“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
(i) to a securityholder of the investment fund or participant in the asset allocation service, or
(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
(b) in the case of an investment fund, is not contained in any of the following documents of the investment fund:
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.
4. Financial statements, including the notes to the financial statements and the auditor’s report on the financial statements.
5. A trade confirmation.
6. A statement of account.
7. Annual or interim management report of fund performance;