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内蒙古乾坤金银精炼股份有限公司深圳分公司2022年年度审计黄金(白银)供应链合规报告
发表时间:2023 - 04 - 10 
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此报告是内蒙古乾坤金银精炼股份有限公司按照ISAE3000业务要求,精炼厂20221月1日至202212月31日内黄金(白银)供应链尽职调查情况进行的汇总。2021年内蒙古乾坤金银精炼股份有限公司完成迁址进行生产。此次审核为完成迁址后的第一次完整年度审核。本年度按照《伦敦金银市场协会(LBMA)可靠黄金(白银)指导原则》要求,内蒙古乾坤公司作为LBMA良好交割精炼企业,在遵守经合组织尽职调查、多德-弗兰克华尔街改革和消费者保护法案等相关法案要求内,建立并完善运行管理体系多年,建立系统完善的供应链尽职调查体系,在控制打击系统的侵犯人权行为,避免引发及助长冲突,遵守反洗钱标准要求,并打击恐怖主义的融资、可持续发展、等行为方面,完全符合LBMA的基本要求。

This report is a summary of the due diligence of the gold (silver) supply chain of the refinery from January 1, 2022 to December 31, 2022 by Inner Mongolia Qiankun Gold and Silver Refining Co., Ltd. in accordance with ISAE3000 business requirements. In 2021, Inner Mongolia Qiankun Gold and Silver Refining Co., Ltd. completed the relocation and production. This audit is the first full annual audit after the relocation. In accordance with the requirements of the London Gold and Silver Market Association (LBMA) Guidelines for Reliable Gold (Silver), Inner Mongolia Qiankun Company, as a LBMA good delivery and refining enterprise, has established and improved the operation management system for many years and established a systematic and complete supply chain due diligence system within the scope of compliance with the requirements of the OECD due diligence, the Dodd-Frank Wall Street Reform and Consumer Protection Act, the European Union Conflict Minerals Regulations and other relevant laws, It fully meets the basic requirements of LBMA in controlling and combating systematic human rights violations, avoiding and fuelling conflicts, complying with the requirements of anti-money laundering standards, and combating terrorist financing, sustainable development, etc.

内蒙古乾坤金银精炼股份有限公司(以下简称乾坤公司)是在1999年3月,经中国人民银行总行和内蒙古自治区分行同意,并由内蒙古自治区人民政府体改委批准,在原内蒙古贵金属冶炼厂、内蒙古金店的基础上,通过资产重组和全员入股的形式完成了公司股份制改革。

乾坤公司成立后,始终坚持管理创新、技术创新的经营理念,使公司的生产能力和技术水平长足发展。形成了具有年精炼提纯黄金150吨、白银300吨、加工金银饰品和民族工艺品8吨的能力。累计完成中国人民银行总行国库金银精炼任务黄金500余吨,白银1000余吨。在国内、国际黄金白银市场树立了“乾坤”品牌的良好形象,公司一度被列入内蒙古自治区重点培育和发展的二十家企业之一,“乾坤”品牌被自治区工商局评为著名商标,被自治区科技厅授予“自治区高新技术企业”等荣誉称号。

多年来,经过公司管理人员、技术人员及全体员工的共同努力,乾坤公司在生产和技术资质方面取得很好的成绩。公司自行研制的“乾坤”牌400盎司金锭和1000盎司银锭于1999年10月27日和2000年6月6日分别获得英国伦敦黄金市场协会优质交易锭资格,成为国际通用免检产品,成为国内率先通过国际金银双认证的精炼企业。2000年7月公司顺利通过了ISO9001质量管理体系认证,2002年6月又通过了ISO14001环境管理体系认证;2001年随着中国金银市场的改革,乾坤公司凭行业良好信誉和优质产品成为了上海黄金交易所批会员单位,并被指定为“上交所”批合格精炼厂;2000年1月公司实验室通过了国家实验室认可委员会的认可,公司化验室的化验报告在行业内具有高度权威性;2002年公司化验室研发的“光谱金银标样”被国家技术监督局定为一级标准物质,为公司开辟了生产金银标准业务的基础。

所有这些成绩的取得,也为公司贵金属行业内争得良好信誉,公司于2000年和2002年度被中国黄金协会评为“中国黄金行业之”,2004年“乾坤”品牌被世界品牌实验室,世界经济论坛和世界经理人联合会评为“2004年中国500强具价值品牌”,品牌价值达6.08亿元。同时,公司还是国家外经贸部批准拥有白银自营进出口经营权的企业,“乾坤”牌马头标识的银产品曾远销欧、美以及东南亚的日本、韩国、香港等国家和地区,成为呼和浩特市出口创汇的大户。

本公司的主要原材料来源分为从国内、国外获得的再生金和内蒙古本地矿山生产的矿产金。共有 37 家黄金供应商,8家白银供应商,均为国内低风险供应商。本公司对所有交易对手方都进行了尽职和供应链审查或相关情况的补充审查。

本报告概述了我公司如何遵守《伦敦金银市场协会(LBMA)可靠黄金(白银)指导原则》的要求,保持体系正常运转的汇总情况。

Inner Mongolia Qiankun Gold and Silver Refining Co., Ltd. (hereinafter referred to as Qiankun Company) completed the company's joint-stock reform in March 1999, with the consent of the People's Bank of China Head Office and Inner Mongolia Autonomous Region Branch, and with the approval of the Inner Mongolia Autonomous Region Government Reform Commission. Based on the original Inner Mongolia Precious Metal Smelter and Inner Mongolia Gujin Dian, it completed the company's joint-stock reform through asset restructuring and full employee shareholding.

