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Curriculum Vitae
HUNG WAN KOT ( 葛鴻雲 )

ADDRESS
Department of Finance & Decision Sciences
Hong Kong Baptist University
Kowloon Tong, Hong Kong
Phone: +852 3411 7558
Fax: +852 3411 5585
E-mail: hwkot#hkbu.edu.hk (replace # by @)

EMPLOYMENT
- Assistant Professor, from Sep 2006, Department of Finance & Decision Science, Hong Kong Baptist University (HKBU)
- Lecturer (Continuing position), Jan 2005 - Aug 2006, Department of Finance, University of Waikato, New Zealand
- Visiting Scholar, Dec 2005 - Feb 2006, Department of Finance, Hong Kong University of Science & Technology (HKUST)

RESEARCH INTERESTS
- Short selling, index revision, name changes, cross-listing, analysts' forecasts, mutual fund, trading strategies, emerging markets

EDUCATIONS
- Ph.D. in Finance, 2004, HKUST
- B.B.A. (Hons) major in Finance, 1998, HKBU

PUBLICATIONS
- Hung Wan Kot, 2011, Corporate name changes: Price reactions and long-run performance, Pacific Basin Finance Journal 19, 230-244.
- Kalok Chan, Hung Wan Kot, and Desmond Li, 2008, Portfolio concentration and closed-end fund discounts: Evidence from the China market, Emerging Markets Review, Vol 9, Issue 2, 129-143.
- Hung Wan Kot, 2007, What determines the level of short-selling activity?, Financial Management, Vol 36, Issue 4, 123-141.
- Abey Gunasekarage, Hung Wan Kot, 2007, Return-based Investment Strategies in the New Zealand Stock Market: Momentum Wins, Pacific Accounting Review, Vol 19, No 2, 108-124.
- Kalok Chan, Hung Wan Kot, 2006, Can contrarian strategies improve momentum profits?, Journal of Investment Management, Vol 4, No 1, 70-89.

WORKING PAPERS
- Kalok Chan, Hung Wan Kot, and Sophie Ni, 2012, Does option trading affect the return predictability of short selling activity?
- Kalok Chan, Hung Wan Kot, and Zhishu Yang, 2010, Effects of short-sale constraints on stock prices and trading activity: Evidence from Hong Kong and Mainland China.
- Hung Wan Kot, Lewis H.K. Tam, 2011, What factors influence the reverse cross-listing decision?
- Hung Wan Kot, Gordon Y.N. Tang, 2012, The long-term performance of Hang Seng Index additions and deletions.
- Hung Wan Kot, 2012, Financial analysts and short selling activity.
- Hung Wan Kot, and Gordon Y.N. Tang, 2011, S&P 500 index.
- Hung Wan Kot, Ji Rach, 2011, Price reactions to corporate name changes: Evidence from Hong Kong stock market.

WORKING IN PROGRESS
- "Short selling in U.S." (with Kalok Chan)
- "Corporate name changes in Hong Kong"

WORKING EXPERIENCES
Instructor (HKBU)
- Financial Management (Undergraduate), 2006-11 Fall
- Multinational Finance (Undergraduate), 2007-12 Spring
- Investment Management (Undergraduate), 2008 Spring
- Investment Analysis and Portfolio Management (MBA & MSc in China, Putonghua teaching), 2007-08 Spring, 2008 Fall, 2011-12 Spring
Instructor (U of Waikato)
- Derivative Securities (Undergraduate), 2005 A semester, 2006 A semester
- Derivatives I (Master), 2005 A semester, 2006 A semester
- International Finance (Undergraduate), 2005 B semester
Instructor (HKUST)
- Fundamentals of Business Finance (Undergraduate), Summer 2003
Research Associate/Assistant
- Sep-Dec 2004, 1998-1999, Department of Finance, HKUST
- June-Aug 2004, Hang Seng Investment Management
Teaching Assistant (HKUST)
- 2001-2004, various courses in PhD level, MSc level, MBA level, and Executive programme
Other Full-time Jobs
- 1989-1991 Chef, 1991-1992 Waiter, 1992-1993 Assistant Clerk

