Topic Modeling as Multi-Objective Contrastive Optimization

Recent representation learning approaches enhance neural topic models by optimizing the weighted linear combination of the evidence lower bound (ELBO) of the log-likelihood and the contrastive learning objective that contrasts pairs of input documents. However, document-level contrastive learning might capture low-level mutual information, such as word ratio, which disturbs topic modeling. Moreover, there is a potential conflict between the ELBO loss that memorizes input details for better reconstruction quality, and the contrastive loss which attempts to learn topic representations that generalize among input documents. To address these issues, we first introduce a novel contrastive learning method oriented towards sets of topic vectors to capture useful semantics that are shared among a set of input documents. Secondly, we explicitly cast contrastive topic modeling as a gradient-based multi-objective optimization problem, with the goal of achieving a Pareto stationary solution that balances the trade-off between the ELBO and the contrastive objective. Extensive experiments demonstrate that our framework consistently produces higher-performing neural topic models in terms of topic coherence, topic diversity, and downstream performance.

On the Three Demons in Causality in Finance: Time Resolution, Nonstationarity, and Latent Factors

Financial data is generally time series in essence and thus suffers from three fundamental issues: the mismatch in time resolution, the time-varying property of the distribution - nonstationarity, and causal factors that are important but unknown/unobserved. In this paper, we follow a causal perspective to systematically look into these three demons in finance. Specifically, we reexamine these issues in the context of causality, which gives rise to a novel and inspiring understanding of how the issues can be addressed. Following this perspective, we provide systematic solutions to these problems, which hopefully would serve as a foundation for future research in the area.

A Versatile Causal Discovery Framework to Allow Causally-Related Hidden Variables

Most existing causal discovery methods rely on the assumption of no latent confounders, limiting their applicability in solving real-life problems. In this paper, we introduce a novel, versatile framework for causal discovery that accommodates the presence of causally-related hidden variables almost everywhere in the causal network (for instance, they can be effects of observed variables), based on rank information of covariance matrix over observed variables. We start by investigating the efficacy of rank in comparison to conditional independence and, theoretically, establish necessary and sufficient conditions for the identifiability of certain latent structural patterns. Furthermore, we develop a Rank-based Latent Causal Discovery algorithm, RLCD, that can efficiently locate hidden variables, determine their cardinalities, and discover the entire causal structure over both measured and hidden ones. We also show that, under certain graphical conditions, RLCD correctly identifies the Markov Equivalence Class of the whole latent causal graph asymptotically. Experimental results on both synthetic and real-world personality data sets demonstrate the efficacy of the proposed approach in finite-sample cases.

READ-PVLA: Recurrent Adapter with Partial Video-Language Alignment for Parameter-Efficient Transfer Learning in Low-Resource Video-Language Modeling

Fully fine-tuning pretrained large-scale transformer models has become a popular paradigm for video-language modeling tasks, such as temporal language grounding and video-language summarization. With a growing number of tasks and limited training data, such full fine-tuning approach leads to costly model storage and unstable training. To overcome these shortcomings, we introduce lightweight adapters to the pre-trained model and only update them at fine-tuning time. However, existing adapters fail to capture intrinsic temporal relations among video frames or textual words. Moreover, they neglect the preservation of critical task-related information that flows from the raw video-language input into the adapter's low-dimensional space. To address these issues, we first propose a novel REcurrent ADapter (READ) that employs recurrent computation to enable temporal modeling capability. Second, we propose Partial Video-Language Alignment (PVLA) objective via the use of partial optimal transport to maintain task-related information flowing into our READ modules. We validate our READ-PVLA framework through extensive experiments where READ-PVLA significantly outperforms all existing fine-tuning strategies on multiple low-resource temporal language grounding and video-language summarization benchmarks.

DemaFormer: Damped Exponential Moving Average Transformer with Energy-Based Modeling for Temporal Language Grounding

Temporal Language Grounding seeks to localize video moments that semantically correspond to a natural language query. Recent advances employ the attention mechanism to learn the relations between video moments and the text query. However, naive attention might not be able to appropriately capture such relations, resulting in ineffective distributions where target video moments are difficult to separate from the remaining ones. To resolve the issue, we propose an energy-based model framework to explicitly learn moment-query distributions. Moreover, we propose DemaFormer, a novel Transformer-based architecture that utilizes exponential moving average with a learnable damping factor to effectively encode moment-query inputs. Comprehensive experiments on four public temporal language grounding datasets showcase the superiority of our methods over the state-of-the-art baselines.

