ShenzhenYuexinPreciousMetalsCo.,Ltd.
2022年度
供应链尽职管理合规报告
SupplyChainDueDiligenceManagementComplianceReportforYear2022
2023年1月5日
January5,2023
公司名称：深圳市粤鑫贵金属精炼有限公司
Companyname:ShenzhenYuexinPreciousMetalsCo.,Ltd.
位置：深圳市龙岗区坪地街道六联社区红岭工业园9号D栋101
Location:101,BuildingD,No.9,HonglingIndustrialZone,LiulianCommunity,PingdiSub-district,LonggangDistrict,ShenzhenCity
年终报告：2022年度LBMA供应链尽职管理合规报告
Year-endreport:2022LBMASupplyChainDueDiligenceComplianceReport
报告日期：2023年1月5日
Reportdate:January5,2023
报告负责人：王镇城
Personinchargeofreport:WangZhencheng
报告人职务：合规风控总监150018161@qq.com
Positionofthepersoninchargeofreport:ComplianceRiskControlDirector150018161@qq.com
一、公司概况
I.Companyprofile
深圳市粤鑫贵金属有限公司，成立于2011年10月，公司位于深圳市龙岗区坪地六联石碧村红岭工业区九号D栋，并在深圳水贝珠宝街设有展厅，是一家集金银铂钯等贵金属收购、精炼、加工、检测、销售、交易及回购等于一体的专业现代化贵金属深加工企业。公司于2016年11月成为上海黄金交易所综合类会员，是上海黄金交易所可提供标准金锭企业。精炼厂区面积5000平方米，拥有提纯黄金200吨/年、铂金20吨/年、钯金20吨/年、白银200吨/年等多条贵金属精炼生产线，主要生产高品质的黄金、白银、铂金及钯金等产品。公司经过多年的专注经营和自主技术创新研发，黄金产品纯度已能达到99.9999，成为业内的排头兵。
公司坚持以技术创新为核心经营理念，引进及研发自动化生产装备助务行业务高速发展，建立品牌信誉，以上金所规定的原料标准为产品标准，以全新自动化生产线高效率地加工高质量的产品。公司于2017年7月分别通过了ISO9001：2015质量体系认证，ISO14001:2015环境管理体系认证和OHSAS18001职业健康安全管理体系认证。
Adheringtothecorebusinessphilosophyoftechnologicalinnovation,theCompanyhasintroducedandresearchedanddevelopedautomatedproductionequipmenttoassisttherapiddevelopmentofindustrybusiness,establishingabrandreputationwiththerawmaterialstandardspecifiedbyShanghaiGoldExchangeastheproductstandardandefficientlyprocessinghigh-qualityproductswithanewautomatedproductionline.InJuly2017,theCompanypassedtheISO9001:2015qualitysystemcertification,ISO14001:2015environmentalmanagementsystemcertificationandOHSAS18001occupationalhealthandsafetymanagementsystemcertification.
十余年来，粤鑫公司本着“以诚为本，信誉优先”的理念，坚持诚信经营，以稳定可靠的产品质量和高于国家标准的品质要求，在黄金行业特别是深圳黄金产业圈得到了广泛认可，“粤鑫金”牌金锭业务几乎是“家喻户晓”，粤鑫公司还是广东省黄金协会副会长单位、中国黄金协会理事单位、中国黄金行业统计样本单位以及中国足金首饰回收五大重点精炼企业。
Formorethanadecade,Thecompanyundertheconceptsof“honestyfirst,reputationfirst”andintegritymanagementhasbeenwidelyrecognizedinthegoldindustry,especiallyintheShenzhengoldindustrycircle,byaccountofstableandreliableproductqualityandqualityrequirementshigherthannationalstandards.Thegoldingotbusinessof“YuexinGold”brandisalmosta“householdname”.YuexinCompanyisalsotheVice-PresidentUnitofGoldAssociationofGuangdongProvince,theDirectorUnitofChinaGoldAssociation,theStatisticalSampleUnitofChina’sGoldIndustryandoneofthefivekeyrefiningenterprisesofChina’sgoldjewelryrecycling.
展望未来，粤鑫公司将充分发挥自身贵金属精炼发展方面具有独特的优势，打造全新的精炼产业链，依法合规开展各项经营业务，为深圳地区乃至全国贵金属产业发展贡献应有的力量。
ThecompanywillgivefullplaytoitsuniqueadvantagesinthedevelopmentofpreciousmetalrefiningandcontributeitsduestrengthtothedevelopmentofthepreciousmetalindustryinShenzhenandeventhewholecountryinthefuturebycreatinganewrefiningindustrychainandcarryingoutvariousbusinessoperationsinaccordancewithlawsandregulations.
二、供应商情况概述
II.Overviewofsuppliers
TheCompany’sgoldandsilverrawmaterialsmainlycomefromcrudegoldandsilvermainlyfromoldjewelryrecycledfromsociety.
