CCEP Study guides, Class notes & Summaries

CCEP Compliance and Ethics Professional ExamThese Compliance and Ethics Policies and procedures must exist - correct answer Non-Retaliation, Record Management, Conflict of Interest, Privacy, Security, and Confidentiality What are Compliance Officers required to do? - correct answer Maintain Compliance and Ethics polices and procedures When making decisions, C.O. need to.... - correct answer Consult with appropriate subject matter resources, HR, legal, finance A main goal of compliance p...

CCEP Glossary Exam With Complete Solution Rated A Accounting and Auditing Enforcement Releases (AAER) Financial reporting related enforcement actions concerning civil lawsuits brought by the Commission in federal court and notices and orders concerning the institution and/or settlement of administrative proceedings. Accredited Investors Term used by the SEC under Regulation D to refer to investors who are financially sophisticated and have a reduced need for the protection provided b...

CCEP: Set 2>> Questions with Correct Answers Rated A A compliance and ethics professional (CEP) is confronted in her office by ten government officials conducting a surprise visit. They demand immediate access to all company documents. Which of the following should the CEP do FIRST? A. Tell them that it is not a compliance matter. B. Request a copy of their official authorization. C. Call a higher authority to request immediate intervention. D. Permit immediate access C. ...

CCEP Set 4>> Questions with Correct Answers A C&E professional investigates a report of sexual harassment. The incident, not constitute SH, reveals the employee's misunderstanding of the harassment policy? Which of following should be FIRST in the corrective action plan? A) Consult outside counsel B) Disclose the incident to the EEOC C) Provide education and training on the policy D) Survey employee's understanding of the policy C) Provide education and training on the pol...

CCEP: Set 1 Exam >> Questions and Answers A company uses 5,000 third parties to accomplish business tasks. Which of the following steps should the compliance and ethics professional take to require third parties to comply with the company's ethics and compliance standards? A. Read the third party's code of conduct. B. Include the standards in the third-party contract. C. Conduct due diligence on the third party. D. Communicate the standards to the third part B. Incl...

CCEP EXAM >> QUESTIONS AND ANSWERS ALREADY GRADED A What are the 7 elements of a Compliance Program? 1. Standards of Conduct/Policies and Procedures, 2. Compliance Officer and Compliance Committee, 3. Education/Training, 4. Monitoring/Auditing, 5. Reporting and Investigating, 6. Enforcement and Discipline, 7. Response and Prevention A CFO discovers the CEO is using company funds for personal expenses. The CFO buried this information in the company's financial reports. The ...

CCEP 2024 CERTIFIED STUDY RESOURCE COMPLETE QUESTIONS AND VERIFIED CORRECT ANSWERS |ACTUAL EXAM| GET IT RIGHT GRADE A+

CCEP exam (Compliance).

CCEP_ Derechos Humanos C3 (1)

ACMP-CCMP.

CCEP Review_ Phil, Patho, Physio