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            深圳市點金貴金屬精煉有限公司2020年度供應鏈盡職管理合規報告

              發表時間:2021-09-24 14:55:15     瀏覽:902

            深圳市點金貴金屬精煉有限公司

            2020年度供應鏈盡職管理合規報告


            公司名稱:深圳市點金貴金屬精煉有限公司

            Company name: Shenzhen Point Gold Refining Co., Ltd.

            位    置:深圳市龍崗區橫崗街道西坑社區西坑村潭面路3號廠房

            Address: Factory Building 1, No.3 Tanmian Road, Xikeng Village, Xikeng Community, Henggang Street, Longgang District, Shenzhen City

            年終報告:2020年度LBMA供應鏈盡職管理合規報告

            Year-end report: 2020 LBMA Due Diligence Management Compliance Report of Supply Chain

            報告日期:2021年1月20日

            Report date: January 20, 2021

            報告負責人:施巍  

            Person in charge of the Report: Shi Wei

            報告人職務:合規風控總監  13066888690@163.com

            Title of Reporter: compliance Risk Control Director 13066888690@163.com


            一、公司概況

            I. Company profile

            點金貴金屬精煉有限公司(以下簡稱點金貴金屬)成立于2015年,注冊資本1.5億人民幣,為深圳市金明豐珠寶有限公司旗下全資子公司。公司立足于貴金屬深加工及貿易,涉及了貴金屬精煉的創新、再生、安全環保、綠色發展及智慧社會等各個方面,形成了經濟效益高和研發能力高的“雙高”企業優勢。與此同時,點金貴金屬持有多個國家政策性準入牌照和資質,為企業未來發展奠定了堅實的基礎!

            Established in 2015 with a registered capital of RMB 150 million, Point Gold Refining Co., Ltd. (hereinafter referred to as Point Gold) is a wholly-owned subsidiary of Shenzhen Kin Ming Feng Jewelry Co., Ltd. Relying on the deep processing and trade of precious metals, Shenzhen Point Gold Refining Co., Ltd. engages in all aspects of precious metal refining, such as innovation, regeneration, safety and environmental protection, green development and smart society, forming a “double-high” enterprise advantage with high economic efficiency and high R & D capability. Meanwhile, Point Gold is provided with a number of national policy access licenses and qualifications, which lays a solid foundation for the future development of the enterprise!

             產品注冊商標“金?!迸?,2019年成為上海黃金交易所正式會員,開始為上海黃金交易所提供標準金錠(金條),主要的產品有為上交所提供AU99.99 的1000g、AU99.99的100g、50g小金條,2020年自主設計開發“金牛金條”品牌系列投資金產品在社會市場進行銷售,自投放市場以來,產品合格率為100%,顧客投訴為0,顧客滿意率為100%。

            The registered trademark of the product is the “Gold Bull” brand. In 2019, Point Gold has been approved as Standard Gold Ingots( Gold Bars) Enterprise by Shanghai Gold Exchange and began to provide standard gold ingots (gold bars) for Shanghai Gold Exchange. The main products include 1000g gold bars of AU99.99, 100g and 50g small gold bars of AU99.99 for Shanghai Gold Exchange. In 2020, it independently designed and developed the “Gold Bull” brand series of investment gold products for sale in the social market. Since the launch of the products into the market, the product qualification rate, the customer complaint and the customer satisfaction rate are 100%, 0 and 100% respectively.

            點金貴金屬工廠地處深圳市龍崗區橫崗街道西坑社區西坑村潭面路3號廠房,廠內擁有上百名專業人員,整個生產流程可實現70%自動化,并有針對性的解決生產節能環保、礦產資源綜合回收、生產廢水零排放三大技術難題,形成黃金產業的循環經濟發展模式。產品線涵蓋金、銀、鈀、鉑等貴金屬,數十種形態品質,上百種規格。點金工廠設備領先,技術齊全,截至目前,點金貴金屬黃金年提純產能達到80噸以上,銀年提純產能達到50噸以上。 