After the establishment of Qiankun Company, it has always adhered to the business philosophy of management innovation and technological innovation, enabling the company's production capacity and technological level to develop significantly. Formed the ability to refine and purify 150 tons of gold, 300 tons of silver, and process 8 tons of gold and silver jewelry and ethnic handicrafts annually. We have completed the task of refining gold and silver from the treasury of the People's Bank of China, totaling over 500 tons of gold and over 1000 tons of silver. We have established a good image of the "Qiankun" brand in the domestic and international gold and silver markets. The company was once listed as one of the 20 key enterprises cultivated and developed in Inner Mongolia Autonomous Region. The "Qiankun" brand was recognized as a famous trademark by the Autonomous Region Administration for Industry and Commerce, and was awarded honorary titles such as "Autonomous Region High tech Enterprise" by the Autonomous Region Science and Technology Department.

Over the years, with the joint efforts of the company's management, technical personnel, and all employees, Qiankun Company has achieved good results in production and technical qualifications. The company's self-developed "Qiankun" brand 400 ounce gold ingots and 1000 ounce silver ingots were qualified for high-quality trading ingots by the London Gold Market Association on October 27, 1999 and June 6, 2000, respectively, becoming an international universal inspection free product and the first refining enterprise in China to pass the international gold and silver dual certification. In July 2000, the company successfully passed the ISO9001 quality management system certification, and in June 2002, it also passed the ISO14001 environmental management system certification; In 2001, with the reform of China's gold and silver market, Qiankun Company became a member of the Shanghai Gold Exchange with good reputation and high-quality products in the industry, and was designated as a qualified refinery of the "Shanghai Stock Exchange"; In January 2000, the company's laboratory was recognized by the National Laboratory Accreditation Committee, and the laboratory test reports of the company have high authority in the industry; In 2002, the "Spectral Gold and Silver Standard Sample" developed by the company's laboratory was designated as a first-class standard substance by the National Technical Supervision Bureau, laying the foundation for the company's production of gold and silver standard business.

 All these achievements have also earned the company a good reputation in the precious metal industry. In 2000 and 2002, the company was awarded the title of "One of China's Gold Industry" by the China Gold Association, and in 2004, the "Qiankun" brand was awarded the title of "2004 China's Top 500 Valuable Brands" by the World Brand Laboratory, the World Economic Forum, and the World Federation of Managers, with a brand value of 608 million yuan. At the same time, the company is also an enterprise approved by the Ministry of Foreign Trade and Economic Cooperation of the People's Republic of China to have the right to self operate import and export of silver. The silver products with the "Qiankun" brand logo have been exported to Europe, the United States, as well as countries and regions in Southeast Asia such as Japan, South Korea, and Hong Kong, becoming a major exporter of foreign exchange in Hohhot.

The main sources of raw materials for our company are recycled gold obtained from domestic and foreign sources, and mineral gold produced by local mines in Inner Mongolia. There are a total of 37 gold suppliers and 8 silver suppliers, all of which are domestic low-risk suppliers. Our company has conducted due diligence and supply chain reviews or supplementary reviews of relevant situations on all counterparties.

 

This report provides an overview of our company’s following requirements of the LBMA Responsible Gold (Silver) Guidance and keeping normal operation of the system.



1.精炼企业详细介绍:

Table 1. Detailed Introduction to the Refiner:


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2.证明合规而开展的活动汇总


Table 2. Summary of Activities Implemented for Proving Compliance



第一步:建立完善的公司管理体系

Step 1: Establish a sound company management system


1.采纳并致力实施黄金供应链尽职调查政策

1. Adoption and commitment to the implementation of the gold supply chain due diligence policy

公司根据本指南第九版的要求,修订了《供应链尽职调查管理办法》我公司于2022年发布了《黄金(白银)供应链尽职调查政策》(QKSF/LBMA/WJ-01),该政策符合经合组织《来自受冲突影响和高风险地区矿石负责人供应链尽职调查指南》附录Ⅱ中列出的模式一致,并扩展至解决精炼商原生金供应链中不利于ESG因素的黄金供应链政策包括但不限于人权、支持冲突、贿赂、洗钱、恐怖主义、环境污染防治及可持续发展、等方面。供应链尽职调查政策中规定了我们的政策、责任、流程,并开展以风险为基础的尽职调查,筛选和识别供应商并监督交易,确定了管理机构。

According to the requirements of the ninth edition of this guideline, the company has revised the "Supply Chain Due Diligence Management Measures". In 2022, our company issued the "Gold (Silver) Supply Chain Due Diligence Policy" (QKSF/LBMA/WJ-01), which is consistent with the model listed in Appendix II of the OECD "Supply Chain Due Diligence Guidelines for Ore Principals from Conflict Affected and High Risk Areas", And expand to address the gold supply chain policies that are not conducive to ESG factors in the primary gold supply chain of refiners. Including but not limited to human rights, conflict support, bribery, money laundering, terrorism, environmental pollution prevention and sustainable development, etc. Our supply chain due diligence policy specifies our policies, responsibilities, and processes, and conducts risk based due diligence to screen and identify suppliers and supervise transactions, and identifies management agencies.


