Money laundering is a profound global problem. Nonetheless, there is little scientific literature on statistical and machine learning methods for anti-money laundering. In this paper, we focus on anti-money laundering in banks and provide an introduction and review of the literature. We propose a unifying terminology with two central elements: (i) client risk profiling and (ii) suspicious behavior flagging. We find that client risk profiling is characterized by diagnostics, i.e., efforts to find and explain risk factors. On the other hand, suspicious behavior flagging is characterized by non-disclosed features and hand-crafted risk indices. Finally, we discuss directions for future research. One major challenge is the need for more public data sets. This may potentially be addressed by synthetic data generation. Other possible research directions include semi-supervised and deep learning, interpretability, and fairness of the results.
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Recently, significant advancements have been made in time-series forecasting research, with an increasing focus on analyzing the inherent characteristics of time-series data, rather than solely focusing on designing forecasting models.In this paper, we follow this trend and carefully examine previous work to propose an efficient time series forecasting model based on linear models. The model consists of two important core components: (1) the integration of different semantics brought by single-channel and multi-channel data for joint forecasting; (2) the use of a novel loss function that replaces the traditional MSE loss and MAE loss to achieve higher forecasting accuracy.On widely-used benchmark time series datasets, our model not only outperforms the current SOTA, but is also 10 $\times$ speedup and has fewer parameters than the latest SOTA model.
Artificial intelligence is more ubiquitous in multiple domains. Smartphones, social media platforms, search engines, and autonomous vehicles are just a few examples of applications that utilize artificial intelligence technologies to enhance their performance. This study carries out a scoping review of the current state-of-the-art artificial intelligence technologies following the PRISMA framework. The goal was to find the most advanced technologies used in different domains of artificial intelligence technology research. Three recognized journals were used from artificial intelligence and machine learning domain: Journal of Artificial Intelligence Research, Journal of Machine Learning Research, and Machine Learning, and articles published in 2022 were observed. Certain qualifications were laid for the technological solutions: the technology must be tested against comparable solutions, commonly approved or otherwise well justified datasets must be used while applying, and results must show improvements against comparable solutions. One of the most important parts of the technology development appeared to be how to process and exploit the data gathered from multiple sources. The data can be highly unstructured and the technological solution should be able to utilize the data with minimum manual work from humans. The results of this review indicate that creating labeled datasets is very laborious, and solutions exploiting unsupervised or semi-supervised learning technologies are more and more researched. The learning algorithms should be able to be updated efficiently, and predictions should be interpretable. Using artificial intelligence technologies in real-world applications, safety and explainable predictions are mandatory to consider before mass adoption can occur.
Cyber-physical systems (CPSs) are now widely deployed in many industrial domains, e.g., manufacturing systems and autonomous vehicles. To further enhance the capability and applicability of CPSs, there comes a recent trend from both academia and industry to utilize learning-based AI controllers for the system control process, resulting in an emerging class of AI-enabled cyber-physical systems (AI-CPSs). Although such AI-CPSs could achieve obvious performance enhancement from the lens of some key industrial requirement indicators, due to the random exploration nature and lack of systematic explanations for their behavior, such AI-based techniques also bring uncertainties and safety risks to the controlled system, posing an urgent need for effective safety analysis techniques for AI-CPSs. Hence in this work, we propose Mosaic, a model-based safety analysis framework for AI-CPSs. Mosaic first constructs a Markov decision process (MDP) model as an abstract model of the AI-CPS, which tries to characterize the behaviors of the original AI-CPS. Then, based on the derived abstract model, safety analysis is designed in two aspects: online safety monitoring and offline model-guided falsification. The usefulness of Mosaic is evaluated on diverse and representative industry-level AI-CPSs, the results of which demonstrate that Mosaic is effective in providing safety monitoring to AI-CPSs and enables to outperform the state-of-the-art falsification techniques, providing the basis for advanced safety analysis of AI-CPSs.
Safety has been a critical issue for the deployment of learning-based approaches in real-world applications. To address this issue, control barrier function (CBF) and its variants have attracted extensive attention for safety-critical control. However, due to the myopic one-step nature of CBF and the lack of principled methods to design the class-$\mathcal{K}$ functions, there are still fundamental limitations of current CBFs: optimality, stability, and feasibility. In this paper, we proposed a novel and unified approach to address these limitations with Adaptive Multi-step Control Barrier Function (AM-CBF), where we parameterize the class-$\mathcal{K}$ function by a neural network and train it together with the reinforcement learning policy. Moreover, to mitigate the myopic nature, we propose a novel \textit{multi-step training and single-step execution} paradigm to make CBF farsighted while the execution remains solving a single-step convex quadratic program. Our method is evaluated on the first and second-order systems in various scenarios, where our approach outperforms the conventional CBF both qualitatively and quantitatively.
We consider the problem of automatically synthesizing a hybrid controller for non-linear dynamical systems which ensures that the closed-loop fulfills an arbitrary \emph{Linear Temporal Logic} specification. Moreover, the specification may take into account logical context switches induced by an external environment or the system itself. Finally, we want to avoid classical brute-force time- and space-discretization for scalability. We achieve these goals by a novel two-layer strategy synthesis approach, where the controller generated in the lower layer provides invariant sets and basins of attraction, which are exploited at the upper logical layer in an abstract way. In order to achieve this, we provide new techniques for both the upper- and lower-level synthesis. Our new methodology allows to leverage both the computing power of state space control techniques and the intelligence of finite game solving for complex specifications, in a scalable way.
