2025年可持续发展与负责任采购合规报告

深圳国金国银控股有限公司

Shenzhen Guojin Guoyin Holdings Co., Ltd.

2025年可持续发展与负责任采购合规报告

2025 Sustainable Development and Responsible Procurement Compliance Report

（2025.01.01-2025.12.31）

合规总监：王立权

Compliance Director: WANG Liquan

报告范围

Report Scope

本报告涵盖深圳国金国银控股有限公司（以下简称“公司”）自2025年1月1日至2025年12月31日报告期内的可持续发展与负责任采购合规实践。报告聚焦于公司黄金物料的供应链管理，系统阐述了公司在LBMA《负责任黄金指南》（RGG）V9版本及OECD《关于来自受冲突影响及高风险地区矿产负责任供应链尽职调查指南》框架下，围绕五大步骤所建立的尽职调查管理体系、政策制度、组织架构、风险识别与评估、风险应对策略、独立第三方审计及年度合规报告等方面的执行情况。

This report covers the sustainable development and responsible procurement compliance practices of Shenzhen Guojin Guoyin Holdings Co., Ltd. (hereinafter referred to as "the Company") for the reporting period from January 1, 2025, to December 31, 2025. The report focuses on the Company's supply chain management for gold materials and systematically elaborates on the implementation of the due diligence management system, policies and systems, organizational structure, risk identification and assessment, risk response strategies, independent third-party audits, and annual compliance reports established by the Company under the framework of the LBMA's Responsible Gold Guidance (RGG) Version 9 and the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, structured around the five-step framework.

报告范围覆盖公司全部黄金交易对手及回收金供应链，涉及供应商准入、KYC尽职调查、风险评估、持续监控、申诉机制、培训与能力建设、文件记录保存、资金支付管控等关键环节。报告期内，公司所有黄金原料均来源于中国大陆市场的回收渠道，未涉及受冲突影响和高风险地区（CAHRAs），亦未识别出零容忍风险或高风险交易情形。本报告旨在向监管机构、行业协会、供应链合作伙伴及社会公众透明披露公司负责任采购管理体系的实际运行情况，持续推动供应链的合规性、可追溯性与可持续发展。

The report scope covers all of the Company's gold counterparties and the recycled gold supply chain, involving key aspects such as supplier admission, KYC due diligence, risk assessment, continuous monitoring, grievance mechanism, training and capacity building, document and record keeping, and fund payment control. During the reporting period, all of the Company's gold raw materials originated from recycling channels in the mainland China market, did not involve Conflict-Affected and High-Risk Areas (CAHRAs), and no zero-tolerance risks or high-risk transaction scenarios were identified. This report aims to transparently disclose the actual operation of the Company's responsible procurement management system to regulatory authorities, industry associations, supply chain partners, and the public, continuously promoting the compliance, traceability, and sustainable development of the supply chain.

一、公司概况

I. Company Overview

深圳国金国银控股有限公司（以下简称公司）成立于2007年4月，注册资本1.8亿元,位于深圳罗湖水贝国金国银集团总部大楼。公司主营黄金贵金属原料批发、贵金属首饰、镶嵌首饰、珠宝玉石首饰及工艺美术品的设计研发、生产加工、批发、经销、加盟及进出口贸易为一体的知名珠宝品牌企业。公司自营镶嵌工厂及精炼厂逾5000平方米，为公司辐射全国市场的客户提供货源、资源与技术的支持，同时也夯实了公司集产、研、销于一体的全产业链运营的发展战略，形成了现今业内罕有的全产业链发展的珠宝企业。

Shenzhen Guojin Guoyin Holdings Co., Ltd. (hereinafter referred to as "the Company") was established in April 2007 with a registered capital of 180 million RMB. It is located in the Guojin Guoyin Group Headquarters Building in Shuibei, Luohu District, Shenzhen. The Company is a renowned jewelry brand enterprise primarily engaged in the wholesale of gold and precious metal raw materials, as well as the design, development, production, processing, wholesale, distribution, franchising, and import/export trade of precious metal jewelry, set jewelry, jewelry and jadeite ornaments, and arts and crafts. The Company operates its own set jewelry factory and refinery covering over 5,000 square meters, providing supply, resources, and technical support to customers across the national market. This also solidifies the Company's development strategy of integrating production, research, and sales into a full-industry-chain operation, forming a rare jewelry enterprise with comprehensive industry chain development in the current market.

