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            深圳市點金貴金屬精煉有限公司黃金白銀供應鏈盡職調查規則

              發表時間:2021-09-23 17:29:43     瀏覽:932

            深圳市點金貴金屬精煉有限公司

            黃金、白銀供應鏈盡職調查規則

            Due Diligence Rules of Gold and Silver Supply Chain

            of Shenzhen Point Gold Refining Co., Ltd.

             

            1、適用范圍

            1. Scope of application

            本黃金、白銀供應鏈盡職調查規則,適用于深圳市點金貴金屬精煉有限公司、以及與深圳市點金貴金屬精煉有限公司有黃金/白銀交易,黃金/白銀加工的所有黃金/白銀供應商,黃金/白銀相關合作伙伴。(包括黃金/白銀生產商、中間商、交易商、出口商和運輸商。)

            The Due Diligence Rules of Gold and Silver Supply Chain are applicable to Shenzhen Point Gold Refining Co., Ltd. and all gold/silver suppliers and gold/silver-related partners who have gold/silver transactions and gold/silver processing with Shenzhen Point Gold Refining Co., Ltd. (including gold/silver manufacturers, middlemen, traders, exporters and transporters.)

            2、公司內部組織架構及責任

            2. Internal organizational structure and responsibilities of the Company

            2.1黃金、白銀供應鏈公司內部組織架構

            2.1 Internal organizational structure of the Company for gold and silver supply chain

            深圳市點金貴金屬精煉有限公司為黃金、白銀供應鏈盡職調查設立了專門的組織,組織架構如下:

            Shenzhen Point Gold Refining Co., Ltd. has set a special organization for the due diligence of gold and silver supply chains. The organizational structure is as follows:

             

            2.2 黃金、白銀供應鏈公司管理體系建設與內部組織責任 

            2.2 Management system construction and internal organizational responsibility of the Company for gold and silver supply chain

            公司嚴格遵守LBMA黃金、白銀責任指南第一步建立強大的公司管理體系的要求,已經建立了強大的管理體系,確保供應鏈盡職調查工作全面落實。公司通過并出臺了一項供應鏈盡職調查政策,該政策符合經合組織《來自受沖突影響和高風險地區礦石負責任供應鏈盡職調查指南》,并擴展至環境和可持續性責任。

            The Company strictly follows the requirements of “establishing strong company management systems” in Step 1 of LBMA Responsible Gold and Silver Guidance and has established strong management systems to ensure the full implementation of supply chain due diligence. The Company has approved and issued a supply chain due diligence policy, which is in line with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and extends to environmental and sustainability responsibilities.

            公司根據《LBMA負責任的黃金(白銀)指南》制訂了《供應鏈盡職管理辦法》、《供應鏈盡職管理政策》,明確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標準、調查處理程序、交易監控、文件保存等內容。

            The Company has formulated the Supply Chain Due Diligence Management Measures and Supply Chain Due Diligence Management Policy according to the LBMA Responsible Gold (Silver) Guidance stipulating the organizational structure, responsibilities and definition of high-risk areas of supply chain due diligence and developed high-risk supply chain evaluation standards, investigation and handling procedures, transaction monitoring, document preservation, etc.

            公司建立了一套供應鏈可追溯體系,收集和維護每一批產品的供應鏈信息,為每一批出庫的產品分配唯一編號,并可通過二維碼進行溯源。所有的供應商都會被進行資信調查,資信調查通過后簽訂合同,約定原料合法符合LBMA盡職調查政策。供應商送的每一批來料,都有入庫單,表明產品類型、重量、驗收人員和供應商簽字確認,經熔煉取樣化驗,最后形成標準金銀產品,分配唯一編號,通過上海黃金交易所進行交易。

            A set of supply chain traceability systems has been established by the Company to collect and maintain the supply chain information of each batch of products, assign a unique number to each batch of ex-warehouse products, and trace the source through QR code. All suppliers will be subject to credit investigation. After the credit investigation is passed, a contract will be signed to stipulate that the raw materials are legal and meet the requirements of LBMA due diligence policy. With regard to each batch of incoming materials sent by the supplier, the materials shall be provided with in-warehouse sheets indicating the product type, weight, acceptance personnel and the supplier’s signature for confirmation. After smelting, sampling and testing, the standard gold and silver products are finally formed with a unique number and can be traded through the Shanghai Gold Exchange.

