CCEP: SET 2 EXAM QUESTIONS WITH ACCURATE
ANSWERS/VERIFIED
1.A compliance and ethics professional (CEP) is confronted in her office by ten
government officials conducting a surprise visit. They demand immediate access to all
company documents. Which of the following should the CEP do FIRST?
A. Tell them that it is not a compliance matter.
B. Request a copy of their official authorization.
C. Call a higher authority to request immediate intervention.
D. Permit immediate access: C. Call a higher authority to request
immediate intervention.
2.Under best practices, an effective compliance and ethics program calls for
A. maintenance of standards and procedures.
B. risk assessment by an independent consultant.
C. annual review by in-house legal counsel.
, D. approval by the internal audit department: A. maintenance of standards and
procedures.
3.A company offers free bottled water to all employees in pantry locations throughout
the building. A security camera tape reveals an employee putting several cases of water
in his trunk. The company's policies state that theft of company property will result in
immediate termination. Which of the following should the compliance and ethics
professional do FIRST?
A. Terminate the employee because of the company policy violation.
B. Initiate disciplinary action based on the security camera tape.
C. Interview the employee regarding his actions.
D. Report the matter to local law enforcement.: C. Interview the employee
regard- ing his actions.
4.A compliance and ethics professional (CEP) receives a call from an em- ployee in the
finance department who is concerned that the company is not complying with
document destruction requirements. Which of the following is the CEP's BEST response
to the inquiry?
A. Ask the employee to identify the law that was violated.
B. Inform the employee the issue will be reviewed as time permits.
ANSWERS/VERIFIED
1.A compliance and ethics professional (CEP) is confronted in her office by ten
government officials conducting a surprise visit. They demand immediate access to all
company documents. Which of the following should the CEP do FIRST?
A. Tell them that it is not a compliance matter.
B. Request a copy of their official authorization.
C. Call a higher authority to request immediate intervention.
D. Permit immediate access: C. Call a higher authority to request
immediate intervention.
2.Under best practices, an effective compliance and ethics program calls for
A. maintenance of standards and procedures.
B. risk assessment by an independent consultant.
C. annual review by in-house legal counsel.
, D. approval by the internal audit department: A. maintenance of standards and
procedures.
3.A company offers free bottled water to all employees in pantry locations throughout
the building. A security camera tape reveals an employee putting several cases of water
in his trunk. The company's policies state that theft of company property will result in
immediate termination. Which of the following should the compliance and ethics
professional do FIRST?
A. Terminate the employee because of the company policy violation.
B. Initiate disciplinary action based on the security camera tape.
C. Interview the employee regarding his actions.
D. Report the matter to local law enforcement.: C. Interview the employee
regard- ing his actions.
4.A compliance and ethics professional (CEP) receives a call from an em- ployee in the
finance department who is concerned that the company is not complying with
document destruction requirements. Which of the following is the CEP's BEST response
to the inquiry?
A. Ask the employee to identify the law that was violated.
B. Inform the employee the issue will be reviewed as time permits.
