UHC ETHICS AND COMPLIANCE SECTION FOR CERTIFICATION 10/03/2026
UHC ethics and compliance section for
certification questions and answers (Latest
) 100% correct answers
What is a servicing agent?
An inactive, nonemployee who has signed a servicing agreement in order to receive renewal
commisions on medicare advantage and prescription drug plan enrollments on or after 1-1-2014. The
agent must maintain an active resident license and appointment and pass medicare basics and ethics
compliance assessments on an annual basis
What does CMS stand for?
Center for medicare and medicaid services
Who administers the medicare program and contracts with private health care companies to offer
medicaid plans?
CMS
Who holds the authority to approve or disaprove plans that can be sold, and is the regulating agency
that also monitors our progresses?
CMS
10/3/2026
Who regulates MA's and PDP's
CMS
1
, UHC ETHICS AND COMPLIANCE SECTION FOR CERTIFICATION 10/03/2026
Enrolling a customer in a plan when you are not certified in the product is non-compliant and
considered____?
An unqualified sale
Agents who are not qualified to sell the product will not be?
Compensated and may receive corrective and or disciplinary action up to an including termination
What is the purpose of an educational event?
Its designed to inform medicare consumers about original medicare, medicare advantage, prescription
drug and other medicare programs.
Where must educational events be conducted?
In a public venue
Are the educational events unbiased so that it doesn't steer the consumer towards a specific plan or
limited number of plans?
Yes
What is a marketing/sales event?
An event designed to steer or attempt to steer, consumers toward a plan or limited set of plans.
Agents may discuss plan specific information and collect applications.
10/3/2026
2
, UHC ETHICS AND COMPLIANCE SECTION FOR CERTIFICATION 10/03/2026
Can marketing/sales be formal or informal?
Both
What describes a formal marketing/sales event?
A full plan presentation, given in a presenter-audience format.
What is an inform marketing/sales event?
They're passive in nature where the consumer approaches the agent to engage in conversation. A
booth, table, or kiosk is typically used
What are marketing appointments?
They're commonly referred to as "in home, face to face, or one on one appointment" and typically
take place in the consumers home.
What other places can marketing appointments happen?
Coffee shop, or even over the phone
Because marketing appointments are not formal and informal marketing sales events, they're not
reported to who?
UHC or CMS. Instead, agents must obtain a completed scope of appointment prior to conducting the
appointment.
10/3/2026
To report events, what should agents use?
An event request form
3
UHC ethics and compliance section for
certification questions and answers (Latest
) 100% correct answers
What is a servicing agent?
An inactive, nonemployee who has signed a servicing agreement in order to receive renewal
commisions on medicare advantage and prescription drug plan enrollments on or after 1-1-2014. The
agent must maintain an active resident license and appointment and pass medicare basics and ethics
compliance assessments on an annual basis
What does CMS stand for?
Center for medicare and medicaid services
Who administers the medicare program and contracts with private health care companies to offer
medicaid plans?
CMS
Who holds the authority to approve or disaprove plans that can be sold, and is the regulating agency
that also monitors our progresses?
CMS
10/3/2026
Who regulates MA's and PDP's
CMS
1
, UHC ETHICS AND COMPLIANCE SECTION FOR CERTIFICATION 10/03/2026
Enrolling a customer in a plan when you are not certified in the product is non-compliant and
considered____?
An unqualified sale
Agents who are not qualified to sell the product will not be?
Compensated and may receive corrective and or disciplinary action up to an including termination
What is the purpose of an educational event?
Its designed to inform medicare consumers about original medicare, medicare advantage, prescription
drug and other medicare programs.
Where must educational events be conducted?
In a public venue
Are the educational events unbiased so that it doesn't steer the consumer towards a specific plan or
limited number of plans?
Yes
What is a marketing/sales event?
An event designed to steer or attempt to steer, consumers toward a plan or limited set of plans.
Agents may discuss plan specific information and collect applications.
10/3/2026
2
, UHC ETHICS AND COMPLIANCE SECTION FOR CERTIFICATION 10/03/2026
Can marketing/sales be formal or informal?
Both
What describes a formal marketing/sales event?
A full plan presentation, given in a presenter-audience format.
What is an inform marketing/sales event?
They're passive in nature where the consumer approaches the agent to engage in conversation. A
booth, table, or kiosk is typically used
What are marketing appointments?
They're commonly referred to as "in home, face to face, or one on one appointment" and typically
take place in the consumers home.
What other places can marketing appointments happen?
Coffee shop, or even over the phone
Because marketing appointments are not formal and informal marketing sales events, they're not
reported to who?
UHC or CMS. Instead, agents must obtain a completed scope of appointment prior to conducting the
appointment.
10/3/2026
To report events, what should agents use?
An event request form
3