            The Factory of Point Gold is located in Factory Building 1, No.3 Tanmian Road, Xikeng Village, Xikeng Community, Henggang Street, Longgang District, Shenzhen City. The plant has hundreds of professionals. The whole production process can be 70% automated and is targeted to solve the three technical problems of production energy conservation and environmental protection, comprehensive recovery of mineral resources and zero discharge of production wastewater, forming a circular economy development model of the gold industry. The product line covers precious metals such as gold, silver, palladium and platinum with dozens of forms and qualities and hundreds of specifications. The Factory of Point Gold is equipped with advanced equipment and complete technique. The annual gold purification capacity and the annual silver purification capacity have reached more than 80 tons and more than 150 tons respectively.

             二、供應商情況概述

            II. Overview of suppliers

            公司主要原料來源為從社會中回收回來的合質金銀,其中以首飾為主。 

            The main raw material sources of the Company are the allowed gold and silver recovered from the society, mainly jewelry.

            三、合規情況概述

            III. Overview of compliance

            公司對所有供應商進行盡職的供應鏈調查,要求所有供應商提供的原料來源合法、合規。

            The Company conducted the due diligence supply chain investigation on all suppliers and required that the sources of the raw materials provided by all suppliers shall be legal and compliant.

            第一步 建立強大的公司管理體系

            Step 1: Establish strong company management systems

            合規聲明與要求:

            Compliance Statement with Requirement:

            我公司已經充分遵守第1步驟:建立強大的公司管理體系。

            We have fully complied with Step 1: Establish strong company management systems.

            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地。

            The Company strictly abided by 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 the supply chain due diligence.

            1.政策方面

            1. Policy aspect

            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,該政策在企業內外部公布于官網鏈接:http://www.carolinaautohunter.com/news/jituanyaowen/106.html。

            The Supply Chain Due Diligence Policy has been approved and issued by the Company, which complies 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. The Policy is published inside and outside the enterprise on the official website link: http://www.carolinaautohunter.com/news/jituanyaowen/106.html.

            政策要求公司及其供應商嚴格遵守國家關于職工權利、環境保護、公平交易等各項法律法規,積極參與供應鏈盡職調查工作,確保礦產金銀、再生金銀來源符合LBMA盡職調查管理要求,并作出承諾,拒絕來自侵犯人權、沖突地區、賄賂、洗錢、恐怖主義融資、非法開采、世界遺產遺址、采用汞開采等高風險地區的黃金、白銀。

            The Policy requires the Company and its suppliers to strictly abide by the national laws and regulations on employee rights, environmental protection, fair trade and other laws and regulations and vigorously engage in the supply chain due diligence to ensure that the sources of minerals of gold and silver and recycled gold and silver meet the LBMA’s due diligence management requirements. Besides, The Policy requires the Company and its suppliers to make a commitment to refuse gold and silver from areas involving human rights violations, conflicts, bribery, money laundering, terrorist financing, illegal mining and world heritage sites and other high-risk areas of mercury mining.

            2.管理架構

            2. Management structure

            公司已經建立了內部管理制度,按照出臺的政策對管理、作用和職責、內部審計、溝通進行界定、并開展高級管理層評審。

            The Company has established an internal management system to define the management, roles and responsibilities, internal audit and communication according to the issued policy while reviewing the senior management.

            2.1規章制度方面

            2.1 Rules and regulations

            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》,主要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。上述制度通過副總經理、董事長、董事會審批后以紅頭文的形式下發,作為文控處理。

            The Company has formulated the Due Diligence Management Measures of Supply Chain and Due Diligence Management Policy of Supply Chain according to the LBMA Responsible Gold /Silver Guidance, which mainly clarifies the organizational structure, responsibilities and definition of high-risk areas of supply chain due diligence and formulates high-risk supply chain evaluation standards, investigation and handling procedures, transaction monitoring, document preservation, etc. The above systems shall be issued in the form of red-headed text after being approved by the Deputy General Manager, Chairman and Board of Directors as document control.

