Name : CHEN Qi-an Department : Department of Finance Title : Professor Degree : Ph.D. Phone : 86-23-65103527 Email :chenqian@cqu.edu.cn

Positions

Professor of Economics, Department of Finance, School of Economics and Business Administration, Chongqing University, September 2011 - present

Associate Professor of Economics, Department of Finance, School of Economics and Business Administration, Chongqing University, September 2006 - August 2011

Visiting Scholar, Department of Economics, UCSD, August 2009 - August 2010

Visiting Scholar, School of Guanghua Management, Beijing University, September 2008 – January 2009

Lecturer of Economics, Department of Finance, School of Economics and Business Administration, Chongqing University, March 2005 – August 2006

Lecturer of Computer Science, Chongqing Youth Management Cadre College, January 1995 – August 1998

Assistant Engineer, No.3 Branch, Sichuan Instrument Factory, July 1991 – December 1994

Education

Ph.D. (Technology Economy and Management), School of Economics and Business Administration, Chongqing University, December 2004.

Master of Science (Operations Research and Control Theory), Department of Mathematics, Chongqing University, July 2001.

Bachelor of Science (Applied Mathematics), Department of Mathematics, Fudan University, July 1991.

Research Interests

Financial Market, Firm Theory, Behavioral Economics, Electric Power Technology Economy and Management

Papers

[1] Qi-an Chen, Fangzhou Du. Financial Innovation,Systematic Risk and Commercial Banks’ Stability in China: Theory and Evidence [J]. Applied Economics, SEP 2016,48(41): 3887-3898, (SSCI).

[2] Qi-an Chen, Fangzhou Du. Hedging of Credit Derivatives, Systematic Fluctuation and Banking Stability in China[J]. Singapore Economic Review, SSCI, in Press.

[3] Chen Qi-an, LEI xiaoyanMonetary Policy, Investor Sentiment and Volatility of Chinese Stock Market: Theory and Evidence[J]. Chinese Journal of Management Science, in Press.

[4] Chen Qi-an , Chen Shuyu,Shen Meng. China’s Local Governments and Their Investing-Financing Platforms：A Principal-Agent Model based on Government Guarantee and Incentive Perspective[J]. Journal of System & Management, in Press.

[5] CHEN Qi-an, LIU Aiping, LI Hongqiang. Principal-Agent Problem under the Condition of Existing Primary and Secondary Principals：Theoretical Model and Experiment Research[J]. Chinese Journal of Management Science, 2015,23(4):139-147.

[6] Qi-an Chen, Dan Wang, Mingyong pan. Multivariate Time-varying G-H Copula GARCH Model and Its Application in the Financial Market Risk Measurement[J]. Mathematical Problems in Engineering,Volume 2015, Article ID 286014, 9 pages（SSCI,SCIE,EI）.

[7] Huang Shou-jun，Chen Qi-an，Ren Yu-long. Stochastic differential game models for vertical cooperative mitigation in electricity market with combined application of low-carbon technologies[J], Chinese Journal of Management Science, 2015,23(12):94-104.

[8] Aimin Heng, Qian Chen, and Yingshuang Tan. Fuzzy Optimization of Option Pricing Model and Its Application in Land Expropriation, Journal of Applied Mathematics, Volume 2014, Article ID 635898, 7 pages. (SCI)

[9] Chen Qi’an, Zhang Hongzhen, Gaoguoting. Financing Behavior Model of the Investing and Financing Platform Based on Local Government Guarantee [J]. Journal of System Engineering, 2015,30(3)：319-330.

[10] Chen Qi’an, Li Hong-qiang, Xu Li. Equity Incentives，Bank Debt Constraints, Private Benefits of Control Right and Managers’ Over-investement Behavior of State-Holding Listed Companies in China[J]. Journal of System & Management, 2013,22(5)：675-684.

[11] Chen Qi-an, Zhu Min, Lai Qinyun. Study on Portfolio Model Based on investor sentiment[J]. Chinese Journal of Management Science, 2012，20(3)：47-56.

