“sales communication” means a communication relating to, and by, an investment fund or asset allocation service, its promoter, manager, portfolio adviser, principal distributor, a participating dealer or a person or company providing services to any of them, that
(a) is made
(ii) to a person or company that is not a securityholder of the investment fund or participant in the asset allocation service, to induce the purchase of securities of the investment fund or the use of the asset allocation service, and
1. A prospectus or preliminary or pro forma prospectus.
2. An annual information form or preliminary or pro forma annual information form.
3. A fund facts document or preliminary or pro forma fund facts document.
5. A trade confirmation.
6. A statement of account.
7. Annual or interim management report of fund performance;