# C_2017084EN.01019501.xml

| 17.3.2017 | EN | Official Journal of the European Union | C 84/195 |
| --- | --- | --- | --- |

17.3.2017

EN

Official Journal of the European Union

C 84/195

---

Statement of revenue and expenditure of the European Securities and Markets Authority (ESMA) for the financial year 2017

(2017/C 84/41)

REVENUE

REVENUE

| Title
  Chapter | Heading | Financial year 2017 | Financial year 2016 | Financial year 2015 |
| --- | --- | --- | --- | --- |
| 1 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES |
| 1 0 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES | 16 938 947 | 15 733 282 | 14 153 059,— |
| | Title 1 — Total | 16 938 947 | 15 733 282 | 14 153 059,— |
| 2 | CONTRIBUTION FROM THE EUROPEAN UNION |
| 2 0 | CONTRIBUTION FROM THE EUROPEAN UNION | 11 019 552 | 10 203 000 | 9 703 423,— |
| | Title 2 — Total | 11 019 552 | 10 203 000 | 9 703 423,— |
| 3 | FEES PAID TO THE AUTHORITY |
| 3 0 | FEES PAID TO THE AUTHORITY | 11 799 281 | 10 550 293 | 9 752 297,— |
| | Title 3 — Total | 11 799 281 | 10 550 293 | 9 752 297,— |
| 4 | CONTRIBUTION FROM OBSERVERS |
| 4 0 | CONTRIBUTION FROM OBSERVERS | 481 220 | 446 968 | 402 076,— |
| | Title 4 — Total | 481 220 | 446 968 | 402 076,— |
| 6 | ADMINISTRATIVE OPERATIONS |
| 6 0 | ADMINISTRATIVE OPERATIONS | 300 000 | 3 364 | 20 748,— |
| | Title 6 — Total | 300 000 | 3 364 | 20 748,— |
| 7 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS |
| 7 0 | CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES FOR DELEGATED TASKS | 1 645 919 | 2 461 199 | 2 708 547,— |
| | Title 7 — Total | 1 645 919 | 2 461 199 | 2 708 547,— |
| | GRAND TOTAL | 42 184 919 | 39 398 106 | 36 740 150,— |