[12] Qi’an Chen, Pengyu Fang, Yuan Zhang. Changes in Macroeconomic Policies and Volatility of Chinese Stock Market, Journal of Software,2012,7(10):2229-2235. （EI）

[13] Chen Qi-an，YANG Xiu-tai Research on Principal-Agent Model Based on Overconfident Agent[J]. Journal of Industrial Engineering and Engineering Management, 2007,21(1):110-116.

[14] Chen Qi-an，Lai Qin-yun，Chen Liang，Zhang Yuan. Risk asset pricing model and its application in the Chinese stock market based on noise traders[J]. Systems Engineering-theory & Practice, 2010,30(3):385-395

[15] Chen Qi-an, Fang Caixia, Xiao Yinghong. Study on Model of Dividend Payout Policy Based on Senior Manager’s Overconfidence in the Listed Company[J]. Chinese Journal of Management Science, 2010,18(3)：174-184

[16] Chen Qi-an，Chen Liang. Study on the Manager’s Stock Option Compensation of the Listed Company under the Condition of Overconfidence[J]. Journal of Industrial Engineering and Engineering Management, 2008,28(5)：11-19.

[17] Chen Qi-an, Shen Meng, Zhang Hongzhen. Study on Behaviors of Non-Tradable Shaeholders Expropriating Tradable Shareholder’s Interest in the Process of Reform of Non-tradeable Shares[J].Chinese Journal of Management Science,2016, 24(S):461-469.

[18] Chen Qi-an, Sun Fangfang. Relationship between Financial Development and Energy Consumption in the Process of Industrialization and Urbanization: Empirical Analysis Based on the VEC Model[J]. Ecological Economy, CSSCI extensions, 2017，(1):80-83.

[19] Chen Qi-an, Du Fangzhou. Hedging of Credit Derivatives, Monetary Fluctation and the Loan Behaviors of Commerical Banks in China[J]. Journal of Chongqing University(social science edition),2016,22(5):43-52.

[20] Chen Qi-an, Du Fangzhou. The Linkage influence Mechanism of Foreign Exchange Reserve and RMB Exchange Rate: An Empirical Study Based on China's Monetary Policy and International Trade before and after the Reform[J]. Inquiry Into Economic Issues ,2014,（7）:162-170.

[21] Chen Qi-an. Equity Incentives, Market Effectiveness and Principal- agenct Relationship of Listed Companies[J]. Social Scientist，2015，（3）：15-21.

[22] Chen Qi-an, Zhang Yuan, Liu Xing. Macro economic environment, government regulation policy and stock market fluctation_Empirical evidence from Chinese stock maket[J]. Economist ,2010，（2）：90-98.

[23] Chen Qi-an, Xiao Yinghong. Senior Managers' Overconfidence and Dividend Payout Policy in the Listed

Companies of China :Theory and Evidence[J]. Chinese Journal of Management, 2011,8(9):1398-1404.

[24] Chen Qi-an, Huang Yueyue, Gao Guoting. Modelling the Effect of Bank Market Structure on Bank Market Equilibrium—Based on Credit Risk and Liquidity Risk[J]. Systems Engineering，2011, 29(8):26-32。

[25] Chen Qi-an, Huang Yueyue. The Effects of Government Regulation and Market Discipline on Risk-Taking Behaviours of Commercial Banks[J]. Finance Forum, 2011, 16(10)：56-61.

[26] Chen Qi-an, Li Hongqiang. Impact Factor of Executive Consumption and Its Economic Consequence on Enterprise Performance: Empirical Evidence from China’s Listed Companies[J]. Technology Economics, 2013,32（1）：112-119.

[27] Chen Qi-an, Fang Caixia, Effects of Senior Manager’s Overconfidence on the Davidend Payout Policy: Empirical Evidence from China’s Listed Companies[J]. Chinese Journal of Management Science, 2013. 11,21(S）：227-230.

[28] Chen Qi-an, Zhang Hongzhen. Empirical Study on Effects of Reduction of Original Non-tradable Shares on Chinese Stock Market[J]. Chinese Journal of Management Science, 2014.11，22(S）：318-323.

