We propose a novel approach for developing privacy-preserving large-scale recommender systems using differentially private (DP) large language models (LLMs) which overcomes certain challenges and limitations in DP training these complex systems. Our method is particularly well suited for the emerging area of LLM-based recommender systems, but can be readily employed for any recommender systems that process representations of natural language inputs. Our approach involves using DP training methods to fine-tune a publicly pre-trained LLM on a query generation task. The resulting model can generate private synthetic queries representative of the original queries which can be freely shared for any downstream non-private recommendation training procedures without incurring any additional privacy cost. We evaluate our method on its ability to securely train effective deep retrieval models, and we observe significant improvements in their retrieval quality without compromising query-level privacy guarantees compared to methods where the retrieval models are directly DP trained.
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Recommender systems (RS) play important roles to match users' information needs for Internet applications. In natural language processing (NLP) domains, large language model (LLM) has shown astonishing emergent abilities (e.g., instruction following, reasoning), thus giving rise to the promising research direction of adapting LLM to RS for performance enhancements and user experience improvements. In this paper, we conduct a comprehensive survey on this research direction from an application-oriented view. We first summarize existing research works from two orthogonal perspectives: where and how to adapt LLM to RS. For the "WHERE" question, we discuss the roles that LLM could play in different stages of the recommendation pipeline, i.e., feature engineering, feature encoder, scoring/ranking function, and pipeline controller. For the "HOW" question, we investigate the training and inference strategies, resulting in two fine-grained taxonomy criteria, i.e., whether to tune LLMs or not, and whether to involve conventional recommendation model (CRM) for inference. Detailed analysis and general development trajectories are provided for both questions, respectively. Then, we highlight key challenges in adapting LLM to RS from three aspects, i.e., efficiency, effectiveness, and ethics. Finally, we summarize the survey and discuss the future prospects. We also actively maintain a GitHub repository for papers and other related resources in this rising direction: //github.com/CHIANGEL/Awesome-LLM-for-RecSys.
In-context learning (ICL) improves language models' performance on a variety of NLP tasks by simply demonstrating a handful of examples at inference time. It is not well understood why ICL ability emerges, as the model has never been specifically trained on such demonstrations. Unlike prior work that explores implicit mechanisms behind ICL, we study ICL via investigating the pretraining data. Specifically, we first adapt an iterative, gradient-based approach to find a small subset of pretraining data that supports ICL. We observe that a continued pretraining on this small subset significantly improves the model's ICL ability, by up to 18%. We then compare the supportive subset constrastively with random subsets of pretraining data and discover: (1) The supportive pretraining data to ICL do not have a higher domain relevance to downstream tasks. (2) The supportive pretraining data have a higher mass of rarely occurring, long-tail tokens. (3) The supportive pretraining data are challenging examples where the information gain from long-range context is below average, indicating learning to incorporate difficult long-range context encourages ICL. Our work takes a first step towards understanding ICL via analyzing instance-level pretraining data. Our insights have a potential to enhance the ICL ability of language models by actively guiding the construction of pretraining data in the future.
Differential Privacy (DP) ensures that training a machine learning model does not leak private data. However, the cost of DP is lower model accuracy or higher sample complexity. In practice, we may have access to auxiliary public data that is free of privacy concerns. This has motivated the recent study of what role public data might play in improving the accuracy of DP models. In this work, we assume access to a given amount of public data and settle the following fundamental open questions: 1. What is the optimal (worst-case) error of a DP model trained over a private data set while having access to side public data? What algorithms are optimal? 2. How can we harness public data to improve DP model training in practice? We consider these questions in both the local and central models of DP. To answer the first question, we prove tight (up to constant factors) lower and upper bounds that characterize the optimal error rates of three fundamental problems: mean estimation, empirical risk minimization, and stochastic convex optimization. We prove that public data reduces the sample complexity of DP model training. Perhaps surprisingly, we show that the optimal error rates can be attained (up to constants) by either discarding private data and training a public model, or treating public data like it's private data and using an optimal DP algorithm. To address the second question, we develop novel algorithms which are "even more optimal" (i.e. better constants) than the asymptotically optimal approaches described above. For local DP mean estimation with public data, our algorithm is optimal including constants. Empirically, our algorithms show benefits over existing approaches for DP model training with side access to public data.