公司秉持 "不断创新、追求完美、锲尔不舍" 的企业承诺，坚持贯彻"质量、信誉、品格"共存的企业原则、坚守"实事求是、诚实信用"的商业诚信而广获客户与业内的认同与美誉，并获得了"中国珠宝行业100强优秀企业"的重点推广企业资质。2025年深圳国金国银控股有限公司获得广东省500强企业第325名，并获得民营制造企业100强第89名。  

Adhering to its corporate commitment of "continuous innovation, pursuit of perfection, perseverance," the Company consistently implements the corporate principle of upholding "quality, reputation, and integrity," and adheres to the business integrity of "seeking truth from facts, honesty and credit," earning widespread recognition and praise from customers and the industry. It has been granted the qualification as a key promoted enterprise among the "Top 100 Excellent Enterprises in China's Jewelry Industry." In 2025, Shenzhen Guojin Guoyin Holdings Co., Ltd. ranked 325th among the Top 500 Enterprises in Guangdong Province and 89th among the Top 100 Private Manufacturing Enterprises.

公司始终将负责任采购与可持续发展视为核心经营原则，严格遵循 LBMA《负责任黄金指南》（以下简称“RGG”）V9版本与《经济合作与发展组织关于来自受冲突影响及高风险地区矿产负责任供应链尽职调查指南》（以下简称“OECD指南”）V3版本，建立了系统化、可审计的供应链合规管理体系，确保原料来源可追溯、运营合规透明，并持续向市场提供高品质的贵金属产品。

The Company has always regarded responsible procurement and sustainable development as its core operating principles. Strictly following the LBMA Responsible Gold Guidance (hereinafter "RGG") Version 9 and the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (hereinafter "OECD Guidance") Version 3, it has established a systematic and auditable supply chain compliance management system, ensuring the traceability of raw material sources, compliant and transparent operations, and continuously providing high-quality precious metal products to the market.

公司设有业务部、物流部、财务部、综合部及生产工厂；最高管理机构为董事会，负责公司的总体战略决策与全面管理。

The Company has a Business Department, Logistics Department, Finance Department, General Affairs Department, and production factory. The highest management body is the Board of Directors, responsible for the Company's overall strategic decision-making and comprehensive management.

二、供应商情况概述

II. Overview of Supplier Situation

2025 年度，公司所采购的黄金材料全部来源于经核实的再生回收渠道，主要包括旧首饰、投资级金条及其他再生贵金属制品。公司已建立并持续运行基于风险导向的供应链尽职调查体系，对所有交易对手实施客户识别及尽职调查程序，并通过持续监控机制确保原料来源的合法性、合规性及完整可追溯性。

In 2025, all gold materials purchased by the Company originated from verified recycling channels, mainly including old jewelry, investment-grade gold bars, and other recycled precious metal products. The Company has established and continuously operates a risk-based supply chain due diligence system, implementing customer identification and due diligence procedures for all counterparties, and ensuring the legality, compliance, and complete traceability of raw material sources through continuous monitoring mechanisms.

报告期内，公司依据 OECD指南以及LBMA RGG的要求，对供应链开展了全面的风险识别、评估及持续监控。经评估确认，公司未从任何受冲突影响和高风险地区（即“CAHRAs”地区）直接或间接采购原料。所有供应商均已完成风险评级、背景调查及文件存档，并纳入持续审查机制。

During the reporting period, the Company conducted comprehensive risk identification, assessment, and continuous monitoring of its supply chain in accordance with the OECD Guidance and LBMA RGG requirements. Following assessment, it was confirmed that the Company did not directly or indirectly source materials from any Conflict-Affected and High-Risk Areas (i.e., "CAHRAs"). All suppliers have completed risk rating, background checks, and document archiving, and are included in the continuous review mechanism.

此外，公司建立了完善的供应链控制及升级处理流程，用于识别和应对潜在风险。在 2025 报告年度内，未发现任何属于 LBMA 定义范围内的“零容忍风险”，亦未识别出需要采取增强尽职调查措施的高风险交易。

Furthermore, the Company has established robust supply chain control and escalation procedures to identify and respond to potential risks. During the 2025 reporting year, no "zero-tolerance risks" as defined by LBMA were identified, nor were any high-risk transactions requiring enhanced due diligence measures identified.

