深圳市眾恒隆實業有限公司
2024年度供應鏈盡職調查合規報告
Shenzhen Zhonghenglong Industrial Co., Ltd
2024 Supply Chain Due Diligence Compliance Report
公司名稱：深圳市眾恒隆實業有限公司
Company Name: Shenzhen Zhonghenglong Industrial Co., Ltd
地址：深圳市龍華區民治街道北站社區民治股份商業中心C座5701
Company Address: Rm.5701, Block C, Minzhi Gufen Commercial Center, Beizhan Community, Minzhi Sub-district, Longhua District, Shenzhen City
工廠地址：廣東省東莞市鳳崗鎮五聯村碧湖大道雨湖路9號
Refinery Address: No.9, Yuhu Road, Bihu Avenue,Wulian Village, Fenggang Town, Dongguan City, Guangdong Province
辦事處：深圳市羅湖區水貝二路特力珠寶大廈A座8樓
Purchasing office: 8/F., Block A, Teli Jewelry Building, Shuibeier Road, Luohu District, Shenzhen City
年終報告：2024年度供應鏈盡職調查合規報告
Year-end report: 2024 Supply Chain Due Diligence Compliance Report
報告日期：2025年2月5日
Reporting date:5 February , 2025
報告負責人：曹健（公司副總經理）
Person in Charge: Cao Jian (Deputy General Manager of the company)
網址：http://www.pnjfbvvz.cn/
Website: http://www.pnjfbvvz.cn/
聯系電話：0755-29503388
Tel: 0755-29503388
一、公司概況
I. Company Profile
深圳市眾恒隆實業有限公司自1997年成立以來，以其穩健的步伐和卓越的表現，成為了貴金屬加工行業的佼佼者。主營業務是生產和回收提純黃金、白銀、鉑金、鈀金等各種貴重金屬以及銷售黃金、銀等貴金屬飾品工藝品，并以其精煉產品的高品質和精湛工藝而聞名。
Shenzhen Zhonghenglong Industrial Co., Ltd. has been a prominent player in the precious metal processing industry since its inception in 1997. Its main business includes production, recycling and purification of gold, silver, platinum, palladium and other precious metals, as well as marketing of precious metal jewelry and crafts. Zhonghenglong is renowned for the high quality of its products and superb craftsmanship.
眾恒隆公司以先進的技術和完善的管理制度為基礎，憑借穩定的生產流程和“下工序即是客戶”的理念，嚴格執行每一道工序的可控性和產品的質量要求。借助先進的監控系統，運行全封閉的生產工藝流程，以確保產品質量的穩定和客戶的滿意。多年的努力使該公司先后通過了ISO14001和IS09001質量管理體系認證，其分析檢測結果的準確度和可信度也得到了業內的普遍認可，國家首飾質量監督檢驗中心與眾恒隆公司成立了聯合實驗室。
Based on advanced technology and a well-established management system, Zhonghenglong combines its stable production process with its philosophy of “Treat Process as Customer” and strictly executes the controllability of each process and quality of each product. With the auxiliary of advanced monitoring systems, the company operates a fully enclosed production process to ensure the stable quality of products and satisfaction from customers. For years, the company has successively acquired the certification of ISO14001 and ISO9001 quality management system. In addition, the accuracy and reliability of the test and analysis results are widely recognized by the industry. The National Jewelry Quality Supervision and Inspection Center has established a joint laboratory with Zhonghenglong.
同時，為了科學環保地解決含貴金屬工業廢料的利用問題，眾恒隆公司從歐洲引進了具有國際先進水平的回收提純化驗檢測設備與技術，嚴格按照國家規定的環保達標標準進行處理。工業廢水經過處理后進行循環再用，以實現廢水零排放的目標。經過檢測，其廢水、廢氣和噪聲都達到了達標排放的標準。為了實現環保與雙碳目標，公司已于2023年4月按照國際公認的PAS 2060-碳中和承諾新標準，推出“零碳金條”。
Meanwhile, in order to address the issues of environmental waste, which containing precious metals in a sustainable manner scientifically, Zhonghenglong introduced advanced recovery and purification equipments and technologies from Europe for industrial waste treatment, strictly follow the national regulations in environmental protection. The wastewater after treated is then circulated for reuse to achieve the goal of zero wastewater discharge. All wastewater, waste gas and noise generated have met discharge standards. As a further step towards environmental protection and achieving carbon neutrality goals, Zhonghenglong has introduced “zero-carbon gold bars” in accordance with the internationally recognized PAS 2060 carbon-neutral commitment standard since April 2023.
眾恒隆公司是上海黃金交易所綜合類會員并連續多年榮獲綜合類優秀會員稱號，以及上海黃金交易所標準金錠、標準金條、標準銀錠提供企業。此外，眾恒隆公司在國內各大行業協會中擔任重要職務，如中國黃金協會常務理事、中國珠寶玉石首飾行業協會常務理事、廣東省黃金協會副會長、深圳市黃金珠寶首飾行業協會副會長等。
Zhonghenglong is a comprehensive member of the Shanghai Gold Exchange and having consistently received outstanding ratings as an overall member. It is also recognized as a leading enterprise providing standard gold ingots, standard gold bars, and standard silver ingots for the Shanghai Gold Exchange. Additionally, Zhonghenglong plays important roles in major domestic industries associations, such as the executive member of China Gold Association, the executive member of the Gems and Jewelry Trade Association of China, Vice-Chairman of the Guangdong Gold Association, and Vice-Chairman of the Shenzhen Gold and Jewelry Association.
二、供應商情況概述
II. Condition overview of supplier
公司原料主要來源是從社會中回收的合質金/銀，且均為國內供應商，沒有識別出供應鏈相關聯的零容忍風險和高風險。
The main sources of raw materials for the company are alloy gold/silver recycled from society , all of which are sourced from domestic suppliers. No zero-tolerance risks or high risks associated with the supply chain have been identified.
三、合規情況概述
III. Overview of compliance conditions
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：
Statement of Compliance :
我公司已經充分遵守第1步驟：建立強大的管理體系。
We have fully complied with Step 1: Establish strong management systems.
1、已制定黃金/白銀負責任供應鏈盡職調查政策
1. A responsible supply chain due diligence policy for gold/silver has been established.
眾恒隆根據《LBMA負責任黃金指南第9版》和《LBMA負責任白銀指南第2版》的要求，已正式發布了《黃金/白銀負責任供應鏈盡職調查政策》和《供應鏈盡職調查管理體系》。該政策符合《經濟合作與發展組織關于來自受沖突影響和高風險區域礦石的負責任供應鏈盡職調查指南》（第三版）中的規定，并擴展至環境和可持續性責任。
Zhonghenglong has officially released the "Gold/Silver Responsible Supply Chain Due Diligence Policy" and "Supply Chain Due Diligence Management System" in accordance with the requirements of the "LBMA Responsible Gold Guidelines 9th Edition" and the "LBMA Responsible Silver Guidelines 2nd Edition". This policy aligns with the provisions outlined in the "OECD Guidelines for Responsible Supply Chain Due Diligence for Minerals from Conflict-Affected and High-Risk Areas" (3rd edition) and extends to environmental and sustainability responsibilities.
