CCEP Set 4
4 Aggravating factors for FCPA - ANS-•Upper degree employee "participated, condoned or
willfully ignorant of offense
•Repeat offense
•Hinderance to authorities investigation
•Pervasive Tolerance and cognizance of violation
four mitigating factors for FCPA - ANS-•Compliance application in impact
•Prompt reporting of violation
•Cooperation with government research
•Accept obligation for violation
A C&E expert investigates a report of sexual harassment. The incident, no longer represent
SH, exhibits the worker's false impression of the harassment coverage? Which of following
must be FIRST in the corrective action plan?
A) Consult out of doors suggest
B) Disclose the incident to the EEOC
C) Provide education and education on the coverage
D) Survey employee's information of the policy - ANS-C) Provide training and training on the
coverage
A C&R P is comparing an corporation's employee HB. A battle exists between the CoC and
the manual. HR is liable for the HB. Which of the subsequent moves ought to the C&E P
take first.
A) put up revised files on the agency's website
B) agenda time in the course of the subsequent board assembly to present revised
documents
C) Schedule a assembly with HR, general recommend, and the board to discuss the
difficulty
D) contact HR to decide if the inconsistencies between the files can be resolved. - ANS-
A business enterprise's CoC has not been reviewed for 2 years. HR desires to double it. The
compliance committee contributors expressed problem that this can reduce it is
effectiveness. What is the C&E P NEXT step before consolidating revisions?
A) request steering from the board of administrators
B) contract with a representative to rewrite the CoC
C) compare the content outline with different organizaions
D) rewrite the content material primarily based on Federal Sentencing Guidelines - ANS-
A compliance and ethics expert in auditing the enterprise's compliance with the
Sarbanes-Oxley Act. Which of the following findings suggests a contravention?
A. The public accounting company presenting audit services has had the identical audit
partner reviewing the audits for the beyond 6 years
B. The preceding public accounting firm was the beyond organisation of the organization's
modern-day controller who participated in an audit four years in the past
C. The previous public accounting firm is presenting bookkeeping related to the accounting
information and financial statements they as soon as audited
4 Aggravating factors for FCPA - ANS-•Upper degree employee "participated, condoned or
willfully ignorant of offense
•Repeat offense
•Hinderance to authorities investigation
•Pervasive Tolerance and cognizance of violation
four mitigating factors for FCPA - ANS-•Compliance application in impact
•Prompt reporting of violation
•Cooperation with government research
•Accept obligation for violation
A C&E expert investigates a report of sexual harassment. The incident, no longer represent
SH, exhibits the worker's false impression of the harassment coverage? Which of following
must be FIRST in the corrective action plan?
A) Consult out of doors suggest
B) Disclose the incident to the EEOC
C) Provide education and education on the coverage
D) Survey employee's information of the policy - ANS-C) Provide training and training on the
coverage
A C&R P is comparing an corporation's employee HB. A battle exists between the CoC and
the manual. HR is liable for the HB. Which of the subsequent moves ought to the C&E P
take first.
A) put up revised files on the agency's website
B) agenda time in the course of the subsequent board assembly to present revised
documents
C) Schedule a assembly with HR, general recommend, and the board to discuss the
difficulty
D) contact HR to decide if the inconsistencies between the files can be resolved. - ANS-
A business enterprise's CoC has not been reviewed for 2 years. HR desires to double it. The
compliance committee contributors expressed problem that this can reduce it is
effectiveness. What is the C&E P NEXT step before consolidating revisions?
A) request steering from the board of administrators
B) contract with a representative to rewrite the CoC
C) compare the content outline with different organizaions
D) rewrite the content material primarily based on Federal Sentencing Guidelines - ANS-
A compliance and ethics expert in auditing the enterprise's compliance with the
Sarbanes-Oxley Act. Which of the following findings suggests a contravention?
A. The public accounting company presenting audit services has had the identical audit
partner reviewing the audits for the beyond 6 years
B. The preceding public accounting firm was the beyond organisation of the organization's
modern-day controller who participated in an audit four years in the past
C. The previous public accounting firm is presenting bookkeeping related to the accounting
information and financial statements they as soon as audited
