 4 — Total

446 968

446 968

402 076

402 076

424 853,—

424 853,—

6

6

ADMINISTRATIVE OPERATIONS

ADMINISTRATIVE OPERATIONS

6 0

ADMINISTRATIVE OPERATIONS

—

20 748

20 095,—

Title 6 — Total

Title 6 — Total

—

—

20 748

20 748

20 095,—

20 095,—

7

7

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS

7 0

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS

2 461 199

2 708 547

0,—

Title 7 — Total

Title 7 — Total

2 461 199

2 461 199

2 708 547

2 708 547

0,—

0,—

GRAND TOTAL

GRAND TOTAL

39 392 742

39 392 742

36 740 150

36 740 150

32 898 547,—

32 898 547,—

EXPENDITURE

EXPENDITURE

| Title
  Chapter | Heading | Appropriations 2016 | Appropriations 2015 | Outturn 2014 |
| --- | --- | --- | --- | --- |
| 1 |
| STAFF EXPENDITURE |
| 1 1 | STAFF IN ACTIVE EMPLOYMENT | 19 382 000 | 17 019 546 | 15 576 452,— |
| 1 2 | EXPENDITURE RELATING TO STAFF MANAGEMENT AND RECRUITMENT | 354 000 | 325 530 | 289 203,— |
| 1 4 | SOCIAL-MEDICAL INFRASTRUCTURE | 405 000 | 383 000 | 390 438,— |
| 1 6 | TRAINING | 340 000 | 415 000 | 484 991,— |
| | Title 1 — Total | 20 481 000 | 18 143 076 | 16 741 084,— |
| 2 |
| INFRASTRUCTURE AND ADMINISTRATIVE EXPENDITURE |
| 2 0 | RENTAL OF BUILDING AND ASSOCIATED COSTS | 4 940 000 | 4 616 500 | 4 124 887,— |
| 2 1 | INFORMATION AND COMMUNICATION TECHNOLOGY | 1 820 000 | 2 378 652 | 1 839 805,— |
| 2 2 | MOVABLE PROPERTY AND ASSOCIATED COSTS | — | 24 000 | 160 308,— |
| 2 3 | CURRENT ADMINISTRATIVE EXPENDITURE | 955 000 | 1 503 888 | 956 654,— |
| 2 7 | REPRESENTATION EXPENSES, RECEPTIONS AND EVENTS | 14 000 | 9 036 | 12 008,— |
| | Title 2 — Total | 7 729 000 | 8 532 076 | 7 093 662,— |
| 3 |
| OPERATING EXPENDITURES |
| 3 1 | TRAINING FOR A COMMON SUPERVISORY CULTURE | 140 000 | 90 000 | 221 469,— |
| 3 2 | COLLECTION OF INFORMATION: IT PROJECTS | 5 350 000 | 4 660 000 | 5 550 247,— |
| 3 3 | SUPERVISION | — | 137 000 | 121 789,— |
| 3 4 | LEGAL ADVICE | 200 000 | 900 | 305 475,— |
| 3 5 | ACCESS TO DATA FOR ECONOMIC RESEARCH | 517 095 | 635 769 | 398 423,— |
| 3 6 | MISSIONS EXPENSES, TRAVEL AND INCIDENTAL EXPENSES | 900 000 | 631 378 | 852 164,— |
| 3 7 | COMMUNICATION | 590 000 | 394 000 | 375 557,— |
| 3 8 | MEETING EXPENSES | 500 000 | 357 500 | 364 194,— |
| 3 9 | SERVICES ON OPERATIONAL MATTERS | 370 000 | 100 000 | 874 483,— |
| | Title 3 — Total | 8 567 095 | 7 006 547 | 9 063 801,— |
| 4 |
| DELEGATED TASKS |
| 4 0 | SINGLE INTERFACE TO TRADE REPOSITORIES | 300 000 | 700 000 | 0,— |
| 4 1 | INSTRUMENTS REFERENCE DATA | 2 315 647 | 2 400 000 | 0,— |
| | Title 4 — Total | 2 615 647 | 3 100 000 | 0,— |
| 9 |
| ITEMS OUTSIDE THE FORESEEN BUDGET LINES |
| 9 0 | ITEMS OUTSIDE THE FORESEEN BUDGET LINES | p.m. | p.m. | 0,— |
| | Title 9 — Total | p.m. | p.m. | 0,— |
| | GRAND TOTAL | 39 392 742 | 36 781 699 | 32 898 547,— |