            公司設置的合規風控總監、合規風控專員、部門合規專員職責如下:

            The responsibilities of the Compliance Risk Control Director, Compliance Risk Control Officer and Compliance Officer of Department set by the Company are as follows:

            2.2.1 Compliance Risk Control Director

            深圳市點金貴金屬精煉有限公司授權的高級管理者:施巍

            Authorized Senior Manager of Shenzhen Point Gold Refining Co., Ltd.: Shi Wei

            合規風控總監對黃金、白銀供應鏈上的所有事情負責,負責監督供應鏈盡職調查的實施與改進,確保在供應鏈交易時采取恰當的措施,提交風險評估報告。

            The Compliance Risk Control Director is responsible for all matters in the gold and silver supply chain, such as supervising the implementation and improvement of supply chain due diligence to ensure that appropriate measures are taken in supply chain transactions and the risk assessment report is submitted.

            1)有權監查黃金、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 supervise the due diligence process of the gold and silver supply chain and evaluate whether the due diligence is adequately performed. Have the right to request additional documents or information if deemed necessary.

            2)如存在高風險供應鏈或交易,需要及時向集團分管領導匯報。

            (2) Timely report to the leader in charge of the group if there is a high-risk supply chain or transaction.

            3)每年組織一次對員工進行黃金、白銀供應鏈規則的培訓,起草和更新黃金、白銀供應鏈規則,為高級管理層履責提供準確的信息。

            (3) Organize training on gold and silver supply chain rules for employees once a year, draft and update gold and silver supply chain rules, and provide accurate information for senior management to fulfill responsibilities.

            4)每年安排風險合規專員至少一次對重要客戶及潛在的高風險客戶進行現場調查。

            (4) Assign the Risk Compliance Officer to conduct on-site investigation on important customers and potential high-risk customers at least once a year.

            5)協助與鼓勵黃金/白銀原料供應商及黃金/白銀交易客戶承諾遵守黃金/白銀供應鏈盡職規則。

            (5) Assist and encourage gold/silver raw material suppliers and gold/silver trading customers to make a commitment to conform to the gold/silver supply chain due diligence rules.

            6)建立完善的管理體系,并對供應商采納的盡職調查實踐聘用獨立的第三方進行審計。

            (6) Establish a sound management system and employ an independent third party to audit due diligence practices approved by suppliers.

            7)負責起草內部的LBMA供應鏈盡職管理合規報告。

            (7) Take charge of drafting internal LBMA supply chain due diligence management compliance report.

            2.2.2合規風控專員

            2.2.2 Compliance Risk Control Officer

            深圳市點金貴金屬精煉有限公司授權的合規風控專員:黃靜

            Authorized Compliance Risk Control Officer of Shenzhen Point Gold Refining Co., Ltd.: Huang Jing

            合規風控專員其職責為定期根據合規審核流程,針對已識別的風險實施應對策略,為合規風控總監履責提供準確的信息。 

            The Compliance Risk Control Officer is responsible for regularly implementing corresponding strategies for identified risks in accordance with the compliance audit process and providing accurate information for the Compliance Risk Control Director to fulfill his/her responsibilities.

            1收集、整理LBMA供應鏈相關數據,配合合規風控總監完成日常合規報告。

            (1) Collect and sort out LBMA supply chain-related data and cooperate with the Compliance Risk Control Director to complete the daily compliance report.

            2做好供應鏈風險識別評估,風險評估建立相關人員職責。

            (2) Implement the supply chain risk identification and assessment and fulfill the responsibility of relevant personnel related to risk assessment establishment.

            3)不定時上報員工對黃金、白銀供應鏈或者任何新確認的風險的建議和意見,并提出自己的意見。

            (3) Report suggestions and opinions of employees on gold and silver supply chains or any newly identified risks from time to time and put forward their own opinions.

            2.2.3業務部合規專員

            2.2.3 Compliance Officer of Business Department

               深圳市點金貴金屬精煉有限公司授權的業務部合規專員:莊淸雄

            Authorized Compliance Officer in Business Department of Shenzhen Point Gold Refining Co., Ltd.: Zhuang Qingxiong

            業務部合規專員負責收集與保存足夠的供應鏈的證明文件,如供應商營業執照、采礦許可證、身份證復印件,黃金、白銀采購合同、供應商社會責任承諾書等。

            The Compliance Officer of Business Department is responsible for collecting and keeping sufficient supporting documents of the supply chain, such as copies of the supplier’s business license, mining license, ID card, gold and silver purchase contracts, supplier’s social responsibility commitment letter, etc.

