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CCEP: Set 1 Questions and Answers 100% Correct
CCEP: Set 1 Questions and Answers 100% Correct 
A company uses 5,000 third parties to accomplish business tasks. Which of the 
following steps should the compliance and ethics professional take to require third 
parties to comply with the company's ethics and compliance standards? 
A. Read the third party's code of conduct. 
B. Include the standards in the third-party contract. 
C. Conduct due diligence on the third party. 
D. Communicate the standards to the third part - Correct Answer ️️...
- Examen
- • 15 pages •
CCEP: Set 1 Questions and Answers 100% Correct 
A company uses 5,000 third parties to accomplish business tasks. Which of the 
following steps should the compliance and ethics professional take to require third 
parties to comply with the company's ethics and compliance standards? 
A. Read the third party's code of conduct. 
B. Include the standards in the third-party contract. 
C. Conduct due diligence on the third party. 
D. Communicate the standards to the third part - Correct Answer ️️...
CCEP Certification Chapter 4: Tailoring Your Compliance Program Questions and Answers 100% Pass
CCEP Certification Chapter 4: Tailoring Your 
Compliance Program Questions and 
Answers 100% Pass 
The three C's of communication - Correct Answer ️️ -Clear, concise and creative 
What is the most important communication device? - Correct Answer ️️ -Open-door 
policy 
What are the three items that should be reviewed annually? - Correct Answer ️️ - 
Compliance plan, polices and procedures 
What are the three measures of effectiveness? - Correct Answer ️️ -1. Structure 
2. Process...
- Examen
- • 1 pages •
CCEP Certification Chapter 4: Tailoring Your 
Compliance Program Questions and 
Answers 100% Pass 
The three C's of communication - Correct Answer ️️ -Clear, concise and creative 
What is the most important communication device? - Correct Answer ️️ -Open-door 
policy 
What are the three items that should be reviewed annually? - Correct Answer ️️ - 
Compliance plan, polices and procedures 
What are the three measures of effectiveness? - Correct Answer ️️ -1. Structure 
2. Process...
CCEP Glossary Exam Questions and Answers 100% Pass
CCEP Glossary Exam Questions and 
Answers 100% Pass 
Accounting and Auditing Enforcement Releases (AAER) - Correct Answer ️️ -Financial 
reporting related enforcement actions concerning civil lawsuits brought by the 
Commission in federal court and notices and orders concerning the institution and/or 
settlement of administrative proceedings. 
Accredited Investors - Correct Answer ️️ -Term used by the SEC under Regulation D 
to refer to investors who are financially sophisticated and hav...
- Examen
- • 29 pages •
CCEP Glossary Exam Questions and 
Answers 100% Pass 
Accounting and Auditing Enforcement Releases (AAER) - Correct Answer ️️ -Financial 
reporting related enforcement actions concerning civil lawsuits brought by the 
Commission in federal court and notices and orders concerning the institution and/or 
settlement of administrative proceedings. 
Accredited Investors - Correct Answer ️️ -Term used by the SEC under Regulation D 
to refer to investors who are financially sophisticated and hav...
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INSY-3303 FINAL EXAM STUDY GUIDE WITH COMPLETE SOLUTIONS
the answers are incorrect