Communication records

  • Written communication sent and received by the investment adviser relating to:
    • Recommendations made or proposed to be made
    • Any advice given or proposed to be given
    • Receipt, disbursement or delivery of funds or securities
      or execution of any order to purchase or sell any security
  • Copies of notices, circulars, advertisements, newspaper articles, investment letters, bulletins or other communication circulated or distributed by the investment adviser either directly or indirectly
  • Client invoices showing the computation of fees
  • Complaint/litigation file