云南滇金投资有限公司2023年度供应链尽职管理合规报告

Yunnan Dianjin Investment Co., Ltd.

X年度供应链尽职管理合规报告

X Supply Chain Due Diligence

Management Compliance Report

X年3月X日

March X, X

Company name: Yunnan Dianjin Investment Co., Ltd.

注册地址：X8号

Registered Add: No. 8 Ming'an Road, Caopu Street Office, Anning City, Kunming City, Yunnan Province, China

生产地址：Xt-align: justify; line-height: 2.2; text-indent: 2em; font-size: Xpt; margin-top: 0px; margin-bottom: 0px; -ms-text-justify: inter-ideograph;">Operation and Refining Address: Baishahe East Suburb, Kunming City, Yunnan Province, China

年终报告X年度供应链尽职管理合规报告

Year-end report: X Supply Chain Due Diligence Management Compliance Report

报告日期X年3月X日

Date of report: March X, X

Person in charge of this report:  Mr Chen Dehai, Vice General Manager

I. Company profile

Yunnan Dianjin Investment Co., Ltd. (hereinafter referred to as “the Company”) is subsidiary of Yunnan Gold & Mineral Group Co., Ltd. the Company is gold and silver refining enterprise which was established in X with a registered capital of RMB X million. The Company’s registered address is at No. 8 Ming'an Road, Caopu Sub-district Anning County-level City, Kunming City, Yunnan Province, China, actual office and refinery address is at East Suburb of Kunming City, Yunnan Province. The Company is regarded as one of the top X enterprises contributing to the output value of industrial enterprises in Kunming City, “Top X Enterprise in Kunming City”. The Company has been awarded “Kunming Well known Trademark”, “Yunnan Province Famous Trademark” and “Famous-brand Product”. “Dianjin” brand gold bars are good delivery at both of Shanghai Gold Exchange and Shanghai Futures Exchange. The Company’s main products are National Standard No. 1 and 2 gold bars and investment gold bars. It is equipped with a high-temperature and high-pressure cyanide-free desorption gold-loaded carbon process, wet method gold refining process, high-current silver electrolysis process and high-efficiency automatic ingot casting process and takes the lead in the field of gold and silver purification and refining in China. The electrolytic device and high gold&silver loaded gold carbon segmented desorption electro deposition method are the first in the country.

二、 供应商情况概述

II. Overview of suppliers

The company's main raw material sources are divided into Shanghai Gold Exchange, self produced gold from major mines within the group, and gold alloy (mine gold and recycled gold) purchased from external enterprises. A supply chain map is created to trace the raw materials. After investigation and evaluation of the raw material suppliers, our company's raw material sources do not involve zero tolerance risk, high risk, or sourced from world heritage sites.

三、合规情况概述

III. Overview of compliance

The Company carries out the due diligence supply chain investigation on all suppliers and requires that the sources provided by all suppliers are legal and compliant.

Step 1: Establish strong company management systems

合规声明与要求：

Compliance Statement with Requirement:

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

The Company strictly followed the requirements of Step 1 of the LBMA Responsible Gold Guidance, “establish strong company management systems”. Strong management systems have been established to ensure the full implementation of supply chain due diligence.

1. 政策方面

1. Policy aspect

***X/X/content_X.html

The company adopted and issued the Gold Supply Chains Management Policy of Yunnan Dianjin Investment Co., Ltd. The policy is in line with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and is extended to environmental, social, governance and sustainability responsibilities. This policy has been published at the website: ***X/X/content_X.html

评估，对内部员工定期提供X的供应链申X在政策中也声明支持并实施采掘业透明度倡议(EITI)。当风险类型，相应的法规以及LBMA尽职X会及时地更新该政策并每年进行评审。目前，最新版本的政策已经传达给所有的黄金交易方以及内部员工。

The Company and its suppliers are required to strictly abide by the national laws and regulations on employee rights, environmental protection, fair trade and other laws and regulations and actively engage in the supply chain due diligence by the policy to ensure that the sources of mined gold and recycled gold meet the LBMA due diligence management requirements, and make a commitment to control and manage the relevant risks in the gold supply chain in high-risk areas such as human rights violations, conflict areas, bribery, money laundering, terrorist financing, illegal mining, world heritage sites, and mercury mining. Simultaneously, the policy also stipulates that KYC investigation and risk assessment shall be carried out for gold counterparty, training on due diligence management system shall be provided for internal employees on a regular basis, and the supply chain grievance channel of the Company shall be listed in the policy. The Company also stated in its policy that it supports and implements the Extractive Industries Transparency Initiative (EITI). In case of any change of the risk type, corresponding regulations and LBMA due diligence management requirements, the Company will update the policy in a timely manner. Currently, the latest version of the policy has been communicated to all gold counterparty and internal employees.

2. 管理架构

2. Management structure

The Company has established an internal management system and issued policies to define the management, roles and responsibilities, internal audit and communication and carry out senior management review. The Company has conducted management review on January 4, X and issued management review conclusion in written.

