深圳市傲風實業有限公司
2022年度供應鏈盡職管理合規報告
ShenzhenZhonghenglong Industrial Co., Ltd
2022 Supply ChainDue Diligence Management Compliance Report
公司名稱：深圳市傲風實業有限公司
Company name: Shenzhen Zhonghenglong Industrial Co., Ltd
地址：廣東省深圳市龍華區民康路112号1970科技小(xiǎo)鎮1棟401
Company address: Rm.401，Block 1, 1970 Science Park, Minkang Rd., Longhua District, Shenzhen City, Guangdong Province
工(gōng)廠地址：廣東省東莞市鳳崗鎮五聯村(cūn)碧湖大(dà)道雨湖路9号
Refinery Address: No.9, Yuhu Road, Bihu Avenue,Wulian Village, Fenggang Town, Dongguan City, Guangdong Province
辦事處：深圳市羅湖區水貝二路特力珠寶大(dà)廈A座8樓
Purchasing office: 8/F., Block A, Teli Jewelry Building, Shuibeier Road, Luohu District, Shenzhen City
年終報告：2022年度供應鏈盡職管理合規報告
Year-end report: 2022 Supply Chain Due Diligence Management Compliance Report
報告日期：2023年2月22日
Reporting date: February 22, 2023
報告負責人：曹健（公司副總經理）
Person in Charge: Cao Jian (Deputy General Manager of the company)
Website: WWW.ZHLSY.COM
聯系電(diàn)話(huà)：0755-29500999
Tel: 0755-29500999
一(yī)、公司概況
I. Company profile
深圳市傲風實業有限公司（簡稱公司），地處廣東省深圳市。公司1997年03月18日成立，存續至今，獨立法人企業，依托我(wǒ)(wǒ)國礦物(wù)加工(gōng)工(gōng)藝技術的優勢，采用先進的工(gōng)藝設備和自動化技術，有針對性的解決生(shēng)産節能環保、礦産資(zī)源綜合回收、生(shēng)産廢水零排放(fàng)三大(dà)技術難題，形成黃金産業的循環經濟發展模式，建設成爲節能減排、低碳環保的綠色産業。
Shenzhen Zhonghenglong Industrial Co., Ltd (hereinafter referred to as the Company) is located in Shenzhen City, Guangdong Province. Founded on March 18, 1997, the Company has existed till now and is an independent corporate enterprise. Relying on advantages of mineral processing process and technology of China, the Company adopts advanced process equipment and automated technology to specifically solve three technical problems, namely production energy conservation and environmental protection, comprehensive recovery of mineral resources, zero discharge of production wastewater, thus forming the recycling economy development mode of gold industry and building energy-saving, emission-reduction, low-carbon and eco-friendly green industry.
深圳市傲風實業有限公司是華南(nán)地區最大(dà)的貴金屬精煉企業，是上海黃金交易所标準金錠、标準金條、标準銀錠提供企業，高效的生(shēng)産工(gōng)藝,高品質的貴金屬産品,以及環保和安全（已具備ISO/ICE17025、ISO9001、ISO14001資(zī)質證書(shū)）的三廢處理系統的現代化國際标準的提純精煉企業。現有年生(shēng)産的銀 (Ag)200噸 、黃金 (Au)300噸、鉑金 (Pt)、 钯金 (Pd)20噸以及處理各種貴金屬廢料 400 噸的生(shēng)産設備和能力,而且各類産品均達到國家和行業規定的标準;環保和廢水、廢氣的排放(fàng)也達到國家法律規定的标準。
Shenzhen Zhonghenglong Industrial Co., Ltd is the largest precious metal refining enterprise in South China and the approved enterprise of standard gold ingots, standard gold bars and standard silver ingots of Shanghai Gold Exchange. With efficientproduction process, high-quality precious metal products, environmentally-friendly and safe three-waste treatment system, it is a purification and refinement enterprise following modern international standards( the Company has obtained ISO/ICE17025,ISO9001 and ISO14001 certificates). At present, it has production equipment and capacity to annually produce 200 tons of silvers (Ag), 300 tons of gold (Au), 20 tons of platinum (Pt) and palladium (Pd) and could process 400 tons of precious metal wastes. Besides, all products have reached national and industrial standards and environmental protection, waste water and waste gas discharge also reaches standards specified by national laws.
2019年當選“廣東省黃金協會，副會長單位”“中(zhōng)國珠寶玉石首飾行業協會常務理事單位”。2020年獲得上海黃金交易所頒發的“最佳可提供标準金錠、銀錠企業”“最佳風控會員(yuán)”“綜合類年度優秀會員(yuán)”“最佳競價交易自營會員(yuán)”。
In 2019, the Company was selected as “Vice-Chairman Unit of Gold Association of Guangdong Province” and “Standing Director of GEMS & Jewelry Trade Association of China”In 2020, the Company won titles of “Best Enterprise of Standard Gold Ingots and Silver Ingots”, “Best Risk Control Member”, “Comprehensive Annual Excellent Member”, “Best Self-Operated Competitive Price Transaction Member” awarded by Shanghai Gold Exchange.
二、供應商(shāng)情況概述
II. Condition overview of supplier
公司原料主要來源爲從社會中(zhōng)回收的合質金/銀(回收金和礦山金)，且均爲國内供應商(shāng)，沒有識别出與供應商(shāng)以及供應鏈相關聯的零容忍風險和高風險。
Main sources of raw materials of the Company are gold/silveralloy purchased from societyand all suppliers are from China. No zero-tolerance and high risk have been identified from suppliers and supply chain.
三、合規情況概述
III. Overview of compliance conditions
公司對所有供應商(shāng)進行盡職的供應鏈調查，要求所有供應商(shāng)提供的原料來源合法、合規。
The Company has carried out supply chain investigation of due diligence for all suppliers and required that resources provided by all suppliers are legal and compliant.
第一(yī)步 建立強大(dà)的公司管理體(tǐ)系
Step 1: Establish strong company management systems
合規聲明與要求：
Compliance Statement with Requirement:
我(wǒ)(wǒ)公司已經充分(fēn)遵守第1步驟：建立強大(dà)的公司管理體(tǐ)系。
We have fully complied with Step 1: Establish strong company management systems.
公司嚴格遵守《LBMA負責任黃金指南(nán)》和《LBMA負責任白(bái)銀指南(nán)》，已經建立了強大(dà)的管理體(tǐ)系，确保供應鏈盡職調查工(gōng)作全面落地。
The Company has strictly established strong management systems to ensure comprehensive implementation of supply chain due diligence work.
1、政策方面
1. Policy
公司2022年通過并發布了一(yī)項《黃金/白(bái)銀負責任供應鏈盡職調查政策》（以下(xià)簡稱“政策”），該政策符合《經濟合作與發展組織關于來自受沖突影響和高風險區域礦石的負責任供應鏈盡職調查指南(nán)》（第三版）中(zhōng)的規定，并擴展至環境和可持續性責任，該政策已經過合規總監的審查和批複并在公司官網上進行公布。政策網址鏈接：https://zhlsy.com/zygg/info_17_itemid_85.html
The Company has passed and introduced a supply chain responsible sourcing policy which conforms to OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas(Version 3) with extension to environmental and sustainable responsibility. Such policy has been reviewed and approved by compliance director and published on the official website at https://zhlsy.com/zygg/info_17_itemid_85.html
公司已經将該政策傳達給所有的黃金白(bái)銀的交易方以及内部的各個職能部門，相關的傳達記錄均已保留并存檔。
The policy has been issued by the Company to all gold and silver trading parties and each internal functional department with relevant communication records retained and archived.
政策要求公司及其供應商(shāng)嚴格遵守國家關于職工(gōng)權利、環境保護、公平交易等各項法律法規，積極參與供應鏈盡職調查工(gōng)作，确保礦産金/銀、再生(shēng)金/銀來源符合要求，并作出承諾，拒絕來自侵犯人權、沖突地區、賄賂、洗錢、恐怖主義融資(zī)、非法開(kāi)采、世界遺産遺址、采用汞開(kāi)采等高風險地區的黃金、白(bái)銀。公司會每年定期的審查政策并按照要求進行更新，特别是當客戶要求或行業标準發生(shēng)變化時。
According to policy requirements, the Company and its suppliers should strictly comply with various national laws and regulations on employee rights, environmental protection, fair dealing with active participation in supply chain due diligence to ensure that the sources of mineral gold/silver and renewable gold/silver meet the requirements. In addition, commitments need to be made to reject gold and silver from high-risk areas such as human rights violations, conflict zones, bribery, money laundering, terrorist financing, illegal mining, World Heritage sites as well as mercury mining. The Company should regularly review the policy annually and update it as required, especially when customer requirements or industry standards change.
2、管理架構
2. Management structure
根據體(tǐ)系要求，公司已建立了内部管理制度，按照出台的政策對管理、作用、職責、内部審計、溝通進行界定、并開(kāi)展盡職調查體(tǐ)系的年度管理評審。
According to the system requirements, the internal management system has been established in the Company to define management, roles, responsibilities, internal audit as well as communication in the light of the issued policies, and conductannual management reviews of the due diligence system.
公司已于2022年12月28日進行了年度管理評審，并将管理評審結果彙報給了合規總監。
The Company conducted an annual management review on December 28, 2022 with the results of the management review reported to the Compliance Director.
2.1規章制度方面
2.1 Rules and regulations
公司根據《LBMA負責任黃金指南(nán)第9版》和《LBMA負責任白(bái)銀指南(nán)》制訂了《LBMA負責任黃金白(bái)銀供應鏈盡職調查管理程序》、《黃金/白(bái)銀負責任供應鏈盡職調查政策》、《供應鏈風險減緩管理辦法》，主要明确供應鏈盡職調查組織架構、職責、高風險地區定義，制定高風險供應鏈評估标準、調查處理程序、交易監控、文件保存等内容。上述制度通過合規總監、董事會審批後已下(xià)發至公司各部門。
According to the 9th Edition of LBMA Responsible Gold Guidance and LBMA Responsible Silver Guidance, the Company formulated the Due Diligence Management Procedure for LBMA Responsible Gold and Silver Supply Chain, Due Diligence Policy for Gold/Silver Responsible Supply Chain, and Management Measures forSupply Chain Risk Mitigation, which were mainly for defining the organizational structure, responsibilities, and high-risk region definition of supply chain due diligence, and formulating high-risk supply chain evaluation standards,investigation and processing procedures, transaction monitoring, documents retention, etc. The above system has been approved by the Compliance Director and the Board of Directors and issued to all departments of the Company.
2.2職責與權限
2.2 Duties and authorities
公司設置合規總監、合規風控官以及合規專員(yuán)。
The Company has set up Compliance Director, Compliance Risk Control Officer and Compliance Officer.
合規總監負責建立健全供應鏈盡職調查管理體(tǐ)系，監督供應鏈盡職調查流程，協調處理盡職調查中(zhōng)的異常情況。對外(wài)根據我(wǒ)(wǒ)司原料采購政策、生(shēng)産、财務以及銷售等實際情況需要審批與供應商(shāng)合作合同的簽訂（包括是否與高風險供應商(shāng)合作），并負責對供應商(shāng)進行盡職調查相關事宜。對内根據LBMA負責任黃金／白(bái)銀指南(nán)文件，對相關員(yuán)工(gōng)進行培訓，使相關負責人明白(bái)自己在盡職調查政策實施中(zhōng)的職責。
It is the Compliance Director who takes charge of establishing and improving the supply chain due diligence management system, supervising the supply chain due diligence process as well as coordinating the handling of anomalies in due diligence. Externally, we need to approve the signing of cooperation contracts with suppliers (including whether to cooperate with high-risk suppliers) based on our raw material procurement policies, production, finance, and sales conditions with responsibility for conducting due diligence on suppliers. Internally, relevant employees should be trained in accordance with the LBMA Responsible Gold/Silver Guidance Document to enable relevant responsible persons to be aware of their responsibilities when thedue diligence policies are implemented.
合規風控官由公司副總經理擔任，協助總監全面負責黃金／白(bái)銀供應鏈盡職調查事務。負責制定并更新供應鏈盡職調查政策、制度，高風險供應鏈評判标準和執行供應鏈盡職調查措施，監督、檢查各部門的落實情況并考核，彙報供應鏈盡職調查中(zhōng)的異常情況，組織培訓等工(gōng)作。
The post of Compliance Risk Officer is held by the Company’s Deputy General Manager, assisting the Director with full responsibility for the due diligence of the gold/silver supply chain. Besides formulating and updating supply chain due diligence policies and systems, evaluating standards for high-risk supply chains and implementing supply chain due diligence measures are also needed to supervise and inspect the implementation of various departments with assessment, report for abnormalities in supply chain due diligence, and training organization.