SKILLS
Speaking Language
- English, Cantonese, and Mandarin (first language)
Computer Language
- SAS, VBA, Microsoft Office, some knowledge of C++ and FORTRAN
- Dataset handled: CRSP, COMPUSTAT, I/B/E/S, EMDB, PACAP, TFN (Mutual Funds, Institutional, Insiders), OptionMetrics, SDC Mergers, CCER, TEJ, Datastream, Bloomberg

AWARDS
- General Research Fund, 2008, Research Grants Council, Hong Kong (Project Title: Short-sale Constraints and A-H share premiums, HK$442,400)
- Faculty Research Grant, 2006, 2007, 2011, Hong Kong Baptist University
- Contestable Research Funds, 2005, The University of Waikato Management School
- Winner of PhD Students Research Paper Competition, 2003, HKUST Business School
- FMA Doctoral Student Consortium, 2003, Denver
- Ph.D. student travel award, 2003, AFA annual meeting at Washington D. C.
- Research Travel Grant, 2002, 2003, HKUST
- Full postgraduate fellowship, 1999 - 2004, HKUST Business School
- Finalist of Citibank University Marketing Award, 1997, Citibank (Hong Kong)
- The China & South Sea Bank Ltd. Scholarship, 1997, Hong Kong Baptist University

PRESENTATIONS
2012
- Shanghai University of Finance and Economics, April 2012
- Fudan University, March 2012
- FMA Asian annual meeting in Phuket, Thailand, July 2012 (Accepted)
- Asian FA/TFA 2012 Joint International Conference in Taipei, July 2012 (Two papers, Accepted)
2011
- Hong Kong Baptist University, January 2011
- AsianFA International Conference 2011 in Macau, July 2011 (Presenter and discussant)
- 2011 China International Conference in Finance in Wuhan, July 2011 (Presenter and discussant)
2010
- Fifth International Conference on Asia-Pacific Financial Markets in Seoul, December 2010 (Presenter)
- AsianFA International Conference 2010 in Hong Kong, June-July 2010 (Discussant)
2009
- University of New South Wales, April 2009
- Hang Seng Index Services Ltd., July 2009
- 2009 Hong Kong Joint Finance Research Workshop, November 2009 (Discussant)
- 2009 China International Conference in Finance in Guangzhou, July 2009 (Presenter & discussant)
- AsianFA International Conference 2009 in Brisbane, June-July 2009 (Presenter & discussant)
2008
- Xiamen University, December 2008
- AsianFA-NFA 2008 International Conference in Yokohama, July 2008 (Presenter & discussant)
- 2008 China International Conference in Finance in Dalian, July 2008 (Discussant)
- 15th Annual Global Finance Conference in Hangzhou, May 2008 (Two papers)
- Hong Kong Polytechnic University, Feb 2008
2007
- University of Macau, December 2007
- Hong Kong Baptist University, May 2007
- HKUST PhD student workshop, May 2007, Dec 2007
- Asian FA/FMA 2007 Finance Conference in Hong Kong, July 2007 (Presenter & 2 papers discussant)
- 7th Accounting and Finance Conference, Xiamen, July 2007 (Presenter & 2 papers discussant)
- 2007 China International Conference in Finance in Chengdu, July 2007 (Discussant)
2006
- International University of Japan, February 2006
- Hong Kong Baptist University, January 2006
- Asian FA/FMA 2006 Finance Conference in Auckland, July 2006 (Presenter and discussant)
2005
- Renmin University of China, December 2005
- University of Waikato, New Zealand, June 2005
- 18th Australasian Finance and Banking Conference 2005 in Sydney, December 2005
- 2005 China International Conference in Finance in Kunming, July 2005
- Asia FA/FMA 2005 Finance Conference in Kuala Lumpur, July 2005
2004
- International University of Japan, February 2004
- HKUST, April 2004
- University of Waikato, New Zealand, April 2004
- Asian FA/TFA/FMA 2003-2004 Finance Conference in Taipei, July 2004 (Presenter & discussant)
2003
- FMA international 2003 annual meeting in Denver, October 2003 (Discussant & 2 papers presenter)
2002
- Hong Kong Baptist University, March 2002
- APFA/PACAP/FMA 2002 Finance Conference in Tokyo, July 2002 (Presenter & discussant)

