Appointments to senior positions

Requirements & Standards

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Lloyd’s requires that all appointments to senior positions are notified. Notifications should be made via lloyds.com using the forms on the next pages.

The senior appointments notification process applies to all proposed appointments and resignations relating to:

● Managing Agent and Members’ Agent PRA or FCA Senior Management Function (SMF) roles.
● Managing Agent and Members’ Agent non-SMF roles with the job title of:

  • Active Underwriter
  • Run-Off Manager
  • Other non-SMF director appointments
  • Non-Executive Director.

Between 2 March 2026 and 29 May 2026, Lloyd’s is piloting a co-ordinated appointments process with the PRA and FCA.

During this period, for SMF roles Managing Agents should continue to submit their completed regulatory application forms (Long/Short Form A and E) to the PRA and FCA in the usual way.  Lloyd’s will receive copies of these forms, alongside supporting documentation provided with the application from the PRA and FCA. 

In addition, managing agents and members’ agents should continue to submit the Appointment to Senior Positions notification form to Lloyd’s.  This should be within 24 hours of any submission of regulatory forms to the PRA and FCA.  Lloyd’s and the PRA and FCA will then conduct a co-ordinated review of the application, working to timelines that support the regulators in meeting their statutory deadlines.  For the period of the pilot, the five-day Lloyd’s review period will not apply for SMF applications.

For Members’ Agent SMF and non-SMF roles and for Managing Agent non-SMF roles listed above, existing processes remain unchanged.

Notification Forms

Proposal form

Managing Agent SMF applications

Managing Agent non-SMF and all Members’ Agent applications

Confirmation of regulatory approval- SMF roles

Resignation form

  • Required for all resignations of managing agent and Members’ Agent SMF and non-SMF senior position personnel.
  • Where applicable, submit alongside a notification of any proposed replacement.
  • Lloyd’s may request exit interviews.

US Surplus Lines business and appointments to Senior Positions

With regard to surplus lines business transacted in the USA, syndicates are required to report to the NAIC in respect of all persons appointed to the position of Director, Active Underwriter, Run-Off Manager, key officer positions or any other PRA or FCA Senior Management Function. This reporting forms part of the initial syndicate application to the NAIC or the annual financial filing made to the NAIC. In addition to completing their registration, individuals to be appointed to one of these senior positions are required to make a declaration (surplus lines business) in a form prescribed by the NAIC. Completion of these two steps exempts the individual from the NAIC biographical affidavit requirement.

The declaration can be made by the person being appointed to the senior position as part of the electronic notification process. The declaration may also be confirmed on behalf of the person being appointed, provided that the person completing the electronic notification process has the authority of the individual in question to confirm the declaration. In all cases, it is recommended that a record is kept evidencing that the individual making the declaration has read it and, where appropriate, has agreed to it being made on his or her behalf.

Lloyd’s role in approving Senior Appointments

Lloyd's requires that all appointments to senior positions at managing agents and members’ agents are notified to it, as well as any changes to such appointments. Pursuant to paragraph 42A of the Underwriting Byelaw, Lloyd's may require the removal of anyone appointed to the position of director, active underwriter, run-off manager. Lloyd's may do this if it decides that a person is not fit and proper or otherwise suitable. The criteria that Lloyd's applies in making this decision are set out at paragraph 10A of the Requirements made pursuant to the Underwriting Byelaw.

Contact us

If you have any questions, require any further information or are having any problems submitting one of the forms, please contact a member of the team.

SeniorAppointments@lloyds.com Megan.Welsh@lloyds.com Melissa.Basquil@lloyds.com

Katie.Wells@lloyds.com

Senior Appointment Forms