Features: fine‑tuning notebooks; RAG for financial sentiment; FinNLP data pipelines; task demos like Forecaster; evaluation/benchmark repos; API/demo spaces). Typical deployments: research copilots, analyst assistants, retail/wealth advisory prototypes, and finance NLP workflows.
Buckets:
Top issues (fix first):
Fast wins (7–14 days): publish a consolidated model card, add evals summary, ship transparency copy + placement spec, add acceptable‑use policy (ban prohibited uses), and include logging/oversight basics for sample apps.
File: 10-register/system-register.csv
system_name,purpose,paths,role,eu_use,risk_guess,annexIII_trigger,art50_trigger,prohibited_flag,unknowns
FinGPT Core Models,release financial LLM checkpoints and adapters,"repo/fingpt/core/*; repo/README.md#L1–L120",Provider (GPAI),Yes,Minimal→GPAI,None,No,No,"UNCONFIRMED: Do releases include full model cards and training-data provenance summaries?"
FinGPT Training & LoRA,training/fine‑tuning notebooks and pipelines,"repo/FinGPT_Training_*; repo/requirements.txt#L1–L120",Provider (tools),Yes,Minimal,None,No,No,"UNCONFIRMED: Are any private datasets or licenses bundled?"
FinGPT‑RAG (Sentiment),RAG pipeline for financial sentiment tasks,"repo/fingpt/rag/*; repo/FinGPT-Benchmark/*",Provider/Deployer,Yes,Limited,None,Possibly,No,"UNCONFIRMED: Is this surfaced to end users (UI) or internal only?"
FinNLP Data Pipelines,finance data curation/ETL for NLP tasks,"repo/FinGPT-FinNLP/*",Provider (tools),Yes,Minimal,None,No,No,"UNCONFIRMED: Are data licenses/source attributions included in docs?"
FinGPT Forecaster Demo,prediction/analysis assistant (HF Space/API demo),"repo/fingpt/forecaster/*; repo/demo/*",Provider/Deployer,Yes,Limited,None,Yes,No,"UNCONFIRMED: Are outputs labeled AI‑generated and is a ‘not financial advice’ disclaimer shown inline?"
Sample Apps & Plugins,reference chat/report apps & connectors,"repo/apps/*; repo/plugins/*",Provider/Deployer,Yes,Limited,None,Yes,No,"UNCONFIRMED: Do actions get user approval before sending external comms?"
Downstream Credit/Scoring (example),illustrative integration for credit/limits/insurance,"repo/examples/credit_scoring/*",Deployer,Yes,High,Essential private services,Possibly,No,"UNCONFIRMED: Is this example shipped or only a doc?"
Heatmap (10-register/risk-heatmap.md
)
| System | Risk |
|------------------------------|-------------------|
| FinGPT Core Models | Minimal → GPAI |
| FinGPT Training & LoRA | Minimal |
| FinGPT‑RAG (Sentiment) | Limited |
| FinNLP Data Pipelines | Minimal |
| FinGPT Forecaster Demo | Limited |
| Sample Apps & Plugins | Limited |
| Downstream Credit/Scoring | High (Annex III) |