CCEP: Set 2
A compliance and ethics expert (CEP) is faced in her workplace by means of ten authorities
officials accomplishing a marvel visit. They call for immediate get entry to to all company
documents. Which of the subsequent must the CEP do FIRST?
A. Tell them that it isn't always a compliance remember.
B. Request a replica of their professional authorization.
C. Call a better authority to request instant intervention.
D. Permit immediate access
C. Call a higher authority to request immediately intervention.
Under first-rate practices, an effective compliance and ethics program calls for
A. Upkeep of requirements and methods.
B. Danger assessment by an impartial consultant.
C. Annual evaluation through in-house felony counsel.
D. Approval via the inner audit branch
A. Maintenance of standards and approaches.
A organization gives free bottled water to all employees in pantry places during the
constructing. A safety digital camera tape well-knownshows an worker putting numerous
instances of water in his trunk. The company's rules country that theft of company
belongings will bring about instant termination. Which of the subsequent should the
compliance and ethics professional do FIRST?
A. Terminate the employee due to the enterprise policy violation.
B. Initiate disciplinary action based on the security digital camera tape.
C. Interview the worker concerning his actions.
D. Report the problem to local law enforcement.
C. Interview the employee concerning his moves.
A compliance and ethics expert (CEP) gets a call from an worker inside the finance
department who is concerned that the corporation is not complying with report destruction
requirements. Which of the following is the CEP's BEST response to the inquiry?
A. Ask the employee to become aware of the law that became violated.
B. Inform the worker the problem can be reviewed as time lets in.
C. Require the finance department to break all records right away.
D. Discuss the record destruction practices with the director of finance.
D. Discuss the record destruction practices with the director of finance.
To have an powerful software, a compliance and ethics expert have to offer schooling to all
employees and
, A. The enterprise's maximum authority.
B. External auditors.
C. Excessive-cost customers.
D. Majority shareholders
A. The agency's highest authority.
An powerful organizational code of conduct should include
A. Where to seek assist and clarification when unsure.
B. A requirement for an annual baseline audit.
C. A listing of officials and administrators.
D. Periodic compliance schooling.
A. In which to are searching for help and clarification whilst doubtful.
A compliance and ethics professional is asked to offer the organization's board of directors
with a quarterly compliance document. Which of the subsequent need to the file consist of?
A. Evaluate of key organizational compliance accomplishments
B. Enormous record on a fraud research performed via recommend
C. Precis of each call to the agency's compliance hotline
D. Specific info concerning all compliance training and schooling
D. Particular details concerning all compliance training and training
Which of the subsequent equipment would BEST help to prioritize capacity compliance
problems?
A. Interview
B. Survey
C. Organization coverage
D. Danger matrix
D. Chance matrix
The assistant to a senior supervisor submitted a repayment request for $15,000 of
"miscellaneous amusement prices." The agency's payables clerk determined that the payee
is a overseas minister. The clerk must
A. Discuss the charge request with a manager.
B. Difficulty reimbursement once receipts are obtained.
C. Deny charge of the request and go back it to the senior supervisor.
D. Inspect whether or not expenses had been appropriate
A. Talk the price request with a supervisor.
Disciplinary moves for violation of business enterprise regulations ought to be documented
while
A. Ensuing in worker termination.
B. Required by means of regulation or law.
C. Such movement is taken.
A compliance and ethics expert (CEP) is faced in her workplace by means of ten authorities
officials accomplishing a marvel visit. They call for immediate get entry to to all company
documents. Which of the subsequent must the CEP do FIRST?
A. Tell them that it isn't always a compliance remember.
B. Request a replica of their professional authorization.
C. Call a better authority to request instant intervention.
D. Permit immediate access
C. Call a higher authority to request immediately intervention.
Under first-rate practices, an effective compliance and ethics program calls for
A. Upkeep of requirements and methods.
B. Danger assessment by an impartial consultant.
C. Annual evaluation through in-house felony counsel.
D. Approval via the inner audit branch
A. Maintenance of standards and approaches.
A organization gives free bottled water to all employees in pantry places during the
constructing. A safety digital camera tape well-knownshows an worker putting numerous
instances of water in his trunk. The company's rules country that theft of company
belongings will bring about instant termination. Which of the subsequent should the
compliance and ethics professional do FIRST?
A. Terminate the employee due to the enterprise policy violation.
B. Initiate disciplinary action based on the security digital camera tape.
C. Interview the worker concerning his actions.
D. Report the problem to local law enforcement.
C. Interview the employee concerning his moves.
A compliance and ethics expert (CEP) gets a call from an worker inside the finance
department who is concerned that the corporation is not complying with report destruction
requirements. Which of the following is the CEP's BEST response to the inquiry?
A. Ask the employee to become aware of the law that became violated.
B. Inform the worker the problem can be reviewed as time lets in.
C. Require the finance department to break all records right away.
D. Discuss the record destruction practices with the director of finance.
D. Discuss the record destruction practices with the director of finance.
To have an powerful software, a compliance and ethics expert have to offer schooling to all
employees and
, A. The enterprise's maximum authority.
B. External auditors.
C. Excessive-cost customers.
D. Majority shareholders
A. The agency's highest authority.
An powerful organizational code of conduct should include
A. Where to seek assist and clarification when unsure.
B. A requirement for an annual baseline audit.
C. A listing of officials and administrators.
D. Periodic compliance schooling.
A. In which to are searching for help and clarification whilst doubtful.
A compliance and ethics professional is asked to offer the organization's board of directors
with a quarterly compliance document. Which of the subsequent need to the file consist of?
A. Evaluate of key organizational compliance accomplishments
B. Enormous record on a fraud research performed via recommend
C. Precis of each call to the agency's compliance hotline
D. Specific info concerning all compliance training and schooling
D. Particular details concerning all compliance training and training
Which of the subsequent equipment would BEST help to prioritize capacity compliance
problems?
A. Interview
B. Survey
C. Organization coverage
D. Danger matrix
D. Chance matrix
The assistant to a senior supervisor submitted a repayment request for $15,000 of
"miscellaneous amusement prices." The agency's payables clerk determined that the payee
is a overseas minister. The clerk must
A. Discuss the charge request with a manager.
B. Difficulty reimbursement once receipts are obtained.
C. Deny charge of the request and go back it to the senior supervisor.
D. Inspect whether or not expenses had been appropriate
A. Talk the price request with a supervisor.
Disciplinary moves for violation of business enterprise regulations ought to be documented
while
A. Ensuing in worker termination.
B. Required by means of regulation or law.
C. Such movement is taken.
