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萬洋集團lbma負責任白銀供應鏈盡職調查管理體系
日期:2022-3-31 9:28:35  作者:趙海霞  來源:


白銀供應鏈盡職調查政策
Due Diligence Policy forSilver Supply Chain


濟源市萬洋冶煉(集團)有限公司嚴格遵守《LBMA負責任白銀指南》,并按照其要求建立白銀供應鏈盡職調查管理體系,積極推行白銀供應鏈盡職調查工作,確保白銀供應鏈符合《LBMA負責任白銀指南》的要求。我們將嚴格禁止供應鏈有如下行為:

Jiyuan WanyangSmeltery (Group) Co., Ltd. strictly abides by theLBMA Responsible Silver Guidance, and establishes a due diligence management system for the silver supply chain in accordance with its requirements.The Company actively promotes due diligence in the silver supply chain to ensure that the silver supply chain meets the requirements of theLBMA Responsible Silver Guidance. We will strictly prohibit the followingbehaviors in the supply chain:


1.人權侵犯行為,包括使用童工、酷刑、非人道以及侮辱人格對待方式、廣泛的使用暴力或其他嚴重反人權強迫勞動、戰爭罪、反人類罪或種族滅絕罪;

1. Violation of human rights, including the use of child labor, torture, inhuman and degrading treatment, widespread use of violence or other serious forms of forced labor against human right, war crimes, crimes against humanity or genocide;

2.向非法武裝組織或向通過供應鏈非法控制礦區、交易商、其他中介機構、運輸線路的公共或私人安全部隊提供直接或間接支持,或在整個供應鏈內非法征稅或敲詐錢財或礦產品(“非法武裝組織、公共或私人安全部隊”);

2.Direct or indirect support to illegal armed groups or to public or private security forces that illegally control mining areas, dealers, other intermediaries and transportation routes through the supply chain, or illegal taxation or extorting money or mineral products throughout the supply chain (“illegal armed groups, public or private security forces”);

3.通過賄賂或欺詐掩蓋白銀原產地;

3. Covering up the origin of silver through bribery or fraud;

4.為遵照政府有關來自受沖突及高風險區域的礦產品的提取、貿易及出口稅費要求;

4.Intention to comply with the Government’s tax requirements for extraction, trade and export of mineral products from conflict-affected and high-risk areas;

5.洗錢或恐怖主義融資;

5. Money-laundering or terrorist financing;

6.資助沖突;

6. Financing conflicts;

7.從事高風險經營業務,例如武器、賭博、古董和藝術品、教派和其領導人;

7. Engaging in high-risk businesses, such as arms, gambling, antiques and works of art, sects and their leaders;

8.受益人是政治敏感人物或通緝人員;

8. The beneficiary is a politically sensitive person or wanted person;


如果發現供應鏈中有如上行為,我們將采取措施,隔離已采購的產品,立即暫;蛑袛嗯c該供應商的任何交易。

If the above behaviors are found in the supply chain, we will take measures to isolate the purchased products and immediately suspend or interrupt any transactions with the supplier.


我們將根據管理體系要求定期評估供應鏈風險,建立供應商盡職調查管理檔案,確保供應鏈持續符合《LBMA負責任白銀指南》的要求。

We will regularly assess supply chain risks according to the requirements of the management system, establish due diligence management files forsuppliers, and ensure that the supply chain continuously meets the requirements of theLBMA Responsible Silver Guidance.


總經理:           

General Manager:            

日 期:           

Date: ________




1適用范圍

1 Scope ofApplication

本標準規定了濟源市萬洋冶煉(集團)有限公司白銀供應鏈管理過程中的職責、管理活動的內容與方法。 

This standard specifies the responsibilities, contents and methods of management activities in the silver supply chain management process of Jiyuan WanyangSmeltery (Group) Co., Ltd.

本標準適用于濟源市萬洋冶煉(集團)有限公司以及與濟源市萬洋冶煉(集團)有限公司有白銀交易、白銀加工的所有白銀供應商、白銀相關合作伙伴(包括白銀生產商、中間商、白銀交易商、出口商和運輸商)。

This standard is applicable to Jiyuan WanyangSmeltery (Group) Co., Ltd. and all silver suppliers and silver-related partners (including silver producers, middlemen, silver dealers, exporters and transporters) that have silver trading and silver processing with Jiyuan WanyangSmeltery (Group) Co., Ltd.