Temporally Disentangled Representation Learning under Unknown Nonstationarity

In unsupervised causal representation learning for sequential data with time-delayed latent causal influences, strong identifiability results for the disentanglement of causally-related latent variables have been established in stationary settings by leveraging temporal structure. However, in nonstationary setting, existing work only partially addressed the problem by either utilizing observed auxiliary variables (e.g., class labels and/or domain indexes) as side information or assuming simplified latent causal dynamics. Both constrain the method to a limited range of scenarios. In this study, we further explored the Markov Assumption under time-delayed causally related process in nonstationary setting and showed that under mild conditions, the independent latent components can be recovered from their nonlinear mixture up to a permutation and a component-wise transformation, without the observation of auxiliary variables. We then introduce NCTRL, a principled estimation framework, to reconstruct time-delayed latent causal variables and identify their relations from measured sequential data only. Empirical evaluations demonstrated the reliable identification of time-delayed latent causal influences, with our methodology substantially outperforming existing baselines that fail to exploit the nonstationarity adequately and then, consequently, cannot distinguish distribution shifts.

Effective Neural Topic Modeling with Embedding Clustering Regularization

Topic models have been prevalent for decades with various applications. However, existing topic models commonly suffer from the notorious topic collapsing: discovered topics semantically collapse towards each other, leading to highly repetitive topics, insufficient topic discovery, and damaged model interpretability. In this paper, we propose a new neural topic model, Embedding Clustering Regularization Topic Model (ECRTM). Besides the existing reconstruction error, we propose a novel Embedding Clustering Regularization (ECR), which forces each topic embedding to be the center of a separately aggregated word embedding cluster in the semantic space. This enables each produced topic to contain distinct word semantics, which alleviates topic collapsing. Regularized by ECR, our ECRTM generates diverse and coherent topics together with high-quality topic distributions of documents. Extensive experiments on benchmark datasets demonstrate that ECRTM effectively addresses the topic collapsing issue and consistently surpasses state-of-the-art baselines in terms of topic quality, topic distributions of documents, and downstream classification tasks.

Gradient-Boosted Decision Tree for Listwise Context Model in Multimodal Review Helpfulness Prediction

Multimodal Review Helpfulness Prediction (MRHP) aims to rank product reviews based on predicted helpfulness scores and has been widely applied in e-commerce via presenting customers with useful reviews. Previous studies commonly employ fully-connected neural networks (FCNNs) as the final score predictor and pairwise loss as the training objective. However, FCNNs have been shown to perform inefficient splitting for review features, making the model difficult to clearly differentiate helpful from unhelpful reviews. Furthermore, pairwise objective, which works on review pairs, may not completely capture the MRHP goal to produce the ranking for the entire review list, and possibly induces low generalization during testing. To address these issues, we propose a listwise attention network that clearly captures the MRHP ranking context and a listwise optimization objective that enhances model generalization. We further propose gradient-boosted decision tree as the score predictor to efficaciously partition product reviews' representations. Extensive experiments demonstrate that our method achieves state-of-the-art results and polished generalization performance on two large-scale MRHP benchmark datasets.

InfoCTM: A Mutual Information Maximization Perspective of Cross-Lingual Topic Modeling

Cross-lingual topic models have been prevalent for cross-lingual text analysis by revealing aligned latent topics. However, most existing methods suffer from producing repetitive topics that hinder further analysis and performance decline caused by low-coverage dictionaries. In this paper, we propose the Cross-lingual Topic Modeling with Mutual Information (InfoCTM). Instead of the direct alignment in previous work, we propose a topic alignment with mutual information method. This works as a regularization to properly align topics and prevent degenerate topic representations of words, which mitigates the repetitive topic issue. To address the low-coverage dictionary issue, we further propose a cross-lingual vocabulary linking method that finds more linked cross-lingual words for topic alignment beyond the translations of a given dictionary. Extensive experiments on English, Chinese, and Japanese datasets demonstrate that our method outperforms state-of-the-art baselines, producing more coherent, diverse, and well-aligned topics and showing better transferability for cross-lingual classification tasks.