            2.2職責與權限

            2.2 Responsibility and authority

            公司設置合規總監、合規風險專員、合規專員。

            The Company sets Compliance Director, Compliance Risk Officer and Compliance Officer.

            合規總監由公司副總經理負責公司供應鏈盡職調查工作,建立健全供應鏈盡職調查管理體系,監督供應鏈盡職調查流程,協調處理供應鏈盡職調查中的異常情況,審批合規報告。

            The Compliance Director is in charge of the Company’s supply chain due diligence by the Company’s Deputy General Manager. Specifically, the Compliance Director is responsible for the establishment and improvement of the due diligence management system of supply chain, the supervision of the supply chain due diligence process, the coordination and handling of abnormalities in the supply chain due diligence and the approval of the Compliance Report.

            合規風險專員指定營運板塊的財務部負責人擔任,負責有關供應鏈盡職調查管理的所有事項。負責制定并更新供應鏈盡職調查政策、制度,負責制定高風險供應鏈評判標準和執行供應鏈盡職調查措施,指導、協調、報告公司風險評估、應對和實施等情況,監督、檢查各部門的落實情況并考核,匯報供應鏈盡職調查中的異常情況。同時,對供應鏈盡職調查進行審核,并評估盡職調查是否充分,必要時收集額外文件或信息。負責有關責任供應鏈的員工培訓,編制并更新供應鏈政策,并向高級管理人員提供用于履行職責的適當信息。

            The Compliance Risk Officer is the person in charge of the Finance Department of the operation sector to be responsible for all matters related to the due diligence management of supply chain. Specifically, the Compliance Risk Officer takes charge of the formulation and updating of the supply chain due diligence policies and systems, the formulation of the high-risk supply chain evaluation standards and the implementation of the supply chain due diligence measures, the guidance, coordination and reporting of the Company’s risk assessment, response and implementation, the supervision and check of the implementation and assessment of all departments and the reporting of abnormalities in supply chain due diligence. At the same time, the Compliance Risk Officer is responsible for the review of the supply chain due diligence, the assessment on whether the due diligence is sufficient, the collection of additional documents or information if necessary, the organization of employee training on the responsible supply chain, the preparation and updating of supply chain policies and the supply of appropriate information for the senior managers to perform their duties.

            合規專員由業務部、物流部、財務部、工廠指派,負責嚴格執行供應鏈盡職調查措施和高風險供應鏈評判標準,收集并保存足夠的供應鏈證明文件,建立供應商盡職調查檔案,并定期對重要供應商進行現場調查。

            The Compliance Officer is appointed by the Business Department, Logistics Department, Finance Department and the Factory and is responsible for the strict implementation of the supply chain due diligence measures and high-risk supply chain evaluation standards, the collection and retention of sufficient supply chain supporting documents, the establishment of supplier due diligence files and the regular on-site investigation on important suppliers.

            3.強有力的內部追溯體系

            3. Strong internal traceability systems

            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。

            The Company has established a set of supply chain traceability systems for realizing the collection and maintenance of the supply chain information of each batch of products, the distribution of a unique number to each batch of products out of the warehouse and the traceability of the source through the two-dimensional code.

            3.1供應鏈可追溯體系

            3.1 Supply chain traceability systems

            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;熔煉取樣化驗,最后形成標準金銀,分配唯一編號,通過上海黃金交易所進行交易。

            The credit investigation will be implemented on all suppliers. After the credit investigation is passed, the contract will be signed to stipulate that the raw materials are legal and in line with LBMA Due Diligence Policy. For each batch of incoming materials sent by the suppliers, it shall be provided with the corresponding ex-warehouse sheet, indicating the product type, weight, acceptance personnel and the supplier’s signature for confirmation. After smelting, sampling and testing for the incoming materials, the incoming materials finally form standard gold and silver with a unique number and are traded through Shanghai Gold Exchange.

