ICLR 2026 Past ML systemsAgentsFairness & ethics

The 2nd Workshop on Advances in Financial AI Workshop: Towards Agentic and Responsible Systems

AFA

Submission deadline
Feb 5, 2026, 23:59 UTC
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Submission portal
OpenReview
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Auto-imported from the OpenReview venue record on 2026-06-10 — please verify and enrich (topics are keyword-guessed).

Accepted papers (81)

Fetched from OpenReview (v2) on 2026-06-10.

  1. A financial agent for fundamental analysis: an empirical investigation in the Brazilian stock market

    Thiago Castro Ferreira, Gabriel Assis, Aline Paes
  2. A Learnable Wavelet Transformer for Long-Short Equity Trading and Risk-Adjusted Return Optimization

    Shuozhe Li, Du Cheng, Amy Zhang, Liu Leqi
  3. A Modular LLM Framework for Explainable Price Outlier Detection

    Shadi Sartipi, John Wu, Sina Ghotbi, Nikhita Vedula, Shervin Malmasi
  4. A VLM-Based Framework For Technical Analysis

    Akshata Tiwari, Jillian Ross, Benjamin S. Manning, Andrew Lo
  5. Adversarial Robustness in LLM-Based Multi-Agent Trading Systems: A Systematic Vulnerability Analysis

    CheolWon Na, Suyoung Bae, Jaehoon Lee, Jee-Hyong Lee
  6. AI-BAAM: AI-Driven Bank Statement Analytics as Alternative Data for Malaysian MSME Credit Scoring

    Chun Chet Ng, Zhen Hao Chu, Jia Yu Lim, Boon Yin Yin, Low Wei Zeng, Jin Khye Tan
  7. AlphaLoss: LLM-Driven Evolution of Robust and Interpretable Portfolio Optimization Objectives

    Kamer Ali Yuksel, João Pedro Maia, Thiago Castro Ferreira, Mohamed Al-Badrashiny
  8. An Industrial-Scale Insurance LLM Achieving Verifiable Domain Mastery and Hallucination Control without Competence Trade-offs

    Qian Zhu, Xinnan Guo, Jingjing Huo, Jun Li, Pan Liu, Wenyan Yang, Wanqing Xu, Xuan Lin
  9. AutoQA: An Interpretable Automation Framework for CDD Quality Assurance in Financial Services

    Iman Zafar, Andrea Bassani, Alexandros Anatolakis, Greig A Cowan, Raad Khraishi
  10. Balancing Performance and Inclusion: A Novel Reject Inference Framework for Credit Scoring

    Athyrson Machado Ribeiro, Marcos M. Raimundo
  11. Belief State: Interpreting Temporal Belief Dynamics in Agentic Financial Systems

    Sarvesh Tiku
  12. Benchmarking Large Language Models for Quebec Insurance: From Closed-Book to Retrieval-Augmented Generation

    David Beauchemin, Richard Khoury
  13. BENCHMARKING OPEN-SOURCE SAFETY GUARD MODELS: A COMPREHENSIVE EVALUATION

    Reetu Raj Harsh, Joseph Thomas Thachil, Bhaskarjit Sarmah, Stefano Pasquali
  14. BEYOND VECTOR SEARCH: HALLUCINATION-FREE FINANCIAL REASONING WITH CHUNK-CENTRIC KNOWLEDGE GRAPHS

    Rithvik Kasarla
  15. BIASMIX-FINANCE: POST-GENERATION KYC GUARDRAILS FOR LLM PORTFOLIO ADVICE

    Gaurav kukreja, Mohammed Abraar, Raj Dandekar, Rajat Dandekar, Sreedath Panat, Parul Kukreja
  16. Can Blindfolded LLMs Still Trade? An Anonymization-First Framework for Portfolio Optimization

    Joohyoung Jeon, Hongchul Lee
  17. Computational Arbitrage in AI Model Markets

    Ricardo Olmedo, Bernhard Schölkopf, Moritz Hardt
  18. Conditionally Identifiable Latent Representation for Multivariate Time Series with Structural Dynamics

    Minkey Chang, Jae-Young Kim
  19. CoPilot-Finance: Graduated Autonomy for Human-AI Collaboration in Investment Advisory

