Certified Compliance and Ethics Professional (CCEP) Certification Exam
CERTIFIED COMPLIANCE AND ETHICS PROFESSIONAL (CCEP) CERTIFICATION
EXAM PREP NEWEST 2026/2027 ACTUAL EXAM COMPLETE QUESTIONS AND
CORRECT DETAILED ANSWERS (VERIFIED ANSWERS) |ALREADY GRADED
A+||BRAND NEW VERSION!!
An employee discloses to counsel and the compliance and ethics professional that
a supervisor has been verbally abusive. An investigation finds that the same
supervisor has also been sexually harassing several employees in his department.
The compliance program requires that findings of harassment be documented and
forwarded by the compliance and ethics professional to the CEO with a
recommendation for appropriate discipline. Counsel advises that no report be
written because of possible litigation. The compliance and ethics professional's
BEST course of action is to:
A.) Follow counsel's advice
B.) Submit a written report
C.) Ask counsel to prepare the written report
D.) Recommend disciplinary action against counsel
C.) Ask counsel to prepare the written report
Even though counsel advises to not submit a report Compliance can suggest
alternatives to ensure the compliance program is being followed. By asking
counsel to prepare the written report it is then protected by attorney-client
privilege and follows the compliance program.
A compliance and ethics professional is evaluating an organization's employee
handbook. A conflict exists between the Code of Conduct and the employee
handbook. HR is responsible for the employee handbook. The documents have
been approved by the board of directors. Which of the following actions should
the compliance and ethics professional take FIRST?
1|Page
, Certified Compliance and Ethics Professional (CCEP) Certification Exam
A.) Post revised documents on the organization's website
B.) Schedule a time during the next board meeting to present revised documents
C.) Schedule a meeting with HR, general counsel, and the board to discuss the
issue
D.) Contact HR to determine if the inconsistencies between the documents can be
resolved
D.) Contact HR to determine if the inconsistencies between the documents can be
resolved
Escalate to the lowest level when possible
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
C.) 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
B.) Termination of an executive who embezzled a small amount of money
2|Page
, Certified Compliance and Ethics Professional (CCEP) Certification Exam
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
D.) 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
3|Page
CERTIFIED COMPLIANCE AND ETHICS PROFESSIONAL (CCEP) CERTIFICATION
EXAM PREP NEWEST 2026/2027 ACTUAL EXAM COMPLETE QUESTIONS AND
CORRECT DETAILED ANSWERS (VERIFIED ANSWERS) |ALREADY GRADED
A+||BRAND NEW VERSION!!
An employee discloses to counsel and the compliance and ethics professional that
a supervisor has been verbally abusive. An investigation finds that the same
supervisor has also been sexually harassing several employees in his department.
The compliance program requires that findings of harassment be documented and
forwarded by the compliance and ethics professional to the CEO with a
recommendation for appropriate discipline. Counsel advises that no report be
written because of possible litigation. The compliance and ethics professional's
BEST course of action is to:
A.) Follow counsel's advice
B.) Submit a written report
C.) Ask counsel to prepare the written report
D.) Recommend disciplinary action against counsel
C.) Ask counsel to prepare the written report
Even though counsel advises to not submit a report Compliance can suggest
alternatives to ensure the compliance program is being followed. By asking
counsel to prepare the written report it is then protected by attorney-client
privilege and follows the compliance program.
A compliance and ethics professional is evaluating an organization's employee
handbook. A conflict exists between the Code of Conduct and the employee
handbook. HR is responsible for the employee handbook. The documents have
been approved by the board of directors. Which of the following actions should
the compliance and ethics professional take FIRST?
1|Page
, Certified Compliance and Ethics Professional (CCEP) Certification Exam
A.) Post revised documents on the organization's website
B.) Schedule a time during the next board meeting to present revised documents
C.) Schedule a meeting with HR, general counsel, and the board to discuss the
issue
D.) Contact HR to determine if the inconsistencies between the documents can be
resolved
D.) Contact HR to determine if the inconsistencies between the documents can be
resolved
Escalate to the lowest level when possible
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
C.) 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
B.) Termination of an executive who embezzled a small amount of money
2|Page
, Certified Compliance and Ethics Professional (CCEP) Certification Exam
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
D.) 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
3|Page
