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Solving Financial Regulatory Compliance Using Software Contracts

arXiv.org Artificial Intelligence

Ensuring compliance with various laws and regulations is of utmost priority for financial institutions. Traditional methods in this area have been shown to be inefficient. Manual processing does not scale well. Automated efforts are hindered due to the lack of formalization of domain knowledge and problems of integrating such knowledge into software systems. In this work we propose an approach to tackle these issues by encoding them into software contracts using a Controlled Natural Language. In particular, we encode a portion of the Money Market Statistical Reporting (MMSR) regulations into contracts specified by the clojure.spec framework. We show how various features of a contract framework, in particular clojure.spec, can help to tackle issues that occur when dealing with compliance: validation with explanations and test data generation. We benchmark our proposed solution and show that this approach can effectively solve compliance issues in this particular use case.


Finding Academic Experts on a MultiSensor Approach using Shannon's Entropy

arXiv.org Artificial Intelligence

Expert finding is an information retrieval task concerned with the search for the most knowledgeable people, in some topic, with basis on documents describing peoples activities. The task involves taking a user query as input and returning a list of people sorted by their level of expertise regarding the user query. This paper introduces a novel approach for combining multiple estimators of expertise based on a multisensor data fusion framework together with the Dempster-Shafer theory of evidence and Shannon's entropy. More specifically, we defined three sensors which detect heterogeneous information derived from the textual contents, from the graph structure of the citation patterns for the community of experts, and from profile information about the academic experts. Given the evidences collected, each sensor may define different candidates as experts and consequently do not agree in a final ranking decision. To deal with these conflicts, we applied the Dempster-Shafer theory of evidence combined with Shannon's Entropy formula to fuse this information and come up with a more accurate and reliable final ranking list. Experiments made over two datasets of academic publications from the Computer Science domain attest for the adequacy of the proposed approach over the traditional state of the art approaches. We also made experiments against representative supervised state of the art algorithms. Results revealed that the proposed method achieved a similar performance when compared to these supervised techniques, confirming the capabilities of the proposed framework.


ExpFinder: An Ensemble Expert Finding Model Integrating $N$-gram Vector Space Model and $\mu$CO-HITS

arXiv.org Artificial Intelligence

Finding an expert plays a crucial role in driving successful collaborations and speeding up high-quality research development and innovations. However, the rapid growth of scientific publications and digital expertise data makes identifying the right experts a challenging problem. Existing approaches for finding experts given a topic can be categorised into information retrieval techniques based on vector space models, document language models, and graph-based models. In this paper, we propose $\textit{ExpFinder}$, a new ensemble model for expert finding, that integrates a novel $N$-gram vector space model, denoted as $n$VSM, and a graph-based model, denoted as $\textit{$\mu$CO-HITS}$, that is a proposed variation of the CO-HITS algorithm. The key of $n$VSM is to exploit recent inverse document frequency weighting method for $N$-gram words and $\textit{ExpFinder}$ incorporates $n$VSM into $\textit{$\mu$CO-HITS}$ to achieve expert finding. We comprehensively evaluate $\textit{ExpFinder}$ on four different datasets from the academic domains in comparison with six different expert finding models. The evaluation results show that $\textit{ExpFinder}$ is a highly effective model for expert finding, substantially outperforming all the compared models in 19% to 160.2%.


Effective Distributed Representations for Academic Expert Search

arXiv.org Artificial Intelligence

Expert search aims to find and rank experts based on a user's query. In academia, retrieving experts is an efficient way to navigate through a large amount of academic knowledge. Here, we study how different distributed representations of academic papers (i.e. embeddings) impact academic expert retrieval. We use the Microsoft Academic Graph dataset and experiment with different configurations of a document-centric voting model for retrieval. In particular, we explore the impact of the use of contextualized embeddings on search performance. We also present results for paper embeddings that incorporate citation information through retrofitting. Additionally, experiments are conducted using different techniques for assigning author weights based on author order. We observe that using contextual embeddings produced by a transformer model trained for sentence similarity tasks produces the most effective paper representations for document-centric expert retrieval. However, retrofitting the paper embeddings and using elaborate author contribution weighting strategies did not improve retrieval performance.


Knowledge Technologies

arXiv.org Artificial Intelligence

Several technologies are emerging that provide new ways to capture, store, present and use knowledge. This book is the first to provide a comprehensive introduction to five of the most important of these technologies: Knowledge Engineering, Knowledge Based Engineering, Knowledge Webs, Ontologies and Semantic Webs. For each of these, answers are given to a number of key questions (What is it? How does it operate? How is a system developed? What can it be used for? What tools are available? What are the main issues?). The book is aimed at students, researchers and practitioners interested in Knowledge Management, Artificial Intelligence, Design Engineering and Web Technologies. During the 1990s, Nick worked at the University of Nottingham on the application of AI techniques to knowledge management and on various knowledge acquisition projects to develop expert systems for military applications. In 1999, he joined Epistemics where he worked on numerous knowledge projects and helped establish knowledge management programmes at large organisations in the engineering, technology and legal sectors. He is author of the book "Knowledge Acquisition in Practice", which describes a step-by-step procedure for acquiring and implementing expertise. He maintains strong links with leading research organisations working on knowledge technologies, such as knowledge-based engineering, ontologies and semantic technologies.