Altegris Investments Inc: Business Continuity Plan

Altegris Investments has developed a Business Continuity Plan (“Plan”) that addresses how we will respond to various events that could significantly disrupt our business, such as natural disasters, power outages and other extraordinary events. Since the timing and impact of such disruptions is unpredictable, our Plan has been designed to be flexible in its response to events as they may occur. The following highlights and summarizes our Plan.

Contacting Us

If after a significant business disruption you cannot contact us through normal channels, such as by phone at (800) 828-5225 or (858) 459-7040, you may call the number of our Colorado branch office at (888) 351-8485. You may also access the Altegris website at www.altegris.com.

If you are unable to contact Altegris by any of the above means, you may contact other service providers in respect of your investments as follows:

For segregated managed futures account investments acquired through Altegris (acting as an introducing broker for clearing firms), you should contact the clearing firm (i.e., in each case a futures commission merchant) where your specific account is held for information regarding account balances, trading levels, redemptions and wire transfers. Altegris currently introduces accounts at the following clearing firms:

MF Global Inc., 1-312-663-7500 (Chicago), 1-212-589-6200 (New York), www.mfglobal.com
UBS Securities LLC, 1-312-525-5000, 1-800-221-3260, www.ibb.ubs.com/mc/futuresandoptions
FIMAT, +44 (0) 207-676-8335 (London), Account Inquiries, Cash Instructions, www.fimat.com

For hedge fund or managed futures fund investments made through Altegris (acting as a selling agent for such funds), you should contact the general partner, managing member, trustee, sponsor or other manager of your fund investments directly with inquiries as to balances, redemptions or other requests. The contact information for each of your fund investments will appear on the periodic account statements sent to you directly by each fund.

Our Business Continuity Plan

We intend to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and taking the necessary steps to allow our customers to continue transacting business as normal. In short, our Plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Our Plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier/vendor, contractor, and bank impact; regulatory reporting; and assuring our customers have prompt access to funds and accounts held elsewhere if we are unable to continue our business

With respect to segregated managed futures account investments, the clearing firm where each account is held maintains account records in a geographically separate area from where Altegris maintains duplicate account records for each such account of its clients. With respect to hedge fund or managed futures fund investments, the general partner, managing member, trustee, sponsor or other manager of each fund similarly maintains account records, in most cases in a geographically separate area from where Altegris maintains duplicate account records for each fund investment made by its clients.

Types of Significant Business Disruptions

Significant business disruptions can vary in their scope, such as those (i) affecting only a single building housing our home office (La Jolla, California) or any branch office of the firm, (ii) the business district or city sector where an office of the firm is located, or (iii) the entire city or region where an office is located. Within each of these areas, the severity of the disruption can also vary from minimal to severe. In the event of a significant disruption, whether local or regional, we may transfer operations to another office or to a local off-site location as necessary to recover and resume business operations as quickly as possible, in most instances within 24 hours. In that event, we will post notices on our website, www.altegris.com or by voicemail at our Colorado branch office phone number, (888) 351-8485, regarding how to contact Altegris. If the significant business disruption is so severe that it prevents us from remaining in business, our customer’s prompt access to, and information about, funds and securities will continue to be available directly from the clearing firms where ts'ir segregated managed futures accounts are held and/or the managers of their fund investments, as applicable.

For more Information

If you have questions about our Plan, you may contact us by phone at (800) 828-5225 or by e-mailing us at compliance@altegris.com.

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1200 Prospect Street, Suite 400, La Jolla, California 92037
Toll Free: 800-828-5225 | Phone: 858-459-7040 | Fax: 858-456-9209 | cta@altegris.com

There are substantial risks and conflicts of interests associated with managed futures and commodities accounts, and you should only invest risk capital. The success of an investment is dependent upon a CTA’s ability to identify profitable investment opportunities and to successfully trade. The identification of attractive trading opportunities is difficult, requires skill, and involves a significant degree of uncertainty. CTAs have total trading authority, and the use of a single CTA could mean a lack of diversification and higher risk. The high degree of leverage that is often obtainable in commodity trading can work against you as well as for you. The use of leverage can lead to large losses as well as gains. Returns generated from a CTA’s trading, if any, may not adequately compensate you for the business and financial risks you assume. You can lose all or a substantial amount of your investment. If you use notional funding, you may lose more than your initial cash investment. Managed futures and commodities accounts may be subject to substantial charges for management and advisory fees. It may be necessary for accounts that are subject to these charges to make substantial trading profits in order to avoid depletion or exhaustion of their assets. The disclosure document contains a complete description of each fee to be charged to your account by a CTA. CTAs may trade highly illiquid markets, or on foreign markets, and may not be able to close or offset positions immediately upon request. You may have market exposure even after the CTA has a request for closure or liquidation. PAST RESULTS ARE NOT NECESSARILY INDICATIVE OF FUTURE RESULTS.

Altegris, a FINRA and NFA member, offers various alternative investments, including hedge funds, futures funds and managed futures and commodities accounts, that may operate in commodities markets and foreign markets, among others. Altegris and/or its officers/partners may have a financial interest in such alternative investments. In working with clients, Altegris acts in its capacity as an SEC-registered Broker-Dealer and/or as a CFTC-registered Introducing Broker. Although Altegris may give advice that is incidental to its brokerage services, it is not an Investment Adviser. When acting as an Introducing Broker for individually managed accounts, Altegris receives a portion of the commodity brokerage commissions you pay in connection with your futures trading and/or a portion of the interest income (if any) earned on an account's assets. CTAs may also pay Altegris a portion of the fees they receive from accounts introduced to them by Altegris. When acting as a Broker-Dealer, Altegris enters into selling agreements with hedge funds and futures funds that it offers (including funds sponsored by affiliates), pursuant to which Altegris, with respect to the interests it sells, is paid a portion of the management and/or performance fees charged by the funds or their managers in respect of those interests. This enables Altegris to offer hedge funds, futures funds and individually managed accounts without charging fees above those charged by the CTAs, funds or managers.