How does the independent public accountant file Form ADV-E and the surprise examination report?
This is a two-step process: (1) the adviser must submit a Form ADV-E in IARD that identifies the independent public accountant who will be performing the surprise examination (see the IARD Users Manual on http://www.iard.com/UserSupport.asp), and (2) the independent public accountant receives an email from IARD providing a unique, secure link which allows the accountant to upload a surprise examination report to IARD (see http://www.iard.com/pdf/formADV-E.pdf for instructions).
Related Questions
- Is there an example of a report that may be issued by the independent public accountant performing a surprise examination of the adviser?
- Who must file Form ADV-E and the certificate of accounting (surprise examination report)?
- How do I attach the report of the independent qualified public accountant (IQPA report)?