User-based KNN recommender systems (UserKNN) utilize the rating data of a target user's k nearest neighbors in the recommendation process. This, however, increases the privacy risk of the neighbors since their rating data might be exposed to other users or malicious parties. To reduce this risk, existing work applies differential privacy by adding randomness to the neighbors' ratings, which reduces the accuracy of UserKNN. In this work, we introduce ReuseKNN, a novel differentially-private KNN-based recommender system. The main idea is to identify small but highly reusable neighborhoods so that (i) only a minimal set of users requires protection with differential privacy, and (ii) most users do not need to be protected with differential privacy, since they are only rarely exploited as neighbors. In our experiments on five diverse datasets, we make two key observations: Firstly, ReuseKNN requires significantly smaller neighborhoods, and thus, fewer neighbors need to be protected with differential privacy compared to traditional UserKNN. Secondly, despite the small neighborhoods, ReuseKNN outperforms UserKNN and a fully differentially private approach in terms of accuracy. Overall, ReuseKNN leads to significantly less privacy risk for users than in the case of UserKNN.
To defend the inference attacks and mitigate the sensitive information leakages in Federated Learning (FL), client-level Differentially Private FL (DPFL) is the de-facto standard for privacy protection by clipping local updates and adding random noise. However, existing DPFL methods tend to make a sharper loss landscape and have poorer weight perturbation robustness, resulting in severe performance degradation. To alleviate these issues, we propose a novel DPFL algorithm named DP-FedSAM, which leverages gradient perturbation to mitigate the negative impact of DP. Specifically, DP-FedSAM integrates Sharpness Aware Minimization (SAM) optimizer to generate local flatness models with better stability and weight perturbation robustness, which results in the small norm of local updates and robustness to DP noise, thereby improving the performance. From the theoretical perspective, we analyze in detail how DP-FedSAM mitigates the performance degradation induced by DP. Meanwhile, we give rigorous privacy guarantees with R\'enyi DP and present the sensitivity analysis of local updates. At last, we empirically confirm that our algorithm achieves state-of-the-art (SOTA) performance compared with existing SOTA baselines in DPFL. Code is available at //github.com/YMJS-Irfan/DP-FedSAM
The rapid advancement of Large Language Models (LLMs) has led to extensive discourse regarding their potential to boost the return of quantitative stock trading strategies. This discourse primarily revolves around harnessing the remarkable comprehension capabilities of LLMs to extract sentiment factors which facilitate informed and high-frequency investment portfolio adjustments. To ensure successful implementations of these LLMs into the analysis of Chinese financial texts and the subsequent trading strategy development within the Chinese stock market, we provide a rigorous and encompassing benchmark as well as a standardized back-testing framework aiming at objectively assessing the efficacy of various types of LLMs in the specialized domain of sentiment factor extraction from Chinese news text data. To illustrate how our benchmark works, we reference three distinctive models: 1) the generative LLM (ChatGPT), 2) the Chinese language-specific pre-trained LLM (Erlangshen-RoBERTa), and 3) the financial domain-specific fine-tuned LLM classifier(Chinese FinBERT). We apply them directly to the task of sentiment factor extraction from large volumes of Chinese news summary texts. We then proceed to building quantitative trading strategies and running back-tests under realistic trading scenarios based on the derived sentiment factors and evaluate their performances with our benchmark. By constructing such a comparative analysis, we invoke the question of what constitutes the most important element for improving a LLM's performance on extracting sentiment factors. And by ensuring that the LLMs are evaluated on the same benchmark, following the same standardized experimental procedures that are designed with sufficient expertise in quantitative trading, we make the first stride toward answering such a question.
