CERTIFIED COMPLIANCE AND ETHICS PROFESSIONAL CCEP
EXAM SCRIPT 2025/2026 QUESTIONS WITH ANSWERS
GRADED A+
✔✔Employee Reporting - ✔✔The act of employees bringing forward concerns or
violations to management or compliance officers.
✔✔Regulatory Issues - ✔✔Concerns related to compliance with laws and regulations
governing business operations.
✔✔Disciplinary Action - ✔✔Consequences imposed on an employee for violating
company policies or regulations.
✔✔Audit Committee - ✔✔A group within a company responsible for overseeing financial
reporting and disclosure.
✔✔Privacy Regulations - ✔✔Laws that govern the collection, storage, and sharing of
personal information.
✔✔Employee Incentives - ✔✔Rewards or benefits offered to employees to encourage
specific behaviors, such as reporting concerns.
✔✔Retaliation - ✔✔Adverse actions taken against an employee for reporting
misconduct or participating in an investigation.
✔✔Business Line Establishment - ✔✔The process of launching a new segment of
business operations within a company.
✔✔Performance Monitoring - ✔✔The ongoing assessment of an employee's work and
contributions to the organization.
✔✔Employee Fear of Retaliation - ✔✔Concerns that employees may have about facing
negative consequences for reporting issues.
✔✔Compliance Policy Training - ✔✔Educational sessions aimed at informing
employees about company policies and ethical standards.
✔✔Vendor Gifts Policy - ✔✔A guideline that prohibits employees from accepting gifts
from vendors to avoid conflicts of interest.
✔✔Summary of Functions - ✔✔An overview of the roles and responsibilities associated
with a specific business operation.
, ✔✔Hotline Database - ✔✔A record-keeping system that tracks reports made through
the company's hotline.
✔✔Compensation Committee - ✔✔A group responsible for determining the
compensation of the company's executives.
✔✔Action Plan - ✔✔A detailed strategy outlining steps to address a specific issue or
situation.
✔✔Compliance Evaluation - ✔✔An assessment of how well a company adheres to its
compliance policies and regulations.
✔✔Reporting System Testing - ✔✔The process of evaluating the effectiveness and
reliability of a system used for reporting concerns.
✔✔Allegation Investigation - ✔✔The process of examining claims made against an
individual or organization to determine their validity.
✔✔Corporate Code of Conduct - ✔✔A set of guidelines that outlines the ethical
standards and expectations for behavior within an organization.
✔✔Management Collaboration - ✔✔Working together with management to address
issues and implement solutions.
✔✔Employee Interviews - ✔✔Conversations conducted to gather information from
employees regarding specific issues or allegations.
✔✔Anonymous Reporting - ✔✔An employee requests to remain anonymous when
calling the hotline.
✔✔Confidentiality in Investigations - ✔✔The CEP should inform the employee that her
name will remain anonymous in the investigation.
✔✔Ethics Investigation Team - ✔✔A compliance and ethics professional should be
included any time a team is assembled to investigate an ethics violation.
✔✔Third-party Contracting - ✔✔A compliance and ethics professional should FIRST
provide all third-party employees with the organization's compliance policies.
✔✔Fraud Reporting - ✔✔The CEP should FIRST contact legal counsel when an
employee believes he might be involved in a possible fraud scheme.
EXAM SCRIPT 2025/2026 QUESTIONS WITH ANSWERS
GRADED A+
✔✔Employee Reporting - ✔✔The act of employees bringing forward concerns or
violations to management or compliance officers.
✔✔Regulatory Issues - ✔✔Concerns related to compliance with laws and regulations
governing business operations.
✔✔Disciplinary Action - ✔✔Consequences imposed on an employee for violating
company policies or regulations.
✔✔Audit Committee - ✔✔A group within a company responsible for overseeing financial
reporting and disclosure.
✔✔Privacy Regulations - ✔✔Laws that govern the collection, storage, and sharing of
personal information.
✔✔Employee Incentives - ✔✔Rewards or benefits offered to employees to encourage
specific behaviors, such as reporting concerns.
✔✔Retaliation - ✔✔Adverse actions taken against an employee for reporting
misconduct or participating in an investigation.
✔✔Business Line Establishment - ✔✔The process of launching a new segment of
business operations within a company.
✔✔Performance Monitoring - ✔✔The ongoing assessment of an employee's work and
contributions to the organization.
✔✔Employee Fear of Retaliation - ✔✔Concerns that employees may have about facing
negative consequences for reporting issues.
✔✔Compliance Policy Training - ✔✔Educational sessions aimed at informing
employees about company policies and ethical standards.
✔✔Vendor Gifts Policy - ✔✔A guideline that prohibits employees from accepting gifts
from vendors to avoid conflicts of interest.
✔✔Summary of Functions - ✔✔An overview of the roles and responsibilities associated
with a specific business operation.
, ✔✔Hotline Database - ✔✔A record-keeping system that tracks reports made through
the company's hotline.
✔✔Compensation Committee - ✔✔A group responsible for determining the
compensation of the company's executives.
✔✔Action Plan - ✔✔A detailed strategy outlining steps to address a specific issue or
situation.
✔✔Compliance Evaluation - ✔✔An assessment of how well a company adheres to its
compliance policies and regulations.
✔✔Reporting System Testing - ✔✔The process of evaluating the effectiveness and
reliability of a system used for reporting concerns.
✔✔Allegation Investigation - ✔✔The process of examining claims made against an
individual or organization to determine their validity.
✔✔Corporate Code of Conduct - ✔✔A set of guidelines that outlines the ethical
standards and expectations for behavior within an organization.
✔✔Management Collaboration - ✔✔Working together with management to address
issues and implement solutions.
✔✔Employee Interviews - ✔✔Conversations conducted to gather information from
employees regarding specific issues or allegations.
✔✔Anonymous Reporting - ✔✔An employee requests to remain anonymous when
calling the hotline.
✔✔Confidentiality in Investigations - ✔✔The CEP should inform the employee that her
name will remain anonymous in the investigation.
✔✔Ethics Investigation Team - ✔✔A compliance and ethics professional should be
included any time a team is assembled to investigate an ethics violation.
✔✔Third-party Contracting - ✔✔A compliance and ethics professional should FIRST
provide all third-party employees with the organization's compliance policies.
✔✔Fraud Reporting - ✔✔The CEP should FIRST contact legal counsel when an
employee believes he might be involved in a possible fraud scheme.