2.建立管理架构以支持供应链尽职调查

2.Establish management structure to support supply chain due diligence

政策要求公司及其供应商严格遵守国家关于职工权利、环境保护、可持续发展、公平交易等各项法律法规,积极参与供应链尽职调查工作,按照公司供应链尽职调查政策,建立了内部管理制度,规定了各环节的职责和分工、内部审计要求、沟通机制等明确划分,并开展高级管理层评审。公司董事会定期对公司业务合规性进行审查,定期评估供应链尽职调查政策和流程的有效性,推进持续改进。成立了合规小组,确定了一名高级管理者担任合规总监,设立三名合规专员,分别为营销专员、库房专员和财务专员。因迁址原因合规小组现有人员与迁址审计有如下改变(原合规总监由包飞变更为吴振、原营销专员由邬浩楠变更为郝巴根、原财务专员由黄玲玲变更为熊婷婷,库房专员由宋丽变更为邬浩楠)变更后定期召开专题会议,定期组织相关部门人员进行培训。合规总监职位由公司深圳分公司总经理吴振担任,负责主持公司日常供应链尽 职调查工作,建立和完善供应链尽职调查管理体系,监督供应链尽职 调查流程,协调供应链尽职调查异常处理,审核合规报告。吴振先生曾担任其他黄金公司的合规总监,现任一家黄金公司的总经理。他在 财务管理、供应链管理、市场开发和黄金收购等方面具有丰富的经验。

各合规专员具体管理这一过程,并且直接向合规总监吴振和公司高管层进行汇报。对新增的供应商,在合同评审时,也要合规总监和高管参加专门审核客户的合规资质。我司严格遵守资金监管与合作方审核制度保证通过官方银行渠道进行业务性付款,每年与政府及相应合规企业进行合作与业务对接同时保留相关记录。2022年,公司严格执行《供应链尽职调查管理措施》,^按要求开展供应链尽职调查工作,调查所有供应商资质,监控所有交易,未与零容忍供应链和高风险供应链建立关系。此外,严格按照公司规定的批准流程,对所有原材料采购业务(作为合同附件)签订了供应商合同和供应商承诺书。所有的供应商都承诺,原材料的来源符合金银指导方针的要求。公司今年未因调查工作不佳或材料误报而出现任何评估和处罚问题。

 

The policy requires the company and its suppliers to strictly comply with various national laws and regulations on employee rights, environmental protection, sustainable development, fair trade, and actively participate in supply chain due diligence work. In accordance with the company's supply chain due diligence policy, an internal management system has been established, specifying the responsibilities and division of labor, internal audit requirements, communication mechanisms, and other clear divisions of each link, and conducting senior management reviews. The company's board of directors regularly reviews the compliance of the company's business, evaluates the effectiveness of supply chain due diligence policies and processes, and promotes continuous improvement. A compliance team was established, and a senior manager was appointed as the compliance director. Three compliance officers were established, namely the marketing officer, warehouse officer, and finance officer. Due to relocation reasons, the existing personnel of the compliance team and the relocation audit have undergone the following changes (the former compliance director has been changed from Bao Fei to Wu Zhen, the former marketing specialist has been changed from Wu Haonan to Hao Bagen, theformer financial specialist has been changed from Huang Lingling to Xiong Tingting, and the warehouse specialist has been changed from Song Li to Wu Haonan). After the change, regular special meetings have been held to organize training for relevant department personnel. The position of Compliance Director is held by Wu Zhen, the General Manager of the Shenzhen Branch of the company. He is responsible for overseeing the daily supply chain due diligence work of the company, establishing and improving the supply chain due diligence management system, supervising the supply chain due diligence process, coordinating the handling of supply chain due diligence anomalies, and reviewing compliance reports. Mr. Wu Zhen has served as the Compliance Director of other gold companies and is currently the General Manager of a gold company. He has extensive experience in financial management, supply chain management, market development, and gold acquisition.

