Compliance Publications

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


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585 - ACH Audit Workbook CD


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537 - ACH Block/Filter Agreement


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1000B - ACH Policies & Procedures Tools - 2017 Updates


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1000 - ACH Policies & Procedures Tools


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538 - ACH Risk Assessment Tools - CD


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414 - ACH Risk Management Handbook, 5th 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. This edition explains the types of ACH payments risk, assesses the operational implications, and provides best practices for developing an effective risk management program. In addition, ten case studies are included to offer realistic examples to assist you in evaluating and implementing your risk control program. (2010)

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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. (EastPay) (2011)

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544 - ODFI Risk Management Guide on CD


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515 - 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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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.

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617 - Risk Management for Consumer Internet Payments ACH, Credit Cards


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614 - Risk Management for Internet, Telephone and Electronic Check ACH

The Guide is arranged to provide an overview of the ACH Network and risk issues involved to assist those new to the ACH Network Subsequent chapters address the specific risk issues related to Internet, Electronic Check and Telephone-Initiated ACH payments from the Originator, ODFI and RDFI perspectives.

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424 - Stop Payment and Written Statement Fillable PDF Forms


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508 - Stop Payment Request Order for Checks and ACH Entries - English or Spanish


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431 - The ACH Compliance Manual: How to Comply with ACH-Related Rules & Regulations-8th Edition


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

The edition is designed primarily for use by Originators, 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 Second Edition reflects the latest Rules changes, offers real-world examples of third-party sender relationships, includes best business practices, risk management topics, and a checklist of issues to be addressed by ODFIs, Originators, and Third-Party Senders in processing agreements. Also featured are six new case studies.

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550 - Written Statement of Unauthorized Debit - English or Spanish

These convenient two-part carbonless forms are an essential tool for financial institution personnel when customers question ACH debit transactions posted to their accounts. Includes thorough descriptions of what constitutes a revocation of authorization, an unauthorized debit, or an improper debit (for BOC, RCK, ARC, and POP entries), along with prompts to operations staff as to the correct return reason codes to use. Also available in Spanish! (EastPay) (2013)

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