            1)負責原材料采購,確保黃金/白銀原料供應的穩定性、安全性,并拒絕與高風險地區的相關企業、組織或國家合作。

            (1) Take charge of purchasing raw materials to ensure the stability and security of gold/silver raw material supply and refusing to cooperate with relevant enterprises, organizations or countries in high-risk areas.

            2)業務部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。

            (2) The Business Department shall confirm the identity information of the free carrier and adopt a supervision mechanism during the transaction to guarantee the security of the transaction and ensure that the Company does not involve terrorist financing.

            3)評估和識別供應鏈風險,報告供應鏈盡職調查的情況。 

            (3) Assess and identify supply chain risks and report the conditions of supply chain due diligence.

            4)每年至少一次對重要客戶(年供應量達到1000kg)進行現場調查;

            (4) Conduct on-site investigation on important customers (annual supply up to 1000kg) at least once a year;

            5)協助與鼓勵現貨黃金/白銀供應商承諾且書面確認遵守黃金/白銀供應鏈盡職規則;

            (5) Assist and encourage spot gold/silver suppliers to commit and confirm in writing to comply with the gold/silver supply chain due diligence rules;

            6)如出現異常情況需及時向合規風控總監報告。

            (6) Timely report to Compliance Risk Control Director in case of any abnormal situation.

             

            2.2.4 財務合規專員 

            2.2.4 Financial Compliance Officer

            深圳市點金貴金屬精煉有限公司授權的財務部合規專員:張利萍

            Authorized Compliance Officer in Financial Department of Shenzhen Point Gold Refining Co., Ltd.: Zhang Liping

            財務部合規專員其職責為完整保存所有客戶的交易憑證。

            The Compliance Officer in the Financial Department is responsible for keeping the transaction vouchers of all customers in full.

            1)對供應鏈合同價格、原料金/銀與成品金/銀的出入庫數據進行財務入賬,做好相關發票、付款憑證歸檔備案。

            (1) The Compliance Officer should conduct the financial entry of the in-and-out-of-storage data of the supply chain contract prices, raw material gold/silver and finished gold/silver products, and take care of the filing and recording of relevant invoices and payment vouchers.

            2)防范相應的財務風險,并在發現風險時及時向合規風控總監匯報。

            (2) The Compliance Officer should prevent corresponding financial risks and report risks (if any) to the Compliance Risk Control Director timely.

            3)定期對公司生產車間與收發庫房進行金銀物料出入庫數量盤點。月末財務人員正式盤點前,收發庫管人員須對庫存金銀料進行預盤,每月財務人員盤點后,要求收發與統計員每月月末出具盤點對帳,編制盤點表。                                                                                                                                            

            (3) The Compliance Officer should regularly check the in-and-out-of-storage inventory of gold and silver materials for the Production Workshop and the incoming and outgoing warehouse of the Company. Before the official inventory by financial personnel at the end of each month, the incoming and outgoing warehouse managers must carry out pre-inventory of gold and silver materials in stock. After the inventory by financial personnel every month, warehouse managers are required to issue the inventory reconciliation statement with the statistical clerk at the end of each month and prepare the inventory lists.

            4)交易憑證包括但不限于:出入庫單、客戶相關合法資質證明等,記錄保存至少5個會計年度。

            (4) Transaction vouchers include but are not limited to: in-and-out-of-storage sheet and relevant legal qualification proof of customers, etc. The records must be kept for at least 5 accounting years.

            2.2.5物流合規專員 

            2.2.5 Logistical Compliance Officer

            深圳市點金貴金屬精煉有限公司授權的物流合規專員:劉彬

            Authorized Logistical Compliance Officer of Shenzhen Point Gold Refining Co., Ltd.: Liu Bin

            物流合規專員其職責為選擇符合黃金、白銀運輸資質要求的運輸公司、保險公司。

            The Logistical Compliance Officer is responsible for selecting transport companies and insurance companies meeting the gold and silver transport qualification requirements.

