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CCEP Compliance and Ethics Professional Exam Questions with Complete Solutions Graded A+.
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CCEP Compliance and Ethics Professional Exam Questions with Complete Solutions Graded A+.
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CCEP Compliance and EthicsProfessional Exam Questions
with Complete Solutions
Graded A+
Denning Muriithi [Date] [Course title]
, CCEP Compliance and Ethics Professional Exam
1. These Compliance and Ethics Policies and procedures must exist Correct
Ans: Non-Re- taliation, Record Management, Conflict of Interest,
Privacy, Security, and Confiden- tiality
2. What are Compliance Officers required to do? Correct Ans: Maintain
Compliance and Ethics polices and procedures
3. When making decisions, C.O. need to.... Correct Ans: Consult with
appropriate subject matter resources, HR, legal, finance
4. A main goal of compliance program Correct Ans: Correct Ans: Assure
Alignment between organiza- tion's mission, vision, values, and the
code of conduct
5.A main goal of compliance program is... Correct Ans: to assure alignment
of the compliance and ethics strategic plan is consistent with overall
business objectives.
6. A requirement for compliance program is... Correct Ans: to maintain a
code of conduct
7. C.O. needs to ensure what? Correct Ans: Ensure organizational value
statements reflect a committment to a culture of integrity
8. What else does a CO ensure? Correct Ans: The policies and procedures
address regulatory and legal requirements.
9. Policies need to address what? Correct Ans: Interactions/relationships
with third-parties, like vendors, business partners, and competitors
10.What else is required in relation to third-parties? Correct Ans: That
contractual agree- ments include compliance and ethic standards.
11.What documentation is required of a compliance plan? Correct Ans:
That the program is documented, like a compliance manual/outlined
plan.
12.What else will a compliance program document in regards to risks?
Correct Ans: That policies and procedures around specific identified risk
area are maintained.
13.What will a compliance program document in regards to governance
poli- cies? Correct Ans: That the governance policies for the compliance
and ethics program are maintained.
14.Who does a Compliance Officer report to? Correct Ans: A board of
directors, or audit committee
15.What does a compliance officer report and to whom? Correct Ans:
Reports compliance and ethics activity to the internal governing body,
like a board of directors/audit committee
16.Who else does a compliance officer report to? Correct Ans: Gives
reports of compliance and ethics activity to the senior business leader,
, CCEP Compliance and Ethics Professional Exam
like the CEO or CFO
17.What does the CO coordinate inside the organization? Correct Ans:
Coordinates the operational aspects of the compliance program with
management, like oversight committee and senior managment.
18.Benchmarking Correct Ans: Collaborate with others internally and
externally to institute best practices Correct Ans: what are others doing
in their program?
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