            3.2維護資料

            3.2 Maintenance data

            在業務開展前身份證、身份驗證資料、營業執照、資質驗證資料、供應商盡職調查表、每一批次的入庫單、出庫單、檢測單等相關記錄保存5年以上。

            Before the business operation, relevant records such as ID card, identity verification data, business license, qualification verification data, the supplier due diligence questionnaire form, the in-warehouse sheet, ex-warehouse sheet and test sheet of each batch of materials shall be kept for more than 5 years.

            3.3培訓

            3.3 Training

            公司每年將供應鏈盡職調查管理培訓納入公司年度培訓計劃當中,組織公司重點崗位以及合規員對供應鏈盡職調查管理的要求、內容以及LBMA負責任的黃金、白銀指南進行培訓,確保供應鏈盡職調查管理工作落到實處。2020年5月10日對公司各相關部門人員與工廠管理人員、生產人員進行了LBMA相關知識的培訓。

            The Company incorporates the due diligence management training of supply chain into the Company’s annual training plan every year. The Company works on implementing the due diligence management of supply chain through organizing the Company’s key posts and Compliance Officers to accept training regarding the requirements and contents of the due diligence management of supply chain and LBMA Responsible Gold and Silver Guidance. On May 10, 2020, the personnel of relevant departments of the Company and management personnel and production personnel of the Factory were trained on LBMA-related knowledge.

             3.4通過官方銀行渠道付款

            3.4 Payment through official bank channels

            公司在支付貨款時,由市場部門發起資金事項聯簽程序,通過公司基本戶所在的銀行網上付款,并打印銀行回單作為憑證附件保留。

            When the Company pays for goods, the Marketing Department initiates the countersignature procedure for capital matters, makes online payment through the bank where the Company’s basic account is located, and prints the bank receipt as a voucher attachment for archiving.

            4.強化合作,協助黃金、白銀供應鏈交易方建立盡職調查能力

            4. Strengthen cooperation and assist the trading parties of the gold and silver supply chain to establish due diligence capability

            公司鼓勵與供應商建立基于信任和互認的長期關系,特別是遵守經合組織《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的供應商。

            The Company encourages long-term relationships based on trust and mutual recognition with suppliers, especially those suppliers comply with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and extend to environmental and sustainability responsibilities.

            公司所有供應商都簽署《供應商社會責任承諾書》,承諾黃金、白銀來源合法合規,符合LBMA規定。

            All suppliers of the Company shall sign the Supplier’s Social Responsibility Commitment to promise that the sources of gold and silver are legal and compliant in line with LBMA’s regulations.

            5.建立機密申訴機制

            5. Establish a confidential complaint mechanism

            公司利用官方網站鏈接:

            http://www.carolinaautohunter.com/news/jituanyaowen/106.html,公布電話和郵箱,允許員工和外部利益相關者表達對供應鏈或任何新的已識別風險的擔憂,并在整個申訴過程中保護員工隱私,對舉報人信息保密,杜絕任何行為的打擊報復。

            The Company uses the official website link: http://www.carolinaautohunter.com/news/jituanyaowen/106.html to publish the telephone number and email and allow employees and external stakeholders to express their concerns about the supply chain or any newly identified risks. Meanwhile, the Company protects employees’ privacy throughout the appeal process and keeps the Informant’s information confidential to further eliminate retaliation for any behavior.

            第二步 供應鏈風險的識別與評估

            Step 2: Identify and assess risk in the supply chain

            合規聲明與要求:

            Compliance Statement with Requirement:

            我公司已經充分遵守第2步驟:對供應鏈中的風險進行識別和評估。

            We have fully complied with Step 2: Identify and assess risk in the supply chain.

            公司嚴格遵守LBMA黃金、白銀責任指南第二步“供應鏈風險的識別與評估”的要求,制定了高風險供應鏈的判定標準,并對識別出來的風險規定了處理程序,充分對供應鏈中的風險進行識別和評估。2020年度,未發現高風險供應鏈。

            The Company strictly abided by the requirements of “identifying and assessing risk in the supply chain” in Step 2 of LBMA Responsible Gold and Silver Guidance and has formulated the judgment standard of the high-risk supply chain. Besides, the Company established the treatment procedures for the identified risks for the full identification and assessment of the risks in the supply chain. In 2020, no high-risk supply chain was found.

