CERTIFIED COMPLIANCE AND ETHICS PROFESSIONAL CCEP
FINAL PAPER 2025/2026 QUESTIONS WITH ANSWERS
GRADED A+
✔✔Maintain records on compliance investigations - ✔✔Compliance is responsible for
records Maintain records on compliance investigations.
✔✔Coordinate voluntary disclosures to regulatory agencies - ✔✔Compliance
coordinates what? Assures there is coordination of voluntary disclosures to regulatory
agencies.
✔✔Scalable and Timely Risk Assessment - ✔✔Risk Assessment needs to be Scalable
and Timely for the Organization.
✔✔Periodic compliance and ethics risk assessments - ✔✔Risk Assessment: CO
required to assure periodic compliance and ethics risk assessments are conducted
across the organization.
✔✔Integration of compliance and ethics risk assessments - ✔✔Risk Assessment: CO
must facilitate the integration of compliance and ethics risk assessments across all parts
of the business: processes and business units.
✔✔Prioritize organizational compliance risks - ✔✔Risk Assessment: CO needs to
prioritize The organizational compliance risks.
✔✔Assure management action plans based on risk assessment findings - ✔✔Risk
Assessment Findings Assurance? Assure management action plans are developed and
executed based on risk assessment findings.
✔✔Implement changes to reduce risk - ✔✔Risk Assessment Implementation &
Management: CO required to assure management implements changes to reduce risk.
✔✔Communicate results of risk assessment findings - ✔✔Risk Assessment Findings
Reporting? CO communicates the results of risk assessment findings to the board and
management.
✔✔Due Diligence on third parties - ✔✔Risk Assessment and Third Parties? CO must
assure Due Diligence is performed on third parties.
✔✔Management involvement in risk assessment process - ✔✔Risk Assessment
Involvement & Management? CO must assure management is involved in the risk
assessment process.
, ✔✔Principles and Rules of Conduct in SCCE Code of Ethics - ✔✔Two parts of the
SCCE Code of Ethics for CEPs: Principles and Rules of Conduct.
✔✔Obligations in CEP Code of Ethics - ✔✔Three Principles in CEP Code of Ethics:
Principle I: Obligations to the Public, Principle II: Obligations to the Employing
Organization, Principle III: Obligations to the Profession.
✔✔Abide by and Promote spirit of compliance - ✔✔Elements of Code of Ethics CEP:
Principle I: Obligations to the Public: Abide by and Promote spirit of compliance and
exemplify highest ethical standards.
✔✔CEPS shall not aid, abet, or participate in misconduct - ✔✔Principle I: Rules of
Conduct include: R1.1 CEPS shall not aid, abet, or participate in misconduct.
✔✔Steps to prevent misconduct by employing organizations - ✔✔Rules of Conduct:
R1.2 CEPS shall take steps CEPs shall take such steps as are necessary to prevent
misconduct by their employing organizations: must be legal and ethical.
✔✔Sound judgment in responding to investigations - ✔✔Rules of Conduct: R1.3 CEPS
shall exercise CEPS shall exercise sound judgment in responding to and cooperating
with all official and legitimate government investigations/inquiries: Never obstruct or lie.
✔✔Awareness of decisions constituting misconduct - ✔✔Rules of Conduct: R1.4 if CEP
becomes aware of any decision by their employing organization that if implemented
would constitute misconduct CEP will a. refuse to consent to the decision, b. escalate
the matter to highest governing body as appropriate, c. if serious issues remain
unresolved after a and b, consider resignation, and d. report the decision to public
officials when required by law.
✔✔Integrity and unbiased judgment for employing organizations - ✔✔Elements of CEP
Code of Conduct: Principle II: Obligations to Employing Organizations: CEPs should
serve their employing organizations with the highest sense of integrity, exercise
unprejudiced and unbiased judgment on their behalf, and promote effective compliance
and ethics programs.
✔✔Timely, competent, and professional service - ✔✔Rules of Conduct: R2.1 CEPs
shall serve their employing organizations in a timely, competent, and professional
manner.
✔✔Gathering additional information as needed - ✔✔Rules of Conduct R2.1
Commentary: CEPS are not expected to CEPs are not expected to be experts in every
field of knowledge. CEPs will gather additional information as needed by additional
education, training, or by working with others.