2.1规章制度方面

2.1 Rules and regulation aspects

According to the LBMA Responsible Gold Guidance, the Company formulated the Supply Chain Management Policy of Yunnan Dianjin Investment Co., Ltd, Gold Supply Chain Due Diligence Rules, Supply Chain Risk Mitigation Management Measures of Yunnan Dianjin Investment Co., Ltd  and Supply Chain Anti-Money Laundering Policy of Yunnan Dianjin Investment Co., Ltd, and relevant regulations and requirements prohibiting forced labor which mainly clarified the organizational structure, responsibilities and definition of high-risk areas of supply chain due diligence and formulated zero tolerance high-risk supply chain evaluation standards, investigation and handling procedures, transaction monitoring, document preservation, etc. The above systems have been issued in the form of a red-headed document as document control after obtaining the approval of the General Manager’s Office Meeting.

2.2职责与权限

2.2 Responsibilities and authorities

The Due Diligence Management Committee, Due Diligence Management Office, Due Diligence Management Working Group and Compliance Officer should be set by the Company.

尽职管X尽职管理委员会是公司推行LBMA黄金采购尽职管理体系的领导和决策机构，管理委员会具备必要的能力、知识和经验，或利用外部专家顾问对供应链尽职调查框架和结果进行监督。确保对供应链尽职调查政策和流程的有效性进行内部问责，并保X政策在内的关键信息是否有有效的结构和沟通流程，以传达至相关员工和黄金供应对手方。定期（至少每年）评估供应链尽职调查政策和流程的有效性，以推动持续改进。 评估是否已任命合适的合规官负责黄金供应链的所有事宜。

评估合规官在获取支持供应链尽职调查流程和系统的运作和监控所需资源方面是否有足够的支持。

The Due Diligence Management Committee of Yunnan Dianjin Investment Co., Ltd. is the leading and decision-making body responsible for implementing the LBMA gold procurement due diligence management system. The management committee has the necessary capabilities, knowledge, and experience, or utilizes external expert consultants to supervise the supply chain due diligence framework and results. Ensure internal accountability for the effectiveness of supply chain due diligence policies and processes. Assess whether key information, including company policies, has an effective structure and communication process to communicate to relevant employees and gold supply counterparties. Regularly (at least annually) evaluate the effectiveness of supply chain due diligence policies and processes to drive continuous improvement. Assess whether a suitable compliance officer has been appointed to be responsible for all matters related to the gold supply chain.

Assess whether compliance officers have sufficient support in obtaining the necessary resources to support the operation and monitoring of supply chain due diligence processes and systems.

尽职管理工作X推行LBMA尽职管理X各业务环节尽责管理工作的开展和指导，设X黄金采购尽责管理政策、制度、X黄金采购尽责管X风险评估、应X黄金采购尽责管理知识的X经营班子召开尽责管理会议X决议，并监督、检查所属部门的落实情况，进行考核。

Due Diligence Management Office is the leading responsible department for the implementation of LBMA due diligence management system of Yunnan Dianjin Investment Co., Ltd., which is responsible for the development and guidance of due diligence management in all business links of the Company and be set in the Marketing Department. Its main responsibilities are to: formulate due diligence management policy, system, process and work plan for gold procurement of the Company; be responsible for implementing for gold procurement due diligence management structure and guiding, coordinating and reporting on conditions such as risk assessment, response and monitoring; take charge of organizing the gold procurement due diligence management knowledge learning and professional training of the Company; assist the  management team of the Company to hold due diligence management meetings, discuss major risk issues, implement resolutions of the company, supervise and inspect the implementation of the subordinate departments, and conduct assessment.

尽责管理小X高层担任，具备充足工作经验、丰X各项工作流程，确保有足够的资源(包括能力和经验)来支持供应链尽职调查流程和系统的运作和监控。各部门、车间主要负责人为本单位的第一责任人。尽责管理小组职责：执行本部门及专业领域黄金采购尽责管理政策；每年年底组织调查、识别、X析和评价本部门及相关专业领域的风险，并对风险信息质量进行审核；每年年底上报本部门及相关专业领域识别的重大风险：本部门为主要风险责任部门时，牵头所有风险相关单位，共同制定可行的风险应对方案；及时将日常工作中发现的供应商黄X黄金采购尽责管理办公室,并组织人员进行尽职调查，列明相关证据、处理过程和处理结果。

The responsible management team and compliance specialist are appointed by senior management of the company, possessing sufficient work experience and rich professional knowledge reserves. They understand the various workflow processes of the company and ensure that there are sufficient resources (including capabilities and experience) to support the operation and monitoring of the supply chain due diligence process and system. The main responsible persons of each department and workshop are the first responsible persons of their respective units. Responsibilities of the Due Diligence Management Group: Implement the due diligence management policy for gold procurement in this department and professional field; Organize investigations, identification, analysis, and evaluation of risks in the department and related professional fields at the end of each year, and review the quality of risk information; At the end of each year, major risks identified by the department and related professional fields shall be reported. When the department is the main risk responsible department, it shall lead all risk related units to jointly develop feasible risk response plans; Promptly report any supplier gold procurement due diligence management issues discovered in daily work to the company's gold procurement due diligence management office, and organize personnel to conduct due diligence, listing relevant evidence, handling process, and handling results.