[29] Chen Qi-an, Liu Aiping. Corporate Governance and Banking Efficiency: Evidence from Chinese Listed Commerical Banks[J]. Chinese Journal of Management Science, 2015.11，23（S）：437-444

Monographs

[1] Chen Qi-an, The Investment-financing Platform of Chinese Local Government: Financing Behavior and Corporate Governance[M]. Science Press(CHINA), 2016

[2] Chen Qi-an, Tang Kai-e, Li Zhongyun. Rural Migrant Workers in Cities: An Innovative Design in the Security Systems of Employment and Resettlement [M]. Social Sciences Academic Press(CHINA),2015.

[3] Chen Qi-an, Chen Liang, Lai Qinyun. Noise Trade, Investor Sentiment and Return-Volatility in Chinese Stock Market[M]. China Financial & Economic Publishing House, 2011.

Grants and Awards

[1] The Corporate Governance Mechanism and Model Design of Chinese State-owned Enterprise under the Background of Miixed-ownership Reform. Supported by the key projects of Social Science fund of Chongqing in 2016, (Approved: 2016ZDGL12). Project Leader. 2016-2019.

[2] Research on Security Systems Innovation of Employment and Resettlement of Rural Migrant Workers in Cities Based on Overall Planning Urban and Rural Development. Supported by Humanities and social science planning projects of the Ministry of Education in 2011, (Approved: 11YJAZH013). Project Leader. 2011-2014.

[3] Behavioral Financial Theory and Risk of Stock Market: Based on Chinese Stock Market. Supported by China Postdoctoral Science Foundation Funded Project in 2007, (Approved: 20070420720). Project Leader. 2007-2010.

[4] Research on Risk Measurement Model and Algorithm of Financial Market Based on G-H Distribution and Copula Function. Supported by Natural Science fund projects of Chongqing in 2011, (Approved: CSTC, 2011BB2088). Project Leader. 2011-2014.

[5] Research on Financing Behaviors of the Investment and Financing Platform of Local Government in China under the condition of Government Guarantee. Supported by Social Science fund projects of Chongqing in 2011, (Approved: 2011YBGL116). Project Leader. 2011-2014.

[6] Research on Industry Organization mode and Optimal CFD Design Model based on the Market Game in Chinese Electric Market after Releasing Electricity-selling Side. Supported by National Natural Science fund projects in 2016, (Approved: 71673034). Main Researcher. 2017-2020.

[7] Research on Interactive Mechanism of Convertible Bond Financing and Project Flexible Investment. Supported by National Natural Science fund projects in 2006, (Approved: 70571089). Main Researcher. 2006-2008.

[8] Research on Overall Goals, Strategic Path and the Support Conditions of Chongqing Liangjing New Area Building Inland Advanced Manufacturing Base. Supported by Key Project of Development Strategies and Planning of Chongqing Liangjing New Area in 2010. Project Leader. 2010-2011.

[9] Research on Negative List Management of Industrial Park in the Five Functional Areas of Chongqing. Supported by Major Decision Consulting Project of Chongqing in 2014. Project Leader. 2014-2015.

[10] Research on Development Strategies and Professional Management Models of Rural Electric Power. Supported by Management Consulting Project of State Grid in 2013, (Approved: State Gird Development[2013]170). Project Leader. 2013-2014.

[1] Chen Qi-an, Li Zhongyun, Tang kai-e, Yu Jinsong, Tang Zhongwei. The Forth Session ChongQing Development and Research Award in 2012—the third prize. Achievement Name Overall Goal, Strategic Path and Supporting Conditions of Building Interior Advanced Manufacturing Base, in Liangjiang New Area by Chongqing Government, September 2012. Certificate No. CQFZ20120163.

[2] Chen Qi-an, Paper named Study on Portfolio Model Based on Investor Sentiment obtained “Economical Mathematics and Management Mathematics branch of Chinese Society of Optimization, Overall Planning and Economical Mathematics, the second prize in 2013. (1 first prize, 2 second prize, 3 third prize).

