Prüfung
Certified Compliance and Ethics Professional (CCEP) Certification Study Resources 100% REVISION
- Kurs
- Hochschule
Certified Compliance and Ethics Professional (CCEP) Certification Study Resources 100% REVISION
[ Mehr anzeigen ]vorschau 3 aus 24 Seiten
Vorschau 3 aus 24 Seiten
In den Einkaufswagen
In den Einkaufswagen
2 rezensionen
von: thinkdd4 • 3 Monate vor
von: maidaflater • 5 Monate vor
Verkäufer
Folgen
Tutorguru
Deine Reviews
Inhaltsvorschau
2023/ 2024 Certified Compliance and Ethics Professional (CCEP) Certification -with 100% verified solutions -2023 -2024 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 premiums A. Reducing the organization's legal exposure 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 2023/ 2024 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 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 p rocedures 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 2023/ 2024 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.) Dis tribute 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 compl iance 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 com pliance 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 approve d 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 B.) Schedule a time during the next board meeting to present revised documents C.) Schedule a meeting with HR, general counsel, and the board to discuss the issue D.) Contact HR to determine if the inconsistencies between the documents can be resolvedAlle Vorteile der Zusammenfassungen von Stuvia auf einen Blick:
Garantiert gute Qualität durch Reviews
Stuvia Verkäufer haben mehr als 700.000 Zusammenfassungen beurteilt. Deshalb weißt du dass du das beste Dokument kaufst.
Schnell und einfach kaufen
Man bezahlt schnell und einfach mit iDeal, Kreditkarte oder Stuvia-Kredit für die Zusammenfassungen. Man braucht keine Mitgliedschaft.
Konzentration auf den Kern der Sache
Deine Mitstudenten schreiben die Zusammenfassungen. Deshalb enthalten die Zusammenfassungen immer aktuelle, zuverlässige und up-to-date Informationen. Damit kommst du schnell zum Kern der Sache.
Häufig gestellte Fragen
Was bekomme ich, wenn ich dieses Dokument kaufe?
Du erhältst eine PDF-Datei, die sofort nach dem Kauf verfügbar ist. Das gekaufte Dokument ist jederzeit, überall und unbegrenzt über dein Profil zugänglich.
Zufriedenheitsgarantie: Wie funktioniert das?
Unsere Zufriedenheitsgarantie sorgt dafür, dass du immer eine Lernunterlage findest, die zu dir passt. Du füllst ein Formular aus und unser Kundendienstteam kümmert sich um den Rest.
Wem kaufe ich diese Zusammenfassung ab?
Stuvia ist ein Marktplatz, du kaufst dieses Dokument also nicht von uns, sondern vom Verkäufer Tutorguru. Stuvia erleichtert die Zahlung an den Verkäufer.
Werde ich an ein Abonnement gebunden sein?
Nein, du kaufst diese Zusammenfassung nur für 14,67 €. Du bist nach deinem Kauf an nichts gebunden.
Kann man Stuvia trauen?
4.6 Sterne auf Google & Trustpilot (+1000 reviews)
45.681 Zusammenfassungen wurden in den letzten 30 Tagen verkauft
Gegründet 2010, seit 14 Jahren die erste Adresse für Zusammenfassungen