2.3合规机构

2.3Compliance Agencies

Due Diligence Management Working Group and Compliance Officers are set by the Company, Compliance officer is Mr. Chen, the chief engineer of the company who is experienced in the industry with solid professional knowledge, has LBMA required capability, knowledge and experience. The responsibility of compliance officer include reviewing supply chain due diligence process and system to meet the requirements of LBMA responsible sourcing and refiner’s risks management, Ensure that key information, including company policies, has an effective structure and communication process that can be conveyed to relevant employees and gold supply counterparties. Ensure sufficient resources (including capabilities and experience) to support the operation and monitoring of supply chain due diligence processes and systems. Train employees on supply chain risks (including threat financing and ESG), and develop and update gold supply chain policies and procedures for refiners. Review and understand customer (KYC) documents and risk classifications, and request additional documents or information if necessary. Ensure appropriate measures are implemented for high-risk supply chains or transactions. Provide appropriate and timely information for the board of directors to fulfill its responsibilities.

2.4   强有力的内部追溯体系

2.4  Strong internal traceability system

Our company will carry out due diligence on all suppliers and fill in KYC questionnaires. The contract should be signed and the supplier is required to issue a Suppliers’ Social Responsibility Commitment Letter to promise that the raw materials are legal and compliant and comply with requirements of Gold Supply Chain Management Policy of Yunnan Dianjin Investment Co., Ltd. after the due diligence is completed.

3.1供应链可追溯体系

3.1 Supply chain traceability system

The Company established a supply chain traceability system, so that  raw materials from every supplier that transferred to Yunnan Dianjin Investment Co., Ltd. are recorded in the ledger, including supplier name, delivery date, delivery weight, fineness, etc. Each batch of ex-warehouse standard gold ingot should be assigned a unique number and recorded in the ex-warehouse ledger, including the ex-warehouse date and ex-warehouse weight, etc., and sold through the Shanghai Gold Exchange.

3.2维护资料

3.2 Data maintenance

Our company will collect data such as supplier business license, qualification verification data, KYC survey form, environment protection related information before the business begins. Related records such as delivery sheet, laboratory sheet, settlement sheet, bank transfer records, Due diligence related records, supply chain risk assessment, supply chain forced labor investigation records, and other materials should be kept for more than 5 years.

3.3培训

3.3 Training

The Company incorporates supply chain due diligence management training into the annual training plan of the Company every year, and organizes key positions in the Company and the compliance officer provides training on the requirements for supply chain due diligence management, supply chain risk assessment, supply chain forced labor risk management, LBMA Responsible Gold Guide, and conducts training on all aspects of the company, including supply chain forced labor risk and ESG risk training, to ensure the implementation of supply chain due diligence management. Our Company has carried out a total of 2 times of LBMA related training in X. X trainees came from various departments of the company, accounting for X% of the total number of trainees. The trainees filled out the training effectiveness feedback form, and the overall training effect was very good.

3.4通过官方银行渠道付款

3.4 Payment through official bank channels

At the time of paying for the goods by the Company, the Business Department shall initiate the payment procedure, reviewed by Finance Department and be approved by senior management, then pay online through the bank where the Company’s basic account is located, and print the bank receipt as a voucher attachment for preservation. In X, our company all used online banking for all payments and no cash transactions.

4、强化合作，协助黄金供应交易方建立尽职调查能力

4. Strengthen cooperation and assist gold supply parties to establish due diligence capabilities

The Company encouraged to build long-term relationships based on trust and mutual recognition with suppliers, particularly those that 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.

Our company have communicated the "Yunnan Dianjin Investment Co., Ltd. Gold Supply Chain Management Policy" to the supplier and sign a "Supplier Social Responsibility Commitment Letter" with the supplier, promising that the gold source is legal and compliant, and rejecting suppliers from LBMA regulations with zero tolerance risk, high risk, and any involvement in forced labor risk. Suppliers of all mine types shall provide mining licenses, all smelting type supplier shall provide certificate or origin or Custom Declaration Form. All suppliers must provide compliant invoices, and base on this standard, screen suppliers and get low risk suppliers to avoid tax risks. The company has shared the policy, LBMA Gold Guide, the purchase requirements of gold due diligence, and its own due diligence purchase practice and experience with gold suppliers, and all communication records have been retained.

5、编制供应链反洗钱和反恐怖主义融资政策

5、Development of supply chain anti-money laundering and counter-terrorist financing policies

根据LBMA指南中反洗钱和反恐怖主义融资政策要求，X供应链反洗钱和X在日常经营中严格遵守反洗钱和反恐怖主义融资政策中的要求。

According to the requirements of anti-money laundering and anti-terrorist financing policy in LBMA Responsible Gold Guidance, we have formulated the supply chain anti-money laundering and anti-terrorist financing policy of Yunnan Dianjin Investment Co., Ltd. We strictly abide by the above-mentioned policy in our daily operation.