Title

Chapter

Heading

Financial year 2017

Financial year 2016

Financial year 2015

1

1

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES

1 0

CONTRIBUTION FROM NATIONAL SUPERVISORY AUTHORITIES

16 938 947

15 733 282

14 153 059,—

Title 1 — Total

Title 1 — Total

16 938 947

16 938 947

15 733 282

15 733 282

14 153 059,—

14 153 059,—

2

2

CONTRIBUTION FROM THE EUROPEAN UNION

CONTRIBUTION FROM THE EUROPEAN UNION

2 0

CONTRIBUTION FROM THE EUROPEAN UNION

11 019 552

10 203 000

9 703 423,—

Title 2 — Total

Title 2 — Total

11 019 552

11 019 552

10 203 000

10 203 000

9 703 423,—

9 703 423,—

3

3

FEES PAID TO THE AUTHORITY

FEES PAID TO THE AUTHORITY

3 0

FEES PAID TO THE AUTHORITY

11 799 281

10 550 293

9 752 297,—

Title 3 — Total

Title 3 — Total

11 799 281

11 799 281

10 550 293

10 550 293

9 752 297,—

9 752 297,—

4

4

CONTRIBUTION FROM OBSERVERS

CONTRIBUTION FROM OBSERVERS

4 0

CONTRIBUTION FROM OBSERVERS

481 220

446 968

402 076,—

Title 4 — Total

Title 4 — Total

481 220

481 220

446 968

446 968

402 076,—

402 076,—

6

6

ADMINISTRATIVE OPERATIONS

ADMINISTRATIVE OPERATIONS

6 0

ADMINISTRATIVE OPERATIONS

300 000

3 364

20 748,—

Title 6 — Total

Title 6 — Total

300 000

300 000

3 364

3 364

20 748,—

20 748,—

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

1 645 919

2 461 199

2 708 547,—

Title 7 — Total

Title 7 — Total

1 645 919

1 645 919

2 461 199

2 461 199

2 708 547,—

2 708 547,—

GRAND TOTAL

GRAND TOTAL

42 184 919

42 184 919

39 398 106

39 398 106

36 740 150,—

36 740 150,—

EXPENDITURE

EXPENDITURE

| Title
  Chapter | Heading | Appropriations 2017 | Appropriations 2016 | Outturn 2015 |
| --- | --- | --- | --- | --- |
| 1 | STAFF EXPENDITURE |
| 1 1 | STAFF IN ACTIVE EMPLOYMENT | 22 843 967 | 20 230 902 | 16 991 733,— |
| 1 2 | EXPENDITURE RELATING TO STAFF MANAGEMENT AND RECRUITMENT | 300 000 | 283 868 | 325 521,— |
| 1 4 | SOCIAL-MEDICAL INFRASTRUCTURE | 535 000 | 362 840 | 380 377,— |
| 1 6 | TRAINING | 300 000 | 339 265 | 414 825,— |
| | Title 1 — Total | 23 978 967 | 21 216 875 | 18 112 456,— |
| 2 | INFRASTRUCTURE AND ADMINISTRATIVE EXPENDITURE |
| 2 0 | RENTAL OF BUILDING AND ASSOCIATED COSTS | 5 556 000 | 4 787 000 | 4 615 955,— |
| 2 1 | INFORMATION AND COMMUNICATION TECHNOLOGY | 360 000 | 1 979 684 | 2 332 049,— |
| 2 2 | MOVABLE PROPERTY AND ASSOCIATED COSTS | — | — | 22 804,— |
| 2 3 | CURRENT ADMINISTRATIVE EXPENDITURE | 580 000 | 767 378 | 1 486 249,— |
| 2 7 | REPRESENTATION EXPENSES, RECEPTIONS AND EVENTS | 5 000 | 12 806 | 7 116,— |
| | Title 2 — Total | 6 501 000 | 7 546 868 | 8 464 173,— |
| 3 | OPERATING EXPENDITURES |
| 3 1 | TRAINING FOR A COMMON SUPERVISORY CULTURE | 80 000 | 87 054 | 89 920,— |
| 3 2 | COLLECTION OF INFORMATION: IT PROJECTS | 7 660 000 | 5 414 978 | 4 657 432,— |
| 3 3 | SUPERVISION | — | — | 134 410,— |
| 3 4 | LEGAL ADVICE | 100 000 | 82 000 | 900,— |
| 3 5 | ACCESS TO DATA FOR ECONOMIC RESEARCH | 475 000 | 464 121 | 635 448,— |
| 3 6 | MISSIONS EXPENSES, TRAVEL AND INCIDENTAL EXPENSES | 600 000 | 706 400 | 629 119,— |
| 3 7 | COMMUNICATION | 655 000 | 673 119 | 384 453,— |
| 3 8 | MEETING EXPENSES | 315 000 | 308 544 | 352 756,— |
| 3 9 | SERVICES ON OPERATIONAL MATTERS | 125 000 | 282 500 | 58 166,— |
| | Title 3 — Total | 10 010 000 | 8 018 716 | 6 942 604,— |
| 4 | DELEGATED TASKS |
| 4 0 | SINGLE INTERFACE TO TRADE REPOSITORIES | 200 000 | 300 000 | 700 000,— |
| 4 1 | INSTRUMENTS REFERENCE DATA | 1 494 952 | 2 315 647 | 2 400 000,— |
| | Title 4 — Total | 1 694 952 | 2 615 647 | 3 100 000,— |
| 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 | 42 184 919 | 39 398 106 | 36 619 233,— |

