Performing Your ACH Audit: The Ins and Outs of ACH Rule Compliance

Instructor: Luann Kohlmann
Product ID: 703861
Training Level: Intermediate
  • Duration: 100 Min

recorded version

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Read Frequently Asked Questions

The NACHA Operating Rules and Guidelines require that all participating depository financial institutions, third-party senders and third-party service providers that provide ACH services conduct an annual ACH audit to be performed by December 31 of each year (ACH Rules, Appendix Eight, Section 8.1). It is critical that electronic payments work safely and efficiently for all users. The ACH network strives for just that by requiring the annual ACH audit. This webinar will offer attendees a keen understanding of general audit requirements, and the functions of a receiving depository financial institution (RDFI), and an originating depository financial institution (ODFI).

"Performing Your ACH Audit: The Ins and Outs of ACH Rule Compliance" - This course is approved by NASBA (National Association of State Boards of Accountancy). Attendees of Live Webinar are eligible for 2 CPE credit up on full completion of the course.

Why Should You Attend:

  • Have you ever wondered what specific areas of the ACH rules are included in the ACH audit requirements?
  • What are the most common areas of non-compliance?
  • Do you have all the necessary procedures in place to ensure full compliance?

This session will arm you with inside information on how to best comply with NACHA audit requirements. It will review areas to be audited, describe the most pressing compliance issues, and focus on specific audit requirements.

Areas Covered in the Webinar:

This course will review the 3 sections of the audit which focus on:

  • General Audit Requirements
    • Agreements
    • Previous audits
    • Retention
  • Receiving Depository Financial Institution (RDFI)
    • Prenotes
    • NOCS
    • Returns, stops and WSUDS
  • Originating Depository Financial Institution (ODFI)
    • ODFI agreements
    • Exposure limits
    • Originator obligations

Who Will Benefit:

This webinar will provide valuable assistance to all personnel in:

  • Financial Institutions
    • Risk/compliance officers
    • Internal audit
    • Operations
    • Treasury management
    • Credit risk managers
    • Loan officers
  • Accredited ACH Professionals
    • 1.8 AAP continuing education credits

Instructor Profile:

Luann S. Kohlmann serves as the vice president of WACHA/PAR, headquartered in Wisconsin. Ms. Kohlmann started her career in banking operations and joined the WACHA/PAR team in 2003. She is responsible for development and execution of association member programs, including education, conferences and publications. She also conducts ACH audits and risk assessments.

Coming from a financial institution background, Ms. Kohlmann has hands on knowledge and understanding of the problems that organizations face with day to day ACH processing and the need to continue to expand their electronic payment knowledge and services to keep up with the ever-changing electronic world.

Ms. Kohlmann has been a speaker at NACHA’s Electronic Payments Conferences and Windy City Summit in addition to many nationwide engagements. She is very active in national electronic payment councils and committees. She has been an Accredited ACH Professional since 2002 and became a National Check Professional in 2011.

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,, e-mail

Field of Study Minutes CPE
Auditing 70 1.4
Specialized Knowledge and Applications 30 0.6
Total Duration - 100 Min Total Credits - 2

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