badboyrisk contains a function to utilize Form U4 from FINRA to calculate risk of a company takes on with a broker.
Questions C, D, E, G, I, J, and M from FINRA's Form U4 section 14: Disclosure Questions are identified as the "bad boy" questions. These questions are imperitive for complience workers in a company due to the fact the risk of an employee to a company can be derived from these questions. In this package, a algorithm is created for these questions to create a quantitative approach to scoring a potential empoloyee's risk to a company. The package will also produce visualization aids to demonstrate where the risks factors occured and how best to allocate their compliance office's resources. Due to the fact this information is confidental under law, the datasets provided are made up
functions for estimating quantitative risk of an employee and qualitative risk values.
- Scale of risk factor
- Visual graphics for pattern recognition of risk
Rev. Form U4 (05/2009) [PDF]. (2009, May). FINRA.