            1)建立供應鏈追溯系統,收集并維護每一批次來料的供應鏈信息,包括為每一批次輸入及輸出分配一個單獨參考編號: 

            (1) A supply chain tracing system should be established and the supply chain information of all incoming batches should be collected and maintained, including the allocation of the independent reference number for all inputs and outputs:

            a)黃金/白銀產品向上追溯(黃金/白銀原料) 

            a) Tracing up of gold/silver products (gold/silver - raw materials)

               -含金/銀物料類型(礦產黃金/白銀、再生黃金/白銀); 

            -- Gold/silver-containing material type (mineral gold/silver, renewable gold/silver);

            -入庫重量和分析報告;   

            --Storing weight and analysis reports;

             -原料入庫日期和成品入庫日期;

            -Raw material storing date and finished product storing date

            b)黃金/白銀產品向下追溯(黃金/白銀顧客) 

            b) Tracing down of gold/silver products (gold/silver-customers)

               -顧客信息; 

            -Customer information;

               -交易重量和分析報告; 

            -Transaction weight and analysis reports;

               -出庫日期。 

            -Delivery date.

            2)按要求保存每一批料的運單、保單,并跟蹤運單情況,確定運輸公司或保險公司運輸路線;

            (2) The shipping documents and insurance policies of all incoming batches should be kept as specified and the shipping documents should be traced with the transport route of the transport company or insurance company determined;

            3)如出現異常情況需及時向合規風控總監報告。

            (3) Any abnormalities (if any) must be reported to the Compliance Risk Control Director timely.

            2.2.6綜合部合規專員

            2.2.6 Compliance Officer of General Affairs Department

            深圳市點金貴金屬精煉有限公司授權的綜合部合規專員:楊汝愛 

            Authorized Compliance Officer in General Affairs Department of Shenzhen Point Gold Refining Co., Ltd.: Yang Ruai

               負責日常來料管理,征集各部門與員工意見,整理收集相關資料。 

            The Compliance Officer is responsible for incoming management, collecting opinions from various departments and the staff, sorting and collecting relevant data.

            2.2.7檢測部合規專員

            2.2.7 Compliance Officer of Testing Department

               深圳市點金貴金屬精煉有限公司授權的檢測部合規專員:林宇航

            Authorized Compliance Officer in Testing Department of Shenzhen Point Gold Refining Co., Ltd.: Lin Yuhang

               負責所有來料與生產樣的檢測工作,確保檢測的及時性和準確性,并保存好檢測單據。

            The Compliance Officer is responsible for testing all incoming materials and manufactured samples, guaranteeing the timeliness and accuracy of the test and keeping test documents well.

            3、高風險黃金、白銀供應鏈評判標準 

            3. High-risk gold and silver supply chain evaluation criteria

            3.1高風險黃金、白銀供應鏈注意事項 

            3.1 Precautions for high-risk gold and silver supply chains

            1、與黃金/白銀開采、運輸和交易有關的系統化、廣泛化的侵犯人權行為,強制勞役、童工、殘酷,非人道和羞辱虐待;

            1. Systematic or widespread abuses of human rights related to gold/silver mining, transport and transaction, forced labor, child labor, torture, inhuman and degrading treatment;

            2、有戰爭犯罪,違反國際人權法,人權犯罪或種族屠殺;

            2. War crimes, violations of international human rights laws, crimes related to human rights or ethnic cleansing;

            3、直接或間接的支持非政府武裝集團、公共或私人安全部隊,購買貴金屬或提供協助的(參考OECD沖突影響地區和高風險地區礦產供應鏈盡職調查指南黃金、白銀附錄中的定義);

            3. Purchasing precious metals or assistance for direct or indirect support for non-governmental armed groups, public or private security forces (refer to definitions in the Gold and Silver Appendix to OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas);

            4、賄賂而來或者是掩蓋黃金、白銀真實來源;

            4. Acquisition of gold or silver through bribery or concealing the origin of gold or silver;

            5、存在洗錢或自高風險、沖突地區采購貴金屬;

            5. Purchasing precious metals from areas with money laundering or inherent high risks or areas of conflict;

            6、存在恐怖主義融資;

            6. Existence of terrorist financing;

            7、存在加劇沖突;

            7. Existence of intensified conflicts;

            8、可能開采黃金利用汞生產而得;

            8. Utilization of mercury production for mining gold;

            9、可能不遵守環境和可持續發展法律要求,開采黃金源于世界遺產遺址或國內生態自然保護區;

            9. Possibility of violating legal requirements concerning environmental protection and sustainable development, gold mining from world heritage sites or domestic ecological natural reserves;

            10、存在礦產資源開發過程中引起的土壤侵蝕、水土流失、土地沙漠化。地面沉降、塌陷,山體崩塌、滑坡、泥石流等地質災害;

            10. Existence of soil erosion, water and soil loss, land desertification, land subsidence, collapse, mountain collapse, landslide, debris flow and other geological disasters arising from the development of mineral resources;

            11、存在廢渣、廢水、廢氣排放對水體、土壤、空氣的污染。對野生動植物資源和自然地質地貌景觀的破壞、危及公民健康和財產損害。

            11. Existence of water, soil and air pollution due to waste residues, wastewater and water gas, destruction of wild animal and plant resources and natural geomorphological landforms, citizens health endangered and property loss.  

