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Auditability

As explained in Financial AI in Practice

Auditability is the property of a system or process that allows its data, decisions, actions, and controls to be examined and verified.

Auditability makes an AI-generated financial signal traceable: the system retains the source text and reasoning so people can ask why the model reached its conclusion. section 11.1.3

For financial LLM analysis, make outputs inspectable by:

  • Preserving the source material behind each signal. section 11.1.3
  • Requiring a reasoning field and normalized JSON output, then validating the response. section 11.4.2

Uranium-sector news signals

A signal for the URA ETF can draw on policy and supply news. Keeping the underlying articles and the model’s reasoning makes the assessment traceable. section 11.1.3

Listing 11.11 Building the two-step context and structured prompt
# Step 1: Build trend context from 30-day headlines
trend_headlines = []
for i in range(min(30, len(results_trend['ids'][0]))):
    meta = results_trend['metadatas'][0][i]
    trend_headlines.append(f"- {meta['published_dt'][:10]}: {meta['title']}")

trend_context = "\n".join(trend_headlines)

# Step 2: Build detailed context from 3-day content-rich articles
detail_docs = []
for i in range(len(results_recent['ids'][0])):
    meta = results_recent['metadatas'][0][i]
    doc = results_recent['documents'][0][i]
    detail_docs.append(f"[{meta['published_dt'][:10]} | {meta['source']}]\n{doc}\n")

detail_context = "\n".join(detail_docs)

# Structured prompt with both contexts
prompt = f"""You are a quantitative analyst analyzing uranium sector news. 
Based ONLY on the context below, provide a structured assessment.

TREND CONTEXT (30-day headlines for momentum):
{trend_context}
DETAILED ANALYSIS (last 3 days with full content):
{detail_context}

First, review the 30-day headlines to understand the dominant narrative trends.
Then, analyze the detailed recent articles to extract specific signals.

OUTPUT (JSON only):
{{
  "sentiment_score": <-100 to +100, overall market sentiment>,
  "supply_risk": <0 to 10, likelihood of supply disruption>,
  "policy_tone": <-10 to +10, regulatory environment>,
  "conviction": <0 to 10, signal strength>,
  "key_events": ["event1", "event2"],
  "reasoning": "brief explanation"
}}
"""

# Call LLM
response = client.chat.completions.create(
    model="gpt-5-mini",  
    messages=[{"role": "user", "content": prompt}]
)

print("="*80)
print("LLM SIGNAL EXTRACTION")
print("="*80)
print(response.choices[0].message.content)

The prompt-building listing shows how 30-day headlines and recent articles are assembled into context for a structured assessment. section 11.4.2

How Financial AI in Practice covers it

How deep it goes
Specifies source retention and a prompt reasoning field, but does not detail a complete audit-control workflow.
Examples
Uses uranium-sector news analysis and a structured prompt with a reasoning field as concrete applications.
What you can do after
Build traceable LLM signals by retaining source text and including model reasoning in structured assessments.
How it connects
Links auditability to data quality, prompt engineering, and structured outputs in financial LLM systems.

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This explainer was generated by Manning's knowledge graph from the text of Financial AI in Practice. The section links point to the parts of the book it draws on.