Understanding and Mitigating Risks of Generative AI in Financial Services | Paper Citation Record

Observation c69f4803-9b04-47cf-967e-7582ca8eb61d · outbound

This paper cites Detectors for Safe and Reliable LLMs: Implementations, Uses, and Limitations.

Understanding and Mitigating Risks of Generative AI in Financial Services Detectors for Safe and Reliable LLMs: Implementations, Uses, and Limitations

Reference 1

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.279018Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 739b1bba-5f1e-4336-9acd-4c27ad836006 · outbound

This paper cites Discussing ethical considerations and solutions for ensuring fairness in ai-driven ﬁnancial services.

Understanding and Mitigating Risks of Generative AI in Financial Services Discussing ethical considerations and solutions for ensuring fairness in ai-driven ﬁnancial services

Reference 2

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.285180Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 49f398f5-df64-41d8-9e6b-8970956e7ce0 · outbound

This paper cites Bowman , Ethan Perez, Roger Baker Grosse, and David Duvenaud.

Understanding and Mitigating Risks of Generative AI in Financial Services Bowman , Ethan Perez, Roger Baker Grosse, and David Duvenaud

Reference 3

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.289174Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation bc7f6099-b943-4a03-8c6e-3b4f4112ff7c · outbound

This paper cites an unresolved cited work.

Understanding and Mitigating Risks of Generative AI in Financial Services Unresolved cited work

Reference 4

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.293094Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 5b8ca7d8-10bc-4048-a220-91e2c3d1531a · outbound

This paper cites Reg bi-relat ed changes to ﬁnra rules.

Understanding and Mitigating Risks of Generative AI in Financial Services Reg bi-relat ed changes to ﬁnra rules

Reference 5

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.296933Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 9d7a46cf-f702-499d-85e2-1c681ffe1442 · outbound

This paper cites Training a Helpful and Harmless Assistant with Reinforcement Learning from Human Feedback.

Understanding and Mitigating Risks of Generative AI in Financial Services Training a Helpful and Harmless Assistant with Reinforcement Learning from Human Feedback

Reference 6

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.300763Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 662ff383-def9-4be8-bcfa-e68591f64869 · outbound

This paper cites Constitutional AI: Harmlessness from AI Feedback.

Understanding and Mitigating Risks of Generative AI in Financial Services Constitutional AI: Harmlessness from AI Feedback

Reference 7

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.305351Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 9d3b2e9e-6875-459e-bed0-85b40915d6ee · outbound

This paper cites SR 23-4 Intera- gency Guidance on Third-Party Relationships: Risk Managem ent, 2023.

Understanding and Mitigating Risks of Generative AI in Financial Services SR 23-4 Intera- gency Guidance on Third-Party Relationships: Risk Managem ent, 2023

Reference 8

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.310214Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation f9059ec9-46c6-40ce-b8de-71368c2b978c · outbound

This paper cites Annual performance plan 2025.

Understanding and Mitigating Risks of Generative AI in Financial Services Annual performance plan 2025

Reference 9

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.314007Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 500d9048-acdd-4425-be9b-097969097451 · outbound

This paper cites On the Opportunities and Risks of Foundation Models.

Understanding and Mitigating Risks of Generative AI in Financial Services On the Opportunities and Risks of Foundation Models

Reference 10

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.318080Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation cbcbee00-f41f-40c4-8204-51323d5c5248 · outbound

This paper cites How a myster y trader with an algorithm may have caused the ﬂash crash.

Understanding and Mitigating Risks of Generative AI in Financial Services How a myster y trader with an algorithm may have caused the ﬂash crash

Reference 11

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.321971Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 355e0de0-acd6-44e7-aa7c-96e9afdb1279 · outbound

This paper cites Explore, establish, exploit: Red teaming language models from scratch, 2024.

Understanding and Mitigating Risks of Generative AI in Financial Services Explore, establish, exploit: Red teaming language models from scratch, 2024

Reference 12

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.325621Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation b39df0a2-adf8-4e94-bdd1-8b696b07ba8b · outbound

This paper cites Remarks before the con ference on emerging trends in asset management.

