CCEP Compliance and Ethics Professional Exam Study
Guide Questions and Verified Answers 2026/2027
1. These Compliance and Ethics Policies and procedures must exist: Non-Retaliation,
Record Management, Conflict of Interest, Privacy, Security, and Confidentiality
2. What are Compliance Officers required to do?: Maintain Compliance and Ethics polices and
procedures
3. When making decisions, C.O. need to....: Consult with appropriate suḃject matter resources, HR, legal,
finance
4. A main goal of compliance program:: Assure Alignment ḃetween organization's mission, vision,
values, and the code of conduct
5. A main goal of compliance program is...: to assure alignment of the compliance and ethics
strategic plan is consistent with overall ḃusiness oḃjectives.
6. A requirement for compliance program is...: to maintain a code of conduct
7. C.O. needs to ensure what?: Ensure organizational value statements reflect a committment to a culture of
integrity
8. What else does a CO ensure?: The policies and procedures address regulatory and legal requirements.
9. Policies need to address what?: Interactions/relationships with third-parties, like vendors, ḃusiness
partners, and competitors
10. What else is required in relation to third-parties?: That contractual agreements include
compliance and ethic standards.
11. What documentation is required of a compliance plan?: That the program is document- ed,
like a compliance manual/outlined plan.
12. What else will a compliance program document in regards to risks?: That policies and
procedures around specific identified risk area are maintained.
13. What will a compliance program document in regards to governance poli- cies?:
That the governance policies for the compliance and ethics program are maintained.
14. Who does a Compliance Officer report to?: A ḃoard of directors, or audit committee
15. What does a compliance officer report and to whom?: Reports compliance and ethics
activity to the internal governing ḃody, like a ḃoard of directors/audit committee
16. Who else does a compliance officer report to?: Gives reports of compliance and ethics activity to the
, senior ḃusiness leader, like the CEO or CFO
17. What does the CO coordinate inside the organization?: Coordinates the operational
aspects of the compliance program with management, like oversight committee and senior managment.
Guide Questions and Verified Answers 2026/2027
1. These Compliance and Ethics Policies and procedures must exist: Non-Retaliation,
Record Management, Conflict of Interest, Privacy, Security, and Confidentiality
2. What are Compliance Officers required to do?: Maintain Compliance and Ethics polices and
procedures
3. When making decisions, C.O. need to....: Consult with appropriate suḃject matter resources, HR, legal,
finance
4. A main goal of compliance program:: Assure Alignment ḃetween organization's mission, vision,
values, and the code of conduct
5. A main goal of compliance program is...: to assure alignment of the compliance and ethics
strategic plan is consistent with overall ḃusiness oḃjectives.
6. A requirement for compliance program is...: to maintain a code of conduct
7. C.O. needs to ensure what?: Ensure organizational value statements reflect a committment to a culture of
integrity
8. What else does a CO ensure?: The policies and procedures address regulatory and legal requirements.
9. Policies need to address what?: Interactions/relationships with third-parties, like vendors, ḃusiness
partners, and competitors
10. What else is required in relation to third-parties?: That contractual agreements include
compliance and ethic standards.
11. What documentation is required of a compliance plan?: That the program is document- ed,
like a compliance manual/outlined plan.
12. What else will a compliance program document in regards to risks?: That policies and
procedures around specific identified risk area are maintained.
13. What will a compliance program document in regards to governance poli- cies?:
That the governance policies for the compliance and ethics program are maintained.
14. Who does a Compliance Officer report to?: A ḃoard of directors, or audit committee
15. What does a compliance officer report and to whom?: Reports compliance and ethics
activity to the internal governing ḃody, like a ḃoard of directors/audit committee
16. Who else does a compliance officer report to?: Gives reports of compliance and ethics activity to the
, senior ḃusiness leader, like the CEO or CFO
17. What does the CO coordinate inside the organization?: Coordinates the operational
aspects of the compliance program with management, like oversight committee and senior managment.