三、合规情况概述
III.Overviewofcompliance
TheCompanyconductsaduediligencesupplychaininvestigationonallsuppliersandrequiresthatthesourcesofrawmaterialsprovidedbyallsuppliersarelegalandcompliant.
第一步建立强大的公司管理体系
Step1Establishstrongcompanymanagementsystems
ComplianceStatementwithRequirement:
我公司已经充分遵守第1步骤：建立强大的公司管理体系。
WehavefullycompliedwithStep1:Establishstrongcompanymanagementsystems.
公司严格遵守LBMA黄金、白银责任指南第一步“建立强大的公司管理体系”的要求，已经建立了强大的管理体系，确保供应链尽职调查工作全面落地。
TheCompanyhasstrictlycompliedwiththerequirementsofStep1oftheLBMAResponsibleGoldandSilverGuidance“establishstrongcompanymanagementsystems”andhasestablishedstrongmanagementsystemstoensurethatthesupplychainduediligenceworkisfullyimplemented.
1.政策方面
1.Policy
公司通过并出台了一项供应链尽职调查政策，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任供应链尽职调查指南》并扩展至环境和可持续性责任，该政策在企业内外部公布于官网链接：
TheCompanyapprovedandissuedasupplychainduediligencepolicy,whichcomplieswiththeOECDDueDiligenceGuidanceforResponsibleSupplyChainsofMineralsfromConflict-AffectedandHigh-RiskAreasandisextendedtoenvironmentalandsustainabilityresponsibilities.ThispolicyispublishedontheofficialwebsitelinkinsideandoutsidetheCompany:
ItisrequiredbythispolicythattheCompanyanditssuppliersstrictlyabidebythenationallawsandregulationsonemployeerights,environmentalprotection,fairtrade,etc.andactivelyparticipateinthesupplychainduediligencetoensurethatthesourcesofgoldandsilverinmineralsandrenewablegoldandsilvermeettheLBMAduediligencemanagementrequirementsandmakecommitmentstorefusegoldandsilverfromhigh-riskareasinvolvinghumanrightsviolations,conflictareas,bribery,moneylaundering,terroristfinancing,illegalmining,worldheritagesitesandmercurymining.
2.管理架构
2.Managementstructure
公司已经建立了内部管理制度，按照出台的政策对管理、作用和职责、内部审计、沟通进行界定、并开展尽职调查体系的管理评审。
TheCompanyhasestablishedaninternalmanagementsystemtodefinemanagement,rolesandresponsibilities,internalauditandcommunicationaccordingtotheissuedpolicyandcarryoutmanagementreviewoftheduediligencesystem.
公司已于2022年11月10日进行了管理评审，并将管理评审结果汇报给了合规总监。
TheCompanycarriedoutamanagementreviewonNovember10,2022andreportedthemanagementreviewresultstotheComplianceDirector.
2.1规章制度方面
2.1Rulesandregulations
公司根据《LBMA负责任的黄金（白银）指南》制订了《供应链尽职管理办法》《供应链尽职管理政策》，主要明确供应链尽职调查组织架构、职责、高风险地区定义，制定高风险供应链评估标准、调查处理程序、交易监控、文件保存等内容。上述制度通过合规风控总监、董事长、董事会审批后以红头文件的形式下发，作为文控处理。
AccordingtotheLBMAResponsibleGold(Silver)Guidance,theCompanyhasformulatedtheSupplyChainDueDiligenceManagementMeasuresandtheSupplyChainDueDiligenceManagementPolicies,whichmainlydefinetheorganizationalstructure,responsibilitiesanddefinitionofhigh-riskareasofsupplychainduediligence,andformulatehigh-risksupplychainassessmentstandards,investigationandprocessingprocedures,transactionmonitoring,documentsaving,etc.AfterbeingapprovedbytheComplianceRiskControlDirector,theChairmanandtheBoardofDirectors,theabovesystemsareissuedintheformofred-headeddocumentsasdocumentcontrol.
2.2职责与权限
2.2Responsibilitiesandauthorities
公司设置合规风控总监、合规风控专员、合规专员。
heCompanysetsuptheComplianceRiskControlDirector,ComplianceRiskControlOfficersandComplianceOfficers.
合规风控总监由公司副总经理负责公司供应链尽职调查工作，建立健全供应链尽职调查管理体系，监督供应链尽职调查流程，协调处理供应链尽职调查中的异常情况，审批合规报告。
TheDeputyGeneralManageroftheCompanytakesthepostoftheComplianceRiskControlDirectortoberesponsiblefortheCompany’ssupplychainduediligence,theestablishmentandimprovementofthesupplychainduediligencemanagementsystem,thesupervisionofthesupplychainduediligenceprocess,thecoordinationofthehandlingofexceptionsinthesupplychainduediligenceandtheapprovalofthecompliancereport.