Understanding and Mitigating Risks of Generative AI in Financial Services Remarks before the con ference on emerging trends in asset management

Reference 14

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.337448Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 0fc3b524-0a73-4d65-bb22-f81479c73a2f · outbound

This paper cites Academics can con tribute to domain-specialized language models.

Understanding and Mitigating Risks of Generative AI in Financial Services Academics can con tribute to domain-specialized language models

Reference 15

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.341224Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation c82fa4ed-59fa-44a6-a8fb-a0bafc127073 · outbound

This paper cites The Llama 3 Herd of Models.

Understanding and Mitigating Risks of Generative AI in Financial Services The Llama 3 Herd of Models

Reference 16

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.345294Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 26699c17-c6cc-43cb-954e-db745d429223 · outbound

This paper cites Meet the chairs leading the devel opment of the ﬁrst general-purpose ai code of practice, September 202 4.

Understanding and Mitigating Risks of Generative AI in Financial Services Meet the chairs leading the devel opment of the ﬁrst general-purpose ai code of practice, September 202 4

Reference 17

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.349934Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 59302cd6-58a9-4844-9930-5f4851b46ee8 · outbound

This paper cites Guidelines 9/2022 on p ersonal data breach notiﬁcation under gdpr version 2.0, March 2023.

Understanding and Mitigating Risks of Generative AI in Financial Services Guidelines 9/2022 on p ersonal data breach notiﬁcation under gdpr version 2.0, March 2023

Reference 18

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.354107Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation d24ee632-bbfb-467b-ad74-874c20eb9002 · outbound

This paper cites The ESAs Ann ounce Timeline to Collect Information for the Desig- nation of Critical ICT Third-Party Service Providers under the Digital Operational Resilience Act, 2024.

Understanding and Mitigating Risks of Generative AI in Financial Services The ESAs Ann ounce Timeline to Collect Information for the Desig- nation of Critical ICT Third-Party Service Providers under the Digital Operational Resilience Act, 2024

Reference 19

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.358336Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 960eedea-08e4-4fca-8924-351271c121b0 · outbound

This paper cites Rep ort on Digital Investment Advice, March 2016.

Understanding and Mitigating Risks of Generative AI in Financial Services Rep ort on Digital Investment Advice, March 2016

Reference 20

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.362423Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 5ebd24aa-1b1d-40d6-a0b8-cccb8eeeb952 · outbound

This paper cites FIN RA Reminds Firms of their Su- pervisory Obligations Related to Outsourcing to Third-Par ty V endors, 2021.

Understanding and Mitigating Risks of Generative AI in Financial Services FIN RA Reminds Firms of their Su- pervisory Obligations Related to Outsourcing to Third-Par ty V endors, 2021

Reference 22

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.371810Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 0f428c11-0c92-4c66-891c-db1195db524d · outbound

This paper cites FIN RA Reminds Members of Regulatory Obli- gations When Using Generative Artiﬁcial Intelligence and L arge Language Models, 2024.

Understanding and Mitigating Risks of Generative AI in Financial Services FIN RA Reminds Members of Regulatory Obli- gations When Using Generative Artiﬁcial Intelligence and L arge Language Models, 2024

Reference 23

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.375679Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation e0e76561-f656-4637-8dd1-c763333ddd2f · outbound

This paper cites AI A pplications in the Securities Industry, 2025.

Understanding and Mitigating Risks of Generative AI in Financial Services AI A pplications in the Securities Industry, 2025

Reference 24

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.379772Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 5249559b-db5b-4f51-8fb6-5f31ceef687c · outbound

This paper cites FIN RA Rule 2210(d)(1): Communications with the Public,.

Understanding and Mitigating Risks of Generative AI in Financial Services FIN RA Rule 2210(d)(1): Communications with the Public,

Reference 25

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.384032Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation b21fadbf-90c7-4f8a-aa0f-5503f4b5bb59 · outbound

This paper cites FIN RA Rule 2210(a)-(b): Communications with the Public,.

