An employee finds a document at a copy machine containing personal information
about the chairperson of the board of directors. The employee then contacts the
compliance and ethics professional (CEP). Which of the following should the CEP do
FIRST?
A. Review the organization's privacy policy to determine appropriate action.
B. Request that the responsible individual step forward or risk termination.
C. Send a broadcast message to employees informing them of a privacy breach.
D. Determine who left the document and implement disciplinary action
Give this one a try later!
, A. Review the organization's privacy policy to determine appropriate
action
The CFO of a company asks the compliance and ethics professional (CEP) to place
the annual risk assessment, which includes several significant issues, on hold
indefinitely to work on a special project. Which of the following is the BEST action for
the CEP to take?
A. Accept and work with the CFO to complete the project.
B. Obtain guidance from the board of directors.
C. Facilitate a plan that will not compromise the risk assessment and still assist the
CFO.
D. Contract HR to revise the CEP's job description
Give this one a try later!
C. Facilitate a plan that will not compromise the risk assessment and still
assist the CFO.
When a new regulation that affects an organization is passed, a compliance and ethics
professional should
A. request a summary from the agency responsible for enforcement.
B. seek review of the new regulation from outside counsel.
C. develop a training plan for affected employees.
D. provide a copy to the board of directors for review.
Give this one a try later!
B. seek review of the new regulation from outside counsel.
, An annual risk assessment plan has been completed and approved by the board of
directors. Three months into the fiscal year, five new issues have surfaced that could
significantly impact the company. The compliance and ethics department does not
have additional budgeted resources to address these new risks. Which of the
following should the compliance and ethics professional do FIRST?
A. Reprioritize the risks and review with the appropriate leadership.
B. Delegate to the board of directors for action.
C. Address the new risks in next year's audit Work plan.
D. Ask HR if any resources are available from other departments.
Give this one a try later!
A. Reprioritize the risks and review with the appropriate leadership.
Which of the following does a compliance and ethics professional generally
coordinate with the HR department? A. drafting a policy on conducting self-
disclosure
B. conducting credit checks on third parties
C. approving an annual salary adjustment plan
D. screening key personnel within applicable laws
Give this one a try later!
A. drafting a policy on conducting self-disclosure
Because of a pending lawsuit, a company's lawyer advises the compliance and ethics
professional (CEP) not to conduct any audits, risk assessment or program evaluations
because they could be used against the company. Recently, there has been a big
increase in hotline calls from three offices in France requiring audits. The CEP's best
action is to
A. discuss with the lawyer how to best conduct the audits.
about the chairperson of the board of directors. The employee then contacts the
compliance and ethics professional (CEP). Which of the following should the CEP do
FIRST?
A. Review the organization's privacy policy to determine appropriate action.
B. Request that the responsible individual step forward or risk termination.
C. Send a broadcast message to employees informing them of a privacy breach.
D. Determine who left the document and implement disciplinary action
Give this one a try later!
, A. Review the organization's privacy policy to determine appropriate
action
The CFO of a company asks the compliance and ethics professional (CEP) to place
the annual risk assessment, which includes several significant issues, on hold
indefinitely to work on a special project. Which of the following is the BEST action for
the CEP to take?
A. Accept and work with the CFO to complete the project.
B. Obtain guidance from the board of directors.
C. Facilitate a plan that will not compromise the risk assessment and still assist the
CFO.
D. Contract HR to revise the CEP's job description
Give this one a try later!
C. Facilitate a plan that will not compromise the risk assessment and still
assist the CFO.
When a new regulation that affects an organization is passed, a compliance and ethics
professional should
A. request a summary from the agency responsible for enforcement.
B. seek review of the new regulation from outside counsel.
C. develop a training plan for affected employees.
D. provide a copy to the board of directors for review.
Give this one a try later!
B. seek review of the new regulation from outside counsel.
, An annual risk assessment plan has been completed and approved by the board of
directors. Three months into the fiscal year, five new issues have surfaced that could
significantly impact the company. The compliance and ethics department does not
have additional budgeted resources to address these new risks. Which of the
following should the compliance and ethics professional do FIRST?
A. Reprioritize the risks and review with the appropriate leadership.
B. Delegate to the board of directors for action.
C. Address the new risks in next year's audit Work plan.
D. Ask HR if any resources are available from other departments.
Give this one a try later!
A. Reprioritize the risks and review with the appropriate leadership.
Which of the following does a compliance and ethics professional generally
coordinate with the HR department? A. drafting a policy on conducting self-
disclosure
B. conducting credit checks on third parties
C. approving an annual salary adjustment plan
D. screening key personnel within applicable laws
Give this one a try later!
A. drafting a policy on conducting self-disclosure
Because of a pending lawsuit, a company's lawyer advises the compliance and ethics
professional (CEP) not to conduct any audits, risk assessment or program evaluations
because they could be used against the company. Recently, there has been a big
increase in hotline calls from three offices in France requiring audits. The CEP's best
action is to
A. discuss with the lawyer how to best conduct the audits.