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 comply with national laws and regulations regarding employee rights, environmental protection, fair trade, etc., actively participate in supply chain due diligence, ensure that the sources of mineral gold/silver and recycled gold/silver meet the requirements, and make a commitment to reject gold and silver from high-risk areas such as regions where human rights are violated, conflict zones, bribery, money laundering, terrorist financing, illegal mining, world heritage sites, and areas where mercury mining is employed.
眾恒隆每年定期審查政策并按照要求進行更新，將政策在公司官網進行公布:http://www.pnjfbvvz.cn/zygg/info_17_itemid_99.html，公司通過官網、洽談、合同附件、培訓等方式，已充分將該政策傳達給所有的黃金白銀的交易方以及內部的各個職能部門，相關傳達記錄均已保留并存檔。
Zhonghenglong conducts regular policy reviews annually and updates them as required. The policies are published on the company's official website at http://www.pnjfbvvz.cn/zygg/info_17_itemid_99.html. The company has fully communicated the policy to all gold and silver trading parties as well as various internal functional departments through various means such as the official website, negotiations, contract attachments, and training. Relevant communication records have been retained and archived.
2、已建立內部管理體系以支持供應鏈盡職調查
2. An internal management system has been established to support supply chain due diligence
眾恒隆按照《供應鏈盡職調查管理體系》建立內部管理制度，包含《供應鏈風險管理流程》、《風險減緩管理辦法》、《反洗錢反恐怖融資規章制度》《申訴機制》、《禁止使用強迫勞動的管理程序》等制度，設立盡職調查組織架構、明確職責和權限、供應鏈評估標準、調查處理程序、交易監控、文件保存、培訓以及內部審查和管理評審制度，確保供應鏈盡職調查工作全面落地。
Zhonghenglong has established an internal management system in accordance with the "Supply Chain Due Diligence Management System", encompassing various systems such as the "Supply Chain Risk Management Process", "Risk Mitigation Management Measures", "Anti-Money Laundering and Anti-Terrorist Financing Regulations", "Grievance Mechanism", and "Management Procedures for Prohibiting the Use of Forced Labor". It has also set up a due diligence organizational structure, clarified responsibilities and authorities, supply chain evaluation standards, investigation and handling procedures, transaction monitoring, document preservation, training, as well as internal review and management review systems, to ensure the comprehensive implementation of supply chain due diligence work.
盡職調查組織架構由合規總監、合規風控官以及各部門的合規專員組成。合規風控官協助總監全面負責供應鏈盡職調查事務，健全完善供應鏈盡職調查管理體系，監督調查流程，協調處理調查中的異常情況。根據LBMA負責任黃金／白銀指南文件，對相關員工進行培訓。合規總監負責制定年度培訓計劃，2024年組織各相關部門人員共計32人進行了《供應鏈盡職調查管理》、《采掘業透明度倡議EITI原則及標準》、《反洗錢、反恐怖主義融資》以及《反強制勞動》的培訓共4次，使相關責任人明白自己在盡職調查政策實施中的義務與職責，充分保證了盡職調查程序的運行和實施。
The organizational structure for due diligence comprises the Compliance Director, the Compliance Risk Officer, and compliance officers from various departments. The Compliance Risk Officer assists the Director in overseeing supply chain due diligence matters, refining and enhancing the supply chain due diligence management system, supervising the investigation process, and coordinating the handling of anomalies encountered during the investigation. In accordance with the LBMA's Responsible Gold/Silver Guidance, relevant employees are trained. The Compliance Director is responsible for formulating annual training plans. In 2024, a total of 32 personnel from various relevant departments were organized to participate in four training sessions on "Supply Chain Due Diligence Management," "Extractive Industries Transparency Initiative (EITI) Principles and Standards," "Anti-Money Laundering and Counter-Terrorism Financing," and "Anti-Forced Labor," enabling relevant responsible individuals to understand their obligations and duties in implementing due diligence policies, thereby fully ensuring the operation and implementation of the due diligence process.
合規專員由交割部、業務部、財務部、收發部、提純質檢中心、人事部指派，負責嚴格執行供應鏈盡職調查措施，零容忍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。業務部負責向供應商宣傳《供應鏈盡職調查政策》，并將《承諾函》、《KYC》、《關于遵守禁止強迫勞動政策的聲明》等相關資料連同合同傳達給供應商，與供應商書面確認遵守公司相關的規定，負責對供應商進行擴大到環境和可持續性責任的盡職調查，完成供應商風險評估和定期重復評價，提交合規風控官和總監審批。收發、質檢合規專員負責往來重量的記錄、物料的標識和貯存，以及化驗結果的保存。財務部負責往來賬戶的管理，確保交易過程通過合規渠道進行賬務往來，禁止現金交易。
The compliance specialist is appointed by the Delivery Department, Business Department, Finance Department, Receiving and Dispatching Department, Purification Quality Inspection Center, and Human Resources Department. They are responsible for strictly implementing supply chain due diligence measures, adhering to zero-tolerance and high-risk supply chain evaluation standards, and collecting and preserving sufficient supply chain documentation. The Business Department is responsible for promoting the "Supply Chain Due Diligence Policy" to suppliers, communicating relevant documents such as the "Commitment Letter", "KYC", and "Declaration on Compliance with the Forced Labor Prohibition Policy" along with contracts to suppliers, confirming in writing the compliance with company regulations, conducting due diligence on suppliers' environmental and sustainability responsibilities, completing supplier risk assessments and regular re-evaluations, and submitting them for approval by the Compliance Risk Officer and Director. The Receiving and Dispatching, Quality Inspection Compliance Specialist is responsible for recording the weight of transactions, identifying and storing materials, and preserving laboratory test results. The Finance Department is responsible for managing the current accounts, ensuring that transactions are conducted through compliant channels, and prohibiting cash transactions.
人事部發布了關于禁止強迫勞動的政策聲明以及公示申訴渠道讓利益相關方報告有關強迫勞動的申訴，并于公司官網公示：
The Human Resources Department has issued a policy statement prohibiting forced labor and has publicized complaint channels for stakeholders to report complaints related to forced labor. The statement has been posted on the company's official website:
http://www.pnjfbvvz.cn/zygg/info_17_itemid_101.html
對外，公司制定了《關于遵守禁止強迫勞動政策的聲明》要求所有供應商簽署，確保我們采購的原料不涉及到任何的強迫勞工。
Externally, the company has formulated a "Declaration on Compliance with the Policy Prohibiting Forced Labor" and requires all suppliers to sign it, ensuring that the raw materials we procure do not involve any forced labor.