            1.識別供應鏈風險

            1. Identify supply chain risks

            根據經合組織《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,黃金與白銀冶煉公司識別相關風險,密切關注來自侵犯人權、武裝沖突、非法開采、開采利用汞以及源于世界遺產遺址等地區的黃金、白銀,以及用于賄賂、洗錢、恐怖主義融資等行為的黃金、白銀。公司為每個供應商建立供應商檔案,根據公司的風險狀況進行了調查,在與其簽合同之前完成供應商檔案的建立工作。

            According to the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and the extension to environmental and sustainability responsibilities, gold and silver smelting companies identify relevant risks and pay close attention to gold and silver from places involving human rights violations, armed conflict, illegal mining, mining and utilization of mercury and world heritage sites, as well as gold and silver used for bribery, money laundering, terrorist financing and other acts. The Company established supplier files for each supplier and conducted the investigation according to the Company’s risk status. The Company completed the establishment of supplier files before signing contracts with the suppliers.

            2.評估供應鏈風險

            2. Assess supply chain risks

            2.1供應鏈調查

            2.1 Supply chain investigation

            公司通過以下措施對供應鏈進行盡職調查:

            The Company conducts due diligence on the supply chain through the following measures:

            (1) 資質驗證。對于所有供應商均進行供應鏈的盡職管理調查,在進行合作前要求合作方提供相應的資質證明文件,法人客戶提供營業執照,個人客戶提供身份證復印件。

            (1) Qualification verification. For all suppliers, the due diligence management investigation of the supply chain shall be conducted. Before cooperation, the partners are required to provide corresponding qualification certificates and the legal customers are required to provide business licenses. Individual customers are required to provide copies of ID cards. 

            (2) 建立供應商檔案。對供應商基本情況、股東信息、實際控股人、供應商管理層架構、提供原料類型及產地、計劃精煉貴金屬類型、與其供應商結算方式、 其供應商概況等信息進行詳細調查,并盡可能的將供應鏈調查向供應商的上游延伸,最終確定其風險等級,對于涉及高風險標準的供應商終止合作。

            (2) Establish supplier files. A detailed investigation is required to be carried out for the Supplier’s basic information, shareholder information, actual controller, supplier management structure, type and origin of raw materials provided, type of precious metals planned to be refined, settlement method with suppliers, supplier profile and other information. The Company extends the supply chain investigation to the upstream of the supplier as far as possible to finally determine its risk level and terminates cooperation with suppliers involving high-risk standards.

            (3) 建立來料登記簿。對供應商當批次來料的日期、重量、原料來源、主要上游供應商進行盡職調查,判斷其來料風險等級。

            (3) Establish the incoming material register. Due diligence is required to be carried out for the date, weight, raw material source and main upstream suppliers of the current batch of incoming materials of the supplier to further judge the risk level of incoming materials.

            (4) 建立客戶專項調研報告工作流程。在走訪客戶時,對原料來源進行追溯,向供應商傳達黃金與白銀冶煉公司盡職管理政策,并要求其在政策上簽字。

            (4) Establish the workflow of special research reports about customers. When visiting customers, the Company traces the source of raw materials and conveys the due diligence management policy of gold and silver smelting companies to suppliers. Besides, the customers are required to sign the policy.

