Advice Evolution - Non Weekly Update

In this episode, David covers key industry developments, business updates, and upcoming initiatives, including:

• Daniel Mulino’s 20 August National Press Club presentation

• Switching rules and the new class of adviser

• CSLR, SMSF training and proposed levy changes

• ATO powers and the impact of switching reforms

• Industry fund advertising and lead generation

• Protecting clients from cyber risks and bad actors

• Conference and Shareholders’ Dinner planning

• Cyber attestation and SMA/model portfolio obligations

• ASIC, lead generation, superannuation, SMA and private credit

• Site visit reflections from Rockhampton and Bundaberg

• “Value of an Adviser” launch

• Using unusual investments and the importance of sound advice

• Adapting to industry changes and planning for the year ahead.

Tune in for the latest industry insights, regulatory developments, business priorities, and what’s ahead for the AE Group team.

In this episode, David covers a range of important business updates, industry insights, and upcoming initiatives, including:

• Upcoming PD Day adviser session

• Cybersecurity and data protection

• 15th Anniversary Shareholders’ Dinner planning

• 2026 Conference preparation and focus areas

• Delivering Better Financial Outcomes (DBFO) industry update • Audit preparation and file review prompts

• AI adoption and future opportunities

• AI-powered data redaction and privacy protection

• Platform oversight and CFS file reviews

• CAPTCHA technology insights

• Sunshine Coast site visit reflections and opportunities

• Adviser numbers and industry trends

• Supporting smaller practices and branded channel opportunities

• Superannuation advice and industry opportunities

• Succession planning and adviser transitions

• Future growth and advice opportunities

Tune in for the latest priorities, operational updates, industry discussions, and what’s ahead for the AE Group team.

In this episode, David covers a range of key business updates and upcoming initiatives, including:

• Board Meeting highlights
• 15th Anniversary Shareholders Dinner
• Claude AI and Claras updates
• RetireMap and SOA feedback
• Summit planning
• AE Direct and adviser referrals
• Upcoming PD Day
• AI-powered file checking
• FSGs and WDIs
• 2027 conference planning
• Service Standards training
• File preparation
• SOAs for ROAs
• The Intranet launch
• Direct Prescribed Offer
• Platform oversight

Tune in for the latest priorities, operational updates, and what's ahead for the team.

Let’s learn about Charmaine Hall of Unbound Financial as she shares her background, passion, and interesting facts. She also speaks briefly about his work environment in Wangaratta, how his fast-growing solo practice operates, and what he enjoys about building a community-driven advice business. She discusses his coolest and most memorable advising strategies, her approach to fee models, and how she is incorporating AI into advice delivery, workflows, and client experience while balancing strong privacy and data custody considerations.

In this episode, David shares key updates across the business, including developments in AI and advice processes, compliance expectations, and file quality improvements. He highlights important regulatory updates such as the CSLR levy, AUSTRAC requirements, and AFCA insights, while reinforcing the need for strong documentation and defensible advice.
David also covers market conditions and client communication, hiring and offshore support considerations, VBP updates, and upcoming PD Days and conferences. The episode wraps up with internal updates, including Adviser News changes, team initiatives, and ongoing efforts to improve efficiency and collaboration across the group.

In this episode, David shares key business updates, including AE Group’s 15-year milestone, along with important compliance reminders and practical guidance for advisers. He also covers audit improvements, client reviews, cybersecurity, and offshore support, while highlighting industry risks and the importance of strong documentation and a long-term approach during market fluctuations.

In this episode, David shares insights from the recent Advice Summit held at the National Press Club in Canberra, along with key industry developments, regulatory updates, and opportunities ahead for advisers and the profession.

This update announces the release of AE Group Podcast – CEO Update #69, where David Harris shares key business, compliance, and team updates for all advisers. The episode covers upcoming CPD and Ensombl PD Day reminders, regulatory and training updates (ASIC, AML, succession planning, cyber insurance), tech developments (AI tools, Worksorted CRM), and team news (new hires, transitions, and conference highlights). It’s a comprehensive catch-up on everything AE advisers need to stay informed, compliant, and connected.

In this episode, David covers a range of important updates and reminders for all advisors and team members, including:

• Contribution cap checks – A timely reminder as we approach EOFY: to carefully monitor client contribution caps to avoid breaches and potential regulatory issues.

• Cowell Clarke portal for reporting (soon to be implemented) –introduction to the use of the portal for reporting complaints and self-reporting breaches to support streamlined compliance processes

• Ongoing fee arrangement templates – Advisors to review and begin implementing the new templates to ensure compliance with current requirements.

• FSG to WDI transition – templates are being finalised and will roll out soon. Advisors are encouraged to consider moving from FSG to WDI, with support available to assist practices in updating their templates.

• Intranet document accuracy - get in touch with Iah ([email protected]) if you come across any incorrect documents on the intranet so they can be addressed promptly.

• Payrix rollout – Brooke continues to oversee the rollout of Payrix, which will replace Payway and Revex to improve payment processing and tracking.

• Fintegrity Worksorted – Fintegrity advisors to prepare for the rollout of the Fintegrity Worksorted solution to enhance practice management.

• Advice Evolution pay cycle options – Advice Evolution advisors who wish to switch to fortnightly to notify management

• AI file notes – Advisors are asked to explore AI file note options to improve meeting documentation, accuracy, and compliance.

• Education requirements – A reminder for advisors who are still working towards education requirements to ensure completion before the 2026 deadline.

• PD Day attendance – Advisors are reminded to attend the PD Day on 16 July in Sydney at the Betashares office for professional development and networking.

• Use of SMAs – Advisors to review their use of SMAs to avoid unnecessary complexity and ensure ethical, efficient portfolio management.

• Model office process – Brooke and David will develop and share a model office process designed to support single-advisor practices.

• Technology and cybersecurity – Advisors are encouraged to review their technology stack and upgrade cybersecurity measures where appropriate.

• Secure document distribution – Advisors are reminded to transition away from using email for sending sensitive client documents, to enhance data security.

• Board appointment – Mort Wagner has been welcomed to the board and will focus on technology and investment decisions. 

In this episode, David Harris discussed about:

• Professional Indemnity Insurance

• Upcoming Conference

• Compliance

• Market situation

• SMA’s and Portfolios

• Client fees

• PD Day in Sydney

• Ensombl

• Portals for sharing files

• Cyber risk security

• Unit trust auction

• Regulatory obligation

• Financial services industry

Thanks for listening and happy streaming!

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