2024年度由人力資源主管組織了內部審查，眾恒隆與每名入職員工均簽訂了勞動合同，按時支付薪資，公司的工會委員會代表員工維護合法權益，協調勞資關系。2024年度不存在任何強制勞動的行為。
In 2024, the HR supervisor organized an internal review. Zhonghenglong signed labor contracts with each newly hired employee, paid salaries on time, and the company's labor union committee represented employees to safeguard their legitimate rights and interests and coordinate labor-management relations. There was no forced labor in 2024.
公司獲得了 ISO 14001 的證書，并制定了環境管理手冊和計劃來管理公司生產和運營中的環境風險，特別是對空，水和土地污染的管理。公司獲得了當地環保局發放的《環境影響報告的批復》。公司建立了危險化學品的管理流程來對化學品的存儲、操作和處理進行管理。公司的運營和采購不涉及任何的破換世界遺產保護、影響土著人民等。
The company has obtained the ISO 14001 certificate and formulated an environmental management manual and plan to manage environmental risks in its production and operations, particularly focusing on the management of air, water, and land pollution. The company has obtained the "Approval of Environmental Impact Report" issued by the local environmental protection bureau. The company has established a hazardous chemical management process to oversee the storage, handling, and disposal of chemicals. The company's operations and procurement do not involve any activities that would damage the protection of world heritage or affect indigenous peoples.
另外，公司制定了對合規人員的問責機制，要求相關專員定期向高級管理人員匯報供應鏈盡職調查情況。通過監督與檢查，確保了供應鏈盡職調查工作得到有效的實施，規避高風險供應鏈的交易。
In addition, the company has established an accountability mechanism for compliance personnel, requiring relevant specialists to regularly report on the supply chain due diligence to senior management. Through supervision and inspection, the effective implementation of supply chain due diligence is ensured, and transactions involving high-risk supply chains are avoided.
眾恒隆已于2024年12月27日由合規風控官組織進行了年度管理評審，并將管理評審結果匯報給了合規總監。
Zhonghenglong conducted an annual management review organized by the Compliance Risk Officer on December 27, 2024, and reported the results of the management review to the Compliance Director.
3、已建立了強有力的供應鏈可追溯體系
3. A strong supply chain traceability system has been established
3.1供應鏈可追溯體系
3.1 Supply chain traceability system
在業務開展中，通過收集盡職調查問卷（KYC）并審查供應商資質、營業執照、身份驗證資料、業務運營、股東信息和物料來源等，供應商資信調查通過后簽訂合同以及承諾書，承諾原料合法，符合LBMA負責任黃金/白銀采購政策；供應商送的每一批來料，都有來料驗收單，表明產品類型、熔前熔后重量等，驗收人員和供應商簽字確認；熔煉取樣化驗，最后形成標準金銀錠，分配編號，通過上海黃金交易所進行交易。
In the process of business development, through collecting KYC (Know Your Customer) questionnaires and reviewing supplier qualifications, business licenses, identity verification documents, business operations, shareholder information, and material sources, suppliers are subject to credit investigation. After passing the investigation, contracts and letters of commitment are signed, promising that the raw materials are legal and comply with the LBMA's responsible gold/silver procurement policy. Each batch of incoming materials sent by the supplier is accompanied by an incoming material acceptance form indicating the product type, weight before and after melting, etc., which is signed and confirmed by the acceptance personnel and the supplier. After melting, sampling and testing, standard gold and silver ingots are formed, assigned numbers, and traded through the Shanghai Gold Exchange.
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。使用線上管理系統以及電子臺賬記錄黃金、白銀來料，確保物料可追溯。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/銀料保存有入庫單、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，由業務部、檢測中心、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 supervises all transactional activities to ensure consistency with supply chain investigations. It utilizes an online management system and electronic ledgers to record gold and silver incoming materials, ensuring material traceability. Complete documentation is maintained for all raw material inventory entries, including receipts, inspection forms, financial vouchers, etc. for gold/silver materials. Each department is clarified on the information they should collect and retain in their daily work. The Business Department, Testing Center, and Finance Department are responsible for preserving relevant documents and regularly submitting them to the archives for filing. The retention period is over 5 years.
3.2通過官方銀行渠道收付款
3.2 Receive and make payments through official banking channels
公司所有業務均通過官方銀行渠道收付款，沒有任何現金交易。全部由業務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。財務合規專員負責交易監控工作，對不符或以任何形式疑似不符的交易背景進行檢查，并報告合規總監。2024年度沒有發現不符及任何形式不符的情況。
All business transactions of the company are conducted through official banking channels, with no cash transactions involved. All fund transactions are initiated by the business department and undergo a joint signing process. Payments are made online through the bank where the company's primary account is located, and bank receipts are printed and retained as voucher attachments. The financial compliance specialist is responsible for transaction monitoring, inspecting any discrepancies or transactions suspected of being discrepant in any form, and reporting to the compliance director. In 2024, no discrepancies or any form of discrepancies were found.
4、強化合作，協助黃金/白銀供應交易方建立盡職調查能力
4. Strengthen cooperation and assist gold/silver supply trading parties in building due diligence capabilities
公司將黃金、白銀供應鏈的政策與要求、電子培訓教材等通過電子郵件、短信、社交軟體等方式傳達給供應商。2024年對供應商進行了線上培訓和經驗分享，以確保他們了解供應鏈政策要求，協助供應商更大程度地建立盡職調查能力, 遵守《經濟合作與發展組織關于來自受沖突影響和高風險區域礦石的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 communicates policies and requirements for the gold and silver supply chain, as well as electronic training materials, to suppliers through various means such as email, text messages, and social media. In 2024, online training and experience sharing were conducted for suppliers to ensure they understand the supply chain policy requirements, assist suppliers in building due diligence capabilities to a greater extent, comply with the "OECD Guidance on Due Diligence for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas," and extend to environmental and sustainability responsibilities.
公司2024年度簽約的所有供應商均簽署了相關《承諾書》，承諾黃金、白銀來源合法合規，拒絕零容忍和高風險, 嚴格遵守合同和法律的規定，EITI相關原則以及反洗錢反恐怖融資、反強制勞動等。
All suppliers contracted by the company in 2024 have signed the relevant "Letter of Commitment", pledging to source gold and silver legally and compliantly, reject zero tolerance and high risks, strictly adhere to contract and legal provisions, as well as the EITI principles, anti-money laundering, anti-terrorist financing, anti-forced labor, etc.
