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基于大模型技术的证券公司全链路风控合规探索与应用
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深交所科技赋能紧盯异常交易
Shen Zhen Shang Bao· 2025-12-02 02:08
Core Insights - The Shenzhen Stock Exchange (SZSE) hosted the 2025 Greater Bay Area Exchange Technology Conference, focusing on the theme "Towards the Era of Artificial Intelligence" [1] - Eight technological achievements were announced, with two from SZSE and six from various securities and fund companies [1] Group 1: Technological Achievements - SZSE's key achievement is the "Intelligent Monitoring and Detection Technology for Abnormal Trading Behavior," which aims to enhance market regulation through intelligent and precise methods [1][2] - This technology utilizes artificial intelligence to analyze investor trading behaviors, improving the detection of insider trading by identifying similarities and hidden correlations between accounts [2] - The integration of AI and big data has led to the development of a new regulatory model characterized by "intelligent monitoring, precise identification, scientific assessment, and proactive prevention" [2] Group 2: Industry Collaboration and Applications - SZSE collaborated with Huawei to create the first industry-specific large model, addressing challenges in regulatory Q&A regarding timeliness, accuracy, and completeness [2] - Other technological achievements presented by firms such as CITIC Securities and China International Capital Corporation include applications of big model technology for risk control and compliance [2] - The year 2025 is referred to as the "Year of AI Agents," indicating a significant shift in the financial industry towards embracing AI technologies and overcoming challenges such as data governance and computational power limitations [3]
大湾区交易所科技大会召开
Jin Rong Shi Bao· 2025-12-02 02:01
Core Viewpoint - The 2025 Greater Bay Area Exchange Technology Conference emphasizes the transition to an "AI agent era," highlighting the evolution of artificial intelligence from passive response to proactive execution in various industries, particularly in finance [1] Group 1: Industry Trends - The financial industry is accelerating the adoption of artificial intelligence, driven by technological, industrial, policy, and business demand [1] - Challenges such as data governance, AI hallucination, computational power limitations, and insufficient domain knowledge are being addressed as the industry moves towards digital transformation [1] Group 2: Technological Achievements - Eight technological achievements were announced at the conference, showcasing significant advancements in AI applications within the capital markets [2] - Notable projects include the Shenzhen Stock Exchange's "Intelligent Monitoring of Abnormal Trading Behavior" and CITIC Securities' "Full-Chain Risk Control and Compliance Exploration" based on large model technology [2] - The overall impact of AI in capital markets is evident in cost reduction, efficiency enhancement, value creation, compliance risk control, and market governance [2]
八大成果亮相大湾区交易所科技大会 “AI+资本市场”大有可为
Core Insights - The annual Greater Bay Area Exchange Technology Conference opened in Shenzhen, focusing on the theme "Towards the Era of Artificial Intelligence+" and showcasing eight technological achievements [1] Group 1: AI Applications in Capital Markets - The application of artificial intelligence in capital markets is expanding, with 2025 being referred to as the "Year of AI Agents" as AI technology evolves from traditional perception and generation to proactive execution [2] - Shenzhen Stock Exchange (SZSE) has integrated intelligent technology across all business processes, including listing review and risk management, and has developed a comprehensive smart regulatory platform for listed companies [2][5] - Hong Kong Stock Exchange (HKEX) has implemented AI in daily operations, significantly improving efficiency in document processing and compliance monitoring [2] Group 2: Technological Achievements - Eight technological achievements were announced at the conference, with two from SZSE and six from various securities and fund companies [4] - A key project led by SZSE, focusing on intelligent monitoring of abnormal trading behaviors, has been successfully demonstrated in collaboration with 15 industry institutions [4] - Notable contributions from other firms include comprehensive risk compliance applications and AI-driven platforms for financial services [4] Group 3: SZSE's AI Development Roadmap - SZSE's roadmap for the "14th Five-Year Plan" emphasizes risk prevention, regulatory strength, and high-quality development through AI integration across six key areas [5][6] - The plan includes building intelligent infrastructure, enhancing user experience through cloud applications, and improving internal operational efficiency with AI technologies [6] - The roadmap also focuses on strengthening governance in AI applications to ensure high-quality development in the industry [6]