合規專員(yuán)由交割部、業務部、财務部、收發部、質檢中(zhōng)心、精煉車(chē)間指派，負責嚴格執行供應鏈盡職調查措施，零容忍和高風險供應鏈評判标準，收集并保存足夠的供應鏈證明文件。
The Compliance Officer is appointed by the Delivery Department, Business Department, Finance Department, Receiving and Distribution Department, Quality Inspection Center, and Refining Workshop with responsibility for strictly implementing supply chain due diligence measures, zero tolerance, and high-risk supply chain evaluation standards, and collecting and maintaining sufficient supply chain supporting documents.
公司制定了對合規人員(yuán)的問責機制，要求相關專員(yuán)定期向高級管理人員(yuán)彙報供應鏈盡職調查情況。通過監督與檢查，确保了供應鏈盡職調查工(gōng)作得到有效的實施，規避高風險供應鏈的交易。
The Company has established an accountability mechanism for compliance personnel, requiring relevant specialists to regularly report supply chain due diligence to senior management. Through supervision and inspection, the supply chain due diligence work has been effectively implemented to avoid high-risk supply chain transactions.
3、強有力的内部追溯體(tǐ)系
3. Strong internal traceability system
公司建立了一(yī)套供應鏈可追溯體(tǐ)系，收集和維護每一(yī)批産品的供應鏈信息，爲每一(yī)批産品分(fēn)配編号。
In order to collect and maintain supply chain information for each batch of products and assign numbers to each batch of products, the Company has established a supply chain traceability system.
3.1供應鏈可追溯體(tǐ)系
3.1 Supply chain traceability system
通過收集盡職調查問卷（KYC）并審查供應商(shāng)資(zī)質、業務運營、股東信息和物(wù)料來源等，供應商(shāng)資(zī)信調查通過後簽訂合同以及承諾書(shū)，承諾原料合法，符合LBMA負責任黃金/白(bái)銀采購政策；供應商(shāng)送的每一(yī)批來料，都有來料驗收單，表明産品類型、熔前熔後重量等，驗收人員(yuán)和供應商(shāng)簽字确認；熔煉取樣化驗，最後形成标準金銀錠，分(fēn)配編号，通過上海黃金交易所進行交易。
After collecting a Due Diligence Questionnaire (KYC) and reviewing the suppliers’ qualifications, business operations, shareholder information, and material sources, the suppliers withthe credit investigation qualification signed a contract and letter of commitment, promising that the raw materials are legal and comply with procurement policy of LBMA responsible gold/silver. For each batch of incoming materials sent by the suppliers, an incoming material acceptance sheet should be provided, indicating the product type, weight before and after melting, etc., which was signed by the acceptance personnel and the suppliers for confirmation. After smelting, sampling and testing, standard gold and silver ingots are finally formed, assigned with a number, and traded through the Shanghai Gold Exchange.
公司對所有交易情況進行監督，确保交易與供應鏈調查一(yī)緻。使用在線黃金管理系統以及電(diàn)子台賬記錄黃金、白(bái)銀來料，确保物(wù)料可追溯。對于所有的原料入庫均保留完整的單據資(zī)料，對于入庫的金/銀料保存有入庫單、檢驗單、财務憑證等。明确各個部門應在日常工(gōng)作中(zhōng)收集保存的資(zī)料，由業務部、檢測中(zhōng)心、财務部對相關單據進行保存，并定期将相關資(zī)料送至檔案室進行存檔，保存期限均高于5年。
The Company monitored all transactions to ensure that they are consistent with supply chain investigations. With an online gold management system and electronic ledger to record incoming gold and silver materials, traceability of materials was ensured. For all raw materials warehoused, complete documentation was maintained.For gold/silver materials warehoused, warehouse receipts, inspection sheets, and financial vouchers were maintained. The information that each department should collect and store in their daily work is needed to be specified. The business department, testing center, and finance department will store the relevant documents, and regularly send the relevant information to the archive room for archiving with the storage period of higher than 5 years.
3.2維護資(zī)料
3.2 Maintenance data
在業務開(kāi)展中(zhōng)，供應商(shāng)身份證、身份驗證資(zī)料、營業執照、資(zī)質驗證資(zī)料、供應商(shāng)盡職調查表、每一(yī)批次的驗收單、檢測單、結算單等相關記錄保存5年以上。
As business is carried out, relevant records should be kept for more than 5 years, such as supplier ID cards, identity verification materials, business licenses, qualification verification materials, supplier due diligence questionnaires, acceptance forms, testing forms, and settlement forms for each batch.
3.3培訓
3.3 Training
公司将供應鏈盡職調查管理培訓、采掘業透明度倡議EITI原則及标準培訓和反洗錢、反恐怖主義融資(zī)的培訓納入公司年度培訓計劃當中(zhōng)，定期組織公司重點崗位以及合規專員(yuán)進行以上相關培訓。我(wǒ)(wǒ)司合規部門于2022年已組織公司各相關部門人員(yuán)進行了四次培訓，确保供應鏈盡職調查管理工(gōng)作落到實處，相應的培訓記錄均已存檔保留。
The Company incorporated supply chain due diligence management training, EITI principles and standards training for extractive industry transparency initiatives, and training on anti-money laundering and anti-terrorist financing into its annual training plan. In order to conduct the above related training, the Company implemented regular organizations for key positions and compliance officers of the Company. Our compliance department has organized four training sessions for personnel from relevant departments of the company in 2022 to ensure that supply chain due diligence management is implemented with corresponding training records archived and retained.
3.4通過官方銀行渠道收付款
3.4 Collection and payment through official bank channels
公司所有業務均通過官方銀行渠道收款和付款，沒有任何現金交易。全部由業務部門發起資(zī)金事項聯簽程序，通過公司基本戶所在的銀行網上付款，并打印銀行回單作爲憑證附件保留。财務合規專員(yuán)負責交易監控工(gōng)作，對不符或以任何形式疑似不符的交易背景進行檢查，并報告合規總監。2022年度沒有發現不符及任何形式不符的情況。
Through official banking channels, the Company received and paidfor all businesses without any cash transactions. The Business Department initiated the fund transaction countersigning process so that payments are finished online through the bank where the Company’s basic account is located. Moreover, the bank receipts are printed as an attachment to the voucher. With responsibility for transaction monitoring, the Financial Compliance Officer checked the background of transactions that are inconsistent or suspected to be inconsistent in any form as well as reported to the Compliance Director. In 2022, no discrepancies or any forms of discrepancies were found.
4、強化合作，協助黃金/白(bái)銀供應交易方建立盡職調查能力
4. Strengthening for cooperation to assist gold/silver supply traders in establishing due diligence capabilities
公司鼓勵與供應商(shāng)建立基于信任和互認的長期關系，特别是遵守《經濟合作與發展組織關于來自受沖突影響和高風險區域礦石的負責任供應鏈盡職調查指南(nán)》并擴展至環境和可持續性責任的供應商(shāng)。
The Company encouraged long-term relationships based on trust and mutual recognition with suppliers, especially complying with the Due Diligence Guidelines of OECD for Responsible Supply Chains of Minerals from Conflict Affected and High Risk Regions, and expanding to suppliers with environmental and sustainability responsibilities.
公司将黃金、白(bái)銀供應鏈的政策與要求、電(diàn)子培訓教材等通過電(diàn)子郵件、短信、社交軟體(tǐ)等方式傳達給供應商(shāng)，提高供應鏈交易方建立盡職調查能力。2022年對供應商(shāng)進行了線上培訓和經驗分(fēn)享，以确保他們了解公司LBMA管理的要求和供應鏈政策，協助供應商(shāng)更大(dà)程度地建立盡職調查能力。
For the sake of improving the capabilities of supply chain traders to establish due diligence, the Company communicated policies and requirements for gold and silver supply chains, electronic training materials, etc. to suppliers through email, SMS, social software, and other means. In 2022, online training and experience sharing were conducted for suppliers to ensure that they understand the Company’s LBMA management requirements and supply chain policies, and to assist suppliers in building due diligence capabilities to a greater extent.
公司2022年度簽約的所有供應商(shāng)均簽署了相關《承諾書(shū)》，承諾黃金、白(bái)銀來源合法合規，拒絕零容忍和高風險。公司與上遊供應嚴格遵守合同和法律的規定及EITI的相關原則，有助于上遊供應商(shāng)更大(dà)程度的透明度的實現。
All suppliers contracted by the Company in 2022 have signed the relevant Letter of Commitment, promising that the source of gold and silver is legal and compliant with rejection for zero tolerance and high risk. The Company and upstream suppliers strictly abide by the provisions of contracts and laws and the relevant principles of EITI, contributing to achieve greater transparency for upstream suppliers.
5、建立申訴機制
5. Establishment of a complaint mechanism
公司利用官網平台，公布電(diàn)話(huà)和郵箱，允許員(yuán)工(gōng)和外(wài)部利益相關者表達對供應鏈或任何新的識别風險的擔憂。公司已建立了完善的申訴機制并嚴格執行，在整個申訴過程中(zhōng)保護員(yuán)工(gōng)隐私，對舉報人信息保密，杜絕任何行爲的打擊報複。
Withthe official website platform to publish phone numbers and email addresses, the Company allows employees and external stakeholders to express concerns about the supply chain or any new identified risks. Having established a sound complaint mechanism, the Company implemented it to protect employee privacy throughout the complaint process in a strict manner and keep confidential for the informant’s information with prevent of retaliation for any behavior.
申訴渠道在官網公示：https://zhlsy.com/zygg/info_17_itemid_86.html
The complaint channel is accessible on the official website: https://zhlsy.com/zygg/info_17_itemid_86.html
截至2022年底申訴小(xiǎo)組沒有收到内部員(yuán)工(gōng)或供應商(shāng)的風險申訴信息。
By the end of 2022, the complaint team had not received any risk complaintinformation from internal employees or suppliers.
第二步 供應鏈風險的識别與評估
Step 2: Identify and assess risk in the supply chain
合規聲明與要求：
Compliance Statement with Requirement:
我(wǒ)(wǒ)公司已經充分(fēn)遵守第2步驟：對供應鏈中(zhōng)的風險進行識别和評估。
We have fully complied with Step 2: Identify and assess risk in the supply chain.
公司制定了受沖突影響和高風險區域（CAHRA）定義流程與判定标準，并對識别出來的風險規定了處理程序，充分(fēn)對供應鏈中(zhōng)的風險進行識别、評估和緩解。2022年度，公司主要從國内供應商(shāng)采購當地金銀回收料和礦山料，根據受沖突影響和高風險區域的識别程序判定，中(zhōng)國未被識别爲受沖突影響和高風險區域。截止到目前，均未識别出零容忍和高風險。
The Company formulated the conflict-affected and high-risk areas (CAHRA) definition process and judgment standards, and stipulated the processing procedures for the identified risks, fully identifying, evaluating and mitigating the risks of the supply chain. In 2022, the Company mainly purchased local gold and silver recycling materials and mining materials from domestic suppliers. According to the identification procedures for conflict-affected and high-risk areas, China has not been identified as a conflict-affected and high-risk area. Neither zero tolerance nor high risk has been identified so far.
1、識别供應鏈風險
1. Identification of risks of supply chain
根據《經濟合作與發展組織關于來自受沖突影響和高風險區域礦石的負責任供應鏈盡職調查指南(nán)》，黃金/白(bái)銀冶煉公司應識别相關風險包括密切關注來自侵犯人權、武裝沖突、非法開(kāi)采、開(kāi)采利用汞以及源于世界遺産遺址等地區的黃金和白(bái)銀，以及用于賄賂、洗錢、恐怖主義融資(zī)等行爲的黃金/白(bái)銀。公司爲每個供應商(shāng)建立供應商(shāng)檔案，根據風險狀況進行了調查，在與其簽合同之前完成供應商(shāng)檔案的建立工(gōng)作。
According to OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-affected and High-risk Areas, gold/silver smelters should identify associated risks. For example, they should pay close attention to gold and silver originating from areas under circumstances such as human rights abuses, armed conflict, illegal mining, mining and utilization of mercury, as well as gold and silver mined from world heritage sites or those used for bribery, money laundering, terrorist financing, etc. The Company established supplier files for each supplier, conducted an investigation according to the risk level, and completed the establishment of the supplier file before signing a contract.