[3] Major research achievements of Chongqing Liangjiang New Area Development Strategy and planning Overall Goal, Strategic Path and Supporting Conditions of Building Interior Advanced Manufacturing Base on Liangjiang New Area (Research Report) was selected into "Chongqing Social Sciences Yearbook" (2012) and results published in May 2014.

[4] Awarded as 2014-2015 Advanced Worker of Chongqing University, by Chongqing University in September. 2015. Awarding Document: Commendation for advanced collectives and individuals in the 2014-2015 academic year. （CQU2015，NO.321）

[5] Chen Qi-an, Lei Xiaoyan. Paper named Monetary Policy, Investor Sentiment and Volatility of Chinese Stock Market: Theory and Empirical obtained “2016 Chinese Journal of Management and Science annual meeting excellent paper award”. Award unit: Chinese Society of Optimization, Overall Planning and Economical Mathematics (national level institute), November 2016. Certificate No. CMS1820160022.

[6] Excellent assessment experts of 2015-2016 Chinese Journal of Management and Science, Awarded by the editorial department of Chinese Journal of Management and Science on November 13, 2016.

Teaching

Undergraduate Course: Securities Investment

MBA Course: Securities Investment

Doctoral Course: Modern Firm Theory

Activities

[1] Prof Chen partipicated in 2013 Economic Mathematics and Management Mathematics Annual Conference branch of Chinese Society of Optimization, Overall Planning and Economic Mathematics( the 5th National Member Congress) and was elected as director. He also was elected as executive director of Economic Mathematics and Management Mathematics Conference branch of Chinese Society of Optimization, Overall Planning and Economic Mathematics in the first session of the 5th committee of executive director council in Yinchuan City Ningxia Hui Autonomous Region（ undertaken by the Beifang University of Nationalities）from August 2 to 6, 2013.

[2] Prof Chen made an academic report on the "Portfolio Model Based on Investor Sentiment" in Economic Mathematics and Management Mathematics branch of Chinese Society of Optimization, Overall Planning and Economic Mathematics on August 4, 2013.

[3] Prof Chen partipicated in the forth session of the 8th executive director council of Chinese Society of Optimization, Overall Planning and Economic Mathematics(National Level Institute), namely the 15th Annual Conference of Chinese Management Science and the Third Youth Forum from October 25 to 27, 2013.

[4] Prof Chen partipicated in Western University financial academic symposium and served as the host in scene three On December 21, 2013.

[5] Prof Chen partipicated in Chinese Management Modernization Research Association, namely Chinese Youth Working Committee director conference of Chinese Society of Optimization, Overall Planning as deputy director of Youth Working Committee of Chinese Society of Optimization, Overall Planning and Economic Mathematics from July 24 to 25, 2014.

[6] Prof Chen partipicated in the 5th Annual Conference on Energy Economics and Management,namely the 8th scholar symposium on Development and Utilization Strategy of Chinese Energy Resources, hosted by Management Science Department of National Natural Science Foundation and Energy Economics and Management Research Branch of Chinese Society of Optimization, Overall Planning and undertaken by Centure for Energy & Environmental Policy Research and School of Management and Economics of Beijing Institute of Technology from July 26 to 28, 2014.

[7] Prof Chen was invited as the special representative to Chinese science and technology association 281th youth scientist BBS "financial innovation for low-carbon economy" sponsored by the China Association for Science and Technology , undertaken by Chinese Society of Optimization, Overall Planning and Economic Mathematics and organized by the Shaanxi Normal University and made a research report on financing innovation of Chinese local government investment and financing platform from August 7 to 9, 2014.

[8] Prof Chen partipicated in the first session of the 9th executive director council of Chinese Society of Optimization, Overall Planning and Economic Mathematics(National Level Institute), namely the 16th annual conference of Chinese Management Science in Shanxi University taiyuan, shaanxi province and was elected as director, deputy secretary general and member of organization committee of Chinese Society of Optimization, Overall Planning and Economic Mathematics from October 17 to 20, 2014.