            2.2高風險供應鏈

            2.2 High-risk supply chain

            根據LBMA和OECD相關規定,結合公司實際情況,特規定如下高風險供應鏈評判標準:

            According to the relevant regulations of LBMA and OECD and in combination with the actual situation of the Company, the following judgment criteria for a high-risk supply chain are specially specified:

            (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 resources of gold and silver or renewable gold and silver come from or are transferred or transported through high-risk areas with conflict impact or human rights violations;

            (2) 礦產金銀聲稱來源于一個已知儲量有限、資源有限或預計產量有限的國家;

            (2) Mineral resources of gold and silver are claimed to come from a country with limited known reserves, limited resources or limited expected production;

            (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 come from known high-risk areas with conflict impact and human rights violations, or are transferred through such areas with some reason to suspect;

            (4) 在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) The companies in the supply chain or other known upstream companies are located in a country with a high risk of money laundering, crime and corruption;

            (5) 在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 beneficial owners of the companies in the supply chain or other known upstream companies are politically sensitive persons;

            (6) 在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 in the supply chain or other known upstream companies actively participate in high-risk business activities, such as weapons, gambling, casinos, antiques and works of art, diamonds, religions and religious leaders;

            (7) 礦產金銀來源于國內手續不全、非法開采的小型礦山,以及開采黃金、白銀源于手工開采;

            (7) Mineral resources of gold and silver come from small mines with incomplete domestic procedures and illegal mining and the mining of gold and silver comes from manual mining;

            (8) 礦產金銀或再生金銀利用汞生產而得;

            (8) Mineral resources of gold and silver or renewable gold and silver are produced by using mercury;

            (9) 不遵守環境和可持續發展法律要求,礦產金銀或再生金銀源于世界遺產遺址或國內自然生態保護區;

            (9) The environmental and sustainable development laws are not obeyed and the mineral resources of gold and silver or renewable gold and silver come from world heritage sites or domestic natural ecological reserves;

            (10) 其他高風險情況。

            (10) Other high-risk situations.

            當上述評判標準任何一條客觀存在時,則該供應鏈被判定為高風險供應鏈。部門合規專員應立即準備材料上報合規風控專員,由合規風控專員上報合規總監,由合規總監批準采取應對措施,停止交易,消除風險。

            When any of the above judgment criteria exists objectively, the supply chain is judged as a high-risk supply chain. The Department Compliance Officer shall immediately prepare materials and report them to the Compliance Risk Control Officer who shall report them to the Compliance Director for approval. Then, the Compliance Director shall take countermeasures, stop trading and eliminate risks.

            2.3高風險類別

            2.3 High-risk categories

            當供應鏈調查發現來自高風險區域時,停止該交易并上報合規總監審批后報政府部門。當供應鏈盡職調查發現可能來自高風險區域,則需立即暫停該礦產金銀、再生金銀的冶煉,直至供應商在6個月之內提供可證明其并不可能存在的額外數據或信息為止。若在6個月之內仍未提供相關證據,則需立即停止該交易并上報至有關人員。

            When the supply chain investigation indicates that it comes from a high-risk area, the transaction is stopped and reported to the Compliance Director for approval before reporting to the government sectors. When the due diligence of the supply chain indicates that it may come from high-risk areas, it is necessary to immediately suspend the smelting of the mineral resources of gold and silver and renewable gold and silver until the supplier provides additional data or information that can prove its impossible existence within 6 months. If relevant evidence is not provided within 6 months, the transaction shall be stopped immediately and reported to relevant personnel.

            提供的資料包括:

            The information provided includes:

            (1) 提供證明不存在有關礦產金銀、再生金銀提取、運輸或貿易的系統性或廣泛人權侵犯行為的政府性文件,如供應商所在地相關公安或商務部門出具的合法性證明等;

            (1) Provide government documents proving that there are no systematic or widespread human rights violations related to the extraction, transportation or trade of the mineral resources of gold and silver and renewable gold and silver, such as the legitimacy certificate issued by the relevant public security organs or commercial organs in the place where the supplier is located;

            (2) 提供并未向非法武裝組織提供直接或間接支持的證明文件;

            (2) Provide documentary evidence that no direct or indirect support has been provided to illegal armed groups;

            (3) 提供并未通過欺詐掩蓋礦產金銀或再生金銀的原產地證明文件,如相關政府部門出具的原產地證明;

            (3) Provide certificates of origin that do not cover the mineral resources of gold and silver and renewable gold and silver through fraud, such as certificates of origin issued by relevant government sectors;

            (4) 提供不存在洗錢或恐怖主義融資的證明文件;

