Practice Test Geeks(CCEP) Certified Compliance and Ethics Professional Practice Test
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Investigations and Enforcement Flashcards

7 cards from real CCEP practice questions. Tap to flip, then mark Knew It or Still Learning — missed cards come back until you master them.

Read the first 7 Investigations and Enforcement flashcards as text

  1. When an internal investigation reveals potential criminal conduct, which action should a compliance officer take FIRST?

    Answer: Consult with legal counsel to assess reporting obligations

    Consulting legal counsel first ensures the organization properly evaluates its mandatory reporting obligations before taking further action.

  2. Which principle requires that an investigation remain confidential to protect both the subject and the integrity of the process?

    Answer: Need-to-know principle

    The need-to-know principle limits investigation information to those who must be involved, protecting integrity and privacy.

  3. A compliance team is conducting an investigation involving a senior executive. What is the most critical step to ensure objectivity?

    Answer: Engage outside counsel or independent investigators

    Engaging outside counsel or independent investigators removes potential conflicts of interest when investigating senior leadership.

  4. Under the False Claims Act, qui tam provisions allow which of the following?

    Answer: Private individuals to file suits on behalf of the government and share in any recovery

    Qui tam provisions allow private whistleblowers to file suit on behalf of the government and receive a portion of any financial recovery.

  5. What is 'spoliation of evidence' in the context of a compliance investigation?

    Answer: Deliberate destruction or alteration of evidence relevant to a legal proceeding

    Spoliation is the intentional destruction, mutilation, or alteration of evidence and can result in severe legal sanctions.

  6. Which document should be issued at the start of an investigation to preserve electronically stored information (ESI)?

    Answer: Legal hold notice

    A legal hold notice (litigation hold) is issued to suspend normal document destruction and preserve potentially relevant ESI.

  7. When closing an investigation with insufficient evidence to substantiate allegations, what is best practice?

    Answer: Document the findings, rationale for closing, and retain records per policy

    Documenting findings and rationale for closure, then retaining records, ensures accountability and supports future reference.