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