None at this time.

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

CD

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.  



Price:   Qty:     

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

Electronic Version

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.  



Price:   Qty:     

585 - ACH Audit Workbook CD

The ever-popular ACH Audit Workbook is updated for 2019. This useful tool includes audit questions and sample reports needed by an Auditor. The revised ACH Audit Workbook is designed to assist Financial Institutions and Third-Party Service Providers in the completion of the required annual audit of compliance with the ACH Rules. Included in this complete step-by-step audit resource are the audit criteria for all participants, worksheets for each of the criteria, a list of compliance tips and audit report. The Workbook easily allows for electronic completion of worksheets and reports.

 



Price:   Qty:     

537 - ACH Block/Filter Agreement

As financial institutions see an increase in fraud attempts on all payment types, ACH customers are looking to use anti-fraud services like ACH Blocks/Filters and ACH Positive Pay. These services help the customers to control and/or monitor ACH activity. This contains a customizable Microsoft Word document that includes critical forms and conditions between these parties.



Price:   Qty:     

1000B - ACH Policies & Procedures Tools - 2019 Updates

New ACH Rules may mean changes to your current ACH Policies and Procedures.  We’ve updated each section of the ACH Policies & Procedures Tools affected by the 2019 NACHA Operating Rules & Guidelines.  These updates will help you save time and easily make changes to your customized ACH Policies and Procedures.

2019 Edition Anticipated Availability April 30, 2019



Price:   Qty:     

1000 - ACH Policies & Procedures Tools

Don't go into your next examination with incomplete policies and procedures! The ACH Policies & Procedures Tools 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 Guidance allows for personalization in each area that a Financial Institution should make a business decision. Customization is easy in this electronic format.

2019 Edition Anticipated Availability April 30, 2019



Price:   Qty:     

538 - ACH Risk Assessment Tools - CD

Under NACHA's "ACH Risk Management and Assessment" rule, each financial institution is required to 1) perform a risk assessment of their ACH activities, and 2) implement risk management programs in accordance with "the requirements of their regulators". The rule became effective June 18, 2010 and you should expect verification of compliance as part of your next ACH Audit and Regulatory Examination. By utilizing the ACH Risk Assessment Tools CD you can gain:

  • Guidance to assist you in completing a step-by-step risk assessment
  • Convenient storage and organization of supporting documentation
  • Background information on Risk Assessment Rule
  • Help to identify strengths and weaknesses in your existing program
  • Individual chapters address Credit Risk, High-Risk Activities, and Compliance Risk, Third-Party Service Providers & Direct Access to the ACH Operator and Transaction and Information Technology Risk
  • Preparation Checklist
  • Rating System
  • User-friendly worksheet questions
  • Final report
  • Includes a CD for electronic completion

 

 



Price:   Qty:     

414 - 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 the ACH Network. The 6th edition explains the types of ACH payments risk, assesses the operational implications and provides sound business practices for developing an effective risk management program. In addition, case studies are included in each chapter to offer realistic examples to assist you in evaluating and implementing your risk management program.

 



Price:   Qty:     

686 - AgreementsNow! Business Online Bkg Cash Mgmt Master Svc Agmt

One master agreement that covers all your payments products eliminates the need for separate agreements that must be signed and filed for each service! This electronic document contains a modifiable Business Online Banking and Cash Management Service Master Agreement in Microsoft Word that captures what should be in every service agreement. You append further information using the multiple product schedules that are include on the document, but only the Master Agreement needs to be signed. Product schedules included on the document are:

  • ACH Origination including sample credit policy, authorization forms, and more
  • ACH Block-Filter
  • Account Reconciliation including full, partial, and range
  • Lockbox including retail, wholesale, and "wholetail"
  • Line of Credit Sweep
  • Money Market Sweep
  • Positive Pay
  • Remote Deposit Capture including RDC, checklist
  • Wire Transfer

The ACH, Remote Deposit Capture, and Wire Transfer agreements are also structured for stand-alone use if needed. The contents and price make this a very cost-effective package for your payments product program!



Price:     

Compliance Bundle #1

Save on Individual Items

Special Offer!
$95 Savings

ACH Compliance Manual - How to Comply with ACH-Related Rules & Regulations-8th Edition (#431)
ACH Audit Guide for Third-Party Service Providers & Third-Party Senders (#630)
ACH Policies & Procedures Tools CD (#1000)



Price:   Qty:     

Compliance Bundle #2

Save on Individual Items

Special Offer!
$30 Savings

Remote Deposit Capture Risk Assessment Workbook CD (#515)
ACH Risk Assessment Tools CD (#538)
ACH Audit Workbook CD (#585)



Price:   Qty:     

418 - Healthcare EFT Standard Implementation Guide NACHA CCD+ Addenda

The purpose of the Healthcare EFT Standard Implementation Guide is to provide the healthcare industry with information on payment processing between the Health Plan to the Provider and for implementing the healthcare EFT Standard for Stage 1 Payment Initiation, as defined by the Standards for Healthcare Electronic Funds Transfers (EFTs) and Remittance Advice.  Chapters cover:  The Healthcare EFT Standard at a glance; NACHA, the NACHA Operating Rules, and changes to support healthcare EFT payments; ACH Network fundamentals; ACH formatting requirements; healthcare EFT and ERA operating Rules; and Resources.



