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13 November 2025

On the Shortfall of Tail-Based Entropy and Its Application to Capital Allocation

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School of Statistics and Data Science, Qufu Normal University, Qufu 273165, China
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Entropy2025, 27(11), 1153;https://doi.org/10.3390/e27111153 
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This article belongs to the Section Information Theory, Probability and Statistics

Abstract

We introduce and study the shortfall of tail-based entropy (STE), a tail-sensitive risk functional that combines expected shortfall (ES) and tail-based entropy (TE). Beyond the tail mean, STE imposes a rank-dependent penalty on tail variability, thereby capturing both the magnitude and variability of tail risk under extremes. The framework encompasses several shortfall-type measures as special cases, such as Gini shortfall, extended Gini shortfall, shortfall of cumulative residual entropy, shortfall of right-tail deviation, and shortfall of cumulative residual Tsallis entropy. We provide equivalent characterizations of STE, derive sufficient conditions for coherence, and establish monotonicity with respect to tail-variability order. As an application, we investigate STE-based capital allocation, deriving closed-form allocation formulas under elliptical and extended skew-normal distributions, along with several illustrative special cases. Finally, an empirical analysis with insurance company data illustrates the implementation and evaluates the performance of the allocation rule.

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