CCEP Compliance and Ethics
Professional Exam
These Compliance and Ethics Policies and approaches must exist
Non-Retaliation, Record Management, Conflict of Interest, Privacy, Security, and
Confidentiality
What are Compliance Officers required to do?
Maintain Compliance and Ethics polices and techniques
When making selections, C.O. Need to....
Consult with suitable challenge be counted resources, HR, prison, finance
A essential aim of compliance application:
Assure Alignment between organization's project, imaginative and prescient, values, and the
code of behavior
A main purpose of compliance software is...
To assure alignment of the compliance and ethics strategic plan is regular with universal
business goals.
A requirement for compliance program is...
To keep a code of behavior
C.O. Wishes to make certain what?
Ensure organizational price statements replicate a committment to a culture of integrity
What else does a CO make certain?
The policies and processes deal with regulatory and legal requirements.
Policies need to deal with what?
Interactions/relationships with 0.33-parties, like vendors, commercial enterprise partners,
and competitors
,What else is needed with regards to 1/3-parties?
That contractual agreements consist of compliance and ethic standards.
What documentation is required of a compliance plan?
That this system is documented, like a compliance manual/mentioned plan.
What else will a compliance application document with regard to risks?
That guidelines and strategies round precise recognized danger region are maintained.
What will a compliance program report with regard to governance policies?
That the governance guidelines for the compliance and ethics application are maintained.
Who does a Compliance Officer file to?
A board of directors, or audit committee
What does a compliance officer report and to whom?
Reports compliance and ethics pastime to the internal governing body, like a board of
administrators/audit committee
Who else does a compliance officer file to?
Gives reports of compliance and ethics pastime to the senior enterprise leader, like the CEO
or CFO
What does the CO coordinate inside the organisation?
Coordinates the operational components of the compliance software with control, like
oversight committee and senior managment.
Benchmarking
Collaborate with others internally and externally to institute exceptional practices: what are
others doing in their application?
What is the CO accountable for with regard to goals of oversight committee?
To make certain the desires and goals of the oversight committee are performed.
What information is needed?
Maintain information of relevant legal guidelines and policies
, How is expertise of applicable legal guidelines used?
Relevant legal guidelines and rules are applied to the desires of the corporation.
CO assures what approximately the compliance program?
That it's miles credible and run with integrity.
What ought to a CO recognize?
Recognize the need for outdoor information.
What does the governing board want to understand?
Its responsibilities associated with compliance and ethics program and subculture.
What does CO need to do in regards to Legal Counsel?
Make positive the function of counsel is defined.
What does the CO manage?
Manages sources for the compliance and ethics program, like finance and employees
sources.
What must the CO do in regards to the enterprise?
The CO integrates the compliance and ethics program into the enterprise.
Annually the CO wishes to....
Develop an Annual compliance and ethics paintings plan.
To manage dangers, the CO....
Ensures the organisation has methods inn region to manage recognized risk regions, like
conflicts of hobby, privateness, anti-corruption, and anti-bribery.
Compliance is liable for...
Background tests and screenings are carried out: new hires, vast authority employees, third
parties, government lists.
The organization wishes to have....
Described the authority of the compliance and ethics professional.
Compliance training consists of
Professional Exam
These Compliance and Ethics Policies and approaches must exist
Non-Retaliation, Record Management, Conflict of Interest, Privacy, Security, and
Confidentiality
What are Compliance Officers required to do?
Maintain Compliance and Ethics polices and techniques
When making selections, C.O. Need to....
Consult with suitable challenge be counted resources, HR, prison, finance
A essential aim of compliance application:
Assure Alignment between organization's project, imaginative and prescient, values, and the
code of behavior
A main purpose of compliance software is...
To assure alignment of the compliance and ethics strategic plan is regular with universal
business goals.
A requirement for compliance program is...
To keep a code of behavior
C.O. Wishes to make certain what?
Ensure organizational price statements replicate a committment to a culture of integrity
What else does a CO make certain?
The policies and processes deal with regulatory and legal requirements.
Policies need to deal with what?
Interactions/relationships with 0.33-parties, like vendors, commercial enterprise partners,
and competitors
,What else is needed with regards to 1/3-parties?
That contractual agreements consist of compliance and ethic standards.
What documentation is required of a compliance plan?
That this system is documented, like a compliance manual/mentioned plan.
What else will a compliance application document with regard to risks?
That guidelines and strategies round precise recognized danger region are maintained.
What will a compliance program report with regard to governance policies?
That the governance guidelines for the compliance and ethics application are maintained.
Who does a Compliance Officer file to?
A board of directors, or audit committee
What does a compliance officer report and to whom?
Reports compliance and ethics pastime to the internal governing body, like a board of
administrators/audit committee
Who else does a compliance officer file to?
Gives reports of compliance and ethics pastime to the senior enterprise leader, like the CEO
or CFO
What does the CO coordinate inside the organisation?
Coordinates the operational components of the compliance software with control, like
oversight committee and senior managment.
Benchmarking
Collaborate with others internally and externally to institute exceptional practices: what are
others doing in their application?
What is the CO accountable for with regard to goals of oversight committee?
To make certain the desires and goals of the oversight committee are performed.
What information is needed?
Maintain information of relevant legal guidelines and policies
, How is expertise of applicable legal guidelines used?
Relevant legal guidelines and rules are applied to the desires of the corporation.
CO assures what approximately the compliance program?
That it's miles credible and run with integrity.
What ought to a CO recognize?
Recognize the need for outdoor information.
What does the governing board want to understand?
Its responsibilities associated with compliance and ethics program and subculture.
What does CO need to do in regards to Legal Counsel?
Make positive the function of counsel is defined.
What does the CO manage?
Manages sources for the compliance and ethics program, like finance and employees
sources.
What must the CO do in regards to the enterprise?
The CO integrates the compliance and ethics program into the enterprise.
Annually the CO wishes to....
Develop an Annual compliance and ethics paintings plan.
To manage dangers, the CO....
Ensures the organisation has methods inn region to manage recognized risk regions, like
conflicts of hobby, privateness, anti-corruption, and anti-bribery.
Compliance is liable for...
Background tests and screenings are carried out: new hires, vast authority employees, third
parties, government lists.
The organization wishes to have....
Described the authority of the compliance and ethics professional.
Compliance training consists of
