Compliance Publications

  • If previous year's audit guide is needed, please contact PaymentsFirst

 

ACH Audit Guide - 2017

The 2017 ACH Audit Guide is a publication designed to assist financial institutions in completing an annual ACH audit as required by the NACHA Operating & Rules. This is a working document that will walk you through the steps of completing an Appendix Eight audit along with reviewing sound business practices, related compliance areas, online banking products and government benefit payments. An audit preparation checklist is included to assist in gathering information needed for review. The document includes tools to help the auditor understand ACH participants, payment applications and recent revisions to the NACHA Operating Rules.

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ACH Audit Guide for Third-Party Service Providers & Third-Party Senders

The ACH Audit Guide for Third-Party Service Providers and Third-Party Senders is a publication designed to assist the third-party in completing an annual ACH audit as required by the NACHA Operating & Rules. This is a working document that will walk you through the steps of completing an Appendix Eight audit along with reviewing sound business practices, related compliance areas, online banking products and government benefit payments. An audit preparation checklist is included to assist in gathering information needed for review. The document includes tools to help the auditor understand ACH participants, payment applications and recent revisions to the NACHA Operating Rules.

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Policies and Procedures Guide for ACH Operations - 2017

Don't go into your next examination with incomplete policies and procedures! The ACH Policies & Procedures Guide is a comprehensive template built for financial institutions. There has yet to be as complete a set of policies, procedures and supplements available to DFIs for ACH. The expert authors believe strongly that sample policies are not effective therefore this Guide allows for personalization in each area that a financial institution should make a business decision. Customization is easy in this electronic format.

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2017 Update-Policies and Procedures Guide Document

The ACH Policies & Procedures Guide document is an updated addendum for the NACHA Operating Rules changes effective 2017. This document can be used with the PaymentsFirst Policy & Procedure Guide previously purchased to update your policies & procedures.

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Guide for Completing Your ACH Risk Assessment - 2017

The 2017 Guide for Completing Your ACH Risk Assessment is a publication designed to assist financial institutions in completing a step-by-step assessment. Each financial institution is required to perform a risk assessment of their ACH activities and implement a risk management program in accordance with the requirements of their regulators. Individual sections within the document address: risk management systems & controls, credit risk, high-risk activities and direct access to the ACH Operator, compliance and transaction risk, vendor & third-party management, information technology & information security and business continuity. A pre-assessment checklist and guide directions are included to assist the assessor. The document includes tools to help the assessor understand ACH participants and payment applications.

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Wire Transfer Risk Assessment and Audit of Internal Controls Guide

The Wire Transfer Risk Assessment and Audit of Internal Controls Guide is a publication designed to assist financial institutions in completing a review of their wire transfer internal controls. Individual sections within the document include risk management system and controls; regulatory compliance and transaction risk; vendor management, agreement and contingency planning; and credit risk. An assessment questionnaire and guide directions are included to assist the auditor. The document includes tools to help the auditor understand the legal framework of wire transfers and terms.

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Remote Deposit Capture Risk Assessment Workbook CD

This comprehensive, easy-to-use workbook, now published on CD, is designed to assist financial institutions in addressing remote deposit capture risk. The CD content mirrors the FFIEC Remote Deposit Capture Risk Management Guidance. The Remote Deposit Capture Risk Assessment Workbook CD guides you in completing the step-by-step risk assessment. User-friendly worksheet questions are easily answered Yes/No and include room for comments, along with a designated action plan to assist you in developing a comprehensive RDC risk management program. Operations staff, risk managers, compliance officers as well as audit personnel will find this workbook CD a resourceful tool.

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Revised Uniform Commercial Code Article 4A and ACH Network

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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Same Day ACH - A Guide to Opportunities and Implementation

Explores developments made possible by the advent of Same Day ACH. The publication delves into new product and service opportunities afforded FIs with Same Day ACH, as well as detailing steps to implementation and preparedness on an operational front.

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The ACH Compliance Manual: How to Comply with ACH-Related Rules & Regulations-7th Edition

Everything you always wanted to know about compliance, but were afraid to ask or couldn't find. This comprehensive manual covers authorizations, disclosures, processing, funds availability, settlement, error resolution, returns, reversals, retention, audit, all Standard Entry Class Codes and much, much more. Helpful compliance tips are included as well as a resource list and glossary of terms.

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Third-Party Senders & the ACH Network: An Implementation Guide

This newest publication from NACHA - The Electronic Payments Association provides a review of the variations in legal requirements and processing obligations relating to the origination of ACH entries when a Third-Party Service Provider, acting as a Third-Party Sender, is involved in the origination of transactions through the ACH Network.

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