Home: Bachelor of Applied Commerce: ACFIN201A Psychology of Client Engagement

Weekly Readings

Dellaportas, S, Thomsen, S & Conyon, N 2012, Principles of ethics & corporate governance in financial services,
McGraw-Hill Education, Sydney.
more...less...
Book available in the library collection.
pp. 2-12
pp. 30-52
Longstaff, S 2017, Everyday ethics,
Ventura Press, Edgecliff, NSW.
more...less...
Book available in the library collection.
pp. 1-28
Vaughan, GM & Hogg, M 2022, Social psychology,
9th edn, eBook, viewed 30 June 2022, ProQuest eBook Central.
Chapter 1 What is social psychology?
Chapter 4 Self and identity

Chaffin, CR (ed.) 2018, Client psychology,
eBook, viewed 14 September 2022, EBSCO eBooks.
Chapter 2 Behavioural finance, pp. 11-17
Kahler, R 2012, ‘Interior finance: the micro-level exploration of individual client money scripts’,
Journal of Financial Planning, vol. 25, no. 10, pp. 20-22, viewed 7 October 2020, Business Source Complete.
Lawson, DR & Klontz, BT 2017, ‘Integrating behavioral finance, financial psychology, and financial therapy into the 6-step financial planning process’,
Journal of Financial Planning, vol. 30, no. 7, pp. 48-55, viewed 7 October 2020, Business Source Complete.
Piper, A 2017, ‘The dynamics of interpersonal behavior’,
Internal Auditor, vol. 74, no. 3, pp. 50-55, viewed 7 October 2020, Business Source Complete.
Statman, M 2019, Behavioral finance: the second generation,
eBook, viewed 14 September 2022, <https://www.cfainstitute.org/-/media/documents/book/rf-publication/2019/behavioral-finance-the-second-generation.ashx>.
Chapter 2 What investors really want

Brammer, LM 2003, The helping relationship: process and skills,
8th edn, Allyn and Bacon, Boston, Mass.
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Book available in the library collection.
Chapter 4 Helping skills for understanding, pp. 70-96
Egan, G 1994, The skilled helper: a problem-management approach to helping,
5th edn, Brooks/Cole, Pacific Grove, Calif.
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Book available in the library collection.
pp. 20-45
Hunt, K, Brimble, M & Freudenberg, B 2011, ‘Determinants of client-professional relationship quality in the financial planning setting’,
Australasian Accounting Business and Finance Journal, vol. 5, no. 2, pp. 81-83, viewed 7 October 2020, Business Source Complete.
Klontz, BT & Klontz, T 2016, ‘7 steps to facilitate exquisite listening’,
Journal of Financial Planning, vol. 29, no. 11, pp. 24-26, viewed 7 October 2020, Business Source Complete.
Sharpe, DL, Anderson, C, White, A, Galvan, S & Siesta, M 2007, 'Specific elements of communication that affect trust and commitment in the financial planning process',
Journal of Financial Counseling and Planning, vol. 18, no. 1, pp. 2-7, viewed 7 October 2020, ProQuest Central.
Vaughan, GM & Hogg, M 2022, Social psychology,
9th edn, eBook, viewed 30 June 2022, ProQuest eBook Central.
Chapter 15 Language and communication
Chapter 16 Culture

Additional reading

Cull, M & Sloan, T 2016, 'Characteristics of trust in personal financial planning',
Financial Planning Research Journal, vol. 2, no. 1, pp. 12-35, viewed 7 October 2020, <https://fpa.com.au>.

Bonde, S & Firenze, P 2013, A framework for making ethical decisions,
Brown University, viewed 7 October 2020, <https://www.brown.edu/academics/science-and-technology-studies/framework-making-ethical-decisions>.
Cialdini, R 2007, Influence: the psychology of persuasion,
eBook, viewed 29 September 2023, ProQuest eBook Central.
Chapter 1 Weapons of influence
Ethics Unwrapped 2020, Moral reasoning,
McCombs School of Business, The University of Texas, viewed 7 October 2020, <https://ethicsunwrapped.utexas.edu/glossary/moral-reasoning>.
Grant, A (ed.) 2006, Evidence based coaching handbook: putting best practices to work for your clients,
John Wiley & Sons, Hoboken, NJ.
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Book available in the library collection.
pp. 333-342, Coaching from a systemic perspective: a complex adaptive conversation
Hamowy, C & Conigliaro, C 2016, ‘Using neuroeconomics to help clients make the right financial decisions’,
Journal of Financial Planning, vol. 29, no. 11, pp. 27-29, viewed 7 October 2020, Business Source Complete.
Vaughan, GM & Hogg, M 2022, Social psychology,
9th edn, eBook, viewed 30 June 2022, ProQuest eBook Central.
Chapter 2 Social cognition and social thinking
Chapter 3 Attribution and social explanation

Klontz, BT 2017, ‘Why we hate rich people’,
Journal of Financial Planning, vol. 38, no. 10, pp. 38-39, viewed 7 October 2020, Business Source Complete.
Vaughan, GM & Hogg, M 2022, Social psychology,
9th edn, eBook, viewed 30 June 2022, ProQuest eBook Central.
Chapter 5 Attitudes
Chapter 6 Persuasion and attitude change

