CERTIFIED COMPLIANCE AND ETHICS PROFFESIONAL (CCEP)
ACTUAL EXAM NEWEST VERSION -2025/2026- WITH 100+
QUESTIONS AND VERIFIED ANSWERS (100% SUCCESS)
Which of the following is the BEST outcome of a compliance and ethics program?
A.) Mitigating risk
B.) Identifying risk
C.) Prioritizing risk
D.) Documenting risk
A.) Mitigating risk
Training on price-fixing is MOST important for which of the following staff?
A.) Management
B.) Sales
C.) Marketing
D.) Accounting
B.) Sales
A compliance and ethics professional investigates a report of sexual harassment.
The incident does not constitute sexual harassment, but reveals the employee's
,misunderstandings of the harassment policy. Which of the following should be
the FIRST step in a corrective action plan?
A.) Consult outside counsel
B.) Disclose the incident to the EEOC
C.) Provide education and training on the policy
D.) Survey employees' understanding of the policy
C.) Provide education and training on the policy
Which of the following provides guidance for the development of a compliance
program?
A.) Sarbanes-Oxley Act
B.) Federal Sentencing Guidelines
C.) Security and Exchange Commission
D.) Office for Civil Rights
B.) Federal Sentencing Guidelines
A compliance and ethics program should include:
1. An employee benefits handbook
2. Document retention guidelines
,3. Policies regarding confidentiality
4. A statement about the organization's culture
A.) 1,2, and 3 only
B.) 1, 2, and 4 only
C.) 1, 3, and 4 only
D.) 2, 3, and 4 only
D.) 2, 3, and 4 only
A US-based retail company has 250 stores in 30 states. Past compliance efforts
have included a silo-based approach with minimal oversight and the CEO acting as
the Compliance and Ethics Officer. One person in each state posted compliance-
related information sent from corporate, but there were no actual educational
sessions. Policies and procedures were developed by corporate and reviewed 5
years ago. The organization has decided that a more dedicated approach is
needed and hires a Compliance and Ethics Officer. Which of the following actions
should the new Compliance and Ethics Officer take FIRST?
A.) Conduct a compliance and ethics risk assessment
B.) Review organization-wide compliance policies
C.) Perform a statistically valid compliance audit
D.) Distribute a compliance training packet to employees
A.) Conduct a compliance and ethics risk assessment
, An employee discloses to counsel and the compliance and ethics professional that
a supervisor has been verbally abusive. An investigation finds that the same
supervisor has also been sexually harassing several employees in his department.
The compliance program requires that findings of harassment be documented
and forwarded by the compliance and ethics professional to the CEO with a
recommendation for appropriate discipline. Counsel advises that no report be
written because of possible litigation. The compliance and ethics professional's
BEST course of action is to:
A.) Follow counsel's advice
B.) Submit a written report
C.) Ask counsel to prepare the written report
D.) Recommend disciplinary action against counsel
C.) Ask counsel to prepare the written report
Even though counsel advises to not submit a report Compliance can suggest
alternatives to ensure the compliance program is being followed. By asking
counsel to prepare the written report it is then protected by attorney-client
privilege and follows the compliance program.
A compliance and ethics professional is evaluating an organization's employee
handbook. A conflict exists between the Code of Conduct and the employee
handbook. HR is responsible for the employee handbook. The documents have
been approved by the board of directors. Which of the following actions should
the compliance and ethics professional take FIRST?
A.) Post revised documents on the organization's website
ACTUAL EXAM NEWEST VERSION -2025/2026- WITH 100+
QUESTIONS AND VERIFIED ANSWERS (100% SUCCESS)
Which of the following is the BEST outcome of a compliance and ethics program?
A.) Mitigating risk
B.) Identifying risk
C.) Prioritizing risk
D.) Documenting risk
A.) Mitigating risk
Training on price-fixing is MOST important for which of the following staff?
A.) Management
B.) Sales
C.) Marketing
D.) Accounting
B.) Sales
A compliance and ethics professional investigates a report of sexual harassment.
The incident does not constitute sexual harassment, but reveals the employee's
,misunderstandings of the harassment policy. Which of the following should be
the FIRST step in a corrective action plan?
A.) Consult outside counsel
B.) Disclose the incident to the EEOC
C.) Provide education and training on the policy
D.) Survey employees' understanding of the policy
C.) Provide education and training on the policy
Which of the following provides guidance for the development of a compliance
program?
A.) Sarbanes-Oxley Act
B.) Federal Sentencing Guidelines
C.) Security and Exchange Commission
D.) Office for Civil Rights
B.) Federal Sentencing Guidelines
A compliance and ethics program should include:
1. An employee benefits handbook
2. Document retention guidelines
,3. Policies regarding confidentiality
4. A statement about the organization's culture
A.) 1,2, and 3 only
B.) 1, 2, and 4 only
C.) 1, 3, and 4 only
D.) 2, 3, and 4 only
D.) 2, 3, and 4 only
A US-based retail company has 250 stores in 30 states. Past compliance efforts
have included a silo-based approach with minimal oversight and the CEO acting as
the Compliance and Ethics Officer. One person in each state posted compliance-
related information sent from corporate, but there were no actual educational
sessions. Policies and procedures were developed by corporate and reviewed 5
years ago. The organization has decided that a more dedicated approach is
needed and hires a Compliance and Ethics Officer. Which of the following actions
should the new Compliance and Ethics Officer take FIRST?
A.) Conduct a compliance and ethics risk assessment
B.) Review organization-wide compliance policies
C.) Perform a statistically valid compliance audit
D.) Distribute a compliance training packet to employees
A.) Conduct a compliance and ethics risk assessment
, An employee discloses to counsel and the compliance and ethics professional that
a supervisor has been verbally abusive. An investigation finds that the same
supervisor has also been sexually harassing several employees in his department.
The compliance program requires that findings of harassment be documented
and forwarded by the compliance and ethics professional to the CEO with a
recommendation for appropriate discipline. Counsel advises that no report be
written because of possible litigation. The compliance and ethics professional's
BEST course of action is to:
A.) Follow counsel's advice
B.) Submit a written report
C.) Ask counsel to prepare the written report
D.) Recommend disciplinary action against counsel
C.) Ask counsel to prepare the written report
Even though counsel advises to not submit a report Compliance can suggest
alternatives to ensure the compliance program is being followed. By asking
counsel to prepare the written report it is then protected by attorney-client
privilege and follows the compliance program.
A compliance and ethics professional is evaluating an organization's employee
handbook. A conflict exists between the Code of Conduct and the employee
handbook. HR is responsible for the employee handbook. The documents have
been approved by the board of directors. Which of the following actions should
the compliance and ethics professional take FIRST?
A.) Post revised documents on the organization's website
