538 - ACH Risk Assessment Tools

Electronic Version

Publisher: SFE
Year: 2020

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



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