| 摘要 |
A method and system are disclosed for testing compliance of qualified financial plans, particularly compliance with Section 404(c) best practices. The method includes the steps of sending a user's identification to a remote electronic database using a global computer network, generating a first plan-related query from the electronic database to the user and sending the query to the user using the global computer network, sending the user's answer to the first query to the database over the global computer network, generating second and successive queries from the electronic database to the user and sending the queries to the user over the global computer network, sending the user's answers to the second and successive queries to the database over the global computer network, generating a compliance report from the database to the user that is consistent with relevant compliance statutes and compliance regulations and based upon the user's answers to the respective plan-related queries, and producing the compliance reports to the user or delivery to the plan sponsor's legal counsel for review and opinion.
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