2引用文件

2 ReferenceDocument

LBMA負責任白銀指南(第一版2017年9月發布)

LBMA Responsible Silver Guidance (1st Edition Released in September 2017)


3定義

3 Definition

白銀供應鏈:向公司供應鉛精礦、銀精礦、粗鉛、陽極泥等白銀生產所需含銀物料的供應商以及銀產品銷售的客戶。

Silver supply chain: suppliers who supply lead concentrate, silver concentrate, crude lead, anode slime and other silver-containing materials needed for silver production and customers who sell silver products.


4組織架構和職責

4 Organizational Structure and Responsibilities

4.1濟源市萬洋冶煉(集團)有限公司為白銀供應鏈盡職調查設立了專門的管理團隊,組織結構如下:

4.1 Jiyuan WanyangSmeltery (Group) Co., Ltd. has set up a special management team for due diligenceof silver supply chain. The organizational structure is as follows:

白銀管理組織架構

Silver Management Organization Structure







4.2職責:

4.2 Responsibilities:

4.2.1合規總監

4.2.1Compliance Director

濟源市萬洋冶煉(集團)有限公司授權的高級管理者副總經理李文中,對外根據我公司原料采購政策和公司的生產、財務以及銷售情況等實際情況需要負責審批與供應商合作合同的簽訂(包括是否與高風險供應商合作的合同簽訂),并負責對供應商進行審查相關事宜。對內高級管理者根據LBMA負責任的白銀指南文件,對相關員工進行培訓,使相關負責人清楚的理解這一體系的目的和意義,明白自己在盡職調查政策實施中的職責,并半年組織培訓重溫相關內容。

Li Wenzhong, Deputy General Manager of Senior Manager Authorized by Jiyuan WanyangSmeltery (Group) Co., Ltd.,is responsible for approving the signing of cooperation contracts with suppliers based on ourCompany’s raw material procurement policy and theCompany’s actual situation such as production, finance and sales (including whether to sign contracts with high-risk suppliers), and for reviewing relevant matters concerning suppliers. Internal senior managers train relevant employees according to documents ofLBMA Responsible Silver Guidance, so that relevant responsible persons can clearly understand the purpose and significance of this system, understand their responsibilities in the implementation of due diligence policies, and organize training for half a year to review relevant contents.

4.2.2合規經理

4.2.2Compliance Manager

協助高級管理人員全面負責白銀供應鏈盡職調查事務,對白銀供應鏈上的所有事情負責,確保在高風險供應鏈或交易時采取了恰當的措施,提交風險評估報告。并有義務就責任供應鏈方面進行培訓,起草和更新白銀供應鏈政策,為高級管理者履責提供準確的信息。

Assist senior management to be fully responsible for due diligenceof silver supply chain,take charge in all matters in the silver supply chain, ensure that appropriate measures are taken in high-risk supply chains or transactions, and submit risk assessment reports. It is also obliged to train on the responsible supply chain, draft and update the silver supply chain policy, and provide accurate information for senior managers to fulfill their responsibilities.

(1)有權監查白銀供應鏈盡職調查過程,并評估盡職調查是否充分進行;如果認為必要,有權要求提供附加文件或信息。

(1) Have the right to monitor the due diligence processof the silver supply chain and evaluate whether due diligence is fully conducted; Have the right to request additional documents or information if deemed necessary.

(2)如果存在高風險供應鏈或交易,需要及時向業務分管副總匯報。

(2) If there is a high-risk supply chain or transaction, it is necessary to report to the deputy general manager in charge of business in a timely manner.

(3)定期對員工進行白銀供應鏈規則培訓,起草和更新白銀供應鏈規則,為高級管理層履責提供準確的信息。

(3) Regularly train employees on silver supply chain rules, draft and update silver supply chain rules, and provide accurate information for senior management to fulfill their responsibilities.

(4)如有必要,每年至少一次對重要客戶進行現場調查;

(4) Carry out on-site investigation on important customers at least once a year,if necessary

(5)協助與鼓勵白銀原料供應商及白銀交易客戶承諾遵守白銀供應鏈盡職規則;

(5) Assist and encourage silver raw material suppliers and silver trading customers to promise to abide by the due diligence rules of the silver supply chain;

(6)如出現異常情況需及時向合高級管理者報告。

(6) In case of any abnormal situation, it is necessary to report it to the senior management in a timely manner.