合规风控专员指定营运板块的财务部负责人担任，负责有关供应链尽职调查管理的所有事项。负责制定并更新供应链尽职调查政策、制度，负责制定高风险供应链评判标准和执行供应链尽职调查措施，指导、协调、报告公司风险评估、应对和实施等情况，监督、检查各部门的落实情况并考核，汇报供应链尽职调查中的异常情况。同时，对供应链尽职调查进行审核，并评估尽职调查是否充分，必要时收集额外文件或信息。负责有关责任供应链的员工培训，编制并更新供应链政策，并向高级管理人员提供用于履行职责的适当信息。
合规专员由业务部、物流部、财务部、工厂指派，负责严格执行供应链尽职调查措施和高风险供应链评判标准，收集并保存足够的供应链证明文件，建立供应商尽职调查档案，并定期对重要供应商进行现场调查。
TheComplianceOfficerisappointedbytheBusinessDepartment,theLogisticsDepartment,theFinanceDepartmentandtheFactorytoberesponsibleforthestrictimplementationofthesupplychainduediligencemeasuresandhigh-risksupplychainevaluationcriteria,thecollectionandsavingofsufficientsupplychainsupportingdocuments,theestablishmentofsupplierduediligencefilesandtheimplementationofregularon-siteinvestigationsonimportantsuppliers.
TheCompanyhasestablishedanaccountabilitymechanismfortheComplianceRiskControlOfficersandComplianceOfficerstoensureeffectiveimplementationofsupplychainduediligenceandavoidhigh-risksupplychaintransactionsthroughsupervisionandinspection.Relevantofficersarerequiredtoregularlyreportthesituationsofsupplychainduediligencetoseniormanagementandholdinternalmeetingspromptly.
3.强有力的内部追溯体系
3.Stronginternaltraceabilitysystem
公司建立了一套供应链可追溯体系，收集和维护每一批产品的供应链信息，为每一批出库的产品分配唯一编号。
TheCompanyhasestablishedasetofsupplychaintraceabilitysystemstocollectandmaintainthesupplychaininformationofeachbatchofproductsandassignauniquenumbertoeachbatchofoutboundproducts.
3.1供应链可追溯体系
3.1Supplychaintraceabilitysystem
Allsupplierswillbesubjecttocreditinvestigation.Theduediligencequestionnairewillbeusedtocollectandreviewsuppliers’qualifications,businessoperations,shareholderinformation,materialsources,etc.Afterthecreditinvestigationispassed,thecontractwillbesignedandtherawmaterialsshouldbelegalandcomplywiththeLBMAduediligencepolicy.Eachbatchofincomingmaterialssentbysuppliersshouldbeprovidedwithwarehouseentriesindicatingtheproducttype,weight,andsignatureoftheinspectorandthesupplierforconfirmation.Smelting,samplingandlaboratorytestingshouldbeperformedtofinallyformstandardgoldandsilveringotswithuniquenumbersassignedandtradedthroughtheShanghaiGoldExchange.
公司对所有交易情况进行监督，确保交易与供应链调查一致。
TheCompanymonitorsalltransactionstoensurethatthetransactionsareconsistentwiththesupplychaininvestigation.
3.2维护资料
3.2Maintenancedata
Duringthebusinessdevelopment,theclients’IDcards,identityverificationdata,businesslicenses,qualificationverificationdata,duediligencequestionnairesofsuppliers,warehousingentries,ex-warehouseentries,inspectionlistsandotherrelevantrecordsofeachbatchshouldbekeptformorethan5years.
3.3培训
3.3Training
TheCompanyincorporatesthetrainingonsupplychainduediligencemanagementintotheCompany’sannualtrainingplaneveryyearandorganizestheCompany’skeypostsandComplianceOfficerstoaccepttrainingontherequirementsandcontentsofsupplychainduediligencemanagement,aswellastheLBMAResponsibleGoldandSilverGuidancetoensurethatthesupplychainduediligencemanagementisimplemented.OnMarch20andNovember7,2022,theCompanyorganizedtwopiecesoftrainingonLBMAresponsiblesupplychain-relatedknowledgeforpersonnelofrelevantdepartmentsoftheCompanyandmanagementpersonnelandproductionpersonneloftheFactory.
3.4通过官方银行渠道付款
3.4Paymentthroughofficialbankchannels
公司在支付货款时，由市场部门发起资金事项联签程序，通过公司基本户所在的银行网上付款，并打印银行回单作为凭证附件保留以配合政府部门的监管。
WhentheCompanypaysforgoods,theMarketDepartmentshouldlaunchthejointsigningprocedureforcapitalmattersandmakeonlinepaymentsthroughthebankwheretheCompany’sbasicaccountislocated.Inaddition,thebankreceiptshouldbeprintedasanattachmenttothevoucherforretentionandcoordinationwiththesupervisionofthegovernmentdepartment.