Understanding and Mitigating Risks of Generative AI in Financial Services FIN RA Rule 2210(a)-(b): Communications with the Public,

Reference 26

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.968809Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 480bbc67-8c32-4446-88af-d00969e1c1e6 · outbound

This paper cites Final rule fact sheet: Beneﬁcial ownership information access and safeguards, and use of ﬁnc en identiﬁers for entities.

Understanding and Mitigating Risks of Generative AI in Financial Services Final rule fact sheet: Beneﬁcial ownership information access and safeguards, and use of ﬁnc en identiﬁers for entities

Reference 27

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.942718Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 42313141-3e11-4804-840a-4ba936aac448 · outbound

This paper cites Finan cial crimes enforce- ment network: Anti-money laundering/countering the ﬁnanc ing of terrorism.

Understanding and Mitigating Risks of Generative AI in Financial Services Finan cial crimes enforce- ment network: Anti-money laundering/countering the ﬁnanc ing of terrorism

Reference 28

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.929818Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 0b77ef87-4d09-4603-b7b0-6bde4ad218f1 · outbound

This paper cites Deﬁnitions and general standards for communications with the public, incl uding categorization of communication types.

Understanding and Mitigating Risks of Generative AI in Financial Services Deﬁnitions and general standards for communications with the public, incl uding categorization of communication types

Reference 29

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.956385Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 8d4c9330-10fa-48dc-b448-1e5c8147fcb6 · outbound

This paper cites Owasp top 10 for large language mo del applications, 2025.

Understanding and Mitigating Risks of Generative AI in Financial Services Owasp top 10 for large language mo del applications, 2025

Reference 30

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.904795Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation ec9df028-6bb8-4fdb-bf25-2f8613ee565c · outbound

This paper cites Red Teaming Language Models to Reduce Harms: Methods, Scaling Behaviors, and Lessons Learned.

Understanding and Mitigating Risks of Generative AI in Financial Services Red Teaming Language Models to Reduce Harms: Methods, Scaling Behaviors, and Lessons Learned

Reference 31

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.413838Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 9f630a1b-0f70-47dd-a7c2-6e406ff8e5a9 · outbound

This paper cites Chatbots reset: A framework for g overn- ing responsible use of conversational ai in healthcare.

Understanding and Mitigating Risks of Generative AI in Financial Services Chatbots reset: A framework for g overn- ing responsible use of conversational ai in healthcare

Reference 32

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.917337Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 4f5c75e8-0f4e-4fb7-b1ed-42f6bf7436b2 · outbound

This paper cites Ginsburg and Luke Ali Budiardjo.

Understanding and Mitigating Risks of Generative AI in Financial Services Ginsburg and Luke Ali Budiardjo

Reference 33

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.892069Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 8aed1617-c2d6-41a4-bcf8-5aa9894f348b · outbound

This paper cites Not what you’ve signed up for: Compromising real-world llm-int egrated applications with indirect prompt in- jection.

Understanding and Mitigating Risks of Generative AI in Financial Services Not what you’ve signed up for: Compromising real-world llm-int egrated applications with indirect prompt in- jection

Reference 34

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.865126Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 700d9382-4c44-45a7-b731-f2836b8734c7 · outbound

This paper cites AEGIS: Online Adaptive AI Content Safety Moderation with Ensemble of LLM Experts.

Understanding and Mitigating Risks of Generative AI in Financial Services AEGIS: Online Adaptive AI Content Safety Moderation with Ensemble of LLM Experts

Reference 35

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.418119Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation b3d692cf-79f3-4250-8f1a-4e4ee3f78e35 · outbound

This paper cites From chatgpt to threatgpt: Impact of generative ai in cybersecurity and p rivacy.

Understanding and Mitigating Risks of Generative AI in Financial Services From chatgpt to threatgpt: Impact of generative ai in cybersecurity and p rivacy

Reference 36

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.839873Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 1affba13-4f9e-4640-b631-20478e46d181 · outbound

This paper cites WildGuard: Open One-Stop Moderation Tools for Safety Risks, Jailbreaks, and Refusals of LLMs.

