Baichuan4-Finance Technical Report

Large language models (LLMs) have demonstrated strong capabilities in language understanding, generation, and reasoning, yet their potential in finance remains underexplored due to the complexity and specialization of financial knowledge. In this work, we report the development of the Baichuan4-Finance series, including a comprehensive suite of foundational Baichuan4-Finance-Base and an aligned language model Baichuan4-Finance, which are built upon Baichuan4-Turbo base model and tailored for finance domain. Firstly, we have dedicated significant effort to building a detailed pipeline for improving data quality. Moreover, in the continual pre-training phase, we propose a novel domain self-constraint training strategy, which enables Baichuan4-Finance-Base to acquire financial knowledge without losing general capabilities. After Supervised Fine-tuning and Reinforcement Learning from Human Feedback and AI Feedback, the chat model Baichuan4-Finance is able to tackle various financial certification questions and real-world scenario applications. We evaluate Baichuan4-Finance on many widely used general datasets and two holistic financial benchmarks. The evaluation results show that Baichuan4-Finance-Base surpasses almost all competitive baselines on financial tasks by significant margins without sacrificing performance on general LLM benchmarks. At the same time, Baichuan4-Finance demonstrates even more impressive performance on financial application scenarios, showcasing its potential to foster community innovation in the financial LLM field.

Dialogue State Distillation Network with Inter-Slot Contrastive Learning for Dialogue State Tracking

In task-oriented dialogue systems, Dialogue State Tracking (DST) aims to extract users' intentions from the dialogue history. Currently, most existing approaches suffer from error propagation and are unable to dynamically select relevant information when utilizing previous dialogue states. Moreover, the relations between the updates of different slots provide vital clues for DST. However, the existing approaches rely only on predefined graphs to indirectly capture the relations. In this paper, we propose a Dialogue State Distillation Network (DSDN) to utilize relevant information of previous dialogue states and migrate the gap of utilization between training and testing. Thus, it can dynamically exploit previous dialogue states and avoid introducing error propagation simultaneously. Further, we propose an inter-slot contrastive learning loss to effectively capture the slot co-update relations from dialogue context. Experiments are conducted on the widely used MultiWOZ 2.0 and MultiWOZ 2.1 datasets. The experimental results show that our proposed model achieves the state-of-the-art performance for DST.

TOD-DA: Towards Boosting the Robustness of Task-oriented Dialogue Modeling on Spoken Conversations

Task-oriented dialogue systems have been plagued by the difficulties of obtaining large-scale and high-quality annotated conversations. Furthermore, most of the publicly available datasets only include written conversations, which are insufficient to reflect actual human behaviors in practical spoken dialogue systems. In this paper, we propose Task-oriented Dialogue Data Augmentation (TOD-DA), a novel model-agnostic data augmentation paradigm to boost the robustness of task-oriented dialogue modeling on spoken conversations. The TOD-DA consists of two modules: 1) Dialogue Enrichment to expand training data on task-oriented conversations for easing data sparsity and 2) Spoken Conversation Simulator to imitate oral style expressions and speech recognition errors in diverse granularities for bridging the gap between written and spoken conversations. With such designs, our approach ranked first in both tasks of DSTC10 Track2, a benchmark for task-oriented dialogue modeling on spoken conversations, demonstrating the superiority and effectiveness of our proposed TOD-DA.