History
CK Locke & Partners Pty Ltd (CK LOCKE) was foundered in 1998 a boutique futures broking firm as licensed by the Sydney Futures Exchange (SFE) and in turn overseen by the Australian Securities and Investments Commission (ASIC) under the Australian Financial Services License (AFSL) 222440 which was held for 15 years until 2013. See previous AFSL below.
In the early 2000s, the SFE was absorbed by the Australian SecuritiesExchange (ASX). During this time CK LOCKE expanded its licensing capacity pursuant to ASIC regulations to deal and advise in equities, specialising in small cap IPOs. CK LOCKE was also awarded licensing to among others; operate Managed Discretionary Accounts (MDAs) & Market Making Derivatives (eg,issuing CFDs).
In 2007, CK LOCKE was awarded (via CK LOCKE Subsidiary), an investmentbanking license (subject to funding) from the Dubai International FinancialCentre (DIFC).
CK LOCKE PTY LTD was rebranded in 2023 to deal in CFDs as a Corporate Authorised Representative (CAR No: 1307081) of Barclay Wells Ltd (AFSL235070).
SUMMARY
CK LOCKE & PARTNERS PTY LTD 222440 Ceased 13 081 957 271 28/10/2002 04/11/2013
Futures Broker 177803 22/05/1998
02/11/2011
This licence authorises the licensee to carry on a financial services business to:
(a) provide general financial product advice for the following classes of financial products:
(i) standard margin lending facility;
(b) provide financial product advice for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(ii) derivatives;
(iii) foreign exchange contracts;
(iv) interests in managed investment schemes limited to:
(A) MDA services;
(v) securities;
(c) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
(A) derivatives;
(B) foreign exchange contracts;
(C) interests in managed investment schemes limited to:
(1) MDA services; and
(ii) applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
Licence Authorisation Conditions
(B) derivatives;
(C) foreign exchange contracts;
(D) interests in managed investment schemes limited to:
(1) MDA services;
(E) securities;
(F) standard margin lending facility;
(d) make a market for the following financial products:
(i) derivatives;
(ii) foreign exchange contracts; to retail and wholesale clients.
This licence authorises the licensee to carry on a financial services business to:
(a) provide general financial product advice for the following classes of financial products:
(i) standard margin lending facility;
(b) provide financial product advice for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(ii) derivatives;
(iii) foreign exchange contracts;
(iv) interests in managed investment schemes limited to:
(A) MDA services;
(v) securities;
(c) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
(A) derivatives;
(B) foreign exchange contracts;
(C) interests in managed investment schemes limited to:
(1) MDA services; and
(ii) applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(B) derivatives;
(C) foreign exchange contracts;
(D) interests in managed investment schemes limited to:
(1) MDA services;
(E) securities;
(F) standard margin lending facility;
(d) make a market for the following financial products:
(i) derivatives;
(ii) foreign exchange contracts; to retail and wholesale clients.
From: Details:
13/12/2004
1. This licence authorises the licensee to carry on a financial services business to:
(a) provide financial product advice for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(ii) derivatives;
(iii) foreign exchange contracts;
(iv) debentures, stocks or bonds issued or proposed to be issued by a government;
(v) interests in managed investment schemes excluding investor directed portfolio services;
(vi) interests in managed investment schemes limited to:
(A) MDA services;
(vii) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997); (viii securities;
(ix) superannuation; and
(x) financial products limited to:
(A) miscellaneous financial investment products;
(B) miscellaneous financial investment products limited to MDA services;
(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
(A) derivatives;
(B) foreign exchange contracts;
(C) interests in managed investment schemes limited to:
Licence Authorisation Conditions
(1) MDA services; and
(D) financial products limited to:
(1) miscellaneous financial investment products; and
(2) miscellaneous financial investment products limited to MDA services; and
(ii) applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(B) derivatives;
(C) debentures, stocks or bonds issued or proposed to be issued by a government;
(D) life products limited to:
(1) investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
(E) interests in managed investment schemes excluding investor directed portfolio services;
(F) interests in managed investment schemes limited to:
(1) MDA services;
(G) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
(H) securities;
(I) superannuation; and
(J) financial products limited to:
(1) miscellaneous financial investment products;
(2) miscellaneous financial investment products limited to MDA services; and
(c) make a market for the following financial products:
(i) derivatives;
to retail and wholesale clients.