合規總監每季度組織會議，各部門合規專員參加，就當季供應鏈相關信息進行內部報告。溝通事項包括日常盡職調查管理工作內容及原料采購部門對于當期合作供應商盡職調查工作文件，對于盡調工作開展不完善的供應商進行二次盡調，必要時派遣人員進行供應商輔導，提高供應商對其上下游的盡職調查能力。
The Compliance Director organizes meetings quarterly, with the participation of compliance officers from each department, to conduct internal reports on supply chain-related information for the current quarter. The communication items include daily due diligence management work content and the raw material procurement department's due diligence work documents for current cooperative suppliers. For suppliers with incomplete due diligence work, a second round of due diligence is conducted. If necessary, personnel are dispatched to provide guidance to suppliers to improve their due diligence capabilities for their upstream and downstream partners.
5、建立溝通申訴機制，促進相關方和員工的參與。
5. Establish a communication and grievance mechanism to promote the participation of relevant parties and employees
眾恒隆設立了申訴工作處理小組，成員由合規總監、合規風控官、合規專員組成，工作組負責對申訴的處理。
Zhonghenglong has established a complaint handling team, consisting of the Compliance Director, Compliance Risk Control Officer, and Compliance Specialist. This team is responsible for handling complaints.
眾恒隆將申訴渠道在官網公示：
Zhonghenglong will publicize the complaint channel on its official website:
http://www.pnjfbvvz.cn/zygg/info_17_itemid_100.html ，允許員工和外部利益相關者表達對供應鏈或任何新的識別風險的擔憂。
http://www.pnjfbvvz.cn/zygg/info_17_itemid_100.html,allow employees and external stakeholders to express their concerns regarding supply chain or any newly identified risks.
公司已建立了完善的申訴機制并嚴格執行，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 has established a comprehensive grievance mechanism and strictly implemented it, protecting employee privacy throughout the grievance process, keeping the information of the reporter confidential, and eliminating any retaliation against any behavior.
申訴處理小組在收到申訴后 10 個工作日內確認收到申訴，并根據申訴內容判斷確認接受或拒絕申訴。如果申訴被拒絕，應向申訴方提供書面解釋，并記錄在案。對特殊重要申訴信息由申訴處理小組在決定受理后30個工作日內對申訴進行調查、審查和裁決。申訴處理小組應采取合理措施，包括召開一次或多次會議，以作出合理決定。這類措施的例子包括:
The grievance handling team shall confirm receipt of the grievance within 10 working days after receiving it and decide whether to accept or reject the grievance based on its content. If the grievance is rejected, a written explanation shall be provided to the complaining party and recorded. For particularly important grievance information, the grievance handling team shall investigate, review, and adjudicate the grievance within 30 working days after deciding to accept it. The grievance handling team shall take reasonable measures, including holding one or more meetings, to make reasonable decisions. Examples of such measures include:
（1）咨詢專家；
（2）請求申訴方或其他人提供更多信息。
（3）申訴決定以書面形式傳達給申訴方，申訴決定應包含：
① 申訴決定
② 申訴決定是如何以及何時做出的
③ 任何新的建議
(1) Consult experts;
(2) Request the appealing party or other individuals to provide additional information.
(3) The appeal decision shall be communicated to the appealing party in writing, and the appeal decision shall include:
① Appeal decision
② How and when was the appeal decision made
③ Any new suggestions
申訴小組定期總結，并在公司官網公示申訴內容、處理方式及處理結果，同時嚴格保護申訴人隱私信息。截至2024年底申訴小組沒有收到內部員工或供應商的風險申訴信息。
The grievance team regularly summarizes and publicizes the grievance content, handling methods, and results on the company's official website, while strictly protecting the privacy information of the complainants. As of the end of 2024, the grievance team has not received any risk-related grievance information from internal employees or suppliers.
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：
Statement of Compliance:
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.
1、已制定識別供應鏈風險的程序
1. Procedures for identifying supply chain risks have been established
根據《經濟合作與發展組織關于來自受沖突影響和高風險區域礦石的負責任供應鏈盡職調查指南》，黃金/白銀冶煉公司應識別相關風險包括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和白銀，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", gold/silver smelting companies should identify relevant risks, including closely monitoring gold and silver sourced from areas affected by human rights violations, armed conflicts, illegal mining, mining with mercury, and world heritage sites, as well as gold/silver used for bribery, money laundering, terrorist financing, and other activities. The company establishes supplier profiles for each supplier, conducts investigations based on risk status, and completes the establishment of supplier profiles before signing contracts with them.
公司制定了受沖突影響和高風險區域（CAHRA）定義流程與判定標準，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、評估和緩解。
The company has established a process and criteria for defining Conflict-Affected and High-Risk Areas (CAHRA), and has outlined procedures for handling identified risks, ensuring thorough identification, assessment, and mitigation of risks within the supply chain.
2024年度，公司主要從國內供應商采購當地金銀回收料，根據受沖突影響和高風險區域的識別程序判定，未識別出零容忍和高風險。
In 2024, the company primarily sourced local gold and silver recycling materials from domestic suppliers. Based on the identification process for conflict-affected and high-risk areas, no zero-tolerance or high-risk issues were identified.
2、評估供應鏈風險
2. Evaluate supply chain risks
公司設立風險評估小組，由業務部、收發部、財務部、提純檢測中心、質檢中心經驗豐富、能力出眾的員工代表組成，對各部門涉及的供應鏈風險進行識別和評估。
The company has established a risk assessment team, consisting of representatives from the Business Department, Receiving and Dispatching Department, Finance Department, Purification Testing Center, and Quality Inspection Center, who are experienced and capable employees. The team is responsible for identifying and assessing supply chain risks involved in various departments.
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，并完成了盡職調查問卷：
The company conducted due diligence on the supply chain through the following measures and completed the due diligence questionnaire:
（1）資質驗證。要求合作方提供相應的資質證明文件，營業執照，身份證明文件，礦山供應商還需要提供采礦許可證、環評認證以及關注礦工佩戴勞保、健康安全交易、職業病體檢等。
（2）建立供應商檔案。對供應商基本情況、股東信息、提供原料類型及產地、計劃精煉貴金屬類型、結算方式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。
（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調查登記，判斷其來料風險等級。
（4）建立供應商年度調研報告工作流程。對除銀行之外的全年黃金、白銀來料量前三名進行專項盡職調查，形成供應商年度調查報告，內容包括：供應商概況、資質信息、來料類型及所占比重、上游供應商概況及名單、原料產地及品種、是否存在國外黃金、白銀等。
（5）對產品的去向進行盡職調查。針對黃金、白銀銷售業務，對一次性購買黃金重量超過30公斤或累計購買超過100公斤的客戶，一次性購買白銀重量超過2000公斤或累計購買超過5000公斤的客戶，進行產品去向盡職調查工作。
充分發揮網絡作用，利用天眼查、中國審判信息網等網站對供應商資質情況、失信情況、訴訟情況、處罰情況進行查詢，對涉及高風險行為的供應商終止合作。
(1) Qualification verification. Partners are required to provide corresponding qualification documents, business licenses, and identity documents. Mine suppliers also need to provide mining licenses, environmental impact assessment certifications, and ensure that miners wear labor protection gear, conduct health and safety transactions, and undergo occupational disease physical examinations.