The distributed computation of a Nash equilibrium in aggregative games is gaining increased traction in recent years. Of particular interest is the mediator-free scenario where individual players only access or observe the decisions of their neighbors due to practical constraints. Given the competitive rivalry among participating players, protecting the privacy of individual players becomes imperative when sensitive information is involved. We propose a fully distributed equilibrium-computation approach for aggregative games that can achieve both rigorous differential privacy and guaranteed computation accuracy of the Nash equilibrium. This is in sharp contrast to existing differential-privacy solutions for aggregative games that have to either sacrifice the accuracy of equilibrium computation to gain rigorous privacy guarantees, or allow the cumulative privacy budget to grow unbounded, hence losing privacy guarantees, as iteration proceeds. Our approach uses independent noises across players, thus making it effective even when adversaries have access to all shared messages as well as the underlying algorithm structure. The encryption-free nature of the proposed approach, also ensures efficiency in computation and communication. The approach is also applicable in stochastic aggregative games, able to ensure both rigorous differential privacy and guaranteed computation accuracy of the Nash equilibrium when individual players only have stochastic estimates of their pseudo-gradient mappings. Numerical comparisons with existing counterparts confirm the effectiveness of the proposed approach.
While existing work in robust deep learning has focused on small pixel-level $\ell_p$ norm-based perturbations, this may not account for perturbations encountered in several real world settings. In many such cases although test data might not be available, broad specifications about the types of perturbations (such as an unknown degree of rotation) may be known. We consider a setup where robustness is expected over an unseen test domain that is not i.i.d. but deviates from the training domain. While this deviation may not be exactly known, its broad characterization is specified a priori, in terms of attributes. We propose an adversarial training approach which learns to generate new samples so as to maximize exposure of the classifier to the attributes-space, without having access to the data from the test domain. Our adversarial training solves a min-max optimization problem, with the inner maximization generating adversarial perturbations, and the outer minimization finding model parameters by optimizing the loss on adversarial perturbations generated from the inner maximization. We demonstrate the applicability of our approach on three types of naturally occurring perturbations -- object-related shifts, geometric transformations, and common image corruptions. Our approach enables deep neural networks to be robust against a wide range of naturally occurring perturbations. We demonstrate the usefulness of the proposed approach by showing the robustness gains of deep neural networks trained using our adversarial training on MNIST, CIFAR-10, and a new variant of the CLEVR dataset.
Recommender systems play a fundamental role in web applications in filtering massive information and matching user interests. While many efforts have been devoted to developing more effective models in various scenarios, the exploration on the explainability of recommender systems is running behind. Explanations could help improve user experience and discover system defects. In this paper, after formally introducing the elements that are related to model explainability, we propose a novel explainable recommendation model through improving the transparency of the representation learning process. Specifically, to overcome the representation entangling problem in traditional models, we revise traditional graph convolution to discriminate information from different layers. Also, each representation vector is factorized into several segments, where each segment relates to one semantic aspect in data. Different from previous work, in our model, factor discovery and representation learning are simultaneously conducted, and we are able to handle extra attribute information and knowledge. In this way, the proposed model can learn interpretable and meaningful representations for users and items. Unlike traditional methods that need to make a trade-off between explainability and effectiveness, the performance of our proposed explainable model is not negatively affected after considering explainability. Finally, comprehensive experiments are conducted to validate the performance of our model as well as explanation faithfulness.
Pre-trained deep neural network language models such as ELMo, GPT, BERT and XLNet have recently achieved state-of-the-art performance on a variety of language understanding tasks. However, their size makes them impractical for a number of scenarios, especially on mobile and edge devices. In particular, the input word embedding matrix accounts for a significant proportion of the model's memory footprint, due to the large input vocabulary and embedding dimensions. Knowledge distillation techniques have had success at compressing large neural network models, but they are ineffective at yielding student models with vocabularies different from the original teacher models. We introduce a novel knowledge distillation technique for training a student model with a significantly smaller vocabulary as well as lower embedding and hidden state dimensions. Specifically, we employ a dual-training mechanism that trains the teacher and student models simultaneously to obtain optimal word embeddings for the student vocabulary. We combine this approach with learning shared projection matrices that transfer layer-wise knowledge from the teacher model to the student model. Our method is able to compress the BERT_BASE model by more than 60x, with only a minor drop in downstream task metrics, resulting in a language model with a footprint of under 7MB. Experimental results also demonstrate higher compression efficiency and accuracy when compared with other state-of-the-art compression techniques.
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