CERTIFIED COMPLIANCE AND ETHICS PROFESSIONAL (CCEP)
CERTIFICATION STUDY RESOURCES 2025/2026 EXAM
QUESTIONS WITH COMPLETE SOLUTIONS
A company's Code of Conduct has not been reviewed for over 2
years. HR recommended adding content that would double its size.
The compliance committee members expressed concern that adding
a significant amount of content could negatively impact its
effectiveness. Which of the following is the compliance and ethics
professional's NEXT step before consolidating revisions?
A.) Request guidance from the board of directors
B.) Contract with a consultant to rewrite the Code of Conduct
C.) Compare the content outline with other organizations
D.) Rewrite the content based on Federal Sentencing Guidelines
B.) Compare the content outline with other organizations
Benchmarking
Which of the following is the MOST convincing demonstration of the
effectiveness of a company's ethical standards?
A.) Implementation of an anonymous reporting and feedback system
B.) Termination of an executive who embezzled a small amount of
money
C.) Suspension of an employee who failed to complete compliance
training
D.) Production of the organization's professional printed Code of
Conduct
A.) Termination of an executive who embezzled a small amount of money
,A compliance and ethics professional has developed a policy
intended to prohibit employees from paying, offering, or promising to
pay officials of other countries for the purpose of obtaining or
maintaining business. This policy will help the organization comply
with the:
A.) Sherman Act
B.) USA Patriot Act
C.) Anti-Money Laundering Act
D.) Foreign Corrupt Practices Act
C.) Foreign Corrupt Practices Act
A company receives a federal subpoena from the government
requesting all of the company's documents from 1990 to the present.
The company's compliance and ethics professional has been asked to
respond to the subpoena and to advise the company's employees on
their role in the process. Which of the following should the company's
compliance and ethics professional do FIRST?
A.) Obtain documents and determine which to release
B.) Consult with the company's general counsel
C.) Gather documents and turn them over to the government
D.) Notify all employees that all documents must be retained
B.) Consult with the company's general counsel
Which of the following is MOST helpful in determining how a
company prioritizes its risk?
A.) Historical data
, B.) Policies and procedures
C.) Incentive program
D.) Market competition
A.) Historical data
In which of the following would an employee's obligation to report
misconduct MOST likely be discussed?
A.) Job interview
B.) Manager's meeting
C.) New employee orientation
D.) Audit committee meetings
C.) New employee orientation
According to the Sarbanes-Oxley Act, which of the following
corporate employees can be employed by a corporation's audit firm
during the 1-year period preceding an audit?
A.) CEO
B.) Controller
C.) Chief Accounting Officer
D.) Compliance and Ethics Professional
D.) Compliance and Ethics Professional
Which of the following departments in a large drug manufacturing
company is MOST likely to have the highest risk of non-compliance?
A.) Transportation
B.) Customer service
CERTIFICATION STUDY RESOURCES 2025/2026 EXAM
QUESTIONS WITH COMPLETE SOLUTIONS
A company's Code of Conduct has not been reviewed for over 2
years. HR recommended adding content that would double its size.
The compliance committee members expressed concern that adding
a significant amount of content could negatively impact its
effectiveness. Which of the following is the compliance and ethics
professional's NEXT step before consolidating revisions?
A.) Request guidance from the board of directors
B.) Contract with a consultant to rewrite the Code of Conduct
C.) Compare the content outline with other organizations
D.) Rewrite the content based on Federal Sentencing Guidelines
B.) Compare the content outline with other organizations
Benchmarking
Which of the following is the MOST convincing demonstration of the
effectiveness of a company's ethical standards?
A.) Implementation of an anonymous reporting and feedback system
B.) Termination of an executive who embezzled a small amount of
money
C.) Suspension of an employee who failed to complete compliance
training
D.) Production of the organization's professional printed Code of
Conduct
A.) Termination of an executive who embezzled a small amount of money
,A compliance and ethics professional has developed a policy
intended to prohibit employees from paying, offering, or promising to
pay officials of other countries for the purpose of obtaining or
maintaining business. This policy will help the organization comply
with the:
A.) Sherman Act
B.) USA Patriot Act
C.) Anti-Money Laundering Act
D.) Foreign Corrupt Practices Act
C.) Foreign Corrupt Practices Act
A company receives a federal subpoena from the government
requesting all of the company's documents from 1990 to the present.
The company's compliance and ethics professional has been asked to
respond to the subpoena and to advise the company's employees on
their role in the process. Which of the following should the company's
compliance and ethics professional do FIRST?
A.) Obtain documents and determine which to release
B.) Consult with the company's general counsel
C.) Gather documents and turn them over to the government
D.) Notify all employees that all documents must be retained
B.) Consult with the company's general counsel
Which of the following is MOST helpful in determining how a
company prioritizes its risk?
A.) Historical data
, B.) Policies and procedures
C.) Incentive program
D.) Market competition
A.) Historical data
In which of the following would an employee's obligation to report
misconduct MOST likely be discussed?
A.) Job interview
B.) Manager's meeting
C.) New employee orientation
D.) Audit committee meetings
C.) New employee orientation
According to the Sarbanes-Oxley Act, which of the following
corporate employees can be employed by a corporation's audit firm
during the 1-year period preceding an audit?
A.) CEO
B.) Controller
C.) Chief Accounting Officer
D.) Compliance and Ethics Professional
D.) Compliance and Ethics Professional
Which of the following departments in a large drug manufacturing
company is MOST likely to have the highest risk of non-compliance?
A.) Transportation
B.) Customer service