(2) Establish supplier profiles. Conduct detailed investigations on suppliers' basic information, shareholder information, types and origins of raw materials provided, types of precious metals planned to be refined, settlement methods, and other relevant information. Extend the supply chain investigation upstream to suppliers as much as possible, and ultimately determine their risk levels.
(3) Establish an incoming material registration book. Investigate and register the date, weight, raw material source, and main upstream suppliers of the current batch of incoming materials from suppliers, and assess their risk level.
(4) Establish a workflow for annual supplier research reports. Conduct special due diligence on the top three suppliers of gold and silver materials (excluding banks) throughout the year, and form an annual supplier survey report. The report should include: supplier profile, qualification information, types of materials supplied and their proportions, profile and list of upstream suppliers, origin and variety of raw materials, and whether there is foreign gold, silver, etc.
(5) Conduct due diligence on the whereabouts of products. For gold and silver sales business, conduct due diligence on the whereabouts of products for customers who purchase more than 30 kilograms of gold in one go or accumulate purchases exceeding 100 kilograms, and for customers who purchase more than 2,000 kilograms of silver in one go or accumulate purchases exceeding 5,000 kilograms.
Fully leverage the role of the internet, utilize websites such as Tianyancha and China Judgment Online to conduct inquiries into suppliers' qualifications, credit status, litigation history, and punishment records, and terminate cooperation with suppliers involved in high-risk behaviors.
2.2 CAHRA的判定。公司制定了CHARA的定義流程。公司采用以下資源和標準判定CAHRA：
2.2 Judgment of CAHRA. The Company developed definition processes for CHARA. The following resources and criteria are applied to determine CAHRA by the Company:
脆弱國家指數（2022） Fragile States Index（2022）
(1) Fragile States Index (2022)
全球沖突晴雨表（2021版）
(2) Global Conflict Barometer (2021)
聯合國人類發展指數（UN Human Development Indicator）
(3) UN Human Development Indicator
多德-弗蘭克法案第 1502條列“指明國家）
(4) “Designated Countries” listed in the Section 1502 of the Dodd-Frank Act
歐盟根據 2017/821條例提供的CAHRA清單
(5) CAHRA List provided by the European Union under Regulation 2017/821
聯合國人權事務高級專員辦事處或同等機構
(6) The Office of the High Commissioner for Human Rights (UN Human Rights) or equivalent institutions
金融行動特別工作組 (FATF) 的報告(包括相關國家/地區報告)
(7) Financial Action Task Force (FATF) Reports (including reports about relevant countries/regions)
關于高風險黃金中心/轉運中心和高洗錢風險國家/地區的可靠市場情報
(8) Reliable market intelligence on high-risk gold centers/transit centers and countries/regions with high risks of money laundering
（9）制裁名單：（英國、美國、歐盟、聯合國及相關制裁清單）
（9）Sanctions lists (US, UK, EU, UN, and relevant sanctions lists)
2.3 零容忍和高風險供應鏈
2.3 Zero tolerance and high-risk supply chains
根據LBMA和OECD相關規定，結合公司實際情況，特規定如下零容忍和高風險供應鏈評判標準：
Based on the relevant regulations of LBMA & OECD and combined with the actual situation of the Company, the following criteria for judging zero-tolerance and high-risk supply chains are specially stipulated:
零容忍風險：
Zero-tolerance risks:
礦山金/銀來自被指定為世界遺產地的地區。
(1) Mined gold/silver comes from areas designated as World Heritage Sites.
以違反國際制裁(包括但不吸納與聯合國、歐盟、英國和美國制裁)的方式采購礦山金/銀、再生金/銀。
(2) Purchasing mined gold/silver and recycled gold/silver in a manner that violates international sanctions (including but not inclusive of sanctions imposed by the United Nations, the European Union, the United Kingdom, and the United States).
礦山金/銀、再生金/銀的供應對手方、其他已知的上游公司或其 UBO 是已知的洗錢者、欺詐者或恐怖分子，或曾嚴重侵犯人權，或直接或間接支持非法非國家武裝組織。
(3) Suppliers of mine gold/silver, recycled gold/silver, other known upstream companies or their UBOs are known as money launderers, fraudsters or terrorists, or have seriously violated human rights, or directly or indirectly supported illegal non-state armed groups.
高風險標準：
High-risk criteria：
高風險的位置
High-risk locations
(1)黃金／白銀來自受沖突影響和高風險地區 (CAHRA) 或曾在該等地區過境或通過該等地區運輸。
(2)黃金／白銀據稱來自已知或合理懷疑來自 CAHRA 的黃金/白銀過境的國家/地。
(3)黃金／白銀據稱來自已知儲量、可能資源或預期產量有限的國家/地區。
(1) Gold/silver comes from conflict-affected and high-risk areas (CAHRA) or has transited or been transported through such areas.
(2) The gold/silver is allegedly sourced from countries/regions where gold/silver transit is known or reasonably suspected to originate from CAHRA.
(3) Gold/silver is allegedly sourced from countries/regions with known reserves, potential resources, or expected limited production.
高風險供應商/交易方或其他已知上游公司：
High risk suppliers/parties or other known upstream companies:
(1)在具有高洗錢風險的國家/地區運營
(2)具有符合基于位置高風險標準的股東或最終收益方或其他黃金白銀供應權益
(3)具有身為政治人物最終收益方
（4）從事高風險商業活動(如軍火、賭博和娛樂業、古董和藝術、教派及其領袖)
（5）已知在過去12 個月曾從高風險國家/地區采購黃金/白銀
（6）與供應鏈中的供應商或對手方之間有重要且無法解釋的運輸路線。
（7）提供的文件有重大差異/不一致，或拒絕提供所要求的文件。
(1) Operating in countries/regions with high money laundering risks
(2) Having shareholders or ultimate beneficiaries or other gold and silver supply interests that meet the high-risk criteria based on location
(3) Being the ultimate beneficiary as a politician
(4) Engaging in high-risk commercial activities (such as arms trading, gambling and entertainment industry, antiques and art, religious sects and their leaders)
(5) It is known that gold/silver has been purchased from high-risk countries/regions in the past 12 months
(6) There are significant and unexplained transportation routes with suppliers or counterparties in the supply chain.
(7) There are significant discrepancies/inconsistencies in the provided documents, or the requested documents are refused to be provided.