4.强化合作，协助黄金、白银供应链交易方建立尽职调查能力
4.Strengtheningofcooperationandassistanceingoldandsilversupplychaintraderstoestablishduediligencecapabilities
TheCompanypassedthecleanerproductionauditcarriedoutbytheShenzhenMunicipalEcologicalBureauandwasratedasaninternationallyadvancedenterprise.TheCompanywasawardedthetitleofexcellentcleanerproductionenterprise.Inthesameyear,theCompanypassedthethree-levelstandardizationaudit.TheCompanyhasaninseparablerelationshipwithvariousrelevantdepartmentsofthegovernment.
公司鼓励与供应商建立基于信任和互认的长期关系，特别是遵守经合组织《来自受冲突影响和高风险地区矿石负责任供应链尽职调查指南》并扩展至EGS和可持续性责任的供应商。
TheCompanyencouragestheestablishmentoflong-termrelationshipswithsuppliersbasedontrustandmutualrecognition,especiallycomplyingwiththeOECDDueDiligenceGuidanceforResponsibleSupplyChainsofMineralsfromConflict-AffectedandHigh-RiskAreasandextendingtosupplierswithEGSandsustainabilityresponsibilities.
TheCompanycommunicatesthepoliciesandrequirementsofthegoldandsilversupplychaintorelevanttradersthroughe-mail,improvingtheabilityofsupplychaintraderstoestablishduediligence,andsupportingEITIprinciples.BoththeCompanyandthesuppliersshouldstrictlyabidebytheprovisionsofthecontractandlaws.AsuppliermeetingwasheldonMarch19,2022tohelpthesupplierstoestablishtheirduediligencecapabilitiestoagreaterextent.
AllsuppliersoftheCompanyhavesignedtheLetterofCommitmentforSocialResponsibilityofSupplier,promisingthatthegoldandsilversourcesarelegalandcompliantandconformtoLBMAregulations.ForkeyclientsoftheCompany,theinvoicesoftheirdownstreamclientsshouldbefiledtoavoidtheriskoftaxevasion.
5.建立机密申诉机制
5.Establishmentofaconfidentialappealmechanism
公司利用官方网站链接：
Thecompanyusestheofficialwebsitelink:
In2022,theCompanydidnotreceiveappealsfromemployeesandexternalstakeholders.
第二步供应链风险的识别与评估
Step2Identifyandassessriskinthesupplychain
我公司已经充分遵守第2步骤：对供应链中的风险进行识别和评估。
WehavefullycompliedwithStep2:Identifyandassessriskinthesupplychain.
公司严格遵守LBMA黄金、白银责任指南第二步“供应链风险的识别与评估”的要求，制定了受冲突影响和高风险区域的识别程序（包括标准、引用资源和流程），制定了高风险供应链的判定标准和对识别出来的风险的处理程序，充分对供应链中的风险进行识别、评估和缓解。2022年度，公司来料均为来自国内再生金/银，根据公司受冲突影响和高风险区域的识别程序判定中国为低风险区域，未发现高风险供应链。
TheCompanyhasstrictlycompliedwiththerequirementsofStep2oftheLBMAResponsibleGoldandSilverGuidance“identifyandassessriskinthesupplychain”andhasdevelopedtheidentificationprocedures(includingstandards,referenceresourcesandprocesses)forconflict-affectedandhigh-riskareasandthecriteriafordetermininghigh-risksupplychainsandtheproceduresforhandlingidentifiedriskstoachievefullidentification,assessmentandmitigationoftherisksinthesupplychain.In2022,theCompany’sincomingmaterialsareallfromdomesticrenewablegold/silver.AccordingtotheCompany’sidentificationproceduresforconflict-affectedandhigh-riskareas,Chinaisdeterminedasalow-riskareaandnohigh-risksupplychainisfound.
1.识别供应链风险
1.Identifytheriskinthesupplychain
AccordingtotheOECDDueDiligenceGuidanceforResponsibleSupplyChainsofMineralsfromConflict-AffectedandHigh-RiskAreasanditsextensiontoenvironmentalandsustainabilityresponsibilities,goldandsilversmeltingcompaniesidentifyrelevantrisksandpaycloseattentiontogoldandsilverfromareasinvolvinghumanrightsviolations,armedconflicts,illegalmining,utilizationofmercuryduringminingandworldheritagesites,aswellasgoldandsilverusedforbribery,moneylaundering,terroristfinancing,etc.TheCompanyhasestablishedsupplierarchivesforallsuppliersandconductedaninvestigationaccordingtotheCompany’sriskstatus.Inaddition,theCompanyhascompletedthecreationofsupplierarchivesbeforesigningcontractswithsuppliers.
