RISK MANAGEMENT / COMPLIANCE

ACH Audit Guide (CD)

The ACH Audit Rules Compliance Guide is designed to assist users of the ACH Network in the completion of their annual ACH audit requirement. Attachments to the guide include the following: Audit Guidelines with Rule References, a Pre-Audit Checklist, Audit Worksheets, an Audit Report of Rules Compliance, a UCC 4A Disclosure/Primer & a Glossary of Terms.

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ACH Compliance Manual

This comprehensive manual explains the requirements of the NACHA Operating Rules & Guidelines and covers topics such as authorizations, disclosures, processing, funds availability, settlement, error resolution, returns, reversals, retention, audit, all Standard Entry Class Codes and more. It also provides a general overview of related Federal Regulations as well as helpful compliance tips, a resource list, and glossary of terms.

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ACH Policies & Procedures Manual (CD)

The purpose of this manual is to assist financial institutions in writing their policies & procedures with regards to participation in the ACH Network. In additional to this robust manual, the CD contains the following attachments: a Glossary of Terms, a Sample Written Statement of Unauthorized Debit (WSUD), the ‘How to Report a Possible ACH Rules Violation’ Document, a Sample Stop Payment Order Request Form, & an ACH Security Framework Checklist.

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ACH Risk Assessment Guide (CD)

The ACH Risk Assessment Guide is designed to assist users with identifying and mitigating the risk when operating in the ACH environment. Additional supplements to the guide include: Guidelines for Developing a Rating System Related to the ACH Risk Assessment, Sample List of ACH Risk Assessment Interview Questions and Worksheets, Sample Final Report, & a Glossary of Terms.

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ACH Risk Management Handbook

6th Edition

A Comprehensive Guide to ACH Risk Issues and Control Procedures - ACH participants must take action to control risk in any payment system – including ACH.

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ODFI Risk Management Guide (CD)

This guide examines risk from the perspective of an originating depository financial institution (ODFI), covering the types of risk, how to manage that risk, & information about two agencies that require compliance in the ACH Network.

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Revised Uniform Commercial Code Article 4A and the ACH System

2nd Edition

New, easy to understand edition. Evaluates the impact of UCC 4A on security procedures and bank/corporate agreements. For financial institutions and corporations that handle ACH wholesale credits.

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Rules Review Guide for Originators (CD)

Designed for financial institutions looking for a tool to help perform an ACH audit of originating customers and originating companies looking for a way to verify they are abiding by all the ACH Rules.

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Third-Party Senders ACH Audit Guide (CD)

The Third-Party Sender ACH Audit Guide is designed to assist Third-Party Senders in the completion of their annual ACH audit requirement.

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