FinSage: A Multi-aspect RAG System for Financial Filings Question Answering

Leveraging large language models in real-world settings often entails a need to utilize domain-specific data and tools in order to follow the complex regulations that need to be followed for acceptable use. Within financial sectors, modern enterprises increasingly rely on Retrieval-Augmented Generation (RAG) systems to address complex compliance requirements in financial document workflows. However, existing solutions struggle to account for the inherent heterogeneity of data (e.g., text, tables, diagrams) and evolving nature of regulatory standards used in financial filings, leading to compromised accuracy in critical information extraction. We propose the FinSage framework as a solution, utilizing a multi-aspect RAG framework tailored for regulatory compliance analysis in multi-modal financial documents. FinSage introduces three innovative components: (1) a multi-modal pre-processing pipeline that unifies diverse data formats and generates chunk-level metadata summaries, (2) a multi-path sparse-dense retrieval system augmented with query expansion (HyDE) and metadata-aware semantic search, and (3) a domain-specialized re-ranking module fine-tuned via Direct Preference Optimization (DPO) to prioritize compliance-critical content. Extensive experiments demonstrate that FinSage achieves an impressive recall of 92.51% on 75 expert-curated questions derived from surpasses the best baseline method on the FinanceBench question answering datasets by 24.06% in accuracy. Moreover, FinSage has been successfully deployed as financial question-answering agent in online meetings, where it has already served more than 1,200 people.

DGOcc: Depth-aware Global Query-based Network for Monocular 3D Occupancy Prediction

Monocular 3D occupancy prediction, aiming to predict the occupancy and semantics within interesting regions of 3D scenes from only 2D images, has garnered increasing attention recently for its vital role in 3D scene understanding. Predicting the 3D occupancy of large-scale outdoor scenes from 2D images is ill-posed and resource-intensive. In this paper, we present \textbf{DGOcc}, a \textbf{D}epth-aware \textbf{G}lobal query-based network for monocular 3D \textbf{Occ}upancy prediction. We first explore prior depth maps to extract depth context features that provide explicit geometric information for the occupancy network. Then, in order to fully exploit the depth context features, we propose a Global Query-based (GQ) Module. The cooperation of attention mechanisms and scale-aware operations facilitates the feature interaction between images and 3D voxels. Moreover, a Hierarchical Supervision Strategy (HSS) is designed to avoid upsampling the high-dimension 3D voxel features to full resolution, which mitigates GPU memory utilization and time cost. Extensive experiments on SemanticKITTI and SSCBench-KITTI-360 datasets demonstrate that the proposed method achieves the best performance on monocular semantic occupancy prediction while reducing GPU and time overhead.

DOGE: An Extrinsic Orientation and Gyroscope Bias Estimation for Visual-Inertial Odometry Initialization

Most existing visual-inertial odometry (VIO) initialization methods rely on accurate pre-calibrated extrinsic parameters. However, during long-term use, irreversible structural deformation caused by temperature changes, mechanical squeezing, etc. will cause changes in extrinsic parameters, especially in the rotational part. Existing initialization methods that simultaneously estimate extrinsic parameters suffer from poor robustness, low precision, and long initialization latency due to the need for sufficient translational motion. To address these problems, we propose a novel VIO initialization method, which jointly considers extrinsic orientation and gyroscope bias within the normal epipolar constraints, achieving higher precision and better robustness without delayed rotational calibration. First, a rotation-only constraint is designed for extrinsic orientation and gyroscope bias estimation, which tightly couples gyroscope measurements and visual observations and can be solved in pure-rotation cases. Second, we propose a weighting strategy together with a failure detection strategy to enhance the precision and robustness of the estimator. Finally, we leverage Maximum A Posteriori to refine the results before enough translation parallax comes. Extensive experiments have demonstrated that our method outperforms the state-of-the-art methods in both accuracy and robustness while maintaining competitive efficiency.

Density-aware Global-Local Attention Network for Point Cloud Segmentation

3D point cloud segmentation has a wide range of applications in areas such as autonomous driving, augmented reality, virtual reality and digital twins. The point cloud data collected in real scenes often contain small objects and categories with small sample sizes, which are difficult to handle by existing networks. In this regard, we propose a point cloud segmentation network that fuses local attention based on density perception with global attention. The core idea is to increase the effective receptive field of each point while reducing the loss of information about small objects in dense areas. Specifically, we divide different sized windows for local areas with different densities to compute attention within the window. Furthermore, we consider each local area as an independent token for the global attention of the entire input. A category-response loss is also proposed to balance the processing of different categories and sizes of objects. In particular, we set up an additional fully connected layer in the middle of the network for prediction of the presence of object categories, and construct a binary cross-entropy loss to respond to the presence of categories in the scene. In experiments, our method achieves competitive results in semantic segmentation and part segmentation tasks on several publicly available datasets. Experiments on point cloud data obtained from complex real-world scenes filled with tiny objects also validate the strong segmentation capability of our method for small objects as well as small sample categories.

Aligning Query Representation with Rewritten Query and Relevance Judgments in Conversational Search

Conversational search supports multi-turn user-system interactions to solve complex information needs. Different from the traditional single-turn ad-hoc search, conversational search encounters a more challenging problem of context-dependent query understanding with the lengthy and long-tail conversational history context. While conversational query rewriting methods leverage explicit rewritten queries to train a rewriting model to transform the context-dependent query into a stand-stone search query, this is usually done without considering the quality of search results. Conversational dense retrieval methods use fine-tuning to improve a pre-trained ad-hoc query encoder, but they are limited by the conversational search data available for training. In this paper, we leverage both rewritten queries and relevance judgments in the conversational search data to train a better query representation model. The key idea is to align the query representation with those of rewritten queries and relevant documents. The proposed model -- Query Representation Alignment Conversational Dense Retriever, QRACDR, is tested on eight datasets, including various settings in conversational search and ad-hoc search. The results demonstrate the strong performance of QRACDR compared with state-of-the-art methods, and confirm the effectiveness of representation alignment.

