UHC Ethics and Compliance Section
For Certification
2025/2026
Exam Prep Material
with
Verified Questions and Answers
A+ Grades Guarantee
, 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
What is a servicing agent? and pass medicare basics and ethics compliance assessments on
an annual basis
What does CMS stand for? center for medicare and medicaid services
CMS
Who administers the medicare
program and contracts with
private health care companies to
offer medicaid plans?
CMS
Who holds the authority to
approve or disaprove plans that
can be sold, and is the regulating
agency that also monitors our
progresses?
Who regulates MA's and PDP's CMS
an unqualified sale
Enrolling a customer in a plan
when you are not certified in the
product is non-compliant and
considered____?
compensated and may receive corrective and or disciplinary action
Agents who are not qualified to
up to an including termination
sell the product will not be?
its designed to inform medicare consumers about original
What is the purpose of an medicare, medicare advantage, prescription drug and other
educational event? medicare programs.
Where must educational events in a public venue
be conducted?
yes
Are the educational events
unbiased so that it doesn't steer
the consumer towards a specific
plan or limited number of plans?
an event designed to steer or attempt to steer, consumers toward
a plan or limited set of plans. Agents may discuss plan specific
WHat is a marketing/sales event? information and collect applications.
both
Can marketing/sales be formal or
informal?
a full plan presentation, given in a presenter-audience format.
What describes a formal
marketing/sales event?
, they're passive in nature where the consumer approaches the
What is an inform agent to engage in conversation. a booth, table, or kiosk is
marketing/sales event? typically used
They're commonly referred to as "in home, face to face, or one on
What are marketing one appointment" and typically take place in the consumers home.
appointments?
coffee shop, or even over the phone
What other places can marketing
appointments happen?
UHC or CMS. instead, agents must obtain a completed scope of
appointment prior to conducting the appointment.
because marketing appointments
are not formal and informal
marketing sales events, they're
not reported to who?
an event request form
To report events, what should
agents use?
submit the event request form, according to instructions on the
form, NO LESS THAN 14 CALENDAR DAYS
to ensure that events are in
UHC's event reporting application
no less than 7 calender days
prior to the event...
processed
event request forms submitted
within7 calendar days will NOT
be what?
prohibited
conducting an unreported event
is _____?
14 days prior to the event or appointment
to schedule a sign language
interpreter for a formal
marketing/sales event or a
personal/individual marketing
appointment, enter the
consumer's request direct;y in
bconnected at least?
1) draw attention to a plan sponsor or their plan(s) and
2) influence a consumer's decision when selecting a plan in which
What are marketing materials to enroll or a member's decision to remain enrolled in their current
used for? plan
1) benefits or benefit structure
2) cost sharing ( including premiums, copayments, and
Marketing materials contain deductibles)
information about the plan or 3) Measurements or ranking standards ( such as star ratings.
plans: comparisons to other plans, or statistical studies or surveys)
For Certification
2025/2026
Exam Prep Material
with
Verified Questions and Answers
A+ Grades Guarantee
, 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
What is a servicing agent? and pass medicare basics and ethics compliance assessments on
an annual basis
What does CMS stand for? center for medicare and medicaid services
CMS
Who administers the medicare
program and contracts with
private health care companies to
offer medicaid plans?
CMS
Who holds the authority to
approve or disaprove plans that
can be sold, and is the regulating
agency that also monitors our
progresses?
Who regulates MA's and PDP's CMS
an unqualified sale
Enrolling a customer in a plan
when you are not certified in the
product is non-compliant and
considered____?
compensated and may receive corrective and or disciplinary action
Agents who are not qualified to
up to an including termination
sell the product will not be?
its designed to inform medicare consumers about original
What is the purpose of an medicare, medicare advantage, prescription drug and other
educational event? medicare programs.
Where must educational events in a public venue
be conducted?
yes
Are the educational events
unbiased so that it doesn't steer
the consumer towards a specific
plan or limited number of plans?
an event designed to steer or attempt to steer, consumers toward
a plan or limited set of plans. Agents may discuss plan specific
WHat is a marketing/sales event? information and collect applications.
both
Can marketing/sales be formal or
informal?
a full plan presentation, given in a presenter-audience format.
What describes a formal
marketing/sales event?
, they're passive in nature where the consumer approaches the
What is an inform agent to engage in conversation. a booth, table, or kiosk is
marketing/sales event? typically used
They're commonly referred to as "in home, face to face, or one on
What are marketing one appointment" and typically take place in the consumers home.
appointments?
coffee shop, or even over the phone
What other places can marketing
appointments happen?
UHC or CMS. instead, agents must obtain a completed scope of
appointment prior to conducting the appointment.
because marketing appointments
are not formal and informal
marketing sales events, they're
not reported to who?
an event request form
To report events, what should
agents use?
submit the event request form, according to instructions on the
form, NO LESS THAN 14 CALENDAR DAYS
to ensure that events are in
UHC's event reporting application
no less than 7 calender days
prior to the event...
processed
event request forms submitted
within7 calendar days will NOT
be what?
prohibited
conducting an unreported event
is _____?
14 days prior to the event or appointment
to schedule a sign language
interpreter for a formal
marketing/sales event or a
personal/individual marketing
appointment, enter the
consumer's request direct;y in
bconnected at least?
1) draw attention to a plan sponsor or their plan(s) and
2) influence a consumer's decision when selecting a plan in which
What are marketing materials to enroll or a member's decision to remain enrolled in their current
used for? plan
1) benefits or benefit structure
2) cost sharing ( including premiums, copayments, and
Marketing materials contain deductibles)
information about the plan or 3) Measurements or ranking standards ( such as star ratings.
plans: comparisons to other plans, or statistical studies or surveys)
