AlphaFin: Benchmarking Financial Analysis with Retrieval-Augmented Stock-Chain Framework

The task of financial analysis primarily encompasses two key areas: stock trend prediction and the corresponding financial question answering. Currently, machine learning and deep learning algorithms (ML&DL) have been widely applied for stock trend predictions, leading to significant progress. However, these methods fail to provide reasons for predictions, lacking interpretability and reasoning processes. Also, they can not integrate textual information such as financial news or reports. Meanwhile, large language models (LLMs) have remarkable textual understanding and generation ability. But due to the scarcity of financial training datasets and limited integration with real-time knowledge, LLMs still suffer from hallucinations and are unable to keep up with the latest information. To tackle these challenges, we first release AlphaFin datasets, combining traditional research datasets, real-time financial data, and handwritten chain-of-thought (CoT) data. It has a positive impact on training LLMs for completing financial analysis. We then use AlphaFin datasets to benchmark a state-of-the-art method, called Stock-Chain, for effectively tackling the financial analysis task, which integrates retrieval-augmented generation (RAG) techniques. Extensive experiments are conducted to demonstrate the effectiveness of our framework on financial analysis.

Imbalance-Agnostic Source-Free Domain Adaptation via Avatar Prototype Alignment

Source-free Unsupervised Domain Adaptation (SF-UDA) aims to adapt a well-trained source model to an unlabeled target domain without access to the source data. One key challenge is the lack of source data during domain adaptation. To handle this, we propose to mine the hidden knowledge of the source model and exploit it to generate source avatar prototypes. To this end, we propose a Contrastive Prototype Generation and Adaptation (CPGA) method. CPGA consists of two stages: Prototype generation and Prototype adaptation. Extensive experiments on three UDA benchmark datasets demonstrate the superiority of CPGA. However, existing SF.UDA studies implicitly assume balanced class distributions for both the source and target domains, which hinders their real applications. To address this issue, we study a more practical SF-UDA task, termed imbalance-agnostic SF-UDA, where the class distributions of both the unseen source domain and unlabeled target domain are unknown and could be arbitrarily skewed. This task is much more challenging than vanilla SF-UDA due to the co-occurrence of covariate shifts and unidentified class distribution shifts between the source and target domains. To address this task, we extend CPGA and propose a new Target-aware Contrastive Prototype Generation and Adaptation (T-CPGA) method. Specifically, for better prototype adaptation in the imbalance-agnostic scenario, T-CPGA applies a new pseudo label generation strategy to identify unknown target class distribution and generate accurate pseudo labels, by utilizing the collective intelligence of the source model and an additional contrastive language-image pre-trained model. Meanwhile, we further devise a target label-distribution-aware classifier to adapt the model to the unknown target class distribution. We empirically show that T-CPGA significantly outperforms CPGA and other SF-UDA methods in imbalance-agnostic SF-UDA.

Disentangling Writer and Character Styles for Handwriting Generation

Training machines to synthesize diverse handwritings is an intriguing task. Recently, RNN-based methods have been proposed to generate stylized online Chinese characters. However, these methods mainly focus on capturing a person's overall writing style, neglecting subtle style inconsistencies between characters written by the same person. For example, while a person's handwriting typically exhibits general uniformity (e.g., glyph slant and aspect ratios), there are still small style variations in finer details (e.g., stroke length and curvature) of characters. In light of this, we propose to disentangle the style representations at both writer and character levels from individual handwritings to synthesize realistic stylized online handwritten characters. Specifically, we present the style-disentangled Transformer (SDT), which employs two complementary contrastive objectives to extract the style commonalities of reference samples and capture the detailed style patterns of each sample, respectively. Extensive experiments on various language scripts demonstrate the effectiveness of SDT. Notably, our empirical findings reveal that the two learned style representations provide information at different frequency magnitudes, underscoring the importance of separate style extraction. Our source code is public at: https://github.com/dailenson/SDT.

Beyond Fixation: Dynamic Window Visual Transformer

Recently, a surge of interest in visual transformers is to reduce the computational cost by limiting the calculation of self-attention to a local window. Most current work uses a fixed single-scale window for modeling by default, ignoring the impact of window size on model performance. However, this may limit the modeling potential of these window-based models for multi-scale information. In this paper, we propose a novel method, named Dynamic Window Vision Transformer (DW-ViT). The dynamic window strategy proposed by DW-ViT goes beyond the model that employs a fixed single window setting. To the best of our knowledge, we are the first to use dynamic multi-scale windows to explore the upper limit of the effect of window settings on model performance. In DW-ViT, multi-scale information is obtained by assigning windows of different sizes to different head groups of window multi-head self-attention. Then, the information is dynamically fused by assigning different weights to the multi-scale window branches. We conducted a detailed performance evaluation on three datasets, ImageNet-1K, ADE20K, and COCO. Compared with related state-of-the-art (SoTA) methods, DW-ViT obtains the best performance. Specifically, compared with the current SoTA Swin Transformers \cite{liu2021swin}, DW-ViT has achieved consistent and substantial improvements on all three datasets with similar parameters and computational costs. In addition, DW-ViT exhibits good scalability and can be easily inserted into any window-based visual transformers.

