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arXiv research

A locally-built, LLM-digested index of recent arXiv papers in quant finance, geometry/topology, and statistical ML — keyword search served straight from SQLite on this machine.

168,695 papers · 148 categories

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112224336448 · Jun 202019922001200920172026
48 results for robust constraints

Tikhonov regularization is robust under specific martingale constraints in distributionally robust optimization.

problem Distributionally robust optimization and regularization of learning models.
method Optimal transport approach with martingale constraints.
result Tikhonov regularization is optimal transport robust under specified martingale constraints.

Paper finds robust ΛΛ-quantiles equal to extremal distributions.

problem Investigating robust models for ΛΛ-quantiles with partial loss information.
method Extending classical quantiles using ΛΛ-quantiles and applying results from robust quantiles.
result Robust ΛΛ-quantiles equal to ΛΛ-quantiles of extremal distributions.

ARO overfits by making constraints dependent on uncertainty, leading to brittleness.

problem ARO's adaptive policies become brittle when realizations fall outside the uncertainty set.
method Assigning constraint-specific uncertainty set sizes with probabilistic guarantees.
result Regularization through specific uncertainty set sizes ensures stability and flexibility.

The paper trains neural networks with robustness guarantees using semidefinite constraints.

problem Training neural networks with robustness and stability guarantees.
method Exploiting the banded structure of semidefinite constraints, an efficient and scalable training scheme based on interior point methods is set up.
result The method allows for enforcing Lipschitz constraints in large-scale deep neural networks, as demonstrated in numerical examples.

Investor optimizes investment and consumption under uncertain market conditions with constraints.

problem Investor optimizes investment and consumption in a stochastic environment with model uncertainty and constraints.
method Robust control problem solved using stochastic Hamilton-Jacobi-Bellman-Isaacs equations, backward stochastic differential equations, and bounded mean oscillation martingale theory.
result Investor incurs utility loss when ignoring model uncertainty, and constraints impact optimal strategy and value function.

Expands newsvendor model with moment constraints using Wasserstein distance.

problem Optimizing order quantity under distributional ambiguity.
method Formulates infinite dimensional primal problem, derives finite dimensional dual problem using problem of moments duality.
result Distributional ambiguity affects optimal order quantity and profits/costs.

The paper extends utility maximization by integrating partial information and robust VaR constraints.

problem Optimal investment under partial information and robust VaR-type constraints.
method Combines partial information and robust regulatory constraints (VaR) to solve the utility maximization problem.
result Optimal wealth is a decreasing function of state price density, and depends on the overall evolution of the estimated market price of risk.

Paper optimizes financial trading strategies under uncertain market conditions.

problem Guaranteeing robust positive expected profits in financial systems.
method Transformed semi-infinite constraints into structured policies and proposed a novel graphical approach.
result Demonstrated superior risk-adjusted returns and downside risk compared to conventional strategies.

Iterative method learns unknown constraints for MPC control.

problem Learning to satisfy unknown polyhedral state constraints in iterative MPC.
method Collects and improves estimates of unknown constraints using collected data, designs an MPC controller to satisfy the estimated constraints.
result Robust and probabilistic guarantees of constraint satisfaction as a function of task iterations.

New loss function handles uncertain constraints in CSLO problems.

problem Handling uncertain inequality constraints in CSLO with machine learning predictions.
method Introduces SPO-RC loss and SPO-RC+ surrogate, trains on truncated datasets, corrects bias.
result SPO-RC+ effectively manages constraint uncertainty and improves performance.

Study improves portfolio risk estimation methods using robust covariance and CVaR constraints.

problem Improving portfolio risk estimation in the presence of financial data noise and extreme market conditions.
method Exploration of robust covariance estimators, application of CVaR constraints, use of K-means clustering in optimization.
result Robust covariance estimators can outperform market-weighted benchmarks, especially during bull markets.

Graph-based framework for provably robust adversarial training.

problem Adversarial robustness of machine learning models.
method Formulates adversarial robustness as loss minimization with a Lipschitz constraint, using graph-based discretization and primal-dual algorithms.
result Establishes a connection between elliptic operators and adversarial learning, and proves fundamental lower bounds on adversarial sensitivity.

Optimizes query routing to LLMs under cost and resource constraints.

problem Non-uniform or adversarial batching in per-query routing methods leads to cost inefficiency.
method Batch-level, resource-aware routing framework that jointly optimizes model assignment for each batch.
result Robust routing framework improves accuracy by 1-14% over non-robust methods.

New algorithm improves deep learning models' robustness without sacrificing accuracy.

problem Low-rank methods compromise model robustness against adversarial perturbations.
method Robust low-rank training via approximate orthonormal constraints.
result Ensures well-conditioning and better adversarial robustness without sacrificing model accuracy.

Paper tackles SMPC for linear systems with unknown noise distribution.

problem Stochastic MPC for linear systems with chance state constraints and unknown noise distribution.
method Reformulate chance constraints, design robust benchmark SMPC, and develop adaptive SMPC with online noise statistics learning.
result Adaptive SMPC guarantees time-uniform satisfaction of unknown reformulated state constraints with high probability.

Ditto improves fairness and robustness in federated learning.

problem Fairness and robustness in statistically heterogeneous federated learning networks.
method Personalized federated learning framework (Ditto) with a scalable solver.
result Ditto achieves competitive performance and superior fairness and robustness compared to existing methods.

CaTs use DAGs with transformers to enforce causal constraints, improving neural network robustness.

problem Neural networks lack inherent causal structure respect, leading to reliability issues.
method Introducing Causal Transformers (CaTs) that operate under predefined causal constraints specified by DAGs.
result CaTs improve robustness and interpretability of neural networks under causal constraints.