2、評估供應鏈風險
2. Evaluation of risks of supply chain
2.1供應鏈調查
2.1 Investigation of supply chain
公司通過以下(xià)措施對供應鏈進行盡職調查，并完成了盡職調查問卷：
By virtue of the following measures, the Company carried out due diligence on the supply chain, with due diligence questionnaire completed:
（1）資(zī)質驗證。對于所有供應商(shāng)均進行供應鏈的盡職管理調查，在進行合作前要求合作方提供相應的資(zī)質證明文件，法人客戶提供營業執照，個人客戶提供身份證複印件，礦山客戶還需要提供采礦許可證、環評認證以及關注礦工(gōng)佩戴勞保、健康安全交易、職業病體(tǐ)檢等。
(1) Qualification verification. Supply chain due diligence shall be carried out for all suppliers. Before cooperation, partners are required to provide corresponding qualification certificates. Legal person customers shall provide business licenses. Individual customers shall provide copies of ID cards, and mining customers also need to provide mining licenses, EIA certification with attention paid to miners wearing labor insurance, health and safety transactions and physical examination of occupational diseases, etc.
（2）建立供應商(shāng)檔案。對供應商(shāng)基本情況、股東信息、提供原料類型及産地、計劃精煉貴金屬類型、與其供應商(shāng)結算方式、供應商(shāng)概況等信息進行詳細調查，并盡可能的将供應鏈調查向供應商(shāng)的上遊延伸，最終确定其風險等級，對于涉及高風險标準的供應商(shāng)終止合作。
(2) Creating supplier files. It is required to carry out detailed investigations on the basic situation of suppliers, shareholder information, types and origins of raw materials provided, types of precious metals planned to be refined, methods of settlement with suppliers, supplier profiles and other information. In addition, it is needed to extend the supply chain investigation to the upstream of suppliers as much as possible, finalizing its risk level and terminating cooperation with suppliers involving high risk criteria.
（3）建立來料登記簿。對供應商(shāng)當批次來料的日期、重量、原料來源、主要上遊供應商(shāng)進行調查登記，判斷其來料風險等級。
(3) Creating register books for incoming materials. It is required to investigate and register the date, weight, source of raw materials, and major upstream suppliers of the supplier’s incoming batches of materials, judging the risk level of the incoming materials.
（4）建立供應商(shāng)年度調研報告工(gōng)作流程。對除銀行之外(wài)的全年黃金、白(bái)銀來料量前三名進行專項盡職調查，形成供應商(shāng)年度調查報告，内容包括：供應商(shāng)概況、資(zī)質信息、來料類型及所占比重、上遊供應商(shāng)概況及名單、原料産地及品種、是否存在國外(wài)黃金、白(bái)銀等。
(4) Establishing annual survey report workflow of supplier. It is required to carry out special due diligence on the top three annual gold and silver incoming materials other than banks, and form annual supplier investigation reports, including: supplier profile, qualification information, incoming material type and proportion, upstream suppliers overview and list, origin and variety of raw materials, whether there is foreign gold and silver, etc.
（5）建立客戶專項調研報告工(gōng)作流程。在走訪客戶時，對原料來源進行追溯，向供應商(shāng)傳達盡職調查管理政策。
(5) Establishing customer-specific research report workflow. When visiting customers, it is required to trace the source of raw materials and convey the due diligence management policies to suppliers.
（6）對産品的去(qù)向進行盡職調查。針對黃金、白(bái)銀銷售業務，對一(yī)次性購買黃金重量超過30公斤或累計購買超過100公斤的客戶，一(yī)次性購買白(bái)銀重量超過2000公斤或累計購買超過5000公斤的客戶，進行産品去(qù)向盡職調查工(gōng)作，充分(fēn)發揮網絡作用，利用天眼查、中(zhōng)國審判信息網等網站對供應商(shāng)資(zī)質情況、失信情況、訴訟情況、處罰情況進行查詢，對涉及高風險行爲的供應商(shāng)終止合作。
(6) Conducting due diligence on whereabouts of the products. With regard to gold-and-silver sales business, for customers who purchase more than 30 kilograms of gold at one time or purchase more than 100 kilograms in total, and customers who purchase over 2,000 kilograms of silver at a time or purchase more than 5,000 kilograms in total, it is required to conduct due diligence on the whereabouts of products, give full play to the role of network, use Tianyancha (a business data and investigation platform), China Judgment Information Website as well as other websites to inquire about supplier qualifications, dishonesty, litigation, and punishment, and terminate cooperation with suppliers involved in high-risk behaviors.
2.2 CAHRA的判定。公司制定了CHARA的定義流程。公司采用以下(xià)資(zī)源和标準判定CAHRA：
2.2 Judgment of CAHRA. The Company developed definition processes for CHARA. The following resources and criteria are applied to determine CAHRA by the Company:
(1) 脆弱國家指數（2022） Fragile States Index（2022）
(1) Fragile States Index (2022)
(2) 全球沖突晴雨表（2021版）
(2) Global Conflict Barometer (2021)
(3) 聯合國人類發展指數（UN Human Development Indicator）
(3) UN Human Development Indicator
(4) 多德-弗蘭克法案第 1502條列“指明國家）
(4) “Designated Countries” listed in the Section 1502 of the Dodd-Frank Act
(5) 歐盟根據 2017/821條例提供的CAHRA清單
(5) CAHRA List provided by the European Union under Regulation 2017/821
(6) 聯合國人權事務高級專員(yuán)辦事處或同等機構
(6) The Office of the High Commissioner for Human Rights (UN Human Rights) or equivalent institutions
(7) 金融行動特别工(gōng)作組 (FATF) 的報告(包括相關國家/地區報告)
(7) Financial Action Task Force (FATF) Reports (including reports about relevant countries/regions)
(8) 關于高風險黃金中(zhōng)心/轉運中(zhōng)心和高洗錢風險國家/地區的可靠市場情報
(8) Reliable market intelligence on high-risk gold centers/transit centers and countries/regions with high risks of money laundering
2.3 零容忍和高風險供應鏈
2.3 Zero tolerance and high-risk supply chains
根據LBMA和OECD相關規定，結合公司實際情況，特規定如下(xià)零容忍和高風險供應鏈評判标準：
Based on the relevant regulations of LBMA & OECD and combined with the actual situation of the Company, the following criteria for judging zero-tolerance and high-risk supply chains are specially stipulated:
零容忍風險：
Zero-tolerance risks:
（1）礦山金/銀來自被指定爲世界遺産地的地區。
(1) Mined gold/silver comes from areas designated as World Heritage Sites.
（2）以違反國際制裁(包括但不吸納與聯合國、歐盟、英國和美國制裁)的方式采購礦山金/銀、再生(shēng)金/銀。
(2) Purchasing mined gold/silver and recycled gold/silver in a manner that violates international sanctions (including but not inclusive of sanctions imposed by the United Nations, the European Union, the United Kingdom, and the United States).
（3）礦山金/銀、再生(shēng)金/銀的供應對手方、其他已知(zhī)的上遊公司或其 UBO 是已知(zhī)的洗錢者、欺詐者或恐怖分(fēn)子，或曾嚴重侵犯人權，或直接或間接支持非法非國家武裝組織。
(3) Suppliers of mine gold/silver, recycled gold/silver, other known upstream companies or their UBOs are known as money launderers, fraudsters or terrorists, or have seriously violated human rights, or directly or indirectly supported illegal non-state armed groups.
礦山金的高風險标準：
High-risk criteria of mining gold:
Ø 高風險的位置
Ø High-risk locations
（1）黃金／白(bái)銀(含金／銀精礦)來自受沖突影響和高風險地區 (CAHRA) 或曾在該等地區過境或通過該等地區運輸。
(1) Gold/silver (containing gold/silver concentrate) originating from or transited through or transported through conflict-affected and high-risk areas (CAHRAs).
（2）黃金／白(bái)銀(含金／銀精礦)據稱來自已知(zhī)或合理懷疑來自 CAHRA 的黃金/白(bái)銀過境的國家/地。
(2) Gold/silver (containing gold/silver concentrate) purportedly originating from countries/regions known or reasonably suspected to be transited gold/silver from CAHRA.
（3）黃金／白(bái)銀(含金／銀精礦)據稱來自已知(zhī)儲量、可能資(zī)源或預期産量有限的國家/地區。
(3) Gold/silver (containing gold/silver concentrate) purportedly originating from known countries/regions with limited reserves, possible resources or expected production.
Ø 高風險供應商(shāng)/交易方或其他已知(zhī)上遊公司：
Ø High risk suppliers/parties or other known upstream companies:
（1）具有符合基于位置高風險标準的股東或最終收益方或其他黃金白(bái)銀供應權益
(1) With shareholders or ultimate beneficiaries or other gold and silver supply interests that meet the high risk criteria based on location
（2）具有身爲政治人物(wù)最終收益方
(2) With the ultimate beneficiary as a politician
（3）從事高風險商(shāng)業活動(如軍火(huǒ)、賭博和娛樂業、古董和藝術、教派及其領袖)
(3) Being engaged in high-risk business activities (such as arms, gambling and entertainment, antiques and art, sects and as their leaders)
（4）已知(zhī)在過去(qù)12 個月曾從高風險國家/地區采購黃金/白(bái)銀
(4) Known to have purchased gold/silver from high-risk countries in the past 12 months
（5）提供的文件有重大(dà)差異/不一(yī)緻，或拒絕提供所要求的文件。
(5) With substantial discrepancies/inconsistencies in the documents provided, or refusal to provide the requested documents.
Ø 高風險物(wù)料：
Ø High-risk materials:
（1）采購自ASM
(1) Purchased from ASM
（2）使用汞生(shēng)産
(2) Produced with mercury
（3）造成災難性傷害或高度不利的ESG 因素(在公司盡可能能夠識别的範圍内)
(3) Catastrophic injury or highly adverse ESG factors (to the extent that the Company is able to identify them)
再生(shēng)金的高風險标準
High-risk criteria for recycled gold
Ø 高風險的位置
Ø High-risk locations
（4）再生(shēng)金/再生(shēng)銀來自受沖突影響和高風險地區 (CAHRA) 或曾在該等地區過境或通過該等地區運輸。
(4) Recycled gold/silver originating from or transited through or transported through conflict-affected and high-risk areas (CAHRAs).
（5）再生(shēng)金/再生(shēng)銀據稱來自已知(zhī)或合理懷疑來自 CAHRA 的黃金/白(bái)銀過境的國家/地區。
(5) Recycled gold/silver purportedly originating from countries/regions known or reasonably suspected to have been transited gold/silver from CAHRA.
（6）再生(shēng)金/再生(shēng)銀據稱來自已知(zhī)儲量、可能資(zī)源或預期産量有限的國家/地區。
(6) Recycled gold/silver purportedly originating from countries/regions with limited known reserves, possible resources or expected production.
Ø 高風險供應商(shāng)/交易方或其他已知(zhī)上遊公司：
Ø High risk suppliers/transaction parties or other known upstream companies:
（1）在具有高洗錢風險的國家/地區運營
(1) Operating in a country with a high risk of money laundering
（2）具有符合基于位置高風險标準的股東或最終收益方或其他黃金白(bái)銀供應權益
(2) With shareholders or ultimate beneficiaries or other gold and silver supply interests that meet the high risk criteria based on location
（3）具有身爲政治人物(wù)最終收益方
(3) With ultimate beneficiaries as politicians
（4）從事高風險商(shāng)業活動(如軍火(huǒ)、賭博和娛樂業、古董和藝術、教派及其領袖)
(4) Being engaged in high-risk business activities (such as arms, gambling and entertainment, antiques and art, sects and their leaders)
（5）已知(zhī)在過去(qù) 12 個月曾從高風險國家/地區采購黃金/白(bái)銀
(5) Known to have purchased gold/silver from high-risk countries in the past 12 months
（6）與供應鏈中(zhōng)的供應商(shāng)或對手方之間有重要且無法解釋的運輸路線。
(6) There are important and unexplained transportation routes with suppliers or counterparties in the supply chain.
Ø 高風險物(wù)料：
Ø High-risk materials:
（1）來自具有高風險供應鏈的中(zhōng)間精煉廠或交易商(shāng)或從具有高風險供應鏈的中(zhōng)間精煉廠采購的交易對手方
(1) Transaction counterparties from intermediate refineries or traders with high-risk supply chains or purchases from intermediate refineries with high-risk supply chains
（2）無法證明其爲再生(shēng)金/再生(shēng)銀
(2) Unable to prove that to be recycled gold/silver
當上述評判标準任何一(yī)條客觀存在時，則判定爲零容忍或高風險。對于識别到的零容忍風險，公司将立即終止與交易方的合作并由合規專員(yuán)應立即上報合規風控專員(yuán)，由合規風控專員(yuán)上報合規總監。
When any of the above criteria matches with the reality, the situation should be judged as zero tolerance or high risk. For the zero-tolerance risk identified, the Company will immediately terminate the cooperation with the transaction party and the compliance officer should immediately report it to the compliance risk control officer. Then, the compliance risk control officer should report it to the compliance director.