2.评估供应链风险
2.Assesstheriskinthesupplychain
2.1供应链调查
2.1Supplychaininvestigation
公司通过以下措施对供应链进行尽职调查，并完成了尽职调查问卷：
TheCompanyconductedduediligenceonthesupplychainthroughthefollowingmeasuresandcompletedtheduediligencequestionnairematter:
（1）资质验证。对于所有供应商均进行供应链的尽职管理调查，在进行合作前要求合作方提供相应的资质证明文件，法人客户提供营业执照，个人客户提供身份证复印件。
(1)Qualificationverification.Supplychainduediligencemanagementinvestigationshouldbecarriedoutforallsuppliers.Beforecooperation,thepartnersshouldberequiredtoprovidecorrespondingqualificationcertificatesandthecorporateclientsshouldberequiredtoprovidebusinesslicenses.Inaddition,individualclientsshouldberequiredtoprovidecopiesofIDcards.
（2）建立供应商档案。对供应商基本情况、股东信息、实际控股人、供应商管理层架构、提供原料类型及产地、计划精炼贵金属类型、与其供应商结算方式、其供应商概况等信息进行详细调查，并尽可能的将供应链调查向供应商的上游延伸，最终确定其风险等级，对于涉及高风险标准的供应商终止合作。
(2)Createsupplierarchives.Adetailedinvestigationshouldbemadeonthebasicinformationofsuppliers,shareholderinformation,actualshareholder,suppliermanagementstructure,typeandoriginofrawmaterialsprovided,typeofpreciousmetalsplannedtoberefined,settlementmethodwithsuppliers,overviewofsuppliersandotherinformation.Besides,thesupplychaininvestigationshouldbeextendedtotheupstreamsuppliersasfaraspossibletodeterminetheirrisklevel.Thecooperationwithsuppliersinvolvinghigh-riskstandardsshouldbeterminated.
(3)Establishanincomingmaterialregister.Theduediligenceshouldbeconductedonthedate,weight,rawmaterialsourceandmainupstreamsuppliersofthesuppliers’incomingmaterialsinthecurrentbatchtodeterminetheriskleveloftheirincomingmaterials.
(4)Establishtheworkingprocessofspecialinvestigationreportsforclients.Atthetimeofvisitingclients,thesourceofrawmaterialsshouldbetraced.Theduediligencemanagementpolicyofgoldandsilversmeltingcompaniesshouldbeconveyedtosuppliersandthesuppliersshouldberequiredtosignthepolicy.
2.2CAHRA的判定。公司制定了CHARA的识别流程。公司采用以下资源判断CAHRA。
2.2JudgmentofCAHRA.TheCompanyhasdevelopedtheCHARAidentificationprocess.TheCompanywillusethefollowingresourcestojudgeCAHRA.
2.3高风险供应链
2.3High-risksupplychain
AccordingtotherelevantprovisionsofLBMAandOECDandincombinationwiththeactualsituationoftheCompany,thefollowinghigh-risksupplychainevaluationcriteriaarespecified:
(1)Theminedgoldandsilverorrecycledgoldandsilvercomefrom,andaretransitedtoortransportedtoconflict-affectedandhigh-riskareas;
(2)Theminedgoldandsilverareclaimedtocomefromacountrywithlimitedknownreserves,resourcesorexpectedproduction;
(3)Therecycledgoldandsilvercomefromtheknownconflict-affectedandhigh-riskareas,oraresuspectedofbeingtransitedthroughthisareawithreasons;
（4）在供应链中的公司或者其他已知的上游公司位于一个有着洗钱、犯罪和贪污高风险的国家；
(4)Thecompaniesinthesupplychainorotherknownupstreamcompaniesarelocatedinacountrywithhighrisksofmoneylaundering,crimeandcorruption;
（5）在供应链中的公司或其他已知的上游公司的收益所有人是政治敏感人物；
(5)Thebeneficialownersofcompaniesinthesupplychainorotherknownupstreamcompaniesarepoliticallysensitivepersons;
（6）在供应链中的公司或其他已知的上游公司积极参与高风险商业活动（例如武器、赌博、赌业、古董和艺术品、钻石等），宗教和宗教领袖的；
(6)Thecompaniesinthesupplychainorotherknownupstreamcompaniesactivelyparticipateinhigh-riskbusinessactivities(suchasweapons,gambling,gaming,antiquesandartworks,diamonds,etc.)andactivitiesinvolvingthereligionandreligiousleaders;
(7)Theminedgoldandsilvercomefromsmallmineswithincompletedomesticproceduresandillegalminingandtheminedgoldandsilvercomefrommanualmining;
（8）矿产金银或再生金银利用汞生产而得；
(8)Theminedgoldandsilverorrecycledgoldandsilverareproducedbyusingmercury;
（9）不遵守环境和可持续发展法律要求，矿产金银或再生金银源于世界遗产遗址或国内自然生态保护区；
(9)Theminedgoldandsilverorrecycledgoldandsilvercomefromworldheritagesitesordomesticnaturalecologicalprotectionareasinviolationofenvironmentalandsustainabledevelopmentlaws;
（10）其他高风险情况。
(10)Otherhigh-risksituations.
