Certified Compliance and Ethics
Professional (CCEP) Certification Exam
Questions and Answers 2025
Which of the following is a key component of a compliance and ethics
program?
A.) On-going training
B.) Employee surveys
C.) Monthly employee meetings
D.) Company newsletter
A.) On-going training
A CFO discovers the CEO is using company funds for personal expenses.
The CFO buried this information in the company's financial reports. The
compliance and ethics professional learns of the situation through the
company's hotline. Which of the following should be the compliance and
ethics professional's FIRST response?
A.) Retain outside counsel
B.) Recommend suspension of the CEO
C.) Investigate to verify the allegation
D.) Disclose the issue and terminate the CEO
C.) Investigate to verify the allegation
A compliance structural policy differs from a substantive policy in that a
structural policy should:
A.) Describe the risk areas to the organization
B.) Describe how to operate within the regulations
C.) Define the regulations that apply to the organization
D.) Define the framework the program should operate within
D.) Define the framework the program should operate within
According to the Federal Sentencing Guidelines, "substantial authority
personnel" MOST likely refers to the:
,A.) Production line manager
B.) Purchasing supervisor
C.) Internal audit secretary
D.) HR benefits associate
B.) Purchasing supervisor
HR asks the compliance and ethics professional if the company can
provide a vendor with names and e-mail addresses of the company's sales
employees to promote a new incentive plan. Some of the employees live
and work outside the U.S. Which of the following is the MOST appropriate
action for the compliance and ethics professional to take?
A.) Direct human resources to comply with the vendor's privacy policies
B.) Ask the vendor to sign a confidentiality agreement before providing
the information
C.) Consult the legal department for advice on applicable privacy laws to
ensure compliance
D.) Instruct HR not to provide the information because it would violate
international privacy laws
C.) Consult the legal department for advice on applicable privacy laws to
ensure compliance
Adherence to the compliance and ethics program should be incorporated
as an element in evaluations of supervisors who:
A.) Are new to the company within the last 12 months
B.) Received training during the evaluation period
C.) Have previously noted compliance violations
D.) Are in all levels of the organization
D.) Are in all levels of the organization
Which of the following do the Federal Sentencing Guidelines require of an
organization's governing authority?
A.) Reasonable oversight of the compliance and ethics program
B.) Responsibility for the development of the compliance and ethics
program
, C.) Day-to-day operational responsibility for the compliance and ethics
program
D.) Periodic reporting of the effectiveness of the compliance and ethics
program
A.) Reasonable oversight of the compliance and ethics program
A supervisor is informed that a subordinate employee has lodged a
complaint against the company through the hotline. Which of the
following documents should the compliance and ethics professional
review with the supervisor FIRST?
A.) Code of conduct
B.) Confidentiality policy
C.) Non-retaliation policy
D.) Compliance manual
C.) Non-retaliation policy
A company's compliance and ethics professional receives an anonymous
hotline call alleging that the CFO has embezzled millions of dollars. The
caller states the money is from an identifiable account. Which of the
following should the compliance and ethics professional do FIRST?
A.) Report the matter to the company's Board of Directors
B.) Contact local law enforcement immediately
C.) Verify the money has been misappropriated
D.) Self-disclose to the appropriate governmental agency
C.) Verify the money has been misappropriated
What are the three principles of the Code of Professional Ethics for
Compliance and Ethics Professionals
Principle I - Obligations to the Public
Principle II - Obligations to the Employing Organization
Principle III - Obligations to the Profession
The compliance and ethics professional is discussing safeguard policies
related to the security rule. What type of safeguard is MOST closely
related to policies regarding access controls, audit controls, integrity
Professional (CCEP) Certification Exam
Questions and Answers 2025
Which of the following is a key component of a compliance and ethics
program?
A.) On-going training
B.) Employee surveys
C.) Monthly employee meetings
D.) Company newsletter
A.) On-going training
A CFO discovers the CEO is using company funds for personal expenses.
The CFO buried this information in the company's financial reports. The
compliance and ethics professional learns of the situation through the
company's hotline. Which of the following should be the compliance and
ethics professional's FIRST response?
A.) Retain outside counsel
B.) Recommend suspension of the CEO
C.) Investigate to verify the allegation
D.) Disclose the issue and terminate the CEO
C.) Investigate to verify the allegation
A compliance structural policy differs from a substantive policy in that a
structural policy should:
A.) Describe the risk areas to the organization
B.) Describe how to operate within the regulations
C.) Define the regulations that apply to the organization
D.) Define the framework the program should operate within
D.) Define the framework the program should operate within
According to the Federal Sentencing Guidelines, "substantial authority
personnel" MOST likely refers to the:
,A.) Production line manager
B.) Purchasing supervisor
C.) Internal audit secretary
D.) HR benefits associate
B.) Purchasing supervisor
HR asks the compliance and ethics professional if the company can
provide a vendor with names and e-mail addresses of the company's sales
employees to promote a new incentive plan. Some of the employees live
and work outside the U.S. Which of the following is the MOST appropriate
action for the compliance and ethics professional to take?
A.) Direct human resources to comply with the vendor's privacy policies
B.) Ask the vendor to sign a confidentiality agreement before providing
the information
C.) Consult the legal department for advice on applicable privacy laws to
ensure compliance
D.) Instruct HR not to provide the information because it would violate
international privacy laws
C.) Consult the legal department for advice on applicable privacy laws to
ensure compliance
Adherence to the compliance and ethics program should be incorporated
as an element in evaluations of supervisors who:
A.) Are new to the company within the last 12 months
B.) Received training during the evaluation period
C.) Have previously noted compliance violations
D.) Are in all levels of the organization
D.) Are in all levels of the organization
Which of the following do the Federal Sentencing Guidelines require of an
organization's governing authority?
A.) Reasonable oversight of the compliance and ethics program
B.) Responsibility for the development of the compliance and ethics
program
, C.) Day-to-day operational responsibility for the compliance and ethics
program
D.) Periodic reporting of the effectiveness of the compliance and ethics
program
A.) Reasonable oversight of the compliance and ethics program
A supervisor is informed that a subordinate employee has lodged a
complaint against the company through the hotline. Which of the
following documents should the compliance and ethics professional
review with the supervisor FIRST?
A.) Code of conduct
B.) Confidentiality policy
C.) Non-retaliation policy
D.) Compliance manual
C.) Non-retaliation policy
A company's compliance and ethics professional receives an anonymous
hotline call alleging that the CFO has embezzled millions of dollars. The
caller states the money is from an identifiable account. Which of the
following should the compliance and ethics professional do FIRST?
A.) Report the matter to the company's Board of Directors
B.) Contact local law enforcement immediately
C.) Verify the money has been misappropriated
D.) Self-disclose to the appropriate governmental agency
C.) Verify the money has been misappropriated
What are the three principles of the Code of Professional Ethics for
Compliance and Ethics Professionals
Principle I - Obligations to the Public
Principle II - Obligations to the Employing Organization
Principle III - Obligations to the Profession
The compliance and ethics professional is discussing safeguard policies
related to the security rule. What type of safeguard is MOST closely
related to policies regarding access controls, audit controls, integrity
