Compliance and Tax Form Services

DRS offers complete compliance testing, tax form preparation and auditor support. These are some of the most crucial areas in the administration of a 401(k) plan. We ease the burden of these requirements for our clients, making them as precisely managed and streamlined as possible.

Compliance Testing

Unlike some firms, DRS does not expect clients to be plan compliance experts by asking them to certify the results of complex IRS tests. Our complete compliance testing includes ADP/ACP Testing, Top-Heavy Testing, Section 415 Limit Testing and Coverage Testing. Detailed test results are provided for each plan, and DRS' Compliance Department works with clients to ensure understanding of the test results and how they affect a plan.

Tax Form Preparation

Aided by the plan custodian, DRS ensures that all appropriate tax forms are produced and distributed to the appropriate parties. This includes, but is not limited to, 1099s and signature-ready form 5500s as well as all pertinent schedules.

Audit Support

We know that many plan administrators lack the time or the expertise necessary to appropriately address all IRS or auditor questions. DRS can ease the process by working directly with the independent auditor or the IRS to ensure an accurate and speedy process. We also serve audited clients by preparing an auditor’s packet that greatly aids the plan’s independent auditor in preparing their opinion.


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