CCARF Practice Question

Paper 4 · Question 29

D1 Agentic Architecture & Orchestration · Paper 4

An agent occasionally processes international transfers without required compliance checks. The compliance team requires 100% enforcement of anti-money laundering (AML) checks before any international transfer. What is the correct approach?

• A.Add a PostToolUse hook to flag completed transfers that skipped AML checks
• B.Add detailed AML check instructions to the system prompt with examples of correct behaviour
• C.Implement a PreToolUse hook that blocks transfer execution until AML verification returns a pass result
• D.Train the agent with few-shot examples showing the correct AML verification workflow

Show answer & explanations

Correct answer: C

A: PostToolUse hooks run after execution. By the time the hook fires, the non-compliant transfer has already been processed. Prevention is required, not detection.

B: Prompt instructions provide probabilistic compliance. With international transfers and AML regulations, a single failure could result in legal penalties. 100% enforcement requires deterministic guarantees.

C: A hook intercepts the outgoing tool call before execution and physically blocks it until the compliance check passes. This provides the deterministic guarantee that AML rules require.

D: Few-shot examples improve accuracy but do not guarantee 100% compliance. Regulatory requirements demand deterministic enforcement via hooks.

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