Certified Compliance and Ethics Professional (CCEP) Certification Stu
Resources
1. Which of the fol- A. Reducing the organization's legal exposure
lowing BEST de-
scribes the pur-
pose of training
based upon risk
assessment find-
ings?
A.) Reducing the
organization's le-
gal exposure
B.) Educating
employees on
laws and regula-
tions
C.) Educating the
board on the
compliance pro-
gram
D.) Reducing the
organization's in-
surance premi-
ums
2. A compliance C.) Provide education and training on the policy
and ethics pro-
fessional inves-
tigates a re-
port of sexual
harassment. The
incident does
not constitute
sexual harass-
ment, but re-
veals the employ-
ee's misunder-
standings of the
harassment poli-
cy. Which of the
, Certified Compliance and Ethics Professional (CCEP) Certification Stu
Resources
following should
be the FIRST step
in a corrective
action plan?
A.) Consult out-
side counsel
B.) Disclose the
incident to the
EEOC
C.) Provide edu-
cation and train-
ing on the policy
D.) Survey em-
ployees' under-
standing of the
policy
3. Which of the fol- B.) Federal Sentencing Guidelines
lowing provides
guidance for the
development of a
compliance pro-
gram?
A.) Sarbanes-Ox-
ley Act
B.) Federal Sen-
tencing Guide-
lines
C.) Security and
Exchange Com-
mission
D.) Office for Civil
Rights
4. Which of the fol- A.) Mitigating risk
lowing is the
BEST outcome
, Certified Compliance and Ethics Professional (CCEP) Certification Stu
Resources
of a compliance
and ethics pro-
gram?
A.) Mitigating
risk
B.) Identifying
risk
C.) Prioritizing
risk
D.) Documenting
risk
5. Training on B.) Sales
price-fixing is
MOST important
for which of the
following staff?
A.) Management
B.) Sales
C.) Marketing
D.) Accounting
6. A compliance D.) 2, 3, and 4 only
and ethics pro-
gram should in-
clude:
1. An employ-
ee benefits hand-
book
2. Document re-
tention guide-
lines
3. Policies re-
garding confi-
dentiality
4. A statement
, Certified Compliance and Ethics Professional (CCEP) Certification Stu
Resources
about the organi-
zation's culture
A.) 1,2, and 3 only
B.) 1, 2, and 4
only
C.) 1, 3, and 4
only
D.) 2, 3, and 4 only
7. A US-based re- A.) Conduct a compliance and ethics risk assessment
tail company has
250 stores in
30 states. Past
compliance ef-
forts have includ-
ed a silo-based
approach with
minimal over-
sight and the
CEO acting as
the Compliance
and Ethics Of-
ficer. One per-
son in each state
posted compli-
ance-related in-
formation sent
from corporate,
but there were no
actual education-
al sessions. Poli-
cies and proce-
dures were de-
veloped by cor-
porate and re-
viewed 5 years
ago. The organi-
zation has de-
Resources
1. Which of the fol- A. Reducing the organization's legal exposure
lowing BEST de-
scribes the pur-
pose of training
based upon risk
assessment find-
ings?
A.) Reducing the
organization's le-
gal exposure
B.) Educating
employees on
laws and regula-
tions
C.) Educating the
board on the
compliance pro-
gram
D.) Reducing the
organization's in-
surance premi-
ums
2. A compliance C.) Provide education and training on the policy
and ethics pro-
fessional inves-
tigates a re-
port of sexual
harassment. The
incident does
not constitute
sexual harass-
ment, but re-
veals the employ-
ee's misunder-
standings of the
harassment poli-
cy. Which of the
, Certified Compliance and Ethics Professional (CCEP) Certification Stu
Resources
following should
be the FIRST step
in a corrective
action plan?
A.) Consult out-
side counsel
B.) Disclose the
incident to the
EEOC
C.) Provide edu-
cation and train-
ing on the policy
D.) Survey em-
ployees' under-
standing of the
policy
3. Which of the fol- B.) Federal Sentencing Guidelines
lowing provides
guidance for the
development of a
compliance pro-
gram?
A.) Sarbanes-Ox-
ley Act
B.) Federal Sen-
tencing Guide-
lines
C.) Security and
Exchange Com-
mission
D.) Office for Civil
Rights
4. Which of the fol- A.) Mitigating risk
lowing is the
BEST outcome
, Certified Compliance and Ethics Professional (CCEP) Certification Stu
Resources
of a compliance
and ethics pro-
gram?
A.) Mitigating
risk
B.) Identifying
risk
C.) Prioritizing
risk
D.) Documenting
risk
5. Training on B.) Sales
price-fixing is
MOST important
for which of the
following staff?
A.) Management
B.) Sales
C.) Marketing
D.) Accounting
6. A compliance D.) 2, 3, and 4 only
and ethics pro-
gram should in-
clude:
1. An employ-
ee benefits hand-
book
2. Document re-
tention guide-
lines
3. Policies re-
garding confi-
dentiality
4. A statement
, Certified Compliance and Ethics Professional (CCEP) Certification Stu
Resources
about the organi-
zation's culture
A.) 1,2, and 3 only
B.) 1, 2, and 4
only
C.) 1, 3, and 4
only
D.) 2, 3, and 4 only
7. A US-based re- A.) Conduct a compliance and ethics risk assessment
tail company has
250 stores in
30 states. Past
compliance ef-
forts have includ-
ed a silo-based
approach with
minimal over-
sight and the
CEO acting as
the Compliance
and Ethics Of-
ficer. One per-
son in each state
posted compli-
ance-related in-
formation sent
from corporate,
but there were no
actual education-
al sessions. Poli-
cies and proce-
dures were de-
veloped by cor-
porate and re-
viewed 5 years
ago. The organi-
zation has de-
