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CCEP Exam (Compliance) Questions With 100% Correct Answers | Latest Version (2024/2025) Expert Verified
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CCEP Exam (Compliance) Questions With 100% Correct Answers | Latest Version (2024/2025) Expert Verified

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  • October 8, 2024
  • 25
  • 2024/2025
  • Exam (elaborations)
  • Questions & answers

Subjects

  • ccep exam compliance questions with 100 correct
  • what are the 7 elements of a compliance program
  • a cfo discovers the ceo is using company funds for
  • which of the following is the most effective way a

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  • CCEP
  • CCEP

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CCEP Exam (Compliance) Questions With 100%
Correct Answers | Latest Version (2024/2025)
Expert Verified

Whatiareithei7ielementsiofiaiComplianceiProgram?i-iCorrectiAnswer-
1.iStandardsiofiConduct/PoliciesiandiProcedures,i2.iComplianceiOfficeri
andiComplianceiCommittee,i3.iEducation/Training,i4.iMonitoring/Audit
ing,i5.iReportingiandiInvestigating,i6.iEnforcementiandiDiscipline,i7.iRes
ponseiandiPrevention


AiCFOidiscoversitheiCEOiisiusingicompanyifundsiforipersonaliexpenses.iT
heiCFOiburiedithisiinformationiinitheicompany'sifinancialireports.iTheico
mplianceiandiethicsiprofessionalilearnsiofitheisituationithroughitheicom
pany'sihotline.iWhichiofitheifollowingishouldibeitheicomplianceiandiethi
csiprofessional'siFIRSTiresponse?i-iCorrectiAnswer-
Investigateitoiverifyitheiallegation


WhichiofitheifollowingiisitheiMOSTieffectiveiwayiaicomplianceiandiethic
siprofessionalicanievaluateicomplianceiandiethicsiauditifindings?i-
iCorrectiAnswer-

Conductitrendianalysisioniidentifiediriskiareasiandibenchmarkiresultsiag
ainstiindustryistandards


WhichiofitheifollowingiBESTidescribesitheiprimaryiroleiofipeopleiofiaico
mplianceiandiethicsiprofessional?i-iCorrectiAnswer-

,Promotesiaicultureioficomplianceiandiethicsithroughoutitheiorganizatio
n


AiUS-
basediretailicompanyihasi250istoresiini30istates.iPasticomplianceiefforts
ihaveiincludediaisilo-

basediapproachiwithiminimalioversightianditheiCEOiactingiasitheiCompli
anceiandiEthicsiOfficer.iOneipersoniinieachistateipostedicompliance-
relatediinformationisentifromicorporate,ibutithereiwereinoiactualieduca
tionalisessions.iPoliciesiandiproceduresiwereidevelopedibyicorporateian
direviewedi5iyearsiago.iTheiorganizationihasidecidedithatiaimoreidedica
tediapproachiisineedediandihiresiaiComplianceiandiEthicsiOfficer.iWhichi
ofitheifollowingiactionsishoulditheinewiComplianceiandiEthicsiOfficerita
keiFIRST?


A.)iConductiaicomplianceiandiethicsiriskiassessmenti
B.)iReviewiorganization-wideicomplianceipolicies
C.)iPerformiaistatisticallyivalidicomplianceiaudit
D.)iDistributeiaicomplianceitrainingipacketitoiemployeesi-
iCorrectiAnswer-Conductiaicomplianceiandiethicsiriskiassessment




Aniemployeeidisclosesithatiaisupervisorihasibeeniverballyiabusive.iTheis
ameisupervisorihasialsoibeenisexuallyiharassingiseveraliemployeesiinihi
sidepartment.iTheicomplianceiprogramirequiresithatifindingsiofiharass
mentibeidocumentediandiforwardedibyitheicomplianceiandiethicsiprofe
ssionalitoitheiCEOiwithiairecommendationiforiappropriateidiscipline.iCo
unseliadvisesithatinoireportibeiwrittenibecauseiofipossibleilitigation.iTh

, eicomplianceiandiethicsiprofessional'siBESTicourseiofiactioniisito...i-
iCorrectiAnswer-Askicounselitoiprepareitheiwrittenireport




WhichiofitheifollowingiisitheiBESTioutcomeiofiaicomplianceiandiethicsipr
ogram?i-iCorrectiAnswer-Mitigatingirisk


Aicomplianceiandiethicsiprofessionalireceivesianianonymousicomplainti
thatianiemployeeiisireceivingigiftsifromiaivendor.iAniinvestigationifindsit
heiemployeeiisinotiiniviolationiofitheicurrentigiftipolicyianditheipolicyiha
sinotibeenireviewediinifiveiyears.iWhichiofitheifollowingiisitheicomplianc
eiandiethicsiprofessional'siMOSTiappropriateiaction?i-iCorrectiAnswer-
Benchmarkiforivendorirelationibestipractices


Aiproblemiwasifoundiiniairoutineiaccountingiaudit.iCorrectiveiactioniwa
sitakenianditheipoliciesiandiproceduresiwereiupdated.iWhichiofitheifollo
wingiisitheinextistepiinitheiauditiprocess?
A)iReportifindingsitoitheiboardiofidirectors
B)iPrepareitheifinalisummaryiandistorageiofitheiauditiresults
C)iReviewitheiprocessiafteriaiperiodiofitimeitoidetermineiifitheiproblemii
siresolved
D)iConductiairiskiassessmentitoiidentifyiotheripossibleiissues.i-
iCorrectiAnswer-

Reviewitheiprocessiafteriaiperiodiofitimeitoidetermineiifitheiproblemiisir
esolved.

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