Which of the following do the Federal Sentencing Guidelines require of an
organization's governing authority?
A.) Reasonable oversight of the compliance and ethics program
B.) Responsibility for the development of the compliance and ethics program
C.) Day-to-day operational responsibility for the compliance and ethics program
D.) Periodic reporting of the effectiveness of the compliance and ethics program
Give this one a try later!
A.) Reasonable oversight of the compliance and ethics program
A compliance and ethics professional is evaluating an organization's employee
handbook. A conflict exists between the Code of Conduct and the employee
handbook. HR is responsible for the employee handbook. The documents have been
approved by the board of directors. Which of the following actions should the
compliance and ethics professional take FIRST?
,A.) Post revised documents on the organization's website
B.) Schedule a time during the next board meeting to present revised documents
C.) Schedule a meeting with HR, general counsel, and the board to discuss the issue
D.) Contact HR to determine if the inconsistencies between the documents can be
resolved
Give this one a try later!
D.) Contact HR to determine if the inconsistencies between the documents
can be resolved
Escalate to the lowest level when possible
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
Give this one a try later!
A.) Conduct a compliance and ethics risk assessment
, CODE OF PROFESSIONAL ETHICS - CCEP
Compliance and ethics programs serve a critical role in helping to ____________ and
____________ misconduct at and by organizations and to promote ethical business
environments.
Give this one a try later!
prevent, detect
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
Give this one a try later!
B.) Federal Sentencing Guidelines
A compliance and ethics professional has developed a policy intended to prohibit
employees from paying, offering, or promising to pay officials of other countries for
the purpose of obtaining or maintaining business. This policy will help the
organization comply with the:
A.) Sherman Act
B.) USA Patriot Act
C.) Anti-Money Laundering Act
D.) Foreign Corrupt Practices Act
organization's governing authority?
A.) Reasonable oversight of the compliance and ethics program
B.) Responsibility for the development of the compliance and ethics program
C.) Day-to-day operational responsibility for the compliance and ethics program
D.) Periodic reporting of the effectiveness of the compliance and ethics program
Give this one a try later!
A.) Reasonable oversight of the compliance and ethics program
A compliance and ethics professional is evaluating an organization's employee
handbook. A conflict exists between the Code of Conduct and the employee
handbook. HR is responsible for the employee handbook. The documents have been
approved by the board of directors. Which of the following actions should the
compliance and ethics professional take FIRST?
,A.) Post revised documents on the organization's website
B.) Schedule a time during the next board meeting to present revised documents
C.) Schedule a meeting with HR, general counsel, and the board to discuss the issue
D.) Contact HR to determine if the inconsistencies between the documents can be
resolved
Give this one a try later!
D.) Contact HR to determine if the inconsistencies between the documents
can be resolved
Escalate to the lowest level when possible
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
Give this one a try later!
A.) Conduct a compliance and ethics risk assessment
, CODE OF PROFESSIONAL ETHICS - CCEP
Compliance and ethics programs serve a critical role in helping to ____________ and
____________ misconduct at and by organizations and to promote ethical business
environments.
Give this one a try later!
prevent, detect
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
Give this one a try later!
B.) Federal Sentencing Guidelines
A compliance and ethics professional has developed a policy intended to prohibit
employees from paying, offering, or promising to pay officials of other countries for
the purpose of obtaining or maintaining business. This policy will help the
organization comply with the:
A.) Sherman Act
B.) USA Patriot Act
C.) Anti-Money Laundering Act
D.) Foreign Corrupt Practices Act