Understanding and Mitigating Risks of Generative AI in Financial Services WildGuard: Open One-Stop Moderation Tools for Safety Risks, Jailbreaks, and Refusals of LLMs

Reference 37

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.441307Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 2e151105-db1f-45f0-917b-1dc3504329ab · outbound

This paper cites Systemic innovation and risk: techno logy assessment and the chal- lenge of responsible innovation.

Understanding and Mitigating Risks of Generative AI in Financial Services Systemic innovation and risk: techno logy assessment and the chal- lenge of responsible innovation

Reference 38

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.826898Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation bedb858b-9285-41f6-8157-6dc512ee7ff2 · outbound

This paper cites Guan, Manas R.

Understanding and Mitigating Risks of Generative AI in Financial Services Guan, Manas R

Reference 39

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.852243Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation dbc8d00f-473a-4114-8640-3a6447d2df06 · outbound

This paper cites Llama Guard: LLM-based Input-Output Safeguard for Human-AI Conversations.

Understanding and Mitigating Risks of Generative AI in Financial Services Llama Guard: LLM-based Input-Output Safeguard for Human-AI Conversations

Reference 40

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.453740Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 419de68d-16ab-4a36-a1b1-34c55b6b855a · outbound

This paper cites Sell side vs buy side: What’s the difference?, May 2024.

Understanding and Mitigating Risks of Generative AI in Financial Services Sell side vs buy side: What’s the difference?, May 2024

Reference 41

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.802954Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 9a74db23-87d2-4671-b176-1bdb88c4acba · outbound

This paper cites Challenges and Applications of Large Language Models.

Understanding and Mitigating Risks of Generative AI in Financial Services Challenges and Applications of Large Language Models

Reference 42

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.462095Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 896b44c0-7e71-4c39-a696-9665f5d9136c · outbound

This paper cites an unresolved cited work.

Understanding and Mitigating Risks of Generative AI in Financial Services Unresolved cited work

Reference 43

Resolution: unresolved; raw_fallback, observed 2026-08-16T10:19:11.815017Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 7e0a70ea-11e4-418e-8c22-3c548e1552b1 · outbound

This paper cites A Hazard Analysis Framework for Code Synthesis Large Language Models.

Understanding and Mitigating Risks of Generative AI in Financial Services A Hazard Analysis Framework for Code Synthesis Large Language Models

Reference 44

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.471081Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 4dd448fd-cbfe-4770-83f0-56554ca3ad1c · outbound

This paper cites Regulating bot speech.

Understanding and Mitigating Risks of Generative AI in Financial Services Regulating bot speech

Reference 45

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.776766Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 53d962b1-9677-440f-9b11-32dd34ac9483 · outbound

This paper cites Engineering a safer world: Systems thinking applied to safe ty.

Understanding and Mitigating Risks of Generative AI in Financial Services Engineering a safer world: Systems thinking applied to safe ty

Reference 46

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.763526Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation cb18abbb-b71a-4622-9735-e8f8828d5490 · outbound

This paper cites Kaminski.

Understanding and Mitigating Risks of Generative AI in Financial Services Kaminski

Reference 47

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.790551Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 8785b914-ea53-42d6-9eca-154da97e13ba · outbound

This paper cites 31 cfr § 1023.320 - r eports by brokers or dealers in securities of suspicious transactions.

Understanding and Mitigating Risks of Generative AI in Financial Services 31 cfr § 1023.320 - r eports by brokers or dealers in securities of suspicious transactions

Reference 48

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.738939Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 9a7440c0-4f50-40f2-832e-6486e51bba9b · outbound

This paper cites Trustworthy LLMs: a Survey and Guideline for Evaluating Large Language Models' Alignment.

Understanding and Mitigating Risks of Generative AI in Financial Services Trustworthy LLMs: a Survey and Guideline for Evaluating Large Language Models' Alignment

Reference 49

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.492413Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation ae1d27e0-db97-4e4c-9366-00dfdd06fcfe · outbound

This paper cites A Holistic Approach to Undesired Content Detection in the Real World.