6、建立机密申诉机制

6. Establish a confidential appeal mechanism

The company uses the official website of Yunjin Gold Group to publish the complaint channel of responsible gold purchase. The phone number and email address of the complaint have been added to the policy and posted on the company's website to allow employee 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 keep the informant’s information confidential to further eliminate attack and retaliation in the form of any behavior. If someone appeals, our company will assign a specialist to communicate and conduct relevant investigations, and record the handling process and results for retention.

We have not received any complaint from employees and external stakeholders in X.

第二步 识别及评估供应链风险

Step 2 Identify and assess risk in the supply chain

合规声明与要求：

Compliance Statement with Requirement:

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

The Company strictly followed the requirements of Step 2 of the LBMA Responsible Gold Guidance, “identify and assess risk in the supply chain”. The Company formulated the judgment criteria of high-risk supply chain and stipulated the treatment procedures for the identified risks and completed the full identification and evaluation of the risks in the supply chain.

2.评估供应链风险

2. Assess risk in the supply chain

2.1受冲突影响和高风险区域（CAHRAs）的识别流程

2.1 Identification process of conflict-affected and high-risk areas (CAHRAs)

To identify risks in gold supply chain, the Company uses the following resources to define the identification process of conflict-affected and high-risk areas:

制裁名单(美国、英国、欧盟、联合国及相关制裁名单)

Sanction list (US, UK, EU, UN and related sanction lists)

• 多德-弗兰克法案第 X 条

Section X of the Dodd Frank Act

• 欧盟 CAHRA 名单

EU CAHRA List

• 海德堡晴雨表

Heidelberg Barometer

• 脆弱国家指数或类似的指数

Fragile Country Index or similar index

• 联合国人权事务高级专员办事处或同等机构

Office of the United Nations High Commissioner for Human Rights or equivalent agency

• 金融行动特别工作组 (FATF) 的报告(包括相关国家/地区报告)

Report of the Financial Action Task Force (FATF) (including relevant country/region reports)

• 关于高XX和高洗钱风险国家/地区的可靠市场情报

Reliable market intelligence on high-risk gold centers/transfer centers and countries/regions with high money laundering risk

该流程至少一年更新一次或当供应链发生变化时，需要更新。

The process shall be updated at least once a year, or shall be updated when the referenced resources change.

2.2风险评估标准

2.2 Risk assessment criteria

根据X制定并规定需要评估公司黄金供应链中的如下风险：

In accordance with the LBMA Responsible Gold Guidance, the Company has discovered and stipulated the following risks in the Company’s gold supply chain to be assessed:

X容忍风险：

Zero tolerance risks:

1.         开采金来自被指定为世界遗产地的地区

1.      Mined gold comes from areas designated as world heritage sites

2.         以违反国际制裁(包括但不吸纳与联合国、欧盟、英国和美国制裁)的方式采购开采金或再生金）

2.      Mined gold or recycled gold is purchased in violation of international sanctions (including but not including sanctions with the United Nations, the European Union, the United Kingdom and the United States)

3.         开采金或再生金的供X或其 UBO是已知的洗钱者、欺诈者或恐怖X子，或曾严重侵犯人权，或直接或间接支持非法非国家武装组织

3.      The supply counterparties of mined gold or recycled gold, other known upstream companies or their UBOs are known money launderers, fraudsters or terrorists, or have seriously violated human rights, or have directly or indirectly supported illegal non-state armed organizations

开采金的高风险：

High risks of gold mining:

基于位置的风险，开采金：

Based on the risks of location, mined gold:

1.       来自受冲突影响和高风险地区 (CAHRA) 或曾在该等地区过境或通过该等地区运输

1.      comes from conflict-affected and high-risk areas (CAHRA), or has been transit or transported through such areas

2.       据称来自已知或合理怀疑来自 CAHRA 的黄金过境的国家/地区

2.      is alleged to come from countries/regions where gold from CAHRA is known or reasonably suspected to be in transit

3.       据称来自已知储量、可能资源或X的国家/地区

4.      is alleged to come from countries/regions with limited known reserves, possible resources or expected production

基于交易方的风险，交X：Xtext-align: justify; line-height: 2.2; text-indent: 2em; font-size: Xpt; margin-top: 0px; margin-bottom: 0px; -ms-text-justify: inter-ideograph;">Based on the risks of the suppliers, the counterparties or other known upstream companies:

1.       具有符合基于位置高风险标准的股东或 UBO 或其他黄金供应权益

1.      have interests of shareholders or UBOs or other gold supply interests that meet the location-based high-risk criteria

2.       具有身为政治人物 (PEP) 的 UBO

2.      have UBO as politically exposed persons (PEP)

3.       从事高风险商业活动(如军火、赌博和娱乐业、古董和艺术、教派及其领袖)

3.      engage in high-risk business activities (such as arms, gambling and entertainment, antiques and arts, sects and their leaders)

4.       已知在过去 X 个月曾从高风险国家/地区采购黄金

4.      are known to have purchased gold from high-risk countries/regions in the past X months

5.       提供的文件有重大差异/不一致，或拒绝提供所要求的文件。

5.      can see significant difference/inconsistency in documents provided, or refuse to provide the documents required.

