Certified Compliance and Ethics
Professional (CCEP) Exam Complete
Questions & Answers to Pass
What is the first thing you should do after you identify the risks in your organization? -
Answers - ✔✔Prioritize
How often to rotate lead auditor, coordinating partner, and/or reviewing partner off an
audity? - Answers - ✔✔Every 5 years
What does discipline need to be? - Answers - ✔✔Case-specific and consistent
What is the first thing to do when you are ready to discipline? - Answers - ✔✔Respond
appropriately
What is the second step regarding discipline after you have responded? - Answers -
✔✔Prevent future occurrences
Which act imposes liability on persons/companies that defraud the government? -
Answers - ✔✔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? - Answers -
✔✔Foreign Corrupt Practices Act (FCPA)
What are the three areas the DOJ looks at when deciding punishment? - Answers -
✔✔Public benefit, public harm, and how indictment would impact the org culture
What is the first basic compliance element? - Answers - ✔✔Establish standards,
policies, and procedures
What is the first and best line of defense in compliance? - Answers - ✔✔Education
What is the first step of a compliance program development? - Answers - ✔✔Structure
What is worse than not having a compliance policy? - Answers - ✔✔Having one and not
following it
What should you align your compliance program with? - Answers - ✔✔Org's mission,
value, vision and code of conduct
Professional (CCEP) Exam Complete
Questions & Answers to Pass
What is the first thing you should do after you identify the risks in your organization? -
Answers - ✔✔Prioritize
How often to rotate lead auditor, coordinating partner, and/or reviewing partner off an
audity? - Answers - ✔✔Every 5 years
What does discipline need to be? - Answers - ✔✔Case-specific and consistent
What is the first thing to do when you are ready to discipline? - Answers - ✔✔Respond
appropriately
What is the second step regarding discipline after you have responded? - Answers -
✔✔Prevent future occurrences
Which act imposes liability on persons/companies that defraud the government? -
Answers - ✔✔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? - Answers -
✔✔Foreign Corrupt Practices Act (FCPA)
What are the three areas the DOJ looks at when deciding punishment? - Answers -
✔✔Public benefit, public harm, and how indictment would impact the org culture
What is the first basic compliance element? - Answers - ✔✔Establish standards,
policies, and procedures
What is the first and best line of defense in compliance? - Answers - ✔✔Education
What is the first step of a compliance program development? - Answers - ✔✔Structure
What is worse than not having a compliance policy? - Answers - ✔✔Having one and not
following it
What should you align your compliance program with? - Answers - ✔✔Org's mission,
value, vision and code of conduct
