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CCEP: Set 2 Questions and Answers
Latest 2026
A compliance and ethics professional (CEP) is confronted
in her office by ten government officials conducting a
surprise visit. They demand immediate access to all
company documents. Which of the following should the
CEP do FIRST?
A. Tell them that it is not a compliance matter.
B. Request a copy of their official authorization.
C. Call a higher authority to request immediate
intervention.
D. Permit immediate access Ans: C. Call a higher
authority to request immediate intervention.
Under best practices, an effective compliance and ethics
program calls for
A. maintenance of standards and procedures.
B. risk assessment by an independent consultant.
C. annual review by in-house legal counsel.
D. approval by the internal audit department Ans: A.
maintenance of standards and procedures.
© 2025 All rights reserved
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A company offers free bottled water to all employees in
pantry locations throughout the building. A security
camera tape reveals an employee putting several cases of
water in his trunk. The company's policies state that theft
of company property will result in immediate
termination. Which of the following should the
compliance and ethics professional do FIRST?
A. Terminate the employee because of the company
policy violation.
B. Initiate disciplinary action based on the security
camera tape.
C. Interview the employee regarding his actions.
D. Report the matter to local law enforcement. Ans: C.
Interview the employee regarding his actions.
A compliance and ethics professional (CEP) receives a call
from an employee in the finance department who is
concerned that the company is not complying with
document destruction requirements. Which of the
following is the CEP's BEST response to the inquiry?
A. Ask the employee to identify the law that was violated.
B. Inform the employee the issue will be reviewed as time
permits.
C. Require the finance department to destroy all records
immediately.
© 2025 All rights reserved
CCEP: Set 2 Questions and Answers
Latest 2026
A compliance and ethics professional (CEP) is confronted
in her office by ten government officials conducting a
surprise visit. They demand immediate access to all
company documents. Which of the following should the
CEP do FIRST?
A. Tell them that it is not a compliance matter.
B. Request a copy of their official authorization.
C. Call a higher authority to request immediate
intervention.
D. Permit immediate access Ans: C. Call a higher
authority to request immediate intervention.
Under best practices, an effective compliance and ethics
program calls for
A. maintenance of standards and procedures.
B. risk assessment by an independent consultant.
C. annual review by in-house legal counsel.
D. approval by the internal audit department Ans: A.
maintenance of standards and procedures.
© 2025 All rights reserved
, 2 | Page
A company offers free bottled water to all employees in
pantry locations throughout the building. A security
camera tape reveals an employee putting several cases of
water in his trunk. The company's policies state that theft
of company property will result in immediate
termination. Which of the following should the
compliance and ethics professional do FIRST?
A. Terminate the employee because of the company
policy violation.
B. Initiate disciplinary action based on the security
camera tape.
C. Interview the employee regarding his actions.
D. Report the matter to local law enforcement. Ans: C.
Interview the employee regarding his actions.
A compliance and ethics professional (CEP) receives a call
from an employee in the finance department who is
concerned that the company is not complying with
document destruction requirements. Which of the
following is the CEP's BEST response to the inquiry?
A. Ask the employee to identify the law that was violated.
B. Inform the employee the issue will be reviewed as time
permits.
C. Require the finance department to destroy all records
immediately.
© 2025 All rights reserved