[9] Prof Chen partipicated in the first session of the 9th executive director council of Chinese Society of Optimization, Overall Planning and Economic Mathematics(National Level Institute), namely the 16th annual conference of Chinese Management Science in School of Economics and Management Shanxi University and served as the review expert in the special academic report on economic mathematics and financial risk management from October 17 to 20, 2014.

[10] Prof Chen partipicated in 2014 China Management Young Scholar Forum and the 9th (2014) Chinese Management Annual Conference "the management innovation in the China deep reform process " from November 13 to 16, 2014.

[11] Prof Chen was invited to Chinese Management Youth Award Organizing Committee (hosted by China Management Modernization Research Association) and served as review expert in the China Management Youth Award in June 2015.

[12] Prof Chen partipicated in 2015 Secretary-General annual meeting of Chinese Society of Optimization, Overall Planning and Economic Mathematics as deputy secretary-general in Beijing Institute of Science and Technology Policy and Management Science from July 9 to 10, 2015.

[13] Prof Chen partipicated in the second session of the 9th executive director council of Chinese Society of Optimization, Overall Planning and Economic Mathematics(National Level Institute), namely the 17th annual conference of Chinese Management Science in School of Economics and Management Inner Mongolia University of Technology and served as the review expert in the special academic report on economic mathematics and financial risk management from October 17 to 20, 2014.

[14] Prof Chen partipicated in the third session of the 9th executive director council of Chinese Society of Optimization, Overall Planning and Economic Mathematics(National Level Institute), namely the 18th annual conference of Chinese Management Science in School of Management Xi’An JiaoTong University and servived as the review expert in the special subject academic report on decision optimization and business management from November 11 to13, 2016.

Practice and Service

[1] Prof Chen has served as the member of postgraduate education supervisor of School of Economic and Business Administration Chongqing University since December 2012.

[2] Prof Chen have served as professional degree education committee of School of Economic and Business Administration Chongqing University from April 2013 until now.

[3] Prof Chen joined in establishment of Chongqing Thinktanks Seminar in Chongqing Liyuan Hotel, namely first session of the committee and was selected as first session member of Chongqing Thinktanks Seminar on August 18, 2013.

[4] Prof Chen was invited to serve as judge of 2013 Chongqing large interactive inspirational television program “Win in countryside, Dream of China” of Chongqing Television City Public Channel.

[5] Prof Chen was invited to serve as oral defense chairman of Vocational graduate students by School of Economic and Management in Chongqing Normal University on December 1, 2013.

[6] Prof Chen was interviewed by journalist Shenjing from Chongqing Youth Daily about housing provident fund named “Time Changed, Provident Fund Institution Changed” on December 5, 2013.

[7] Prof Chen was interviewed by journalist from Chongqing television about current economic and financial hot issues which was broadcasted on Chongqing television in May 2014.

[8] Prof Chen served as as judge of 2014 Shapingba District Innovation Street (town) accreditation meeting of Shapingba District Science and Technology Commission of Chongqing on July 12, 2014.

[9] Prof Chen was interviewed by journalist from Chongqing television about optimization credit structure in Chongqing on August 3 2014 which was broadcasted on Chongqing News programme at 6:30 pm,August 4.

[10] Prof Chen was employed as a communications review expert of Ministry Education Degree and Graduate Education Development Center to review excellent master thesis “Research on Coordination Mechanism of Supply Chain Contract under Risk Aversion and Information Asymmetry” in October, 2014.

[11] Prof Chen was employed as a communications review expert of Ministry Education Degree and Graduate Education Development Center to review excellent doctoral thesis “Decision - making Utility, Feeling Utility and Happiness - Theoretical Analysis and Chinese Empirical ”(2013004) in November, 2014.

[12]Prof Chen served as the expert of dissertation proposal report of Chongqing Social Science Program special authorized project “Research on the Model of Chongqing Children and Adolescents Development Capacity ”on November 12, 2014.

[13] Prof Chen was invited as postgraduate oral defense committee chairman of School of Economics and Management in Chongqing Normal University on November 28, 2014.