4.2.3原料采購中心負責原材料采購,確保礦粉、原材料供應的長期性、穩定性、安全性,并拒絕與高風險地區的相關企業、組織或國家合作。

4.2.3 The Raw Material Procurement Center is responsible for the procurement of raw materials to ensure the long-term, stability and safety of the supply of mineral powder and raw materials, and refuses to cooperate with relevant enterprises, organizations or countries in high-risk areas.

4.2.4質量檢驗中心對采購含銀原料進行過磅稱重,化驗;生產運營部負責原料的出入庫記錄;貴金屬事業部負責對產出銀錠進行稱重、打標記錄,車間組織投料生產并做好投料記錄和產出銀錠記錄,在生產過程中采用封閉式流程,確保白銀生產加工的安全性與可追溯性。 

4.2.4The Quality Inspection Center weighs, and tests the purchased silver-containing raw materials; The Production and Operation Department is responsible for thedelivery and storage records of raw materials; The Precious Metals Division is responsible for weighing and marking the output silver ingots. The workshop organizes the feeding production and makes the feeding records and output silver ingots records. Closed processes are adopted in the production process to ensure the safety and traceability of silver production and processing.

4.2.5質量檢驗中心部要確保檢測白銀純度的準確性。 

4.2.5 The Quality Inspection Center shall ensure the accuracy of silver purity detection.

4.2.6生產運營部負責與原料采購中心結合,保證含銀原料接收的準確性,貴金屬事業部負責對白銀銷售前的數量的統計,保證白銀實物出廠的安全性。 

4.2. 6 The Production and Operation Department is responsible forcooperating with the Raw Material Purchase Center to ensure the accuracy of receiving silver-containing raw materials. The Precious Metals Division is responsible for counting the quantity of silver before sales to ensure the safety of silver in kind leaving the factory.

4.2.7原料采購中心、國際業務中心及營銷中心需對交貨人身份信息進行確認,并在交易過程中,采用監督機制確保交易的安全性,保證公司不參與恐怖主義融資。

4.2.7 The Raw Material Procurement Center,Import and export department and the Marketing Center shall confirm the identity information of the deliverer, and adopt a supervision mechanism to ensure the safety of the transaction and ensure that the Company does not participate in terrorist financing during the transaction.

4.2.8國際業務中心制定培訓計劃,對合規專員組織培訓,學習LBMA負責任白銀指南的相關內容,準確掌握公司負責任白銀管理的相關政策。

4.2.8 The Import and export department shall formulate a training plan, organize training for compliance specialists,to make themlearn the relevant contents ofLBMA Responsible Silver Guidance, and accurately grasp the relevant policies of the Company’s responsible silver management.


5管理體系

5 Management System

5.1制定和發布公司關于LBMA負責任白銀供應鏈盡職調查政策

5.1 Develop and publish the Company’s due diligence policy on LBMA responsible silver supply chain

5.1.1公司關于LBMA負責任白銀的公告,告知供應鏈合作方嚴格遵守公司白銀供應鏈管理制度,并公開接收社會各界及全公司內部員工的監督。

5.1.1 The Company makes Announcement on LBMA Responsible Silverto inform the supply chain partners to strictly abide by the Company’s silver supply chain management system and publicly accept the supervision of all sectors of society and employees throughout the Company.

5.1.2公司白銀原料采購承諾,承諾遵守《LBMA負責任白銀指南》,積極參與并支持LBMA含銀原料的可追溯性工作,嚴格遵守白銀供應鏈無沖突冶煉廠計劃要求,公司不與提供來自沖突影響地區及高風險地區的白銀原料供應商進行交易。

5.1.2For procurement of silver raw materials,the Companyundertakes to abide by theLBMA Responsible Silver Guidance, actively participate in and support the traceability of LBMA silver-containing raw materials, strictly abide by the requirements of the Conflict-FreeRefiner Plan inSilver Supply Chain, andnot totrade with suppliers of silver raw materials from conflict-affected areas and high-risk areas.


