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Uncovering the Vulnerability of Large Language Models in the Financial Domain via Risk Concealment

Cheng, Gang, Jin, Haibo, Zhang, Wenbin, Wang, Haohan, Zhuang, Jun

arXiv.org Artificial Intelligence

Large Language Models (LLMs) are increasingly integrated into financial applications, yet existing red-teaming research primarily targets harmful content, largely neglecting regulatory risks. In this work, we aim to investigate the vulnerability of financial LLMs through red-teaming approaches. We introduce Risk-Concealment Attacks (RCA), a novel multi-turn framework that iteratively conceals regulatory risks to provoke seemingly compliant yet regulatory-violating responses from LLMs. To enable systematic evaluation, we construct FIN-Bench, a domain-specific benchmark for assessing LLM safety in financial contexts. Extensive experiments on FIN-Bench demonstrate that RCA effectively bypasses nine mainstream LLMs, achieving an average attack success rate (ASR) of 93.18%, including 98.28% on GPT-4.1 and 97.56% on OpenAI o1. These findings reveal a critical gap in current alignment techniques and underscore the urgent need for stronger moderation mechanisms in financial domains. We hope this work offers practical insights for advancing robust and domain-aware LLM alignment.


Interpretable Open-Vocabulary Referring Object Detection with Reverse Contrast Attention

Juanico, Drandreb Earl O., Atienza, Rowel O., Go, Jeffrey Kenneth

arXiv.org Artificial Intelligence

We propose Reverse Contrast Attention (RCA), a plug-in method that enhances object localization in vision-language transformers without retraining. RCA reweights final-layer attention by suppressing extremes and amplifying mid-level activations to let semantically relevant but subdued tokens guide predictions. We evaluate it on Open Vocabulary Referring Object Detection (OV-RefOD), introducing FitAP, a confidence-free average precision metric based on IoU and box area. RCA improves FitAP in 11 out of 15 open-source VLMs, with gains up to $+26.6\%$. Effectiveness aligns with attention sharpness and fusion timing; while late-fusion models benefit consistently, models like $\texttt{DeepSeek-VL2}$ also improve, pointing to capacity and disentanglement as key factors. RCA offers both interpretability and performance gains for multimodal transformers. Codes and dataset are available from https://github.com/earl-juanico/rca


Reasoning Language Models for Root Cause Analysis in 5G Wireless Networks

Sana, Mohamed, Piovesan, Nicola, De Domenico, Antonio, Kang, Yibin, Zhang, Haozhe, Debbah, Merouane, Ayed, Fadhel

arXiv.org Artificial Intelligence

Root Cause Analysis (RCA) in mobile networks remains a challenging task due to the need for interpretability, domain expertise, and causal reasoning. In this work, we propose a lightweight framework that leverages Large Language Models (LLMs) for RCA. To do so, we introduce TeleLogs, a curated dataset of annotated troubleshooting problems designed to benchmark RCA capabilities. Our evaluation reveals that existing open-source reasoning LLMs struggle with these problems, underscoring the need for domain-specific adaptation. To address this issue, we propose a two-stage training methodology that combines supervised fine-tuning with reinforcement learning to improve the accuracy and reasoning quality of LLMs. The proposed approach fine-tunes a series of RCA models to integrate domain knowledge and generate structured, multi-step diagnostic explanations, improving both interpretability and effectiveness. Extensive experiments across multiple LLM sizes show significant performance gains over state-of-the-art reasoning and non-reasoning models, including strong generalization to randomized test variants. These results demonstrate the promise of domain-adapted, reasoning-enhanced LLMs for practical and explainable RCA in network operation and management.


A Comprehensive Survey on Root Cause Analysis in (Micro) Services: Methodologies, Challenges, and Trends

Wang, Tingting, Qi, Guilin

arXiv.org Artificial Intelligence

Initially, IT operations were predominantly manual, relying heavily on human intervention for system monitoring, troubleshooting, and problem resolution. However, with the escalating scale and complexity of systems, the efficacy and precision of manual operations have been increasingly challenged. Subsequently, DevOps was introduced, building upon manual operations and fostering a synergistic collaboration between development and operations. Through automated deployment and continuous integration, DevOps has the capability to expedite the release of new features and rectify issues with greater speed and reliability. Nonetheless, DevOps still necessitates manual involvement in certain complex decision-making processes and tasks. To further mitigate this challenge and enhance cost-effectiveness and efficiency, AIOps leverages machine learning and data analysis to automatically collect and scrutinize vast amounts of IT operation data, enabling real-time monitoring, anomaly detection, fault localization, and automated processing of IT systems. AIOps not only augments the efficiency and accuracy of IT operations but also equips IT operations with the capacity to adapt more effectively to complex and dynamic IT environments, utilizing artificial intelligence and big data technologies.


