Ccep Exam (Compliance) Questions And Answers

CCEP: SET 3 QUESTIONS AND
ANSWERS



AnsorganizationshassjustsacceptedsasnewsbusinessslineswithsplantssinsGermanysandsFrance
.sThesCEOshassaskedsthescompliancesandsethicssprofessionals(CEP)stosevaluatesthescompl
iancesprogramstosdeterminesthesimpactsofsthisschange.sWhichsofsthesfollowingsshouldsthesC
EPsconsiderswhensevaluatingsthescompany'sscomplianceshotline?s
A.sForeignsCorruptsPracticessActs
B.sEUsPrivacysDirectives
C.sOECDsConventionsonsBriberys
D.sBanksSecrecysActs-sans--B.sEUsPrivacysDirective

Thesauditscommitteeshassaskedsthescompliancesandsethicssprofessionals(CEP)stosincludesa
sreviewsofsthescommissionssforsthessalessforcesinsthesactionsplansforsthesnext sfiscalsyear.sTh

esrisksassessmentsdidsnotsshowsthissassassignificantsrisksarea.sWhichsofsthesfollowingsaction
ssshouldsthesCEPsdosFIRST?s
A.sRevisesthesrisksassessmentstosincreasesthessignificancesofsthesconcern.
B.sGathersinformationstosdeterminesthesprioritysofsthissrisk.sC.sAddsthescommissionsconcerns
assthesfirstsrisksareastosbesaddressed.s
D.sAsksthesCEOstospresentsthesissuestosthesfullsboardsofsdirectors.s-sans--
C.sAddsthescommissionsconcernsassthesfirstsrisksareastosbesaddressed.

AscompliancesandsethicssprofessionalsshouldsFIRSTsensuresthatsriskssares
A.sEliminateds
B.sPrioritizeds
C.sAvoideds
D.sDeferreds-sans--B.sPrioritized

Whichsofsthesfollowingsissansessentialselementsofsasrisksassessment?s
A.sProvidestrainings
B.sEnsurespropersdiscipline.s
C.sReviewsnumbersofshotlinescallss
D.sInterviewsmanagerss-sans--D.sInterviewsmanagers

, Ascompliancesandsethicssprofessionalsdeterminessthatscorporatestravelsexpensesreportssar
esfilledswithsmistakes.sWhichsofsthesfollowingsissthesBESTswaystosaddresssthissproblem?st
A.sHoldsmandatorystrainingsforsallsemployeessrequiredstostravel.s
B.sRecommendsterminationsofsemployeesswhossubmitsincorrectsexpensesreports.s
C.sHyperlinksthespolicystosthesinternalscorporatescomplianceswebsite.s
D.sSendsansemailstosallsemployeessrepeatingscorporatespolicysonsthissmatters-sans--
A.sHoldsmandatorystrainingsforsallsemployeessrequiredstostravel.

Ascompliancesandsethicssworksplansshouldsbesdeveloped:s
A.sBasedsuponsasrisksassessment.s
B.sByslegalscounsels
C.sWithsoversightsbysinternalsaudit.s
D.sAtsleastsquarterlys-sans--A.sBasedsuponsasrisksassessment.

Becausesofstheschangessinsmanagementsandsacquisitions,sascompanyshassgonesfromsbein
gsasdomesticsmanufacturingsbusinessstosasglobalsservicessbusiness.sThesboardsofsdirector
sshassrevisedsthescompany'ssmission,svisionsandsvaluesstosreflectstheseschangessinsoperati
ons.sWhichsofsthesfollowingsshouldsthescompliancesandsethicssprofessionalsdosFIRST?s
A.sConductsansoperationalsaudit.s
B.sPerformsasrisksassessments
C.sDeterminesstaffingsrequirementss
D.sDevelopsnewstrainings-sans--B.sPerformsasrisksassessment

Ascompliancesandsethicssprofessionals(CEP)sdirectlysreportsstosthescompliancesandsauditsc
ommitteesofsthesboardswithsansindirectsreportstosthesCEO.sThespredominantsexpertisesofsthe
snewsboardsmemberssissin sfinance,sandstheyshavesrecommendedsthatsthescompliancesbudg

etsforstraining,sexternalsaudits,sandslegalsexpensesbesreducedssignificantly.sWhichsofsthesfoll
owingsissthesBESTsresponsesbysthesCEP?s
A.sRequestsreconsiderationsofsthesreductions
B.sReformulatesthesbudgetstospresentsatsthesnextsboardsmeeting.s
C.sEducatesthesboardsonstheirsoversightsresponsibility.s
D.sAcceptsthesrecommendationsbysthesboards-sans--
C.sEducatesthesboardsonstheirsoversightsresponsibility.

Beforescollaboratingswithsindustrysgroups,stradesassociations,sandsotherscompetitorsstosins
titutesbestspractices,swhichsofsthesfollowingspoliciessandsrulessshouldsbesreviewed?s
A.sPrivacys
B.sAnti-corruptions
C.sEmployments
D.sCompetitions-sans--D.sCompetition

Ascompany'ssseniorsexecutives,sincludingsthescompliancesandsethicssprofessionals(CEP),s
aresdiscussingsasnewsincentivesprogramsforssalessstaff.sWhichsofsthesfollowingsshouldsthesC
EPsdosnext?s
A.sRecommendsnosincentivesprogramsforssalessstaff.s
B.sDefersthesevaluationstossalessandsmarketings