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References

This textbook draws upon the following high-quality resources, selected for their relevance to AI-powered investor relations transformation at the executive level:

Foundational AI & Machine Learning

  1. Attention Is All You Need - 2017-06-12 - arXiv - Vaswani et al.'s seminal paper introducing the Transformer architecture that revolutionized natural language processing and forms the foundation for modern LLMs including GPT and Claude.

  2. Language Models are Few-Shot Learners - 2020-05-28 - arXiv - Brown et al.'s GPT-3 paper demonstrating how scaling language models to 175 billion parameters enables few-shot learning without fine-tuning, fundamentally changing how AI systems approach new tasks.

  3. Deep Learning - 2015-05-27 - Nature - LeCun, Bengio, and Hinton's comprehensive review of deep learning methods that have revolutionized speech recognition, visual object recognition, and many other domains relevant to financial analytics.

  4. FinBERT: A Pretrained Language Model for Financial Communications - 2020-06-15 - arXiv - Yang et al.'s domain-specific BERT model pre-trained on 4.9B tokens of financial text, demonstrating superior performance on financial sentiment classification versus generic models.

Investor Relations Foundations

  1. NIRI Research Publications - 2024 - National Investor Relations Institute - Comprehensive research on IR best practices including the 2024 AI in IR survey, compensation trends, and earnings announcement processes from the leading professional association.

  2. The Ultimate Guide to Investor Relations - 2023 - IR Impact - Comprehensive 42-page guide covering modern IR strategy, stakeholder engagement, and communication best practices for public companies.

Regulatory Frameworks & Compliance

  1. SEC Regulation Fair Disclosure (Reg FD) - 2000-08-15 - U.S. Securities and Exchange Commission - Official SEC rule prohibiting selective disclosure of material nonpublic information, critical for AI-generated communications compliance.

  2. Regulation FD Quick Reference Guide - 2024 - Winston & Strawn - Practical legal guidance on Reg FD compliance including recent enforcement actions and social media disclosure requirements.

Generative AI & Large Language Models

  1. The State of AI in 2025: Agents, Innovation, and Transformation - 2025-03 - McKinsey & Company - Annual survey reporting that 88% of organizations now use AI regularly, with insights on generative AI adoption, agentic systems, and organizational transformation.

  2. A Generative AI Reset: Rewiring to Turn Potential into Value in 2024 - 2024 - McKinsey & Company - Strategic framework for organizations moving from gen AI experimentation to scaled value creation through organizational rewiring.

  3. 2025 Tech Trends for Investment Management - 2025 - Deloitte - Analysis of emerging technologies including agentic AI applications in investment management with 52% of executives highlighting agents as the most interesting gen AI technology.

Sentiment Analysis & NLP in Finance

  1. Text-Based Sentiment Analysis in Finance: Synthesising Existing Literature - 2024 - Intelligent Systems in Accounting, Finance and Management - Todd et al.'s comprehensive review of financial sentiment analysis methods including BERT, FinBERT, and LLM applications.

  2. Interpreting Earnings Calls with Natural Language Processing - 2024 - FactSet - Practical guide to using NLP for analyzing earnings call transcripts, identifying sentiment shifts, and extracting actionable investment insights.

  3. Financial Report Sentiment Analysis Using Loughran-McDonald Dictionary - 2024 - WSEAS Transactions - Recent research integrating traditional financial dictionaries with BERT models for enhanced accuracy in financial sentiment classification.

Agentic AI & Autonomous Systems

  1. Introducing the Model Context Protocol - 2024-11-25 - Anthropic - Official announcement of MCP, the open standard for connecting AI assistants to data sources, enabling secure agentic systems in enterprise environments.

  2. Autonomous Agents & Agent Simulations - 2024 - LangChain - Overview of production-ready agentic AI frameworks including LangChain, LangGraph, AutoGPT, and CrewAI with real-world implementation examples.

  3. Top 5 LangGraph Agents in Production 2024 - 2024 - LangChain - Case studies of vertical, narrowly scoped agents deployed by companies like Elastic and AppFolio, demonstrating practical agentic AI applications.