5.2盡職調查流程

5.2 Due diligence process

5.2.1在交易前,將公司負責任白銀供應地管理政策及要求明確告知對方。

5.2.1 Before the transaction, the Company shall clearly inform the other party of the management policies and requirements of the responsible silver supply place of the Company.

5.2.2向供應商、客戶發放盡職調查表,具體內容詳見盡職調查表,收集相應的資質與資料。

5.2.2 Issue due diligence questionnaires to suppliers and customers.Please refer to the due diligence questionnairesfor detailsto collect corresponding qualifications and data.

5.2.3跟蹤、收回盡職調查表,并進行風險評估。

5.2.3 Follow up and withdraw the due diligence questionnaire and conduct risk assessment.

5.2.4編制盡職調查報告。

5.2.4 Prepare due diligence report.


5.3盡職調查內容

5.3 Content of due diligence

5.3.1盡職調查供應商包括礦產白銀供應商、含銀物料供應商、再生白銀供應商、貿易商、運輸商。

5.3.1 Due diligence suppliers include mineral silver suppliers, silver-containing material suppliers, recycled silver suppliers, traders and transporters.

5.3.2盡職調查客戶包括貿易商、買家等;

5.3.2 Due diligence customers include traders, buyers, etc.

5.3.3在采購、銷售交易發生前,要了解供應商、客戶對于來自受沖突影響、高風險區域及存在的其它風險情況負責任的供應鏈采購、銷售情況。

5.3.3 Before purchasing and selling transactions occur, it is necessary to understand the purchasing and selling situation of theresponsiblesupply chainof suppliers and customers from conflict-affected, high-risk areas and other risk situations.

5.3.4盡職調查應包含供應鏈資質情況、白銀原料產地識別,采礦與山口許可證,采礦情況信息證明是否侵犯人權、是否違規操作等,開采能力數據等。

5.3.4 Due diligence shall include supply chain qualification, identification of silver raw material origin, mining and mountain pass license, mining information to prove whether human rights are violated or operations are illegal, mining capacity data, etc.


5.4盡職調查措施

5.4 Due diligence measures

5.4.1建立供應鏈客商檔案。包括名稱、法人、地址、聯系方式、運營方式、交易合同等。

5.4.1 Establish supply chain customer/supplier files, including name, legal person, address, contact information, operation mode, transaction contract, etc.

5.4.2對既有供應鏈需進行年度評估,如有供應商或客戶,需要及時對其進行風險評估,符合體系要求方可進行交易。

5.4.2 Annual assessment is required for the existing supply chain. If there are suppliers or customers, risk assessment is required for them in a timely manner. Transactions can only be conducted if they meet the system requirements.

5.4.3確定供應鏈沒有任何的洗錢、詐騙或恐怖主義行為。

5.4.3 Determine that the supply chain is free of any money laundering, fraud or terrorist acts.

5.4.4定期獲取供應鏈公司的經營狀況及交易目的信息。

5.4.4 Regularly obtain information on the operating status and transaction purpose of supply chain companies.

5.4.5針對礦產白銀供應商,在交易前,需要獲得如下信息:

5.4.5 For mineral and silver suppliers, the following information shall be obtained before trading:

a)白銀的產地來源信息

a) Information on the origin of silver

b)采礦許可證

b) Miningpermits

c)提供進/出口白銀或者精礦許可證

c) Provision ofpermits for the import/export of silver or concentrate

d)采礦情況信息證明

d) Proof of mining information

e)定期對礦產白銀客戶進行盡職調查

e) Regular due diligence of mineral silver customers

5.4.6針對回收白銀供應鏈客商,在交易前,需要獲得如下信息:

5.4.6For customers in the silver recovery supply chain, the following information needs to be obtained before the transaction:

a)再生白銀供應商需提供合法的商業關系,包括再生銀來源證明、收益人等信息

a) Suppliers of recycled silver are required to provide legal business relationships, including information such as proof of the source of recycled silver, beneficiaries, etc.

b)公司會持續不斷的對再生白銀客戶進行盡職調查

b) The Company will conduct continuous due diligence on recycled silver customers