New method for robustly interpreting ML models using quantile constraints and Wasserstein projections.

problem Assessing robustness of black-box models to input misspecification.
method Quantile-constrained Wasserstein projections for robust interpretability.
result Analytical solution for perturbation problem and smooth perturbations.

Framework for robust decision making in changing environments with privacy constraints.

problem Interactive decision making in changing environments with constraints.
method Hybrid Decision Making with Structured Observations (hybrid DMSO) framework, local differentially private decision making, query-based learning, robust and smooth decision making.
result Strong connections and bounds derived for DEC, SQ dimension, local minimax complexity, learnability, and joint differential privacy.

In this paper we study a robust expected utility maximization problem with random endowment in discrete time. We give conditions under which an optimal strategy exists and derive a dual representation for the optimal utility. Our approach is based on a general representation result for monotone convex functionals, a fu…

2017-12-20abs ↗pdf ↗

New neural network smoothness constraints improve model performance.

problem Improving model sensitivity to input changes for better generalization and robustness.
method Exploring current smoothness constraints and proposing new flexible definitions.
result Current smoothness constraints lack flexibility and understanding of data, tasks, and learning.

c-lasso is a Python tool for robust and sparse regression with linear constraints.

problem Sparse and robust linear regression with linear constraints.
method Estimates coefficients and scale under linear constraints using perspective M-estimators.
result Provides estimators for various loss functions with linear constraints.

Social Security and other public policies can be viewed as a series of cash in and outflows that depend on parameters such as the age distribution of the population and the retirement age. Given forecasts of these parameters, policies can be designed to be financially stable, i.e., to terminate with a zero balance. If …

2012-01-30abs ↗pdf ↗

Most existing distance metric learning methods assume perfect side information that is usually given in pairwise or triplet constraints. Instead, in many real-world applications, the constraints are derived from side information, such as users' implicit feedbacks and citations among articles. As a result, these constra…

2012-03-15abs ↗pdf ↗

ScoreAG generates unrestricted adversarial images maintaining semantic integrity.

problem Limited robustness evaluations due to p\ell_p-norm constraints.
method Score-Based Adversarial Generation (ScoreAG) using score-based generative models.
result ScoreAG improves robustness assessments across multiple benchmarks.

Robust MCVaR portfolio optimization using RKHS for risk management.

problem Minimizing portfolio risk while achieving higher returns under uncertainty.
method Introduces a robust MCVaR model with ellipsoidal support and RKHS uncertainty set for chance constraint.
result Robust model outperforms nominal and market portfolios in various market conditions.

Paper proposes a shape-constrained approach to distributionally robust learning.

problem Challenges in statistical learning under distribution shift.
method Shape-constrained approach to distributionally robust learning (DRL). Assumes isotonic density ratio.
result Improved accuracy demonstrated in empirical studies.

This paper presents a distributionally robust Q-Learning algorithm (DrQ) which leverages Wasserstein ambiguity sets to provide idealistic probabilistic out-of-sample safety guarantees during online learning. First, we follow past work by separating the constraint functions from the principal objective to create a hiera…

2020-02-07abs ↗pdf ↗

This work evaluates risks over time using robust measures and neural networks.

problem Distributionally robust risk evaluation over temporal data.
method Characterizes alternative measures using causal optimal transport, approximates test functions by neural networks, and proves sample complexity.
result Framework outperforms classic counterparts in portfolio selection problems.

Study hypothesis testing under quantized samples with communication constraints, achieving near-optimal sample complexity.

problem Optimizing hypothesis testing with quantized samples and communication constraints.
method Developed a polynomial-time algorithm achieving near-optimal sample complexity under communication constraints.
result Achieved near-optimal sample complexity under communication constraints, with a logarithmic factor increase over unconstrained setting.

The paper improves robust optimization by introducing margin theory.

problem Improving the reliability of solutions in high-dimensional robust optimization.
method Introducing margin theory to improve sample complexity and reliability of solutions.
result The sample complexity of a class of random programs does not depend on the number of variables.

The paper refines and generalizes worst-case law invariant convex risk measures.

problem Developing robust convex risk measures under uncertainty sets.
method Generalizing closed forms for worst-case law invariant convex risk measures with uncertainty sets based on norms and moment constraints.
result Explicit closed forms for convex risk measures are developed and assessed through numerical simulations.

The paper develops a convex parameterization for robust RNNs ensuring stability and robustness.

problem Lack of stability and robustness guarantees in RNNs for sequence-to-sequence mapping applications.
method Formulated convex sets of RNNs with stability and robustness guarantees using incremental quadratic constraints.
result The proposed model structure ensures global exponential stability and bounds on incremental 2 \ell_2 gain.

New framework enhances neural network robustness against adversarial attacks.

problem Vulnerability of deep neural networks to small perturbations.
method Integrates Lipschitz constraint using optimal transport and hinge regularization.
result Proposes a new loss function that certifies adversarial robustness.

Safety filter for unknown discrete-time systems with learned models and noise covariance.

problem Ensuring safety for unknown discrete-time linear systems with Gaussian noise.
method Develops a learning-based safety filter using empirical model and noise covariance, optimizing control actions to stay within safety constraints.
result Minimally modifies nominal control actions to ensure safety with high probability, tightening constraints as more data is collected.

Unified framework for DRO using OT with constraints.

problem Handling ambiguity in likelihood ratios and outcomes.
method Unified framework leveraging optimal transport with conditional moment constraints.
result Unified approach enables adversarial perturbation of likelihood ratios and outcomes.

Improved method using filtered PDEs for robust physics-informed deep learning.

problem Complex real-world problems with noisy and sparse data.
method Proposed a surrogate constraint (FPDE) to filter and reduce the influence of noisy and sparse observation data.
result FPDE models converge better and produce higher quality solutions with less data.