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ACH Audit & Risk Assessment Workbook

SPECIAL OFFER: Order the ACH Audit & ACH Risk Assessment Workbook Bundle to SAVE 15%!!
Additional Information:
(ELECTRONIC PUBLICATION) Regulators and the ACH Rules require all financial institutions to conduct an ACH Compliance Audit annually and ACH Risk Assessment as necessary. And, with the 2019 removal of Appendix Eight from the ACH Rules, a risk-based audit approach is encouraged. Complete both requirements efficiently and effectively, plus save 15%, by purchasing this bundle which includes our downloadable 2021 ACH Audit Workbook and 2021 ACH Risk Assessment Workbook. The ACH Audit Workbook has been enhanced for ease of use and now examines OFAC controls, ACH Operator relationship, internal controls and related regulatory requirements in addition to traditional Rule requirements. The ACH Risk Assessment Workbook will guide you step by-step through conducting your 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 risk management program. (2021)
This publication is copyrighted and purchase is good for one download/use. Contact Member Support for discounted pricing on multiple downloads. If you are not an EPCOR Member, please contact us at 800.500.0100 or memserve@epcor.org to place an order. This publication is formatted as a PDF document. Users must have access to Adobe Reader.
$253.00
$506.00
Available for Immediate Download

ACH Audit Workbook (ELECTRONIC)

Additional Information:
Regulators and the ACH Rules require all financial institutions to conduct an ACH audit annually. And, as a result of the 2019 removal of Appendix Eight from the ACH Rules, institutions are now encouraged to take a risk-based approach to their audit. If you are conducting your audit internally, this fully interactive workbook will eliminate guesswork and guide you through the process. Bringing in pertinent criteria from the ACH Rules, the workbook examines ODFI and RDFI internal controls, OFAC controls, the ACH Operator relationship and related regulatory requirements. Several enhancements have been made in 2021 to incorporate member-feedback and make the workbook even more user-friendly including bookmarks for quick navigation between audit sections, icons to indicate questions pertaining to ACH Rules requirements and radio buttons for increased efficiency. Instructions for use are included. Upon completion of the workbook pages, a summary report is generated to help you quickly identify and prioritize changes to reduce risk. (2021)
This publication is copyrighted and purchase is good for one download/use. Contact Member Support for discounted pricing on multiple downloads. If you are not an EPCOR Member, please contact us at 800.500.0100 or memserve@epcor.org to place an order. This publication is formatted as a PDF document. Users must have access to Adobe Reader.
$150.00
$300.00
Available for Immediate Download

ACH Risk Assessment Workbook (ELECTRONIC)

Additional Information:
The ACH Risk Assessment Workbook is designed to assist Financial Institutions, both RDFIs and ODFIs, in addressing ACH risk. Content of the Workbook includes risk criteria as defined in the OCC Bulletin 2006- 39-ACH Risk Management Guidance, the FFIEC Retail Payment Systems IT Examination Handbook and the FFIEC updated Guidance to Internet Banking. Just by answering Yes, No or Not Applicable, this workbook will identify strengths and weaknesses in your existing ACH risk management program. Individual chapters address System and Controls, Credit Risk, High-Risk Activities, Compliance Risk, Third-Party Service Providers and Direct Access to the ACH Operator, Operational and Transaction Risk, and Information Technology Risk. The ACH Risk Assessment Workbook guides you in completing the step-by-step risk assessment. User-friendly worksheet questions are easily answered and include room for comments, to assist in developing a comprehensive risk management program. Compliance officers, audit personnel and operations staff will find the Workbook a valuable tool. (2021)
This publication is copyrighted and purchase is good for one download/use. Contact Member Support for discounted pricing on multiple downloads. If you are not an EPCOR Member, please contact us at 800.500.0100 or memserve@epcor.org to place an order.
$150.00
$300.00
Available for Immediate Download

Remote Deposit Capture Risk Assessment Workbook (ELECTRONIC)

Additional Information:
Updated to include Mobile Remote Deposit risks, this comprehensive, easy-to-use Remote Deposit Capture Risk Assessment Workbook is designed to assist Financial Institutions in addressing remote deposit capture risk. The Workbook content mirrors the FFIEC Remote Deposit Capture Risk Management Guidance. The Remote Deposit Capture Risk Assessment Workbook 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 a useful tool. (2021)
This publication is copyrighted and purchase is good for one download/use. Contact Member Support for discounted pricing on multiple downloads. If you are not an EPCOR Member, please contact us at 800.500.0100 or memserve@epcor.org to place an order.
$150.00
$300.00
Available for Immediate Download

Third-Party Sender ACH Audit & Risk Assessment Workbook

SPECIAL OFFER: Order the Third-Party Sender ACH Audit & ACH Risk Assessment Workbook Bundle to SAVE 15%!!
Additional Information:
(ELECTRONIC PUBLICATION) Third-Party Senders complete both an ACH Rules Compliance Audit and ACH Risk Assessment efficiently and effectively, plus save 15%, by purchasing this bundle which includes our 2021 Third-Party Sender ACH Audit Workbook and 2021 Third-Party Sender ACH Risk Assessment Workbook in downloadable format. The Third-Party Sender ACH Audit Workbook includes audit questions, sample reports and complete step-by-step worksheets based on the ACH Rules, so that you can easily assess and document your level of compliance. The Third-Party Sender ACH Risk Assessment Workbook will guide you step by-step through conducting your risk assessment by answering Yes/No questions and includes a designated action plan to assist you in developing a comprehensive risk management program. (2021)
This publication is copyrighted and purchase is good for one download/use. Contact Member Support for discounted pricing on multiple downloads. If you are not an EPCOR Member, please contact us at 800.500.0100 or memserve@epcor.org to place an order.
$253.00
$506.00
Available for Immediate Download

Third-Party Sender ACH Audit Workbook (ELECTRONIC)

Additional Information:
Third-Party Senders that perform any functions of an ODFI are required to conduct an annual ACH Rules Compliance Audit. This user-friendly workbook has been updated to incorporate 2021 ACH Rules changes and will walk Third-Party Senders step-by-step through conducting their audit. Audit questions, sample reports and complete worksheets based on the ACH Rules are all included in this helpful tool, making it easy for Third-Party Senders to assess and document their level of compliance. (2021)
This publication is copyrighted and purchase is good for one download/use. Contact Member Support for discounted pricing on multiple downloads. If you are not an EPCOR Member, please contact us at 800.500.0100 or memserve@epcor.org to place an order.
$150.00
$300.00
Available for Immediate Download