三、合规情况概述

III. Overview of Compliance Status

公司依据 LBMA RGG建立基于风险导向的供应链尽职调查体系，对所有交易对手开展客户识别及背景核查，并要求提供可验证的原料来源证明，以确保原料来源合法合规及全程可追溯。公司通过风险评估、持续监测及定期复核机制，对供应商准入、交易行为及潜在风险进行管理与升级处理，确保供应链运作的透明性与持续符合LBMA负责任采购要求。

The Company has established a risk-based supply chain due diligence system in accordance with the LBMA RGG. It conducts customer identification and background verification for all counterparties and requires verifiable proof of raw material sources to ensure the legality, compliance, and full traceability of raw materials. Through risk assessment, continuous monitoring, and periodic review mechanisms, the Company manages and escalates supplier admission, transaction behaviors, and potential risks, ensuring the transparency of supply chain operations and continuous compliance with LBMA responsible procurement requirements.

第一步 建立强大的公司管理体系

tep 1: Establish Strong Company Management Systems

合规声明与要求：

Compliance Statement and Requirements:

公司严格遵循 LBMA RGG第一步“建立强大的公司管理体系”的要求，已建立并持续完善覆盖供应链管理的治理架构与内部控制机制，以确保尽职调查程序得到有效执行与全面落实。

The Company strictly follows the requirements of LBMA RGG Step 1, "Establish Strong Company Management Systems." It has established and continuously improves the governance structure and internal control mechanisms covering supply chain management to ensure the effective implementation and comprehensive execution of due diligence procedures.

1.政策与制度

1. Policies and Systems

公司已制定并实施《深圳国金国银控股有限公司供应链管理政策》，该政策严格遵循OECD指南附录 Ⅱ 的要求，并涵盖CTF、ESG等关键领域。该政策经合规风控总监审批并汇报至董事会后以中英文双语形式发布，并于公司官网公开（http://singyueinc.com/article/detail/18）。公司通过系统化的培训及文件存档机制，确保全体员工及黄金对手充分理解并遵循相关要求，同时已把政策的内容加入《供应链承诺书》中，已要求38家全体交易方签署，以强化供应链管理的透明度、可追溯性及合规性，以上资料均被保留。

The Company has formulated and implemented the "Shenzhen Guojin Guoyin Holdings Co., Ltd. Supply Chain Management Policy," which strictly follows the requirements of Annex II of the OECD Guidance and covers key areas such as CTF and ESG. This policy was approved by the Compliance and Risk Control Director, reported to the Board of Directors, published bilingually in Chinese and English, and made publicly available on the Company's website (http://singyueinc.com/article/detail/18). Through systematic training and document archiving mechanisms, the Company ensures that all employees and gold counterparties fully understand and comply with the relevant requirements. The policy content has also been incorporated into the "Supply Chain Commitment Letter," which all 38 counterparties have been required to sign to enhance the transparency, traceability, and compliance of supply chain management. All related materials are retained.

根据公司《深圳国金国银控股有限公司供应链管理政策》，公司及所有交易对手须严格遵守适用法律法规及国际合规标准，涵盖人权保护、环境可持续发展及公平交易原则，并履行供应链尽职调查义务。公司明确拒绝接收来源于以下高风险情形的黄金原料：涉及严重侵犯人权的主体或地区；受冲突影响或非法武装控制的区域；涉及贿赂、洗钱或恐怖主义融资的交易；未经合法批准的非法开采活动；位于世界遗产地或受环境保护区域内的采矿行为，以及不符合环保标准的冶炼活动（包括涉及汞污染的生产活动）。此外，公司在政策框架下建立了申诉与举报机制，允许利益相关方以匿名方式报告潜在风险，公司承诺对所有申诉进行独立审查，并采取适当的风险缓解及补救措施。

According to the Company's "Supply Chain Management Policy," the Company and all counterparties must strictly comply with applicable laws, regulations, and international compliance standards, covering human rights protection, environmental sustainability, and fair trade principles, and fulfill supply chain due diligence obligations. The Company explicitly refuses to accept gold raw materials originating from the following high-risk situations: entities or regions involved in serious human rights violations; areas affected by conflict or controlled by illegal armed forces; transactions involving bribery, money laundering, or terrorist financing; illegal mining activities without lawful approval; mining activities located in World Heritage sites or environmentally protected areas; and smelting activities that do not meet environmental standards (including production activities involving mercury pollution). Additionally, under the policy framework, the Company has established a grievance and reporting mechanism allowing stakeholders to report potential risks anonymously. The Company commits to conducting independent reviews of all grievances and taking appropriate risk mitigation and remediation measures.

每年公司依据 OECD 指南及LBMA RGG 对现有政策与流程的有效性进行一年一次的全面评估，2025年度已于6月4日进行全面评估，确认政策内容符合最新要求且无需重大更新。

Annually, the Company conducts a comprehensive one-year assessment of the effectiveness of existing policies and procedures according to the OECD Guidance and LBMA RGG. The 2025 assessment was conducted on June 4th, confirming that the policy content meets the latest requirements and requires no major updates.