Root Cause Analysis of Anomalies in 5G RAN Using Graph Neural Network and Transformer

Hasan, Antor, Boeira, Conrado, Papry, Khaleda, Ju, Yue, Zhu, Zhongwen, Haque, Israat

arXiv.org Artificial Intelligence

The emergence of 5G technology marks a significant milestone in developing telecommunication networks, enabling exciting new applications such as augmented reality and self-driving vehicles. However, these improvements bring an increased management complexity and a special concern in dealing with failures, as the applications 5G intends to support heavily rely on high network performance and low latency. Thus, automatic self-healing solutions have become effective in dealing with this requirement, allowing a learning-based system to automatically detect anomalies and perform Root Cause Analysis (RCA). However, there are inherent challenges to the implementation of such intelligent systems. First, there is a lack of suitable data for anomaly detection and RCA, as labelled data for failure scenarios is uncommon. Secondly, current intelligent solutions are tailored to LTE networks and do not fully capture the spatio-temporal characteristics present in the data. Considering this, we utilize a calibrated simulator, Simu5G, and generate open-source data for normal and failure scenarios. Using this data, we propose Simba, a state-of-the-art approach for anomaly detection and root cause analysis in 5G Radio Access Networks (RANs). We leverage Graph Neural Networks to capture spatial relationships while a Transformer model is used to learn the temporal dependencies of the data. We implement a prototype of Simba and evaluate it over multiple failures. The outcomes are compared against existing solutions to confirm the superiority of Simba.


Exploring LLM-based Agents for Root Cause Analysis

Roy, Devjeet, Zhang, Xuchao, Bhave, Rashi, Bansal, Chetan, Las-Casas, Pedro, Fonseca, Rodrigo, Rajmohan, Saravan

arXiv.org Artificial Intelligence

The growing complexity of cloud based software systems has resulted in incident management becoming an integral part of the software development lifecycle. Root cause analysis (RCA), a critical part of the incident management process, is a demanding task for on-call engineers, requiring deep domain knowledge and extensive experience with a team's specific services. Automation of RCA can result in significant savings of time, and ease the burden of incident management on on-call engineers. Recently, researchers have utilized Large Language Models (LLMs) to perform RCA, and have demonstrated promising results. However, these approaches are not able to dynamically collect additional diagnostic information such as incident related logs, metrics or databases, severely restricting their ability to diagnose root causes. In this work, we explore the use of LLM based agents for RCA to address this limitation. We present a thorough empirical evaluation of a ReAct agent equipped with retrieval tools, on an out-of-distribution dataset of production incidents collected at Microsoft. Results show that ReAct performs competitively with strong retrieval and reasoning baselines, but with highly increased factual accuracy. We then extend this evaluation by incorporating discussions associated with incident reports as additional inputs for the models, which surprisingly does not yield significant performance improvements. Lastly, we conduct a case study with a team at Microsoft to equip the ReAct agent with tools that give it access to external diagnostic services that are used by the team for manual RCA. Our results show how agents can overcome the limitations of prior work, and practical considerations for implementing such a system in practice.


KGroot: Enhancing Root Cause Analysis through Knowledge Graphs and Graph Convolutional Neural Networks

Wang, Tingting, Qi, Guilin, Wu, Tianxing

arXiv.org Artificial Intelligence

Fault localization is challenging in online micro-service due to the wide variety of monitoring data volume, types, events and complex interdependencies in service and components. Faults events in services are propagative and can trigger a cascade of alerts in a short period of time. In the industry, fault localization is typically conducted manually by experienced personnel. This reliance on experience is unreliable and lacks automation. Different modules present information barriers during manual localization, making it difficult to quickly align during urgent faults. This inefficiency lags stability assurance to minimize fault detection and repair time. Though actionable methods aimed to automatic the process, the accuracy and efficiency are less than satisfactory. The precision of fault localization results is of paramount importance as it underpins engineers trust in the diagnostic conclusions, which are derived from multiple perspectives and offer comprehensive insights. Therefore, a more reliable method is required to automatically identify the associative relationships among fault events and propagation path. To achieve this, KGroot uses event knowledge and the correlation between events to perform root cause reasoning by integrating knowledge graphs and GCNs for RCA. FEKG is built based on historical data, an online graph is constructed in real-time when a failure event occurs, and the similarity between each knowledge graph and online graph is compared using GCNs to pinpoint the fault type through a ranking strategy. Comprehensive experiments demonstrate KGroot can locate the root cause with accuracy of 93.5% top 3 potential causes in second-level. This performance matches the level of real-time fault diagnosis in the industrial environment and significantly surpasses state-of-the-art baselines in RCA in terms of effectiveness and efficiency.