Understanding and Mitigating Risks of Generative AI in Financial Services A Holistic Approach to Undesired Content Detection in the Real World

Reference 50

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.496545Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 736cdec4-e9f5-45e6-9200-2cda70c1f3c5 · outbound

This paper cites Large language models in ﬁnance: A survey.

Understanding and Mitigating Risks of Generative AI in Financial Services Large language models in ﬁnance: A survey

Reference 51

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.751184Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 5afa4e0e-fae2-4f17-aff8-cd2bad934eb3 · outbound

This paper cites A Survey of Large Language Models for Financial Applications: Progress, Prospects and Challenges.

Understanding and Mitigating Risks of Generative AI in Financial Services A Survey of Large Language Models for Financial Applications: Progress, Prospects and Challenges

Reference 52

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.508186Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 4bd609f0-4210-4cda-ae11-23fcd2af9fd1 · outbound

This paper cites Stocktaking for the development of an ai incident deﬁni- tion.

Understanding and Mitigating Risks of Generative AI in Financial Services Stocktaking for the development of an ai incident deﬁni- tion

Reference 53

Resolution: malformed identifier; doi_truncated, observed 2026-08-16T10:19:10.792552Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 7274bb31-1592-4b6d-a7b1-a24fa5314456 · outbound

This paper cites Deﬁning ai incidents and related terms.

Understanding and Mitigating Risks of Generative AI in Financial Services Deﬁning ai incidents and related terms

Reference 54

Resolution: malformed identifier; raw_fallback, observed 2026-08-16T10:19:11.713100Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 7a069109-377d-4571-b0b7-c8cbb97755d5 · outbound

This paper cites Gemma: Open Models Based on Gemini Research and Technology.

Understanding and Mitigating Risks of Generative AI in Financial Services Gemma: Open Models Based on Gemini Research and Technology

Reference 55

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.500497Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 99db4ed1-55f3-43b7-939e-323149029f75 · outbound

This paper cites an unresolved cited work.

Understanding and Mitigating Risks of Generative AI in Financial Services Unresolved cited work

Reference 56

Resolution: unresolved; raw_fallback, observed 2026-08-16T10:19:11.687848Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 11fc6745-416f-4523-877e-cf715b0cf26f · outbound

This paper cites Gaps in the safety evaluation of gener- ative ai.

Understanding and Mitigating Risks of Generative AI in Financial Services Gaps in the safety evaluation of gener- ative ai

Reference 57

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.675724Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 5bbaf776-5e51-4957-b716-0c0a0b14838d · outbound

This paper cites Responsible innovation.

Understanding and Mitigating Risks of Generative AI in Financial Services Responsible innovation

Reference 58

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.660981Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 0f75e28c-cb4a-45ba-a4df-a034ca9f5db1 · outbound

This paper cites Ai in the ﬁnancial sector: The line between innov ation, regulation and ethical responsibility.

Understanding and Mitigating Risks of Generative AI in Financial Services Ai in the ﬁnancial sector: The line between innov ation, regulation and ethical responsibility

Reference 59

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.648678Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 0d49ef5e-959e-4d1d-9825-87e813e6e5bf · outbound

This paper cites Artiﬁ cial intelligence risk management framework (ai rmf 1.0), 2023.

Understanding and Mitigating Risks of Generative AI in Financial Services Artiﬁ cial intelligence risk management framework (ai rmf 1.0), 2023

Reference 60

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.700431Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 55c7ac80-3d33-436a-ad8c-a1fe9cf8932f · outbound

This paper cites Beware the gap: governance arrangements in the face of ai innovation.

Understanding and Mitigating Risks of Generative AI in Financial Services Beware the gap: governance arrangements in the face of ai innovation

Reference 61

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.635894Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation ce5a98f4-79e1-4e51-9a5c-993bb07e2d42 · outbound

This paper cites Securities and Exchange Commission.

