Company name: Yunnan Dianjin Investment Co., Ltd.
注册地址：云南省昆明市安宁市草铺街道办事处民安路8号
Registered Add: No. 8 Ming'an Road, Caopu Street Office, Anning City, Kunming City, Yunnan Province, China
生产地址：云南省昆明市东郊白沙河
Operation and Refining Address: Baishahe East Suburb, Kunming City, Yunnan Province, China
年终报告：2022年度供应链尽职管理合规报告
Year-end report: 2022 Supply Chain Due Diligence Management Compliance Report
报告日期：2023年1月8日
Date of report: January 8, 2023
报告负责人：陈德海 公司副总经理
Person in charge of this report: Mr Chen Dehai, Vice General Manager
一、 公司概况
I. Company profile
3499拉斯维加斯下属云南滇金投资有限公司（以下简称“滇金公司”），是黄金、白银提纯精炼加工企业，成立于2009年，注册资本1.5亿元，注册地址为云南省昆明市安宁市草铺街道办事处民安路8号,实际办公和精炼提纯地址为云南省昆明市东郊白沙河。滇金公司是昆明市工业企业经济贡献前10企业，昆明市百强企业，获“昆明市知名商标”、“云南省著名商标”和“名牌产品”，持有的“滇金”品牌金锭是上海黄金交易所及上海期货交易所认定的履约交割金锭，产品主要包括上海黄金交易所国标1号金、2号金、投资金条等，有专利12项。滇金公司拥有高温高压无氰解吸载金炭工艺、湿法提纯精炼黄金工艺、高电流银电解工艺和高效自动铸锭工艺，在黄金、白银提纯精炼领域处于国内领先地位。电解装置、高金银载金碳分段解吸电积方法，全国首创。
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 2009 with a registered capital of RMB 150 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 10 enterprises contributing to the output value of industrial enterprises in Kunming City, “Top 100 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.
二、 供应商情况概述
II. Overview of suppliers
公司主要原料来源分为上海黄金交易所、集团内各大矿山自产金和从外部企业收购的合质金(矿山金和回收金)，所有供应商经过评估均不涉及零容忍风险和高风险。
The main sources raw materials (includes mined gold and recycled gold) are from SGE, the Company’s group self-produced gold alloy from major mines and the external market. No zero tolerance risk and high-risk identified with all suppliers supply chain.
二、 合规情况概述
III. Overview of compliance
公司对所有供应商进行尽职供应链调查，要求所有供应商提供的黄金原料来源合法、合规。
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.
第一步 建立强大的公司管理体系
Step 1: Establish strong company management systems
合规声明与要求：
Compliance Statement with Requirement:
3499拉斯维加斯官网已经充分遵守第1步骤：建立强大的公司管理体系。
We have fully complied with Step 1: Establish strong company management systems.
公司严格遵守LBMA黄金责任指南第一步“建立强大的公司管理体系”的要求，已经建立了强大的管理体系，确保供应链尽职调查工作全面落地。
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
公司通过并出台了《云南滇金投资有限公司黄金供应链管理政策》（以下简称“政策”），该政策符合《经济合合与发展组织关于来自受冲突影响和高风险区域的矿石的负责任供应链尽职调查指南》并扩展至环境、社会、治理和可持续性责任，该政策在3499手机版拉斯维加斯进行了公布，官网链接地址为： /154/230/content_1486.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 and sustainability responsibilities. This policy has been published at the website: /154/230/content_1486.html
政策要求公司及其供应商严格遵守国家关于职工权利、环境保护、公平交易等各项法律法规，积极参与供应链尽职调查工作，确保开采金、回收金来源符合LBMA尽职调查管理要求，并作出承诺，对黄金供应链中的关于侵犯人权、冲突地区、贿赂、洗钱、恐怖主义融资、非法开采、世界遗产遗址、采用汞开采等高风险地区的相关风险进行管控。同时，政策也要求对黄金交易方进行KYS调查和风险评估，对内部员工定期提供尽职调查管理体系的培训，公司的供应链申诉渠道也被加入到政策中。公司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尽职调查管理要求发生变化时，公司会及时的更新该政策。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. Ensure that the sources of mined gold and recovered 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 KYS 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
公司已经建立了内部管理制度，按照出台的政策对管理、作用和职责、内部审计、沟通进行界定、并开展高级管理层评审。公司已于2023年01月04进行了管理评审，并出具了书面管理评审结论。
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, 2023 and issued management review conclusion in written.
