Reference Case Number: FOI11213
Freedom of Information: Right to know request:
Please provide a tabulated summary of salutations (eg Mr, Mrs etc) for all SMF applications for UK listed insurers for the last 12 months.
I am asking for the table pertaining to NEW SMF applications only submitted in the last 12 months. By UK insurer, I mean an insurer authorised to operate in the UK by the PRA. Please include both approved and rejected applications in separate tables.
FCA response:
We can provide the requested information in the tables below.
| Insurers-Rejected SMF | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Mr | Miss | Mrs | Ms | Doctor | Sir | Lord | Captain | Earl | Blank | |
| SMF 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 2 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 3 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 4 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 5 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 6 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 7 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 8 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 9 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 10 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 11 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 12 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 13 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 14 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 15 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 16 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 17 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 18 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 19 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 20 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 20a | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 21 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 22 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 23 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 24 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 25 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 26 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 27 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 29 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| Insurers – Approved SMF | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| Mr | Miss | Mrs | Ms | Doctor | Sir | Lord | Captain | Earl | Blank | |
| SMF 1 | 27 | 0 | 4 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 2 | 24 | 0 | 3 | 2 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 3 | 40 | 4 | 5 | 9 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 4 | 14 | 8 | 4 | 5 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 5 | 7 | 0 | 4 | 3 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 6 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 7 | 33 | 0 | 3 | 8 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 8 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 9 | 34 | 1 | 4 | 1 | 1 | 0 | 0 | 0 | 0 | 0 |
| SMF 10 | 11 | 0 | 2 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 11 | 13 | 0 | 2 | 5 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 12 | 5 | 0 | 2 | 3 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 13 | 5 | 0 | 1 | 1 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 14 | 8 | 1 | 4 | 1 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 15 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 16 | 46 | 12 | 15 | 14 | 3 | 0 | 0 | 0 | 0 | 0 |
| SMF 17 | 13 | 3 | 7 | 1 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 18 | 26 | 2 | 16 | 9 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 19 | 26 | 1 | 5 | 2 | 1 | 0 | 0 | 0 | 0 | 0 |
| SMF 20 | 27 | 0 | 1 | 1 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 20a | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 21 | 0 | 1 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 22 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 23 | 22 | 2 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 24 | 40 | 4 | 6 | 5 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 25 | 3 | 1 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 26 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 27 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
| SMF 29 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 | 0 |
Methodology
Please note that individuals may use a salutation that is different to their gender self-identification. Further, there are several salutations that are gender neutral, for example, Doctor, Captain etc, and in some instances the salutation field has been left blank.
We have used the time period range of March 2023 to March 2024. The cut-off date used for this request was 1 April 2024, to ensure that all records are accurate and true at the time of receipt.
As requested, we have filtered the results using the following criteria:
- Insurer (as regulated by the PRA)
- Approved
- Rejected
Although there were no individuals with an SMF1 (AR) & SMF3 (AR) involvement against any of the firms, we have excluded this from the table. This is because these individuals would not be considered SMFs at the requested firm but would be SMFs at an Appointed Representative of the requested firm.
Please note the Society of Lloyd’s has two unique SMF designations which you did not request and so they have been excluded from the data in the tables. The functions are SMF23a Underwriting Risk Oversight (Lloyd's) and SMF23b Conduct Risk Oversight (Lloyd's). Information about the role holder for these functions is publicly available on the Financial Services Register if you require it.