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May 13, 2026Journal of risk and financial management0 citationsOpen Access

Explainable AI for Financial Distress: Evidence from Market Volatility and Regime Dynamics

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STS J TabatabaeiMMMohammad Mahdi Mousavi

Key Points

  • This research aims to develop an explainable AI model to assess financial distress through market volatility.
  • Analyzed corporate leverage risk within the S&P 100 using market volatility and the CBOE Volatility Index (VIX)
  • Employed XGBoost and SHAP-based explainable AI techniques on a longitudinal dataset from 2000 to 2025
  • Evaluated the impact of monetary policy and inflation on financial distress during various economic conditions.
  • Total Debt identified as the primary predictor of financial distress
  • Risk-related variables like VIX showed increased predictive contribution during crisis periods
  • Monetary policy indicators gained importance during pandemic conditions, while inflation dominated in stable environments.

Abstract

This study investigates the role of market volatility, proxied by the CBOE Volatility Index (VIX), as a potential regime-dependent interaction of corporate leverage risk within the S&P 100. Addressing the limitations of traditional financial distress models in capturing non-linear and regime-dependent dynamics, we employ XGBoost combined with SHAP-based explainable AI (XAI) on a longitudinal dataset spanning 2000–2025. The results show that Total Debt remains the dominant predictor of financial distress, while the predictive contribution of risk-related variables such as the VIX and equity returns increases during crisis periods. Monetary policy indicators become more important during pandemic conditions, whereas inflation dominates in a stable environment. This finding highlights the regime-dependent nature of financial risk drivers and demonstrates the value of explainable machine learning in developing interpretable risk diagnostic frameworks. By integrating predictive accuracy with interpretability, this study provides new insights into the non-linear interaction between firm-level leverage and external market volatility.

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Cite This Study

Tabatabaei et al. (2026) studied this question.

synapsesocial.com/papers/6a03cc3d1c527af8f1ed02fahttps://doi.org/10.3390/jrfm19050348
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