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Sample CCEP-I Exam Questions

Here are five sample questions to help prepare for the CCEP-I 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)  Human Resources asks the compliance and ethics professional 
     if they company can provide a vendor with names and email 
     addresses of the company’s sales employees
to promote a new 
     incentive plan. Some of the employees live and work in another 
country. Which of the following is the MOST appropriate action 
     for the compliance
and ethics professional to take?

            a. Direct Human Resources to comply with the vendor’s privacy 

            b. Ask the vendor to sign a confidentiality agreement before 
                providing the information.

            c. Consult the legal department for advice on applicable privacy laws to ensure compliance.

            d. Instruct HR not to provide the information because it would violate international privacy laws.

  2)   Best practices require an organization’s governing authority have:

            a. Reasonable oversight of the compliance and ethics program.

            b. Responsibility for the development of the compliance and ethics program.

            c. Day-to-day operational responsibility for the compliance and ethics program.

            d. Periodic reporting of the effectiveness of the compliance and ethics program.

3)   Adherence to the compliance and ethics should be incorporated as an element in evaluations of
      supervisors who:

            a. Are new to the company within the last 12 months.

            b. Received training during the evaluation period.

            c. Have previously noted compliance violations.

            d. Are in all levels of the organization.

 4)   A hotline allows employees and third parties to:

            a. Report compliance and ethics violations.

            b. Propose policies related to compliance and ethics.

            c. Communicate compliance and ethics information.

            d. Verify compliance and ethics risks.

 5)  An employee allegedly embezzled funds during the course of operating the company’s petroleum
      business. The compliance and ethics professional became aware of the allegation through a
      specific document requested by law enforcement. The compliance and ethics professional should

            a. Conduct its own investigation and report its finding to the legal counsel to avoid embarrassment.

            b. Discuss the matter with the legal counsel to preserve any applicable privilege during the 

            c. Discuss the matter with the Board of Directors to see advice regarding preserving the company’s

            d. Conduct an investigation with the assistance of an external auditor to preserve independence.

Answer key: 1. C, 2. A, 3. D, 4. A, 5. B