Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources
Which of the subsequent BEST describes the motive of education primarily based upon
hazard evaluation findings?
A.) Reducing the agency's legal publicity
B.) Educating employees on laws and guidelines
C.) Educating the board at the compliance application
D.) Reducing the corporation's insurance premiums
A. Reducing the enterprise's criminal publicity
A compliance and ethics expert investigates a document of sexual harassment. The incident
does now not constitute sexual harassment, however exhibits the worker's
misunderstandings of the harassment coverage. Which of the following ought to be the
FIRST step in a corrective action plan?
A.) Consult out of doors suggest
B.) Disclose the incident to the EEOC
C.) Provide schooling and education at the coverage
D.) Survey personnel' understanding of the coverage
C.) Provide education and training on the policy
Which of the following affords steerage for the development of a compliance application?
A.) Sarbanes-Oxley Act
B.) Federal Sentencing Guidelines
C.) Security and Exchange Commission
D.) Office for Civil Rights
B.) Federal Sentencing Guidelines
Which of the following is the BEST final results of a compliance and ethics software?
A.) Mitigating chance
B.) Identifying danger
C.) Prioritizing hazard
D.) Documenting threat
A.) Mitigating risk
,Training on rate-fixing is MOST vital for which of the subsequent personnel?
A.) Management
B.) Sales
C.) Marketing
D.) Accounting
B.) Sales
A compliance and ethics program should consist of:
1. An worker blessings handbook
2. Document retention suggestions
3. Policies regarding confidentiality
4. A statement approximately the organization's subculture
A.) 1,2, and 3 only
B.) 1, 2, and four most effective
C.) 1, 3, and 4 most effective
D.) 2, three, and four only
D.) 2, 3, and 4 most effective
A US-based retail business enterprise has 250 stores in 30 states. Past compliance efforts
have protected a silo-based method with minimum oversight and the CEO performing as the
Compliance and Ethics Officer. One individual in each country posted
compliance-associated facts despatched from corporate, but there were no actual academic
sessions. Policies and processes have been evolved with the aid of company and reviewed
5 years in the past. The organization has decided that a more devoted method is wanted
and hires a Compliance and Ethics Officer. Which of the subsequent actions ought to the
brand new Compliance and Ethics Officer take FIRST?
A.) Conduct a compliance and ethics threat assessment
B.) Review enterprise-huge compliance policies
C.) Perform a statistically legitimate compliance audit
D.) Distribute a compliance education packet to personnel
A.) Conduct a compliance and ethics chance assessment
An employee discloses to counsel and the compliance and ethics expert that a manager has
been verbally abusive. An investigation unearths that the same supervisor has also been
sexually harassing numerous personnel in his department. The compliance application calls
for that findings of harassment be documented and forwarded through the compliance and
ethics expert to the CEO with a advice for appropriate field. Counsel advises that no
document be written because of feasible litigation. The compliance and ethics expert's BEST
direction of movement is to:
, A.) Follow recommend's advice
B.) Submit a written file
C.) Ask recommend to prepare the written document
D.) Recommend disciplinary movement against counsel
C.) Ask recommend to prepare the written file
Even although recommend advises to now not publish a document Compliance can propose
alternatives to ensure the compliance software is being followed. By asking suggest to
prepare the written document it is then included by lawyer-client privilege and follows the
compliance program.
A compliance and ethics professional is evaluating an employer's employee manual. A
struggle exists among the Code of Conduct and the employee guide. HR is chargeable for
the worker handbook. The files have been approved by way of the board of administrators.
Which of the subsequent moves ought to the compliance and ethics expert take FIRST?
A.) Post revised files on the corporation's internet site
B.) Schedule a time throughout the subsequent board meeting to provide revised files
C.) Schedule a meeting with HR, preferred recommend, and the board to talk about the
issue
D.) Contact HR to determine if the inconsistencies among the documents may be resolved
D.) Contact HR to decide if the inconsistencies among the files can be resolved
Escalate to the lowest level while possible
A enterprise's Code of Conduct has now not been reviewed for over 2 years. HR advocated
adding content that might double its size. The compliance committee members expressed
subject that adding a enormous quantity of content material could negatively effect its
effectiveness. Which of the following is the compliance and ethics professional's NEXT step
before consolidating revisions?
A.) Request steering from the board of directors
B.) Contract with a consultant to rewrite the Code of Conduct
C.) Compare the content material outline with other agencies
D.) Rewrite the content primarily based on Federal Sentencing Guidelines
C.) Compare the content define with other agencies
Benchmarking
Which of the subsequent is the MOST convincing demonstration of the effectiveness of a
organisation's ethical standards?