 Each compliance specialist specifically manages this process and reports directly to the compliance director, Wu Zhen, and the company's senior management. For newly added suppliers, the compliance director and senior management should also participate in the specialized review of customer compliance qualifications during contract review. Our company strictly adheres to the fund supervision and partner review system to ensure that business payments are made through official banking channels. We cooperate and connect with the government and corresponding compliant enterprises every year while retaining relevant records. In 2022, the company strictly implemented the "Supply Chain Due Diligence Management Measures", conducted supply chain due diligence work as required, investigated all supplier qualifications, monitored all transactions, and did not establish relationships with zero tolerance supply chains and high-risk supply chains. In addition, in strict accordance with the approval process stipulated by the company, supplier contracts and supplier commitment letters have been signed for all raw material procurement businesses (as contract attachments). All suppliers promise that the source of raw materials meets the requirements of the gold and silver guidelines. The company has not encountered any evaluation or punishment issues due to poor investigation work or material misstatement this year.


3.建立黄金可追溯性系统

3. Establish gold traceability system

公司建有完善的金银原料接收处理程序,在处理每批次金银原料之前,必须按照《黄金(白银)供应链尽职调查政策》(QKSF/LBMA/WJ-01)和《黄金(白银)交易过程风险控制流程》(QKSF/LBMA/WJ-02)进行。合规专员对每批次金银原料供应商均按照KYC 调查问卷中包含的供应链尽职调查管理系统,在签署合同前对供应链进行了调查。供应商在询价完成时签署供应商承诺书作为合同附件,保证原材料是合法的、符合并满足负责的金(银)指南的要求

尽职调查和结果审查,由分管副总经理批准。公司对每一批次合规原料都予以记录,并附以唯一的编号,该编号从原料进厂到生产过程和出厂一直保持不变,以便追溯。公司会完整保留黄金(白银)原料客户档案及相关过程记录(此记录保存5年以上)。

The company has a comprehensive process for receiving and processing gold and silver raw materials. Before processing each batch of gold and silver raw materials, it must follow the "Gold (Silver) Supply Chain Due Diligence Policy" (QKSF/LBMA/WJ-01) and "Gold (Silver) Trading Process Risk Control Process" (QKSF/LBMA/WJ-02). The compliance officer conducted a supply chain due diligence management system investigation on each batch of gold and silver raw material suppliers in accordance with the KYC survey questionnaire before signing the contract. The supplier signs a supplier commitment letter as an attachment to the contract upon completion of the inquiry, ensuring that the raw materials are legal, comply with, and meet the requirements of the responsible gold (silver) guidelines


Due diligence and result review shall be approved by the Deputy General Manager in charge. The company records each batch of compliant raw materials and attaches a unique number, which remains unchanged from the time the raw materials enter the factory to the production process and factory for easy traceability. The company will maintain a complete customer record of gold (silver) raw materials and relevant process records (this record will be kept for more than 5 years).


4.加强公司与黄金供应对手方的联系

4. Strengthen the contact between the company and the gold supply counterparty

公司建立有完整的黄金(白银)供应商沟通机制,与供应商签订了书面形式的承诺书,并尽力协助黄金白银供应商建立他们的尽职调查体系。对于每批次业务、每个供应商(包括交易代理客户)均提前向其告知我公司的供应链尽职调查政策,并进行尽职调查。对于不符合尽职调查政策的业务,公司不与其签订合同。要求供应商既要符合上海黄金交易所的条件,也符合LBMA规则要求。对于业务量较大的供应商,要有公司高管参加的专门会议审核其合规性。除完善自身机制还应尽力协助黄金供应交易对方或潜在客户改进其负责任供应链实践,鼓励生产商将对生物多样性的不利影响减至最低限度,并尽可能保护自然栖息地。应协助手工或小规模采矿这在安全和环保的前提下少使用或不使用汞。应倡导实施相关倡议。


The Company has established an intact communication mechanism for gold (silver) suppliers, concluded the letter of commitment in written form and endeavored to assist the gold and silver suppliers to establish their due diligence system. As for the business of each batch, each supplier (including the transaction agent client) would be informed our company’s supply chain due diligence policy in advance. As for the business that does not conform to the due diligence policy, the Company would not conclude a contract with it. The suppliers were required to not only conform to the conditions of Shanghai Gold Exchange but also the LBMA rules requirements. As for the suppliers of large business volume, a special

meeting attended by the senior management of the Company to review its compliance was required.In addition to improving their own mechanisms, they should also try their best to assist gold supply counterparties or potential customers to improve their responsible supply chain practices, encourage producers to minimize adverse impacts on biodiversity and protect natural habitats as much as possible. Manual or small-scale mining should be assisted, which uses less or no mercury in the context of safety and environmental protection. Relevant initiatives should be advocated.

在公司建立管理体系期间,先后进行了十二次关于黄金白银供应链尽职调查体系的专项培训,培训人员包括分公司高管人员、业务人员、财务人员、检测人员、生产加工车间人员及各合规专员,对公司的供应链尽职调查政策和流程进行了详解。针对第版准则,对环境保护和可持续发展、原料来源追踪等方面进行了强调和重点关注。

During the establishment of the company's management system, 12 special trainings on the due diligence system of the gold and silver supply chain have been carried out successively. The trainers include the branch's senior management, business personnel, financial personnel, testing personnel, production and processing workshop personnel and various compliance specialists, who have explained the company's supply chain due diligence policies and procedures in detail. For the ninth edition of the guidelines, environmental protection and sustainable development, raw material source tracking and other aspects were emphasized and focused on.


