Exam (elaborations)
Certified Compliance and Ethics Professional (CCEP) Certification Study Resources 100% REVISION
- Course
- Institution
Certified Compliance and Ethics Professional (CCEP) Certification Study Resources 100% REVISION
[Show more]
2 reviews
By: thinkdd4 • 3 months ago
By: maidaflater • 5 months ago
Seller
Follow
Tutorguru
Reviews received
Content preview
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 resolvedThe benefits of buying summaries with Stuvia:
Guaranteed quality through customer reviews
Stuvia customers have reviewed more than 700,000 summaries. This how you know that you are buying the best documents.
Quick and easy check-out
You can quickly pay through credit card or Stuvia-credit for the summaries. There is no membership needed.
Focus on what matters
Your fellow students write the study notes themselves, which is why the documents are always reliable and up-to-date. This ensures you quickly get to the core!
Frequently asked questions
What do I get when I buy this document?
You get a PDF, available immediately after your purchase. The purchased document is accessible anytime, anywhere and indefinitely through your profile.
Satisfaction guarantee: how does it work?
Our satisfaction guarantee ensures that you always find a study document that suits you well. You fill out a form, and our customer service team takes care of the rest.
Who am I buying these notes from?
Stuvia is a marketplace, so you are not buying this document from us, but from seller Tutorguru. Stuvia facilitates payment to the seller.
Will I be stuck with a subscription?
No, you only buy these notes for CA$21.77. You're not tied to anything after your purchase.
Can Stuvia be trusted?
4.6 stars on Google & Trustpilot (+1000 reviews)
77254 documents were sold in the last 30 days
Founded in 2010, the go-to place to buy study notes for 14 years now