2.4 公司建立風險評估流程，對公司黃金、白(bái)銀供應商(shāng)風險進行評估：
2.4 With the risk assessment procedure established, the assessment of risks of the company’s gold and silver suppliers was carried out:
由合規部、業務部、财務部負責對風險事件造成的損失進行量化評估，對相關責任人追究其責任，對風險事件跟蹤調查，消除危險源，減少損失。
The quantitative assessment of the losses caused by risk events was carried out by the Compliance Department, Business Department and Finance Department to investigate the relevant responsible persons andconduct the follow-up investigation of risk events, with the elimination of danger sourcesand the reduction of losses.
公司通過KYC流程對上遊原料供應商(shāng)進行盡職調查，主要包括供應商(shāng)基本信息，業務活動，供應商(shāng)股東和受益人信息，物(wù)料來源，負責任采購建立和實施情況，ESG基本情況，反洗錢、反賄賂和反恐怖主義融資(zī)的相關規定，強迫勞工(gōng)和物(wù)料運輸情況。公司收集了所有黃金白(bái)銀交易方的KYC信息，結合制定的《風險評估表》對交易方進行了CAHRAs識别和風險識别。所有物(wù)料均來自于中(zhōng)國，且中(zhōng)國未被識别爲CAHRAs,也未識别出供應商(shāng)和其供應鏈中(zhōng)有零容忍風險和高風險。
The due diligenceon upstream material suppliers was conducted by the Company through the KYC procedure, mainly including basic information on suppliers, business activities, suppliers’ shareholders and beneficiary information, sources of materials, the establishment and implementation of responsible procurement, basic information on ESG, relevant provisions on anti-money laundering, anti-bribery and anti-terrorist financing, forced labor and material transportcondition.KYC information of all gold and silver trading parties were collected by the Company, and combined with the formulated Risk Assessment Form, the CAHRAs identification and riskidentificationfor trading parties were carried out. All materials are from China, and China has not been identified as CAHRAs, with the non-identification of zero-tolerancerisk and highrisk in suppliers and its supply chain.
如果一(yī)旦供應鏈中(zhōng)有任何的高風險被識别出來，公司根據《LBMA負責任黃金指南(nán)第9版》，《LBMA負責任白(bái)銀指南(nán)》和《《經濟合作與發展組織關于來自受沖突影響和高風險區域礦石的負責任供應鏈盡職調查指南(nán)》（第三版）設計了《現場考察表》對涉及高風險的供應商(shāng)通過線上和現場拜訪的形式進行加強型盡職調查，如可能，會聘請有資(zī)質的公司執行，以确定并評估風險。因公司未識别出任何的高風險，所以沒有也無需實施加強型盡職調查流程。
In case any risk in the supply chain is identified, in accordance with the9th Edition of LBMA Responsible Gold Guidance, the LBMA Responsible Silver Guidanceand theOECD Guidance on Responsible Supply Chain Due Diligence for Ores from Conflict-affected and High-risk Regions (Third Edition),theSite Inspection Formwould be designed by the Company to enhance the due diligence on the suppliers involving high risk in the form of online and on-site visits. If any, a qualified company would be employed to determine and assess the risk. As the Company did not identify any high risk, an enhanced due diligence processwas not or needed not be implemented.
3、向高級管理層報告風險評估
3. Report risk assessment to the senior management
公司建立風險評估報告制度，每年合規專員(yuán)對部門盡職調查工(gōng)作彙報合規風險官。2022年年度的風險識别和評估結果已經彙報給風險總監并保留了相應的傳達記錄。
With risk assessment reporting system established, the Compliance Officer reports annually the department due diligence work to the Compliance Risk Officer. The 2022 annual risk identification and assessment results have been reported to the Risk Director and a corresponding communication record has been retained.
第三步 設計并實施策略來應對已識别的風險
Step 3: Design and implement a management strategy to respond to identified risks
合規聲明與要求：
Compliance Statement with Requirement:
我(wǒ)(wǒ)公司已經充分(fēn)遵守第3步：設計和落實管理體(tǐ)系應對識别的所有風險。
We have fully complied with Step 3: Design and implement a management system to respond to identified risks.
公司制訂了《供應鏈風險減緩管理辦法》并作爲文控管理，約定了在供應商(shāng)評估及日常業務開(kāi)展過程中(zhōng)發現的違規情況的處理方式；規範了發現供應商(shāng)存在高風險行爲的處理步驟；明确了盡職管理各級組織、人員(yuán)的責任，以及向高級管理人員(yuán)彙報實施進度等。
The Supply Chain Risk Mitigation Management Approach was formulated by the Company and it was taken as the document control and management, with the agreement of the method of dealing with violations found in supplier evaluation and daily business development; The procedures for finding high risk behaviors in suppliers were regulated; The responsibilities of due diligence management of all levels of organization and personnel were clarified, and the implementation progress to senior management was reported.
疑似高風險來料後，對其進行單獨登記，并告知(zhī)精煉車(chē)間，對其原料單獨熔煉，在整個工(gōng)藝流程中(zhōng)不與其他客戶混合，對由其原料生(shēng)産的成品金銀進行單獨編号，并在金庫中(zhōng)與其他成品金銀分(fēn)區域存放(fàng)。
High-risk or suspected high-risk incoming materials shall be registered separately and conveyed to the refining workshop. The corresponding raw materials shall be melted separately and shall not be mixed with the raw materials from other customers in the whole process flow. The finished gold and silver produced by such raw materials shall be numbered separately and stored separately with other finished gold and silver in the vault.
如果供應鏈中(zhōng)識别出零容忍的風險，公司必須立即終止現有的業務關系。
If a zero-tolerance risk is identified in the supply chain, the Company must immediately terminate the existing business relationship.
當實施加強型盡職調查後，識别出以下(xià)問題，公司應立即停止與交易方的合作關系，并及時彙報給LBMA：
Where the following problems are identified after the enhanced due diligence is carried out, the Company shall immediately stop the cooperative relationship with the trading party and report to LBMAwithout delay:
1. 洗錢
1. Money laundering
2. 恐怖主義融資(zī)
2. Terrorist financing
3. 嚴重侵犯人權
3. Serious violations of human rights
4. 直接或間接支持非國家武裝組織
4. Direct or indirect support for non-state armed groups.
5. 謊報礦物(wù)産地
5. Misrepresentation of mineral origin
當實施加強型盡職調查後，對以下(xià)問題有合理的懷疑，公司應立即暫停與交易方的合作關系，一(yī)旦在6個月内從供應商(shāng)初獲取對下(xià)述懷疑的反駁性證明和回應，即可由合規總監審批後恢複業務關系。
If there is reasonable doubt about the following problems after the implementation of the enhanceddue diligence, the cooperation with counterparty shall be temporarily suspended by the Company. After the refutation and response to the following suspicions are obtained from the suppliers within six months, business relationship can be resumed upon approval by the Compliance Director.
1. 洗錢
1. Money laundering
2. 恐怖主義融資(zī)
2. Terrorist financing
3. 嚴重侵犯人權
3. Serious violations of human rights
4. 直接或間接支持非國家武裝組織
4. Direct or indirect support for non-state armed groups.
5. 謊報礦物(wù)産地
5. Misrepresentationof mineral origin
6. 具有災難性的ESG影響
6. Catastrophic ESG effects
當實施加強型盡職調查的結果不令人滿意，或被認爲依然存在以下(xià)情況，但是供應商(shāng)已經做出合理和善意的努力，公司可以繼續與供應商(shāng)合作，并與供應商(shāng)一(yī)起繼續執行制定的改善計劃：
If the implement of due diligence result is not satisfactory, or if it is considered that the supplier has made reasonable efforts in good faith despite the following circumstances, the cooperation with suppliers can be kept by the Company, and the formulated improvement plan can be together executed:
1. 賄賂
1. Bribery
2. 非欺詐性誤報礦物(wù)産地
2. Non-fraudulent misreporting of mineral origin
3. 未支付應付政府的稅收、費(fèi)用和特許權使用費(fèi)
3. Failure to pay taxes, fees and royalties due to the government
4. 嚴重違反與環境、健康、安全、勞工(gōng)和社區有關的地方立法，及/或存在極有可能造成高度不利影響的 ESG 風險。
4. Serious violation of environmental, health, safety, labor and community-related local methods, which is highly likely to cause serious adverse effects.
對任何識别出的風險，公司将會與交易方和利益相關方進行溝通并制定相應的風險緩解計劃。風險緩解計劃實施後，相關的風控專員(yuán)就供應商(shāng)提供材料證據與反饋的過程進行記錄，對供應商(shāng)所提交的材料進行核實與審查，确保風險緩解進展與實施的有效性并記錄。
With respect to any identified risks, the Company will communicate with counterparties and stakeholders and formulate appropriate risk mitigation plans.After the implementation of the riskmitigation plan, the process of providingmaterial evidence and feedback by suppliers will be recorded by the relevant risk control specialist to verify and review the materials submitted by suppliers, with the guarantee and record of effectiveness of risk mitigation progress and implementation.
公司嚴格遵守LBMA負責任黃金、白(bái)銀指南(nán)，設計并實施策略來應對已識别的風險。2022年未發現零容忍和高風險供應鏈，不需要做風險緩解措施。
The Company has strictly complied with LBMA Responsible Gold and Silver Guidance and designed and implemented strategies to respond to identified risks. No zero-tolerance and high-risk supply chain is found in 2022 and no risk mitigation measures of supply chain are taken.
第四步 對精煉商(shāng)的盡職調查實踐開(kāi)展獨立的第三方審計
Step 4 Conduct an independent third-party audit of the refiner’s due diligence practice.
合規聲明與要求：
Compliance Statement with Requirement:
我(wǒ)(wǒ)公司已經充分(fēn)遵守第4步：安排供應鏈盡職調查的獨立第三方審計。
We have fully complied with Step 4: Arrange for an independent third-party audit.
公司嚴格遵守對精煉商(shāng)的盡職調查實踐開(kāi)展獨立的第三方審計的要求。自2020年開(kāi)始，公司已委托RCS Global進行LBMA相關負責任合規審計并依照審計要求提供相關數據及文件。
The Company has strictly complied with the requirements of Step 4 of the LBMA Responsible Gold and Silver Guidance “conduct an independent third-party audit of the refiner’s due diligence practice” and have appointed RCS Global to audit the supply chain due diligence system of the Company in since 2020.
公司每年聘請獨立的第三方審計機構（深圳和誠會計師事務所）對财務進行審計，并出具審計報告。
The company hire third party auditors(Shenzhen Hecheng Certified Public Accountant) to conduct financial audit and issue audit report every year.
第五步 供應鏈盡職調查年度報告
Step 5 Annual report on supply chain due diligence
合規聲明與要求：
Compliance Statement with Requirement:
我(wǒ)(wǒ)公司已經充分(fēn)遵守第5步：有關供應鏈盡職調查的報告。
We have fully complied with Step 5: Report on supply chain due diligence.
公司嚴格遵守供應鏈盡職調查年度合規報告的要求。
The Company has strictly complied with the requirements of Step 5 of the LBMA Responsible Gold and Silver Guidance “annual report on supply chain due diligence”.
公司每年對供應鏈盡職調查政策進行公示。
The Company publicizes the supply chain due diligence policy every year.
根據2022年的盡職調查結果，無供應商(shāng)需要進行風險緩解的管理策略。在2022年度無黃金、白(bái)銀供應鏈的評估結果爲未識别出零容忍的風險和高風險。供應鏈盡職管理合規報告将在公司官方網站進行公示:
https://zhlsy.com/zygg/info_17_itemid_91.html
According to the due diligence results in 2022, no supplier was required to implement a risk mitigation management strategy. In 2022, there were no suppliers whose gold and silver assessment results were zero-tolerance or high risk. The supply chain due diligence management compliance report will be published on the Company’s official website:
https://zhlsy.com/zygg/info_17_itemid_91.html
四、管理結論
IV. Management conclusion
綜上所述，在報告年度截至于2022年12月31日的财務年内，根據《倫敦金銀市場協會（LBMA）負責任黃金指南(nán)第9版》的要求，深圳市傲風實業有限公司實施了有效的管理制度、程序、流程和實踐。深圳市傲風實業有限公司緻力于不斷的改進提升，所有的糾正措施将在内部進行定期監測。
In conclusion, in the financial year ended December 31, 2022, Shenzhen Zhonghenglong Industrial Co., Ltd. has implemented effective management systems, procedures, processes and practices in accordance with the LBMA Responsible Gold and Silver Guidance. Shenzhen Zhonghenglong Industrial Co., Ltd. is committed to continuous improvement and all corrective measures will be regularly monitored internally.
五、其他報告批注
V. Other report comments
如果本報告用戶希望就本報告向深圳市傲風實業有限公司進行任何反饋，則可以通過郵箱478152938@qq.com聯系企業相關部門。
If users of this report wish to provide any feedback to Shenzhen Zhonghenglong Industrial Co., Ltd with respect to this report, feel free to contact related departments of the enterprise by E-mail 478152938@qq.com.