5.建立保密申诉机制

5. Establishment of anonymous complaint & reporting mechanism

公司建立完善的信息沟通机制《黄金(白银)供应链风险信息沟通控制程序》(QKSF/LBMA/WJ-03),允许员工和外部利益相关者对供应链的风险识别、环境问题和可持续发展问题匿名表达不同意见,并设有专门的举报箱和举报电话0755-25600550,所有人员都可以通过电话或网站留言就公司的供应链问题进行沟通,由专人负责管理,合规专员进行审查。必要时可直接上报合规总监或企业高管层。2022年度我公司没有相应原料与业务的投诉与申诉发生。

The Company established a perfect information communication mechanism of the Gold (Silver) Supply Chain Risk Information Communication Control Procedures (QKSF/LBMA/WJ-03), which allows the employees and external interested parties to express different suggestions concerning the risk identification, environmental problems and sustainable development problems anonymously. Besides, special report boxes and report phone of 0755-25600550 were set. All personnel could communicate the supply chain problems of the Company through phone or website message, of which specially-assigned person was responsible for the management and the Compliance Officers carried out audits. As necessary, it was acceptable to report to the superior Compliance Director or the senior management of the enterprise directly.In 2022, our company had no complaints or grievances about corresponding raw materials and business.


第二步:对供应链中的风险进行识别与评估

Step 2: Identify and evaluate risks in the supply chain


1.开展供应链尽职调查,识别和评估潜在风险。

1. Conduct supply chain due diligence to identify and assess potential risks.

根据经合组织《冲突影响和高风险地区矿产供应链尽职调查指南》附件二,黄金冶炼公司密切关注不遵守环境和可持续发展法律要求、侵犯人权、武装冲突、非法开采、汞开采和利用,以及洗钱、恐怖主义融资的外汇贿赂等领域。公司建立供应商文件,每个供应商文件填写 KYC 问卷,在与其签订合同前完成供应商文件的建立,并对其进行风险评级。

在合作前,本公司对所有供应商进行了供应链尽职调查,包括位置、供应链、原材料类型三个维度。本公司填写了 KYC 调查问卷,并要求合作伙伴在进行合作前提供符合供应链尽职调查管理体系要求的相关资格证书。公司提供了供应商、股东信息、原材料类型及来源、贵金属类型等基本信息、结算方式等调查信息,并将供应链调查尽可能扩展到供应商的上游。他们拒绝与涉及零容忍供应链和高风险供应链的供应商进行合作。

在合作过程中,通过不断跟踪和调查供应商信息,了解和评估供应商业务活动的动态。公司充分利用网络,通过天眼查、中国审判信息网、等网站查询供应商资质、违反信任、诉讼、处罚等信息。

上述调查和评估都由合规团队的成员参加,他们对各自职责领域的供应商进行了评估。合规总监总结并报告给董事会进行全面审查。审查结果已由合规总监报告给合规委员会

According to Annex 2 of the OECD's Due Diligence Guidelines for Mineral Supply Chains in Conflict Affected and High Risk Areas, gold smelting companies closely monitor areas such as non-compliance with environmental and sustainable development legal requirements, human rights violations, armed conflicts, illegal mining, mercury mining and utilization, as well as foreign exchange bribery in money laundering and terrorist financing. The company establishes supplier documents, fills out KYC questionnaires for each supplier document, completes the establishment of supplier documents before signing contracts with them, and conducts risk ratings on them.

 

Before cooperation, our company conducted supply chain due diligence on all suppliers, including three dimensions: location, supply chain, and raw material type. Our company has filled out the KYC survey questionnaire and requested partners to provide relevant qualification certificates that meet the requirements of the supply chain due diligence management system before engaging in cooperation. The company provides basic information such as suppliers, shareholder information, raw material types and sources, precious metal types, and settlement methods, and extends supply chain investigations to the upstream of suppliers as much as possible. They refuse to cooperate with suppliers involved in zerotolerance supply chains and high-risk supply chains.

 

During the cooperation process, by continuously tracking and investigating supplier information, understand and evaluate the dynamics of supplier business activities. The company fully utilizes the internet to search for supplier qualifications, trust violations, litigation, penalties, and other information through websites such as Tianyancha and China Judicial Information Network.

 

The above investigations and evaluations were conducted by members of the compliance team, who evaluated suppliers in their respective areas of responsibility. The Compliance Director summarizes and reports to the Board of Directors for comprehensive review. The review results have been reported by the Compliance Director to the Compliance Committee.