Chaffin, CR (ed.) 2018, Client psychology,
eBook, viewed 14 September 2022, EBSCO eBooks.
Chapter 4 Heuristics and biases, pp. 25-39
Goleman, D 2007, Why aren't we more compassionate?,
TED2007, viewed 7 October 2022, <https://www.ted.com/talks/daniel_goleman_why_aren_t_we_more_compassionate?language=en>.
Heye, C 2019, ‘Understand client actions and expectations with risk assessment tools’,
Journal of Financial Planning, vol. 32, no. 12, pp. 28-29, viewed 7 October 2020, Business Source Complete.
Mcleod, S 2017, Obedience to authority,
Simply Psychology, viewed 7 October 2022, <https://www.simplypsychology.org/obedience.html>.
Oarga, C, Stavrova, O & Fetchenhauer, D 2015, ‘When and why is helping others good for well-being? The role of belief in reciprocity and conformity to society's expectations’,
European Journal of Social Psychology, vol. 45, no. 2, pp. 242-254, doi:10.1002/ejsp.2092
Vaughan, GM & Hogg, M 2022, Social psychology,
9th edn, eBook, viewed 30 June 2022, ProQuest eBook Central.
Chapter 7 Social influence

Goleman, D & Boyatzis, R 2008, ‘Social intelligence and the biology of leadership’,
Harvard Business Review, vol. 86, no. 9, pp. 74-81, viewed 7 October 2020, Business Source Complete.
Rogers, P & Senturia, T 2017, ‘How group dynamics affect decisions’,
Rotman Management, Winter, pp. 78-79, viewed 7 October 2020, Business Source Complete.
Vaughan, GM & Hogg, M 2022, Social psychology,
9th edn, eBook, viewed 30 June 2022, ProQuest eBook Central.
Chapter 8 People in groups
Chapter 9 Leadership and group decision-making
Zimbardo, PG n.d., The Stanford prison experiment,
Social Psychology Network, viewed 6 October 2022, <https://www.prisonexp.org/>.

ASIC regulatory guideline 175. Licensing: financial product advisers: conduct and disclosure 2021,
Australian Securities & Investments Commission, viewed 15 September 2022, <https://download.asic.gov.au>.
Financial Advisor Standards and Ethics Authority 2019, Code of ethics standard commences 1 January 2020,
FASEA, viewed 23 September 2020, <https://www.legislation.gov.au/Details/F2019L00117/>.
Hicks, R & McCracken, J 2009, ‘Coaching the abrasive personality’,
Physician Executive, vol. 35, no. 5, pp. 82-84, viewed 7 October 2020, Business Source Complete.
Klontz, B, Kahler, R & Klontz, T 2008, Facilitating financial health : tools for financial planners, coaches and therapists,
Klontz, Kahler Institute, Cincinatti, Ohio.
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Book available in the library collection.
Chapter 5 Doing no harm, pp. 51-62

Additional reading

Vaughan, GM, 2010, Essentials of social psychology,
8th edn, Pearson Australia, Frenchs Forest, N.S.W.
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Book available in the library collection.
Chapter 8 Hurting other people
Chapter 9 Helping other people

Drake, DB 2009, ‘Using attachment theory in coaching leaders: the search for a coherent narrative’,
International Coaching Psychology Review, vol. 4 no. 1, pp. 49-58, viewed 7 October 2020, Academic Search Complete.
Hill, D 2017, ‘Emotions matter: how facial coding can better connect you to your clients’,
Journal of Financial Planning, vol. 30, no. 6, pp. 24-26, viewed 7 October 2020, Business Source Complete.
Vaughan, GM & Hogg, M 2022, Social psychology,
9th edn, eBook, viewed 30 June 2022, ProQuest eBook Central.
Chapter 14 Attraction and close relationships

Chaffin, CR (ed.) 2018, Client psychology,
eBook, viewed 14 September 2022, EBSCO eBooks.
Chapter 9 Personality and financial behavior, pp. 137-151
Klontz, B, Kahler, R & Klontz, T 2008, Facilitating financial health : tools for financial planners, coaches and therapists,
Klontz, Kahler Institute, Cincinatti, Ohio.
more...less...
Book available in the library collection.
Chapter 11 Tools for helping clients change, pp. 155-186
Mackay, H 1998, The good listener,
Macmillan, Sydney.
more...less...
Book available in the library collection.
pp. 57-90

Grant, AM & Stober, DR 2006, Evidence based coaching handbook: putting best practices to work for your clients,
Wiley, Hoboken, NJ.
more...less...
Book available in the library collection.
Coaching from a systemic perspective: a complex adaptive conversation, pp. 313-354
Klontz, BT & Britt, SL 2012, ‘How clients’ money scripts predict their financial behaviors’,
Journal of Financial Planning, vol. 25, no. 11, pp. 33-43, viewed 7 October 2020, Business Source Complete.
Megginson, D & Clutterbuck, D 2005, Techniques for coaching and mentoring,
Butterworth-Heinemann, Oxford, UK.
more...less...
Book available in the library collection.
Setting goals, pp. 37-52

Additional reading

Bishopp, K 2011, ‘Mapping it out',
Financial Planning, vol. 41, no. 5, pp. 113-114, viewed 7 October 2020, Business Source Complete.

Bachelor of Applied Commerce: ACFIN201A Psychology of Client Engagement

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