            3.2黃金、白銀供應鏈高風險類別標準 

            3.2 High-risk gold and silver supply chain classification criteria

            1、礦產金銀或再生金銀來源于、中轉或者運經沖突影響或侵犯人權高風險地區。

            1. Mineral silver or renewable silver originates from, is transferred via or passes areas impacted by conflicts or with high risks of human rights abuse.

            2、礦產金銀聲稱來源于一個已知儲量有限、資源有限或預計黃金、白銀產量有限的國家。

            2. Mineral gold and silver are said to originate from a country that is known or expected with limited reservoirs or yield.

            3、再生金銀來源于已知的沖突影響和侵犯人權的高風險地區,或者有理由懷疑經此地區中轉的。

            3. Renewable gold and silver originate from known areas impacted by conflicts and with high risks of human rights abuse, or are reasonably suspected to be transferred via such areas.

            4、在黃金、白銀供應鏈中的公司或者其他已知的上游公司位于一個有著洗錢、犯罪和貪污高風險的國家。

            4. Companies on the gold and silver supply chains or other known upstream companies are located in a country with high risks of money laundering, crimes and corruption.

            5、在黃金、白銀供應鏈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. The beneficiaries of companies on the gold and silver supply chains or other known upstream companies are politically sensitive.

            6、在黃金、白銀供應鏈中的公司或其他已知的上游公司積極參與高風險商業活動,例如武器、賭博、賭業、古董和藝術品、鉆石,宗教和宗教領袖。

            6. Companies on the gold and silver supply chains or other known upstream companies are actively involved in high-risk business activities, e.g., weapons, gambling, gaming industry, antiques, artworks, diamonds, religion and religious leaders.

            7、在黃金、白銀供應鏈中公司或其他已知的上游公司存在侵犯職工權利、環境保護等各項法律法規的情況。 

            7. Companies on the gold and silver supply chains or other known upstream companies infringed the rights of employees and violated environmental protection and other laws and regulations, etc.

            3.3黃金、白銀供應鏈公司內部評估等級 

            3.3 Internal class rating of companies on gold and silver supply chains

            風險分級

            Risk Ranking

            序號

            S/N

            風險等級

            Risk level

            風險值(R

            Risk value (R)

            控制要求

            Control requirements

            1

            (i)低風險

            (i) Low risk

            R≥6

            R≥6 points

            繼續交易減少風險

            Continue transactions to reduce risks

            2

            (ii)中風險

            (ii) Medium risk

            2分<R6

            2 pointsR6 points

            暫停交易減少風險

            Suspend transactions to reduce risks

            3

            (iii)高風險

            (iii) High risk

            R≤2

            R≤2 points

            停止交易擺脫風險

            Cease transactions to reduce risks

             

            風險等級分值 

            Risk Level Scores

            序號

            S/N

            評估方

            Assessed by

            評估內容

            Assessment content

            分值

            Score

            1

            商業交易方
            (含銀行)

            Business counterparty (including banks)

            1.1相關營業執照等

            1.1 Relevant business license, etc.

            6

            6 points


            1.2相關收益人

            1.2 Relevant beneficiary

            2

            2 points


            1.3收益人身份文件

            1.3 Identity documents of the beneficiary

            2

            2 points


            1.4相關商業關系

            1.4 Relevant business relations

            2

            2 points


            1.5財務狀況

            1.5 Financial conditions

            2

            2 points


            1.6 黃金/白銀源產地資料信息等

            1.6 Gold/silver origin data, etc.

            6

            6 points

            2

            礦場方

            Minefields

            2.1證明合理和善意之努力識別黃金或白銀的產地來源

            2.1 Proof showing the rationality of goodwill of efforts to identify the origin of gold or silver

            6

            6 points



            2.2采礦許可證

            2.2 Mining permit

            3

            3 points



            2.3/出口黃金/白銀許可證

            2.3 Gold/silver import/export license

            5

            5 points



            2.4采礦情況信息

            2.4 Mining information

            2

            2 points



            2.5開采能力的數據

            2.5 Data related to mining capacity

            2

            2 points

            3

            回收金

            Gold recovery

            (含自然人)

