WhichgofgthegfollowinggBESTgdescribesgthegpurposegofgtraininggbasedgupongriskgasse
ssmentgfindings?
A.) Reducinggthegorganization'sglegalgexposure
B.) Educatinggemployeesgonglawsgandgregulations
C.) Educatinggthegboardgongthegcompliancegprogram
D.) Reducinggthegorganization'sginsurancegpremiums
A.gReducinggthegorganization'sglegalgexposure
Agcompliancegandgethicsgprofessionalginvestigatesgagreportgofgsexualgharassmen
t.gThegincidentgdoesgnotgconstitutegsexualgharassment,gbutgrevealsgthegemploye
e'sgmisunderstandingsgofgthegharassmentgpolicy.gWhichgofgthegfollowinggshould
gbegthegFIRSTgstepgingagcorrectivegactiongplan?
A.) Consultgoutsidegcounsel
B.) DisclosegthegincidentgtogthegEEOC
C.) Providegeducationgandgtraininggongthegpolicy
D.) Surveygemployees'gunderstandinggofgthegpolicy
C.) Providegeducationgandgtraininggongthegpolicy
,Whichgofgthegfollowinggprovidesgguidancegforgthegdevelopmentgofgagcompliancegpro
gram?
A.) Sarbanes-OxleygAct
B.) FederalgSentencinggGuidelines
C.) SecuritygandgExchangegCommission
D.) OfficegforgCivilgRights
B.)gFederalgSentencinggGuidelines
WhichgofgthegfollowinggisgthegBESTgoutcomegofgagcompliancegandgethicsgprogra
m?
A.) Mitigatinggrisk
B.) Identifyinggrisk
C.) Prioritizinggrisk
D.) Documentinggrisk
A.) Mitigatinggrisk
Traininggongprice-fixinggisgMOSTgimportantgforgwhichgofgthegfollowinggstaff?
A.) Management
B.) Sales
C.) Marketing
D.) Accounting
, B.) Sales
Agcompliancegandgethicsgprogramgshouldginclude:
1. Angemployeegbenefitsghandbook
2. Documentgretentiongguidelines
3. Policiesgregardinggconfidentiality
4. Agstatementgaboutgthegorganization'sgculture
A.) 1,2,gandg3gonly
B.) 1,g2,gandg4gonly
C.) 1,g3,gandg4gonly
D.) 2,g3,gandg4gonly
D.) 2,g3,gandg4gonly
AgUS-
basedgretailgcompanyghasg250gstoresging30gstates.gPastgcompliancegeffortsghavegi
ncludedgagsilo-
basedgapproachgwithgminimalgoversightgandgthegCEOgactinggasgthegComplianceg
andgEthicsgOfficer.gOnegpersongingeachgstategpostedgcompliance-
relatedginformationgsentgfromgcorporate,gbutgtheregweregnogactualgeducationalg
sessions.gPoliciesgandgproceduresgweregdevelopedgbygcorporategandgreviewedg5g
yearsgago.gThegorganizationghasgdecidedgthatgagmoregdedicatedgapproachgisgnee
dedgandghiresgagCompliancegandgEthicsgOfficer.gWhichgofgthegfollowinggactionsgs
houldgthegnewgCompliancegandgEthicsgOfficergtakegFIRST?
A.) Conductgagcompliancegandgethicsgriskgassessment
B.) Reviewgorganization-widegcompliancegpolicies
ssmentgfindings?
A.) Reducinggthegorganization'sglegalgexposure
B.) Educatinggemployeesgonglawsgandgregulations
C.) Educatinggthegboardgongthegcompliancegprogram
D.) Reducinggthegorganization'sginsurancegpremiums
A.gReducinggthegorganization'sglegalgexposure
Agcompliancegandgethicsgprofessionalginvestigatesgagreportgofgsexualgharassmen
t.gThegincidentgdoesgnotgconstitutegsexualgharassment,gbutgrevealsgthegemploye
e'sgmisunderstandingsgofgthegharassmentgpolicy.gWhichgofgthegfollowinggshould
gbegthegFIRSTgstepgingagcorrectivegactiongplan?
A.) Consultgoutsidegcounsel
B.) DisclosegthegincidentgtogthegEEOC
C.) Providegeducationgandgtraininggongthegpolicy
D.) Surveygemployees'gunderstandinggofgthegpolicy
C.) Providegeducationgandgtraininggongthegpolicy
,Whichgofgthegfollowinggprovidesgguidancegforgthegdevelopmentgofgagcompliancegpro
gram?
A.) Sarbanes-OxleygAct
B.) FederalgSentencinggGuidelines
C.) SecuritygandgExchangegCommission
D.) OfficegforgCivilgRights
B.)gFederalgSentencinggGuidelines
WhichgofgthegfollowinggisgthegBESTgoutcomegofgagcompliancegandgethicsgprogra
m?
A.) Mitigatinggrisk
B.) Identifyinggrisk
C.) Prioritizinggrisk
D.) Documentinggrisk
A.) Mitigatinggrisk
Traininggongprice-fixinggisgMOSTgimportantgforgwhichgofgthegfollowinggstaff?
A.) Management
B.) Sales
C.) Marketing
D.) Accounting
, B.) Sales
Agcompliancegandgethicsgprogramgshouldginclude:
1. Angemployeegbenefitsghandbook
2. Documentgretentiongguidelines
3. Policiesgregardinggconfidentiality
4. Agstatementgaboutgthegorganization'sgculture
A.) 1,2,gandg3gonly
B.) 1,g2,gandg4gonly
C.) 1,g3,gandg4gonly
D.) 2,g3,gandg4gonly
D.) 2,g3,gandg4gonly
AgUS-
basedgretailgcompanyghasg250gstoresging30gstates.gPastgcompliancegeffortsghavegi
ncludedgagsilo-
basedgapproachgwithgminimalgoversightgandgthegCEOgactinggasgthegComplianceg
andgEthicsgOfficer.gOnegpersongingeachgstategpostedgcompliance-
relatedginformationgsentgfromgcorporate,gbutgtheregweregnogactualgeducationalg
sessions.gPoliciesgandgproceduresgweregdevelopedgbygcorporategandgreviewedg5g
yearsgago.gThegorganizationghasgdecidedgthatgagmoregdedicatedgapproachgisgnee
dedgandghiresgagCompliancegandgEthicsgOfficer.gWhichgofgthegfollowinggactionsgs
houldgthegnewgCompliancegandgEthicsgOfficergtakegFIRST?
A.) Conductgagcompliancegandgethicsgriskgassessment
B.) Reviewgorganization-widegcompliancegpolicies