高風險物料：
High-risk materials :
礦山金/銀:
Mined gold/silver
采購自ASM
(1)Purchased from ASM
(2)使用汞生產
(2 )Produced with mercury
(3)造成災難性傷害或高度不利的ESG 因素(在公司盡可能能夠識別的范圍內)
(3) Catastrophic injury or highly adverse ESG factors (to the extent that the Company is able to identify them)
再生金/銀
Recycled gold/silver
(1)來自具有高風險供應鏈的中間精煉廠或交易商或從具有高風險供應鏈的中間精煉廠采購的交易對手方
(1)Transaction counterparties from intermediate refineries or traders with high-risk supply chains or purchases from intermediate refineries with high-risk supply chains
(2)無法證明其為再生金/再生銀
(2)Unable to prove that to be recycled gold/silver
2.4 ESG因素
(1)遵守經營所在國/地區的環境、健康、安全和勞工法規/政策；
(2)環境管理，包括
空氣、水、土地污染及事件管理計劃；
水資源管理，特別是在缺水的地區
未經授權從世界遺產地和保護區采購
(3)危險化學品（包括汞和氰化物）的儲存、處理和處置;
(4)勞工管理，包括薪酬、工作時間、集體談判、歧視、多樣性、糾紛和工人權益保障
(5)社區參與和管理方案（土地征用和社區重新安置、文化遺產和土著居民、關閉規劃和保護弱勢群體）
(6)管理商業誠信和道德行為，并支持實施相關倡議（如采掘業透明度倡議EITI)
2.4 ESG factors
(1) Comply with the environmental, health, safety, and labor regulations/policies of the country/region where the business operates;
(2) Environmental management, including
a. Air, water, and land pollution, as well as incident management plans;
b. Water resource management, especially in water-scarce regions
c. Unauthorized procurement from World Heritage sites and protected areas
(3) Storage, handling, and disposal of hazardous chemicals, including mercury and cyanide;
(4) Labor management, including compensation, working hours, collective bargaining, discrimination, diversity, disputes, and protection of workers' rights and interests
(5) Community participation and management plan (land acquisition and community resettlement, cultural heritage and indigenous people, closure planning, and protection of vulnerable groups)
(6) Manage business integrity and ethical conduct, and support the implementation of relevant initiatives (such as the Extractive Industries Transparency Initiative, EITI)
2.5 關于強化盡職調查的說明
眾恒隆通過KYC對上游原料供應商進行盡職調查，主要包括供應商基本信息、業務活動、供應商股東和受益人信息、物料來源、負責任采購建立和實施情況、ESG基本情況、反洗錢、反賄賂和反恐怖主義融資的相關規定，強迫勞工和物料運輸情況。結合制定的《風險評估表》對交易方進行了CAHRAs識別和風險識別。一旦供應鏈中有任何的高風險被識別出來，采用設計的《現場考察表》對涉及高風險的供應商通過線上和現場拜訪的形式進行加強型盡職調查，如可能，會聘請有資質的公司執行，以確定并評估風險。
若觸發加強型盡職調查，精煉商必須對黃金產地進行實地調查/考察，
實地考察應至少包括但不限于：
? 證實記錄在案的 KYC 信息；
? 重點調查威脅融資風險以及具體的供應鏈盡職調查結果 ；
? 在任何交易發生前進行，或至少在業務關系開始后六個月內進行；
? 由與供應商沒有任何利益沖突的勝任員工或獨立的第三方顧問進行。 進行實地考察的人員必須承諾如實、準確地報告；
? 在適用的情況下，咨詢相關的內部和外部利益相關方(例如，地方或中央主管機構、上游公司、國際或民間社會組織或受影響的第三方)；
? 在實地考察報告模板中完整和準確地記錄；
? 根據問題的數量和嚴重程度予以跟進，并記錄在改進計劃中。
基于所接收的含金材料類型，加強型盡職調查措施可在實地考察期間或遠程開展。
有關高風險LSM黃金供應鏈的EDD措施應包括但不限于：
?對從礦山到精煉廠的基于沖突地點的高風險供應鏈中的每一家公司(包括黃金生產商、中間商、黃金交易商和出口商以及運輸商)按比例開展 KYC 活動
?了解在礦區和供應鏈中提供的公共或私人安保服務的性質(包括根據《安全和人權自愿原則》對安保人員進行篩選和培訓)。
?考慮礦區和運輸路線軍事化以及為非法非國家武裝組織或公共或私人安全部隊提供直接或間接支持的風險。
?確定任何一方在礦區、運輸路線和黃金交易及/或出口環節犯下任何嚴重侵犯人權行為的風險。
? 根據生產者特許權估計手工和小規模采礦業者(如有)人數，并確認其合法 ASM 身份、考慮第三方來源的黃金在不知情的情況下被引入生產商運營過程的風險 、考慮生產者和 ASM 參與者之間的關系，以識別沖突或緊張的實例。
? 在適用的情況下，完成稅務和使用費合規的自我聲明。
? 除非法律禁止，否則，了解從提取開始在供應鏈的所有點對政府機構和官員、公共或私人安全部隊或其他武裝組織作出的支付或補償。
? 考慮就初步盡職調查中確定的問題遵守環境、健康、安全、勞工、社區、商業誠信法規、政策和最佳實踐的情況。
有關高風險 ASM 黃金供應鏈的 EDD 措施應包括但不限于：
? 對從礦石加工廠或黃金匯集商到精煉商的基于地點的高風險供應鏈中的每一家公司(包括合作社、黃金交易商和出口商以及運輸商)按比例開展 KYC 活動
? 收集關于 ASM 供應商的政府、政治或軍事聯系的信息（包括任何與非國家武裝團體或公共或私人安全部隊關系的報告實例）。
? 收集有關任何一方在礦區、運輸路線和黃金交易及/或出口環節犯下任何嚴重侵犯人權行為的證據。
? 考慮礦區和運輸路線軍事化以及為非法非國家武裝組織或公共或私人安全部隊提供直接或間接支持的風險。
? 考慮到 LSM 和 ASM 之間的任何沖突或緊張關系。
? 考慮有關來自其他來源的黃金在不知情的情況下被引入黃金供應鏈及/或虛假陳述的風險、懷疑或報告。
? 考慮汞的儲存、處理和使用以及對環境和工人健康的影響。
? 評估與最初盡職調查中確定的問題相關的其他 ESG 風險管理實踐的適當性。
? 除非法律禁止，否則，了解從提取開始在供應鏈的所有點對政府機構和官員、公共或私人安全部隊或其他武裝組織作出的支付或補償。
有關來自中間精煉商的高風險再生金的 EDD 措施應包括但不限于：
? 提供關于中間精煉商的負責任采購實踐的獨立鑒證報告：
?包括對遵循經合組織負責任采購計劃的評估
?由中間精煉商委托開展
?在新的業務關系開始之前或在精煉商實施本指南的合理時間框架內完成
??中間精煉商的最終實益擁有人的身份
2024年度，業務部門按《供應鏈盡職調查管理辦法》進行合規調查，合規總監負責審查盡職調查的真實性、有效性和完整性。2024年所有物料均來自于中國，且中國未被識別為CAHRAs, 也未識別出供應商和其供應鏈中有零容忍風險，高風險以及強迫勞工的風險，所以未觸發強化盡職調查。
2.5 Explanation on Strengthening Due Diligence
Zhonghenglong conducts due diligence on upstream raw material suppliers through KYC, mainly covering basic supplier information, business activities, information on supplier shareholders and beneficiaries, material sources, establishment and implementation of responsible procurement, basic ESG conditions, relevant regulations on anti-money laundering, anti-bribery, and anti-terrorist financing, as well as forced labor and material transportation conditions. Based on the developed "Risk Assessment Form", CAHRAs identification and risk identification are carried out for trading partners. Once any high risks are identified in the supply chain, the designed "On-site Inspection Form" is used to conduct enhanced due diligence on suppliers involved in high risks through online and on-site visits. If possible, qualified companies will be hired to perform the inspection to identify and assess risks.
