CCEP: Set 2
A organisation troubles a new values declaration on its internet site, pointing out that
profitability is the agency's top precedence. There is no point out of the code of conduct,
ethics, or compliance in the declaration or somewhere else on the website. Which of the
subsequent actions have to the compliance and ethics professional take?
A. Ask the era department to eliminate the assertion from the website.
B. Publish a separate values assertion from the compliance department.
C. Modify the code of behavior to mirror the brand new corporate strategy.
D. Educate corporate leadership on compliance and ethics requirements - ANS-D. Educate
company leadership on compliance and ethics requirements
A organisation gives unfastened bottled water to all employees in pantry locations for the
duration of the building. A safety camera tape well-knownshows an employee putting several
cases of water in his trunk. The organization's policies state that theft of company property
will result in immediately termination. Which of the following ought to the compliance and
ethics expert do FIRST?
A. Terminate the employee due to the business enterprise coverage violation.
B. Initiate disciplinary action primarily based on the security camera tape.
C. Interview the worker regarding his moves.
D. Report the matter to neighborhood regulation enforcement. - ANS-C. Interview the
employee regarding his moves.
A compliance and ethics expert (CEP) is confronted in her office through ten authorities
officers conducting a marvel visit. They call for on the spot get entry to to all organization
files. Which of the following have to the CEP do FIRST?
A. Tell them that it isn't always a compliance depend.
B. Request a copy in their legitimate authorization.
C. Call a better authority to request immediately intervention.
D. Permit immediately get entry to - ANS-C. Call a better authority to request immediate
intervention.
A compliance and ethics expert (CEP) leads a compliance and ethics committee that
consists of senior executives from specific departments. Which of the subsequent is a key
duty of the CEP?
A. Ensure the objectives of the committee are applied. B. Hire an outside auditor to make
certain committee independence.
C. Share oversight committee meeting mins with recommend. D. Report gaps in committee
oversight to the CEO. - ANS-A. Ensure the targets of the committee are carried out.
A compliance and ethics professional (CEP) receives a call from an worker within the
finance department who's concerned that the agency isn't complying with file destruction
necessities. Which of the subsequent is the CEP's BEST response to the inquiry?
A. Ask the worker to pick out the regulation that changed into violated.
B. Inform the employee the issue will be reviewed as time lets in.
C. Require the finance department to wreck all records right away.
D. Discuss the file destruction practices with the director of finance. - ANS-D. Discuss the file
destruction practices with the director of finance.
, A compliance and ethics expert (CEP) receives a hotline name indicating that a Vice
President (VP) of an business enterprise is making shade copies for his spouse's
organisation. Which of the subsequent have to the CEP do FIRST?
A. Report the allegation to the board of administrators.
B. Bill the WP for the coloration copies.
C. Initiate a reality-locating investigation.
D. Ignore the allegation completely - ANS-C. Initiate a reality-locating research.
A compliance and ethics professional is requested to provide the enterprise's board of
administrators with a quarterly compliance report. Which of the following must the record
consist of?
A. Evaluate of key organizational compliance accomplishments
B. Massive report on a fraud research carried out through counsel
C. Summary of every call to the organization's compliance hotline
D. Precise details concerning all compliance schooling and training - ANS-D. Precise
information concerning all compliance schooling and education
A compliance and ethics expert recognizes that the compliance and ethics applications have
to be up to date due to new industry policies, international expansions, and new era for
training and tracking. The vital modifications can be luxurious. Which of the following could
be MOST important in making those adjustments to the program?
A. The organization's department managers
B. The employer's compliance and ethics committee
C. An outside compliance ethics consultant
D. Enterprise institutions - ANS-B. The organisation's compliance and ethics committee
A member of the employer's worldwide sales crew meets with the compliance and ethics
expert (CEP) to discuss a brand new software to boom sales to other nations. The income
representative explains that she was directed to offer merchandise to local customs agent so
the business enterprise's cargo could pass thru customs more speedy. Which of the
subsequent should the CEP do NEXT?
A. Instruct the worker to are trying to find out of doors legal representation.
B. Contact the audit committee chair.
C. Direct the employee to HR
D. Ask in residence legal suggest to participate inside the discussion - ANS-D. Ask in house
criminal counsel to take part in the discussion
A seller notices a enterprise employee imparting a bribe to a purchaser. The dealer should
be recommended to
A. Report misconduct to the agency
B. Report incident to enforcement.
C. Refuse to deal with the employer employee
D. Not file due to the fact the vendor isn't always a business enterprise worker - ANS-A.
Report misconduct to the corporation
An audit supervisor is getting ready to conduct are inner assessment concerning the
compliance and ethics application's effectiveness. Which of the following is the MOST
effective motion to decide consciousness of the compliance and ethics application?