PGD-VIO: An Accurate Plane-Aided Visual-Inertial Odometry with Graph-Based Drift Suppression

Generally, high-level features provide more geometrical information compared to point features, which can be exploited to further constrain motions. Planes are commonplace in man-made environments, offering an active means to reduce drift, due to their extensive spatial and temporal observability. To make full use of planar information, we propose a novel visual-inertial odometry (VIO) using an RGBD camera and an inertial measurement unit (IMU), effectively integrating point and plane features in an extended Kalman filter (EKF) framework. Depth information of point features is leveraged to improve the accuracy of point triangulation, while plane features serve as direct observations added into the state vector. Notably, to benefit long-term navigation,a novel graph-based drift detection strategy is proposed to search overlapping and identical structures in the plane map so that the cumulative drift is suppressed subsequently. The experimental results on two public datasets demonstrate that our system outperforms state-of-the-art methods in localization accuracy and meanwhile generates a compact and consistent plane map, free of expensive global bundle adjustment and loop closing techniques.

Detect Closer Surfaces that can be Seen: New Modeling and Evaluation in Cross-domain 3D Object Detection

The performance of domain adaptation technologies has not yet reached an ideal level in the current 3D object detection field for autonomous driving, which is mainly due to significant differences in the size of vehicles, as well as the environments they operate in when applied across domains. These factors together hinder the effective transfer and application of knowledge learned from specific datasets. Since the existing evaluation metrics are initially designed for evaluation on a single domain by calculating the 2D or 3D overlap between the prediction and ground-truth bounding boxes, they often suffer from the overfitting problem caused by the size differences among datasets. This raises a fundamental question related to the evaluation of the 3D object detection models' cross-domain performance: Do we really need models to maintain excellent performance in their original 3D bounding boxes after being applied across domains? From a practical application perspective, one of our main focuses is actually on preventing collisions between vehicles and other obstacles, especially in cross-domain scenarios where correctly predicting the size of vehicles is much more difficult. In other words, as long as a model can accurately identify the closest surfaces to the ego vehicle, it is sufficient to effectively avoid obstacles. In this paper, we propose two metrics to measure 3D object detection models' ability of detecting the closer surfaces to the sensor on the ego vehicle, which can be used to evaluate their cross-domain performance more comprehensively and reasonably. Furthermore, we propose a refinement head, named EdgeHead, to guide models to focus more on the learnable closer surfaces, which can greatly improve the cross-domain performance of existing models not only under our new metrics, but even also under the original BEV/3D metrics.

Unifying Graph Convolution and Contrastive Learning in Collaborative Filtering

Graph-based models and contrastive learning have emerged as prominent methods in Collaborative Filtering (CF). While many existing models in CF incorporate these methods in their design, there seems to be a limited depth of analysis regarding the foundational principles behind them. This paper bridges graph convolution, a pivotal element of graph-based models, with contrastive learning through a theoretical framework. By examining the learning dynamics and equilibrium of the contrastive loss, we offer a fresh lens to understand contrastive learning via graph theory, emphasizing its capability to capture high-order connectivity. Building on this analysis, we further show that the graph convolutional layers often used in graph-based models are not essential for high-order connectivity modeling and might contribute to the risk of oversmoothing. Stemming from our findings, we introduce Simple Contrastive Collaborative Filtering (SCCF), a simple and effective algorithm based on a naive embedding model and a modified contrastive loss. The efficacy of the algorithm is demonstrated through extensive experiments across four public datasets. The experiment code is available at \url{https://github.com/wu1hong/SCCF}. \end{abstract}

On the best approximation by finite Gaussian mixtures

We consider the problem of approximating a general Gaussian location mixture by finite mixtures. The minimum order of finite mixtures that achieve a prescribed accuracy (measured by various $f$-divergences) is determined within constant factors for the family of mixing distributions with compactly support or appropriate assumptions on the tail probability including subgaussian and subexponential. While the upper bound is achieved using the technique of local moment matching, the lower bound is established by relating the best approximation error to the low-rank approximation of certain trigonometric moment matrices, followed by a refined spectral analysis of their minimum eigenvalue. In the case of Gaussian mixing distributions, this result corrects a previous lower bound in [Allerton Conference 48 (2010) 620-628].

An Accurate and Real-time Relative Pose Estimation from Triple Point-line Images by Decoupling Rotation and Translation

Line features are valid complements for point features in man-made environments. 3D-2D constraints provided by line features have been widely used in Visual Odometry (VO) and Structure-from-Motion (SfM) systems. However, how to accurately solve three-view relative motion only with 2D observations of points and lines in real time has not been fully explored. In this paper, we propose a novel three-view pose solver based on rotation-translation decoupled estimation. First, a high-precision rotation estimation method based on normal vector coplanarity constraints that consider the uncertainty of observations is proposed, which can be solved by Levenberg-Marquardt (LM) algorithm efficiently. Second, a robust linear translation constraint that minimizes the degree of the rotation components and feature observation components in equations is elaborately designed for estimating translations accurately. Experiments on synthetic data and real-world data show that the proposed approach improves both rotation and translation accuracy compared to the classical trifocal-tensor-based method and the state-of-the-art two-view algorithm in outdoor and indoor environments.