5.5風險評價標準

5.5 Risk evaluation criteria

5.5.1直接評定為高風險標準

5.5.1 Direct assessment as high risk standard

a)礦產白銀(含銀精礦)或再生銀的源頭、白銀銷售區域經過或途經沖突影響地區或人權侵犯高風險地區。

a) The source of mineral silver (including silver concentrate) or recycled silver, and the silver sales areagoes by or passes through conflict-affected areas or areas with high risk of human rights violations.

b)礦產白銀來源于一個已知儲量有限、資源有限或預計白銀產量有限的國家。

b) Mineral silver originates from a country with known limited reserves, limited resources or expected limited silver production.

c)再生白銀來自于已知、白銀銷售至眾所周知或被懷疑其白銀來自于或途經沖突影響地區和人權侵犯高風險地區。

c) Recycled silver originates from known, sold to known or suspected sources of silver originating from or passing through conflict-affected areas and areaswith high risk of human rights violations.

d)白銀供應交易方其他已知上游公司、白銀銷售客戶位于高洗錢風險的國家。d) Other known upstream companies of the silver supply counterparty, and silver sales customers are located in countries with high money laundering risks.

e)供應方、其已知上游公司、白銀銷售客戶中對其有重要影響的權益所有者是政治敏感人物。

e) The supplier, its known upstream company, and the owner of the equity that has a significant influence on it among the silver sales customers are politically sensitive figures.

f)供應商、其已知的上游公司、白銀銷售客戶從事于高風險業務,如武器、博彩業、古董和藝術品、教派和其領導人。

f) Suppliers, their known upstream companies, silver sales customers are engaged in high-risk businesses such as weapons, gambling, antiques and works of art, sects and their leaders.

g)來自、途經的高風險國家和地區,包括CFSP公布的沖突戰亂國家和地區、被聯合國制裁的國家或地區、FATF公布的洗錢高風險國家和地區。

g) High-risk countries and regions coming from and passing through, including conflict and war-torn countries and regions announced by CFSP, countries or regions sanctioned by the United Nations, and high-risk countries and regions for money laundering announced by FATF.

5.5.2評價方法:以盡職調查表內容為基礎,結合實際收到供應商、客戶的對應的資料情況,以各項目的評價標準進行評價打分,最終確定風險等級。

5.5.2 Evaluation method: Based on the contents of the due diligence questionnaire, combined with the corresponding data actually received from suppliers and customers, the evaluation and scoring are carried out according to the evaluation criteria of each project to finally determinethe risk level.

5.5.3評價標準

5.5.3 Evaluation criteria

a)風險評價項目詳見表《白銀供應鏈盡職調查風險評價標準》(礦產原料類、再生原料類、客戶類)。

a)Please refer to the TableRisk Assessment Criteria for Due Diligence Investigation of Silver Supply Chain (Mineral Raw Materials, Recycled Raw Materials and Customers) fordetails of risk assessment items.

b)風險等級

b) Risk Level

礦產原料類:高風險high risk,非高風險non high risk

再生原料類:高風險high risk,非高風險non high risk

客戶類:高風險high risk,非高風險non high risk

5.5.4應對措施

5.5.4 Response measures

a)非高風險:繼續交易。

a)Non high risk: continueto trade .

b)高風險:暫停交易,直至降低為低風險。

b)High risk: Suspend trading until it is reduced to low risk.

與供應商溝通促進其指定和實施改善措施,在6個月之內確認風險符合本規定的要求后繼續交易;如果供應商在6個月內拒不提供相關合法性證明文件和整改報告,那么公司應將停止與其交易。具體要求如下:

Communicate with suppliers to promote them to designate and implement improvement measures, and continue trading after confirming that the risks meet the requirements of this regulation within 6 months; If the Supplier refuses to provide relevant legality certificates and rectification reports within 6 months, the Company shall stop trading with it. The specific requirements are as follows:

對于大規模開采的白銀、手工及小型礦開采的白銀、再生銀:使用可信的獨立來源的文件、數據和信息來核實情況,從礦山到精煉廠,供應鏈中每一家公司(包括白銀生產商、貿易商、出口商和運輸商)的收益所有人和政府監控名單信息都要求要核實。

For silver mined on a large scale, silverand recycled silvermined by manual and in small mines: Use credible independent source documents, data and information to verify the situation. From mines to refineries, the revenue owner and government monitoring list information of every company in the supply chain (including silver producers, traders, exporters and transporters) are required to be verified.


