Here are five sample questions to help prepare for the CCEP® examination
The sample questions are only intended to help familiarize you with the format of the exam. Questions presented here are not indicative of the actual exam, and results should not be inferred of actual exam results.
1) A supervisor is informed that a subordinate employee has lodged a
complaint against the company through the hotline. Which of the
following documents should the compliance and ethics professional
review with the supervisor FIRST?
a. Code of conduct
b. Compliance manual
c. Confidentiality policy
d. Non-retaliation policy
2) Which of the following documents do judges primarily use to establish fines and penalties?
a. Sarbanes-Oxley Act
b. Federal Sentencing Guidelines
c. Generally Accepted Accounting Principles
d. Security and Exchange Commission regulations
3) A U.S.-based company has recently acquired a subsidiary with offices in Europe. The compliance and
ethics professional has been charged with implementing an anonymous hotline for the new
Which of the following should the compliance and ethics professional do FIRST?
a. Consult with resources to determine local laws
b. Coordinate the installation of an international hotline
c. Post translated compliance materials on the company intranet
d. Publish the existing hotline number on the subsidiary’s website
4) Which of the following is the MOST effective way a compliance and ethics professional can evaluate
compliance and ethics audit findings?
a. Track the number of sexual harassment allegations received by HR that are substantiated
b. Conduct trend analysis on identified risk areas and benchmark results against industry standards
c. Review the number of hotline calls received and provide the information to the CFO
d. Investigate only those allegations received from mid-level management
5) The Federal Sentencing Guidelines require that risk assessments:
a. Review audit committee compliance
b. Measure risk to enforce compliance
c. Prioritize risk for compliance program modification
d. Ensure allocation of compliance and ethics resources
Answer key: 1. D, 2. B, 3. A, 4. B, 5. C