Dialogue systems are a popular Natural Language Processing (NLP) task as it is promising in real-life applications. It is also a complicated task since many NLP tasks deserving study are involved. As a result, a multitude of novel works on this task are carried out, and most of them are deep learning-based due to the outstanding performance. In this survey, we mainly focus on the deep learning-based dialogue systems. We comprehensively review state-of-the-art research outcomes in dialogue systems and analyze them from two angles: model type and system type. Specifically, from the angle of model type, we discuss the principles, characteristics, and applications of different models that are widely used in dialogue systems. This will help researchers acquaint these models and see how they are applied in state-of-the-art frameworks, which is rather helpful when designing a new dialogue system. From the angle of system type, we discuss task-oriented and open-domain dialogue systems as two streams of research, providing insight into the hot topics related. Furthermore, we comprehensively review the evaluation methods and datasets for dialogue systems to pave the way for future research. Finally, some possible research trends are identified based on the recent research outcomes. To the best of our knowledge, this survey is the most comprehensive and up-to-date one at present in the area of dialogue systems and dialogue-related tasks, extensively covering the popular frameworks, topics, and datasets.
Deep neural networks have revolutionized many machine learning tasks in power systems, ranging from pattern recognition to signal processing. The data in these tasks is typically represented in Euclidean domains. Nevertheless, there is an increasing number of applications in power systems, where data are collected from non-Euclidean domains and represented as the graph-structured data with high dimensional features and interdependency among nodes. The complexity of graph-structured data has brought significant challenges to the existing deep neural networks defined in Euclidean domains. Recently, many studies on extending deep neural networks for graph-structured data in power systems have emerged. In this paper, a comprehensive overview of graph neural networks (GNNs) in power systems is proposed. Specifically, several classical paradigms of GNNs structures (e.g., graph convolutional networks, graph recurrent neural networks, graph attention networks, graph generative networks, spatial-temporal graph convolutional networks, and hybrid forms of GNNs) are summarized, and key applications in power systems such as fault diagnosis, power prediction, power flow calculation, and data generation are reviewed in detail. Furthermore, main issues and some research trends about the applications of GNNs in power systems are discussed.
As data are increasingly being stored in different silos and societies becoming more aware of data privacy issues, the traditional centralized training of artificial intelligence (AI) models is facing efficiency and privacy challenges. Recently, federated learning (FL) has emerged as an alternative solution and continue to thrive in this new reality. Existing FL protocol design has been shown to be vulnerable to adversaries within or outside of the system, compromising data privacy and system robustness. Besides training powerful global models, it is of paramount importance to design FL systems that have privacy guarantees and are resistant to different types of adversaries. In this paper, we conduct the first comprehensive survey on this topic. Through a concise introduction to the concept of FL, and a unique taxonomy covering: 1) threat models; 2) poisoning attacks and defenses against robustness; 3) inference attacks and defenses against privacy, we provide an accessible review of this important topic. We highlight the intuitions, key techniques as well as fundamental assumptions adopted by various attacks and defenses. Finally, we discuss promising future research directions towards robust and privacy-preserving federated learning.
Machine learning plays a role in many deployed decision systems, often in ways that are difficult or impossible to understand by human stakeholders. Explaining, in a human-understandable way, the relationship between the input and output of machine learning models is essential to the development of trustworthy machine-learning-based systems. A burgeoning body of research seeks to define the goals and methods of explainability in machine learning. In this paper, we seek to review and categorize research on counterfactual explanations, a specific class of explanation that provides a link between what could have happened had input to a model been changed in a particular way. Modern approaches to counterfactual explainability in machine learning draw connections to the established legal doctrine in many countries, making them appealing to fielded systems in high-impact areas such as finance and healthcare. Thus, we design a rubric with desirable properties of counterfactual explanation algorithms and comprehensively evaluate all currently-proposed algorithms against that rubric. Our rubric provides easy comparison and comprehension of the advantages and disadvantages of different approaches and serves as an introduction to major research themes in this field. We also identify gaps and discuss promising research directions in the space of counterfactual explainability.
Machine-learning models have demonstrated great success in learning complex patterns that enable them to make predictions about unobserved data. In addition to using models for prediction, the ability to interpret what a model has learned is receiving an increasing amount of attention. However, this increased focus has led to considerable confusion about the notion of interpretability. In particular, it is unclear how the wide array of proposed interpretation methods are related, and what common concepts can be used to evaluate them. We aim to address these concerns by defining interpretability in the context of machine learning and introducing the Predictive, Descriptive, Relevant (PDR) framework for discussing interpretations. The PDR framework provides three overarching desiderata for evaluation: predictive accuracy, descriptive accuracy and relevancy, with relevancy judged relative to a human audience. Moreover, to help manage the deluge of interpretation methods, we introduce a categorization of existing techniques into model-based and post-hoc categories, with sub-groups including sparsity, modularity and simulatability. To demonstrate how practitioners can use the PDR framework to evaluate and understand interpretations, we provide numerous real-world examples. These examples highlight the often under-appreciated role played by human audiences in discussions of interpretability. Finally, based on our framework, we discuss limitations of existing methods and directions for future work. We hope that this work will provide a common vocabulary that will make it easier for both practitioners and researchers to discuss and choose from the full range of interpretation methods.
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