Interactive and Intelligent Root Cause Analysis in Manufacturing with Causal Bayesian Networks and Knowledge Graphs

Wehner, Christoph, Kertel, Maximilian, Wewerka, Judith

arXiv.org Artificial Intelligence

Root Cause Analysis (RCA) in the manufacturing of electric vehicles is the process of identifying fault causes. Traditionally, the RCA is conducted manually, relying on process expert knowledge. Meanwhile, sensor networks collect significant amounts of data in the manufacturing process. Using this data for RCA makes it more efficient. However, purely data-driven methods like Causal Bayesian Networks have problems scaling to large-scale, real-world manufacturing processes due to the vast amount of potential cause-effect relationships (CERs). Furthermore, purely data-driven methods have the potential to leave out already known CERs or to learn spurious CERs. The paper contributes by proposing an interactive and intelligent RCA tool that combines expert knowledge of an electric vehicle manufacturing process and a data-driven machine learning method. It uses reasoning over a large-scale Knowledge Graph of the manufacturing process while learning a Causal Bayesian Network. In addition, an Interactive User Interface enables a process expert to give feedback to the root cause graph by adding and removing information to the Knowledge Graph. The interactive and intelligent RCA tool reduces the learning time of the Causal Bayesian Network while decreasing the number of spurious CERs. Thus, the interactive and intelligent RCA tool closes the feedback loop between expert and machine learning method.


Stepwise functional refoundation of relational concept analysis

Euzenat, Jérôme

arXiv.org Artificial Intelligence

Relational concept analysis (RCA) is an extension of formal concept analysis allowing to deal with several related contexts simultaneously. It has been designed for learning description logic theories from data and used within various applications. A puzzling observation about RCA is that it returns a single family of concept lattices although, when the data feature circular dependencies, other solutions may be considered acceptable. The semantics of RCA, provided in an operational way, does not shed light on this issue. In this report, we define these acceptable solutions as those families of concept lattices which belong to the space determined by the initial contexts (well-formed), cannot scale new attributes (saturated), and refer only to concepts of the family (self-supported). We adopt a functional view on the RCA process by defining the space of well-formed solutions and two functions on that space: one expansive and the other contractive. We show that the acceptable solutions are the common fixed points of both functions. This is achieved step-by-step by starting from a minimal version of RCA that considers only one single context defined on a space of contexts and a space of lattices. These spaces are then joined into a single space of context-lattice pairs, which is further extended to a space of indexed families of context-lattice pairs representing the objects manippulated by RCA. We show that RCA returns the least element of the set of acceptable solutions. In addition, it is possible to build dually an operation that generates its greatest element. The set of acceptable solutions is a complete sublattice of the interval between these two elements. Its structure and how the defined functions traverse it are studied in detail.


Adversarial Online Collaborative Filtering

Pasteris, Stephen, Vitale, Fabio, Herbster, Mark, Gentile, Claudio, Panisson, Andre'

arXiv.org Artificial Intelligence

We investigate the problem of online collaborative filtering under no-repetition constraints, whereby users need to be served content in an online fashion and a given user cannot be recommended the same content item more than once. We start by designing and analyzing an algorithm that works under biclustering assumptions on the user-item preference matrix, and show that this algorithm exhibits an optimal regret guarantee, while being fully adaptive, in that it is oblivious to any prior knowledge about the sequence of users, the universe of items, as well as the biclustering parameters of the preference matrix. We then propose a more robust version of this algorithm which operates with general matrices. Also this algorithm is parameter free, and we prove regret guarantees that scale with the amount by which the preference matrix deviates from a biclustered structure. To our knowledge, these are the first results on online collaborative filtering that hold at this level of generality and adaptivity under no-repetition constraints. Finally, we complement our theoretical findings with simple experiments on real-world datasets aimed at both validating the theory and empirically comparing to standard baselines. This comparison shows the competitive advantage of our approach over these baselines.