(1) If enhanced due diligence is triggered, refiners must conduct on-site investigations/inspections of gold production sites,
The field inspection should include at least, but not limited to:
? Verify the documented KYC information;
? Focus on investigating the risk of threat financing and specific supply chain due diligence results;
? Conduct it before any transaction takes place, or at least within six months after the commencement of the business relationship;
? Conducted by competent employees or independent third-party consultants who have no conflict of interest with the supplier. Personnel conducting on-site inspections must commit to reporting truthfully and accurately;
? Where applicable, consult relevant internal and external stakeholders (e.g., local or central authorities, upstream companies, international or civil society organizations, or affected third parties);
? Record completely and accurately in the field inspection report template;
? Follow up on issues based on their quantity and severity, and record them in the improvement plan.
(2) Based on the type of gold-bearing material received, enhanced due diligence measures can be conducted during on-site inspections or remotely.
EDD measures pertaining to high-risk LSM gold supply chains should encompass, but are not necessarily limited to:
? Conduct KYC activities proportionally for every company in the high-risk supply chain based on conflict locations, from mines to refineries, including gold producers, intermediaries, gold traders and exporters, as well as transporters
? Understand the nature of public or private security services provided in mining areas and supply chains (including screening and training of security personnel in accordance with the Voluntary Principles on Security and Human Rights).
? Consider the risks of militarizing mining areas and transportation routes, as well as providing direct or indirect support to illegal non-state armed groups or public or private security forces.
? Identify the risk of any serious human rights violations committed by any party in the mining area, transportation routes, and gold trading and/or export processes.
? Estimate the number of artisanal and small-scale miners (if any) based on the concessions of producers, confirm their legal ASM status, consider the risk of gold from third-party sources being unknowingly introduced into the producer's operation process, and take into account the relationship between producers and ASM participants to identify instances of conflict or tension.
? Complete self-declaration of tax and royalty compliance, where applicable.
? Unless prohibited by law, be aware of any payments or compensation made to government agencies and officials, public or private security forces, or other armed organizations at all points in the supply chain, starting from extraction.
? Consider compliance with environmental, health, safety, labor, community, business integrity regulations, policies, and best practices regarding the issues identified during the preliminary due diligence.
EDD measures pertaining to high-risk ASM gold supply chains should encompass, but are not limited to:
? Conduct KYC activities proportionally for each company in the high-risk supply chain based on location, ranging from ore processing plants or gold aggregators to refiners, including cooperatives, gold traders and exporters, as well as transporters
? Collect information on the government, political, or military connections of ASM suppliers (including any reported instances of relationships with non-state armed groups or public or private security forces).
? Collect evidence of any serious human rights violations committed by any party in the mining areas, transportation routes, and gold trading and/or export processes.
? Consider the risks of militarization of mining areas and transportation routes, as well as the provision of direct or indirect support to illegal non-state armed groups or public or private security forces.
? Take into account any conflicts or tensions between LSM and ASM.
? Consider risks, suspicions, or reports regarding the unintentional introduction of gold from other sources into the gold supply chain and/or misrepresentation.
? Consider the storage, handling, and use of mercury, as well as its impact on the environment and workers' health.
? Evaluate the appropriateness of other ESG risk management practices related to the issues identified during the initial due diligence.
? Unless prohibited by law, obtain information on payments or compensation made to government agencies and officials, public or private security forces, or other armed organizations at all points in the supply chain, starting from extraction.
EDD measures pertaining to high-risk recycled gold sourced from intermediate refiners should encompass, but are not limited to:
? Provide independent assurance reports on the responsible sourcing practices of intermediate refiners:
Including the assessment of compliance with the OECD's Responsible Procurement Initiative
Conducted by an intermediate refiner
Complete before the commencement of a new business relationship or within a reasonable timeframe for refiners to implement this guideline
The identity of the ultimate beneficial owner of the intermediate refiner
In 2024, the business department conducted compliance investigations in accordance with the "Supply Chain Due Diligence Management Measures". The compliance director was responsible for reviewing the authenticity, effectiveness, and integrity of the due diligence. In 2024, all materials were sourced from China, and China was not identified as a CAHRA. No suppliers or their supply chains were identified as posing zero-tolerance risks, high risks, or forced labor risks, thus no enhanced due diligence was triggered.
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：
Statement of Compliance:
我公司已經充分遵守第3步：設計和實施風險管理體系以應對識別的風險。
We have fully complied with Step 3: Design and implement a management system to respond to identified risks.
1、制定風險管理策略
眾恒隆制訂了《供應鏈風險減緩管理辦法》，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，以及向高級管理人員匯報實施進度等。
如果供應鏈中識別出零容忍的風險，不得與其建立業務關系，或必須立即終止現有的業務關系。
當識別出以下問題，公司應立即停止與交易方的合作關系：
1. Develop risk management strategies
Zhonghenglong has formulated the "Supply Chain Risk Mitigation Management Measures", which stipulates the handling methods for violations found during supplier evaluation and daily business operations; standardizes the steps for handling high-risk behaviors identified among suppliers; and clarifies the responsibilities of organizations and personnel at all levels in due diligence management, as well as the reporting of implementation progress to senior management.
If zero-tolerance risks are identified in the supply chain, no business relationship should be established with such parties, or existing business relationships must be terminated immediately.
