CCEP Exam Dumps Study Guide

CCEP Exam Dumps Study Notes

• Training based on risk assessment findings: The purpose is to reduce legal exposure and educate employees on relevant laws and regulations. It does not focus on educating the board or reducing insurance premiums.

• Sexual Harassment Policy Corrective Action: The first step for a corrective action plan when an employee misunderstands the harassment policy is to provide education and training on the policy.

• Compliance Program Development Guidance: Federal Sentencing Guidelines provide guidance for developing compliance programs. Sarbanes-Oxley Act, Security and Exchange Commission, and Office for Civil Rights are also relevant but not the sole guidance for program development.

• Compliance and Ethics Program Outcome: The best outcome of a compliance and ethics program is mitigating risk. Identifying, prioritizing, and documenting risk are important aspects but not the optimal outcome.

• Price-Fixing Training: Training on price-fixing is most significant for management, sales, and accounting staff.

• Compliance and Ethics Program Components: A compliance and ethics program should include employee benefits handbooks, document retention guidelines, confidentiality policies, and a statement regarding the organizational culture.

• New Compliance and Ethics Officer The first action of a new compliance and ethics officer is to conduct a risk assessment. Reviewing policies, performing an audit, or training employees, are all subsequent steps.

• Supervisor Abuse/Harassment: When a supervisor is verbally abusive and sexually harassing, the compliance and ethics professional must report the findings to the CEO, with recommendations for discipline, despite advice to the contrary if there are litigation concerns.

• Employee Handbook Conflict: If a conflict exists between a company's Code of Conduct and employee handbook (which is approved by the board), the compliance and ethics professional should schedule a meeting with HR, legal counsel, and the board to resolve the inconsistencies.

• Code of Conduct Review: If a company's Code of Conduct has not been reviewed for two years and an expansion is proposed, the compliance and ethics professional should request guidance from the board of directors before completing the revisions. Comparing content with other organizations or using Federal Sentencing Guidelines as a rewriting basis are secondary steps.

• Company Ethical Standards Demonstration: Effective ethical standards are best demonstrated through implementing an anonymous reporting system, terminating an executive for misconduct, or suspending/training an employee who failed to complete training. These actions demonstrate a commitment to ethics rather than just having a printed Code of Conduct.

Note: Additional topics covered in the provided text include details regarding Federal Subpoenas, compliance and ethics professional roles & responsibilities, legal frameworks, prioritization of risks, reporting misconduct, and corporate ethical standards. These are not exhaustive summaries of those topics, but key information relevant to those sections of the text.

Prepare for the CCEP exam with this comprehensive study guide. It covers critical topics such as compliance training, harassment policy corrective actions, and guidance for developing compliance programs. Enhance your understanding and mitigate risks in your organization.