基于物料类型的风险，开采金：

Based on the risks of material type, mined gold:

1.       采购自 ASM

1.      is purchased from ASM

2.       使用汞生产

2.      is produced by using mercury

3.       造成灾难性伤害或高度不利的 ESG 因素(在精炼商能够识别的范围内)(例如，通过公共领域的记录或精炼商的尽职调查文件)。

3.      can cause catastrophic injury or highly adverse ESG factors (within the scope that the refiner can identify) (for example, through records in the public domain or due diligence documents of the refiner).

再生（回收）金的高风险

High risks of regenerated (reccycled) gold

基于位置的风险， 再生（回收）金：

Based on the risks of location, regenerated (recycled) gold:

1.       来自于CAHRA，或曾在该 CAHRA 过境或通过该 CAHRA 运输

1.      comes from CAHRA, or has been transit or transported through such CAHRA

2.       据称来自已知或合理怀疑来自 CAHRA 的黄金过境的国家/地区及/或据称来自黄X的国家/地区

2.      is alleged to come from countries/regions where gold is known or reasonably suspected to be from CAHRA and/or countries/regions where gold exports are limited

基于交易方的风险，交X：Xtext-align: justify; line-height: 2.2; text-indent: 2em; font-size: Xpt; margin-top: 0px; margin-bottom: 0px; -ms-text-justify: inter-ideograph;">Based on the risks of the suppliers, the counterparties or other known upstream companies:

1.       在具有高洗钱风险的国家/地区运营

1.      operate in countries with high money laundering risk

2.       具有符合基于位置高风险标准的股东或 UBO 或其他黄金供应权益

2.      have interests of shareholders or UBOs or other gold supply interests that meet the location-based high-risk criteria

3.       具有身为政治人物 (PEP) 的 UBO

3.      have UBO as politically exposed persons (PEP)

4.       从事高风险商业活动(如军火、赌博和娱乐业、古董和艺术、教派及其领袖)

4.      engage in high-risk business activities (such as arms, gambling and entertainment, antiques and arts, sects and their leaders)

5.       已知在过去 X 个月曾从高风险国家/地区采购黄金

5.      are known to have purchased gold from high-risk countries/regions in the past X months

6.       与供应链中的交易方或对手方之间有重要且无法解释的运输路线

6.      have important and unexplainable transportation routes with suppliers or counterparties in the supply chain

基于物料类型的风险，再生（回收）金：

Based on the risks of material type, regenerated (recycled) gold:

1.       来自具有高风险供应链的中间精炼厂或交易商或从具有高风险供应链的中间精炼厂采购的交易对手方

1.      comes from intermediate refineries or dealers with high risk supply chain or counterparties purchased from intermediate refineries with high risk supply chain.

2.3 供应链调查和风险评估

2.3 Investigation and risk assessment of the supply chain

The company conducts the due diligence through the following measures:

(1)资质验证。黄金冶炼公司对于所有供应商均进行供应链的尽职管理调查，填写KYC问卷，在进行合作前要求合作方提供符合LBMA供应商要求的相关资质证明文件。

(1) Verify the qualification. In terms of all suppliers, the Company conducts the due diligence management and investigation of the supply chain, fill KYC questionnaire. Before the cooperation, the cooperation party should provide the relevant qualification documents.

（2）建立供应商档案。对供应商基本情况、股东信息、提供原料类型及产地、运输方式、中转地、计划精炼贵金属类型、与其供应商结算方式、其供应商概况以及供应商ESG、供应链强迫劳动风险等信息进行调查，并尽可能地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X容忍和高风险的交易方拒绝合作。

(2) Establish the files of suppliers. The specific investigation should be conducted for the basic information of suppliers, the shareholder information, the types and places of origin of the provided raw materials, the types of planned refined precious metals, the settlement means with suppliers, the general situation of suppliers and other information such as ESG and the risk of forced labor in the supply chain. In addition, the investigation of supply chain should be extended to the upstream of suppliers as much as possible to finally determine the risk grade. In terms of suppliers involving high risk standard, the cooperation should be terminated.

（3）建立原料台账。对供应商每批次来料的原料类型、移交日期、重量、成色、货款支付记录进行登记。

(3) Establish the register book of incoming materials. Conduct the investigation and registration on the type of material, delivery date, weight, purity, payment record of each batch of incoming materials from suppliers.

