Certified Compliance and Ethics Professional (CCEP) Certification Study Re
sources
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 em-
ployees on laws
and regulations
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 sexu-
al harassment.
The incident does
not constitute
, Certified Compliance and Ethics Professional (CCEP) Certification Study Re
sources
sexual harass-
ment, but re-
veals the employ-
ee's misunder-
standings of the
harassment poli-
cy. Which of the
following should
be the FIRST step
in a corrective ac-
tion 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?
, Certified Compliance and Ethics Professional (CCEP) Certification Study Re
sources
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 of
a compliance and
ethics program?
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?
, Certified Compliance and Ethics Professional (CCEP) Certification Study Re
sources
A.) Management
B.) Sales
C.) Marketing
D.) Accounting
6. A compliance and D.) 2, 3, and 4 only
ethics program
should include:
1. An employ-
ee benefits hand-
book
2. Document re-
tention guide-
lines
3. Policies regard-
ing confidentiali-
ty
4. A statement
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.) Conduct a compliance and ethics risk assessment
sources
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 em-
ployees on laws
and regulations
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 sexu-
al harassment.
The incident does
not constitute
, Certified Compliance and Ethics Professional (CCEP) Certification Study Re
sources
sexual harass-
ment, but re-
veals the employ-
ee's misunder-
standings of the
harassment poli-
cy. Which of the
following should
be the FIRST step
in a corrective ac-
tion 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?
, Certified Compliance and Ethics Professional (CCEP) Certification Study Re
sources
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 of
a compliance and
ethics program?
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?
, Certified Compliance and Ethics Professional (CCEP) Certification Study Re
sources
A.) Management
B.) Sales
C.) Marketing
D.) Accounting
6. A compliance and D.) 2, 3, and 4 only
ethics program
should include:
1. An employ-
ee benefits hand-
book
2. Document re-
tention guide-
lines
3. Policies regard-
ing confidentiali-
ty
4. A statement
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.) Conduct a compliance and ethics risk assessment