2025年大湾区交易所科技大会昨日召开,与会嘉宾表示 把AI全面应用于资本市场建设
Zheng Quan Shi Bao· 2025-11-28 18:12
Core Insights - The conference on "Towards the Era of Artificial Intelligence+" was held by Shenzhen Stock Exchange, Hong Kong Stock Exchange, and Guangxi Futures Exchange, highlighting the rapid integration of AI technology in the financial sector [1][2] - Hong Kong Stock Exchange is actively exploring the use of AI to enhance financial regulatory digital transformation, aiming to improve efficiency in issuance review and market anomaly monitoring [1][3] - The Shenzhen Stock Exchange aims to build an internationally leading digital system during the 14th Five-Year Plan, focusing on digital infrastructure, platforms, capabilities, and ecosystems [2] Group 1 - The conference emphasized the significant breakthroughs in AI technology this year, which are transforming financial services and pushing the market into the "AI+" era [1] - The 2025 timeline is referred to as the "Year of AI Intelligence," with the financial industry accelerating its embrace of AI to overcome challenges such as data governance and computational power limitations [2] - The integration of AI in financial markets is seen as a critical path for responding to national strategies and developing new productive forces [3] Group 2 - The development of AI in capital markets requires a comprehensive push from exchanges and regulatory bodies, including the establishment of regulatory sandboxes for innovative applications [4] - Eight technological achievements were announced at the conference, showcasing the potential of AI in enhancing efficiency, compliance, and market governance within the capital market [4] - The focus on AI infrastructure investment is crucial, particularly in platform governance and talent development in the field of AI [4]
深交所挤满了人工智能“工程师” 共论AI赋能资本市场
Zheng Quan Shi Bao· 2025-11-28 16:41
Core Viewpoint - The conference held by the Shenzhen Stock Exchange, Hong Kong Stock Exchange, and Guangxi Futures Exchange focuses on the theme of "Entering the Era of Artificial Intelligence+" and highlights the accelerating integration of AI technology in the financial sector [1][3]. Group 1: Event Overview - The conference took place on November 28-29, 2023, and was attended by key figures from various financial institutions and technology companies, emphasizing the collaborative efforts in the Greater Bay Area [1][2]. - The event marks a significant moment for the three major exchanges in the Greater Bay Area to deepen their cooperation on AI applications in capital markets [3]. Group 2: AI in Financial Services - Hong Kong Stock Exchange CEO, Charles Li, noted that AI technology is transforming global financial services, enhancing efficiency and regulatory capabilities [3]. - The Shenzhen Stock Exchange aims to build an internationally leading digital system by focusing on digital infrastructure and capabilities during the 14th Five-Year Plan [4]. Group 3: Technological Achievements - Eight technological achievements were announced at the conference, including the Shenzhen Stock Exchange's intelligent monitoring technology for abnormal trading behaviors and various AI applications from other financial institutions [5][6]. - The intelligent monitoring project led by the Shenzhen Stock Exchange has significantly improved the regulatory capabilities and digital application levels in the industry [4][6]. Group 4: Future Directions - The conference participants discussed the potential of AI in the financial sector, emphasizing the need for overcoming challenges such as data governance and computational power limitations [9][10]. - Experts highlighted the importance of integrating AI into capital market construction and suggested developing regulatory sandboxes to encourage innovative applications of AI in compliance scenarios [10].