Title

Chapter

Heading

Appropriations 2017

Appropriations 2016

Outturn 2015

1

1

STAFF EXPENDITURE

STAFF EXPENDITURE

1 1

STAFF IN ACTIVE EMPLOYMENT

22 843 967

20 230 902

16 991 733,—

1 2

EXPENDITURE RELATING TO STAFF MANAGEMENT AND RECRUITMENT

300 000

283 868

325 521,—

1 4

SOCIAL-MEDICAL INFRASTRUCTURE

535 000

362 840

380 377,—

1 6

TRAINING

300 000

339 265

414 825,—

Title 1 — Total

Title 1 — Total

23 978 967

23 978 967

21 216 875

21 216 875

18 112 456,—

18 112 456,—

2

2

INFRASTRUCTURE AND ADMINISTRATIVE EXPENDITURE

INFRASTRUCTURE AND ADMINISTRATIVE EXPENDITURE

2 0

RENTAL OF BUILDING AND ASSOCIATED COSTS

5 556 000

4 787 000

4 615 955,—

2 1

INFORMATION AND COMMUNICATION TECHNOLOGY

360 000

1 979 684

2 332 049,—

2 2

MOVABLE PROPERTY AND ASSOCIATED COSTS

—

—

22 804,—

2 3

CURRENT ADMINISTRATIVE EXPENDITURE

580 000

767 378

1 486 249,—

2 7

REPRESENTATION EXPENSES, RECEPTIONS AND EVENTS

5 000

12 806

7 116,—

Title 2 — Total

Title 2 — Total

6 501 000

6 501 000

7 546 868

7 546 868

8 464 173,—

8 464 173,—

3

3

OPERATING EXPENDITURES

OPERATING EXPENDITURES

3 1

TRAINING FOR A COMMON SUPERVISORY CULTURE

80 000

87 054

89 920,—

3 2

COLLECTION OF INFORMATION: IT PROJECTS

7 660 000

5 414 978

4 657 432,—

3 3

SUPERVISION

—

—

134 410,—

3 4

LEGAL ADVICE

100 000

82 000

900,—

3 5

ACCESS TO DATA FOR ECONOMIC RESEARCH

475 000

464 121

635 448,—

3 6

MISSIONS EXPENSES, TRAVEL AND INCIDENTAL EXPENSES

600 000

706 400

629 119,—

3 7

COMMUNICATION

655 000

673 119

384 453,—

3 8

MEETING EXPENSES

315 000

308 544

352 756,—

3 9

SERVICES ON OPERATIONAL MATTERS

125 000

282 500

58 166,—

Title 3 — Total

Title 3 — Total

10 010 000

10 010 000

8 018 716

8 018 716

6 942 604,—

6 942 604,—

4

4

DELEGATED TASKS

DELEGATED TASKS

4 0

SINGLE INTERFACE TO TRADE REPOSITORIES

200 000

300 000

700 000,—

4 1

INSTRUMENTS REFERENCE DATA

1 494 952

2 315 647

2 400 000,—

Title 4 — Total

Title 4 — Total

1 694 952

1 694 952

2 615 647

2 615 647

3 100 000,—

3 100 000,—

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

42 184 919

42 184 919

39 398 106

39 398 106

36 619 233,—

36 619 233,—

Establishment plan

Establishment plan

| Function group and grade | 2017 | 2016 | 2015 |
| --- | --- | --- | --- |
| Permanent posts | Temporary posts | Permanent posts | Temporary posts | Permanent posts | Temporary posts |
| AD 16 | — | 1 | — | 1 | — | — |
| AD 15 | — | 1 | — | 1 | — | 1 |
| AD 14 | — | — | — | — | — | 1 |
| AD 13 | — | 2 | — | 2 | — | — |
| AD 12 | — | 5 | — | 4 | — | 3 |
| AD 11 | — | 8 | — | 7 | — | 5 |
| AD 10 | — | 13 | — | 10 | — | 6 |
| AD 9 | — | 26 | — | 22 | — | 14 |
| AD 8 | — | 28 | — | 29 | — | 27 |
| AD 7 | — | 26 | — | 24 | — | 27 |
| AD 6 | — | 14 | — | 17 | — | 22 |
| AD 5 | — | 13 | — | 10 | — | 16 |
| Total AD | — | 137 | — | 127 | — | 122 |
| AST 11 | — | — | — | — | — | — |
| AST 10 | — | — | — | — | — | — |
| AST 9 | — | — | — | — | — | 1 |
| AST 8 | — | 1 | — | — | — | — |
| AST 7 | — | 2 | — | 2 | — | — |
| AST 6 | — | 3 | — | 2 | — | 1 |
| AST 5 | — | 4 | — | 4 | — | 2 |
| AST 4 | — | 3 | — | 4 | — | 6 |
| AST 3 | — | — | — | 1 | — | 2 |
| AST 2 | — | — | — | — | — | 3 |
| AST 1 | — | — | — | — | — | — |
| Total AST | — | 13 | — | 13 | — | 15 |
| AST/SC6 | — | — | — | — | — | — |
| AST/SC5 | — | — | — | — | — | — |
| AST/SC4 | — | — | — | — | — | — |
| AST/SC3 | — | — | — | — | — | — |
| AST/SC2 | — | — | — | — | — | — |
| AST/ASC1 | — | — | — | — | — | — |
| Total AST/SC | — | — | — | — | — | — |
| Total | — | 150 | — | 140 | — | 137 |
| Grand Total | 150 | 140 | 137 |

Function group and grade

2017

2016

2015

Permanent posts

Temporary posts

Permanent posts

Temporary posts

Permanent posts

Temporary posts

AD 16

—

1

—

1

—

—

AD 15

—

1

—

1

—

1

AD 14

—

—

—

—

—

1

AD 13

—

2

—

2

—

—

AD 12

—

5

—

4

—

3

AD 11

—

8

—

7

—

5

AD 10

—

13

—

10

—

6

AD 9

—

26

—

22

—

14

AD 8

—

28

—

29

—

27

AD 7

—

26

—

24

—

27

AD 6

—

14

—

17

—

22

AD 5

—

13

—

10

—

16

Total AD

—

137

—

127

—

122

AST 11

—

—

—

—

—

—

AST 10

—

—

—

—

—

—

AST 9

—

—

—

—

—

1

AST 8

—

1

—

—

—

—

AST 7

—

2

—

2

—

—

AST 6

—

3

—

2

—

1

AST 5

—

4

—

4

—

2

AST 4

—

3

—

4

—

6

AST 3

—

—

—

1

—

2

AST 2

—

—

—

—

—

3

AST 1

—

—

—

—

—

—

Total AST

—

13

—

13

—

15

AST/SC6

—

—

—

—

—

—

AST/SC5

—

—

—

—

—

—

AST/SC4

—

—

—

—

—

—

AST/SC3

—

—

—

—

—

—

AST/SC2

—

—

—

—

—

—

AST/ASC1

—

—

—

—

—

—

Total AST/SC

—

—

—

—

—

—

Total

—

150

—

140

—

137

Grand Total

Grand Total

150

150

140

140

137

137

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 | 2017 |
| --- | --- |
| FG IV | 30 |
| FG III | 25 |
| FG II | — |
| FG I | — |
| Total FG | 55 |
| Seconded national experts posts | 24 |
| Total | 79 |

Contract staff posts

2017

FG IV

30

FG III

25

FG II

—

FG I

—

Total FG

55

Seconded national experts posts

24

Total

Total

79

79

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