5.6白銀供應鏈盡職調查培訓

5.6 Due diligence training for silver supply chain

5.6.1公司每年會對白銀供應鏈中的員工進行該規定的培訓,并將培訓計劃納入年度培訓計劃當中。

5.6.1 The Company will carry out the specified training for employees in the silver supply chain every year and incorporate the training plan into the annual training plan.

5.6.2涉及白銀供應鏈的員工必須參加,并通過培訓簽到的形式進行相關培訓確認。

5.6.2 Employees involved in the silver supply chain must attendfor relevant training confirmation through training sign-in.

5.6.3采用講解授課方式,并進行考核。

5.6.3 Adopt the method of explanation and teaching, and conduct assessment.


5.7供應鏈追溯系統

5.7 Supply chain traceability system

5.7.1建立供應鏈追溯系統,收集并維護每一精煉批次的供應鏈信息,包括為每一輸入及輸出分配一個單獨參考編號:

5.7.1 Establish a supply chain traceability system to collect and maintain supply chain information for each refining batch, including assigning a separate reference number to each input and output:

a)白銀產品向上追溯(白銀—原料)

a)Upward traceability ofsilver products (silver-raw material)

-含銀物料類型(礦產白銀/再生白銀);

-Silver-containing material type (mineral silver/recycled silver);

-入庫重量和分析報告;

-Warehousing weight and analysis report;

-原料入庫日期和成品入庫日期;

-Raw material storage date and finished product storage date;

b)白銀產品向下追溯(白銀—顧客)

b)Downward traceability of silver products (silver-customer)

-顧客信息;

-Customer information;

-交易重量和分析報告;

-Transaction weight and analysis report;

-出庫日期;

-Outbound delivery date;


5.8記錄的保留

5.8 Retention of Records

5.8.1按照LBMA要求保留充分的供應鏈文檔記錄,以證明已遵照適當及持續的盡職調查。

5.8.1 Maintain adequate supply chain documentation as required by LBMA to demonstrate compliance with appropriate and ongoing due diligence.

5.8.2保留供應鏈追溯系統的記錄。

5.8.2 Keep records of the supply chain traceability system.

5.8.3記錄保存5年。

5.8.3 Records shall be kept for 5 years.


5.9白銀供應鏈違規行為、事項上報程序

5.9 Reporting procedures for violations and events in silver supply chain

5.9.1公司白銀供應鏈相關工作人員如發現違規行為、事項,應及時向所在單位、分子公司合規專員進行書而或電話報告,合規專員向所在單位、分子公司分管領導進行報告,同時將發現的違規行為、事項及處理建議及時向公司合規專員報告,公司合規專員向公司白銀供應鏈管理領導小組組長匯報。

5.9.1 Ifany violations or matters found,the relevant staff of the silver supply chain of the Companyshall promptly report in writing or by telephone to theCompliance Officer of their organizations or constituent company. The ComplianceOfficer shall report to the leaders in charge of theorganizations and theconstituent companyand shall alsopromptly report the found violations, matters and handling suggestions to the ComplianceOfficer of the Company. The ComplianceOfficer of the Company shall report to the leader of the Silver Supply Chain Management Leading Group of the Company.

5.9.2發現存在有關白銀提取、運輸或貿易的系統性或廣泛人權侵犯行為,或者供應商向非法的非政府武裝組織提供直接或直接支持,或者欺詐掩蓋白銀的原產地或者存在洗錢或恐怖主義融資等事項時,通報與該供應商解除合同關系,相關業務員立即實施。

5.9.2In case systematic or widespread human rights violations are found in relation to the extraction, transportation or trade of silver, or when suppliers provide direct or direct support to illegal non-governmental armed organizations, or fraudulently cover up the origin of silver or there are matters such as money laundering or terrorist financing, the relevant salesman shallnotify the supplier of the termination of the contractual relationship.

