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.
D. Discuss the document destruction practices with the director of finance.
Give this one a try later!
, D. Discuss the document destruction practices with the director of finance.
An audit manager is preparing to conduct are internal assessment regarding the
compliance and ethics program's effectiveness. Which of the following is the MOST
effective action to determine awareness of the compliance and ethics program?
A. Analyzing board minutes
B. Conducting employee interviews
C. Distributing customer surveys
D. Reviewing hotline calls
Give this one a try later!
B. Conducting employee interviews
To have an effective program, a compliance and ethics professional must provide
training to all employees and
A. the company's highest authority.
B. external auditors.
C. high-value customers.
D. majority shareholders
Give this one a try later!
A. the company's highest authority.
An organization's compliance and ethics program has been in place for three years.
No reports have been presented to the board of directors. The compliance and ethics
professional (CEP) is asked to make the first presentation on the program to the
board. Which of the following is the CEP's BEST strategy for handling this request?
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.
D. Discuss the document destruction practices with the director of finance.
Give this one a try later!
, D. Discuss the document destruction practices with the director of finance.
An audit manager is preparing to conduct are internal assessment regarding the
compliance and ethics program's effectiveness. Which of the following is the MOST
effective action to determine awareness of the compliance and ethics program?
A. Analyzing board minutes
B. Conducting employee interviews
C. Distributing customer surveys
D. Reviewing hotline calls
Give this one a try later!
B. Conducting employee interviews
To have an effective program, a compliance and ethics professional must provide
training to all employees and
A. the company's highest authority.
B. external auditors.
C. high-value customers.
D. majority shareholders
Give this one a try later!
A. the company's highest authority.
An organization's compliance and ethics program has been in place for three years.
No reports have been presented to the board of directors. The compliance and ethics
professional (CEP) is asked to make the first presentation on the program to the
board. Which of the following is the CEP's BEST strategy for handling this request?