            (Including natural persons)

            3.1再生金銀供應商資質信息

            3.1 Qualification information of renewable gold and silver suppliers

            6

            6 points


            3.2再生金銀供應商商業關系

            3.2 Business relations of renewable gold and silver suppliers

            2

            2 points


            3.3再生金銀供應商黃金/白銀來源證明

            3.3 Proof of origin of gold/silver by renewable gold and silver suppliers

            4

            4 points


            3.4再生金銀供應商相關收益人背景情況描述等

            3.4 Description of the relevant beneficiarys background information of renewable gold and silver suppliers

            4

            4 points


            3.5再生金銀供應商相關收益人身份文件

            3.5 Relevant beneficiarys identity documents of renewable gold and silver suppliers

            4

            4 points

             

            4、黃金、白銀供應鏈盡職調查規定

            4. Provisions on due diligence of gold and silver supply chain

            4.1 黃金、白銀供應鏈盡職調查措施

            4.1 Due diligence measures of gold and silver supply chain

            公司內部對所有黃金白銀交易、黃金白銀加工的所有黃金白銀供應商、黃金白銀相關合作伙伴,建立相應的黃金、白銀供應鏈盡職調查措施,并在交易時明確告知。黃金、白銀供應鏈盡職調查措施主要包含: 

            The Company shall establish corresponding due diligence measures for gold and silver supply chain for all gold and silver suppliers and gold and silver related partners engaged in gold and silver transactions and gold and silver processing, and clearly inform them at the time of transaction. The due diligence measures of gold and silver supply chain mainly include:

            1、建立供應鏈客戶檔案。包括:名稱、法定代表人、地址、聯系方式、運營方式、交易合同等。

            1. Establish supply chain customer files, including: name, legal representative, address, contact information, operation mode, transaction contract, etc.

            2、對既有供應鏈客戶需定期進行核查,如有新建及變更的客戶,需及時對其進行檔案資料核查,并更新檔案資料庫。

            2. Check the existing supply chain customers regularly. Check the archives in time and update the archives database if there are new and changed customers.

            3、確定供應鏈的每一客戶不在任何政府的洗錢、詐騙或恐怖主義通緝名單上。

            3. Ensure that each customer in the supply chain is not on any government’s money laundering, fraud or terrorism wanted list.

            4、定期獲取供應鏈客戶經營狀況(包括商業與財務詳情)及交易目的信息。

            4. Regularly obtain information on the operation status (including commercial and financial details) and transaction purpose of supply chain customers.

            4.2 礦產金銀客戶

            4.2 Mineral gold and silver customers

            礦產金、銀客戶,在交易時,需注意以下問題,同時告知客戶:

            For customers of mineral gold and silver, it is needed to pay attention to the following problems and inform customers at the same time:

            1、必須獲得黃金、白銀的產地來源信息;

            1. Obtain origin information of gold and silver;

            2、提供采礦許可證;

            2. Provide mining license;

            3、提供進/出口黃金、白銀許可證;

            3. Provide import/export licenses for gold and silver;

            4、采礦情況信息證明,包括:是否侵犯人權、是否違規操作等;

            4. Provide evidence of mining information, including whether human rights are violated, whether illegal operations are carried out, etc.;

            5、開采能力數據;

            5. Mining capacity data;

            6、公司會持續不斷的對礦產金、銀客戶進行盡職調查。

            6. The Company will continue to conduct due diligence on mineral gold and silver customers.

            4.3 自手工礦和小型礦的礦產金、銀客戶

            4.3 Gold and silver customers from artisanal mines and small mines

            自手工礦和小型礦的礦產金、銀客戶,在交易時,需注意以下問題,同時告知客戶:

            For gold and silver customers from artisanal mines and small mines, it is needed to pay attention to the following problems and inform customers at the same time during transaction:

            1、該手工/小型礦是否合法,提供相關資質證書;

            1. Whether the manual/small mine is legal; Provide relevant qualification certificates;

            2、黃金、白銀不是來自于合法的手工/小型礦時,公司會采取保障措施(如:拒絕向其采購或馬上暫?;蛑袛嗯c其來往,待其變為合法時再與其來往);