professional Activities
- Referee, Pacific Basin Finance Journal (2005, 2007), Emerging Markets Finance & Trade (2008), Journal of Business Ethics (2009, special issue), International Review of Economics & Finance (2009), Journal of Business Finance & Accounting (2010), Australian Journal of Management (2010), Journal of Empirical Finance (2010), International Economics (2010), Emerging Markets Finance & Trade (2011), Review of Quantitative Finance & Accounting (2012), Review of Futures Markets (2012), Managerial Finance (2012, special issue)
- External Examiner, DBA, University of South Australia, 2008
- External Examiner, Master of Business, Auckland University of Technology, September 2006

PROFESSIONAL ASSOCIATION MEMBERSHIPS
- American Finance Association, Western Finance Association, Financial Management Association International, Asian Finance Association

Supervison of Master Student Thesis (U oF WAIKATO)
- Feng Zhang, 2005, The determinants of corporate debt maturity - Hong Kong evidence
- Ji Zhang, 2006, Two essays of corporate name changes in Hong Kong market
- Xiaoshu Zhang, 2006, Short selling prior to earnings announcements: Hong Kong evidence

MEDIA COVERAGE [ in Chinese]
Hong Kong Economic Times
- Hong Kong corporate name changes and investment returns (2010.11.26)
- Comments on proposed changes of short position disclose (2010.3.15)
- Launch the stock index futures in the A-share market (2010.1.5)
- Enhance the short selling transparency (2009.06.15)
- Rethinking short selling (2009.03.25)
- Short selling in the China A-share market (2008.10.9)
- Suspending short-selling during financial tsunami period (2008.10.2)
- Enhance the short-selling platform for the Hong Kong market (2008.6.24, with Kalok Chan)
- Should Hong Kong waive the up-tick rule for short selling? (2007.7.3, with Kalok Chan)
- Analysis the reasons of Luo Yang Glass's loss (1988.4)
- Selecting stocks when you are traveling (1998.3)
Hong Kong Economic Journal Monthly
- "Long Zhong Talking" and modern investment diversification (2002.3)
- Behavioral finance and contrarian strategies (2000.10, with Alexander Fung)
- Tides and stock market volatility (2000.5)
- Waves of technology stocks and momentum strategies (2000.4)
- Brownian motion and Monte Carlo simulation (1999.10)
- Zheng He, The Wall Street and Emperor of Qing Dynasty (1999.7)
- Decision behavior and psychologies in internet trading: Preliminary analysis (1999.6)
- Investment strategies of foreign exchange fund: View of home bias (1999.5, with Kalok Chan)
- "One country two considerations" in Hong Kong stock markets (1999.3)
- Monday Effect of Hang Seng Index (1999.1)
- Are Hong Kong university graduates voluntary unemployed? (1998.12)
- Risk and returns after major price innovations in Hong Kong stock markets (1998.10)
- Investment strategies in a Chinese novel (1998.9)
- Analysis Hang Seng Inex from a Physical view (1998.8)
- Momentum strategies on red chips and H-shares (1998.4)
- A critical review on red chips (1997.8)
- Pricing on the local telephone after the termination of natural monopoly (1997.6)
- Two pieces of opinion on Hong Kong foreign labor importation (1996.3)
Hong Kong Economic Journal
- What determines the level of short-selling activity? (2007.1.24, with Kalok Chan)
- Money burning and internet stocks' financing (2000.11, with Kalok Chan)
- Should foreign exchange fund portfolio invest in Hong Kong stocks? (1999.3, with Kalok Chan)
- Is it worth to invest in H-shares? View from the quality of management (1997.9, with Billy Mak)
- The world of DeBondt (1997.6, with Alexander Fung)
　

April, 2012