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 (LLM) have remarkable textual understanding and generation ability. But due to the scarcity of financial training datasets and limited integration with real-time knowledge, LLM still suffer from hallucinations and 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 positive impact on training LLM 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.

Generative query rewrite generates reconstructed query rewrites using the conversation history while rely heavily on gold rewrite pairs that are expensive to obtain. Recently, few-shot learning is gaining increasing popularity for this task, whereas these methods are sensitive to the inherent noise due to limited data size. Besides, both attempts face performance degradation when there exists language style shift between training and testing cases. To this end, we study low-resource generative conversational query rewrite that is robust to both noise and language style shift. The core idea is to utilize massive unlabeled data to make further improvements via a contrastive co-training paradigm. Specifically, we co-train two dual models (namely Rewriter and Simplifier) such that each of them provides extra guidance through pseudo-labeling for enhancing the other in an iterative manner. We also leverage contrastive learning with data augmentation, which enables our model pay more attention on the truly valuable information than the noise. Extensive experiments demonstrate the superiority of our model under both few-shot and zero-shot scenarios. We also verify the better generalization ability of our model when encountering language style shift.

The task of query rewrite aims to convert an in-context query to its fully-specified version where ellipsis and coreference are completed and referred-back according to the history context. Although much progress has been made, less efforts have been paid to real scenario conversations that involve drawing information from more than one modalities. In this paper, we propose the task of multimodal conversational query rewrite (McQR), which performs query rewrite under the multimodal visual conversation setting. We collect a large-scale dataset named McQueen based on manual annotation, which contains 15k visual conversations and over 80k queries where each one is associated with a fully-specified rewrite version. In addition, for entities appearing in the rewrite, we provide the corresponding image box annotation. We then use the McQueen dataset to benchmark a state-of-the-art method for effectively tackling the McQR task, which is based on a multimodal pre-trained model with pointer generator. Extensive experiments are performed to demonstrate the effectiveness of our model on this task.

The lack of labeled data is one of the main challenges when building a task-oriented dialogue system. Existing dialogue datasets usually rely on human labeling, which is expensive, limited in size, and in low coverage. In this paper, we instead propose our framework auto-dialabel to automatically cluster the dialogue intents and slots. In this framework, we collect a set of context features, leverage an autoencoder for feature assembly, and adapt a dynamic hierarchical clustering method for intent and slot labeling. Experimental results show that our framework can promote human labeling cost to a great extent, achieve good intent clustering accuracy (84.1%), and provide reasonable and instructive slot labeling results.