    Mysore supreeth, Manish Mehta
  20. Decoupling Identity from Utility: Privacy-by-Design Frameworks for Financial Ecosystems

    Ifayoyinsola Ibikunle, Tyler Farnan, Senthil Kumar, Mayana Pereira
  21. Detecting Information Channels in Congressional Trading via Temporal Graph Learning

    Benjamin Pham Roodman, Eugene Sy, J. Xavier Atero Vázquez, Yu-Shiang Huang, Che Lin, Chuan-Ju Wang
  22. Developing an ESG-Oriented Large Language Model through ESG Practices

    Gabriel Assis, Ayrton Surica, Pedro Kroll, Gabriela Aires, Darian Rabbani, Edson Bollis, Lucas Pellicer, Aline Paes
  23. Does Explicit Reasoning Help in Finance? A Study of Chain-of-Thought for Financial NLP

    Ziyue Wang, Zhiyu Xu, Yi Liu, Yuxiang Wang, Ruihan Bao, Keiko Harimoto, Xu Sun
  24. Dynamic Objective Selection with Safeguards and LLM Oversight for Financial Decision-Making

    Keigo Sakurai, Takahiro Ogawa, Miki Haseyama, Anjyu Anan, Kei Nakagawa
  25. Dynamic Taxonomy Construction and Thematic Filtering for Financial Knowledge Graphs

    Atousa Assadihaghi, Reza Amini, Daniel Schiemert, Ewan Mackie, Zhiwen Xu
  26. Entropically Regularized Martingale Optimal Transport with $L_1$ Relaxation

    Ethan Chen
  27. Epistemic Accountability for Agentic Financial AI: The Transformer Mandate and Evidence Lifecycle Management

    Sankalp Gilda, Shlok Gilda
  28. Evaluating Frontier Agents on End-to-End Investment Banking Workflows

    Elaine Lau, Rosemary Wei, Guram Gogia, Ronak Chaudhary, Yi Liu, Samuel Eshun Danquah, Punit Arani, Ray Epps, Markus Dücker, Abdullah Arif, Asrith Devalaraju, Varsha Sandadi, Scott Millslagle, Haemi Nam, Skyler Wang, Sahil Bhaiwala, Anish Athalye, Jonas Mueller, Francisco Guzmán
  29. Evaluating LLM Simulators as Differentially Private Data Generators

    Nassima M. Bouzid, Dehao Yuan, Nam H Nguyen, Mayana Pereira
  30. FARE: Deep Reinforcement Learning for Fair Exposure Constrained Uncertainty-Aware Financial Content Personalization

    ARUNDEEP CHINTA, Lucas Vinh Tran, Jay Katukuri
  31. Federated Agent Reinforcement Learning

    Canyu Chen, Kangyu Zhu, Zhaorun Chen, Zhanhui Zhou, Shizhe Diao, Yiping Lu, Tian Li, Manling Li, Dawn Song
  32. Finch: Benchmarking Finance & Accounting across Spreadsheet-Centric Enterprise Workflows

    Haoyu Dong, Pengkun Zhang, Yan Gao, Xuanyu Dong, Yilin Cheng, Mingzhe Lu, Adina Yakefu, Shuxin Zheng
  33. FinSight: Multi-Agent and Multi-Modal System for Equity Research and Reasoning

    Varad Srivastava
  34. Forecasting Future Language: Context Design for Mention Markets

    Sumin Kim, Jihoon Kwon, Yoon Kim, Nicole Kagan, Raffi Khatchadourian, Wonbin Ahn, Alejandro Lopez-Lira, Jaewon Lee, Yoontae Hwang, Oscar Levy, Yongjae Lee, CHANYEOL CHOI
  35. From Natural Language to Executable Option Strategies via Large Language Models

    Haochen Luo, Zhengzhao Lai, Junjie Xu, YIFAN LI, Tang Pok Hin, Yuan Zhang, Chen Liu
  36. From Text to Alpha: Can LLMs Track Evolving Signals in Corporate Disclosures?