2.1规章制度方面
2.1 Rules and regulation aspects
公司根据《LBMA负责任的黄金指南》制订了《云南滇金投资有限公司黄金供应链管理政策》《黄金供应链尽职调查规则》《云南滇金投资有限公司供应链风险减缓管理办法》《云南滇金投资有限公司供应链反洗钱、反恐怖主义融资政策》，主要明确供应链尽职调查组织架构、职责、高风险地区定义，制定零容忍和高风险供应链评估标准、调查处理程序、交易监控、文件保存等内容。上述制度通过总经理办公会审批后以红头文的形式下发，作为文控处理。
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, 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
公司设置尽职管理委员会、尽职管理工作办公室、尽职管理工作小组及合规专员。
The Due Diligence Management Committee, Due Diligence Management Office, Due Diligence Management Working Group and Compliance Officer should be set by the Company.
尽职管理委员会云南滇金投资有限公司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，其主要职责：根据LBMA负责任的黄金指南内容制定公司黄金采购尽职管理相关政策、规定，指导日常尽职调查，监督洗钱、高危地区采购等风险管理及应对措施的实施，发现并纠正日常管理工作中的问题和不足；负责监督、检查公司黄金采购尽职管理体系和管理标准的建立，并定期更新；协调公司尽职管理办公室进行风险调查、识别、评估、应对等工作，并在公司层面做最终确认；协调公司及所属部门尽职管理交流和培训事项。
Due Diligence Management Committee of Yunnan Dianjin Investment Co., Ltd. is the leading and decision-making body for the Company to implement LBMA Responsible Gold Sourcing Due Diligence Management System and its main responsibilities are to: be responsible for formulating policies and regulations related to due diligence management for gold procurement of the Company according to the content of LBMA Responsible Gold Guidance, guiding daily due diligence, supervising the implementing risk management and countermeasures for money laundering and procurement in high-risk areas, and finding and correcting problems and deficiencies in daily management; take charge of supervising and inspecting the establishment for gold procurement due diligence management system and management standards of the Company, and updating regularly; coordinate with the Company Due Diligence Office to carry out work such as risk investigation, identification, assessment and response to make final confirmation at the Company level, and coordinate with the Company and its departments on due diligence management communication and training.
尽职管理工作办公室是云南滇金投资有限公司推行LBMA尽职管理体系的牵头负责部门，负责公司各业务环节尽责管理工作的开展和指导，设在营销部。主要职责：制定公司黄金采购尽责管理政策、制度、流程及工作计划；负责实施公司黄金采购尽责管理架构，指导、协调、报告公司风险评估、应对和监控等情况；负责组织公司黄金采购尽责管理知识的学习和专业培训； 协助公司经营班子召开尽责管理会议，讨论重大风险事项，执行公司决议，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.
尽责管理小组及合规专员，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、分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金采购尽责管理问题，报送公司黄金采购尽责管理办公室。
For the Due Diligence Management Working Group and Compliance Officers, the person in charge of each department and workshop is the first person in charge of the unit. Responsibilities for Due Diligence Management Working Group are as follows: Carry out the due diligence management policy for gold procurement in the department and professional filed; Organize investigation, identification, analysis and evaluation of risks in the department and related professional fields at the end of each year, and review the risk information quality. Report the significant risks identified by the department and related professional fields at the end of each year; Lead all risk-related units to jointly develop feasible risk response plans when the department is the main risk responsible department; Report the gold procurement due diligence management problems of suppliers found in daily work timely to the Gold Procurement Due Diligence Management Office of the Company.