2.识别零容忍供应链和高风险供应链

2.Identify zero tolerance supply chains and high-risk supply chains

根据第九版的负责黄金(银)指南和尽职调查指南负责矿产供应链来自冲突影响和高风险地区,公司制定了零容忍供应链和高风险供应链的评估标准,扩展到供应链中的不利 ESG 因素。风险评估规则包括三个维度:位置、供应链和材料类型。

关于位置风险,请参考中国政府批准的国际制裁清单、多德弗兰克法案第 1502 条、欧盟 CAHRA 清单、海德堡晴雨表、脆弱国家指数或 类似指标、联合国高级专员办事处人权办公室或同等机构的报告、金融行动工作组(FATF)(包括相关国家/地区高风险黄金中心/转运中心和洗钱风险高国家/地区的可靠市场

情报。供应链风险可以通过工具包中的 KYC 问卷来识别。原材料分为大规模开采、手工开采和小规模开采、原材料类型风险回收金银,并根据各类型的风险识别要求进行识别。

根据供应链尽职调查管理体系中规定的零公差供应链评价标准,进行了供应商识别。2022年,公司购买的原材料并非来自世界遗产地区或保护区,不来自违反国际制裁的国家(经中国政府认可),没有供应对手、其他已知上游公司或其最终受益者是已知的洗钱者。没有直接或间接支持非法活动以及欺诈性歪曲矿物来源的非国家武装组织,就没有欺诈性或恐怖主义分子涉嫌严重侵犯人权的个人。  

综上所述,2022 年没有发现零容忍供应链和高风险供应链,所有采购都是有序、合规的。

According to the ninth edition of the Responsible Gold (Silver) Guidelines and Due Diligence Guidelines, the company has developed evaluation criteria for zero tolerance supply chains and high-risk supply chains, which extend to adverse ESG factors in the supply chain. The risk assessment rules include three dimensions: location, supply chain, and material type.

 

Regarding location risk, please refer to the international sanctions list approved by the Chinese government, Article 1502 of the Dodd FrankAct, the EU CAHRA list, the Heidelberg Barometer, the Vulnerable Countries Index or similar indicators, reports from the Office of the United Nations High Commissioner for Human Rights or equivalent institutions, the Financial Action Task Force (FATF) (including reliable markets for high-risk gold centers/transit centers in relevant countries/regions and countries/regions with high money laundering risk)

 

cutting-edge news Supply chain risks can be identified through the KYC questionnaire in the toolkit. Raw materials are divided into large-scale mining, manual mining, and small-scale mining, and the risk recovery of gold and silver is based on the risk identification requirements of each type of raw material.

 

According to the zero tolerance supply chain evaluation criteria specified in the supply chain due diligence management system, supplier identification was conducted. In 2022, the raw materials purchased by the company did not come from World Heritage sites or protected areas, did not come from countries that violate international sanctions (recognized by the Chinese government), did not supply competitors, other known upstream companies, or their ultimate beneficiaries were known money launderers. Without non State armed organizations that directly or indirectly support illegal activities and fraudulently distort mineral sources, there are no individuals suspected of committing serious human rights violations by fraudulent or terrorist elements.

 

In summary, zero tolerance supply chains and high-risk supply chains were not discovered in 2022, and all procurement was orderly and compliant.

 

3.对高风险供应链采取加强型尽职调查措施

3. Take enhanced due diligence measures for high-risk supply chain

我公司按照《黄金(白银)供应链尽职调查政策》和《黄金(白银)供应商风险辨别及评估程序》对所有与公司签订合同的供应商进行评估。

Our company evaluated all suppliers that have signed contracts with us in accordance with Gold (Silver) Supply Chain Due Diligence Policy and Gold (Silver) Supply Chain Risk Identification and Evaluation Procedures.

如果存在上述风险,我公司将该供应商标注为高风险供应商,且不与之签订合同。如果怀疑供应商有发生上述行为的可能性,先定为暂缓合作,待补充相关材料,直到消除风险后,定位低风险供应商,方可签订合同,同时加强随时的监督。

In case of above risks, our company would regard them as high-risk suppliers and would not sign a contract with them. In case of any suspicion concerning the supplier for the possibility of the above-mentioned illegality, the cooperation would be suspended and relevant materials would be added. The contract would not be signed before that the risk was eliminated and the supplier was positioned as a low-risk supplier. Meanwhile, supervision at any time would be strengthened.

在对几家供应商评估中,对每批次的进货记录、化验单、运输凭证等均要保留,并按客户档案做好登记,并通过财务合规专员控制资金往来。

It is required to keep the purchase records, laboratory inspections, transportation vouchers, etc. of each batch, complete registration according to the customer file, and control the capital transaction by the Financial Compliance Officer.

合规专员在与供应商签订合同时,都会向合规总监和公司高管层报告相关情况,避免可能存在的风险。公司合规总监和公司高管层对供应商的最终结果具有决定权。

The Compliance Officer will report the relevant information to the Compliance Director and the Company’s senior management when signing a contract with a supplier to avoid possible risks. The Company’s Compliance Director and the Company’s senior management are entitled to decide on the supplier’s final results.


4、交易监测

4、Transaction monitoring

我司已于交易关系建立之前,针对该供应商的风险执行供应商尽职调查。如发现高风险定义中的风险事件,当即被列为高风险客户,且不会建立任何业务关系。如无相关风险事项才会建立正常合作关系。

We have conducted supplier due diligence on the risks of the supplier before the transaction relationship is established. If a risk event in the definition of high risk is found, it will be listed as a high-risk customer immediately and no business relationship will be established. If there are no relevant risk matters, a normal cooperative relationship will be established.