            2. When gold and silver do not come from legal manual/small mines, the Company will take safeguard measures (such as refusing to purchase from them or suspending or interrupting their contacts immediately, and then dealing with them when they become legal);

            3、公司會持續不斷的對手工/小型礦客戶進行盡職調查。

            3. The Company will continuously conduct due diligence on manual/small mine customers.

            4.4 回收金銀客戶

            4.4 Customers of recycled gold and silver

            回收金、銀客戶,在交易時,需注意以下問題,同時告知客戶:

            For customers of recycled gold and silver, it is needed to pay attention to the following problems and inform customers at the same time:

            1、再生金、銀供應商需提供合法的商業關系,包括:再生金、銀來源證明、收益人證明等;

            1. Customers of recycled gold and silver shall provide legal business relations, including: certificate of source of recycled gold and silver, certificate of beneficiary, etc.;

            2、公司會持續不斷的對再生金、銀客戶進行盡職調查。

            2. The Company will continue to conduct due diligence on customers of recycled gold and silver.

            4.5 高風險情況處理步驟

            4.5 Handling steps for high-risk situations

            通過風險等級判斷,出現高風險情況時,公司將采取以下步驟進行處理:

            Judging from the risk level, the Company will take the following steps to deal with high-risk situations:

            1、現場調查/訪問高風險供應鏈,證實供應鏈盡職調查文件記錄的調查結果。

            1. On-site investigation/visit to high-risk supply chain to confirm the findings recorded in the supply chain due diligence document.

            2、對于大規模開采的黃金、白銀: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(包括黃金白銀生產商、中間商、交易商、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。

            2. For gold and silver mined on a large scale: Documents, data and information from credible and independent sources are used to verify the situation. From mines to refineries, the income owners and government monitoring list information of every company in the supply chain (including gold and silver producers, intermediaries, traders, exporters and transporters) are required to be verified.

            3、對于手工/小型礦開采的黃金、白銀:使用可靠的獨立來源的文件、數據和信息來核實情況,從黃金、白銀出口商到精煉廠,供應鏈中每一家公司(包括國際黃金、白銀交易商和運輸商)的收益所有人和政府監控名單信息都要求要核實。

            3. For gold and silver mined by manual/small-scale mines: Documents, data and information from reliable independent sources are used to verify the situation. From gold and silver exporters to refineries, the income owner and government monitoring list information of every company in the supply chain (including international gold, silver dealers and transporters) are required to be verified.

            4、對于回收金、銀:使用可信的獨立來源的文件、數據和信息來核實情況,從黃金、白銀供應方到精煉廠,供應鏈中每一家公司(包括運輸商)的收益所有人和政府監控名單信息都要求要核實。

            4. For the recycled gold and silver: Documents, data and information from credible and independent sources are used to verify the situation. From the gold and silver suppliers to the refineries, the income owners and government monitoring list information of each company in the supply chain (including transporters) are required to be verified.

            5、黃金、白銀供應鏈交易監控

            5. Gold and silver supply chain transaction monitoring

            公司將對交易關聯的過程貫穿始終的審查和監管,來確保交易時對供應鏈的了解和風險預測一致。對交易的監管運用基于風險的方法來開展。

            The Company will always review and supervise the process of transaction correlation to ensure that the understanding of supply chain and risk prediction is consistent during transaction. The supervision of transactions is carried out using a risk-based approach.

            因此,公司對每一批收到的黃金、白銀獲取并記錄以下信息:

            Therefore, the Company obtains and records the following information for each batch of gold and silver received:

            5.1 原生金銀

            5.1 Primary gold and silver

            1、預估的重量和化驗結果(來自供應方)。

            1. Estimated weight and test results (from the supplier).

            2、航運/貨運單據(運貨/空運單、形式發票)。

            2. Freight/shipping documents (freight/air waybill, proforma invoice).

            3、高風險交易的進出口表格。

            3. Import and export forms for high-risk transactions.

            5.2 回收金銀

            5.2 Recycled gold and silver

            1、預估重量(來自供應方)。

            1. Estimated weight (from the supplier).

            2、航運/貨運單據(運貨/空運單、形式發票)。

            2. Freight/shipping documents (freight/air waybill, proforma invoice).

            3、回收金、銀出現高風險交易情況,公司必須要求客戶提供相應文件進行相互印證,核實文件是否真實相符,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。

            3. In case of high-risk transaction of recycled gold and silver, the Company must require customers to provide corresponding documents for mutual confirmation, verify whether the documents are true and consistent, and conduct transaction background investigation. In case of inconsistency, it is necessary to conduct investigation and obtain written investigation results.

