Certified Compliance and Ethics
Professional (CCEP) Practice
Questions 2024-with 100% Correct
Answers
Who handles non-retaliation? Which dept? - ANSWER HR
What handles record mgmt/retention? Which dept? - ANSWER Legal
What handles employee handbook, employee performance, FMLA? Which dept? -
ANSWER HR
Who develops controls, policies, procedures and systems? - ANSWER Compliance
Who handles sensitive investigations? - ANSWER Legal
What is structural policy? - ANSWER Framework
What is substantive policy? - ANSWER Define regs and the how
What is "tone in the middle?" - ANSWER Managers must demonstrate
their commitment to compliance.
, First step prior to launching a compliance program? - ANSWER Baseline
risk assessment
If misconduct is found, what are the two areas that are important to fix the issue? -
ANSWER Enforcement and discipline
What is a typical discipline process? - ANSWER Verbal warning - written warning -
unpaid suspension - termination
Punishment should match the? - ANSWER Offense
Who is responsible for compliance? - ANSWER Everyone
What is a retrospective audit? - ANSWER Comprehensive inspection -
potential problem identified THEN investigated
What is a concurrent aduit? - ANSWER Ongoing investigation - identified problems as
they arise
Which audit is the best way to change behavior? - ANSWER Concurrent Audit
The 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 KenAli. Stuvia facilitates payment to the seller.
Will I be stuck with a subscription?
No, you only buy these notes for $12.49. You're not tied to anything after your purchase.