公司名稱：深圳市傲風實業有限公司
Company name: Shenzhen Zhonghenglong Industrial Co., Ltd
地址：廣東省深圳市龍華區民康路112号1970科技小(xiǎo)鎮1棟401
Company address: Rm.401，Block 1, 1970 Science Park, Minkang Rd., Longhua District, Shenzhen City, Guangdong Province
工(gōng)廠地址：廣東省東莞市鳳崗鎮五聯村(cūn)碧湖大(dà)道雨湖路9号
Refinery Address: No.9, Yuhu Road, Bihu Avenue,Wulian Village, Fenggang Town, Dongguan City, Guangdong Province
辦事處：深圳市羅湖區水貝二路特力珠寶大(dà)廈A座8樓
Purchasing office: 8/F., Block A, Teli Jewelry Building, Shuibeier Road, Luohu District, Shenzhen City
年終報告：2022年度供應鏈盡職管理合規報告
Year-end report: 2022 Supply Chain Due Diligence Management Compliance Report
報告日期：2023年2月22日
Reporting date: February 22, 2023
報告負責人：曹健（公司副總經理）
Person in Charge: Cao Jian (Deputy General Manager of the company)
Website: WWW.ZHLSY.COM
聯系電(diàn)話(huà)：0755-29500999
Tel: 0755-29500999
一(yī)、公司概況
I. Company profile
深圳市傲風實業有限公司（簡稱公司），地處廣東省深圳市。公司1997年03月18日成立，存續至今，獨立法人企業，依托我(wǒ)(wǒ)國礦物(wù)加工(gōng)工(gōng)藝技術的優勢，采用先進的工(gōng)藝設備和自動化技術，有針對性的解決生(shēng)産節能環保、礦産資(zī)源綜合回收、生(shēng)産廢水零排放(fàng)三大(dà)技術難題，形成黃金産業的循環經濟發展模式，建設成爲節能減排、低碳環保的綠色産業。
Shenzhen Zhonghenglong Industrial Co., Ltd (hereinafter referred to as the Company) is located in Shenzhen City, Guangdong Province. Founded on March 18, 1997, the Company has existed till now and is an independent corporate enterprise. Relying on advantages of mineral processing process and technology of China, the Company adopts advanced process equipment and automated technology to specifically solve three technical problems, namely production energy conservation and environmental protection, comprehensive recovery of mineral resources, zero discharge of production wastewater, thus forming the recycling economy development mode of gold industry and building energy-saving, emission-reduction, low-carbon and eco-friendly green industry.
深圳市傲風實業有限公司是華南(nán)地區最大(dà)的貴金屬精煉企業，是上海黃金交易所标準金錠、标準金條、标準銀錠提供企業，高效的生(shēng)産工(gōng)藝,高品質的貴金屬産品,以及環保和安全（已具備ISO/ICE17025、ISO9001、ISO14001資(zī)質證書(shū)）的三廢處理系統的現代化國際标準的提純精煉企業。現有年生(shēng)産的銀 (Ag)200噸 、黃金 (Au)300噸、鉑金 (Pt)、 钯金 (Pd)20噸以及處理各種貴金屬廢料 400 噸的生(shēng)産設備和能力,而且各類産品均達到國家和行業規定的标準;環保和廢水、廢氣的排放(fàng)也達到國家法律規定的标準。
Shenzhen Zhonghenglong Industrial Co., Ltd is the largest precious metal refining enterprise in South China and the approved enterprise of standard gold ingots, standard gold bars and standard silver ingots of Shanghai Gold Exchange. With efficientproduction process, high-quality precious metal products, environmentally-friendly and safe three-waste treatment system, it is a purification and refinement enterprise following modern international standards( the Company has obtained ISO/ICE17025,ISO9001 and ISO14001 certificates). At present, it has production equipment and capacity to annually produce 200 tons of silvers (Ag), 300 tons of gold (Au), 20 tons of platinum (Pt) and palladium (Pd) and could process 400 tons of precious metal wastes. Besides, all products have reached national and industrial standards and environmental protection, waste water and waste gas discharge also reaches standards specified by national laws.
2019年當選“廣東省黃金協會，副會長單位”“中(zhōng)國珠寶玉石首飾行業協會常務理事單位”。2020年獲得上海黃金交易所頒發的“最佳可提供标準金錠、銀錠企業”“最佳風控會員(yuán)”“綜合類年度優秀會員(yuán)”“最佳競價交易自營會員(yuán)”。
In 2019, the Company was selected as “Vice-Chairman Unit of Gold Association of Guangdong Province” and “Standing Director of GEMS & Jewelry Trade Association of China”In 2020, the Company won titles of “Best Enterprise of Standard Gold Ingots and Silver Ingots”, “Best Risk Control Member”, “Comprehensive Annual Excellent Member”, “Best Self-Operated Competitive Price Transaction Member” awarded by Shanghai Gold Exchange.
二、供應商(shāng)情況概述
II. Condition overview of supplier
公司原料主要來源爲從社會中(zhōng)回收的合質金/銀(回收金和礦山金)，且均爲國内供應商(shāng)，沒有識别出與供應商(shāng)以及供應鏈相關聯的零容忍風險和高風險。
Main sources of raw materials of the Company are gold/silveralloy purchased from societyand all suppliers are from China. No zero-tolerance and high risk have been identified from suppliers and supply chain.
三、合規情況概述
III. Overview of compliance conditions
公司對所有供應商(shāng)進行盡職的供應鏈調查，要求所有供應商(shāng)提供的原料來源合法、合規。
The Company has carried out supply chain investigation of due diligence for all suppliers and required that resources provided by all suppliers are legal and compliant.
第一(yī)步 建立強大(dà)的公司管理體(tǐ)系
Step 1: Establish strong company management systems
合規聲明與要求：
Compliance Statement with Requirement:
我(wǒ)(wǒ)公司已經充分(fēn)遵守第1步驟：建立強大(dà)的公司管理體(tǐ)系。
We have fully complied with Step 1: Establish strong company management systems.
公司嚴格遵守《LBMA負責任黃金指南(nán)》和《LBMA負責任白(bái)銀指南(nán)》，已經建立了強大(dà)的管理體(tǐ)系，确保供應鏈盡職調查工(gōng)作全面落地。
The Company has strictly established strong management systems to ensure comprehensive implementation of supply chain due diligence work.
1、政策方面
1. Policy
公司2022年通過并發布了一(yī)項《黃金/白(bái)銀負責任供應鏈盡職調查政策》（以下(xià)簡稱“政策”），該政策符合《經濟合作與發展組織關于來自受沖突影響和高風險區域礦石的負責任供應鏈盡職調查指南(nán)》（第三版）中(zhōng)的規定，并擴展至環境和可持續性責任，該政策已經過合規總監的審查和批複并在公司官網上進行公布。政策網址鏈接：https://zhlsy.com/zygg/info_17_itemid_85.html
The Company has passed and introduced a supply chain responsible sourcing policy which conforms to OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas(Version 3) with extension to environmental and sustainable responsibility. Such policy has been reviewed and approved by compliance director and published on the official website at https://zhlsy.com/zygg/info_17_itemid_85.html
公司已經将該政策傳達給所有的黃金白(bái)銀的交易方以及内部的各個職能部門，相關的傳達記錄均已保留并存檔。
The policy has been issued by the Company to all gold and silver trading parties and each internal functional department with relevant communication records retained and archived.
政策要求公司及其供應商(shāng)嚴格遵守國家關于職工(gōng)權利、環境保護、公平交易等各項法律法規，積極參與供應鏈盡職調查工(gōng)作，确保礦産金/銀、再生(shēng)金/銀來源符合要求，并作出承諾，拒絕來自侵犯人權、沖突地區、賄賂、洗錢、恐怖主義融資(zī)、非法開(kāi)采、世界遺産遺址、采用汞開(kāi)采等高風險地區的黃金、白(bái)銀。公司會每年定期的審查政策并按照要求進行更新，特别是當客戶要求或行業标準發生(shēng)變化時。
According to policy requirements, the Company and its suppliers should strictly comply with various national laws and regulations on employee rights, environmental protection, fair dealing with active participation in supply chain due diligence to ensure that the sources of mineral gold/silver and renewable gold/silver meet the requirements. In addition, commitments need to be made to reject gold and silver from high-risk areas such as human rights violations, conflict zones, bribery, money laundering, terrorist financing, illegal mining, World Heritage sites as well as mercury mining. The Company should regularly review the policy annually and update it as required, especially when customer requirements or industry standards change.
2、管理架構
2. Management structure
根據體(tǐ)系要求，公司已建立了内部管理制度，按照出台的政策對管理、作用、職責、内部審計、溝通進行界定、并開(kāi)展盡職調查體(tǐ)系的年度管理評審。
According to the system requirements, the internal management system has been established in the Company to define management, roles, responsibilities, internal audit as well as communication in the light of the issued policies, and conductannual management reviews of the due diligence system.
公司已于2022年12月28日進行了年度管理評審，并将管理評審結果彙報給了合規總監。
The Company conducted an annual management review on December 28, 2022 with the results of the management review reported to the Compliance Director.
2.1規章制度方面
2.1 Rules and regulations
公司根據《LBMA負責任黃金指南(nán)第9版》和《LBMA負責任白(bái)銀指南(nán)》制訂了《LBMA負責任黃金白(bái)銀供應鏈盡職調查管理程序》、《黃金/白(bái)銀負責任供應鏈盡職調查政策》、《供應鏈風險減緩管理辦法》，主要明确供應鏈盡職調查組織架構、職責、高風險地區定義，制定高風險供應鏈評估标準、調查處理程序、交易監控、文件保存等内容。上述制度通過合規總監、董事會審批後已下(xià)發至公司各部門。
According to the 9th Edition of LBMA Responsible Gold Guidance and LBMA Responsible Silver Guidance, the Company formulated the Due Diligence Management Procedure for LBMA Responsible Gold and Silver Supply Chain, Due Diligence Policy for Gold/Silver Responsible Supply Chain, and Management Measures forSupply Chain Risk Mitigation, which were mainly for defining the organizational structure, responsibilities, and high-risk region definition of supply chain due diligence, and formulating high-risk supply chain evaluation standards,investigation and processing procedures, transaction monitoring, documents retention, etc. The above system has been approved by the Compliance Director and the Board of Directors and issued to all departments of the Company.
2.2職責與權限
2.2 Duties and authorities
公司設置合規總監、合規風控官以及合規專員(yuán)。
The Company has set up Compliance Director, Compliance Risk Control Officer and Compliance Officer.
合規總監負責建立健全供應鏈盡職調查管理體(tǐ)系，監督供應鏈盡職調查流程，協調處理盡職調查中(zhōng)的異常情況。對外(wài)根據我(wǒ)(wǒ)司原料采購政策、生(shēng)産、财務以及銷售等實際情況需要審批與供應商(shāng)合作合同的簽訂（包括是否與高風險供應商(shāng)合作），并負責對供應商(shāng)進行盡職調查相關事宜。對内根據LBMA負責任黃金／白(bái)銀指南(nán)文件，對相關員(yuán)工(gōng)進行培訓，使相關負責人明白(bái)自己在盡職調查政策實施中(zhōng)的職責。
It is the Compliance Director who takes charge of establishing and improving the supply chain due diligence management system, supervising the supply chain due diligence process as well as coordinating the handling of anomalies in due diligence. Externally, we need to approve the signing of cooperation contracts with suppliers (including whether to cooperate with high-risk suppliers) based on our raw material procurement policies, production, finance, and sales conditions with responsibility for conducting due diligence on suppliers. Internally, relevant employees should be trained in accordance with the LBMA Responsible Gold/Silver Guidance Document to enable relevant responsible persons to be aware of their responsibilities when thedue diligence policies are implemented.
合規風控官由公司副總經理擔任，協助總監全面負責黃金／白(bái)銀供應鏈盡職調查事務。負責制定并更新供應鏈盡職調查政策、制度，高風險供應鏈評判标準和執行供應鏈盡職調查措施，監督、檢查各部門的落實情況并考核，彙報供應鏈盡職調查中(zhōng)的異常情況，組織培訓等工(gōng)作。
The post of Compliance Risk Officer is held by the Company’s Deputy General Manager, assisting the Director with full responsibility for the due diligence of the gold/silver supply chain. Besides formulating and updating supply chain due diligence policies and systems, evaluating standards for high-risk supply chains and implementing supply chain due diligence measures are also needed to supervise and inspect the implementation of various departments with assessment, report for abnormalities in supply chain due diligence, and training organization.
