Certified Compliance and Ethics Professional (CCEP) Certification Study Resources QUESTIONS AND DETAILED CORRECT ANSWERS ALREADY PASSED A+.

Certified Compliance and Ethics Professional
(CCEP) Certification Study Resources
QUESTIONS AND DETAILED CORRECT
ANSWERS ALREADY PASSED A+




Which
/of /the /following /BEST /describes /the /purpose /of /training /based /upon /risk /assessment /findings? /




A.) /Reducing /the /organization's /legal /exposure

B.) /Educating /employees /on /laws /and /regulations

C.) /Educating /the /board /on /the /compliance /program

D.) /Reducing /the /organization's /insurance /premiums /- /correct /Answers /✔✔ /-
A. /Reducing /the /organization's /legal /exposure

A
/compliance
/and
/ethics
/professional
/investigates /
a
/report /of /sexual /harassment. /The /incident /does /not /constitute /sexual /harassment, /but /reveals /the
/employee's
/misunderstandings
/of /the /harassment /policy. /Which /of /the /following /should /be /the /FIRST /step /in /a /corrective /action
/plan? /




A.) /Consult /outside /counsel

B.) /Disclose /the /incident /to /the /EEOC

,C.) /Provide /education /and /training /on /the /policy

D.) /Survey /employees' /understanding /of /the /policy /- /correct /Answers /✔✔ /-
C.) /Provide /education /and /training /on /the /policy

Which /of /the /following /provides /guidance /for /the /development /of /a /compliance /program?



A.) /Sarbanes-Oxley /Act

B.) /Federal /Sentencing /Guidelines

C.) /Security /and /Exchange /Commission

D.) /Office /for /Civil /Rights /- /correct /Answers /✔✔ /-B.) /Federal /Sentencing /Guidelines

Which /of /the /following /is /the /BEST /outcome /of /a /compliance /and /ethics /program? /



A.) /Mitigating /risk

B.) /Identifying /risk

C.) /Prioritizing /risk

D.) /Documenting /risk /- /correct /Answers /✔✔ /-A.) /Mitigating /risk

Training /on /price-fixing /is /MOST /important /for /which /of /the /following /staff?



A.) /Management

B.) /Sales

C.) /Marketing

D.) /Accounting /- /correct /Answers /✔✔ /-B.) /Sales

A /compliance /and /ethics /program /should /include: /



1. /An /employee /benefits /handbook

2. /Document /retention /guidelines

3. /Policies /regarding /confidentiality /

,4. /A /statement /about /the /organization's /culture



A.) /1,2, /and /3 /only

B.) /1, /2, /and /4 /only

C.) /1, /3, /and /4 /only

D.) /2, /3, /and /4 /only /- /correct /Answers /✔✔ /-D.) /2, /3, /and /4 /only

A /US-
based /retail /company /has /250 /stores /in /30 /states. /Past /compliance /efforts /have /included /a /silo-
based
/approach
/with
/minimal
/oversight
/and
/the
/CEO /acting /as /the /Compliance /and /Ethics /Officer. /One /person /in /each /state /posted /compliance-
related
/information
/sent
/from
/corporate,
/but
/there
/were
/no
/actual
/educational /sessions. /Policies /and /procedures /were /developed /by /corporate /and /reviewed /5 /years
/ago.
/The
/organization /has /decided /that /a /more /dedicated /approach /is /needed /and /hires /a /Compliance /and
/Ethics /Officer. /Which /of /the /following /actions /should /the /new /Compliance /and /Ethics /Officer /take
/FIRST?




A.) /Conduct /a /compliance /and /ethics /risk /assessment /

B.) /Review /organization-wide /compliance /policies

, C.) /Perform /a /statistically /valid /compliance /audit

D.) /Distribute /a /compliance /training /packet /to /employees /- /correct /Answers /✔✔ /-
A.) /Conduct /a /compliance /and /ethics /risk /assessment

An
/employee
/discloses
/to
/counsel
/and
/the
/compliance
/and
/ethics
/professional
/that /
a
/supervisor
/has
/been
/verbally /abusive. /An /investigation /finds /that /the /same /supervisor /has /also /been /sexually /harassing
/several
/employees
/in
/his
/department.
/The
/compliance
/program
/requires
/that
/findings
/of
/harassment
/be
/documented
/and
/forwarded
/by
/the
/compliance /and /ethics /professional /to /the /CEO /with /a /recommendation /for /appropriate /discipline.