当上述评判标准任何一条客观存在时，则该供应链被判定为高风险供应链。部门合规专员应立即准备材料上报合规风控专员，由合规风控专员上报合规总监，由合规总监批准采取应对措施，停止交易，消除风险。
Whenanyoftheaboveevaluationcriteriaexistobjectively,thesupplychainisjudgedasahigh-risksupplychain.TheComplianceOfficeroftheDepartmentshouldimmediatelypreparematerialsandreportthemtotheComplianceRiskControlOfficer,whoshouldthenreportthemtotheComplianceDirector.Then,theComplianceDirectorshouldapprovetheadoptionofcountermeasurestostopthetransactionandeliminaterisks.
2.4公司建立风险评估流程，对公司黄金、白银供应商风险进行评估：
2.4AriskassessmentprocessestablishedbytheCompanytoassesstherisksofitsgoldandsilversuppliers:
TheFinanceDepartmentandtheHumanResourcesDepartmentareresponsibleforthequantitativeassessmentofthelossescausedbyriskevents,theaccountabilityofrelevantpersonsincharge,thefollow-upinvestigationofriskevents,theeliminationofhazardsourcesandthereductionoflosses.
公司通过对上游原料供应商的尽职调查，向供应商宣传“OECD关于在受冲突影响和高危地区合格供应链的尽职调查指南”，提醒和督促上游原料供应商合法、合规经营，不向原料需求商出售以下高风险原料：
Throughduediligenceonupstreamrawmaterialsuppliers,theCompanypublicizedthe“OECDDueDiligenceGuidanceforQualifiedSupplyChainsfromConflict-AffectedandHigh-RiskAreas”tosuppliers,remindedandurgedupstreamrawmaterialsupplierstooperatelegallyandincomplianceanddidnotsellthefollowinghigh-riskrawmaterialstorawmaterialclients:
（1）、与黄金/白银开采、运输和交易有关的系统化、广泛化的侵犯人权行为，强制劳役、童工、残酷，非人道和羞辱虐待；
(1).Systematicandwidespreadhumanrightsviolationsrelatedtogold/silvermining,transportationandtrading,forcedlabor,childlabor,crueltyandinhumanandhumiliatingabuse;
（2）、有战争犯罪，违反国际人权法，人权犯罪或种族屠杀；
(2).Warcrimes,violationsofinternationalhumanrightslaw,humanrightscrimesorgenocide;
（3）、直接或间接的支持非政府武装集团、公共或私人安全部队，购买贵金属或提供协助的（参考OECD冲突影响地区和高风险地区矿产供应链尽职调查指南黄金、白银附录中的定义）；
(3).Directorindirectsupporttonon-governmentalarmedgroups,publicorprivatesecurityforces,procurementofpreciousmetalsorsupplyofassistance(RefertothedefinitionsintheGoldandSilverAppendixoftheOECDDueDiligenceGuidanceforSupplyChainsofMineralsfromConflict-AffectedandHigh-RiskAreas);
(4).Briberyorconcealmentofthetruesourceofgoldandsilver;
（5）、存在洗钱或自高风险、冲突地区采购贵金属；
(5).Existenceofmoneylaunderingorprocurementofpreciousmetalsfromhigh-riskandconflictareas;
（6）、存在恐怖主义融资；
(6).Existenceofterroristfinancing;
（7）、存在加剧冲突；
(7).Existenceofaggravationofconflicts;
（8）、可能开采黄金利用汞生产而得；
(8).Goldthatmaybeminedandproducedbyusingmercury;
（9）、可能不遵守环境和可持续发展法律要求，开采黄金源于世界遗产遗址或国内生态自然保护区；
(9).Possiblenon-compliancewiththelegalrequirementsoftheenvironmentandsustainabledevelopment,andthegoldminedcomingfromtheworldheritagesitesordomesticecologicalnaturereserves;
（10）、存在矿产资源开发过程中引起的土壤侵蚀、水土流失、土地沙漠化。地面沉降、塌陷，山体崩塌、滑坡、泥石流等地质灾害；
(10).Existenceofsoilerosion,waterandsoilloss,anddesertificationcausedbythedevelopmentofmineralresourcesaswellastheexistenceoflandsubsidence,collapse,mountaincollapse,landslide,debrisflowandothergeologicaldisasters;
（11）、存在废渣、废水、废气排放对水体、土壤、空气的污染。对野生动植物资源和自然地质地貌景观的破坏、危及公民健康和财产损害。
(11).Existenceofpollutionofwater,soilandaircausedbywasteresidue,wastewaterandexhaustemission,damagetowildliferesourcesandnaturalgeologicalandgeomorphiclandscapeandendangermenttocitizens’healthandpropertydamage.
