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2010 Rules Changes
Bankerstuff Webinar
March 4, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
Are you ready for the 2010 NACHA Rules changes? We’ll review the changes
to the audit requirements that were effective December 2009, as well as
all the 2010 Rules changes including the changes to Authorizations,
Returns and Stop Payments that are effective in March, and the new risk
management and risk assessment requirements and direct access
registration requirements which are effective in June. Don’t miss this
chance to find out everything you need to know about what’s new with the
NACHA Rules in 2010!
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the Top
Performing Your ACH Audit
Bankerstuff Webinar
March 16, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
The National ACH Association (NACHA) requires in its Operating Rules
(Subsection 1.2.1) that each Participating Depository Financial
Institution (DFI) conduct or have conducted an audit of its compliance
with the Rules by December 1. Effective December of 2009, the existing
Rules compliance audit requirements were refined and clarified and
additional provisions, guidance and industry best practices were
provided. This webinar will guide you through the ACH Audit process and
discuss the requirements for each area of review: originating,
receiving, exception item processing and Treasury issues.
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the Top
Performing Your ACH Risk Assessment
Bankerstuff Webinar
March 31, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
Effective June, 2010, all Participating DFIs will be required to conduct
a risk assessment of their ACH activities and to implement risk
management programs based on the results of these assessments, in
accordance with the requirements of their regulators. This webinar will
guide you through the ACH Risk Assessment process including assessing
the types and levels of risks associated with ACH activity, customer due
diligence, controls for Originators, third-parties and direct-access
connections, and systems to manage and mitigate risk.
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the Top
RDC Basics
Bankerstuff Webinar
April 8, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
Many financial institutions have implemented or plan to soon implement
an RDC service for their corporate customers. It is critical to ensure
that your institution not only has the appropriate processes, policies
and procedures in place to adequately protect it from potential risks
and comply with the FFIEC Guidance on Remote Deposit Capture, but is
also maximizing the product’s potential revenue opportunities.
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the Top
Payments Radar
Jack Henry Mid-South\Southern Users
Group Spring Meeting
Asheville, North Carolina
April 20 - 21, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
What’s on the payments landscape horizon…and is it on your
organization’s radar? This session will provide an update on different
aspects of the evolving payments industry, including ACH Rules changes
regarding authorizations, returns and stop payments, regulatory
requirements for risk management and assessment in ACH and Remote
Deposit Capture, trends in mobile banking / mobile payments and what’s
happening in payments fraud.
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the Top
Performing or Updating Your RDC Risk
Assessment
Bankerstuff Webinar
April 22, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
The FFIEC Guidance on RDC Risk Management requires that prior to
implementing RDC and periodically thereafter, management should conduct
a risk assessment
to identify the related types and levels of risk exposure. This webinar
will walk you through the RDC risk assessment process, including
accessing the legal, compliance, reputational and operational risks
associated with the RDC system as well as discussing the
responsibilities of senior management in understanding and managing the
risks inherent in RDC.
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the Top
Merchant RDC: Capturing the Risks and Getting
with the Program
NACHA’s Payments 2010
Seattle, Washington
April 26 - 28, 2010
Speaker: Terri Pelle Sands, AAP, Payments Information Circle and Tony
DaSilva, AAP, CISA, Bank Examiner, Federal Reserve Bank of Atlanta
Auditors and examiners have had over a
year of experience using the FFIEC Guidance to perform remote deposit
capture audits and examinations of banks. Banks have begun to get their
program in line with their other payments offerings and in accordance
with the published guidance - but what are the most common findings and
challenges still facing financial institutions today? Learn from an
examiner from the Federal Reserve Bank and an auditor of RDC merchant
capture as they discuss the differences in audits pre-and-post Guidance,
the greatest remaining challenges and how financial institutions are
overcoming them, and what procedures and actions financial institutions
use to ensure they avoid losses and have a successful RDC audit.
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the Top
Performing Your RDC Audit
Bankerstuff Webinar
May 6, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
As with any offering of a payments product, financial institutions are
expected to understand the applicable rules and regulations, the risks
involved in offering the product, and to have documented procedures and
policies in place. This webinar will walk you through the RDC audit
process and focus on identifying gaps in the process that could lead to
potential risk. We will discuss reviewing customer agreements,
operational procedures, the risk policy, contingency plan, and methods
of customer education on their responsibilities and monitoring of their
compliance as well as discussing how to audit your corporate customers.
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the Top
Risks and Regulatory Requirements of
Electronic Payments
Fusion 2010 Forum and Expo
Dallas, Texas
May 9 - 13, 2010
Speaker: Kathy Barry Levin, AAP, Payments Information Circle and Kristy
Dixon Powell, AAP, Synovus Financial
The benefits of using automation to remove paper from the payments
process are clear, but what about the risks and regulatory requirements
that come along with those benefits? The speakers will discuss the
fraud, operational and credit risks from the financial institution and
corporate customer perspective in ACH, Remote Deposit Capture, Card and
emerging mobile payments, what can be done to mitigate those risks, and
the regulatory expectations for each payment type.
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the Top
ACH Risk Management: How Effective is Your Risk Program
Virginia Bankers Association Operations and Technology Workshop
Richmond, Virginia
May 18 - 19, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
The ACH delivery system has evolved from direct deposit, direct payment
and corporate cash concentration to authorizations obtained via check
conversion and truncation, over the telephone and through the internet.