交易过程中会对风险进行实时监控与评估,我方根据交易类型、交易时间、交易区域收集供应商信息。如果正常合作期间设计洗钱、恐怖主义融资、战争等高风险领域与人权侵犯等事宜,我方将立即终止此业务关系。

The risk will be monitored and evaluated in real time during the transaction. We collect supplier information according to the transaction type, transaction time and transaction area. If we design money laundering, terrorist financing, war and other high-risk areas and human rights violations during normal cooperation, we will immediately terminate this business relationship.

2022年我司黄金、白银原料全部来源于上海黄金交易所、国内矿山、国内其他精炼企业及其香港机构。通过公司内部管控对检测报告、货运单据、发票等信息进行核对、合规专员负责对以上信息进行检查与交易监控。以上交易全部采用银行渠道进行收付款,同时根据资金监管要求对超过 10000 美元的交易,精炼厂必须通过官方银行渠道支付和接收黄金价款进行核实与查验。我方交易没有任何现金交易。

In 2022, all of our gold and silver raw materials come from the ShanghaiGold Exchange, domestic mines, other domestic refining enterprises, and Hong Kong institutions. Verify inspection reports, shipping documents, invoices, and other information through internal control of the company, and the compliance specialist is responsible for inspecting and monitoring the above information. All the above transactions are collected and paid through the bank channel. At the same time, according to the capital supervision requirements, for transactions over 10000 dollars, the refinery must verify and check the gold price paid and received through the official bank channel. Our transaction does not involve any cash transactions.


5向指定高级管理层报告高风险并评估

5.  Report of high risks and evaluations towards designated senior management

公司建立了高风险评估和报告机制,遇到黄金白银供应链存在高风险情况,立即向合规总监包飞和高级管理层汇报,并组织专门会议审核讨论。

The Company has established a high-risk assessment and reporting mechanism. As a result, it is required to immediately report to the Compliance Director Bao Fei as well as senior management, and organize a special conference for review and discussion in case of high-risk in the gold and silver supply chain.

2022.1.1-2022.12.31期间我公司没有发现高风险供应链。

During the period from January 1, 2022 to December 31, 2022, our company did not identify high-risk supply chains.



第三步:设计和实施管理策略,以应对识别的风险

Step 3: Design and implement management strategies to address identified risks


1.参与风险管理策略来识别风险:公司严格按照《黄金(白银)供应链风险辨别及评估程序》(QKSF/LBMA/WJ-06)对每个供应商进行风险识别评估与控制,如果黄金供应链尽职调查得出结论是可能存在洗钱、严重侵犯人权或支持恐怖主义地区或团体的原料,公司会拒绝来自该产地的来料,根据进一步识别与评估情况,确定是继续交易还是暂缓交易,防止高风险的发生。在整个风险管理实施过程中,按公司相关标准,判断是否保持、暂时中止或中断与供应商的合作,并随时向合规总监和公司高管层汇报。

1、Participate in risk management strategies to identify risks: The company strictly follows the "Gold (Silver) Supply Chain Risk Identification and Assessment Procedure" (QKSF/LBMA/WJ-06) to conduct risk identification, assessment, and control for each supplier. If the due diligence of the gold supply chain concludes that there may be money laundering, serious human rights violations, or support for terrorist areas or groups of raw materials, the company will refuse incoming materials from that origin, Based on further identification and evaluation of the situation, determine whether to continue trading or suspend trading to prevent high-risk occurrences. Throughout the entire risk management implementation process, determine whether to maintain, temporarily suspend or interrupt cooperation with suppliers according to the company's relevant standards, and report to the Compliance Director and the company's senior management at any time.


2.风险管理策略:公司依据《黄金(白银)供应链风险减缓策(QKSF/LBMA/WJ-04),旨在诚意努力地与供应商对供应链进行改进。公司对每一个供应商根据评估表内容进行风险识别和评估,对于可能存在的高风险供应链进行暂停交易,要求并协助对方进行为期六个月的整改来消除风险因素,经验证供应商做出合理和诚意的努力并采取的措施有效时,可继续接受该供应商提供的黄金白银,但是仍要加强监控频次,在整改期内进行评估,并将结果报告给公司管理层;如果在六个月内无法监测到其改进,则应中止与供应商的合作。在本报告期内,我公司的供应链不存在强迫劳动、侵犯人权、使用童工、民族歧视、支持黑社会组织、洗钱和贿赂等违法行为。所有供应商收集的相关信息与资料齐全,均为低风险。新增供应商有更加严格的审核措施,保证体系应对所有风险。公司建立了风险评估和报告制度每月向合规总监报告本部门的尽职调查工作。当在供应链中发现来自高风险地区的连锁调查被评估为高风险供应链时,该交易被停止并报合规总监批准,然后上报董事会及相关政府部门。2022年,公司对所有供应商进行了风险评估,合规总监总结了评估结果,并向董事会提交了报告。在审查后,该报告被提交给合规委员会批准