FINAL PAPER 2025/2026 QUESTIONS WITH ANSWERS
GRADED A+
✔✔Maintain records on compliance investigations - ✔✔Compliance is responsible for
records Maintain records on compliance investigations.
✔✔Coordinate voluntary disclosures to regulatory agencies - ✔✔Compliance
coordinates what? Assures there is coordination of voluntary disclosures to regulatory
agencies.
✔✔Scalable and Timely Risk Assessment - ✔✔Risk Assessment needs to be Scalable
and Timely for the Organization.
✔✔Periodic compliance and ethics risk assessments - ✔✔Risk Assessment: CO
required to assure periodic compliance and ethics risk assessments are conducted
across the organization.
✔✔Integration of compliance and ethics risk assessments - ✔✔Risk Assessment: CO
must facilitate the integration of compliance and ethics risk assessments across all parts
of the business: processes and business units.
✔✔Prioritize organizational compliance risks - ✔✔Risk Assessment: CO needs to
prioritize The organizational compliance risks.
✔✔Assure management action plans based on risk assessment findings - ✔✔Risk
Assessment Findings Assurance? Assure management action plans are developed and
executed based on risk assessment findings.
✔✔Implement changes to reduce risk - ✔✔Risk Assessment Implementation &
Management: CO required to assure management implements changes to reduce risk.
✔✔Communicate results of risk assessment findings - ✔✔Risk Assessment Findings
Reporting? CO communicates the results of risk assessment findings to the board and
management.
✔✔Due Diligence on third parties - ✔✔Risk Assessment and Third Parties? CO must
assure Due Diligence is performed on third parties.
✔✔Management involvement in risk assessment process - ✔✔Risk Assessment
Involvement & Management? CO must assure management is involved in the risk
assessment process.
, ✔✔Principles and Rules of Conduct in SCCE Code of Ethics - ✔✔Two parts of the
SCCE Code of Ethics for CEPs: Principles and Rules of Conduct.
✔✔Obligations in CEP Code of Ethics - ✔✔Three Principles in CEP Code of Ethics:
Principle I: Obligations to the Public, Principle II: Obligations to the Employing
Organization, Principle III: Obligations to the Profession.
✔✔Abide by and Promote spirit of compliance - ✔✔Elements of Code of Ethics CEP:
Principle I: Obligations to the Public: Abide by and Promote spirit of compliance and
exemplify highest ethical standards.
✔✔CEPS shall not aid, abet, or participate in misconduct - ✔✔Principle I: Rules of
Conduct include: R1.1 CEPS shall not aid, abet, or participate in misconduct.
✔✔Steps to prevent misconduct by employing organizations - ✔✔Rules of Conduct:
R1.2 CEPS shall take steps CEPs shall take such steps as are necessary to prevent
misconduct by their employing organizations: must be legal and ethical.
✔✔Sound judgment in responding to investigations - ✔✔Rules of Conduct: R1.3 CEPS
shall exercise CEPS shall exercise sound judgment in responding to and cooperating
with all official and legitimate government investigations/inquiries: Never obstruct or lie.
✔✔Awareness of decisions constituting misconduct - ✔✔Rules of Conduct: R1.4 if CEP
becomes aware of any decision by their employing organization that if implemented
would constitute misconduct CEP will a. refuse to consent to the decision, b. escalate
the matter to highest governing body as appropriate, c. if serious issues remain
unresolved after a and b, consider resignation, and d. report the decision to public
officials when required by law.
✔✔Integrity and unbiased judgment for employing organizations - ✔✔Elements of CEP
Code of Conduct: Principle II: Obligations to Employing Organizations: CEPs should
serve their employing organizations with the highest sense of integrity, exercise
unprejudiced and unbiased judgment on their behalf, and promote effective compliance
and ethics programs.
✔✔Timely, competent, and professional service - ✔✔Rules of Conduct: R2.1 CEPs
shall serve their employing organizations in a timely, competent, and professional
manner.
✔✔Gathering additional information as needed - ✔✔Rules of Conduct R2.1
Commentary: CEPS are not expected to CEPs are not expected to be experts in every
field of knowledge. CEPs will gather additional information as needed by additional
education, training, or by working with others.