在此基础上，公司持续优化供应链尽职调查、质量控制及市场合规流程，以确保符合LBMA《合格交割规则》及《合格交割申请程序》的最新标准。2026年，公司将提升供应链可追溯性与透明度，并适应精炼厂主动监控及交割标准的最新变化。所有政策调整由合规管理团队主导，确保持续符合LBMA的合规要求。  

Building on this foundation, the Company continuously optimizes its supply chain due diligence, quality control, and market compliance processes to ensure alignment with the latest standards of the LBMA's Good Delivery Rules and Good Delivery Application Procedures. In 2026, the Company will enhance supply chain traceability and transparency, adapting to the latest changes in refinery active monitoring and delivery standards. All policy adjustments are led by the compliance management team to ensure continuous adherence to LBMA compliance requirements.

公司建立并培训了EITI(采掘业透明度倡议)原则及标准，并承诺严格遵循其要求，以确保供应链的透明度、责任采购及合规管理。公司积极履行EITI框架下的披露义务，涵盖供应链财务透明度、税务合规及资源开发治理，以支持全球贵金属行业的可持续发展，并提升供应链尽职调查的公信力。  

The Company has established and provided training on the principles and standards of the Extractive Industries Transparency Initiative (EITI) and commits to strictly following its requirements to ensure supply chain transparency, responsible procurement, and compliance management. The Company actively fulfills its disclosure obligations under the EITI framework, covering supply chain financial transparency, tax compliance, and resource development governance, to support the sustainable development of the global precious metals industry and enhance the credibility of supply chain due diligence.

公司建立了《反洗钱和反恐怖主义融资的规章制度》，旨在确保公司运营符合国际金融监管标准，有效防范洗钱及恐怖主义融资相关风险。该制度包括客户尽职调查（CDD）、交易监测、风险评估及可疑交易报告机制，并依照金融行动特别工作组（FATF）、LBMA及相关监管机构的要求进行定期审查和更新，以确保持续合规并维护全球金融体系的完整性。  

The Company has established "Anti-Money Laundering and Counter-Terrorism Financing Rules and Regulations" aimed at ensuring its operations comply with international financial regulatory standards and effectively prevent risks related to money laundering and terrorist financing. This system includes Customer Due Diligence (CDD), transaction monitoring, risk assessment, and suspicious transaction reporting mechanisms, and is periodically reviewed and updated in accordance with the requirements of the Financial Action Task Force (FATF), LBMA, and relevant regulatory bodies to ensure continuous compliance and maintain the integrity of the global financial system.

公司建立了《禁止强迫劳工政策的声明》确保公司和供应链不涉及任何强迫劳工的问题，并要求所有的交易方签署该文件且遵守该政策声明，同时该声明已经公示在公司的网站上，链接： http://singyueinc.com/article/detail/57 ，以进一步强化人权尽职调查及供应链责任管理。

The Company has established a "Statement on Policy Prohibiting Forced Labor" to ensure that the Company and its supply chain are not involved in any forced labor issues. It requires all counterparties to sign this document and adhere to the policy statement. This statement is also published on the Company's website (http://singyueinc.com/article/detail/57) to further strengthen human rights due diligence and supply chain responsibility management.

同时公司鉴证了《关于禁止强迫劳动的政策的保证声明》，保证公司和供应链严格执行以《中华人民共和国劳动法》为核心的法律体系来保障 本企业员工的合法权益，反对任何形式的强迫劳动，同时该声明已经公示在公司的网站上，链接：http://singyueinc.com/article/detail/109。

Simultaneously, the Company has attested to the "Guarantee Statement on the Policy Prohibiting Forced Labor," guaranteeing that the Company and its supply chain strictly implement the legal system centered on the "Labor Law of the People's Republic of China" to protect the legitimate rights and interests of its employees and oppose any form of forced labor. This statement is also published on the Company's website (http://singyueinc.com/article/detail/109).

2.管理架构

2. Management Structure

公司依据《供应链尽职采购流程》、《供应链管理政策》及 OECD指南附录二的要求，建立了覆盖供应链尽职调查的内部治理与管理体系，对尽职调查方案的实施、监督及持续改进提供有效管控。

Based on the "Supply Chain Due Diligence Procurement Process," the "Supply Chain Management Policy," and Annex II of the OECD Guidance, the Company has established an internal governance and management system covering supply chain due diligence, providing effective control over the implementation, supervision, and continuous improvement of the due diligence program.

