1|Page
UHC ETHICS AND COMPLIANCE SECTION FOR
CERTIFICATION EXAM UPDATED 2025–2026
WITH ALL NEW QUESTIONS AND EXACTLY
RIGHT ANSWERS | A+ QUALITY GUARANTEE
What is a servicing agent? - ANSWER: an inactive, nonemployee who has signed
a servicing agreement in order to receive renewal commisions on medicare
advantage and prescription drug plan enrollments on or after 1-1-2014. the agent
must maintain an active resident license and appointment and pass medicare basics
and ethics compliance assessments on an annual basis
What does CMS stand for? - ANSWER: center for medicare and medicaid
services
Who administers the medicare program and contracts with private health care
companies to offer medicaid plans? - ANSWER: CMS
Who holds the authority to approve or disaprove plans that can be sold, and is the
regulating agency that also monitors our progresses? - ANSWER: CMS
Who regulates MA's and PDP's - ANSWER: CMS
Enrolling a customer in a plan when you are not certified in the product is non-
compliant and considered____? - ANSWER: an unqualified sale
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Agents who are not qualified to sell the product will not be? - ANSWER:
compensated and may receive corrective and or disciplinary action up to an
including termination
What is the purpose of an educational event? - ANSWER: its designed to inform
medicare consumers about original medicare, medicare advantage, prescription
drug and other medicare programs.
Where must educational events be conducted? - ANSWER: in a public venue
Are the educational events unbiased so that it doesn't steer the consumer towards a
specific plan or limited number of plans? - ANSWER: yes
WHat is a marketing/sales event? - ANSWER: an event designed to steer or
attempt to steer, consumers toward a plan or limited set of plans. Agents may
discuss plan specific information and collect applications.
Can marketing/sales be formal or informal? - ANSWER: both
What describes a formal marketing/sales event? - ANSWER: a full plan
presentation, given in a presenter-audience format.
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What is an inform marketing/sales event? - ANSWER: they're passive in nature
where the consumer approaches the agent to engage in conversation. a booth, table,
or kiosk is typically used
What are marketing appointments? - ANSWER: They're commonly referred to as
"in home, face to face, or one on one appointment" and typically take place in the
consumers home.
What other places can marketing appointments happen? - ANSWER: coffee shop,
or even over the phone
because marketing appointments are not formal and informal marketing sales
events, they're not reported to who? - ANSWER: UHC or CMS. instead, agents
must obtain a completed scope of appointment prior to conducting the
appointment.
To report events, what should agents use? - ANSWER: an event request form
to ensure that events are in UHC's event reporting application no less than 7
calender days prior to the event... - ANSWER: submit the event request form,
according to instructions on the form, NO LESS THAN 14 CALENDAR DAYS
event request forms submitted within7 calendar days will NOT be what? -
ANSWER: processed
UHC ETHICS AND COMPLIANCE SECTION FOR
CERTIFICATION EXAM UPDATED 2025–2026
WITH ALL NEW QUESTIONS AND EXACTLY
RIGHT ANSWERS | A+ QUALITY GUARANTEE
What is a servicing agent? - ANSWER: an inactive, nonemployee who has signed
a servicing agreement in order to receive renewal commisions on medicare
advantage and prescription drug plan enrollments on or after 1-1-2014. the agent
must maintain an active resident license and appointment and pass medicare basics
and ethics compliance assessments on an annual basis
What does CMS stand for? - ANSWER: center for medicare and medicaid
services
Who administers the medicare program and contracts with private health care
companies to offer medicaid plans? - ANSWER: CMS
Who holds the authority to approve or disaprove plans that can be sold, and is the
regulating agency that also monitors our progresses? - ANSWER: CMS
Who regulates MA's and PDP's - ANSWER: CMS
Enrolling a customer in a plan when you are not certified in the product is non-
compliant and considered____? - ANSWER: an unqualified sale
,2|Page
Agents who are not qualified to sell the product will not be? - ANSWER:
compensated and may receive corrective and or disciplinary action up to an
including termination
What is the purpose of an educational event? - ANSWER: its designed to inform
medicare consumers about original medicare, medicare advantage, prescription
drug and other medicare programs.
Where must educational events be conducted? - ANSWER: in a public venue
Are the educational events unbiased so that it doesn't steer the consumer towards a
specific plan or limited number of plans? - ANSWER: yes
WHat is a marketing/sales event? - ANSWER: an event designed to steer or
attempt to steer, consumers toward a plan or limited set of plans. Agents may
discuss plan specific information and collect applications.
Can marketing/sales be formal or informal? - ANSWER: both
What describes a formal marketing/sales event? - ANSWER: a full plan
presentation, given in a presenter-audience format.
, 3|Page
What is an inform marketing/sales event? - ANSWER: they're passive in nature
where the consumer approaches the agent to engage in conversation. a booth, table,
or kiosk is typically used
What are marketing appointments? - ANSWER: They're commonly referred to as
"in home, face to face, or one on one appointment" and typically take place in the
consumers home.
What other places can marketing appointments happen? - ANSWER: coffee shop,
or even over the phone
because marketing appointments are not formal and informal marketing sales
events, they're not reported to who? - ANSWER: UHC or CMS. instead, agents
must obtain a completed scope of appointment prior to conducting the
appointment.
To report events, what should agents use? - ANSWER: an event request form
to ensure that events are in UHC's event reporting application no less than 7
calender days prior to the event... - ANSWER: submit the event request form,
according to instructions on the form, NO LESS THAN 14 CALENDAR DAYS
event request forms submitted within7 calendar days will NOT be what? -
ANSWER: processed