AI Governance, Ethics & Risk Management

  1. NIST AI Risk Management Framework (AI RMF 1.0) - 2023-01-26 - National Institute of Standards and Technology - Voluntary framework for managing AI risks through Govern, Map, Measure, and Manage functions, adopted as foundation for many corporate AI governance programs.

  2. Responsible AI: Our 2024 Report and Ongoing Work - 2024 - Google - Sixth annual progress report detailing Google's AI governance frameworks including Frontier Safety Framework and protocols for managing risks from powerful AI models.

  3. Responsible AI Principles and Approach - 2024 - Microsoft - Framework covering fairness, reliability, safety, privacy, security, inclusiveness, transparency, and accountability with practical implementation guidance from Microsoft's AETHER Committee.

  4. Fairness and Bias in Artificial Intelligence: A Brief Survey - 2023-04 - arXiv - Comprehensive 2023 survey addressing sources of AI bias including data, algorithm, and human decision biases with focus on emerging generative AI fairness challenges.

Data Governance & Management

  1. DAMA-DMBOK: Data Management Body of Knowledge (2024 Revision) - 2024 - DAMA International - Updated framework covering ten essential data management areas including new guidance on AI governance, data ethics, and data asset valuation.

  2. DAMA DMBOK Framework: An Ultimate Guide for 2025 - 2025 - Atlan - Practical implementation guide for DAMA-DMBOK 2.0 framework with focus on data governance, quality, security, and compliance for modern data-driven organizations.

Change Management & Digital Transformation

  1. Leading Change: Why Transformation Efforts Fail - 1995 - Harvard Business Review - John Kotter's seminal article presenting the 8-step change model and explaining why 70% of corporate transformations fail, essential reading for AI transformation leaders.

  2. The Secret Behind Successful Corporate Transformations - 2021-09 - Harvard Business Review - Modern analysis of transformation success factors emphasizing cultural realignment and behavioral shifts critical for AI adoption initiatives.

ESG, Corporate Governance & Stakeholder Engagement

  1. Stand by ESG? The State of 2024 U.S. Sustainability Reports - 2024-09-20 - Harvard Law School Forum on Corporate Governance - Analysis of 2024 sustainability reporting trends showing shift from "ESG" to "Sustainability" terminology and continued investor focus on material environmental and social matters.

  2. 2024 Proxy Season Review: Five Takeaways - 2024-07-30 - Harvard Law School Forum on Corporate Governance - Analysis of record shareholder activism, universal proxy cards, and shifting priorities in governance, environmental, and social proposals.

  3. 2024 U.S. Proxy Season: Proxy Voting, Governance, and ESG Matters - 2023-10-16 - Harvard Law School Forum on Corporate Governance - Comprehensive preview of governance trends, shareholder engagement strategies, and ESG resolution patterns for IR professionals.

Industry Applications & Best Practices

  1. Unlocking Value from Technology and AI for Institutional Investors - 2024 - McKinsey & Company - Analysis demonstrating how institutional investors' effective AI deployment could generate 10x ROI across investment returns, operational efficiency, and risk management.

  2. Amenity Analytics: Earnings Call Sentiment Analysis & Text NLP - 2024 - Amenity Analytics - Case study demonstrating real-world NLP applications for analyzing earnings call transcripts, tracking sentiment, and identifying thematic trends for investor communications.

Additional Resources

For readers seeking to explore specific topics in greater depth, we recommend:

  • Academic Papers: Google Scholar search for "investor relations" + "artificial intelligence"
  • Industry Research: NIRI, McKinsey, Deloitte, and Gartner regularly publish IR and AI research
  • Regulatory Guidance: SEC website (sec.gov) for disclosure requirements and enforcement actions
  • Technical Documentation: Hugging Face (huggingface.co) for open-source AI models including FinBERT
  • Professional Development: NIRI Learning Center and AI21 Labs for AI governance frameworks

References last updated: 2025-03-18

Note: This textbook is designed for executive-level professional development. References emphasize strategic frameworks, governance models, and business applications rather than technical implementation details. For readers interested in hands-on AI development, we recommend supplementing with programming-focused resources.