Source-free Domain Adaptation via Avatar Prototype Generation and Adaptation

We study a practical domain adaptation task, called source-free unsupervised domain adaptation (UDA) problem, in which we cannot access source domain data due to data privacy issues but only a pre-trained source model and unlabeled target data are available. This task, however, is very difficult due to one key challenge: the lack of source data and target domain labels makes model adaptation very challenging. To address this, we propose to mine the hidden knowledge in the source model and exploit it to generate source avatar prototypes (i.e., representative features for each source class) as well as target pseudo labels for domain alignment. To this end, we propose a Contrastive Prototype Generation and Adaptation (CPGA) method. Specifically, CPGA consists of two stages: (1) prototype generation: by exploring the classification boundary information of the source model, we train a prototype generator to generate avatar prototypes via contrastive learning. (2) prototype adaptation: based on the generated source prototypes and target pseudo labels, we develop a new robust contrastive prototype adaptation strategy to align each pseudo-labeled target data to the corresponding source prototypes. Extensive experiments on three UDA benchmark datasets demonstrate the effectiveness and superiority of the proposed method.

Towards Accurate Text-based Image Captioning with Content Diversity Exploration

Text-based image captioning (TextCap) which aims to read and reason images with texts is crucial for a machine to understand a detailed and complex scene environment, considering that texts are omnipresent in daily life. This task, however, is very challenging because an image often contains complex texts and visual information that is hard to be described comprehensively. Existing methods attempt to extend the traditional image captioning methods to solve this task, which focus on describing the overall scene of images by one global caption. This is infeasible because the complex text and visual information cannot be described well within one caption. To resolve this difficulty, we seek to generate multiple captions that accurately describe different parts of an image in detail. To achieve this purpose, there are three key challenges: 1) it is hard to decide which parts of the texts of images to copy or paraphrase; 2) it is non-trivial to capture the complex relationship between diverse texts in an image; 3) how to generate multiple captions with diverse content is still an open problem. To conquer these, we propose a novel Anchor-Captioner method. Specifically, we first find the important tokens which are supposed to be paid more attention to and consider them as anchors. Then, for each chosen anchor, we group its relevant texts to construct the corresponding anchor-centred graph (ACG). Last, based on different ACGs, we conduct multi-view caption generation to improve the content diversity of generated captions. Experimental results show that our method not only achieves SOTA performance but also generates diverse captions to describe images.

Location-aware Graph Convolutional Networks for Video Question Answering

We addressed the challenging task of video question answering, which requires machines to answer questions about videos in a natural language form. Previous state-of-the-art methods attempt to apply spatio-temporal attention mechanism on video frame features without explicitly modeling the location and relations among object interaction occurred in videos. However, the relations between object interaction and their location information are very critical for both action recognition and question reasoning. In this work, we propose to represent the contents in the video as a location-aware graph by incorporating the location information of an object into the graph construction. Here, each node is associated with an object represented by its appearance and location features. Based on the constructed graph, we propose to use graph convolution to infer both the category and temporal locations of an action. As the graph is built on objects, our method is able to focus on the foreground action contents for better video question answering. Lastly, we leverage an attention mechanism to combine the output of graph convolution and encoded question features for final answer reasoning. Extensive experiments demonstrate the effectiveness of the proposed methods. Specifically, our method significantly outperforms state-of-the-art methods on TGIF-QA, Youtube2Text-QA, and MSVD-QA datasets. Code and pre-trained models are publicly available at: https://github.com/SunDoge/L-GCN

Joint Wasserstein Distribution Matching

Joint distribution matching (JDM) problem, which aims to learn bidirectional mappings to match joint distributions of two domains, occurs in many machine learning and computer vision applications. This problem, however, is very difficult due to two critical challenges: (i) it is often difficult to exploit sufficient information from the joint distribution to conduct the matching; (ii) this problem is hard to formulate and optimize. In this paper, relying on optimal transport theory, we propose to address JDM problem by minimizing the Wasserstein distance of the joint distributions in two domains. However, the resultant optimization problem is still intractable. We then propose an important theorem to reduce the intractable problem into a simple optimization problem, and develop a novel method (called Joint Wasserstein Distribution Matching (JWDM)) to solve it. In the experiments, we apply our method to unsupervised image translation and cross-domain video synthesis. Both qualitative and quantitative comparisons demonstrate the superior performance of our method over several state-of-the-arts.