Understanding and Mitigating Risks of Generative AI in Financial Services Securities and Exchange Commission

Reference 62

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.622841Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation bd43b729-f8b5-408f-864b-d6db08f9d188 · outbound

This paper cites Securities and Exchange Commission.

Understanding and Mitigating Risks of Generative AI in Financial Services Securities and Exchange Commission

Reference 63

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.609498Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 1112810e-193a-47fa-91ae-739443af87b9 · outbound

This paper cites Securities and Exchange Commission (SEC).

Understanding and Mitigating Risks of Generative AI in Financial Services Securities and Exchange Commission (SEC)

Reference 64

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.595553Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation d1b9ea16-1886-4b4c-925c-989fd95649e0 · outbound

This paper cites Rainbow Teaming: Open-Ended Generation of Diverse Adversarial Prompts.

Understanding and Mitigating Risks of Generative AI in Financial Services Rainbow Teaming: Open-Ended Generation of Diverse Adversarial Prompts

Reference 65

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.542203Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 6ba09310-e18b-47df-ac00-c405cdfaa9fa · outbound

This paper cites Securities and Exchange Commission (SEC).

Understanding and Mitigating Risks of Generative AI in Financial Services Securities and Exchange Commission (SEC)

Reference 66

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.566421Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 499155ef-3b87-41d4-a90e-115d88c195cb · outbound

This paper cites Selbst, Danah Boyd, Sorelle A.

Understanding and Mitigating Risks of Generative AI in Financial Services Selbst, Danah Boyd, Sorelle A

Reference 67

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.552996Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation f9dcce1d-4b61-42e1-ba64-600ba1302714 · outbound

This paper cites Sociotechnical harms of algo- rithmic systems: Scoping a taxonomy for harm reduction.

Understanding and Mitigating Risks of Generative AI in Financial Services Sociotechnical harms of algo- rithmic systems: Scoping a taxonomy for harm reduction

Reference 68

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.572444Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 0d03b0e5-4e34-441b-bdf5-c4ad5266bfe0 · outbound

This paper cites Model evaluation for extreme risks.

Understanding and Mitigating Risks of Generative AI in Financial Services Model evaluation for extreme risks

Reference 69

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.576400Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 8370cd58-2ccd-4a53-bc5b-53d35dc614f0 · outbound

This paper cites Securities and Exchange Commission (SEC).

Understanding and Mitigating Risks of Generative AI in Financial Services Securities and Exchange Commission (SEC)

Reference 70

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.581613Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 6bf0c4a8-f809-4124-91f8-699d66f46a3b · outbound

This paper cites Evaluating the Social Impact of Generative AI Systems in Systems and Society.

Understanding and Mitigating Risks of Generative AI in Financial Services Evaluating the Social Impact of Generative AI Systems in Systems and Society

Reference 71

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.583863Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 834a31f6-29c8-445f-aa1b-28af465fa0ec · outbound

This paper cites Regulation of investment advisers by the sec, Mar ch 2013.

Understanding and Mitigating Risks of Generative AI in Financial Services Regulation of investment advisers by the sec, Mar ch 2013

Reference 72

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.527879Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation d6a4ea32-cca8-49d2-a590-7250fade631c · outbound

This paper cites Devel oping a framework for responsible in- novation*.

Understanding and Mitigating Risks of Generative AI in Financial Services Devel oping a framework for responsible in- novation*

Reference 73

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.514962Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 3fc47fe3-3657-430c-a33b-4b78160bd160 · outbound

This paper cites Ai ethics and systemic risks in ﬁna nce.

Understanding and Mitigating Risks of Generative AI in Financial Services Ai ethics and systemic risks in ﬁna nce

Reference 74

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.502320Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation ceb391e0-28db-4df3-bd66-6bdc0b2c1687 · outbound

This paper cites Process for adapt ing language models to society (P ALMS) with values-targeted datasets.

Understanding and Mitigating Risks of Generative AI in Financial Services Process for adapt ing language models to society (P ALMS) with values-targeted datasets

Reference 75

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.540435Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 377e81d5-726b-40a0-b13b-322061901284 · outbound

This paper cites LLaMA: Open and Efficient Foundation Language Models.

