CCEP COMPLIANCE AND ETHICS
PROFESSIONAL KEY CONCEPTS AND
PRACTICE QUESTIONS
◉ Corrective Action Plan.
Answer: First step: Provide education and training on policy
misunderstandings
◉ Compliance Program Development.
Answer: Guidance provided by Federal Sentencing Guidelines
◉ Ethics Program Outcome.
Answer: Best outcome: Mitigating risk
◉ Price-Fixing Training.
Answer: Most important for sales staff
◉ Compliance Program Inclusions.
Answer: Should include document retention, confidentiality policies,
and cultural statement
◉ Risk Assessment Action.
, Answer: First action: Conduct a compliance and ethics risk
assessment
◉ Harassment Reporting.
Answer: Best action: Ask counsel to prepare the written report
◉ Code of Conduct Evaluation.
Answer: First step: Contact HR to resolve inconsistencies
◉ Code of Conduct Revision.
Answer: Next step: Compare content outline with other
organizations
◉ Ethical Standards Demonstration.
Answer: Most convincing: Termination of an executive for
embezzlement
◉ Anti-Bribery Policy.
Answer: Policy to comply with the Foreign Corrupt Practices Act
◉ Subpoena.
Answer: Legal document requiring response or appearance
PROFESSIONAL KEY CONCEPTS AND
PRACTICE QUESTIONS
◉ Corrective Action Plan.
Answer: First step: Provide education and training on policy
misunderstandings
◉ Compliance Program Development.
Answer: Guidance provided by Federal Sentencing Guidelines
◉ Ethics Program Outcome.
Answer: Best outcome: Mitigating risk
◉ Price-Fixing Training.
Answer: Most important for sales staff
◉ Compliance Program Inclusions.
Answer: Should include document retention, confidentiality policies,
and cultural statement
◉ Risk Assessment Action.
, Answer: First action: Conduct a compliance and ethics risk
assessment
◉ Harassment Reporting.
Answer: Best action: Ask counsel to prepare the written report
◉ Code of Conduct Evaluation.
Answer: First step: Contact HR to resolve inconsistencies
◉ Code of Conduct Revision.
Answer: Next step: Compare content outline with other
organizations
◉ Ethical Standards Demonstration.
Answer: Most convincing: Termination of an executive for
embezzlement
◉ Anti-Bribery Policy.
Answer: Policy to comply with the Foreign Corrupt Practices Act
◉ Subpoena.
Answer: Legal document requiring response or appearance