Certified Compliance and Ethics
Professional (CCEP) Certification Study
Resources
Which of the subsequent BEST describes the motive of schooling based totally upon hazard
evaluation findings?
A.) Reducing the enterprise's felony publicity
B.) Educating personnel on legal guidelines and guidelines
C.) Educating the board at the compliance program
D.) Reducing the corporation's insurance charges
A. Reducing the agency's legal exposure
A compliance and ethics professional investigates a record of sexual harassment. The
incident does now not represent sexual harassment, but famous the worker's
misunderstandings of the harassment coverage. Which of the following should be the FIRST
step in a corrective movement plan?
A.) Consult out of doors recommend
B.) Disclose the incident to the EEOC
C.) Provide schooling and schooling at the policy
D.) Survey personnel' information of the coverage
C.) Provide training and schooling on the policy
Which of the subsequent gives guidance for the improvement of a compliance program?
A.) Sarbanes-Oxley Act
B.) Federal Sentencing Guidelines
C.) Security and Exchange Commission
D.) Office for Civil Rights
B.) Federal Sentencing Guidelines
Which of the subsequent is the BEST final results of a compliance and ethics program?
A.) Mitigating danger
B.) Identifying hazard
C.) Prioritizing risk
D.) Documenting danger
A.) Mitigating hazard
,Training on fee-solving is MOST vital for which of the subsequent workforce?
A.) Management
B.) Sales
C.) Marketing
D.) Accounting
B.) Sales
A compliance and ethics application need to encompass:
1. An employee blessings handbook
2. Document retention suggestions
3. Policies regarding confidentiality
four. A assertion about the corporation's tradition
A.) 1,2, and three best
B.) 1, 2, and four best
C.) 1, three, and 4 best
D.) 2, 3, and 4 best
D.) 2, 3, and four only
A US-primarily based retail enterprise has 250 shops in 30 states. Past compliance efforts
have protected a silo-based technique with minimum oversight and the CEO performing
because the Compliance and Ethics Officer. One individual in each state published
compliance-associated records despatched from corporate, but there had been no actual
instructional sessions. Policies and techniques had been developed by corporate and
reviewed five years in the past. The employer has determined that a greater dedicated
approach is wanted and hires a Compliance and Ethics Officer. Which of the following
movements ought to the brand new Compliance and Ethics Officer take FIRST?
A.) Conduct a compliance and ethics risk evaluation
B.) Review corporation-huge compliance guidelines
C.) Perform a statistically valid compliance audit
D.) Distribute a compliance education packet to employees
A.) Conduct a compliance and ethics danger evaluation
An worker discloses to counsel and the compliance and ethics professional that a manager
has been verbally abusive. An investigation finds that the equal supervisor has additionally
been sexually harassing numerous personnel in his branch. The compliance program calls
for that findings of harassment be documented and forwarded by using the compliance and
ethics expert to the CEO with a advice for suitable discipline. Counsel advises that no file be
written because of viable litigation. The compliance and ethics expert's BEST course of
motion is to:
, A.) Follow counsel's recommendation
B.) Submit a written report
C.) Ask suggest to put together the written file
D.) Recommend disciplinary motion in opposition to counsel
C.) Ask suggest to prepare the written file
Even although recommend advises to now not publish a document Compliance can propose
alternatives to make certain the compliance software is being accompanied. By asking
counsel to prepare the written file it's far then covered by attorney-purchaser privilege and
follows the compliance application.
A compliance and ethics professional is evaluating an corporation's worker handbook. A
conflict exists between the Code of Conduct and the worker handbook. HR is liable for the
employee manual. The documents have been permitted by way of the board of directors.
Which of the subsequent movements have to the compliance and ethics professional take
FIRST?
A.) Post revised files on the agency's website
B.) Schedule a time at some stage in the next board meeting to present revised files
C.) Schedule a meeting with HR, popular suggest, and the board to discuss the difficulty
D.) Contact HR to determine if the inconsistencies among the documents can be resolved
D.) Contact HR to decide if the inconsistencies between the files can be resolved
Escalate to the lowest level whilst possible
A agency's Code of Conduct has no longer been reviewed for over 2 years. HR advocated
including content that might double its length. The compliance committee individuals
expressed concern that including a enormous amount of content may want to negatively
impact its effectiveness. Which of the subsequent is the compliance and ethics expert's
NEXT step earlier than consolidating revisions?
A.) Request steering from the board of administrators
B.) Contract with a representative to rewrite the Code of Conduct
C.) Compare the content outline with other companies
D.) Rewrite the content primarily based on Federal Sentencing Guidelines
C.) Compare the content material outline with other corporations
Benchmarking
Which of the subsequent is the MOST convincing demonstration of the effectiveness of a
business enterprise's moral requirements?