2.3 强有力的内部追溯体系
2.3 Strong internal traceability system
3499拉斯维加斯官网会对所有的供应商进行尽职调查，填写KYC问卷，尽职调查完成后签订合同并要求供应商出具《供应商社会承诺书》，承诺原料合法合规，符合《云南滇金投资有限公司黄金供应链管理政策》要求。
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
公司建立了一套供应链可追溯体系，每一批移交云南滇金投资有限公司的原料均有台账记录，包括供应商名称、移交日期、移交重量、成色等。每一批出库标准金锭均分配唯一编号，并有出库台账记录，包括出库日期、出库重量等，并通过上海黄金交易所进行销售。
The Company established a supply chain traceability system, so that every batch of raw materials 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
在业务开展前，3499拉斯维加斯官网会收集供应商营业执照、资质验证资料、KYC调查表、环保相关等资料。每一批次的货物移交单、化验单、结算单、银行转账等与尽职调查相关的记录记录保存5年以上。
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 and bank transfer should be kept for more than 5 years.
3.3培训
3.3 Training
公司每年将供应链尽职调查管理培训纳入公司年度培训计划当中，组织公司重点岗位以及合规员对供应链尽职调查管理的要求、内容以及LBMA负责任黄金指南进行培训，确保供应链尽职调查管理工作落到实处。2022年3499拉斯维加斯官网共开展了4次LBMA相关内容的培训工作，并由学员填写了培训效果反馈表，整体培训效果非常良好。
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 Compliance Officers to carry out training on requirements and contents for supply chain due diligence management and LBMA Responsible Gold Guidance to ensure the implementation of supply chain due diligence management. Our Company has carried out a total of 4 times of LBMA related training in 2022. Training effect feedback forms were filled by trainee, and the overall training effect is well.
3.4合规机构
3.4 Compliance Agencies
公司设置了尽责管理小组及合规专员，负责有关供应链尽职调查管理的所有事项。特别是，对供应链尽职调查进行审核，并评估尽职调查是否充分，必要时收集额外文件或信息。确保在高风险供应链或交易内实施相应从事。负责有关责任供应链的员工培训，编制并更新供应链政策，并向高级管理人员提供用于履行职责的适当信息。
Due Diligence Management Working Group and Compliance Officers are set by the Company, which are in charge of all matters related to supply chain due diligence management. Especially, it is required to be responsible for reviewing supply chain due diligence, assessing the adequacy of due diligence, and collecting additional documents or information if necessary. The implementation for corresponding actions within the high risk supply chain or transaction should be ensured. It is required to take charge of staff training for responsible supply chain, preparing and updating supply chain policy, and providing appropriate information to senior management to carry out their responsibilities.
3.5通过官方银行渠道付款
3.5 Payment through official bank channels
公司在支付货款时，由营销部发起资金支付程序，由财务部审核、经营班子审批后，通过公司基本户所在的银行网上付款，并打印银行回单作为凭证附件保留。
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.
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
公司鼓励与供应商建立基于信任和互认的长期关系，特别是遵守《经济合作与发展组织关于来自受冲突影响和高风险区域的矿石负责任供应链尽职调查指南》并扩展至环境和可持续性责任的供应商。
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.
公司所有供应商都签署《供应商社会责任承诺书》，承诺黄金来源合法合规，拒绝来自LBMA规定的零容忍风险和高风险。矿山类型的供应商需提供采矿许可证，冶炼类型供应商需提供原产地证或报关单。所有供应商销售给3499拉斯维加斯官网的黄金均要提供合规的发票，通此标准，对供应商进行了筛选，甄选出低风险供应商，并规避税务风险。公司将政策、LBMA黄金指南、黄金尽职调查的采购要求以及自己的尽职调查采购实践和经验都分享给了黄金交易方，所有的传达记录均已保留。
All of the Company’s suppliers have signed the Social Commitment of Supplier, promising that the gold source is legal and compliant and refusing the gold from zero tolerance risk and high-risk areas indicated by LBMA. 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
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，编制了《云南滇金投资有限公司供应链反洗钱和反恐怖主义融资政策》。3499拉斯维加斯官网在日常经营中严格遵守上述政策，目前均未出现上述情况。
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, and none of the above-mentioned situations have occurred at present.
6、建立机密申诉机制
6. Establish a confidential appeal mechanism
公司利用云金集团官网网址, 公布黄金负责任采购的申诉渠道，申诉的电话和邮箱已经加入到政策中并公布在公司的网站上，允许员工和外部利益相关者表达对供应链或任何新的已识别风险的担忧，对举报人信息保密，在整个申诉过程中保护了申诉人的隐私，杜绝任何行为的打击报复。
The company uses the official website of Yunjin 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 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.