（4）持续对供应商信息进行追踪X络作用，利用天眼查XX站对供应商资质情况、失信情况、诉讼情况、X对所有供应商合计X家进行了专项尽职信息收集，内容包括：供应商概况、资质信息、来料类型、上游供应商名单、原料产地及品种等，所有供应商追踪到最终受益人，环境/气候，反洗钱反恐怖主义融资等信息，并了解供应链中的其它精炼厂尽职调查相关的政策与体系。

(4) It is required to continuously track and investigate supplier information. The role of the network should be given full play, and websites such as TianYanCha, ChinaTrial Online and IPE should be used to check the qualification, trust-breaking, litigation and punishment conditions of suppliers. Our Company conducted special due diligence on X suppliers in total in X, including supplier profile, qualification information, incoming material types and , upstream supplier list, raw material origin and variety, etc. All suppliers have been tracked and collected  the information of the final beneficiaries, environment/climate, anti-money laundering and anti-terrorist financing, etc.Learn about due diligence policies and systems for other refineries in the supply chain.

（5）根据收集到的供应X供应链中涉及的国家和地区X中国、老挝、美国、智利、印度尼西亚、新加坡、加拿大、塞尔维亚、马来西亚、瑞士，根据CAHRAs识别流程，这些国家均不属于CAHRAs.同时，结合收集的KYC信息，完成了每个交易方的《供应链风险评估表》、供应链强迫劳动内部调查与外部供应链调X黄金供应链中有任何的X容忍风险及供应链X实施的风险评估结果，发现有一家冶炼厂原X联合上游冶炼厂对此矿山进行了深入的资料收集和尽职调查，提交了矿山ESG报告、风险评估表、KYC调查表等诸多调查资料，确认了该冶炼厂原料为低风险供应商。

(5) In accordance with the information collected from suppliers and supply chains, the countries and regions involved in the Company’s supply chain are identified as follows: China, Laos, the United States of America, Chile, Indonesia, Singapore, Canada, Serbia, Malaysia, Switzerland. Based on the CAHRAs identification process, the above countries are not identified as CAHRAs. At the same time, the Supply Chain Risk Assessment Form of each counterparty has been completed based on the KYC information collected, The evaluation record did not identify any zero tolerance risk or forced labor risk in the company's gold supply chain.In addition, according to the results of the risk assessment conducted by the company, it was found that there was a smelter whose raw materials came from  involved in high-risk areas. Our company conducted in-depth data collection and due diligence on this mine together with the upstream smelter, submitted the mine ESG report, risk assessment form, KYC questionnaire and other investigation materials, and confirmed that the smelter's raw materials were low-risk suppliers.

2.4 加强型尽职调查

2.4 Enhanced Due Diligence

The Company stipulates that in case of any zero-tolerance risk of the gold supply chain of the Company, the existing partnership with the supplier must be terminated immediately. For the identified high risks, the Company will further request the counterparty to provide the following information, and use the On-site Visit Checklist to visit the supplier in the form of on-site or online, that is, enhanced due diligence, so as to determine whether there is high risk in its supply chain.

提供的资料包括：

The provided materials include:

(1)提供证明不存在有关矿产金、再生金提取、运输或贸易的系X性文件，如供应商所在地相X部门出具的合法性证明等；

(1) The government documents proving that systematic or widespread violations of human rights relevant to the extraction, transportation or trade of mined or recycled gold, such as legal certificate issued by relevant public security or commercial departments at the place where suppliers are located and others;

（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) The certificate documents proving that direct or indirect support for the illegal armed organization is not provided;

（3）提供并未通过欺诈掩盖矿产金或再生金X部门出具的原产地证明；

(3) The certificate documents of place of origin proving that mined or recycled gold is not covered through frauds;

（4）提供不存在洗钱或恐怖主义融资的证明文件；

(4) The certificate documents proving that money laundering or terrorist financing does not exist

（5）提供国内小型矿山资质证明文件；

(5) Qualification certificate documents of domestic small mines;

（6）提供能够证明开采黄金不是利用汞生产而得资料；

(6) Materials proving that mined gold is not produced by using mercury;

（7）提供环境和可持续发展相关方针政策、制度文件以及通过有关部门环评报告；

(7) Relevant policies and system documents to environment and sustainable development and the report through EIA of relevant departments;

2.5向高级管理层报告风险评估

2.5. Report risk assessment to senior management

The Company has established a risk assessment report system, and the responsible management team and the compliance officer shall investigate the suppliers annually and report the risk identification and assessment results of the gold supply chain to the senior management. In case of identification of zero-tolerance risk, the transaction will be terminated and reported to the due diligence management committee for approval before reporting to the government department.

第三步 设计并实施策略来应对已识别的风险

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

合规声明与要求：

Compliance Statement with Requirement:

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

We have strictly complied with requirements under Step 3 “Design and implement a strategy to respond to identified risks” of LBMA Responsible Gold Guidance. We have not found any zero tolerance and high risk supply chain in X, so no supply chain risk mitigation measures have been taken.

We have developed the Supply Chain Risk Mitigation Management Measures for document control management, established risk assessment standards and procedures. We have made risk mitigation strategies and determined the treatment for violations found during supplier evaluation and daily business development. We have normalized procedures for dealing with high-risk behaviors of suppliers and have defined the responsibilities of organizations and personnel at all levels during due diligence management.