合規專員(yuán)由交割部、業務部、财務部、收發部、質檢中(zhōng)心、精煉車(chē)間指派，負責嚴格執行供應鏈盡職調查措施，零容忍和高風險供應鏈評判标準，收集并保存足夠的供應鏈證明文件。
The Compliance Officer is appointed by the Delivery Department, Business Department, Finance Department, Receiving and Distribution Department, Quality Inspection Center, and Refining Workshop with responsibility for strictly implementing supply chain due diligence measures, zero tolerance, and high-risk supply chain evaluation standards, and collecting and maintaining sufficient supply chain supporting documents.
公司制定了對合規人員(yuán)的問責機制，要求相關專員(yuán)定期向高級管理人員(yuán)彙報供應鏈盡職調查情況。通過監督與檢查，确保了供應鏈盡職調查工(gōng)作得到有效的實施，規避高風險供應鏈的交易。
The Company has established an accountability mechanism for compliance personnel, requiring relevant specialists to regularly report supply chain due diligence to senior management. Through supervision and inspection, the supply chain due diligence work has been effectively implemented to avoid high-risk supply chain transactions.
3、強有力的内部追溯體(tǐ)系
3. Strong internal traceability system
公司建立了一(yī)套供應鏈可追溯體(tǐ)系，收集和維護每一(yī)批産品的供應鏈信息，爲每一(yī)批産品分(fēn)配編号。
In order to collect and maintain supply chain information for each batch of products and assign numbers to each batch of products, the Company has established a supply chain traceability system.
3.1供應鏈可追溯體(tǐ)系
3.1 Supply chain traceability system
通過收集盡職調查問卷（KYC）并審查供應商(shāng)資(zī)質、業務運營、股東信息和物(wù)料來源等，供應商(shāng)資(zī)信調查通過後簽訂合同以及承諾書(shū)，承諾原料合法，符合LBMA負責任黃金/白(bái)銀采購政策；供應商(shāng)送的每一(yī)批來料，都有來料驗收單，表明産品類型、熔前熔後重量等，驗收人員(yuán)和供應商(shāng)簽字确認；熔煉取樣化驗，最後形成标準金銀錠，分(fēn)配編号，通過上海黃金交易所進行交易。
After collecting a Due Diligence Questionnaire (KYC) and reviewing the suppliers’ qualifications, business operations, shareholder information, and material sources, the suppliers withthe credit investigation qualification signed a contract and letter of commitment, promising that the raw materials are legal and comply with procurement policy of LBMA responsible gold/silver. For each batch of incoming materials sent by the suppliers, an incoming material acceptance sheet should be provided, indicating the product type, weight before and after melting, etc., which was signed by the acceptance personnel and the suppliers for confirmation. After smelting, sampling and testing, standard gold and silver ingots are finally formed, assigned with a number, and traded through the Shanghai Gold Exchange.
公司對所有交易情況進行監督，确保交易與供應鏈調查一(yī)緻。使用在線黃金管理系統以及電(diàn)子台賬記錄黃金、白(bái)銀來料，确保物(wù)料可追溯。對于所有的原料入庫均保留完整的單據資(zī)料，對于入庫的金/銀料保存有入庫單、檢驗單、财務憑證等。明确各個部門應在日常工(gōng)作中(zhōng)收集保存的資(zī)料，由業務部、檢測中(zhōng)心、财務部對相關單據進行保存，并定期将相關資(zī)料送至檔案室進行存檔，保存期限均高于5年。
The Company monitored all transactions to ensure that they are consistent with supply chain investigations. With an online gold management system and electronic ledger to record incoming gold and silver materials, traceability of materials was ensured. For all raw materials warehoused, complete documentation was maintained.For gold/silver materials warehoused, warehouse receipts, inspection sheets, and financial vouchers were maintained. The information that each department should collect and store in their daily work is needed to be specified. The business department, testing center, and finance department will store the relevant documents, and regularly send the relevant information to the archive room for archiving with the storage period of higher than 5 years.
3.2維護資(zī)料
3.2 Maintenance data
在業務開(kāi)展中(zhōng)，供應商(shāng)身份證、身份驗證資(zī)料、營業執照、資(zī)質驗證資(zī)料、供應商(shāng)盡職調查表、每一(yī)批次的驗收單、檢測單、結算單等相關記錄保存5年以上。
As business is carried out, relevant records should be kept for more than 5 years, such as supplier ID cards, identity verification materials, business licenses, qualification verification materials, supplier due diligence questionnaires, acceptance forms, testing forms, and settlement forms for each batch.
3.3培訓
3.3 Training
公司将供應鏈盡職調查管理培訓、采掘業透明度倡議EITI原則及标準培訓和反洗錢、反恐怖主義融資(zī)的培訓納入公司年度培訓計劃當中(zhōng)，定期組織公司重點崗位以及合規專員(yuán)進行以上相關培訓。我(wǒ)(wǒ)司合規部門于2022年已組織公司各相關部門人員(yuán)進行了四次培訓，确保供應鏈盡職調查管理工(gōng)作落到實處，相應的培訓記錄均已存檔保留。
The Company incorporated supply chain due diligence management training, EITI principles and standards training for extractive industry transparency initiatives, and training on anti-money laundering and anti-terrorist financing into its annual training plan. In order to conduct the above related training, the Company implemented regular organizations for key positions and compliance officers of the Company. Our compliance department has organized four training sessions for personnel from relevant departments of the company in 2022 to ensure that supply chain due diligence management is implemented with corresponding training records archived and retained.
3.4通過官方銀行渠道收付款
3.4 Collection and payment through official bank channels
公司所有業務均通過官方銀行渠道收款和付款，沒有任何現金交易。全部由業務部門發起資(zī)金事項聯簽程序，通過公司基本戶所在的銀行網上付款，并打印銀行回單作爲憑證附件保留。财務合規專員(yuán)負責交易監控工(gōng)作，對不符或以任何形式疑似不符的交易背景進行檢查，并報告合規總監。2022年度沒有發現不符及任何形式不符的情況。
Through official banking channels, the Company received and paidfor all businesses without any cash transactions. The Business Department initiated the fund transaction countersigning process so that payments are finished online through the bank where the Company’s basic account is located. Moreover, the bank receipts are printed as an attachment to the voucher. With responsibility for transaction monitoring, the Financial Compliance Officer checked the background of transactions that are inconsistent or suspected to be inconsistent in any form as well as reported to the Compliance Director. In 2022, no discrepancies or any forms of discrepancies were found.
4、強化合作，協助黃金/白(bái)銀供應交易方建立盡職調查能力
4. Strengthening for cooperation to assist gold/silver supply traders in establishing due diligence capabilities
公司鼓勵與供應商(shāng)建立基于信任和互認的長期關系，特别是遵守《經濟合作與發展組織關于來自受沖突影響和高風險區域礦石的負責任供應鏈盡職調查指南(nán)》并擴展至環境和可持續性責任的供應商(shāng)。
The Company encouraged long-term relationships based on trust and mutual recognition with suppliers, especially complying with the Due Diligence Guidelines of OECD for Responsible Supply Chains of Minerals from Conflict Affected and High Risk Regions, and expanding to suppliers with environmental and sustainability responsibilities.
公司将黃金、白(bái)銀供應鏈的政策與要求、電(diàn)子培訓教材等通過電(diàn)子郵件、短信、社交軟體(tǐ)等方式傳達給供應商(shāng)，提高供應鏈交易方建立盡職調查能力。2022年對供應商(shāng)進行了線上培訓和經驗分(fēn)享，以确保他們了解公司LBMA管理的要求和供應鏈政策，協助供應商(shāng)更大(dà)程度地建立盡職調查能力。
For the sake of improving the capabilities of supply chain traders to establish due diligence, the Company communicated policies and requirements for gold and silver supply chains, electronic training materials, etc. to suppliers through email, SMS, social software, and other means. In 2022, online training and experience sharing were conducted for suppliers to ensure that they understand the Company’s LBMA management requirements and supply chain policies, and to assist suppliers in building due diligence capabilities to a greater extent.
公司2022年度簽約的所有供應商(shāng)均簽署了相關《承諾書(shū)》，承諾黃金、白(bái)銀來源合法合規，拒絕零容忍和高風險。公司與上遊供應嚴格遵守合同和法律的規定及EITI的相關原則，有助于上遊供應商(shāng)更大(dà)程度的透明度的實現。
All suppliers contracted by the Company in 2022 have signed the relevant Letter of Commitment, promising that the source of gold and silver is legal and compliant with rejection for zero tolerance and high risk. The Company and upstream suppliers strictly abide by the provisions of contracts and laws and the relevant principles of EITI, contributing to achieve greater transparency for upstream suppliers.
5、建立申訴機制
5. Establishment of a complaint mechanism
公司利用官網平台，公布電(diàn)話(huà)和郵箱，允許員(yuán)工(gōng)和外(wài)部利益相關者表達對供應鏈或任何新的識别風險的擔憂。公司已建立了完善的申訴機制并嚴格執行，在整個申訴過程中(zhōng)保護員(yuán)工(gōng)隐私，對舉報人信息保密，杜絕任何行爲的打擊報複。
Withthe official website platform to publish phone numbers and email addresses, the Company allows employees and external stakeholders to express concerns about the supply chain or any new identified risks. Having established a sound complaint mechanism, the Company implemented it to protect employee privacy throughout the complaint process in a strict manner and keep confidential for the informant’s information with prevent of retaliation for any behavior.
申訴渠道在官網公示：https://zhlsy.com/zygg/info_17_itemid_86.html
The complaint channel is accessible on the official website: https://zhlsy.com/zygg/info_17_itemid_86.html
截至2022年底申訴小(xiǎo)組沒有收到内部員(yuán)工(gōng)或供應商(shāng)的風險申訴信息。
By the end of 2022, the complaint team had not received any risk complaintinformation from internal employees or suppliers.
第二步 供應鏈風險的識别與評估
Step 2: Identify and assess risk in the supply chain
合規聲明與要求：
Compliance Statement with Requirement:
我(wǒ)(wǒ)公司已經充分(fēn)遵守第2步驟：對供應鏈中(zhōng)的風險進行識别和評估。
We have fully complied with Step 2: Identify and assess risk in the supply chain.
公司制定了受沖突影響和高風險區域（CAHRA）定義流程與判定标準，并對識别出來的風險規定了處理程序，充分(fēn)對供應鏈中(zhōng)的風險進行識别、評估和緩解。2022年度，公司主要從國内供應商(shāng)采購當地金銀回收料和礦山料，根據受沖突影響和高風險區域的識别程序判定，中(zhōng)國未被識别爲受沖突影響和高風險區域。截止到目前，均未識别出零容忍和高風險。
The Company formulated the conflict-affected and high-risk areas (CAHRA) definition process and judgment standards, and stipulated the processing procedures for the identified risks, fully identifying, evaluating and mitigating the risks of the supply chain. In 2022, the Company mainly purchased local gold and silver recycling materials and mining materials from domestic suppliers. According to the identification procedures for conflict-affected and high-risk areas, China has not been identified as a conflict-affected and high-risk area. Neither zero tolerance nor high risk has been identified so far.
1、識别供應鏈風險
1. Identification of risks of supply chain
根據《經濟合作與發展組織關于來自受沖突影響和高風險區域礦石的負責任供應鏈盡職調查指南(nán)》，黃金/白(bái)銀冶煉公司應識别相關風險包括密切關注來自侵犯人權、武裝沖突、非法開(kāi)采、開(kāi)采利用汞以及源于世界遺産遺址等地區的黃金和白(bái)銀，以及用于賄賂、洗錢、恐怖主義融資(zī)等行爲的黃金/白(bái)銀。公司爲每個供應商(shāng)建立供應商(shāng)檔案，根據風險狀況進行了調查，在與其簽合同之前完成供應商(shāng)檔案的建立工(gōng)作。
According to OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-affected and High-risk Areas, gold/silver smelters should identify associated risks. For example, they should pay close attention to gold and silver originating from areas under circumstances such as human rights abuses, armed conflict, illegal mining, mining and utilization of mercury, as well as gold and silver mined from world heritage sites or those used for bribery, money laundering, terrorist financing, etc. The Company established supplier files for each supplier, conducted an investigation according to the risk level, and completed the establishment of the supplier file before signing a contract.
2、評估供應鏈風險
2. Evaluation of risks of supply chain
2.1供應鏈調查
2.1 Investigation of supply chain
公司通過以下(xià)措施對供應鏈進行盡職調查，并完成了盡職調查問卷：
By virtue of the following measures, the Company carried out due diligence on the supply chain, with due diligence questionnaire completed:
（1）資(zī)質驗證。對于所有供應商(shāng)均進行供應鏈的盡職管理調查，在進行合作前要求合作方提供相應的資(zī)質證明文件，法人客戶提供營業執照，個人客戶提供身份證複印件，礦山客戶還需要提供采礦許可證、環評認證以及關注礦工(gōng)佩戴勞保、健康安全交易、職業病體(tǐ)檢等。
(1) Qualification verification. Supply chain due diligence shall be carried out for all suppliers. Before cooperation, partners are required to provide corresponding qualification certificates. Legal person customers shall provide business licenses. Individual customers shall provide copies of ID cards, and mining customers also need to provide mining licenses, EIA certification with attention paid to miners wearing labor insurance, health and safety transactions and physical examination of occupational diseases, etc.