3.向高级管理层报告风险评估
3.Reportriskassessmenttoseniormanagement
公司建立风险评估报告制度，当供应链调查发现来自高风险区域，被评估为高风险供应链时，停止该交易并上报合规总监。2022年度评估所有黄金、白银供应商均为低风险。
TheCompanyhasestablishedariskassessmentreportingsystem.Whenthesupplychaininvestigationfindsthatthesupplychainisfromahigh-riskareaandisassessedasahigh-risksupplychain.Then,thetransactionwillbestoppedandreportedtotheComplianceDirector.Allgoldandsilversupplierswereassessedaslowriskin2022.
第三步设计并实施策略来应对已识别的风险
Step3Designandimplementstrategiestorespondtoidentifiedrisks
我公司已经充分遵守第3步：设计和落实管理体系应对识别的所有风险。
WehavefullycompliedwithStep3:Designandimplementmanagementsystemstorespondtoallidentifiedrisks.
公司严格遵守LBMA黄金、白银责任指南第三步“设计并实施策略来应对已识别的风险”的要求。2022年未发现高风险供应链，不需要做风险缓解。
TheCompanyhasstrictlycompliedwiththerequirementsofStep3oftheLBMAResponsibleGoldandSilverGuidance“designandimplementstrategiestorespondtoidentifiedrisks”.Nohigh-risksupplychainwasfoundin2022,sonoriskmitigationwasrequired.
公司制订了《供应链风险减缓管理办法》制定了风险缓解策略，包括（i）在继续交易的同时减轻风险；（ii）在暂停交易的同时减轻风险；或（iii）终止交易，并作为文控管理，约定了在供应商评估及日常业务开展过程中发现的违规情况的处理方式；规范了发现供应商存在高风险行为的处理步骤；明确了尽职管理各级组织、人员的责任，向高级管理人员实施进度跟进。
TheCompanyhasformulatedtheSupplyChainRiskMitigationManagementMeasuresandriskmitigationstrategies,including(i)riskmitigationatthetimeofcontinuedtrading;(ii)riskmitigationatthetimeofsuspensionoftransactions;or(iii)terminationoftransactionsand,asadocumentcontrolmanagement,agreeingonthehandlingmethodsforviolationsfoundinthesupplierassessmentanddailybusinessdevelopment;standardizingthehandlingstepsforfindinghigh-riskbehaviorsofsuppliers;clarifyingtheresponsibilitiesoforganizationsandpersonnelatalllevelsofduediligencemanagement,andfollowinguptheprogresswithseniormanagement.
疑似高风险来料后，对其进行单独登记，并告知精炼车间，对其原料单独熔炼，在整个工艺流程中不与其他客户混合，对由其原料生产的成品金银进行单独编号，并在金库中与其他成品金银分区域存放。
Iftheincomingmaterialsofthesuppliersaresuspectedtobefromhigh-riskareas,theyshouldberegisteredseparately.TheRefiningWorkshopshouldbeinformedtosmeltrawmaterialsofsuchsuppliersseparately.Suchrawmaterialsshouldnotbemixedwithrawmaterialsofotherclientsinthewholeprocessflow.Thefinishedgoldandsilverproducedfromsuchrawmaterialsshouldbenumberedseparatelyandstoredinthevaultwithotherfinishedgoldandsilverindifferentareas.
Whenthesupplychaininvestigationfindsthattheminedgoldandsilverandrecycledgoldandsilvercomefromahigh-riskarea,enhancedduediligenceshouldbecarriedout,includingon-siteassessmenttoassesstherisksinthepolicy.Whenthesupplychainduediligencefindsthattheminedgoldandsilverandrecycledgoldandsilvermaycomefromhigh-riskareas,itisnecessarytoimmediatelysuspendthesmeltingofsuchminedgoldandsilverandrecycledgoldandsilveruntilthesupplierprovidesadditionaldataorinformationthatcanprovethatitisimpossibletoexistwithin6months.Ifrelevantevidenceisnotprovidedwithin6months,thetransactionshouldbestoppedimmediatelyandreportedtorelevantpersonnel.
