Zhang Xiao

Qianqian Xie, Weiguang Han, Xiao Zhang et al.

Although large language models (LLMs) has shown great performance on natural language processing (NLP) in the financial domain, there are no publicly available financial tailtored LLMs, instruction tuning datasets, and evaluation benchmarks, which is critical for continually pushing forward the open-source development of financial artificial intelligence (AI). This paper introduces PIXIU, a comprehensive framework including the first financial LLM based on fine-tuning LLaMA with instruction data, the first instruction data with 136K data samples to support the fine-tuning, and an evaluation benchmark with 5 tasks and 9 datasets. We first construct the large-scale multi-task instruction data considering a variety of financial tasks, financial document types, and financial data modalities. We then propose a financial LLM called FinMA by fine-tuning LLaMA with the constructed dataset to be able to follow instructions for various financial tasks. To support the evaluation of financial LLMs, we propose a standardized benchmark that covers a set of critical financial tasks, including five financial NLP tasks and one financial prediction task. With this benchmark, we conduct a detailed analysis of FinMA and several existing LLMs, uncovering their strengths and weaknesses in handling critical financial tasks. The model, datasets, benchmark, and experimental results are open-sourced to facilitate future research in financial AI.

Minxing Zhang, Michael Backes, Xiao Zhang

This paper revisits the robust overfitting phenomenon of adversarial training. Observing that models with better robust generalization performance are less certain in predicting adversarially generated training inputs, we argue that overconfidence in predicting adversarial examples is a potential cause. Therefore, we hypothesize that generating less certain adversarial examples improves robust generalization, and propose a formal definition of adversarial certainty that captures the variance of the model's predicted logits on adversarial examples. Our theoretical analysis of synthetic distributions characterizes the connection between adversarial certainty and robust generalization. Accordingly, built upon the notion of adversarial certainty, we develop a general method to search for models that can generate training-time adversarial inputs with reduced certainty, while maintaining the model's capability in distinguishing adversarial examples. Extensive experiments on image benchmarks demonstrate that our method effectively learns models with consistently improved robustness and mitigates robust overfitting, confirming the importance of generating less certain adversarial examples for robust generalization. Our implementations are available as open-source code at: https://github.com/TrustMLRG/AdvCertainty.

Yiyong Liu, Michael Backes, Xiao Zhang

We consider availability data poisoning attacks, where an adversary aims to degrade the overall test accuracy of a machine learning model by crafting small perturbations to its training data. Existing poisoning strategies can achieve the attack goal but assume the victim to employ the same learning method as what the adversary uses to mount the attack. In this paper, we argue that this assumption is strong, since the victim may choose any learning algorithm to train the model as long as it can achieve some targeted performance on clean data. Empirically, we observe a large decrease in the effectiveness of prior poisoning attacks if the victim employs an alternative learning algorithm. To enhance the attack transferability, we propose Transferable Poisoning, which first leverages the intrinsic characteristics of alignment and uniformity to enable better unlearnability within contrastive learning, and then iteratively utilizes the gradient information from supervised and unsupervised contrastive learning paradigms to generate the poisoning perturbations. Through extensive experiments on image benchmarks, we show that our transferable poisoning attack can produce poisoned samples with significantly improved transferability, not only applicable to the two learners used to devise the attack but also to learning algorithms and even paradigms beyond.

Yuan Xin, Dingfan Chen, Michael Backes et al.

As ML models are increasingly deployed in critical applications, robustness against adversarial perturbations is crucial. While numerous defenses have been proposed to counter such attacks, they typically assume that all adversarial transformations are equally important, an assumption that rarely aligns with real-world applications. To address this, we study the problem of robust learning against adversarial perturbations under cost-sensitive scenarios, where the potential harm of different types of misclassifications is encoded in a cost matrix. Our solution introduces a provably robust learning algorithm to certify and optimize for cost-sensitive robustness, building on the scalable certification framework of randomized smoothing. Specifically, we formalize the definition of cost-sensitive certified radius and propose our novel adaptation of the standard certification algorithm to generate tight robustness certificates tailored to any cost matrix. In addition, we design a robust training method that improves certified cost-sensitive robustness without compromising model accuracy. Extensive experiments on benchmark datasets, including challenging ones unsolvable by existing methods, demonstrate the effectiveness of our certification algorithm and training method across various cost-sensitive scenarios.