2022年3499拉斯维加斯官网未接到员工和外部利益相关者的申诉。
We have not received any complaint from employees and external stakeholders in 2022.
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:
3499拉斯维加斯官网已经充分遵守第2步骤：对供应链中的风险进行识别和评估。
We have fully complied with Step 2: Identify and assess risk in the supply chain.
公司严格遵守LBMA负责任黄金指南第二步“识别及评估供应链风险”的要求，明确了需要识别出黄金供应链中的零容忍风险和高风险，根据公司实施的风险评估结果，截止到目前，未发现在黄金供应了中识别出零容忍和高风险。
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. So far, no zero tolerance risk and high-risk supply chain has been identified.
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)
为了识别公司黄金供应链中的风险，公司使用以下资源定义了受冲突影响和高风险区域的识别流程：
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:
1. 联合国制裁清单
1. United Nations sanctions list
2. 多德弗兰克法案第1502条
2. Article 1502 of the Dodd Frank Act
3. 欧盟CAHRA清单
3. EU CAHRA List
4. 《海德堡晴雨表》
4. Heidelberg Conflict Barometer
5. 《脆弱国家指数》
5. Fragile States Index
6. 联合国人权事务高级专员办事处
6. United Nations Human Rights Office of the High Commissioner
7. 反洗钱金融行动特别工作组(简称FATF)报告
7. Report of the Financial Action Task Force on Money Laundering (FATF)
8. 高风险黄金中心/转运中心和高洗钱风险国家/地区的可靠市场情报
8. Reliable market intelligence of high-risk gold centers/transit centers and countries/regions with high money laundering risk
该流程至少一年更新一次或当引用的资源发生变化时，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LBMA负责任黄金指南，公司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:
零容忍风险：
Zero tolerance risks:
1. 开采金来自被指定为世界遗产地的地区
1. Mining 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. Mining 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应对手方、其他已知的上游公司或其 UBO是已知的洗钱者、欺诈者或恐怖分子，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 mining 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, mining 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、可能资源或预期产量有限的国家/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，交易对手方或其他已知的上游公司：
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 12 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 12 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/或据称来自黄金出口量有限的国家/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，交易对手方或其他已知的上游公司：
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 12 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 12 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
公司通过以下措施对供应链进行尽职调查：
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等信息进行调查，并尽可能的将供应链调查向供应商的上游延伸，最终确定其风险等级，对于涉及零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. 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调查。充分发挥网络作用，利用天眼查、中国审判信息网、IPE等网站对供应商资质情况、失信情况、诉讼情况、处罚情况进行查询。2022年3499拉斯维加斯官网对所有供应商合计21家进行了专项尽职调查，内容包括：供应商概况、资质信息、来料类型及、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，尽职调查情况，环境/气候，反洗钱反恐怖主义融资等信息。
(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 21 suppliers in total in 2022, including supplier profile, qualification information, incoming material types and , upstream supplier list, raw material origin and variety, etc. All suppliers have beentracked to the information of the final beneficiaries, due diligence, environment/climate, anti-money laundering and anti-terrorist financing, etc.
（5）根据收集到的供应商和供应链的信息，识别出公司供应中涉及的国家和地区为：中国、老挝、美国和智利，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》，评估记录显示未识别出公司黄金供应链中有任何的零容忍风险和高风险。
(5) In accordance with the information collected from suppliers and supply chains, the countries and regions involved in the Company’s supply are identified as follows: China, Laos, the United States and Chile. 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, and the assessment records show that no zero tolerance risks and high risks in the gold supply chain of the Company have been identified.
2.4 加强型尽职调查
公司规定，当公司黄金供应链识别出任何的零容忍风险时，需立即与该交易方终止现有的合作关系；对于识别出的高风险，公司会进一步要求交易方提供以下信息，并使用《现场拜访检查表》通过现场或者线上的形式对交易方进行拜访，即加强型尽职调查，以确定其供应链中是否存在高风险。因公司黄金供应链中尚未识别出高风险，所以无需执行交易方的加强型尽职调查。
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. Since no high risks have been identified in the gold supply chain of the Company, there is no need to carry out enhanced due diligence on the counterparty.
