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Certified Compliance and Ethics Professional (CCEP) Certification Study Resources 100% REVISION
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Certified Compliance and Ethics Professional (CCEP) Certification Study Resources 100% REVISION
[Meer zien]Voorbeeld 3 van de 24 pagina's
Voorbeeld 3 van de 24 pagina's
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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 resolvedVoordelen van het kopen van samenvattingen bij Stuvia op een rij:
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