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CCEP Compliance And Ethics Professional Exam Questions With 100% Correct Answers
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CCEP Compliance And Ethics Professional Exam Questions With 100% Correct Answers
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CCEP Compliance And Ethics Professional ExamQuestions With 100% Correct Answers
TheseiComplianceiandiEthicsiPoliciesiandiproceduresimustiexist
Non-
Retaliation,iRecordiManagement,iConflictiofiInterest,iPrivacy,iSecurity,i
andiConfidentiality
WhatiareiComplianceiOfficersirequireditoido?
MaintainiComplianceiandiEthicsipolicesiandiprocedures
Whenimakingidecisions,iC.O.ineedito....
Consultiwithiappropriateisubjectimatteriresources,iHR,ilegal,ifinance
Aimainigoalioficomplianceiprogram:
AssureiAlignmentibetweeniorganization'simission,ivision,ivalues,iandith
eicodeioficonduct
Aimainigoalioficomplianceiprogramiis...
toiassureialignmentiofitheicomplianceiandiethicsistrategiciplaniisiconsist
entiwithioverallibusinessiobjectives.
Airequirementiforicomplianceiprogramiis...
toimaintainiaicodeioficonduct
C.O.ineedsitoiensureiwhat?
Ensureiorganizationalivalueistatementsireflectiaicommittmentitoiaicultu
reiofiintegrity
WhatielseidoesiaiCOiensure?
,Theipoliciesiandiproceduresiaddressiregulatoryiandilegalirequirements.
Policiesineeditoiaddressiwhat?
Interactions/relationshipsiwithithird-
parties,ilikeivendors,ibusinessipartners,iandicompetitors
Whatielseiisirequirediinirelationitoithird-parties?
Thaticontractualiagreementsiincludeicomplianceiandiethicistandards.
Whatidocumentationiisirequirediofiaicomplianceiplan?
Thatitheiprogramiisidocumented,ilikeiaicomplianceimanual/outlinedipla
n.
Whatielseiwilliaicomplianceiprogramidocumentiiniregardsitoirisks?
Thatipoliciesiandiproceduresiaroundispecificiidentifiediriskiareaiareimai
ntained.
Whatiwilliaicomplianceiprogramidocumentiiniregardsitoigovernanceipoli
cies?
Thatitheigovernanceipoliciesiforitheicomplianceiandiethicsiprogramiarei
maintained.
WhoidoesiaiComplianceiOfficerireportito?
Aiboardiofidirectors,ioriauditicommittee
Whatidoesiaicomplianceiofficerireportianditoiwhom?
Reportsicomplianceiandiethicsiactivityitoitheiinternaligoverningibody,ili
keiaiboardiofidirectors/auditicommittee
Whoielseidoesiaicomplianceiofficerireportito?
Givesireportsioficomplianceiandiethicsiactivityitoitheisenioribusinessilea
der,ilikeitheiCEOioriCFO
, WhatidoesitheiCOicoordinateiinsideitheiorganization?
Coordinatesitheioperationaliaspectsiofitheicomplianceiprogramiwithima
nagement,ilikeioversighticommitteeiandiseniorimanagment.
Benchmarking
Collaborateiwithiothersiinternallyiandiexternallyitoiinstituteibestipractic
es:iwhatiareiothersidoingiinitheiriprogram?
WhatiisitheiCOiresponsibleiforiiniregardsitoigoalsiofioversighticommittee
?
Toiensureitheigoalsiandiobjectivesiofitheioversighticommitteeiareiachiev
ed.
Whatiknowledgeiisineeded?
Maintainiknowledgeiofirelevantilawsiandiregulations
Howiisiknowledgeiofirelevantilawsiused?
Relevantilawsiandiregulationsiareiapplieditoitheineedsiofitheiorganizatio
n.
COiassuresiwhatiaboutitheicomplianceiprogram?
Thatiitiisicredibleiandiruniwithiintegrity.
WhatimustiaiCOirecognize?
Recognizeitheineediforioutsideiexpertise.
Whatidoesitheigoverningiboardineeditoiunderstand?
Itsiresponsibilitiesirelateditoicomplianceiandiethicsiprogramiandiculture
.
WhatidoesiCOineeditoidoiiniregardsitoiLegaliCounsel?
Makeisureitheiroleioficounseliisidefined.
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