CERTIFIED COMPLIANCE AND ETHICS
PROFESSIONAL FINAL TEST PAPER 2026
COMPLETE QUESTIONS AND CORRECT
ANSWERS ALREADY PASSED
●● Under best practices, an effective compliance and ethics program
calls for
A. maintenance of standards and procedures.
B. risk assessment by an independent consultant.
C. annual review by in-house legal counsel.
D. approval by the internal audit department.
Answer: A. maintenance of standards and procedures.
●● A company offers free bottled water to all employees in pantry
locations throughout the building. A security camera tape reveals an
employee putting several cases of water in his trunk. The company's
policies state that theft of company property will result in immediate
termination. Which of the following should the compliance and ethics
professional do FIRST?
A. Terminate the employee because of the company policy violation.
B. Initiate disciplinary action based on the security camera tape.
C. Interview the employee regarding his actions.
D. Report the matter to local law enforcement..
, Answer: C. Interview the employee regarding his actions.
●● A compliance and ethics professional (CEP) receives a call from an
employee in the finance department who is concerned that the company
is not complying with document destruction requirements. Which of the
following is the CEP's BEST response to the inquiry?
A. Ask the employee to identify the law that was violated.
B. Inform the employee the issue will be reviewed as time permits.
C. Require the finance department to destroy all records immediately.
D. Discuss the document destruction practices with the director of
finance..
Answer: D. Discuss the document destruction practices with the director
of finance.
●● To have an effective program, a compliance and ethics professional
must provide training to all employees and
A. the company's highest authority.
B. external auditors.
C. high-value customers.
D. majority shareholders.
Answer: A. the company's highest authority.
●● An effective organizational code of conduct should include
A. where to seek help and clarification when in doubt.
PROFESSIONAL FINAL TEST PAPER 2026
COMPLETE QUESTIONS AND CORRECT
ANSWERS ALREADY PASSED
●● Under best practices, an effective compliance and ethics program
calls for
A. maintenance of standards and procedures.
B. risk assessment by an independent consultant.
C. annual review by in-house legal counsel.
D. approval by the internal audit department.
Answer: A. maintenance of standards and procedures.
●● A company offers free bottled water to all employees in pantry
locations throughout the building. A security camera tape reveals an
employee putting several cases of water in his trunk. The company's
policies state that theft of company property will result in immediate
termination. Which of the following should the compliance and ethics
professional do FIRST?
A. Terminate the employee because of the company policy violation.
B. Initiate disciplinary action based on the security camera tape.
C. Interview the employee regarding his actions.
D. Report the matter to local law enforcement..
, Answer: C. Interview the employee regarding his actions.
●● A compliance and ethics professional (CEP) receives a call from an
employee in the finance department who is concerned that the company
is not complying with document destruction requirements. Which of the
following is the CEP's BEST response to the inquiry?
A. Ask the employee to identify the law that was violated.
B. Inform the employee the issue will be reviewed as time permits.
C. Require the finance department to destroy all records immediately.
D. Discuss the document destruction practices with the director of
finance..
Answer: D. Discuss the document destruction practices with the director
of finance.
●● To have an effective program, a compliance and ethics professional
must provide training to all employees and
A. the company's highest authority.
B. external auditors.
C. high-value customers.
D. majority shareholders.
Answer: A. the company's highest authority.
●● An effective organizational code of conduct should include
A. where to seek help and clarification when in doubt.