（2）建立供應商(shāng)檔案。對供應商(shāng)基本情況、股東信息、提供原料類型及産地、計劃精煉貴金屬類型、與其供應商(shāng)結算方式、供應商(shāng)概況等信息進行詳細調查，并盡可能的将供應鏈調查向供應商(shāng)的上遊延伸，最終确定其風險等級，對于涉及高風險标準的供應商(shāng)終止合作。
(2) Creating supplier files. It is required to carry out detailed investigations on the basic situation of suppliers, shareholder information, types and origins of raw materials provided, types of precious metals planned to be refined, methods of settlement with suppliers, supplier profiles and other information. In addition, it is needed to extend the supply chain investigation to the upstream of suppliers as much as possible, finalizing its risk level and terminating cooperation with suppliers involving high risk criteria.
（3）建立來料登記簿。對供應商(shāng)當批次來料的日期、重量、原料來源、主要上遊供應商(shāng)進行調查登記，判斷其來料風險等級。
(3) Creating register books for incoming materials. It is required to investigate and register the date, weight, source of raw materials, and major upstream suppliers of the supplier’s incoming batches of materials, judging the risk level of the incoming materials.
（4）建立供應商(shāng)年度調研報告工(gōng)作流程。對除銀行之外(wài)的全年黃金、白(bái)銀來料量前三名進行專項盡職調查，形成供應商(shāng)年度調查報告，内容包括：供應商(shāng)概況、資(zī)質信息、來料類型及所占比重、上遊供應商(shāng)概況及名單、原料産地及品種、是否存在國外(wài)黃金、白(bái)銀等。
(4) Establishing annual survey report workflow of supplier. It is required to carry out special due diligence on the top three annual gold and silver incoming materials other than banks, and form annual supplier investigation reports, including: supplier profile, qualification information, incoming material type and proportion, upstream suppliers overview and list, origin and variety of raw materials, whether there is foreign gold and silver, etc.
（5）建立客戶專項調研報告工(gōng)作流程。在走訪客戶時，對原料來源進行追溯，向供應商(shāng)傳達盡職調查管理政策。
(5) Establishing customer-specific research report workflow. When visiting customers, it is required to trace the source of raw materials and convey the due diligence management policies to suppliers.
（6）對産品的去(qù)向進行盡職調查。針對黃金、白(bái)銀銷售業務，對一(yī)次性購買黃金重量超過30公斤或累計購買超過100公斤的客戶，一(yī)次性購買白(bái)銀重量超過2000公斤或累計購買超過5000公斤的客戶，進行産品去(qù)向盡職調查工(gōng)作，充分(fēn)發揮網絡作用，利用天眼查、中(zhōng)國審判信息網等網站對供應商(shāng)資(zī)質情況、失信情況、訴訟情況、處罰情況進行查詢，對涉及高風險行爲的供應商(shāng)終止合作。
(6) Conducting due diligence on whereabouts of the products. With regard to gold-and-silver sales business, for customers who purchase more than 30 kilograms of gold at one time or purchase more than 100 kilograms in total, and customers who purchase over 2,000 kilograms of silver at a time or purchase more than 5,000 kilograms in total, it is required to conduct due diligence on the whereabouts of products, give full play to the role of network, use Tianyancha (a business data and investigation platform), China Judgment Information Website as well as other websites to inquire about supplier qualifications, dishonesty, litigation, and punishment, and terminate cooperation with suppliers involved in high-risk behaviors.
2.2 CAHRA的判定。公司制定了CHARA的定義流程。公司采用以下(xià)資(zī)源和标準判定CAHRA：
2.2 Judgment of CAHRA. The Company developed definition processes for CHARA. The following resources and criteria are applied to determine CAHRA by the Company:
(1) 脆弱國家指數（2022） Fragile States Index（2022）
(1) Fragile States Index (2022)
(2) 全球沖突晴雨表（2021版）
(2) Global Conflict Barometer (2021)
(3) 聯合國人類發展指數（UN Human Development Indicator）
(3) UN Human Development Indicator
(4) 多德-弗蘭克法案第 1502條列“指明國家）
(4) “Designated Countries” listed in the Section 1502 of the Dodd-Frank Act
(5) 歐盟根據 2017/821條例提供的CAHRA清單
(5) CAHRA List provided by the European Union under Regulation 2017/821
(6) 聯合國人權事務高級專員(yuán)辦事處或同等機構
(6) The Office of the High Commissioner for Human Rights (UN Human Rights) or equivalent institutions
(7) 金融行動特别工(gōng)作組 (FATF) 的報告(包括相關國家/地區報告)
(7) Financial Action Task Force (FATF) Reports (including reports about relevant countries/regions)
(8) 關于高風險黃金中(zhōng)心/轉運中(zhōng)心和高洗錢風險國家/地區的可靠市場情報
(8) Reliable market intelligence on high-risk gold centers/transit centers and countries/regions with high risks of money laundering
2.3 零容忍和高風險供應鏈
2.3 Zero tolerance and high-risk supply chains
根據LBMA和OECD相關規定，結合公司實際情況，特規定如下(xià)零容忍和高風險供應鏈評判标準：
Based on the relevant regulations of LBMA & OECD and combined with the actual situation of the Company, the following criteria for judging zero-tolerance and high-risk supply chains are specially stipulated:
零容忍風險：
Zero-tolerance risks:
（1）礦山金/銀來自被指定爲世界遺産地的地區。
(1) Mined gold/silver comes from areas designated as World Heritage Sites.
（2）以違反國際制裁(包括但不吸納與聯合國、歐盟、英國和美國制裁)的方式采購礦山金/銀、再生(shēng)金/銀。
(2) Purchasing mined gold/silver and recycled gold/silver in a manner that violates international sanctions (including but not inclusive of sanctions imposed by the United Nations, the European Union, the United Kingdom, and the United States).
（3）礦山金/銀、再生(shēng)金/銀的供應對手方、其他已知(zhī)的上遊公司或其 UBO 是已知(zhī)的洗錢者、欺詐者或恐怖分(fēn)子，或曾嚴重侵犯人權，或直接或間接支持非法非國家武裝組織。
(3) Suppliers of mine gold/silver, recycled gold/silver, other known upstream companies or their UBOs are known as money launderers, fraudsters or terrorists, or have seriously violated human rights, or directly or indirectly supported illegal non-state armed groups.
礦山金的高風險标準：
High-risk criteria of mining gold:
Ø 高風險的位置
Ø High-risk locations
（1）黃金／白(bái)銀(含金／銀精礦)來自受沖突影響和高風險地區 (CAHRA) 或曾在該等地區過境或通過該等地區運輸。
(1) Gold/silver (containing gold/silver concentrate) originating from or transited through or transported through conflict-affected and high-risk areas (CAHRAs).
（2）黃金／白(bái)銀(含金／銀精礦)據稱來自已知(zhī)或合理懷疑來自 CAHRA 的黃金/白(bái)銀過境的國家/地。
(2) Gold/silver (containing gold/silver concentrate) purportedly originating from countries/regions known or reasonably suspected to be transited gold/silver from CAHRA.
（3）黃金／白(bái)銀(含金／銀精礦)據稱來自已知(zhī)儲量、可能資(zī)源或預期産量有限的國家/地區。
(3) Gold/silver (containing gold/silver concentrate) purportedly originating from known countries/regions with limited reserves, possible resources or expected production.
Ø 高風險供應商(shāng)/交易方或其他已知(zhī)上遊公司：
Ø High risk suppliers/parties or other known upstream companies:
（1）具有符合基于位置高風險标準的股東或最終收益方或其他黃金白(bái)銀供應權益
(1) With shareholders or ultimate beneficiaries or other gold and silver supply interests that meet the high risk criteria based on location
（2）具有身爲政治人物(wù)最終收益方
(2) With the ultimate beneficiary as a politician
（3）從事高風險商(shāng)業活動(如軍火(huǒ)、賭博和娛樂業、古董和藝術、教派及其領袖)
(3) Being engaged in high-risk business activities (such as arms, gambling and entertainment, antiques and art, sects and as their leaders)
（4）已知(zhī)在過去(qù)12 個月曾從高風險國家/地區采購黃金/白(bái)銀
(4) Known to have purchased gold/silver from high-risk countries in the past 12 months
（5）提供的文件有重大(dà)差異/不一(yī)緻，或拒絕提供所要求的文件。
(5) With substantial discrepancies/inconsistencies in the documents provided, or refusal to provide the requested documents.
Ø 高風險物(wù)料：
Ø High-risk materials:
（1）采購自ASM
(1) Purchased from ASM
（2）使用汞生(shēng)産
(2) Produced with mercury
（3）造成災難性傷害或高度不利的ESG 因素(在公司盡可能能夠識别的範圍内)
(3) Catastrophic injury or highly adverse ESG factors (to the extent that the Company is able to identify them)
再生(shēng)金的高風險标準
High-risk criteria for recycled gold
Ø 高風險的位置
Ø High-risk locations
（4）再生(shēng)金/再生(shēng)銀來自受沖突影響和高風險地區 (CAHRA) 或曾在該等地區過境或通過該等地區運輸。
(4) Recycled gold/silver originating from or transited through or transported through conflict-affected and high-risk areas (CAHRAs).
（5）再生(shēng)金/再生(shēng)銀據稱來自已知(zhī)或合理懷疑來自 CAHRA 的黃金/白(bái)銀過境的國家/地區。
(5) Recycled gold/silver purportedly originating from countries/regions known or reasonably suspected to have been transited gold/silver from CAHRA.
（6）再生(shēng)金/再生(shēng)銀據稱來自已知(zhī)儲量、可能資(zī)源或預期産量有限的國家/地區。
(6) Recycled gold/silver purportedly originating from countries/regions with limited known reserves, possible resources or expected production.
Ø 高風險供應商(shāng)/交易方或其他已知(zhī)上遊公司：
Ø High risk suppliers/transaction parties or other known upstream companies:
（1）在具有高洗錢風險的國家/地區運營
(1) Operating in a country with a high risk of money laundering
（2）具有符合基于位置高風險标準的股東或最終收益方或其他黃金白(bái)銀供應權益
(2) With shareholders or ultimate beneficiaries or other gold and silver supply interests that meet the high risk criteria based on location
（3）具有身爲政治人物(wù)最終收益方
(3) With ultimate beneficiaries as politicians
（4）從事高風險商(shāng)業活動(如軍火(huǒ)、賭博和娛樂業、古董和藝術、教派及其領袖)
(4) Being engaged in high-risk business activities (such as arms, gambling and entertainment, antiques and art, sects and their leaders)
（5）已知(zhī)在過去(qù) 12 個月曾從高風險國家/地區采購黃金/白(bái)銀
(5) Known to have purchased gold/silver from high-risk countries in the past 12 months
（6）與供應鏈中(zhōng)的供應商(shāng)或對手方之間有重要且無法解釋的運輸路線。
(6) There are important and unexplained transportation routes with suppliers or counterparties in the supply chain.
Ø 高風險物(wù)料：
Ø High-risk materials:
（1）來自具有高風險供應鏈的中(zhōng)間精煉廠或交易商(shāng)或從具有高風險供應鏈的中(zhōng)間精煉廠采購的交易對手方
(1) Transaction counterparties from intermediate refineries or traders with high-risk supply chains or purchases from intermediate refineries with high-risk supply chains
（2）無法證明其爲再生(shēng)金/再生(shēng)銀
(2) Unable to prove that to be recycled gold/silver
當上述評判标準任何一(yī)條客觀存在時，則判定爲零容忍或高風險。對于識别到的零容忍風險，公司将立即終止與交易方的合作并由合規專員(yuán)應立即上報合規風控專員(yuán)，由合規風控專員(yuán)上報合規總監。
When any of the above criteria matches with the reality, the situation should be judged as zero tolerance or high risk. For the zero-tolerance risk identified, the Company will immediately terminate the cooperation with the transaction party and the compliance officer should immediately report it to the compliance risk control officer. Then, the compliance risk control officer should report it to the compliance director.