A. Analyzing board minutes
B. Conducting employee interviews
C. Distributing patron surveys
D. Reviewing hotline calls - ANS-B. Conducting worker interviews
A organisation troubles a new values declaration on its internet site, pointing out that
profitability is the agency's top precedence. There is no point out of the code of conduct,
ethics, or compliance in the declaration or somewhere else on the website. Which of the
subsequent actions have to the compliance and ethics professional take?
A. Ask the era department to eliminate the assertion from the website.
B. Publish a separate values assertion from the compliance department.
C. Modify the code of behavior to mirror the brand new corporate strategy.
D. Educate corporate leadership on compliance and ethics requirements - ANS-D. Educate
company leadership on compliance and ethics requirements
A organisation gives unfastened bottled water to all employees in pantry locations for the
duration of the building. A safety camera tape well-knownshows an employee putting several
cases of water in his trunk. The organization's policies state that theft of company property
will result in immediately termination. Which of the following ought to the compliance and
ethics expert do FIRST?
A. Terminate the employee due to the business enterprise coverage violation.
B. Initiate disciplinary action primarily based on the security camera tape.
C. Interview the worker regarding his moves.
D. Report the matter to neighborhood regulation enforcement. - ANS-C. Interview the
employee regarding his moves.
A compliance and ethics expert (CEP) is confronted in her office through ten authorities
officers conducting a marvel visit. They call for on the spot get entry to to all organization
files. Which of the following have to the CEP do FIRST?
A. Tell them that it isn't always a compliance depend.
B. Request a copy in their legitimate authorization.
C. Call a better authority to request immediately intervention.
D. Permit immediately get entry to - ANS-C. Call a better authority to request immediate
intervention.
A compliance and ethics expert (CEP) leads a compliance and ethics committee that
consists of senior executives from specific departments. Which of the subsequent is a key
duty of the CEP?
A. Ensure the objectives of the committee are applied. B. Hire an outside auditor to make
certain committee independence.
C. Share oversight committee meeting mins with recommend. D. Report gaps in committee
oversight to the CEO. - ANS-A. Ensure the targets of the committee are carried out.
A compliance and ethics professional (CEP) receives a call from an worker within the
finance department who's concerned that the agency isn't complying with file destruction
necessities. Which of the subsequent is the CEP's BEST response to the inquiry?
A. Ask the worker to pick out the regulation that changed into violated.
B. Inform the employee the issue will be reviewed as time lets in.
C. Require the finance department to wreck all records right away.
D. Discuss the file destruction practices with the director of finance. - ANS-D. Discuss the file
destruction practices with the director of finance.
, A compliance and ethics expert (CEP) receives a hotline name indicating that a Vice
President (VP) of an business enterprise is making shade copies for his spouse's
organisation. Which of the subsequent have to the CEP do FIRST?
A. Report the allegation to the board of administrators.
B. Bill the WP for the coloration copies.
C. Initiate a reality-locating investigation.
D. Ignore the allegation completely - ANS-C. Initiate a reality-locating research.
A compliance and ethics professional is requested to provide the enterprise's board of
administrators with a quarterly compliance report. Which of the following must the record
consist of?
A. Evaluate of key organizational compliance accomplishments
B. Massive report on a fraud research carried out through counsel
C. Summary of every call to the organization's compliance hotline
D. Precise details concerning all compliance schooling and training - ANS-D. Precise
information concerning all compliance schooling and education
A compliance and ethics expert recognizes that the compliance and ethics applications have
to be up to date due to new industry policies, international expansions, and new era for
training and tracking. The vital modifications can be luxurious. Which of the following could
be MOST important in making those adjustments to the program?
A. The organization's department managers
B. The employer's compliance and ethics committee
C. An outside compliance ethics consultant
D. Enterprise institutions - ANS-B. The organisation's compliance and ethics committee
A member of the employer's worldwide sales crew meets with the compliance and ethics
expert (CEP) to discuss a brand new software to boom sales to other nations. The income
representative explains that she was directed to offer merchandise to local customs agent so
the business enterprise's cargo could pass thru customs more speedy. Which of the
subsequent should the CEP do NEXT?
A. Instruct the worker to are trying to find out of doors legal representation.
B. Contact the audit committee chair.
C. Direct the employee to HR
D. Ask in residence legal suggest to participate inside the discussion - ANS-D. Ask in house
criminal counsel to take part in the discussion
A seller notices a enterprise employee imparting a bribe to a purchaser. The dealer should
be recommended to
A. Report misconduct to the agency
B. Report incident to enforcement.
C. Refuse to deal with the employer employee
D. Not file due to the fact the vendor isn't always a business enterprise worker - ANS-A.
Report misconduct to the corporation
An audit supervisor is getting ready to conduct are inner assessment concerning the
compliance and ethics application's effectiveness. Which of the following is the MOST
effective motion to decide consciousness of the compliance and ethics application?
A. Analyzing board minutes
B. Conducting employee interviews
C. Distributing patron surveys
D. Reviewing hotline calls - ANS-B. Conducting worker interviews
