CERTIFIED COMPLIANCE AND ETHICS
PROFESSIONAL ACTUAL EXAM PAPER
2026 QUESTIONS WITH SOLUTIONS
GRADED A+
●● How often to rotate lead auditor, coordinating partner, and/or
reviewing partner off an audity?
Answer: Every 5 years
●● What does discipline need to be?
Answer: Case-specific and consistent
●● What is the first thing to do when you are ready to discipline?
Answer: Respond appropriately
●● What is the second step regarding discipline after you have
responded?
Answer: Prevent future occurrences
●● Which act imposes liability on persons/companies that defraud the
government?
Answer: False Claims Act (FCA)
, ●● Which act prohibits employees from paying, offering, or promising
to pay officials of other countries for the purpose of obtaining or
maintaining their business?
Answer: Foreign Corrupt Practices Act (FCPA)
●● What are the three areas the DOJ looks at when deciding
punishment?
Answer: Public benefit, public harm, and how indictment would impact
the org culture
●● What is the first basic compliance element?
Answer: Establish standards, policies, and procedures
●● What is the first and best line of defense in compliance?
Answer: Education
●● What is the first step of a compliance program development?
Answer: Structure
●● What is worse than not having a compliance policy?
Answer: Having one and not following it
PROFESSIONAL ACTUAL EXAM PAPER
2026 QUESTIONS WITH SOLUTIONS
GRADED A+
●● How often to rotate lead auditor, coordinating partner, and/or
reviewing partner off an audity?
Answer: Every 5 years
●● What does discipline need to be?
Answer: Case-specific and consistent
●● What is the first thing to do when you are ready to discipline?
Answer: Respond appropriately
●● What is the second step regarding discipline after you have
responded?
Answer: Prevent future occurrences
●● Which act imposes liability on persons/companies that defraud the
government?
Answer: False Claims Act (FCA)
, ●● Which act prohibits employees from paying, offering, or promising
to pay officials of other countries for the purpose of obtaining or
maintaining their business?
Answer: Foreign Corrupt Practices Act (FCPA)
●● What are the three areas the DOJ looks at when deciding
punishment?
Answer: Public benefit, public harm, and how indictment would impact
the org culture
●● What is the first basic compliance element?
Answer: Establish standards, policies, and procedures
●● What is the first and best line of defense in compliance?
Answer: Education
●● What is the first step of a compliance program development?
Answer: Structure
●● What is worse than not having a compliance policy?
Answer: Having one and not following it