Price:   Qty:     

564 - ODFI Audit Checklists for Originators & Third-Party Senders

Electronic

This tool contains a series of ODFI Audit checklists providing an efficient tool for ODFIs to gauge their Originators/Third-Party Senders understanding and compliance to the ACH Rules. These checklists can be completed by financial institution staff or sent to the Originator and/or Third-Party to complete on its own then return to the ODFI. Each Audit Checklist is a fillable PDF form for each type of ACH application. Complete or send the forms that are specific to the ACH services your institution originates.

 

 



Price:   Qty:     

544 - ODFI Risk Management Guide on CD

This new improved guide, now on CD, has been updated to provide more risk management tools. Meant to be a starting point for managing risk within the financial institution, this guide provides a sample origination/risk policy; a risk management checklist; a sample exposure limit request form and new this year, information to assist in auditing your originators for compliance with the NACHA Operating Rules & Guidelines



Price:   Qty:     

515 - Remote Deposit Capture Risk Assessment Workbook CD

This comprehensive easy-to-use workbook is designed to assist financial institutions in addressing and managing remote deposit capture risk, including assessments for traditional scanner RDC and mobile capture. User-friendly worksheets guide you in completing the step-by-step risk assessment; as well as a designated action plan to assist you in developing a comprehensive RDC risk management program. A useful tool for operations staff, risk managers, compliance officers and audit personnel.



Price:   Qty:     

432 - Revised Uniform Commercial Code Article 4A and the ACH System

Evaluates the impact of UCC 4A on security procedures and bank/corporate agreements. Includes article 4A with staff commentary. For financial institutions and corporations that handle ACH wholesale credits.



Price:   Qty:     

425G - Stop Payment Fillable PDF Form

This Electronic Stop Payment Request Order provides concise explanations on stop payment requests for single or recurring entries to consumer accounts; stop payment requests on paper items; and stop payment requests for entries to non-consumer accounts. This fillable PDF form contains all the necessary information your financial institution needs to easily comply with these requests.

Minimum system requirement - Adobe Reader.



Price:   Qty:     

431 - The ACH Compliance Manual: How to Comply with ACH-Related Rules & Regulations-9th Edition

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. 

This newly-revised 9th Edition is an excellent resource for anyone getting familiar with the Rules or as a companion for reviewing the Rules. It is clearly organized to show how the Rules apply to various participants in the system: Originators, ODFIs, Operators, RDFIs, and Receivers. It will help answer many routine questions that would otherwise require researching numerous other regulatory publications.

This manual is an invaluable tool for any candidate studying for the AAP or APRP exams and for those preparing for ACH annual audits or examinations by regulatory agencies. 



Price:     

431 DA - The ACH Compliance Manual: How to Comply with ACH-Related Rules & Regulations-9th Edition

Digital Access

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. 

This newly-revised 9th Edition is an excellent resource for anyone getting familiar with the Rules or as a companion for reviewing the Rules. It is clearly organized to show how the Rules apply to various participants in the system: Originators, ODFIs, Operators, RDFIs, and Receivers. It will help answer many routine questions that would otherwise require researching numerous other regulatory publications.

This manual is an invaluable tool for any candidate studying for the AAP or APRP exams and for those preparing for ACH annual audits or examinations by regulatory agencies. 



Price:     

511 - Third-Party Senders & the ACH Network (3rd Edition)

Third-Party Senders & the ACH Network is designed primarily for use by ODFIs and those Third-Party Service Providers that act in the specific role of Third-Party Senders. This publication 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. This edition reflects the latest NACHA Operating Rules changes, offers real-world examples of Third-Party Sender relationships, and includes sound business practices, risk management topics and a checklist of issues to be addressed by ODFIs, Originators, and Third-Party Senders in processing agreements.



Price:   Qty:     

511 DA - Third-Party Senders & the ACH Network (3rd Edition)

Digital Access

Third-Party Senders & the ACH Network is designed primarily for use by ODFIs and those Third-Party Service Providers that act in the specific role of Third-Party Senders. This publication 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. This edition reflects the latest NACHA Operating Rules changes, offers real-world examples of Third-Party Sender relationships, and includes sound business practices, risk management topics and a checklist of issues to be addressed by ODFIs, Originators, and Third-Party Senders in processing agreements.



Price:   Qty:     

531 - Wire Audit Checklist

Conduct an internal review of your wire transfer area, before your examiner does! This new audit checklist was designed to assist your financial institution in identifying potential areas that require stronger internal controls and/or increased focus simply by answering a series of yes/no questions. This valuable tool also includes quick references to applicable rules and regulations covering the wire network. Determine whether the policies, procedures and internal controls regarding wire funds transfers are adequate for your institution.



Price:   Qty:     

420 - 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 controls and oversight; regulatory compliance and transaction risk, vendor management and contingency planning, information technology and security, 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.



Price:   Qty:     

426G - Written Statement Fillable PDF Forms

As an RDFI, you must have a completed Written Statement of Unauthorized Debit (WSUD) before returning a debit entry. The dated form has clear and concise information about what return reason code to use and is fully NACHA compliant. You have the capability to fill out the PDF form online or email it to your customer for them to complete and provide back to you.

Minimum system requirement - Adobe Reader.



Price:   Qty: