A financial services company wants to use generative AI to generate personalized investment advice. They must ensure responses comply with regulatory requirements (e.g., no guarantees of returns). Which Vertex AI safety feature should they primarily use?
Safety filters can block defined categories or custom phrases.
Why this answer
Option C is correct because safety filters with a custom blocklist allow the company to define specific prohibited phrases (e.g., 'guaranteed return') that the model must avoid generating. This provides a deterministic, rule-based enforcement layer that directly addresses regulatory compliance by blocking disallowed content at inference time, without relying on the model's probabilistic behavior.
Exam trap
The trap here is that candidates often confuse grounding (factual retrieval) with compliance enforcement, or assume prompt engineering is sufficient for regulatory guardrails, when in fact only a deterministic blocklist can reliably prevent specific prohibited phrases from appearing in generated outputs.
How to eliminate wrong answers
Option A is wrong because Vertex AI Grounding connects the model to external data sources for factuality, but it does not enforce compliance rules—it retrieves information but does not block specific prohibited phrases. Option B is wrong because prompt engineering is a soft, non-deterministic approach; the model may still generate guarantees despite instructions, especially with adversarial or edge-case inputs. Option D is wrong because RLHF aligns the model based on human preferences over time, but it is not a real-time safety filter and cannot guarantee that specific regulatory phrases are never generated in production.