No Language is an Island: Unifying Chinese and English in Financial Large Language Models, Instruction Data, and Benchmarks

While the progression of Large Language Models (LLMs) has notably propelled financial analysis, their application has largely been confined to singular language realms, leaving untapped the potential of bilingual Chinese-English capacity. To bridge this chasm, we introduce ICE-PIXIU, seamlessly amalgamating the ICE-INTENT model and ICE-FLARE benchmark for bilingual financial analysis. ICE-PIXIU uniquely integrates a spectrum of Chinese tasks, alongside translated and original English datasets, enriching the breadth and depth of bilingual financial modeling. It provides unrestricted access to diverse model variants, a substantial compilation of diverse cross-lingual and multi-modal instruction data, and an evaluation benchmark with expert annotations, comprising 10 NLP tasks, 20 bilingual specific tasks, totaling 1,185k datasets. Our thorough evaluation emphasizes the advantages of incorporating these bilingual datasets, especially in translation tasks and utilizing original English data, enhancing both linguistic flexibility and analytical acuity in financial contexts. Notably, ICE-INTENT distinguishes itself by showcasing significant enhancements over conventional LLMs and existing financial LLMs in bilingual milieus, underscoring the profound impact of robust bilingual data on the accuracy and efficacy of financial NLP.

The FinBen: An Holistic Financial Benchmark for Large Language Models

LLMs have transformed NLP and shown promise in various fields, yet their potential in finance is underexplored due to a lack of thorough evaluations and the complexity of financial tasks. This along with the rapid development of LLMs, highlights the urgent need for a systematic financial evaluation benchmark for LLMs. In this paper, we introduce FinBen, the first comprehensive open-sourced evaluation benchmark, specifically designed to thoroughly assess the capabilities of LLMs in the financial domain. FinBen encompasses 35 datasets across 23 financial tasks, organized into three spectrums of difficulty inspired by the Cattell-Horn-Carroll theory, to evaluate LLMs' cognitive abilities in inductive reasoning, associative memory, quantitative reasoning, crystallized intelligence, and more. Our evaluation of 15 representative LLMs, including GPT-4, ChatGPT, and the latest Gemini, reveals insights into their strengths and limitations within the financial domain. The findings indicate that GPT-4 leads in quantification, extraction, numerical reasoning, and stock trading, while Gemini shines in generation and forecasting; however, both struggle with complex extraction and forecasting, showing a clear need for targeted enhancements. Instruction tuning boosts simple task performance but falls short in improving complex reasoning and forecasting abilities. FinBen seeks to continuously evaluate LLMs in finance, fostering AI development with regular updates of tasks and models.

Dynamic Feature-based Deep Reinforcement Learning for Flow Control of Circular Cylinder with Sparse Surface Pressure Sensing

This study proposes a self-learning algorithm for closed-loop cylinder wake control targeting lower drag and lower lift fluctuations with the additional challenge of sparse sensor information, taking deep reinforcement learning as the starting point. DRL performance is significantly improved by lifting the sensor signals to dynamic features (DF), which predict future flow states. The resulting dynamic feature-based DRL (DF-DRL) automatically learns a feedback control in the plant without a dynamic model. Results show that the drag coefficient of the DF-DRL model is 25% less than the vanilla model based on direct sensor feedback. More importantly, using only one surface pressure sensor, DF-DRL can reduce the drag coefficient to a state-of-the-art performance of about 8% at Re = 100 and significantly mitigate lift coefficient fluctuations. Hence, DF-DRL allows the deployment of sparse sensing of the flow without degrading the control performance. This method also shows good robustness in controlling flow under higher Reynolds numbers, which reduces the drag coefficient by 32.2% and 46.55% at Re = 500 and 1000, respectively, indicating the broad applicability of the method. Since surface pressure information is more straightforward to measure in realistic scenarios than flow velocity information, this study provides a valuable reference for experimentally designing the active flow control of a circular cylinder based on wall pressure signals, which is an essential step toward further developing intelligent control in realistic multi-input multi-output (MIMO) system.