提供的资料包括：
Theinformationprovidedincludes:
(1)Providegovernmentdocumentsprovingthattherearenosystematicorextensivehumanrightsviolationsrelatedtotheextraction,transportationortradeofminedgoldandsilverandrecycledgoldandsilver,suchasthelegitimacycertificateissuedbytherelevantpublicsecurityorcommercialdepartmentsintheplacewherethesuppliersarelocatedon;
（2）提供并未向非法武装组织提供直接或间接支持的证明文件；
(2)Providedocumentsprovingthattheyhavenotprovideddirectorindirectsupporttoillegalarmedgroups;
(3)Providecertificatesoforiginofminedgoldandsilverorrecycledgoldandsilverprovingthattheyhavenotcovereduptheoriginsbyfraud,suchascertificatesoforiginissuedbyrelevantgovernmentdepartments;
（4）提供不存在洗钱或恐怖主义融资的证明文件；
(4)Providedocumentsprovingthatthereisnomoneylaunderingorterroristfinancing;
（5）提供国内小型矿山资质证明文件；
(5)Providequalificationcertificatesofdomesticsmallmines;
（6）提供能够证明开采黄金、白银不是利用汞生产而得资料；
(6)Provideinformationthatcanprovethattheminedgoldandsilverarenotproducedbyusingmercury;
(7)Provideguidelines,policiesandinstitutionaldocumentsrelatedtoenvironmentandsustainabledevelopmentandpasstheenvironmentalimpactassessmentreportofrelevantdepartments;
第四步对精炼商的尽职调查实践开展独立的第三方审计。
Step4Conductanindependentthird-partyauditoftherefiner’sduediligencepractice.
我公司已经充分遵守第4步：安排独立第三方审计。
WehavefullycompliedwithStep4:Arrangeforanindependentthird-partyaudit.
公司严格遵守LBMA黄金、白银责任指南第四步“对精炼商的尽职调查实践开展独立的第三方审计”的要求，于2023年聘请RCS对公司2022年度供应链尽职体系进行审计。
TheCompanyhasstrictlycompliedwiththerequirementsofStep4oftheLBMAResponsibleGoldandSilverGuidance“conductanindependentthird-partyauditoftherefiner’sduediligencepractice”andhaveappointedRCSGlobaltoauditthe2022supplychainduediligencesystemoftheCompanyin2023.
自2015年开始，公司每年均聘请独立的第三方审计机构（深圳市永铭会计师事务所）对财务进行审计，并出具审计报告。
Since2015,theCompanyhasengagedanindependentthird-partyauditinstitution(ShenzhenYongmingAccountingFirm)toauditthefinanceandissueanauditreporteveryyear.
第五步供应链尽职调查年度报告
Step5Annualreportonsupplychainduediligence
我公司已经充分遵守第5步：有关供应链尽职调查的报告。
WehavefullycompliedwithStep5:Reportonsupplychainduediligence.
公司严格遵守LBMA黄金、白银责任指南第五步“供应链尽职调查年度报告”的要求。
TheCompanyhasstrictlycompliedwiththerequirementsofStep5oftheLBMAResponsibleGoldandSilverGuidance“annualreportonsupplychainduediligence”.
公司每年通过对深圳市粤鑫贵金属精炼有限公司供应链尽职调查政策进行公示。
TheCompanypublicizesthesupplychainduediligencepolicyofShenzhenYuexinPreciousMetalsCo.,Ltd.everyyear.
根据2022年的尽职调查结果，无供应商需要进行风险缓解的管理
策略。在2022年度无黄金、白银评估结果为“暂停合作”或“终止合作”的供应商。供应链尽职管理合规报告将在公司官方网站进行公示。
Accordingtotheduediligenceresultsin2022,nosupplierwasrequiredtoimplementariskmitigationmanagementstrategy.In2022,therewerenosupplierswhosegoldandsilverassessmentresultswere“suspendedcooperation”or“terminatedcooperation”.ThesupplychainduediligencemanagementcompliancereportwillbepublishedontheCompany’sofficialwebsite.
四、管理结论
IV.Managementconclusion
综上所述，在报告年度截至于2022年12月31日的财年内，根
据《伦敦金银市场协会（LBMA）负责任的黄金、白银指南》的要求，深圳市粤鑫贵金属精炼有限公司实施了有效的管理制度、程序、流程和实践。深圳市粤鑫贵金属有限公司致力于不断的改进提升，所有的纠正措施将在内部进行定期监测。纠正性行动计划单独传达给LBMA执行机构，以及《伦敦金银市场协会（LBMA）负责任的黄金、白银指南》的管理人员。
Inconclusion,inthefinancialyearendedDecember31,2022,ShenzhenYuexinPreciousMetalsCo.,Ltd.hasimplementedeffectivemanagementsystems,procedures,processesandpracticesinaccordancewiththeLBMAResponsibleGoldandSilverGuidance.ShenzhenYuexinPreciousMetalsCo.,Ltd.iscommittedtocontinuousimprovementandallcorrectivemeasureswillberegularlymonitoredinternally.ThecorrectiveactionplanwillbecommunicatedseparatelytotheLBMAimplementingagencyandthemanagementpersonneloftheLBMAResponsibleGoldandSilverGuidance.
五、其他报告批注
V.Otherreportcomments
IfusersofthisreportwishtoprovideanyfeedbacktoShenzhenYuexinPreciousMetalsCo.,Ltd.withrespecttothisreport,contactrelevantdepartmentsofShenzhenYuexinPreciousMetalsCo.,Ltd.byE-mail150018161@qq.com.