From: Details:
09/08/2004
1. This licence authorises the licensee to carry on a financial services business to:
(a) provide financial product advice for the following classes of financial products:
Licence Authorisation Conditions
(i) deposit and payment products limited to:
(A) basic deposit products;
(ii) derivatives;
(iii) foreign exchange contracts;
(iv) debentures, stocks or bonds issued or proposed to be issued by a government;
(v) interests in managed investment schemes excluding investor directed portfolio services;
(vi) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
(vii) securities; and (viii superannuation;
(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
(A) derivatives; and
(B) foreign exchange contracts; and
(ii) applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(B) derivatives;
(C) debentures, stocks or bonds issued or proposed to be issued by a government;
(D) life products limited to:
(1) investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
(E) interests in managed investment schemes excluding investor directed portfolio services;
(F) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
(G) securities; and
(H) superannuation; and
(c) make a market for the following financial products:
(i) derivatives;
Licence Authorisation Conditions
to retail and wholesale clients.
From: Details:
06/11/2003
1. This licence authorises the licensee to carry on a financial services business to:
(a) provide financial product advice for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(ii) derivatives;
(iii) foreign exchange contracts;
(iv) debentures, stocks or bonds issued or proposed to be issued by a government;
(v) interests in managed investment schemes excluding investor directed portfolio services;
(vi) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
(vii) securities; and
(viii superannuation; and
(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
(A) Derivatives; and
(B) foreign exchange contracts; and
(ii) applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(B) derivatives;
(C) debentures, stocks or bonds issued or proposed to be issued by a government;
(D) life products limited to:
(1) investment life insurance products as well as any products issued by a Registered Life Insurance Company that are backed by one or more of its statutory funds;
(E) interests in managed investment schemes excluding investor directed portfolio services;
(F) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings
Licence Authorisation Conditions
Account Act 1997);
(G) securities; and
(H) superannuation;
to retail and wholesale clients.
From: Details:
17/12/2002
1. This licence authorises the licensee to carry on a financial services business to:
(a) provide financial product advice for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(ii) derivatives;
(iii) foreign exchange contracts;
(iv) debentures, stocks or bonds issued or proposed to be issued by a government;
(v) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
(vi) securities; and
(vii) superannuation; and
(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
(A) derivatives; and
(B) foreign exchange contracts; and
(ii) applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(B) derivatives;
(C) debentures, stocks or bonds issued or proposed to be issued by a government;
(D) life products limited to:
(1) investment life insurance products;
(E) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
(F) securities; and
(G) superannuation;
to retail and wholesale clients.
Licence Authorisation Conditions
Details:
1. This licence authorises the licensee to carry on a financial services business to:
(a) provide financial product advice for the following classes of financial products:
(i) deposit and payment products limited to:
(A) basic deposit products;
(ii) derivatives;
(iii) debentures, stocks or bonds issued or proposed to be issued by a government;
(iv) interests in managed investment schemes;
(v) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
(vi) securities; and
(vii) superannuation; and
(b) deal in a financial product by:
(i) issuing, applying for, acquiring, varying or disposing of a financial product in respect of the following classes of financial products:
(A) derivatives; and
(ii) applying for, acquiring, varying or disposing of a financial product on behalf of another person in respect of the following classes of products:
(A) deposit and payment products limited to:
(1) basic deposit products;
(B) derivatives;
(C) debentures, stocks or bonds issued or proposed to be issued by a government;
(D) life products limited to:
(1) investment life insurance products;
(E) interests in managed investment schemes;
(F) retirement savings accounts ("RSA") products (within the meaning of the Retirement Savings Account Act 1997);
(G) securities; and
(H) superannuation;
to retail and wholesale clients.