            (4) Provide documentary evidence that there is no money laundering or terrorist financing;

            (5) 提供國內小型礦山資質證明文件;

            (5) Provide qualification certificates of domestic small mines;

            (6) 提供能夠證明開采黃金、白銀不是利用汞生產而得資料;

            (6) Provide information that can prove that the mining of gold and silver is not produced by using mercury;

            (7) 提供環境和可持續發展相關方針政策、制度文件以及通過有關部門環評報告;

            (7) Provide the guidelines, policies and system documents related to environment and sustainable development and the obtained environmental impact assessment report of relevant organizations;

            2.4交易監測

            2.4 Transaction monitoring

            公司對所有交易情況進行監督,確保交易與供應鏈調查一致。

            The Company monitors all transactions to ensure that the transactions are consistent with the supply chain investigation.

            公司對供應鏈盡職調查進行檢查,每批來料編號唯一,生產可追溯,對于所有的原料入庫均保留完整的單據資料,對于入庫的金精礦保存有入庫單、檢驗單、財務憑證等;對于入庫的保存有來料入庫單、檢驗單、財務憑證等。明確各個部門應在日常工作中收集保存的資料,由市場部、檢測部、財務部對相關單據進行保存,并定期將相關資料送至檔案室進行存檔,保存期限均高于5年。

            The Company checks the due diligence of the supply chain. Each batch of incoming materials has a unique number and the production can be traced. Complete documents and data are kept for the in-warehousing of all raw materials. The in-warehousing sheet, inspection sheet, financial vouchers, etc. are kept for the gold concentrate in the warehouse. The in-warehousing retention covers the incoming material in-warehousing sheet, inspection sheet, financial voucher, etc. The data that shall be collected and saved by each department in daily work shall be specified. Relevant documents shall be saved by the Marketing Department, Testing Department and Finance Department and regularly sent to the archives for archiving with a storage period of more than 5 years.

            3.向高級管理層報告風險評估

            3. Report risk assessment to the senior management

            公司建立風險評估報告制度,當供應鏈調查發現來自高風險區域,被評估為高風險供應鏈時,停止該交易并上報合規總監。2020年度評估所有黃金、白銀供應商均為低風險。

            The Company establishes the risk assessment report system. When the supply chain investigation indicates that it comes from a high-risk area and is assessed as a high-risk supply chain, the transaction shall be stopped and reported to the Compliance Director. In 2020, all gold and silver suppliers were assessed as low-risk suppliers.

            第三步 設計并實施策略來應對已識別的風險

            Step 3: Design and implement a management strategy to respond to identified risks

            合規聲明與要求:

            Compliance Statement with Requirement:

            我公司已經充分遵守第3步:設計和落實管理體系應對識別的所有風險。

            We have fully complied with Step 3: Design and implement a management system to respond to identified risks.

            公司嚴格遵守LBMA黃金、白銀責任指南第三步“設計并實施策略來應對已識別的風險”的要求。2020年未發現高風險供應鏈。

            The Company strictly abided by the requirements of “designing and implementing a management strategy to respond to identified risks” in Step 3 of LBMA Responsible Gold and Silver Guidance. No high-risk supply chains were found in 2020.

            公司制訂了《供應鏈風險減緩管理辦法》并作為文控管理,約定了在供應商評估及日常業務開展過程中發現的違規情況的處理方式;規范了發現供應商存在高風險行為的處理步驟;明確了盡職管理各級組織、人員的責任,實施進度跟進。

            The Company has formulated the Management Measures for Supply Chain Risk Mitigation as document control, which stipulates the treatment methods for violations found in the supplier assessment and daily business development. Besides, the processing steps of high-risk behaviors of suppliers are regulated and the responsibilities of all levels of organizations and personnel of due diligence management are clarified for the implementation of progress follow-up.

