UHC ETHICS AND COMPLIANCE EXAM 2026
COMPREHENSIVE STUDY GUIDE WITH
ANSWERS
◉ What does CMS stand for? Answer: center for medicare and medicaid
services
◉ Who administers the medicare program and contracts with private
health care companies to offer medicaid plans? Answer: CMS
◉ Who holds the authority to approve or disaprove plans that can be
sold, and is the regulating agency that also monitors our progresses?
Answer: CMS
◉ Who regulates MA's and PDP's Answer: CMS
◉ Enrolling a customer in a plan when you are not certified in the
product is non-compliant and considered____? Answer: an unqualified
sale
◉ Agents who are not qualified to sell the product will not be? Answer:
compensated and may receive corrective and or disciplinary action up to
an including termination
,◉ What is the purpose of an educational event? Answer: its designed to
inform medicare consumers about original medicare, medicare
advantage, prescription drug and other medicare programs.
◉ Where must educational events be conducted? Answer: in a public
venue
◉ Are the educational events unbiased so that it doesn't steer the
consumer towards a specific plan or limited number of plans? Answer:
yes
◉ WHat is a marketing/sales event? Answer: an event designed to steer
or attempt to steer, consumers toward a plan or limited set of plans.
Agents may discuss plan specific information and collect applications.
◉ Can marketing/sales be formal or informal? Answer: both
◉ What describes a formal marketing/sales event? Answer: a full plan
presentation, given in a presenter-audience format.
◉ What is an inform marketing/sales event? Answer: they're passive in
nature where the consumer approaches the agent to engage in
conversation. a booth, table, or kiosk is typically used
, ◉ What are marketing appointments? Answer: They're commonly
referred to as "in home, face to face, or one on one appointment" and
typically take place in the consumers home.
◉ What other places can marketing appointments happen? Answer:
coffee shop, or even over the phone
◉ because marketing appointments are not formal and informal
marketing sales events, they're not reported to who? Answer: UHC or
CMS. instead, agents must obtain a completed scope of appointment
prior to conducting the appointment.
◉ To report events, what should agents use? Answer: an event request
form
◉ to ensure that events are in UHC's event reporting application no less
than 7 calender days prior to the event... Answer: submit the event
request form, according to instructions on the form, NO LESS THAN 14
CALENDAR DAYS
◉ event request forms submitted within7 calendar days will NOT be
what? Answer: processed
◉ conducting an unreported event is _____? Answer: prohibited
COMPREHENSIVE STUDY GUIDE WITH
ANSWERS
◉ What does CMS stand for? Answer: center for medicare and medicaid
services
◉ Who administers the medicare program and contracts with private
health care companies to offer medicaid plans? Answer: CMS
◉ Who holds the authority to approve or disaprove plans that can be
sold, and is the regulating agency that also monitors our progresses?
Answer: CMS
◉ Who regulates MA's and PDP's Answer: CMS
◉ Enrolling a customer in a plan when you are not certified in the
product is non-compliant and considered____? Answer: an unqualified
sale
◉ Agents who are not qualified to sell the product will not be? Answer:
compensated and may receive corrective and or disciplinary action up to
an including termination
,◉ What is the purpose of an educational event? Answer: its designed to
inform medicare consumers about original medicare, medicare
advantage, prescription drug and other medicare programs.
◉ Where must educational events be conducted? Answer: in a public
venue
◉ Are the educational events unbiased so that it doesn't steer the
consumer towards a specific plan or limited number of plans? Answer:
yes
◉ WHat is a marketing/sales event? Answer: an event designed to steer
or attempt to steer, consumers toward a plan or limited set of plans.
Agents may discuss plan specific information and collect applications.
◉ Can marketing/sales be formal or informal? Answer: both
◉ What describes a formal marketing/sales event? Answer: a full plan
presentation, given in a presenter-audience format.
◉ What is an inform marketing/sales event? Answer: they're passive in
nature where the consumer approaches the agent to engage in
conversation. a booth, table, or kiosk is typically used
, ◉ What are marketing appointments? Answer: They're commonly
referred to as "in home, face to face, or one on one appointment" and
typically take place in the consumers home.
◉ What other places can marketing appointments happen? Answer:
coffee shop, or even over the phone
◉ because marketing appointments are not formal and informal
marketing sales events, they're not reported to who? Answer: UHC or
CMS. instead, agents must obtain a completed scope of appointment
prior to conducting the appointment.
◉ To report events, what should agents use? Answer: an event request
form
◉ to ensure that events are in UHC's event reporting application no less
than 7 calender days prior to the event... Answer: submit the event
request form, according to instructions on the form, NO LESS THAN 14
CALENDAR DAYS
◉ event request forms submitted within7 calendar days will NOT be
what? Answer: processed
◉ conducting an unreported event is _____? Answer: prohibited
