CCEP Exam Questions with VERIFIED Answers (Guaranteed Success)
Q1: Compliance and Ethics Policies .
Answer: Non-Retaliation, Record Management, Conflict of Interest, Privacy, Security, and
Confidentiality must exist.
Q2: Compliance Officers .
Answer: Required to maintain Compliance and Ethics policies and procedures.
Q3: Decision Making .
Answer: Compliance Officers need to consult with appropriate subject matter resources, HR, legal, and
finance.
Q4: Main Goal of Compliance Program .
Answer: Assure alignment between organization's mission, vision, values, and the code of conduct.
Q5: Requirement for Compliance Program .
Answer: To maintain a code of conduct.
Q6: Organizational Value Statements .
Answer: Compliance Officers need to ensure that they reflect a commitment to a culture of integrity.
Q7: Documentation for Compliance Plan .
Answer: Required documentation includes that the program is documented, like a compliance manual
or outlined plan.
Q8: Governance Policies .
Answer: Documentation required that governance policies for the compliance and ethics program are
maintained.
Q9: Reporting Structure .
Answer: Compliance Officer reports to a board of directors or audit committee.
, Q10: Compliance Knowledge .
Answer: Maintain knowledge of relevant laws and regulations and apply them to the organization's
needs.
Q11: Credibility of Compliance Program .
Answer: Compliance Officer assures that the program is credible and run with integrity.
Q12: External Expertise .
Answer: Compliance Officer must recognize the need for outside expertise.
Q13: Governing Board Responsibilities .
Answer: Understand responsibilities related to compliance and ethics program and culture.
Q14: Resource Management .
Answer: Compliance Officer manages resources for the compliance and ethics program, including
finance and personnel resources.
Q15: Integration into Business .
Answer: The Compliance Officer integrates the compliance and ethics program into the business.
Q16: Annual Work Plan .
Answer: Develop an Annual compliance and ethics work plan annually.
Q17: Risk Management .
Answer: Ensure the organization has processes in place to manage identified risk areas like conflicts of
interest, privacy, anti-corruption, and anti-bribery.
Q18: Compliance Training .
Answer: Includes disseminating relevant information on emerging risk areas and communicating
compliance and ethics information throughout the organization.
Q19: Obligation Reporting .
Answer: Employees must be aware of their obligation to report misconduct.
Q1: Compliance and Ethics Policies .
Answer: Non-Retaliation, Record Management, Conflict of Interest, Privacy, Security, and
Confidentiality must exist.
Q2: Compliance Officers .
Answer: Required to maintain Compliance and Ethics policies and procedures.
Q3: Decision Making .
Answer: Compliance Officers need to consult with appropriate subject matter resources, HR, legal, and
finance.
Q4: Main Goal of Compliance Program .
Answer: Assure alignment between organization's mission, vision, values, and the code of conduct.
Q5: Requirement for Compliance Program .
Answer: To maintain a code of conduct.
Q6: Organizational Value Statements .
Answer: Compliance Officers need to ensure that they reflect a commitment to a culture of integrity.
Q7: Documentation for Compliance Plan .
Answer: Required documentation includes that the program is documented, like a compliance manual
or outlined plan.
Q8: Governance Policies .
Answer: Documentation required that governance policies for the compliance and ethics program are
maintained.
Q9: Reporting Structure .
Answer: Compliance Officer reports to a board of directors or audit committee.
, Q10: Compliance Knowledge .
Answer: Maintain knowledge of relevant laws and regulations and apply them to the organization's
needs.
Q11: Credibility of Compliance Program .
Answer: Compliance Officer assures that the program is credible and run with integrity.
Q12: External Expertise .
Answer: Compliance Officer must recognize the need for outside expertise.
Q13: Governing Board Responsibilities .
Answer: Understand responsibilities related to compliance and ethics program and culture.
Q14: Resource Management .
Answer: Compliance Officer manages resources for the compliance and ethics program, including
finance and personnel resources.
Q15: Integration into Business .
Answer: The Compliance Officer integrates the compliance and ethics program into the business.
Q16: Annual Work Plan .
Answer: Develop an Annual compliance and ethics work plan annually.
Q17: Risk Management .
Answer: Ensure the organization has processes in place to manage identified risk areas like conflicts of
interest, privacy, anti-corruption, and anti-bribery.
Q18: Compliance Training .
Answer: Includes disseminating relevant information on emerging risk areas and communicating
compliance and ethics information throughout the organization.
Q19: Obligation Reporting .
Answer: Employees must be aware of their obligation to report misconduct.
