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Complying with ACH Rules - The Business Perspective

By:
Rayleen M. Pirnie, AAP, CEO and Founder, RP Payments Risk Consulting Services, LLC
Coming soon.. Please contact customer care for new schedule

"Complying with ACH Rules - The Business Perspective" - This course is approved by NASBA (National Association of State Boards of Accountancy). Seminar attendees are eligible for 16.5 CPE credits upon completion of this workshop.

Course Description:

Have you ever read a new ACH Rule and thought "What does this mean for my business?" or "How do we do that when we already do this?"- If so, you are not alone. Too many businesses report being provided a copy of an ACH Rule or a reference to it, but no further explanation or guidance. This course is uniquely designed by an Accredited ACH Professional for businesses striving for compliance in their ACH activity.

Noncompliance with the ACH Rules can place a business in a position of a Rules Violation, fines, fees, and/or restrictions on what the business can process. Left unchecked, or if there are significant violations, a business may find they are unable to use the ACH Network altogether. Using the ACH Network requires interpreting the Rules correctly, isolating risks, enhancing controls, and having appropriate internal procedures, yet many businesses report having to interpret the Rules themselves, hoping they are employing them correctly. This course changes all that.

This interactive, intensive course starts with exploring how upcoming and recently passed ACH Rules can impact your internal processes and procedures. From the benefits and risks of Same Day ACH to what you could be paying for unauthorized returns, we will explore the Rule from a business perspective, capitalizing on sound business practices and risk reduction.

We will also evaluate existing ACH Rules that businesses routinely struggle to comply with, like how acting on a Notification of Change can put you out of compliance with the Rules for Authorizations, and just what is expected of a company when you receive an Authorization Revoked return, yet you have no record that the consumer contacted you to revoke the authorization. Some Rules are not clearly defined, or they require actions that are not detailed. We'll explore the good and the bad practices that can mean the difference between compliance and unwanted scrutiny of your processes.

Using group discussion, activities and real cases, attendees will develop checklists appropriate to their industry and their unique use of the ACH Network to ensure compliance with new Rules and overcome common challenges of some existing Rules.

This is your chance to bring your origination challenges and questions to a setting perfect for group discussion, answers, and suggestions to improve your internal processes and compliance.

Additional materials each attendee needs to bring: Copy (physical or electronic) of the NACHA Operating Rules and Guidelines (preferably 2016), a pen and a highlighter. Suggestions for other materials: Flags, post-it notes and a method to take notes (paper, laptop, etc.).

Seminar Fee Includes:

Lunch
AM-PM Tea/Coffee
Seminar Material
USB with seminar presentation
Hard copy of presentation
Attendance Certificate
$100 Gift Cert for next seminar



Learning Objective:

  • Attendees will describe how their business uses the ACH Network.
  • Attendees will locate Rules in their NACHA Operating Rules and Guidelines book and identify how most Rules requirements aren't isolated to a single location.
  • Given specific Rules, attendees will examine challenges and isolate actionable sound business practices to minimize risk and improve compliance.
  • Using course materials and discussions, attendees will design checklists unique to their use of the ACH Network.


Areas Covered:

  • Recent ACH Rule changes
    • Same Day ACH
    • Disclosure requirements for ACH Point of Sale Entries
    • Unauthorized Entry Fees
    • Managing Administrative and Overall Return Rate levels
    • Reinitiating returned entries
  • Common Rules businesses struggle to comply with
    • ACH Security Framework Rule
    • Improperly reinitiated debit entries
    • Returns due to incomplete transactions
    • Notifications of Change
    • Unauthorized Returns
    • Revoked authorizations
    • Authorizations and disclosures for recurring telephone entries
    • Single ACH entry vs. Recurring ACH entries
    • Pre-notifications
    • Internet initiated entries


Who will Benefit:

Course specifically designed for business payments professionals that work with or manage ACH functions:

  • Accounts payable and receivable staff
  • CFOs, CPAs, Comptrollers
  • Risk management
  • Audit
  • Compliance
  • Accredited ACH Professionals (AAPs)


We are registered with and adhere to the Statement on Standards for Continuing Professional Education programs of the National Registry of CPE Sponsors. Our registration number is 109066. Please check with the governing body of your license and state for specific CPE requirements. Grievances may be forwarded to the company at 650 620 3961. Grievances may also be forwarded to the National Registry of CPE Sponsors-NASBA, 150 Fourth Avenue North, Suite 700, Nashville, TN 37219-2417, 615-880-4200, www.learningmarket.org, e-mail cpe@nasba.org.



Field of Study:
  • Management Advisory Services: 8 CPE Credits
  • Specialized Knowledge and Applications: 8.5 CPE Credits
  • Total CPE credits earned in this workshop: 16.5 CPE Credits

Program Delivery Method: Group-Live
Program Level: Intermediate
Advance Preparation/Program Prerequisites: Attendees should understand basic ACH processes, transaction flow, and the ACH Network. Attendees should bring their NACHA Operating Rules and Guidelines book to the course as this is the primary resource and material that will be used.





Course Outline:

DAY ONE (8:30 AM – 4:30 PM) DAY TWO (8:30 AM – 4:30 PM)

Registration Process: 8:30 AM – 9:00 AM

Session Start Time: 9:00 AM

  • 9:00 am – 11:45 am - Recent ACH Rule changes
    • Same Day ACH
    • Disclosure requirements for ACH Point of Sale Entries
    • Unauthorized Entry Fees
    • Managing Administrative and Overall Return Rate levels
    • Reinitiating returned entries
  • 11:45 am – 12:45 pm - Lunch
  • 12:45 pm – 2:00 pm - Recent ACH Rule changes Continued
  • 2:00 pm – 2:15 pm - Break
  • 2:15 pm – 3:30 pm - Complying with ACH Rules tips and resources; Rules violations
  • 3:30 pm – 4:30 pm - Individual and group exercises
  • 8:30 am – 9:00 am - Introduction; questions from Day 1
  • 9:00 am – 11:45 am - Complying with ACH Rules
    • ACH Security Framework Rule
    • Improperly reinitiated debit entries
    • Returns due to incomplete transactions
    • Notifications of Change
    • Unauthorized Returns
    • Revoked authorizations
    • Authorizations and disclosures for recurring telephone entries
    • Single ACH entry vs. Recurring ACH entries
    • Pre-notifications
    • Internet initiated entries
  • 11:45 am – 12:45 pm - Lunch
  • 12:45 pm – 2:00 pm - Complying with ACH Rules Continued
  • 2:00 pm – 2:15 pm - Break
  • 2:15 pm – 4:30 pm - Finish group discussions; Q&A; other issues; finalize individual checklists; identify resources




Meet Your Instructor

Rayleen M. Pirnie, AAP
CEO and Founder, RP Payments Risk Consulting Services, LLC

Rayleen M. Pirnie, AAP is the owner of RP Payments Risk Consulting Services in MO. Rayleen is a recognized public speaker, educator and writer who works with financial institutions and businesses across the nation to help them understand today’s threats and develop appropriate risk mitigation strategies. Rayleen’s areas of expertise include fraud mitigation and investigations, payment system risk management, cybercrimes, and information security. Rayleen is an Accredited ACH Professional (AAP) and the proud recipient of both the Nathan B Stubblefield Distinguished Lecture Series in Telecommunications System Management from Murray State University and the eFrauds Program Award from the Greater Kansas City Chapter of the Association of Certified Fraud Examiners.





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10+ Attendees - Get 30% off

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