SGDP: A Stream-Graph Neural Network Based Data Prefetcher

Data prefetching is important for storage system optimization and access performance improvement. Traditional prefetchers work well for mining access patterns of sequential logical block address (LBA) but cannot handle complex non-sequential patterns that commonly exist in real-world applications. The state-of-the-art (SOTA) learning-based prefetchers cover more LBA accesses. However, they do not adequately consider the spatial interdependencies between LBA deltas, which leads to limited performance and robustness. This paper proposes a novel Stream-Graph neural network-based Data Prefetcher (SGDP). Specifically, SGDP models LBA delta streams using a weighted directed graph structure to represent interactive relations among LBA deltas and further extracts hybrid features by graph neural networks for data prefetching. We conduct extensive experiments on eight real-world datasets. Empirical results verify that SGDP outperforms the SOTA methods in terms of the hit ratio by 6.21%, the effective prefetching ratio by 7.00%, and speeds up inference time by 3.13X on average. Besides, we generalize SGDP to different variants by different stream constructions, further expanding its application scenarios and demonstrating its robustness. SGDP offers a novel data prefetching solution and has been verified in commercial hybrid storage systems in the experimental phase. Our codes and appendix are available at https://github.com/yyysjz1997/SGDP/.

Clustered Data Sharing for Non-IID Federated Learning over Wireless Networks

Federated Learning (FL) is a novel distributed machine learning approach to leverage data from Internet of Things (IoT) devices while maintaining data privacy. However, the current FL algorithms face the challenges of non-independent and identically distributed (non-IID) data, which causes high communication costs and model accuracy declines. To address the statistical imbalances in FL, we propose a clustered data sharing framework which spares the partial data from cluster heads to credible associates through device-to-device (D2D) communication. Moreover, aiming at diluting the data skew on nodes, we formulate the joint clustering and data sharing problem based on the privacy-preserving constrained graph. To tackle the serious coupling of decisions on the graph, we devise a distribution-based adaptive clustering algorithm (DACA) basing on three deductive cluster-forming conditions, which ensures the maximum yield of data sharing. The experiments show that the proposed framework facilitates FL on non-IID datasets with better convergence and model accuracy under a limited communication environment.

Investigation of wind pressures on tall building under interference effects using machine learning techniques

Interference effects of tall buildings have attracted numerous studies due to the boom of clusters of tall buildings in megacities. To fully understand the interference effects of buildings, it often requires a substantial amount of wind tunnel tests. Limited wind tunnel tests that only cover part of interference scenarios are unable to fully reveal the interference effects. This study used machine learning techniques to resolve the conflicting requirement between limited wind tunnel tests that produce unreliable results and a completed investigation of the interference effects that is costly and time-consuming. Four machine learning models including decision tree, random forest, XGBoost, generative adversarial networks (GANs), were trained based on 30% of a dataset to predict both mean and fluctuating pressure coefficients on the principal building. The GANs model exhibited the best performance in predicting these pressure coefficients. A number of GANs models were then trained based on different portions of the dataset ranging from 10% to 90%. It was found that the GANs model based on 30% of the dataset is capable of predicting both mean and fluctuating pressure coefficients under unseen interference conditions accurately. By using this GANs model, 70% of the wind tunnel test cases can be saved, largely alleviating the cost of this kind of wind tunnel testing study.

Predicting wind pressures around circular cylinders using machine learning techniques

Numerous studies have been carried out to measure wind pressures around circular cylinders since the early 20th century due to its engineering significance. Consequently, a large amount of wind pressure data sets have accumulated, which presents an excellent opportunity for using machine learning (ML) techniques to train models to predict wind pressures around circular cylinders. Wind pressures around smooth circular cylinders are a function of mainly the Reynolds number (Re), turbulence intensity (Ti) of the incident wind, and circumferential angle of the cylinder. Considering these three parameters as the inputs, this study trained two ML models to predict mean and fluctuating pressures respectively. Three machine learning algorithms including decision tree regressor, random forest, and gradient boosting regression trees (GBRT) were tested. The GBRT models exhibited the best performance for predicting both mean and fluctuating pressures, and they are capable of making accurate predictions for Re ranging from 10^4 to 10^6 and Ti ranging from 0% to 15%. It is believed that the GBRT models provide very efficient and economical alternative to traditional wind tunnel tests and computational fluid dynamic simulations for determining wind pressures around smooth circular cylinders within the studied Re and Ti range.