 

2. The company follows the "Risk Mitigation Policy for Gold (Silver) Supply Chain" (QKSF/LBMA/WJ-04) The aim is to make sincere efforts to improve the supply chain with suppliers. The company conducts risk identification and evaluation for each supplier based on the evaluation form. For potential high-risk supply chains, the company suspends transactions and requests and assists the other party in conducting a six-month rectification to eliminate risk factors. After verification, if the supplier makes reasonable and sincere efforts and takes effective measures, they can continue to accept the gold and silver provided by the supplier, but monitoring frequency should still be strengthened, Evaluate during the rectification period and report the results to the company management; If the improvement cannot be monitored within six months, cooperation with the supplier should be suspended. During this reporting period, our company's supply chain did not engage in illegal activities such as forced labor, human rights violations, use of child labor, ethnic discrimination, support for triad organizations, money laundering, and bribery. All relevant information and materials collected by suppliers are complete and low risk. New suppliers have stricter audit measures to ensure that the system responds to all risks. The company has established a risk assessment and reporting system to report the due diligence work of its department to the Compliance Director on a monthly basis. When a chain investigation from high-risk areas is found in the supply chain and assessed as high-risk, the transaction is stopped and reported to the compliance director for approval, then reported to the board of directors and relevant government departments. In 2022, the company conducted a risk assessment of all suppliers, and the compliance director summarized the assessment results and submitted a report to the board of directors. After review, the report is submitted for approval by the Compliance Committee.


第四步:安排供应链尽职调查的独立第三方审计

Step 4:Arrange for an independent third-party audit of the supply chain due diligence

2023年3月8日委托了必维国际检验集团进行2022年度独立的第三方审计。

On March 8, 2023, Bureau Veritas International Inspection Group was commissioned to conduct an independent third-party audit for the year 2022.


第五步:有关供应链尽职调查的报告

Step 5: Report related to supply chain due diligence

1.我公司的黄金(白银)供应链政策中已规定了精炼企业的系统、程序、流程和控制措施,及如何去符合《伦敦金银市场协会(LBMA)可靠黄金(白银)指导原则》的具体要求。更多信息与具体细节,可在我公司的网站查阅(qk9999.com)。

1. Our company's gold (silver) supply chain policy has specified the systems, procedures, processes and control measures of refining enterprises, and how to comply with the specific requirements of the LBMA Guidelines for Reliable Gold (Silver). For more information and details, please refer to our website (qk9999. com)

2.我公司于202212月31日对黄金(白银)供应链尽职调查体系进行了评审,对工作中不符合政策的内容进行了及时的纠正和整改。按照计划,对内深分所有高管人员及相关业务人员对供应链尽职调查体系进行了内部培训。

2. Our company reviewed the due diligence system of the gold (silver) supply chain on December 31, 2022, and promptly corrected and rectified the contents that did not comply with the policy. According to the plan, all senior executives and relevant business personnel of Shenzhen Branch have been internally trained on the supply chain due diligence system.


3.管理结论

Table 3: Management conclusion:

综上所述,本报告年度截止于202212月31日,根据《伦敦金银市场协会(LBMA)可靠黄金(白银)指导原则》的要求,内蒙古乾坤金银精炼股份有限公司深圳分公司实施了有效的管理制度、程序、流程和操作。建立了完整的尽职调查和风险防控系统,能够达到LBMA的相关要求。

In conclusion, with the report year ended on December 31, 2022, Shenzhen Branch of Inner Mongolia Qiankun Gold & Silver Refinery Share Co., Ltd. has implemented effective management systems, procedures, processes and operations in accordance with the LBMA Responsible Gold (Silver) Guidance. The Company has established a complete due diligence and risk prevention system, which can meet the relevant requirements of LBMA.

内蒙古乾坤金银精炼股份有限公司及其深圳分公司致力于不断的改进与提升,更有效的将可靠性黄金供应链流程与现有的供应链管理结合起来。所有的纠正预防措施将在内部进行定期监测。

Inner Mongolia Qiankun gold and silver refining Co., Ltd. and its Shenzhen Branch are committed to continuous improvement and upgrading, and more effectively combine the reliable gold supply chain process with the existing supply chain management. All corrective and preventive measures will be regularly monitored internally.


4.其它报告评注

Table 4: Other report comments

如果相关方对内蒙古乾坤金银精炼股份有限公司深圳分公司“合规报告”有疑义及反馈,可通过电子邮件714151083@qq.COM联系我们。

If the relevant parties have any doubts and feedback on the “Compliance Report” of Shenzhen Branch of Inner Mongolia Qiankun Gold & Silver Refinery Share Co., Ltd., they can contact us by E-mail 714151083@qq.com.



 内蒙古乾坤金银精炼股份有限公司深圳分公司

Shenzhen Branch of Inner Mongolia Qiankun Gold & Silver Refinery Share Co., Ltd.

                                        202337

                                       March 7, 2023