如果供应链尽职调查结果得出以下结论， 则需立即停止该交易并上报至有关人员：

In case of the following conclusions of the supply chain due diligence results, the transaction shall be immediately stopped and reported to the relevant personnel:

1、存在有关矿产金、再生金提取、运输或贸易的系统性或广泛人权侵犯行为， 包括最严重的使用童工、酷刑、非人道以及侮辱人格对待方式、广泛的性暴力或其他严重反人权强迫劳动、战争罪、反人类罪或种族灭绝罪；

1. There are systematic or widespread human rights violations related to the extraction, transportation or trade of mineral gold and recycled gold, including the most serious use of child labor, torture, inhuman and degrading treatment, widespread sexual violence or other serious anti-human rights forced labor, war crimes, and crimes against humanity or genocide;

2、存在向非法的非政府武装组织提供直接或间接支持；

2. There is direct or indirect support for illegal non-governmental armed organizations;

3、存在通过欺诈掩盖矿产金、再生金的原产地；

3. The origin of mined gold and recycled gold is covered up by fraud;

4、存在洗钱或恐怖主义融资；

4. There is money laundering or terrorist financing;

如果供应链尽职调查得出以下结论， 则需立即暂停该矿产金、再生金的冶炼， 直至供应商在6个月之内提供可证明其并不可能存在以下事项的额外数据或信息为止。若在6个月之内仍未提供相关证据， 则需立即停止该交易并上报至有关人员：

In case of the following conclusions on supply chain due diligence, the smelting of mineral gold and recycled gold shall be suspended immediately until the supplier provides additional data or information proving that the following matters are not possible to occur within 6 months: If relevant evidence is not provided within 6 months, the transaction shall be immediately stopped and reported to relevant personnel:

1、 可能存在有关矿产金、再生金提取、运输或贸易的系统性或广泛人权侵犯行为， 包括最严重的使用童工、酷刑、非人道以及侮辱人格对待方式、广泛的性暴力或其他严重反人权强迫劳动、战争罪、反人类罪或种族灭绝罪；

1. There may be systematic or widespread human rights violations related to the extraction, transportation or trade of mineral gold and recycled gold, including the most serious use of child labor, torture, inhuman and degrading treatment, widespread sexual violence or other serious anti-human rights forced labor, war crimes, and crimes against humanity or genocide;

2、可能存在向非法的非政府武装组织提供直接或间接支持；

2. There may be direct or indirect support for illegal non-governmental armed organizations;

3、 可能存在通过欺诈掩盖矿产金、再生金的原产地；

3. The origin of mined gold and recycled gold is covered up by fraud;

4、 可能存在洗钱或恐怖主义融资；

4. There may be money laundering or terrorist financing;

5、 可能不遵守环境和可持续发展法律要求

5. Environmental and sustainable development legal requirements may not be followed

如果供应链尽职调查结论不完全令人满意，或认为存在以下情况，但是供应商/交易方已经做出合理和善意的努力，可继续与供应商/交易方保持合作，同时与供应商/交易方沟通、建立并执行风险缓解计划，对实施的进展执行定性或定量的绩效指标并进行监控。如果在6个月之内仍未提供相关证据或缓解失败， 则需立即停止该交易并上报至有关人员

In case the conclusion of supply chain due diligence is not completely satisfactory, or the following circumstances are considered, but the supplier/supplier has made reasonable and good faith efforts, the cooperation with the supplier/supplier can be maintained, and communication with the supplier/counterparty can be continued to establish and implement risk mitigation plans, implement qualitative or quantitative performance indicators and monitor the implementation progress. In case relevant evidence is not provided or mitigation fails within 6 months, the transaction shall be immediately stopped and reported to relevant personnel

1、 贿赂

1. Bribe

2、非欺诈性误报矿物产地

2. Non-fraud misstatement of mineral origin

3、 未支付应付政府的税收、费用和特许权使用费

3. Unpaid taxes, fees and royalties payable to the government

5、严重违反与环境、健康、安全、劳工和社区有关的地方立法，及/或存在极有可能造成高度不利影响的 ESG 风险。

5. Serious violation of local legislation related to environment, health, safety, labor and community, and/or the existence of ESG risks that are highly likely to cause high adverse effects.

For any identified risk, the Company will communicate with the suppliers and stakeholders and develop corresponding risk mitigation plans, track and monitor the implementation of the risk mitigation plan, ensure the effective implementation of the plan, and report the risk mitigation progress to the senior management.

Since high risks in our gold supply chain have not been identified, there is no need to develop and implement the risk mitigation plan.

第四步 对精炼商的尽职调查实践开展独立的第三方审计

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

合规声明与要求：

Compliance Statement with Requirement:

We have fully complied with Step 4: Arrange for an independent third-party audit of the supply chain due diligence

We have strictly complied with requirements under Step 4 “Arrange for an independent third-party audit of the refiner due diligence” of LBMA Responsible Gold Guidance.