5.9.3發現可能存在有關白銀提取、運輸或貿易的系統性或廣泛人權侵犯行為,或者供應商向非法的非政府武裝組織提供直接或間接支持,或者欺詐掩蓋白銀的原產地或者存在洗錢或恐怖主義融資等事項時,立即暫停交易,并對供應鏈客商進行專項調查,結合調查的結果來確定是否繼續進行交易。

5.9.3It is discovered that there may be systematic or widespread human rights violations relating to the extraction, transportation or trade of silver, or when suppliers provide direct or indirect support to illegal non-governmental armed organizations, or fraudulently cover up the origin of silver or there are matters such as money laundering or terrorist financing, the transaction shall be suspended immediately, and a special investigation shall be conducted on supply chaintraders to determine whether to continue the transaction in combination with the results of the investigation.


5.10白銀供應鏈交易監控

5.10 Silver supply chain transaction monitoring

5.10.1為確保公司白銀供應鏈交易符合LBMA白銀負責任指南要求,與公司對于供應鏈調查評估的風險一致,保證公司白銀的來源合規合法,公司應獲取收到的每一批原料的相關資料。

5.10.1The Company shall obtain relevant information on each batch of raw materials received to ensure that the Company’s silver supply chain transactions meet the requirements of LBMA Responsibility Silver Guidance,andare consistent with the Company’s risks in the supply chain investigation and assessment, and ensure compliant and legal sources ofthe Company’s silver.

5.10.2重量和品質數據,運輸單據(貨運單、航運單、鐵路大票、形式發票等),進出口相關單據,能夠獲取的其他資料信息。

5.10.2 Weight and quality data, transportation documents (freight bills, shipping bills, railway tickets, pro forma invoices, etc.), import and export related documents, and other information that can be obtained.

5.10.3交易過程中出現高風險交易情況,業務人員必須要求客戶提供相應資料進行相互印證,核實是否真實相符,同時進行交易背景調查,情況不一致的需要通過調查并得出書面調查結果。

5.10.3 In case of high-risk transactions during the transaction, the business personnel must require the customers to provide corresponding information to verify each other, verify whether it is true and consistent, and conduct transaction background investigation at the same time. In case of inconsistent situations, the business personnel mustconduct investigation and obtain written investigation results.

5.10.4每年合規專員組織實施LBMA負責任白銀年度內部合規性審核,并編制年度合規性報告,并向公司LBMA負責任白銀供應鏈管理領導小組領導報告。

5.10.4 Every year, the ComplianceOfficer organizes and implements the annual internal compliance audit of LBMA responsible silver, prepares the annual compliance report, and reports to the leader of the leading groupof theCompany’s LBMA responsible silver supply chain management.


5.11白銀供應鏈第三方審核監督

5.11 Third party audit and supervision of silver supply chain

5.11.1由指定認可的第三方審計機構開展年度第三方審核,確保持續改進。

5.11.1 An annual third-party audit shall be conducted by a designated and recognized third-party audit institution to ensure continuous improvement.

5.11.2針對第三方審核機構在審核過程中提出的風險、問題,涉及白銀供應鏈管理的部門、分子公司,需認真對照問題,制定改進措施、時限、責任人等。

5.11.2 In view of the risks and problems raised by the third-party audit institutions during the audit process, departments andconstituentcompanies involved in silver supply chain management shall carefully compare the problems and formulate improvement measures,settime limits,assignresponsible persons, etc.


5.12問責

5.12 Accountability

5.12.1公司各相關部門、分子公司涉及白銀供應鏈的員工,沒有按照本規定要求開展工作,造成不良后果的,根據情節嚴重情況,依據公司相關問責管理規定進行處理。

5.12.1 If employees of relevant departments andconstituent companies of the Company involved in the silver supply chain fail to carry out their work in accordance with the requirements of this Regulation, resulting in adverse consequences, they shall be dealt with according to the relevant accountability management regulations of the Companybased on the serious circumstances.


6相關文件

6Relevant Documents

《關于LBMA負責任白銀的公告》

Announcement on LBMA Responsible Silver

《關于LBMA負責任白銀原料采購聲明》

Statement on LBMA Responsible Silver Raw Material Purchase

《關于LBMA負責任白銀合規小組任命的通知》

Notice on Appointment of LBMA Responsible Silver Compliance Team

《供應鏈盡職調查表》

Due Diligence Questionnaire onSupply Chain

《白銀供應鏈盡職調查風險評價標準》

Due Diligence Risk Assessment Standard ofSilver Supply Chain

《白銀供應鏈盡職調查風險評價表》

Due Diligence Risk Assessment Form ofSilver Supply Chain



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