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Combined CCEP Compliance and Ethics Professional Exam
Combined CCEP Compliance and Ethics Professional Exam
[Show more]Combined CCEP Compliance and Ethics Professional Exam
[Show more]Which of the following BEST describes the purpose of training based upon risk assessment findings? 
 
A.) Reducing the organization's legal exposure 
B.) Educating employees on laws and regulations 
C.) Educating the board on the compliance program 
D.) Reducing the organization's insurance premiu...
Preview 3 out of 16 pages
Add to cartWhich of the following BEST describes the purpose of training based upon risk assessment findings? 
 
A.) Reducing the organization's legal exposure 
B.) Educating employees on laws and regulations 
C.) Educating the board on the compliance program 
D.) Reducing the organization's insurance premiu...
What is the first thing you should do after you identify the risks in your organization? - Prioritize 
 
How often to rotate lead auditor, coordinating partner, and/or reviewing partner off an audity? - Every 5 years 
 
What does discipline need to be? - Case-specific and consistent 
 
What is the f...
Preview 1 out of 3 pages
Add to cartWhat is the first thing you should do after you identify the risks in your organization? - Prioritize 
 
How often to rotate lead auditor, coordinating partner, and/or reviewing partner off an audity? - Every 5 years 
 
What does discipline need to be? - Case-specific and consistent 
 
What is the f...
A company uses 5,000 third parties to accomplish business tasks. Which of the following steps should the compliance and ethics professional take to require third parties to comply with the company's ethics and compliance standards? 
A. Read the third party's code of conduct. 
B. Include the stan...
Preview 2 out of 11 pages
Add to cartA company uses 5,000 third parties to accomplish business tasks. Which of the following steps should the compliance and ethics professional take to require third parties to comply with the company's ethics and compliance standards? 
A. Read the third party's code of conduct. 
B. Include the stan...
These Compliance and Ethics Policies and procedures must exist 
Non-Retaliation, Record Management, Conflict of Interest, Privacy, Security, and Confidentiality 
What are Compliance Officers required to do? 
Maintain Compliance and Ethics polices and procedures 
When making decisions, C.O. need to.....
Preview 2 out of 15 pages
Add to cartThese Compliance and Ethics Policies and procedures must exist 
Non-Retaliation, Record Management, Conflict of Interest, Privacy, Security, and Confidentiality 
What are Compliance Officers required to do? 
Maintain Compliance and Ethics polices and procedures 
When making decisions, C.O. need to.....
An organization has just accepted a new business line with plants in Germany and France. The CEO has asked the compliance and ethics professional (CEP) to evaluate the compliance program to determine the impact of this change. Which of the following should the CEP consider when evaluating the compan...
Preview 2 out of 11 pages
Add to cartAn organization has just accepted a new business line with plants in Germany and France. The CEO has asked the compliance and ethics professional (CEP) to evaluate the compliance program to determine the impact of this change. Which of the following should the CEP consider when evaluating the compan...
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