Professional (CCEP) Certification Study
Resources
Which of the subsequent BEST describes the motive of schooling based totally upon hazard
evaluation findings?
A.) Reducing the enterprise's felony publicity
B.) Educating personnel on legal guidelines and guidelines
C.) Educating the board at the compliance program
D.) Reducing the corporation's insurance charges
A. Reducing the agency's legal exposure
A compliance and ethics professional investigates a record of sexual harassment. The
incident does now not represent sexual harassment, but famous the worker's
misunderstandings of the harassment coverage. Which of the following should be the FIRST
step in a corrective movement plan?
A.) Consult out of doors recommend
B.) Disclose the incident to the EEOC
C.) Provide schooling and schooling at the policy
D.) Survey personnel' information of the coverage
C.) Provide training and schooling on the policy
Which of the subsequent gives guidance for the improvement of a compliance program?
A.) Sarbanes-Oxley Act
B.) Federal Sentencing Guidelines
C.) Security and Exchange Commission
D.) Office for Civil Rights
B.) Federal Sentencing Guidelines
Which of the subsequent is the BEST final results of a compliance and ethics program?
A.) Mitigating danger
B.) Identifying hazard
C.) Prioritizing risk
D.) Documenting danger
A.) Mitigating hazard
,Training on fee-solving is MOST vital for which of the subsequent workforce?
A.) Management
B.) Sales
C.) Marketing
D.) Accounting
B.) Sales
A compliance and ethics application need to encompass:
1. An employee blessings handbook
2. Document retention suggestions
3. Policies regarding confidentiality
four. A assertion about the corporation's tradition
A.) 1,2, and three best
B.) 1, 2, and four best
C.) 1, three, and 4 best
D.) 2, 3, and 4 best
D.) 2, 3, and four only
A US-primarily based retail enterprise has 250 shops in 30 states. Past compliance efforts
have protected a silo-based technique with minimum oversight and the CEO performing
because the Compliance and Ethics Officer. One individual in each state published
compliance-associated records despatched from corporate, but there had been no actual
instructional sessions. Policies and techniques had been developed by corporate and
reviewed five years in the past. The employer has determined that a greater dedicated
approach is wanted and hires a Compliance and Ethics Officer. Which of the following
movements ought to the brand new Compliance and Ethics Officer take FIRST?
A.) Conduct a compliance and ethics risk evaluation
B.) Review corporation-huge compliance guidelines
C.) Perform a statistically valid compliance audit
D.) Distribute a compliance education packet to employees
A.) Conduct a compliance and ethics danger evaluation
An worker discloses to counsel and the compliance and ethics professional that a manager
has been verbally abusive. An investigation finds that the equal supervisor has additionally
been sexually harassing numerous personnel in his branch. The compliance program calls
for that findings of harassment be documented and forwarded by using the compliance and
ethics expert to the CEO with a advice for suitable discipline. Counsel advises that no file be
written because of viable litigation. The compliance and ethics expert's BEST course of
motion is to:
, A.) Follow counsel's recommendation
B.) Submit a written report
C.) Ask suggest to put together the written file
D.) Recommend disciplinary motion in opposition to counsel
C.) Ask suggest to prepare the written file
Even although recommend advises to now not publish a document Compliance can propose
alternatives to make certain the compliance software is being accompanied. By asking
counsel to prepare the written file it's far then covered by attorney-purchaser privilege and
follows the compliance application.
A compliance and ethics professional is evaluating an corporation's worker handbook. A
conflict exists between the Code of Conduct and the worker handbook. HR is liable for the
employee manual. The documents have been permitted by way of the board of directors.
Which of the subsequent movements have to the compliance and ethics professional take
FIRST?
A.) Post revised files on the agency's website
B.) Schedule a time at some stage in the next board meeting to present revised files
C.) Schedule a meeting with HR, popular suggest, and the board to discuss the difficulty
D.) Contact HR to determine if the inconsistencies among the documents can be resolved
D.) Contact HR to decide if the inconsistencies between the files can be resolved
Escalate to the lowest level whilst possible
A agency's Code of Conduct has no longer been reviewed for over 2 years. HR advocated
including content that might double its length. The compliance committee individuals
expressed concern that including a enormous amount of content may want to negatively
impact its effectiveness. Which of the subsequent is the compliance and ethics expert's
NEXT step earlier than consolidating revisions?
A.) Request steering from the board of administrators
B.) Contract with a representative to rewrite the Code of Conduct
C.) Compare the content outline with other companies
D.) Rewrite the content primarily based on Federal Sentencing Guidelines
C.) Compare the content material outline with other corporations
Benchmarking
Which of the subsequent is the MOST convincing demonstration of the effectiveness of a
business enterprise's moral requirements?