    CHANYEOL CHOI, Yoon Kim, Yu Yu, Zach Golkhou, Igor Halperin, GEORGIOS PAPAIOANNOU, Minkyu Kim, Zhangyang Wang, Jihoon Kwon, Minjae Kim, Alejandro Lopez-Lira, Yongjae Lee
  37. Helping Customers In Distress: An LLM-Powered Agent That Converses, Probes, and Routes

    Alankar Atreya, Stefan Sylvius Wagner, Devesh Batra, Robert Hankache, Cristovão Iglesias Jr, Patrick Sinclair, Giulio Pelosio, Michael McMillan, Greig A Cowan, Raad Khraishi
  38. Homogeneous AI Traders, Endogenous Liquidity, and Phase Reversals in Tail Risk

    Hanyu Yu
  39. IMPACT OF LLMS NEWS SENTIMENT ANALYSIS ON STOCK PRICE MOVEMENT PREDICTION

    Walid Siala, Ahmed Khanfir, Mike Papadakis
  40. Information Homogenization Induces Herding in Retrieval-Augmented LLM Agent Markets

    Zichen Song
  41. INTERACTIVE CO-CRAFTER: TEMPLATIZED DOCUMENT GENERATION

    Eshani Agrawal, Reza Amini
  42. Large-Scale Chatbot Validation Through Customer Digital Twin Simulations

    Cristovão Iglesias Jr, Devesh Batra, Alankar Atreya, Stefan Sylvius Wagner, Robert Hankache, Patrick Sinclair, Giulio Pelosio, Michael McMillan, Greig A Cowan, Raad Khraishi
  43. Latent Velocity Spikes as Label-Free Market Instability Alerts

    Jimin Yeom
  44. LEARNING REGULATORY-AWARE AGENTIC POLICIES VIA ENDOGENOUS CONSTRAINT DISCOVERY

    Mahule Roy, Subhas Roy
  45. LLM as a Risk Manager: LLM Semantic Filtering for Lead–Lag Trading in Prediction Markets

    Sumin Kim, Minjae Kim, Jihoon Kwon, Yoon Kim, Nicole Kagan, Joo Won Lee, Oscar Levy, Alejandro Lopez-Lira, Yongjae Lee, CHANYEOL CHOI
  46. LLM-as-a-Prophet: Understanding Predictive Intelligence with Prophet Arena

    Qingchuan Yang, Simon Mahns, Sida Li, Anri Gu, Jibang Wu, Haifeng Xu
  47. LLM-Driven Active Listwise Tournaments for Portfolio Selection in Large Asset Universes

    Kamer Ali Yuksel, João Pedro Maia, Thiago Castro Ferreira, Mohamed Al-Badrashiny
  48. LLM-Driven Correlation-Aware Tournaments

    Kamer Ali Yuksel, João Pedro Maia, Thiago Castro Ferreira, Mohamed Al-Badrashiny
  49. Modal Logical Neural Networks for Financial AI

    Antonin Sulc
  50. One Size Fits None: Do LLMs Provide Suitable Financial Advice?

    Jillian Ross, Andrew Lo
  51. Portfolio Optimization under Recursive Utility via Reinforcement Learning

    Minkey Chang
  52. PRISM: Prompt-Refined In-Context System Modeling for Financial Retrieval

    Chun Chet Ng, Jia Yu Lim, Low Wei Zeng
  53. Probabilistic Multivariate Time Series Forecasting with Diffusion Copulas

    David Huk, Dongshan Wang, Miha Brešar
  54. Quantifying Automation Risk in Financial AI: A Probabilistic Decomposition of Failure, Harm, and Severity

    Vishal Srivastava, Tanmay Sah
  55. Reformulating Imitation Learning as Return Distribution Matching

    Filippo Lazzati, Alberto Maria Metelli
  56. Regime-aware Financial Volatility Forecasting via In-Context Learning

    Saba Asaad, Shayan Mohajer Hamidi, Ali Bereyhi
  57. Relational Probing: LM-to-Graph Adaptation for Financial Prediction

    Yingjie Niu, Changhong Jin, Rian Dolphin, Ruihai Dong
  58. Replayable Financial Agents: A Determinism-Faithfulness Assurance Harness for Tool-Using LLM Agents

