Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam 2024\2025
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
,Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam 2024\2025
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
,Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam 2024\2025
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
, Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam 2024\2025
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. Counsel advises that no
report be written because of possible litigation. The compliance and
ethics professional's BEST course of action is to:
A.) Follow counsel's advice
B.) Submit a written report
Professional (CCEP) Certification Study
Resources Exam 2024\2025
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
,Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam 2024\2025
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
,Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam 2024\2025
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
, Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources Exam 2024\2025
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. Counsel advises that no
report be written because of possible litigation. The compliance and
ethics professional's BEST course of action is to:
A.) Follow counsel's advice
B.) Submit a written report