Title

Chapter

Heading

Appropriations 2016

Appropriations 2015

Outturn 2014

1

1

STAFF EXPENDITURE

STAFF EXPENDITURE

1 1

STAFF IN ACTIVE EMPLOYMENT

19 382 000

17 019 546

15 576 452,—

1 2

EXPENDITURE RELATING TO STAFF MANAGEMENT AND RECRUITMENT

354 000

325 530

289 203,—

1 4

SOCIAL-MEDICAL INFRASTRUCTURE

405 000

383 000

390 438,—

1 6

TRAINING

340 000

415 000

484 991,—

Title 1 — Total

Title 1 — Total

20 481 000

20 481 000

18 143 076

18 143 076

16 741 084,—

16 741 084,—

2

2

INFRASTRUCTURE AND ADMINISTRATIVE EXPENDITURE

INFRASTRUCTURE AND ADMINISTRATIVE EXPENDITURE

2 0

RENTAL OF BUILDING AND ASSOCIATED COSTS

4 940 000

4 616 500

4 124 887,—

2 1

INFORMATION AND COMMUNICATION TECHNOLOGY

1 820 000

2 378 652

1 839 805,—

2 2

MOVABLE PROPERTY AND ASSOCIATED COSTS

—

24 000

160 308,—

2 3

CURRENT ADMINISTRATIVE EXPENDITURE

955 000

1 503 888

956 654,—

2 7

REPRESENTATION EXPENSES, RECEPTIONS AND EVENTS

14 000

9 036

12 008,—

Title 2 — Total

Title 2 — Total

7 729 000

7 729 000

8 532 076

8 532 076

7 093 662,—

7 093 662,—

3

3

OPERATING EXPENDITURES

OPERATING EXPENDITURES

3 1

TRAINING FOR A COMMON SUPERVISORY CULTURE

140 000

90 000

221 469,—

3 2

COLLECTION OF INFORMATION: IT PROJECTS

5 350 000

4 660 000

5 550 247,—

3 3

SUPERVISION

—

137 000

121 789,—

3 4

LEGAL ADVICE

200 000

900

305 475,—

3 5

ACCESS TO DATA FOR ECONOMIC RESEARCH

517 095

635 769

398 423,—

3 6

MISSIONS EXPENSES, TRAVEL AND INCIDENTAL EXPENSES

900 000

631 378

852 164,—

3 7

COMMUNICATION

590 000

394 000

375 557,—

3 8

MEETING EXPENSES

500 000

357 500

364 194,—

3 9

SERVICES ON OPERATIONAL MATTERS

370 000

100 000

874 483,—

Title 3 — Total

Title 3 — Total

8 567 095

8 567 095

7 006 547

7 006 547

9 063 801,—

9 063 801,—

4

4

DELEGATED TASKS

DELEGATED TASKS

4 0

SINGLE INTERFACE TO TRADE REPOSITORIES

300 000

700 000

0,—

4 1

INSTRUMENTS REFERENCE DATA

2 315 647

2 400 000

0,—

Title 4 — Total

Title 4 — Total

2 615 647

2 615 647

3 100 000

3 100 000

0,—

0,—

9

9

ITEMS OUTSIDE THE FORESEEN BUDGET LINES

ITEMS OUTSIDE THE FORESEEN BUDGET LINES

9 0

ITEMS OUTSIDE THE FORESEEN BUDGET LINES

p.m.

p.m.

0,—

Title 9 — Total

Title 9 — Total

p.m.

p.m.

p.m.

p.m.