Understanding and Mitigating Risks of Generative AI in Financial Services LLaMA: Open and Efficient Foundation Language Models

Reference 76

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.603467Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation f004c797-e8f7-4247-b256-2476ac4ebe93 · outbound

This paper cites Llama 2: Open Foundation and Fine-Tuned Chat Models.

Understanding and Mitigating Risks of Generative AI in Financial Services Llama 2: Open Foundation and Fine-Tuned Chat Models

Reference 77

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.608070Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 395d68ba-d97a-4a09-9a56-ab36e24ab42c · outbound

This paper cites Securities and Exchange Commission.

Understanding and Mitigating Risks of Generative AI in Financial Services Securities and Exchange Commission

Reference 78

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.474519Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation d6b124bd-1734-4c01-88b5-ea7c6c64c62d · outbound

This paper cites Securities and Exchange Commission.

Understanding and Mitigating Risks of Generative AI in Financial Services Securities and Exchange Commission

Reference 79

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.458143Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation a1fef46a-4912-478a-aef8-ab6a6c1178f7 · outbound

This paper cites Lessons from red teaming 100 gene rative ai products, 2025.

Understanding and Mitigating Risks of Generative AI in Financial Services Lessons from red teaming 100 gene rative ai products, 2025

Reference 80

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.489083Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation c470a45f-e928-4103-8c60-553e68bbdb5d · outbound

This paper cites Securities and Exchange Commission.

Understanding and Mitigating Risks of Generative AI in Financial Services Securities and Exchange Commission

Reference 81

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.428643Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 70bfffde-4e31-42ea-9913-77471e91cb67 · outbound

This paper cites Securities and Exchange Commission.

Understanding and Mitigating Risks of Generative AI in Financial Services Securities and Exchange Commission

Reference 82

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.414294Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 52583306-c714-4c04-bf0b-d616fcac4dc4 · outbound

This paper cites Securities and Exchange Commission (SEC).

Understanding and Mitigating Risks of Generative AI in Financial Services Securities and Exchange Commission (SEC)

Reference 83

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.400272Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 50562b47-a8c5-4f58-9739-85071edce185 · outbound

This paper cites Securities and Exchange Commission (SEC).

Understanding and Mitigating Risks of Generative AI in Financial Services Securities and Exchange Commission (SEC)

Reference 84

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.385549Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation f041aee4-98ef-40eb-938f-de4ec7e363df · outbound

This paper cites Securities and Exchange Commission.

Understanding and Mitigating Risks of Generative AI in Financial Services Securities and Exchange Commission

Reference 85

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.443269Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 27dd3b15-2888-42d0-b754-767239397de3 · outbound

This paper cites Operationalizing a threat model for red-teaming large language models (llms).

Understanding and Mitigating Risks of Generative AI in Financial Services Operationalizing a threat model for red-teaming large language models (llms)

Reference 86

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.645698Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 5d9c669d-88a2-4ab6-b040-5600fbb75b70 · outbound

This paper cites Introducing v0.5 of the AI Safety Benchmark from MLCommons.

Understanding and Mitigating Risks of Generative AI in Financial Services Introducing v0.5 of the AI Safety Benchmark from MLCommons

Reference 87

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.649842Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 83fc220b-85a1-4ad9-8152-0f4465d576dc · outbound

This paper cites Risk society revisited: Theory, polit ics and research programmes.

Understanding and Mitigating Risks of Generative AI in Financial Services Risk society revisited: Theory, polit ics and research programmes

Reference 88

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.356092Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 2eea336d-983b-4997-8054-6a9a1dc73809 · outbound

This paper cites STAND-Guard: A Small Task-Adaptive Content Moderation Model.

Understanding and Mitigating Risks of Generative AI in Financial Services STAND-Guard: A Small Task-Adaptive Content Moderation Model

Reference 89

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.658430Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 71b3d5ad-846f-4cd2-a43c-37fd67b7e154 · outbound

This paper cites Securities and Exchange Commission (SEC).