            疑似高風險來料后,對其進行單獨登記,并告知精煉車間,對其原料單獨熔煉,在整個工藝流程中不與其他客戶混合,對由其原料生產的成品金銀進行單獨編號,并在金庫中與其他成品金銀分區域存放。

            After the suspected high-risk incoming materials are found, they shall be registered separately and notified to the refining workshop. The corresponding raw materials shall be melted separately and shall not be mixed with the raw materials from other customers in the whole process flow. The finished gold and silver produced by such raw materials shall be numbered separately and stored separately with other finished gold and silver in the vault.

            第四步 對精煉商的盡職調查實踐開展獨立的第三方審計。

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

            合規聲明與要求:

            Compliance Statement with Requirement:

            我公司已經充分遵守第4步:安排獨立第三方財務審計。

            We have fully complied with Step 4: Arrange for an independent third-party financial audit.

            公司嚴格遵守LBMA黃金、白銀責任指南第四步“對精煉商的盡職調查實踐開展獨立的第三方審計”的要求,于2021年聘請RCS對公司2020年度供應鏈盡職體系進行審計。                                                       The Company strictly abided by the requirements of “arranging for an independent third-party audit of the refiner due diligence” in Step 4 of LBMA Responsible Gold and Silver Guidance and hired RCS to audit the Company’s 2020 supply chain due diligence system in 2021.

            自2015年開始,公司每年均聘請獨立的審計師事務所對財務進行審計,并出具審計報告。  

            Since 2015, the Company has hired independent CPA to audit its financial affairs and issue audit reports every year.

            第五步 供應鏈盡職調查年度報告

            Step 5: Annual report on supply chain due diligence

            合規聲明與要求:

            Compliance Statement with Requirement:

            我公司已經充分遵守第5步:有關供應鏈盡職調查的報告。

            We have fully complied with Step 5: Report on supply chain due diligence.

            公司嚴格遵守LBMA黃金、白銀責任指南第五步“供應鏈盡職調查年度報告”的要求。

            The Company strictly abided by the requirements of “annual report on supply chain due diligence” in Step 5 of LBMA Responsible Gold and Silver Guidance.

            點金每年進行供應鏈盡職調查政策并于網站公示。

            Point Gold implements the supply chain due diligence policy every year and publishes it on the website.

            根據2020年的盡職調查結果,無供應商需要進行風險緩解的管理

            策略。在2020年年終無黃金、白銀評估結果為“暫停合作”或“終止合作”的供應商。

            According to the due diligence results in 2020, no supplier was required to carry out the risk mitigation management strategy. At the end of 2020, there were no suppliers whose assessment results of gold and silver were “suspension of cooperation” or “termination of cooperation”.

            四、管理結論

            IV. Management conclusion:

             綜上所述,在報告年度截至于2020年12月31日的財年內,根

            據《倫敦金銀市場協會(LBMA)可靠黃金、白銀指導原則》的要求,點金貴金屬精煉有限公司實施了有效的管理制度、程序、流程和實踐。點金貴金屬精煉有限公司致力于不斷的改進提升,所有的糾正措施將在內部進行定期監測。糾正性行動計劃單獨傳達給LBMA執行機構,以及《倫敦金銀市場協會(LBMA)可靠黃金、白銀指導原則》的管理人員。

            In conclusion, in the financial year ending December 31, 2020, Point Gold Refining Co., Ltd. implemented effective management systems, procedures, processes and practices in accordance with the requirements of the London Bullion Market Association (LBMA) Responsible Gold and Silver Guidance. Point Gold Refining Co., Ltd. is committed to continuous improvement and all corrective measures will be regularly monitored internally. The corrective action plan is communicated separately to implementing agencies of LBMA and the management personnel of the London Bullion Market Association (LBMA) Responsible Gold and Silver Guidance.

            五、其他報告批注

            V. Other report comments

            如果本報告用戶希望就本報告向點金貴金屬精煉有限公司進行任何反饋,則可以通過郵箱13066888690@163.com聯系企業相關部門。

            If users of this report wish to provide any feedback to Shenzhen Point Gold Refining Co., Ltd. with respect to this report, please contact relevant department of the Enterprise by E-mail 13066888690@163.com.


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