[14] Prof Chen was invited as assessment expert of doctoral degree dissertation proposal report of School of Economics and Management in Southwest University on December 5, 2014.

[15] Prof Chen was employed as the communications review expert of 2014 Ministry Education Degree and Postgraduate Education Development Center to sample doctoral thesis in March, 2015.

[16]Prof Chen was invited as postgraduate oral defense committee chairman of School of Economics and Management Southwest University on May 22, 2015.

[17] Prof Chen was invited as review expert of postgraduate oral defense committee of Shantou University in June 2015.

[18] Prof Chen served as the expert of concluding the acceptance of the key project of Chongqing decision-making advisory and management innovation “Financing System Reform Research Based on Strengthening the Endogenous Power of Economic Growth ) on October 16, 2015.

[19] Prof Chen has been a member of postgraduate education supervisor in School of Economics and Business Administration of Chongqing University since October 2015.

[20] Prof Chen served as senior peer review expert of Southwestern University of Finance and Economics in October 2015 .

[21] Prof Chen was appointed as the leader of concluding the acceptance group of the key project of Chongqing decision-making advisory project “Study on the Competition and Cooperation Mechanism of County under the Development Strategy of Five Functional Regional” on November 20, 2015.

[22] Prof Chen was invited to give a lecture named “Executive power: the core issue of the development of individuals and organization” for middle-level cadres of Chongqing Electric Power Company and its subordinate power supply company on November 25, 2015.

[23] Prof Chen was invited as review experts of Dr. Shi Lefeng postdoctoral outbound report named “The Design and Evaluation of Electric Vehicle Commercial Operation Mode Based on the Theory of City Power Grid Collaborative Management”on November 25, 2015.

[24] Prof Chen was invited as the questionnaire demonstration experts of “Research on the Model of Chongqing Children and Adolescents Development Capacity” project of Chongqing Education Evaluation Institute on December 2, 2015.

[25] Prof Chen was invited as the on-the-job postgraduate oral defense committee chairman of Chongqing Normal University and assessment expert of applied economics of key disciplines in Chongqing on December 3, 2015.

[26]Prof Chen was invited as member of final review expert group of Chongqing decision-making advisory and management innovation “The Study on Management Modle of Chongqing Institutional Performance Compensation and Policy” on March 28, 2016.

[27] Prof Chen was invited as the review expert of Ministry Education Degree and Postgraduate Education Development Center to sample postgradute and doctoral thesis before oral defence in May, 2016.

[28] Prof Chen was invited as postgraduate oral defense committee chairman of School of Economics and Trade Chongqing University of Technology on May 27, 2016.

[29] Prof Chen was invited by Chinese Management Youth Award Organizing Committee (organized by Chinese Management Modernization Research Association) as Youth Award assessment experts of Chinese Management Youth Award in June 2016.

[30] Prof Chen was invited to give a lecture about “Cultivate the Efficient Implementation of Individuals and Enterprises” for middle-level cadres of Chongqing Electric Power Company and its subordinate power supply company on August 26, 2016.

[31] Prof Chen was invited to give a lecture on “China's macroeconomic situation and the development of the town industry for leaders of Anwen town” , Qijiang District ,Chongqing on September 2, 2016.

[32] Prof Chen served as the review expert of Ministry Education Degree and Postgraduate Education Development Center to sample doctoral thesis in September ,2016.

[33] Prof Chen was invited as chairman of on-the-job postgraduate oral defence committee of Chongqing Normal University at 9: 00-12: 00 on December 1, 2016 .

[34] Prof Chen was invited to serve as chairman postgraduate oral defence and mid-term examination defense of Chongqing University of Science and Technology at 9: 00-12: 00on December 16, 2016.

[35] Prof Chen represent teachers to participant in Chongqing University teachers' Conference from December 21 to December 22 in 2016.

[36] Prof Chen was invited to serve as the project review committee “Chongqing Metro core area business district of Tongliang District and business district of Pulv new area business planning”, and as head of the expert group on at 9:30 - 12:30 on February 15, 2017 .