Understanding and Mitigating Risks of Generative AI in Financial Services Securities and Exchange Commission (SEC)

Reference 90

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.370079Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 9dc04d45-3be3-4b78-bee4-635815c5f0dc · outbound

This paper cites Ethical and social risks of harm from Language Models.

Understanding and Mitigating Risks of Generative AI in Financial Services Ethical and social risks of harm from Language Models

Reference 91

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.665497Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation a7bb3a5f-3a33-4c36-9547-c69d2d051342 · outbound

This paper cites Sociotechnical Safety Evaluation of Generative AI Systems.

Understanding and Mitigating Risks of Generative AI in Financial Services Sociotechnical Safety Evaluation of Generative AI Systems

Reference 92

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.669245Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation ab0e0de5-8bef-43d9-bb60-5faa37dcba8b · outbound

This paper cites BloombergGPT: A Large Language Model for Finance.

Understanding and Mitigating Risks of Generative AI in Financial Services BloombergGPT: A Large Language Model for Finance

Reference 93

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.673689Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 2e2a745a-d8c1-4479-8d57-b67787a2d89b · outbound

This paper cites F inGPT: Open-source ﬁnancial large language mod- els.

Understanding and Mitigating Risks of Generative AI in Financial Services F inGPT: Open-source ﬁnancial large language mod- els

Reference 94

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.677580Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 9a405297-5f17-4889-a863-d7f9340c9cd6 · outbound

This paper cites Do-not-answer: Evaluating safe- guards in LLMs.

Understanding and Mitigating Risks of Generative AI in Financial Services Do-not-answer: Evaluating safe- guards in LLMs

Reference 95

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.342951Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation f9e1ef7f-6fac-4dee-bf8e-581bcfb2a707 · outbound

This paper cites ShieldGemma: Generative AI Content Moderation Based on Gemma.

Understanding and Mitigating Risks of Generative AI in Financial Services ShieldGemma: Generative AI Content Moderation Based on Gemma

Reference 96

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.684777Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation 71f52e37-6b29-4ead-a093-6c32908639dc · outbound

This paper cites RigorLLM: Resilient guardrails for large language models against undesired con tent.

Understanding and Mitigating Risks of Generative AI in Financial Services RigorLLM: Resilient guardrails for large language models against undesired con tent

Reference 100

Resolution: verified fuzzy; raw_fallback, observed 2026-08-16T10:19:11.329627Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 2cf149c9-f332-4449-954f-a8b131cf93af · outbound

This paper cites an unresolved cited work.

Understanding and Mitigating Risks of Generative AI in Financial Services Unresolved cited work

Reference 2018

Resolution: unresolved; raw_fallback, observed 2026-08-16T10:19:11.879147Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 22c9e370-c8ba-4f7a-ae2c-6e1281782cae · outbound

This paper cites Anticipating Safety Issues in E2E Conversational AI: Framework and Tooling.

Understanding and Mitigating Risks of Generative AI in Financial Services Anticipating Safety Issues in E2E Conversational AI: Framework and Tooling

Reference 2021

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.333705Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Observation e92432e0-daf7-48e9-9586-b5becd6323bd · outbound

This paper cites an unresolved cited work.

Understanding and Mitigating Risks of Generative AI in Financial Services Unresolved cited work

Reference 2024

Resolution: unresolved; raw_fallback, observed 2026-08-16T10:19:11.726111Z

Source-reported events for the cited work

No event found in the named queried sources as of 2026-08-19T06:32:44.657259+00:00.

Observation 898c7fb0-d64d-40d3-abda-f2ef32b13839 · outbound

This paper cites Regulations for communications with the public, covering content standard s for broker-dealers.

Understanding and Mitigating Risks of Generative AI in Financial Services Regulations for communications with the public, covering content standard s for broker-dealers

Reference 2025

Resolution: unresolved; no resolver link, observed 2026-08-16T10:19:10.388276Z

Source-reported events for the cited work

Unavailable: canonical work link unavailable.

Coverage vector

Reference resolution

Outbound references

Pith citing papers