Learner Name: ______________________________ Date of Assessment: ____________________
Learner Assessment Pack:
Mandatory Unit: CU3755- Complying with Legal, Regulatory and Ethical
Requirements in a Sales or Marketing Role
This is a Question and Answer task for your NVQ Portfolio and makes up a full unit of your
NVQ Level 3 Diploma in Sales. Please answer all questions as fully as possible. You may
type into the worksheet and then print your work, or you may print the sheet and handwrite
on the sheet. This assignment is in TWO parts.
Part One: Understand the legal, regulatory and ethical requirements in a sales or marketing
role:
1.1 Explain the legal requirements of a sales or marketing role
1.2 Explain the regulatory requirements of a sales or marketing role
Learner Name: ______________________________ Date of Assessment: ____________________
1.3 Explain the ethical requirements of a sales or marketing role
1.4 State organisational procedures for raising legal, regulatory and ethical concerns
relating to a sales or marketing role
1.5 Identify to whom non-compliance issues should be referred
1.6 Explain when and how to refer legal, regulatory and ethical concerns to others
Learner Name: ______________________________ Date of Assessment: ____________________
1.7 Describe the possible consequence of non-compliance with legal, regulatory or ethical
requirements
Learner Name: ______________________________ Date of Assessment: ____________________
Part Two: Be able to comply with organisational policies and procedures for legal,
regulatory and ethical requirements in a sales or marketing role
2.1 Behave in a way that meets organisational ethical procedures, policies and standards
2.2 Identify areas where legal, regulatory or ethical issues may arise
2.3 Obtain advice on matters where legal, regulatory or ethical issues might exist
2.4 Work within the limits of responsibility and authority in a sales or marketing role
2.5 Report issues, problems and actions relating to legal, regulatory or ethical matters in the
agreed format
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Describe how you behave in a way that meets your organisation’s ethical
procedures, policies and standards- include in your answer what the procedures,
policies and standards are. (2.1)
Also, identify where issues may arise- provide an example if you can. (2.2)
Tell me how, and who from, you would get advice if an ethical issue arose. (2.3, 2.5)
Give an example of how you have worked within the limits of you own responsibility
and authority in your role. (2.4)
Learner Name: ______________________________ Date of Assessment: ____________________
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