深交所挤满了人工智能“工程师” 共论AI赋能资本市场
证券时报· 2025-11-28 12:24
Core Viewpoint - The conference held by the Shenzhen Stock Exchange, Hong Kong Stock Exchange, and Guangxi Futures Exchange focuses on the theme of "Entering the Era of Artificial Intelligence+" and highlights the accelerating integration of AI technology in the financial sector [2][4]. Group 1: Conference Overview - The conference took place on November 28-29, 2023, and was attended by key figures from various financial institutions and technology companies, emphasizing the importance of AI in capital markets [1][2]. - The event marked a significant collaboration among the three major exchanges in the Greater Bay Area, showcasing their commitment to leveraging AI for enhancing financial services [4][5]. Group 2: AI Applications in Financial Markets - The Hong Kong Stock Exchange has been exploring AI to improve regulatory efficiency and market monitoring, aiming to enhance its international competitiveness [4][5]. - The Shenzhen Stock Exchange has made substantial progress in digital transformation, focusing on building a "smart" exchange through various digital initiatives [5][6]. Group 3: Technological Achievements - Eight technological achievements were announced during the conference, including the "Intelligent Monitoring Technology for Abnormal Trading Behavior" led by the Shenzhen Stock Exchange [6][7]. - The conference highlighted the successful application of AI in areas such as compliance, risk management, and market governance, indicating a positive trend in the financial sector [9][10]. Group 4: Future Outlook - The year 2025 is anticipated to be a pivotal moment for AI in finance, with expectations for AI to evolve from a tool to a core element reshaping industry paradigms [11][12]. - Experts emphasized the need for regulatory frameworks and infrastructure investments to support the integration of AI in capital markets, advocating for a balanced approach to innovation and compliance [12].
聚焦AI+资本市场 这场科技大会不简单
Core Insights - The 2025 Greater Bay Area Exchange Technology Conference focuses on the theme "Towards the Era of Artificial Intelligence+" [1][2] - The conference highlights the transition of artificial intelligence from traditional perception and generation to intelligent agents, emphasizing proactive execution and deep integration into workflows [2] Group 1: Conference Overview - The conference was attended by key figures including Shenzhen's Vice Mayor and executives from various exchanges, aiming to foster consensus on AI applications in capital markets [1] - The event showcased eight technological achievements related to AI applications in the financial sector, indicating significant progress in cost reduction, efficiency enhancement, value creation, compliance risk control, and market governance [2] Group 2: Future Directions - The conference emphasized the need to align AI capabilities with the governance requirements of capital markets, advocating for systematic planning of AI empowerment strategies [3] - There is a call for strengthening AI security capabilities to better support market development, regulatory enforcement, and internal management, contributing positively to the construction of a strong financial nation [3]
Al改变证券行业!大湾区交易所科技大会今日在深圳举行,本次大会发布8项行业科技成果
Xin Lang Zheng Quan· 2025-11-28 08:06
Core Insights - The 2025 Greater Bay Area Exchange Technology Conference will be held on November 28-29, focusing on the theme "Towards the Era of Artificial Intelligence+" [1] - Eight industry technology achievements will be presented, with two from the Shenzhen Stock Exchange and six from industry institutions [1] Group 1: Shenzhen Stock Exchange Achievements - The first achievement is a key national R&D project led by the Shenzhen Stock Exchange, which includes technologies for intelligent monitoring of abnormal trading behaviors, investor trading behavior classification analysis, insider trading detection, and a simulation system for capital market trading [1] - The second achievement is a regulatory model developed in collaboration with Huawei, aimed at improving the timeliness, accuracy, and completeness of regulatory Q&A, enhancing the intelligent application of compliance in the industry [1] Group 2: Industry Institutions Achievements - The third achievement is from CITIC Securities, focusing on a full-chain risk control and compliance exploration platform based on AI large model technology [2] - The fourth achievement is from CICC, introducing the Jiuzhang Intelligent Platform, which opens a new paradigm for institutional intelligent services [2] - The fifth achievement is from Huatai Securities, presenting AI Zhangle, the industry's first AI-native application and intelligent investment partner [2] - The sixth achievement is from CITIC Jianan Securities, featuring the "Gatekeeper" digital comprehensive business platform, marking a significant transition from manual to intelligent control in investment banking [2] - The seventh achievement is from Guojin Securities, showcasing a full-stack innovative environment for federated learning and a multimodal large model platform, initiating a new paradigm for intelligent collaboration in securities [2] - The eighth achievement is from Tianhong Fund, which has developed the FinAgent financial intelligent agent system based on large models, establishing a new paradigm for financial intelligence [2]