CERTIFIED COMPLIANCE AND ETHICS PROFESSIONAL (CCEP) CERTIFICATION STUDY RESOURCES QUESTIONS AND ANSWERS 2025

CERTIFIED LATEST
COMPLIANCE AND
ETHICS
PROFESSIONAL
(CCEP)
CERTIFICATION
STUDY RESOURCES

HR asks the compliance and ethics professional if the company can
provide a vendor with names and e-mail addresses of the company's
sales employees to promote a new incentive plan. Some of the
employees live and work outside the U.S. Which of the following is
the MOST appropriate action for the compliance and ethics
professional to take?

A.) Direct human resources to comply with the vendor's privacy
policies B.) Ask the vendor to sign a confidentiality agreement
before providing the information
C.) Consult the legal department for advice on applicable privacy
laws to ensure compliance
D.) Instruct HR not to provide the information because it would
violate international privacy laws
C.) Consult the legal department for advice on applicable privacy laws
to ensure compliance

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, CERTIFIED LATEST
COMPLIANCE AND
ETHICS
PROFESSIONAL
(CCEP)
CERTIFICATION
STUDY RESOURCES
Adherence to the compliance and ethics program should be
incorporated as an element in evaluations of supervisors who:

A.) Are new to the company within the last 12 months
B.) Received training during the evaluation period
C.) Have previously noted compliance violations
D.) Are in all levels of the organization
D.) Are in all levels of the organization
Which of the following do the Federal Sentencing Guidelines require
of an organization's governing authority?

A.) Reasonable oversight of the compliance and ethics program
B.) Responsibility for the development of the compliance and ethics
program
C.) Day-to-day operational responsibility for the compliance and
ethics program
D.) Periodic reporting of the effectiveness of the compliance and
ethics program
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, CERTIFIED LATEST
COMPLIANCE AND
ETHICS
PROFESSIONAL
(CCEP)
CERTIFICATION
STUDY RESOURCES
A.) Reasonable oversight of the compliance and ethics program
A supervisor is informed that a subordinate employee has lodged a
complaint against the company through the hotline. Which of the
following documents should the compliance and ethics professional
review with the supervisor FIRST?

A.) Code of conduct
B.) Confidentiality policy
C.) Non-retaliation policy
D.) Compliance manual
C.) Non-retaliation policy
A company's compliance and ethics professional receives an
anonymous hotline call alleging that the CFO has embezzled
millions of dollars. The caller states the money is from an
identifiable account. Which of the following should the compliance
and ethics professional do FIRST?


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, CERTIFIED LATEST
COMPLIANCE AND
ETHICS
PROFESSIONAL
(CCEP)
CERTIFICATION
STUDY RESOURCES
A.) Report the matter to the company's Board of Directors
B.) Contact local law enforcement immediately
C.) Verify the money has been misappropriated
D.) Self-disclose to the appropriate governmental agency
C.) Verify the money has been misappropriated
What are the three principles of the Code of Professional Ethics for
Compliance and Ethics Professionals
Principle I - Obligations to the Public
Principle II - Obligations to the Employing Organization
Principle III - Obligations to the Profession
The compliance and ethics professional is discussing safeguard
policies related to the security rule. What type of safeguard is
MOST closely related to policies regarding access controls, audit
controls, integrity controls, and transmission security?

A.) Mental safeguards
B.) Technical safeguards
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