Professional (CCEP) Certification Study
Resources
Which of the subsequent BEST describes the motive of education primarily based upon
hazard evaluation findings?
A.) Reducing the agency's legal publicity
B.) Educating employees on laws and guidelines
C.) Educating the board at the compliance application
D.) Reducing the corporation's insurance premiums
A. Reducing the enterprise's criminal publicity
A compliance and ethics expert investigates a document of sexual harassment. The incident
does now not constitute sexual harassment, however exhibits the worker's
misunderstandings of the harassment coverage. Which of the following ought to be the
FIRST step in a corrective action plan?
A.) Consult out of doors suggest
B.) Disclose the incident to the EEOC
C.) Provide schooling and education at the coverage
D.) Survey personnel' understanding of the coverage
C.) Provide education and training on the policy
Which of the following affords steerage for the development of a compliance application?
A.) Sarbanes-Oxley Act
B.) Federal Sentencing Guidelines
C.) Security and Exchange Commission
D.) Office for Civil Rights
B.) Federal Sentencing Guidelines
Which of the following is the BEST final results of a compliance and ethics software?
A.) Mitigating chance
B.) Identifying danger
C.) Prioritizing hazard
D.) Documenting threat
A.) Mitigating risk
,Training on rate-fixing is MOST vital for which of the subsequent personnel?
A.) Management
B.) Sales
C.) Marketing
D.) Accounting
B.) Sales
A compliance and ethics program should consist of:
1. An worker blessings handbook
2. Document retention suggestions
3. Policies regarding confidentiality
4. A statement approximately the organization's subculture
A.) 1,2, and 3 only
B.) 1, 2, and four most effective
C.) 1, 3, and 4 most effective
D.) 2, three, and four only
D.) 2, 3, and 4 most effective
A US-based retail business enterprise has 250 stores in 30 states. Past compliance efforts
have protected a silo-based method with minimum oversight and the CEO performing as the
Compliance and Ethics Officer. One individual in each country posted
compliance-associated facts despatched from corporate, but there were no actual academic
sessions. Policies and processes have been evolved with the aid of company and reviewed
5 years in the past. The organization has decided that a more devoted method is wanted
and hires a Compliance and Ethics Officer. Which of the subsequent actions ought to the
brand new Compliance and Ethics Officer take FIRST?
A.) Conduct a compliance and ethics threat assessment
B.) Review enterprise-huge compliance policies
C.) Perform a statistically legitimate compliance audit
D.) Distribute a compliance education packet to personnel
A.) Conduct a compliance and ethics chance assessment
An employee discloses to counsel and the compliance and ethics expert that a manager has
been verbally abusive. An investigation unearths that the same supervisor has also been
sexually harassing numerous personnel in his department. The compliance application calls
for that findings of harassment be documented and forwarded through the compliance and
ethics expert to the CEO with a advice for appropriate field. Counsel advises that no
document be written because of feasible litigation. The compliance and ethics expert's BEST
direction of movement is to:
, A.) Follow recommend's advice
B.) Submit a written file
C.) Ask recommend to prepare the written document
D.) Recommend disciplinary movement against counsel
C.) Ask recommend to prepare the written file
Even although recommend advises to now not publish a document Compliance can propose
alternatives to ensure the compliance software is being followed. By asking suggest to
prepare the written document it is then included by lawyer-client privilege and follows the
compliance program.
A compliance and ethics professional is evaluating an employer's employee manual. A
struggle exists among the Code of Conduct and the employee guide. HR is chargeable for
the worker handbook. The files have been approved by way of the board of administrators.
Which of the subsequent moves ought to the compliance and ethics expert take FIRST?
A.) Post revised files on the corporation's internet site
B.) Schedule a time throughout the subsequent board meeting to provide revised files
C.) Schedule a meeting with HR, preferred recommend, and the board to talk about the
issue
D.) Contact HR to determine if the inconsistencies among the documents may be resolved
D.) Contact HR to decide if the inconsistencies among the files can be resolved
Escalate to the lowest level while possible
A enterprise's Code of Conduct has now not been reviewed for over 2 years. HR advocated
adding content that might double its size. The compliance committee members expressed
subject that adding a enormous quantity of content material could negatively effect its
effectiveness. Which of the following is the compliance and ethics professional's NEXT step
before consolidating revisions?
A.) Request steering from the board of directors
B.) Contract with a consultant to rewrite the Code of Conduct
C.) Compare the content material outline with other agencies
D.) Rewrite the content primarily based on Federal Sentencing Guidelines
C.) Compare the content define with other agencies
Benchmarking
Which of the subsequent is the MOST convincing demonstration of the effectiveness of a
organisation's ethical standards?