            每年各部門合規專員需向合規風控專員提交風險評估報告,由合規風控專員向合規風控總監提交匯總后的風險評估報告。

            The Compliance Officer of each department shall submit the risk assessment report to the Compliance Risk Control Officer every year, and the Compliance Risk Control Officer shall submit the summarized risk assessment report to the Compliance Risk Control Director.

            公司合規風控總監與高級管理層通過風險評估包括審批每一個評估為高風險的供應鏈,并每年重新決定是否繼續與之保持商業關系。

            The Compliance Risk Control Director and senior management of the Company approve each supply chain assessed as high risk through risk assessment, and re-decide whether to continue to maintain business relationship with it every year.

            6、黃金、白銀供應鏈盡職調查文件記錄保存

            6. Retention of due diligence documents and records of gold and silver supply chain

            公司要保存足夠的供應鏈的證明文件記錄,按照供應鏈盡職調查系統的標準來評判風險的要求,來證明充分且持續的完成了盡職調查。記錄保存至少5個會計年度。

            The Company shall keep sufficient supporting documents and records of the supply chain, judge the risk according to the standards of the supply chain due diligence system, and prove that the due diligence has been fully and continuously completed. Records shall be kept for at least 5 fiscal years.

            7、黃金、白銀供應鏈盡職培訓

            7. Gold and silver supply chain due diligence training

            公司每年會對黃金、白銀供應鏈中的所有員工進行該規則的培訓。并將培訓計劃納入公司年度培訓計劃當中。

            The Company will train all employees in the gold and silver supply chain on the rules every year. In addition, it is needed to incorporate the training plan into the Company’s annual training plan.

            7.1 培訓要求

            7.1 Training requirements

            所有員工必須參加,并通過培訓簽到的形式進行相關培訓確認。

            All employees must attend and confirm relevant training in the form of training sign-in.

            7.2 培訓方式

            7.2 Training methods

            采用內訓講解授課方式,講師由合規風控總監指定,人力資源部配合安排。

            Internal training and explanation are adopted. The lecturer is designated by the Compliance Risk Control Director and arranged by the Human Resources Department.

            7.3 培訓反饋

            7.3 Training feedback

            培訓后,由基層管理者進行培訓效果檢查。檢查不合規者,進行再培訓。再培訓名單由基層管理者提供。

            After the training, the grass-roots managers shall check the training effect. It is needed to check the non-compliance and conduct retraining. The retraining list shall be provided by grass-roots managers.

            7.4 培訓檔案

            7.4 Training files

            培訓后,需建立相應培訓檔案。記錄保存至少5個會計年度。

            After training, corresponding training files shall be established. Records shall be kept for at least 5 fiscal years.

            8、黃金、白銀供應鏈違規申訴通訊機制

            8. Gold and silver supply chain violation complaint communication mechanism

            所有公司內部黃金、白銀供應鏈相關工作人員如發現違規事項,應及時向所屬板塊合規專員進行郵件及電話申訴,再由合規風控專員向合規風控總監進行郵件及電話申訴。

            All internal gold and silver supply chain related staff of the Company shall timely appeal by email and telephone to the compliance officers of their respective sectors. If they find violations, and then the Compliance Risk Control Officer shall appeal by email and telephone to the Compliance Risk Control Director.

            序號

            No.

            職位

            Position

            姓名

            Name

            1

            合規風控總監

            Compliance Risk Control Director

            施巍

            Shi Wei

            2

            合規風控專員

            Compliance Risk Control Officer

            黃靜

            Huang Jing

            3

            業務部合規專員

            Compliance Officer of Business Department

            莊淸雄

            Zhuang Qingxiong

            4

            財務部合規專員

            Compliance Officer of Financial Department

            張利萍

            Zhang Liping

            5

            物流部合規專員

            Compliance Officer of Logistics Department

            劉彬

            Liu Bin

            6

            綜合部合規專員

            Compliance Officer of General Affairs Department

            楊汝愛

            Yang Ruai

            7

            檢測部合規專員

            Compliance Officer of Testing Department

            林宇航

            Lin Yuhang

             

            深圳市點金貴金屬精煉有限公司      

            Shenzhen Point Gold Refining Co., Ltd.                

            人力資源部

            Human Resources Department

            202018

            January 8, 2020

             



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