0,—

0,—

GRAND TOTAL

GRAND TOTAL

39 392 742

39 392 742

36 781 699

36 781 699

32 898 547,—

32 898 547,—

Establishment plan

Establishment plan

| Function group and grade | 2016 | 2015 | 2014 |
| --- | --- | --- | --- |
| Permanent posts | Temporary posts | Permanent posts | Temporary posts | Permanent posts | Temporary posts |
| AD 16 | — | 1 | — | — | — | — |
| AD 15 | — | 1 | — | 1 | — | 1 |
| AD 14 | — | — | — | 1 | — | 1 |
| AD 13 | — | 2 | — | — | — | — |
| AD 12 | — | 4 | — | 3 | — | 3 |
| AD 11 | — | 7 | — | 5 | — | 5 |
| AD 10 | — | 10 | — | 6 | — | 6 |
| AD 9 | — | 22 | — | 14 | — | 14 |
| AD 8 | — | 29 | — | 27 | — | 27 |
| AD 7 | — | 24 | — | 27 | — | 27 |
| AD 6 | — | 17 | — | 22 | — | 20 |
| AD 5 | — | 10 | — | 16 | — | 14 |
| Total AD | — | 127 | — | 122 | — | 118 |
| AST 11 | — | — | — | — | — | — |
| AST 10 | — | — | — | — | — | — |
| AST 9 | — | — | — | 1 | — | 1 |
| AST 8 | — | — | — | — | — | — |
| AST 7 | — | 2 | — | — | — | — |
| AST 6 | — | 2 | — | 1 | — | 1 |
| AST 5 | — | 4 | — | 2 | — | 2 |
| AST 4 | — | 4 | — | 6 | — | 6 |
| AST 3 | — | 1 | — | 2 | — | 2 |
| AST 2 | — | — | — | 3 | — | 3 |
| AST 1 | — | — | — | — | — | — |
| Total AST | — | 13 | — | 15 | — | 15 |
| AST/SC6 | — | — | — | — | — | — |
| AST/SC5 | — | — | — | — | — | — |
| AST/SC4 | — | — | — | — | — | — |
| AST/SC3 | — | — | — | — | — | — |
| AST/SC2 | — | — | — | — | — | — |
| AST/ASC1 | — | — | — | — | — | — |
| Total AST/SC | — | — | — | — | — | — |
| Total | — | 140 | — | 137 | — | 133 |
| Grand Total | 140 | 137 | 133 |

Function group and grade

2016

2015

2014

Permanent posts

Temporary posts

Permanent posts

Temporary posts

Permanent posts

Temporary posts

AD 16

—

1

—

—

—

—

AD 15

—

1

—

1

—

1

AD 14

—

—

—

1

—

1

AD 13

—

2

—

—

—

—

AD 12

—

4

—

3

—

3

AD 11

—

7

—

5

—

5

AD 10

—

10

—

6

—

6

AD 9

—

22

—

14

—

14

AD 8

—

29

—

27

—

27

AD 7

—

24

—

27

—

27

AD 6

—

17

—

22

—

20

AD 5

—

10

—

16

—

14

Total AD

—

127

—

122

—

118

AST 11

—

—

—

—

—

—

AST 10

—

—

—

—

—

—

AST 9

—

—

—

1

—

1

AST 8

—

—

—

—

—

—

AST 7

—

2

—

—

—

—

AST 6

—

2

—

1

—

1

AST 5

—

4

—

2

—

2

AST 4

—

4

—

6

—

6

AST 3

—

1

—

2

—

2

AST 2

—

—

—

3

—

3

AST 1

—

—

—

—

—

—

Total AST

—

13

—

15

—

15

AST/SC6

—

—

—

—

—

—

AST/SC5

—

—

—

—

—

—

AST/SC4

—

—

—

—

—

—

AST/SC3

—

—

—

—

—

—

AST/SC2

—

—

—

—

—

—

AST/ASC1

—

—

—

—

—

—

Total AST/SC

—

—

—

—

—

—

Total

—

140

—

137

—

133

Grand Total

Grand Total

140

140

137

137

133

133

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

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

| Contract staff posts | 2016 |
| --- | --- |
| FG IV | 20 |
| FG III | 24 |
| FG II | — |
| FG I | — |
| Total FG | 44 |
| Seconded national experts posts | 21 |
| Total | 65 |

Contract staff posts

2016

FG IV

20

FG III

24

FG II

—

FG I

—

Total FG

44

Seconded national experts posts

21

Total

Total

65

65

---