CEU Quiz: published in the May 2015 issue of Compliance & Ethics
Professional Magazine
To receive 1.0 non-live Compliance Certification Board (CCB) CEU for the following quiz, at least three questions
must be answered correctly. Only the first attempt at each quiz will be accepted.
Compliance & Ethics Professional Magazine quizzes are valid for 12 months, beginning with the first month of issue.
This quiz expires April 30, 2016.
LEARNING OBJECTIVES
LEARNING OBJECTIVE
After reading “Amnesty works for the government. Can it
work for your company?” (page21), you should be able to
answer the following questions:
After reading “Monitor good news” (page 57), you should be
able to answer the following question:
1. One instance in which an employee or executive would
be entitled to amnesty or leniency is if
A. the person has essential information and may
“stonewall” unless the employer will “cut a deal”
B. the company learns about wrongdoing through other
sources before the person comes forward to confess
C. the person self-reports the misconduct before anyone
else comes forward and is willing to make restitution
D. that person was the instigator or organizer of criminal
activity for which the company is now under fire
2. If a number of employees appear to be involved in
wrongdoing, an effective way to encourage them to come
forward and supply information is to
A. enforce a culture of zero tolerance for compliance
violations
B. fire some of them to make the others come forward
C. set up a timeframe for confessions, after which there
will be no leniency
D. threaten to fire them all, regardless of who is at fault
3. According to statistics from the Association of Certified
Fraud Examiners, the most effective control mechanism
for uncovering fraud is
A. internal audits
B. IT controls
C. management reviews
D. tips from whistleblowers
LEARNING OBJECTIVE
After reading “OFAC’s global sanctions: A greater headache
than the FCPA?” (page 65), you should be able to answer the
following question:
4. A best practice for companies that may be vulnerable to
global sanctions by the Office of Foreign Asset Controls
would be to
A. allow employees in foreign field offices to approve
transactions with other countries
B. create an operations playbook with real-world
examples and train employees how to deal with them
C. keep the operational structure separate from the legal
structure in foreign offices
D. use a third-party vendor to avoid direct contact if a
transaction involves a harshly sanctioned country
Compliance & Ethics Professional Continuing Education Form
For correctly answering SCCE’s Compliance & Ethics Professional magazine quiz, you will receive 1.0 non-live
Compliance Certification Board (CCB) CEU.
Read the articles, and the quiz questions on page one. Mark your answers in the “Quiz Answers” section below.
Please fax, email or mail the completed form to:
Compliance Certification Board
6500 Barrie Road, Suite 250
Minneapolis, MN 55435
Fax: +1 952 988 0146 | email: ccb@compliancecertification.org | Phone: +1 952 933 4977 or 888 277 4977
CONTACT INFORMATION
Mr.
Mrs.
Ms.
QUIZ ANSWERS: MAY 2015
Dr.
SCCE Member ID
Article: “Amnesty works for the government. Can it
work for your company?” (page 21)
Applicant Name
Please indicate your answers.
Place of Employment
Work Street Address
Work City
Work State
Work Phone
Work Fax
Work Zip
1.
A
B
C
D
2.
A
B
C
D
Article: “Monitor good news” (page 57)
Please indicate your answer.
3.
A
B
C
D
Article: “OFAC’s global sanctions: A greater headache
than the FCPA?” (page 65)
Work E-mail
Please indicate your answer.
Home Street Address
4.
A
B
C
D
Home City
Home State
Home Zip
Home Phone
ATTENDANCE VERIFICATION
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questions I have answered above. I further certify I will cooperate with the CCB in all administrative functions
related to the accreditation of this program and its subsequent recognition as a program fulfilling candidate
requirements for CCB certification.
Signature ____________________________________________ Date _______________________________