Picture of the productACH Audit Checklist 2018 UPDATED
The WesPay ACH Audit Checklist is a complimentary member publication and is designed for organizations seeking guidance in preparing for their annual review. An important organizing tool for members, this document distinguishes key ACH operational processes to be included in your annual audit, identifies documentation and supporting materials needed during the review, and provides a list of resources related to requirements, regulations and industry guidance. Whether you complete your audit with internal staff or have WesPay conduct your audit, this document will help you to be organized and better prepared for this important undertaking.

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Picture of the productACH Audit Guide for Third-Party Senders NEW
The WesPay Advisors ACH Audit Guide for Third-Party Senders is designed for organizations seeking a tool to assist with self-completion that incorporates WesPay's collective experience from conducting hundreds of ACH Audits. This interactive guide provides examples of sound industry practices and includes popular reference tools, such as ACH Return and Notification of Change codes and Standard Entry Class Code definitions. This document addresses all requirements in 2017 NACHA Operating Rules.

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Picture of the productACH Audit Requirements Sound Practices Checklists
Each Participating DFI, Third-Party Service Provider, and Third Party Sender must, in accordance with standard auditing procedures, conduct an internal or external audit of compliance with provisions of the ACH Rules in accordance with the requirements of this Appendix Eight. This updated Sound Practices publication contains helpful information gained by WesPay staff while conducting hundreds of audits over the last several years. Updated for 2017.

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Picture of the productACH Risk Management Handbook - 6th Edition
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, case studies are included in each chapter to offer realistic examples to assist you in evaluating and implementing your risk control program.
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Picture of the productACH Operations Risk Management Tools
These tools are designed to complement an ODFI’s existing ACH origination policies and procedures to streamline the operational risk management functions. The easy-to-use tools available on CD, cover everything from monitoring and tracking of exposure limits, to reviews of exceeded limits, methods of confirming file legitimacy and trend analysis capabilities. The tools included are: ACH Exposure Limit Evaluation, Exceeded ACH Exposure Limit (FI), Exceeded ACH Exposure Limit (Originator), Exposure Limit Adjustment Request, ACH Returns Transmittal Register, NOC Entry Transmittal Register, ACH Originated Return Entry Log and ACH File Transmittal Register. (2017) (EPCOR)

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Picture of the productACH Risk Assessment Workbook
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. (2018) (EPCOR)

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Picture of the productACH Security Framework Checklist for Financial Institutions
A financial institution’s policies and procedures should reflect what the institution is doing to comply with regulatory standards and payment rules, plus illustrate the Board of Director’s expectations. This valuable tool is designed to assist financial institutions with assessing their compliance with Section 1.6 of the ACH Rules, frequently referred to as the ACH Security Framework Rule. This checklist helps an institution assess compliance with the Rule by providing a list of policies and procedures to review, plus provides areas for notes of the assessment. The Checklist includes industry-recognized security standards and guidance, along with defines terms. This valuable assessment tool enhances an institution’s annual ACH risk assessment process and provides institutions with a way to document compliance for regulators. (EPCOR)(2018)

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Picture of the productRemote Deposit Capture Risk Assessment Workbook
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. (EPCOR)(2018)

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Picture of the productThird-Party Sender ACH Risk Assessment Workbook
The Third-Party Sender ACH Risk Assessment Workbook is designed to assist Third-Party Senders in identifying and managing 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. User-friendly worksheet questions are easily answered and include room for comments to assist in developing a comprehensive risk management program. (2018) (EPCOR)

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Picture of the productWire 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. (EPCOR)(2017)

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