2.4 公司建立風險評估流程，對公司黃金、白(bái)銀供應商(shāng)風險進行評估：
2.4 With the risk assessment procedure established, the assessment of risks of the company’s gold and silver suppliers was carried out:
由合規部、業務部、财務部負責對風險事件造成的損失進行量化評估，對相關責任人追究其責任，對風險事件跟蹤調查，消除危險源，減少損失。
The quantitative assessment of the losses caused by risk events was carried out by the Compliance Department, Business Department and Finance Department to investigate the relevant responsible persons andconduct the follow-up investigation of risk events, with the elimination of danger sourcesand the reduction of losses.
公司通過KYC流程對上遊原料供應商(shāng)進行盡職調查，主要包括供應商(shāng)基本信息，業務活動，供應商(shāng)股東和受益人信息，物(wù)料來源，負責任采購建立和實施情況，ESG基本情況，反洗錢、反賄賂和反恐怖主義融資(zī)的相關規定，強迫勞工(gōng)和物(wù)料運輸情況。公司收集了所有黃金白(bái)銀交易方的KYC信息，結合制定的《風險評估表》對交易方進行了CAHRAs識别和風險識别。所有物(wù)料均來自于中(zhōng)國，且中(zhōng)國未被識别爲CAHRAs,也未識别出供應商(shāng)和其供應鏈中(zhōng)有零容忍風險和高風險。
The due diligenceon upstream material suppliers was conducted by the Company through the KYC procedure, mainly including basic information on suppliers, business activities, suppliers’ shareholders and beneficiary information, sources of materials, the establishment and implementation of responsible procurement, basic information on ESG, relevant provisions on anti-money laundering, anti-bribery and anti-terrorist financing, forced labor and material transportcondition.KYC information of all gold and silver trading parties were collected by the Company, and combined with the formulated Risk Assessment Form, the CAHRAs identification and riskidentificationfor trading parties were carried out. All materials are from China, and China has not been identified as CAHRAs, with the non-identification of zero-tolerancerisk and highrisk in suppliers and its supply chain.
如果一(yī)旦供應鏈中(zhōng)有任何的高風險被識别出來，公司根據《LBMA負責任黃金指南(nán)第9版》，《LBMA負責任白(bái)銀指南(nán)》和《《經濟合作與發展組織關于來自受沖突影響和高風險區域礦石的負責任供應鏈盡職調查指南(nán)》（第三版）設計了《現場考察表》對涉及高風險的供應商(shāng)通過線上和現場拜訪的形式進行加強型盡職調查，如可能，會聘請有資(zī)質的公司執行，以确定并評估風險。因公司未識别出任何的高風險，所以沒有也無需實施加強型盡職調查流程。
In case any risk in the supply chain is identified, in accordance with the9th Edition of LBMA Responsible Gold Guidance, the LBMA Responsible Silver Guidanceand theOECD Guidance on Responsible Supply Chain Due Diligence for Ores from Conflict-affected and High-risk Regions (Third Edition),theSite Inspection Formwould be designed by the Company to enhance the due diligence on the suppliers involving high risk in the form of online and on-site visits. If any, a qualified company would be employed to determine and assess the risk. As the Company did not identify any high risk, an enhanced due diligence processwas not or needed not be implemented.
3、向高級管理層報告風險評估
3. Report risk assessment to the senior management
公司建立風險評估報告制度，每年合規專員(yuán)對部門盡職調查工(gōng)作彙報合規風險官。2022年年度的風險識别和評估結果已經彙報給風險總監并保留了相應的傳達記錄。
With risk assessment reporting system established, the Compliance Officer reports annually the department due diligence work to the Compliance Risk Officer. The 2022 annual risk identification and assessment results have been reported to the Risk Director and a corresponding communication record has been retained.
第三步 設計并實施策略來應對已識别的風險
Step 3: Design and implement a management strategy to respond to identified risks
合規聲明與要求：
Compliance Statement with Requirement:
我(wǒ)(wǒ)公司已經充分(fēn)遵守第3步：設計和落實管理體(tǐ)系應對識别的所有風險。
We have fully complied with Step 3: Design and implement a management system to respond to identified risks.
公司制訂了《供應鏈風險減緩管理辦法》并作爲文控管理，約定了在供應商(shāng)評估及日常業務開(kāi)展過程中(zhōng)發現的違規情況的處理方式；規範了發現供應商(shāng)存在高風險行爲的處理步驟；明确了盡職管理各級組織、人員(yuán)的責任，以及向高級管理人員(yuán)彙報實施進度等。
The Supply Chain Risk Mitigation Management Approach was formulated by the Company and it was taken as the document control and management, with the agreement of the method of dealing with violations found in supplier evaluation and daily business development; The procedures for finding high risk behaviors in suppliers were regulated; The responsibilities of due diligence management of all levels of organization and personnel were clarified, and the implementation progress to senior management was reported.
疑似高風險來料後，對其進行單獨登記，并告知(zhī)精煉車(chē)間，對其原料單獨熔煉，在整個工(gōng)藝流程中(zhōng)不與其他客戶混合，對由其原料生(shēng)産的成品金銀進行單獨編号，并在金庫中(zhōng)與其他成品金銀分(fēn)區域存放(fàng)。
High-risk or suspected high-risk incoming materials shall be registered separately and conveyed to the refining workshop. The corresponding raw materials shall be melted separately and shall not be mixed with the raw materials from other customers in the whole process flow. The finished gold and silver produced by such raw materials shall be numbered separately and stored separately with other finished gold and silver in the vault.
如果供應鏈中(zhōng)識别出零容忍的風險，公司必須立即終止現有的業務關系。
If a zero-tolerance risk is identified in the supply chain, the Company must immediately terminate the existing business relationship.
當實施加強型盡職調查後，識别出以下(xià)問題，公司應立即停止與交易方的合作關系，并及時彙報給LBMA：
Where the following problems are identified after the enhanced due diligence is carried out, the Company shall immediately stop the cooperative relationship with the trading party and report to LBMAwithout delay:
1. 洗錢
1. Money laundering
2. 恐怖主義融資(zī)
2. Terrorist financing
3. 嚴重侵犯人權
3. Serious violations of human rights
4. 直接或間接支持非國家武裝組織
4. Direct or indirect support for non-state armed groups.
5. 謊報礦物(wù)産地
5. Misrepresentation of mineral origin
當實施加強型盡職調查後，對以下(xià)問題有合理的懷疑，公司應立即暫停與交易方的合作關系，一(yī)旦在6個月内從供應商(shāng)初獲取對下(xià)述懷疑的反駁性證明和回應，即可由合規總監審批後恢複業務關系。
If there is reasonable doubt about the following problems after the implementation of the enhanceddue diligence, the cooperation with counterparty shall be temporarily suspended by the Company. After the refutation and response to the following suspicions are obtained from the suppliers within six months, business relationship can be resumed upon approval by the Compliance Director.
1. 洗錢
1. Money laundering
2. 恐怖主義融資(zī)
2. Terrorist financing
3. 嚴重侵犯人權
3. Serious violations of human rights
4. 直接或間接支持非國家武裝組織
4. Direct or indirect support for non-state armed groups.
5. 謊報礦物(wù)産地
5. Misrepresentationof mineral origin
6. 具有災難性的ESG影響
6. Catastrophic ESG effects
當實施加強型盡職調查的結果不令人滿意，或被認爲依然存在以下(xià)情況，但是供應商(shāng)已經做出合理和善意的努力，公司可以繼續與供應商(shāng)合作，并與供應商(shāng)一(yī)起繼續執行制定的改善計劃：
If the implement of due diligence result is not satisfactory, or if it is considered that the supplier has made reasonable efforts in good faith despite the following circumstances, the cooperation with suppliers can be kept by the Company, and the formulated improvement plan can be together executed:
1. 賄賂
1. Bribery
2. 非欺詐性誤報礦物(wù)産地
2. Non-fraudulent misreporting of mineral origin
3. 未支付應付政府的稅收、費(fèi)用和特許權使用費(fèi)
3. Failure to pay taxes, fees and royalties due to the government
4. 嚴重違反與環境、健康、安全、勞工(gōng)和社區有關的地方立法，及/或存在極有可能造成高度不利影響的 ESG 風險。
4. Serious violation of environmental, health, safety, labor and community-related local methods, which is highly likely to cause serious adverse effects.
對任何識别出的風險，公司将會與交易方和利益相關方進行溝通并制定相應的風險緩解計劃。風險緩解計劃實施後，相關的風控專員(yuán)就供應商(shāng)提供材料證據與反饋的過程進行記錄，對供應商(shāng)所提交的材料進行核實與審查，确保風險緩解進展與實施的有效性并記錄。
With respect to any identified risks, the Company will communicate with counterparties and stakeholders and formulate appropriate risk mitigation plans.After the implementation of the riskmitigation plan, the process of providingmaterial evidence and feedback by suppliers will be recorded by the relevant risk control specialist to verify and review the materials submitted by suppliers, with the guarantee and record of effectiveness of risk mitigation progress and implementation.
公司嚴格遵守LBMA負責任黃金、白(bái)銀指南(nán)，設計并實施策略來應對已識别的風險。2022年未發現零容忍和高風險供應鏈，不需要做風險緩解措施。
The Company has strictly complied with LBMA Responsible Gold and Silver Guidance and designed and implemented strategies to respond to identified risks. No zero-tolerance and high-risk supply chain is found in 2022 and no risk mitigation measures of supply chain are taken.
第四步 對精煉商(shāng)的盡職調查實踐開(kāi)展獨立的第三方審計
Step 4 Conduct an independent third-party audit of the refiner’s due diligence practice.
合規聲明與要求：
Compliance Statement with Requirement:
我(wǒ)(wǒ)公司已經充分(fēn)遵守第4步：安排供應鏈盡職調查的獨立第三方審計。
We have fully complied with Step 4: Arrange for an independent third-party audit.
公司嚴格遵守對精煉商(shāng)的盡職調查實踐開(kāi)展獨立的第三方審計的要求。自2020年開(kāi)始，公司已委托RCS Global進行LBMA相關負責任合規審計并依照審計要求提供相關數據及文件。
The Company has strictly complied with the requirements of Step 4 of the LBMA Responsible Gold and Silver Guidance “conduct an independent third-party audit of the refiner’s due diligence practice” and have appointed RCS Global to audit the supply chain due diligence system of the Company in since 2020.
公司每年聘請獨立的第三方審計機構（深圳和誠會計師事務所）對财務進行審計，并出具審計報告。
The company hire third party auditors(Shenzhen Hecheng Certified Public Accountant) to conduct financial audit and issue audit report every year.
第五步 供應鏈盡職調查年度報告
Step 5 Annual report on supply chain due diligence
合規聲明與要求：
Compliance Statement with Requirement:
我(wǒ)(wǒ)公司已經充分(fēn)遵守第5步：有關供應鏈盡職調查的報告。
We have fully complied with Step 5: Report on supply chain due diligence.
公司嚴格遵守供應鏈盡職調查年度合規報告的要求。
The Company has strictly complied with the requirements of Step 5 of the LBMA Responsible Gold and Silver Guidance “annual report on supply chain due diligence”.
公司每年對供應鏈盡職調查政策進行公示。
The Company publicizes the supply chain due diligence policy every year.
根據2022年的盡職調查結果，無供應商(shāng)需要進行風險緩解的管理策略。在2022年度無黃金、白(bái)銀供應鏈的評估結果爲未識别出零容忍的風險和高風險。供應鏈盡職管理合規報告将在公司官方網站進行公示:
https://zhlsy.com/zygg/info_17_itemid_91.html
According to the due diligence results in 2022, no supplier was required to implement a risk mitigation management strategy. In 2022, there were no suppliers whose gold and silver assessment results were zero-tolerance or high risk. The supply chain due diligence management compliance report will be published on the Company’s official website:
https://zhlsy.com/zygg/info_17_itemid_91.html
四、管理結論
IV. Management conclusion
綜上所述，在報告年度截至于2022年12月31日的财務年内，根據《倫敦金銀市場協會（LBMA）負責任黃金指南(nán)第9版》的要求，深圳市傲風實業有限公司實施了有效的管理制度、程序、流程和實踐。深圳市傲風實業有限公司緻力于不斷的改進提升，所有的糾正措施将在内部進行定期監測。
In conclusion, in the financial year ended December 31, 2022, Shenzhen Zhonghenglong Industrial Co., Ltd. has implemented effective management systems, procedures, processes and practices in accordance with the LBMA Responsible Gold and Silver Guidance. Shenzhen Zhonghenglong Industrial Co., Ltd. is committed to continuous improvement and all corrective measures will be regularly monitored internally.
五、其他報告批注
V. Other report comments
如果本報告用戶希望就本報告向深圳市傲風實業有限公司進行任何反饋，則可以通過郵箱478152938@qq.com聯系企業相關部門。
If users of this report wish to provide any feedback to Shenzhen Zhonghenglong Industrial Co., Ltd with respect to this report, feel free to contact related departments of the enterprise by E-mail 478152938@qq.com.