We have engaged CPA to carry out financial audit annually since X. During X to X, we engaged Grant Thornton to carry out financial audit and in X- Xwe engaged China Audit Asia Pacific Certified Public Accountants LLP to carry out financial audit.

自X年起，聘请LBMA认可的X进行尽职调查审计。

We have appointed the LBMA third-party auditor of RCS Global to carry out audit for supply chain due diligence since X.

第五步 供应链尽职调查年度报告

Step 5: Annual report on supply chain due diligence

合规声明与要求：

Compliance Statement with Requirement:

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

X年度供应链尽职管理合X。

We have strictly complied with requirements under 5 step “Report on supply chain due diligence” of LBMA Responsible Gold Guidance and submit annual compliance report to RCS Global each year. And our company show Report on supply chain due diligence detail on our company website.

五、 关于强迫劳动的尽职调查的声明

V、 Statement on Due Diligence on Forced Labor

Yunnan Dianjin Investment Co., Ltd. shows its support for the realization of the objectives of the "Responsible Sourcing Program" of the London Bullion Market Association, and cooperates closely with customers and partners in the upstream and downstream of the supply chain to fulfill our social responsibilities and build a sustainable industrial chain. The Company has made the following efforts:

1. 制定X考勤与休假管理规定X招聘制度》《人事档案管理规定》X员工，明确了公X对防止强迫劳动的承诺，保证员工的合X将《云南X公司黄金供应链管理政策》传达给对方，向对方明确提示了强迫劳动可能涉及的风险，并要求上游企业填写《强迫X。

1. Formulate policies: Our company has formulated the "Dianjin Company Attendance and Leave Management Regulations", "Welfare Management Regulations", "Dianjin Company Recruitment System", "Personnel File Management Regulations" and other systems, and communicated the above systems to the company's employees, making it clear The rights and obligations of company employees demonstrate the company's commitment to preventing forced labor and ensure the reasonable interests of employees.For upstream customers, our company communicates the "Yunnan Dianjin Investment Co., Ltd. Gold Supply Chain Management Policy" to the other party, clearly reminds the other party of the risks involved in forced labor, and requires the upstream enterprises to fill in the "Forced Labor Risk Questionnaire" and provide feedback to my company.

2. 风险评估：针对滇金公X通过向对方发放强迫X情况的形式收集相关信息，并进行详细的风险评估，识别可能存在强迫X的供应链审核，我公X实地X相关强迫劳动的资料、抽样谈话的形式识别和评估供应链的风险。

2. Risk assessment: For upstream customers in the supply chain of Dianjin Company, our company collects relevant information by issuing forced labor questionnaires to them and communicating daily about the company's situation, and conducts detailed risk assessments to identify possible forced labor. areas and links.For our company's supply chain audit, our company hires a third-party audit agency to conduct on-site audits at our company, and identify and assess supply chain risks through on-site review of the company's relevant forced labor information and sampling interviews.

3、评估结果：通过我公司日常沟通收X按照强迫劳动风险涉及的相关标准进行X及上游供应链企业均不存在强迫劳动的情况。

3. Assessment results: Through the information collected through our company’s daily communication and questionnaires, our company conducted a comprehensive assessment in accordance with the relevant standards related to forced labor risks. The assessment result is that there is no forced labor in our company and upstream supply chain enterprises. .

4. X，公开强迫劳动尽职调查结果，以提高透明度，并接受利益相关者的申诉和监督。

4. Transparency and reporting: Our company publishes this report on the company's official website, discloses the results of forced labor due diligence to improve transparency, and accepts complaints and supervision from stakeholders.

5. 持续改进：根据强迫蓝洞X将不断改进其政策和程序，以更有效地预防供应链中可能会产生的强迫劳动现象。

5. Continuous improvement: Based on the feedback results of Forced Blue Hole due diligence, our company will continue to improve its policies and procedures to more effectively prevent forced labor that may occur in the supply chain.

六、管理结论

IV. Management conclusion

综上所述，在报告年度截至X年X月X日的财年内，根据《伦敦金银市场协会（LBMA）可靠黄金指导原则》X实施了有效的管理X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）可靠黄金指导原则》的管理人员。

In conclusion, in the financial year ended December X, X, Yunnan Dianjin Investment Co., Ltd. has implemented effective management systems, procedures, processes and practices in accordance with the LBMA Responsible Gold Guidance. We will be committed to continuous improvement and any corrective actions will be monitored internally on a regular basis. The plan of any corrective actions will be communicated to the LBMA executing agency separately and the management of LBMA Responsible Gold Guidance.

七、其他报告批注

V. Other report comments

如果本报告用户希望就X进行任X相关部门，联系人：XX-X。

If users of this report wish to provide any feedback to Yunnan Dianjin Investment Co., Ltd. with respect to this report, feel free to contact our relevant departments by E-mail , contact person: Xu Bo, Tel: X-X