Certified Compliance and Ethics
Professional (CCEP) Practice Exam
Questions with Complete
Solutions
What is the first thing you should do after you identify the risks in your organization? -
Answer - Prioritize
How often to rotate lead auditor, coordinating partner, and/or reviewing partner off an
audity? - Answer - Every 5 years
What does discipline need to be? - Answer - Case-specific and consistent
What is the first thing to do when you are ready to discipline? - Answer - Respond
appropriately
What is the second step regarding discipline after you have responded? - Answer -
Prevent future occurrences
Which act imposes liability on persons/companies that defraud the government? -
Answer - False Claims Act (FCA)
Which act prohibits employees from paying, offering, or promising to pay officials of
other countries for the purpose of obtaining or maintaining their business? - Answer -
Foreign Corrupt Practices Act (FCPA)
What are the three areas the DOJ looks at when deciding punishment? - Answer -
Public benefit, public harm, and how indictment would impact the org culture
What is the first basic compliance element? - Answer - Establish standards, policies,
and procedures
What is the first and best line of defense in compliance? - Answer - Education
What is the first step of a compliance program development? - Answer - Structure
What is worse than not having a compliance policy? - Answer - Having one and not
following it
Professional (CCEP) Practice Exam
Questions with Complete
Solutions
What is the first thing you should do after you identify the risks in your organization? -
Answer - Prioritize
How often to rotate lead auditor, coordinating partner, and/or reviewing partner off an
audity? - Answer - Every 5 years
What does discipline need to be? - Answer - Case-specific and consistent
What is the first thing to do when you are ready to discipline? - Answer - Respond
appropriately
What is the second step regarding discipline after you have responded? - Answer -
Prevent future occurrences
Which act imposes liability on persons/companies that defraud the government? -
Answer - False Claims Act (FCA)
Which act prohibits employees from paying, offering, or promising to pay officials of
other countries for the purpose of obtaining or maintaining their business? - Answer -
Foreign Corrupt Practices Act (FCPA)
What are the three areas the DOJ looks at when deciding punishment? - Answer -
Public benefit, public harm, and how indictment would impact the org culture
What is the first basic compliance element? - Answer - Establish standards, policies,
and procedures
What is the first and best line of defense in compliance? - Answer - Education
What is the first step of a compliance program development? - Answer - Structure
What is worse than not having a compliance policy? - Answer - Having one and not
following it