    Raffi Khatchadourian
  59. Risk-Adjusted Harm Scoring for Automated Red Teaming for LLMs in Financial Services

    Fabrizio Dimino, Bhaskarjit Sarmah, Stefano Pasquali
  60. RobustFTS: Defending Financial Time-Series Models Against Adversarial Manipulation

    Mysore supreeth, Manish Mehta
  61. SafeFinAgent: Guardrail-Augmented Multi-Agent Framework for Responsible Financial Decision-Making

    Mysore supreeth, Manish Mehta
  62. SpreadsheetArena: Decomposing Preference in LLM Generation of Spreadsheet Workbooks

    Srivatsa R Kundurthy, Clara Na, Michael Handley, Zach Kirshner, Chen Bo Calvin Zhang, Manasi Sharma, John Ling
  63. Stable Decision Routing in Agentic Financial AI via Self-Reported Uncertainty Signals

    taehun kim, Mingzhe Wu
  64. Stress-Adaptive Belief Control for Agentic Decision Systems

    Gabriel Nixon
  65. SynQubi: A Quantum-Optimized Multi-Agent For Risk-Aware Financial Decision-Making

    Chevin Jeon, Soyeon Jun
  66. The Agentic Regulator: Risks for AI in Finance and a Proposed Agent-Based Framework for Governance

    Eren Kurshan, Tucker Balch, David Byrd
  67. The Curse of Rationality in Dynamic Public Goods Games: How LLM Agents Navigate Phase Transitions

    Ruofei Wang, Daohan Zhu, Tao Wan, Zengchang Qin
  68. The Price of Agreement: Measuring LLM Sycophancy in Agentic Financial Applications

    Zhenyu Zhao, Aparna Balagopalan, Adi Agrawal, Dilshoda Yergasheva, Waseem Alshikh, Daniel M. Bikel
  69. THE SYSTEMIC FRAGILITY OF DISTILLED GRAPH MODELS IN FINANCIAL MARKETS

    Abhaya Trivedi, Avni Jain
  70. TimeSeek: Temporal Reliability of Agentic Forecasters

    Om Shastri, Hamza Mostafa, Dennis Lee
  71. TIRA: Technical Indicator-based Retrieval Augmentation for Large Language Model-driven Stock Trading

    Minje Kim, Keeheon Lee, Chi-Guhn Lee
  72. Toward An Agentic Approach in Anti-Money Laundering Investigation for Typology Classification

    Rémi Grzeczkowicz, OUGUENOUNE Amine, Mariam BARRY, Aude Rousseau, Mehdi Mouayad, Yanlei DIAO
  73. Towards a more efficient bias detection in Financial Language Models

    Firas Hadj Kacem, Ahmed Khanfir, Mike Papadakis
  74. Towards Expert Financial QA via Self-Improving RAG

    Junjie Xiong, Shawheen Ghezavat, Aum Hirpara, Sean Wu
  75. Towards Representation Learning for Cross-Sectional Portfolio Construction

    Grant Johnson, Chan Hyuk Yoon
  76. Uncertainty-Gated Generative Modeling

    Xingrui Gu, Haixi Zhang
  77. Unsupervised Detection of Speculative Regimes and the Empirical Audit of Agentic Responsibility in Financial Markets

    Soham Batra, Tanush Ajay Shastry
  78. When AI Adds No Signal: LLM Embeddings versus Price-Based Stock Clusters

    Bingyang Wang, Grant Johnson, Maria Hybinette, Tucker Balch
  79. When Do We Need LLMs? A Diagnostic for Language-Driven Bandits

    Uljad Berdica, Fernando Acero, Anton Ipsen, Parisa Zehtabi, Michael Cashmore, Manuela Veloso
  80. When Quotes Crumble: Detecting Transient Mechanical Liquidity Erosion in Limit Order Books

    Haohan Xu, Jason Bohne, Pawel Polak, Yurij Baransky, Ajay Alva, Violetta Fedotova, Gary Kazantsev, David S Rosenberg
  81. Winner Stock Prediction as Decision-Aligned Multiclass Classification

    Blanca Elvira Fernández Méndez, Jairo Diaz-Rodriguez, Pavlos Gkasis