These newer ways to send payments electronically have led to increased
volume in the network, which in turn has prompted additional guidance
from regulatory bodies and a greater focus on how financial institutions
are identifying, managing, and overseeing the ACH risk on an ongoing
basis. In addition, effective June 18, 2010, the National Automated
Clearing House Association (NACHA) will require all financial
institutions to perform a risk assessment of its ACH program. This
session will focus on the different types of risks associated with ACH,
the expectations and requirements of risk management from regulatory,
rules making and best business practice perspectives and how to maintain
the integrity and effectiveness of your ACH Risk Management program on
an ongoing basis.
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the Top
ACH Basics
Bankerstuff Webinar
June 3, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
This session will cover the background and history of the Network, the
participants, and the types of transactions, as well as provide an
overview of the applicable rules and regulations and how exception
processing works. Whether you are new to the Automated Clearing House
area or just need to review the fundamentals, this session is for you.
It will provide the necessary ACH terminology and concepts to give you
an understanding of the ACH Network.
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the Top
ACH Government Payments
Bankerstuff Webinar
June 17, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
The process of origination and receipt of ACH Federal Government
payments is often misunderstood. This session will clarify who the
players are and their roles and responsibilities. It will cover the
three biggest areas of potential liability for a financial institution
(Returns, NOCs and Reclamations) and discuss best business practices and
procedures to have in place to help protect your organization. You’ll
learn about partial payments and how to obtain a refund from the
government, as well as who to contact when there’s a problem.
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the Top
ACH Origination
Bankerstuff Webinar
June 30, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
ACH is a popular payment mechanism for generating electronic
transactions in a safe and reliable manner. This session is ideal for
those financial institutions who are beginning, or have recently begun,
an origination program. It will focus on the steps to take to get
started, including the applicable Rules and Regulations, technical
considerations, and the risks and benefits of offering this service.
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the Top
ACH Risk Management: How Effective is Your Risk Program
Alabama Treasury Management Association Meeting
Birmingham, Alabama
July 22, 2010
Speaker: Terri Pelle Sands, AAP
The ACH delivery system has evolved from direct deposit, direct payment and corporate cash concentration to authorizations obtained via check conversion and truncation, over the telephone and through the internet. These newer ways to send payments electronically have led to increased volume in the network, which in turn has prompted additional guidance from regulatory bodies and a greater focus on how financial institutions are identifying, managing, and overseeing the ACH risk on an ongoing basis. In addition, effective June 18, 2010, the National Automated Clearing House Association (NACHA) will require all financial institutions to perform a risk assessment of its ACH program. This session will focus on the different types of risks associated with ACH, the expectations and requirements of risk management from regulatory, rules making and best business practice perspectives and how to maintain the integrity and effectiveness of your ACH Risk Management program on an ongoing basis.
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the Top
ACH Risk Management
BAI Webinar
September 8, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
The ACH Network is growing at a rapid pace, and what has traditionally
been a low risk network now has new nonrecurring payment types,
additional participants/relationships, and increased risk for industry
participants. This has caused regulatory agencies to focus more on ACH
risk, and increased their requirements for how financial institutions
are monitoring and managing it.
It is important for the ODFI, RDFI and Originator to all fully
understand their unique risks in ACH participation in order to help
protect their organizations from losses. Certain types of risk can
increase during poor economic times, as both companies and individuals
struggle. Once the inherent risks are understood, policies and
procedures can be put into place to track, manage, and mitigate those
risks.
In this webinar, the speakers will:
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Review the types of ACH risk,
including operational, financial and fraud, that exist for each
participant
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Discuss potentially higher-risk ACH
transactions, third party relationships, and how to manage the
increased risk associated with both
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Help you to understand existing
regulatory guidance that has been issued on ACH risk management and
what it means to your organization.
To
the Top
2010 Rules Changes
Bankerstuff Webinar
October 5, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
Are you ready for the 2010 NACHA Rules changes? We’ll review the changes
to the audit requirements that were effective December 2009, as well as
all the 2010 Rules changes including the changes to Authorizations,
Returns and Stop Payments that are effective in March, and the new risk
management and risk assessment requirements and direct access
registration requirements which are effective in June. Don’t miss this
chance to find out everything you need to know about what’s new with the
NACHA Rules in 2010!
To
the Top
Performing Your ACH Audit
Bankerstuff Webinar
October 12, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
The National ACH Association (NACHA) requires in its Operating Rules
(Subsection 1.2.1) that each Participating Depository Financial
Institution (DFI) conduct or have conducted an audit of its compliance
with the Rules by December 1. Effective December of 2009, the existing
Rules compliance audit requirements were refined and clarified and
additional provisions, guidance and industry best practices were
provided. This webinar will guide you through the ACH Audit process and
discuss the requirements for each area of review: originating,
receiving, exception item processing and Treasury issues.
To
the Top
Performing Your ACH Risk Assessment
Bankerstuff Webinar
October 18, 2010
Speaker: Terri Pelle Sands, AAP and Kathy Barry Levin, AAP
Effective June, 2010, all Participating DFIs will be required to conduct
a risk assessment of their ACH activities and to implement risk
management programs based on the results of these assessments, in
accordance with the requirements of their regulators. This webinar will
guide you through the ACH Risk Assessment process including assessing
the types and levels of risks associated with ACH activity, customer due
diligence, controls for Originators, third-parties and direct-access
connections, and systems to manage and mitigate risk.
To
the Top
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