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、运输或贸易的系统性或广泛人权侵犯行为的政府性文件，如供应商所在地相关公安或商务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的原产地证明文件，如相关政府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 mining 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
公司建立风险评估报告制度，每年尽责管理小组及合规专员对供应商进行调查，将黄金供应链的风险识别和评估结果汇报给高级管理层，若识别出任何的零容忍风险，将终止该交易并上报尽职管理委员会审批后报政府部门。
The Company shall establish 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:
3499拉斯维加斯官网已经充分遵守第3步：设计和落实管理体系应对识别的所有风险。
We have fully complied with Step 3: Design and implement a management system to respond to identified risks.
公司严格遵守LBMA黄金责任指南第三步“设计并实施策略来应对已识别的风险”的要求。2022年未发现黄金供应链中有零容忍风险和高风险，因此未采取供应链风险减缓措施。
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 2022, so no supply chain risk mitigation measures have been taken.
公司制订了《供应链风险减缓管理办法》并作为文控管理，约定了在供应商评估及日常业务开展过程中发现的违规情况的处理方式；规范了发现供应商存在高风险行为的处理步骤；明确了尽职管理各级组织、人员的责任。
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 mineral 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 mineral 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.
对任何识别出的风险，公司将会与交易方和利益相关方进行沟通并制定相应的风险缓解计划，在风险缓解计划实施的过程中进行追踪和监控，确保计划的有效实施，风险缓解的进展也会汇报给高级管理层。
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.
因未识别出3499拉斯维加斯官网黄金供应链中的高风险，因此无需制定并实施风险缓解计划。
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:
3499拉斯维加斯官网已经充分遵守第4步：安排供应链尽职调查的独立第三方审计。
We have fully complied with Step 4: Arrange for an independent third-party audit of the supply chain due diligence
公司严格遵守LBMA黄金责任指南第四步“对精炼商的尽职调查实践开展独立的第三方审计”的要求。
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.
自2010年开始，公司每年均聘请会计师事务所进行财务审计，并出具审计报告。2018-2020年聘请了致同会计师事务所（特殊普通合伙）云南分所进行审计，2021-2022年聘请了中审亚太会计师事务所（特殊普通合伙）云南分所进行审计。
We have engaged CPA to carry out financial audit annually since 2010. During 2018 to 2020, we engaged Grant Thornton to carry out financial audit and in 2021- 2022 we engaged China Audit Asia Pacific Certified Public Accountants LLP to carry out financial audit.
自2022年起，聘请LBMA认可的第三方审计机构RCS对3499拉斯维加斯官网进行尽职调查审计。
We have appointed the LBMA third-party auditor of RCS Global to carry out audit for supply chain due diligence since 2022.
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:
3499拉斯维加斯官网已经充分遵守第5步：有关供应链尽职调查的报告。
We have fully complied with Step 5: Report on supply chain due diligence.
公司严格遵守LBMA黄金责任指南第五步“供应链尽职调查年度报告”的要求，每年向RCS审计机构提交年度合规报告,并在公司官网对每年供应链尽职管理合规报告进行公示。2020年度供应链尽职管理合规报告公示网址为：/154/230/content_1328.html ，2021年度供应链尽职管理合规报告公示网址为：/154/230/content_1329.html。
2022年度供应链尽职管理合规报告审核完成后将按要求公布于云金集团官网。
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.
The company website detail about “2020 Supply Chain Due Diligence Management Compliance Report”
The company website detail about “2021 Supply Chain Due Diligence Management Compliance Report”
After the review of the 2022 supply chain due diligence management compliance report, it will be published on the official website of Yunnan Gold Group as required.
四、管理结论
IV. Management conclusion
综上所述，在报告年度截至于2022年12月31日的财年内，根
据《伦敦金银市场协会（LBMA）可靠黄金指导原则》的要求，云南滇金投资有限公司实施了有效的管理制度、程序、流程和实践。公司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 31, 2022, 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.
五、其他报告批注
V. Other report comments
如果本报告用户希望就本报告向云南滇金投资有限公司进行任何反馈，则可以通过122743026@qq.com联系企业相关部门，联系人：徐波，电话：0871-63806159。
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 122743026@qq.com, contact person: Xu Bo, Tel: 0871-63806159