Upon identifying the following issues, the company should immediately terminate its cooperative relationship with the trading party:
1.洗錢
1. Money laundering
2.恐怖主義融資
2. Terrorist financing
3.嚴重侵犯人權
3. Serious violations of human rights
4.直接或間接支持非國家武裝組織
4. Direct or indirect support for non-state armed groups.
5.謊報礦物產地
5. Misrepresentation of mineral origin
6、具有災難性的ESG影響
6. Catastrophic ESG effects
當實施加強型盡職調查后，對以上問題有合理的懷疑，公司應立即暫停與交易方的合作關系，一旦在6個月內從供應商初獲取對上述懷疑的反駁性證明和回應，即可由合規總監審批后恢復業務關系。
2、對評估為高風險的供應商采取以下措施：
(1)實施加強型盡職調查
(2)不與該供應商建立業務關系
（3）與已建立業務關系的供應商暫停合作，如果在6個月內，供應商提供反駁性證明和回應，且能再次符合公司對風險的評估要求，重新建立合作關系；
（4）與已建立業務關系的供應商暫停業務，如果在6個月內，供應商不能符合公司對風險的評估要求，將終止合作。
After conducting enhanced due diligence, if there are reasonable doubts regarding the aforementioned issues, the company should immediately suspend its cooperation with the trading party. Once rebuttal evidence and responses to the aforementioned doubts are obtained from the supplier within six months, the business relationship can be resumed upon approval by the compliance director.
2. The following measures shall be taken against suppliers assessed as high-risk:
(1) Conduct enhanced due diligence
(2) Not establishing business relations with this supplier
(3) Suspend cooperation with suppliers who have established business relationships. If, within six months, the supplier provides rebuttal evidence and a response, and can once again meet the company's risk assessment requirements, the cooperation relationship can be re-established;
(4) Suspend business with suppliers who have established business relationships, and terminate cooperation if they fail to meet the company's risk assessment requirements within 6 months.
當實施加強型盡職調查的結果不完全令人滿意，或認為雖然存在以下情況，但供應商已作出合理和善意的努力，公司可繼續與供應商合作，并與供應商一起制定并執行改善計劃：
When the results of the enhanced due diligence are not entirely satisfactory, or when it is believed that the supplier has made reasonable and good-faith efforts despite the following circumstances, the company may continue to cooperate with the supplier and work together with the supplier to develop and implement an improvement plan:
（1）賄賂
（1） Bribery
（2）非欺詐性誤報礦物產地
（2） Non-fraudulent misreporting of mineral origin
（3）未支付應付政府的稅收、費用和特許權使用費
（3）Failure to pay taxes, fees and royalties due to the government
（4)嚴重違反與環境、健康、安全、勞工和社區有關的地方立法，及/或存在極有可能造成高度不利影響的 ESG 風險。
(4)Serious violation of environmental, health, safety, labor and community-related local methods, which is highly likely to cause serious adverse effects.
對任何識別出的風險，公司將會與交易方和利益相關方進行溝通并制定相應的風險緩解計劃。風險緩解計劃實施后，相關的風控專員就供應商提供材料證據與反饋的過程進行記錄，對供應商所提交的材料進行核實與審查，確保風險緩解進展與實施的有效性。
眾恒隆嚴格遵守LBMA負責任黃金/白銀指南，設計并實施策略來應對已識別的風險。2024年未發現零容忍和高風險供應鏈，不需要做風險緩解措施。
For any identified risks, the company will communicate with trading partners and stakeholders and develop corresponding risk mitigation plans. After the implementation of the risk mitigation plan, the relevant risk control specialist will record the process of suppliers providing material evidence and feedback, verify and review the materials submitted by suppliers, and ensure the effectiveness of risk mitigation progress and implementation.
Zhonghenglong strictly adheres to the LBMA's Responsible Gold/Silver Guidelines, devising and implementing strategies to address identified risks. In 2024, no zero-tolerance or high-risk supply chains were identified, thus no risk mitigation measures were required.
3、已建立風險評估報告制度
公司建立風險評估報告制度，每年合規專員對部門盡職調查工作上報合規總監。2024年度的風險識別和評估結果已匯報給合規總監并保留了相應的傳達記錄。
3. A risk assessment reporting system has been established
The company has established a risk assessment reporting system, where the compliance specialist reports the due diligence work of each department to the compliance director annually. The risk identification and assessment results for the year 2024 have been reported to the compliance director, and corresponding communication records have been retained.
第四步 獨立第三方審計
Step 4 Arrange for an independent third-party audit of the supply chain due diligence.
合規聲明：
Statement of Compliance :
我公司已經充分遵守第4步：安排供應鏈盡職調查的獨立第三方審計。
We have fully complied with Step 4: Arrange for an independent third-party audit.
公司嚴格遵守對精煉商的盡職調查實踐開展獨立的第三方審計的要求。自2020年開始，公司已委托RCS Global進行LBMA相關負責任合規審計并依照審計要求提供相關數據及文件。
The Company has strictly complied with the requirements of Step 4 of the LBMA Responsible Gold and Silver Guidance “conduct an independent third-party audit of the refiner’s due diligence practice” and have appointed RCS Global to audit the supply chain due diligence system of the Company in since 2020.
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：
Statement of Compliance:
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.
眾恒隆嚴格遵守供應鏈盡職調查年度合規報告的要求，按時編制2024年度供應鏈盡職管理合規報告，并于公司官方網站進行公示:
http://www.pnjfbvvz.cn/zygg/info_17_itemid_103.html
Zhonghenglong strictly adheres to the requirements of the annual compliance report for supply chain due diligence, prepares the 2024 annual supply chain due diligence management compliance report on time, and publicizes it on the company's official website: http://www.pnjfbvvz.cn/zygg/info_17_itemid_103.html
需要了解更多內容或者對本報告有任何反饋意見，可通過電話0755-29503388或電子郵件Ken@zhlsz.net與我們聯系。
If you need to know more or have any feedback on this report, please contact us by phone at 0755-29503388 or email at Ken@zhlsz.net.
四、管理結論
IV. Management conclusion
綜上所述，截至于2024年12月31日的報告年度內，深圳市眾恒隆實業有限公司完全遵守了《LBMA負責任黃金/白銀指南》，實施了有效的管理制度、程序、流程和實踐，完善了供應鏈管理體系，充分進行了供應商風險的識別和評估，并擴展至環境和可持續發展的影響，對供應鏈盡職調查進行獨立第三方審計。公司將持續改進完善管理體系，加強內部監測和管理，提升對風險的防范。
In summary, during the reporting year ending December 31, 2024, Shenzhen Zhonghenglong Industrial Co., Ltd. fully adhered to the LBMA Responsible Gold/Silver Guidelines. It implemented effective management systems, procedures, processes, and practices, improved its supply chain management system, fully identified and assessed supplier risks, extended its focus to environmental and sustainable development impacts, and conducted independent third-party audits for supply chain due diligence. The company will continue to improve its management system, strengthen internal monitoring and management, and enhance risk prevention.