在CEO及董事会的监督下，公司设立LBMA合规团队，并明确合规风控总监、合规风控官及合规专员的职责分工与汇报机制，以确保供应链尽职调查流程的独立性、有效性及持续符合 LBMA 负责任采购框架的要求。

Under the supervision of the CEO and the Board of Directors, the Company has established an LBMA compliance team and defined the responsibilities, division of labor, and reporting mechanisms for the Compliance and Risk Control Director, Compliance and Risk Control Officer, and Compliance Specialists. This ensures the independence, effectiveness, and continuous alignment of the supply chain due diligence process with the LBMA Responsible Procurement framework.

2.1规章制度方面

2.1 Rules and Regulations

公司严格遵循LBMA RGG，制定并实施了《供应链尽职采购流程》建立了覆盖供应链尽职调查的治理架构与内部控制体系。该体系由董事会及合规风控总监进行监督，对尽职调查政策的实施、有效性评估及持续改进提供整体管理与问责。

The Company strictly adheres to the LBMA RGG and has formulated and implemented the "Supply Chain Due Diligence Procurement Process," establishing a governance structure and internal control system covering supply chain due diligence. This system is overseen by the Board of Directors and the Compliance and Risk Control Director, providing overall management and accountability for the implementation, effectiveness evaluation, and continuous improvement of the due diligence policy.

公司在CEO及董事会的管理下设立合规团队，并明确合规风控总监、合规风控官及合规专员的职责分工与汇报机制，形成清晰的职责划分及内部汇报机制。合规职能部门负责日常尽职调查执行、风险识别与评估、培训内部人员专业性尽职调查、支持指导供应商负责任采购合规、供应商持续监控及风险升级处理，以确保供应链管理流程的独立性、透明性及持续符合 LBMA 负责任采购框架的要求。

The Company has established a compliance team under the management of the CEO and the Board of Directors, clearly defining the responsibilities, division of labor, and reporting mechanisms for the Compliance and Risk Control Director, Compliance and Risk Control Officer, and Compliance Specialists, forming a clear division of responsibilities and internal reporting structure. The compliance function is responsible for daily due diligence execution, risk identification and assessment, training internal staff on professional due diligence, supporting and guiding suppliers on responsible procurement compliance, continuous supplier monitoring, and risk escalation handling. This ensures the independence, transparency, and continuous alignment of supply chain management processes with the LBMA Responsible Procurement framework.

2.2职责与权限

2.2 Duties and Responsibilities

公司设立了职责明确、权责清晰的供应链尽职调查管理组织，并制定了相应的问责机制，以确保体系有效运行：

The Company has established a supply chain due diligence management organization with clear responsibilities and accountabilities, and has formulated corresponding accountability mechanisms to ensure the effective operation of the system:

合规风控总监：经董事会审查后，任命公司总经理担任公司合规风控总监，中国注册会计师；丰富的审计经验，是大型会计师事务所合伙人，十多年的珠宝行业经验，会计领域专家。擅长财务分析及管理，在公司体系管理、体系建设、管理审计等方面有较好的造诣。王先生将全权负责制定并执行公司LBMA会员资格申请的整体战略、时间规划与路线图，对供应链负责任采购及尽职调查进行相关培训，以有效履行其对负责任采购活动的监督职责。高级管理者对黄金供应链上的所有事情负责，负责监督供应链尽职调查的实施与改进。在其领导下，公司持续强化合规管理能力，确保在全球贵金属市场环境下保持高标准的合规水平与运营效率，为公司透明、规范及可持续运营提供有力保障。

Compliance and Risk Control Director: Following review by the Board of Directors, the Company's General Manager has been appointed as the Compliance and Risk Control Director. He is a Certified Public Accountant of China with extensive audit experience, a partner in a large accounting firm, over ten years of experience in the jewelry industry, and an expert in the accounting field. He excels in financial analysis and management, possessing strong capabilities in corporate system management, system development, and management auditing. Mr. Wang is fully responsible for formulating and executing the overall strategy, timeline, and roadmap for the Company's LBMA membership application, providing relevant training on supply chain responsible procurement and due diligence, and effectively fulfilling his oversight duties for responsible procurement activities. As a senior manager, he is responsible for all matters concerning the gold supply chain, overseeing the implementation and improvement of supply chain due diligence. Under his leadership, the Company continuously strengthens its compliance management capabilities, ensuring high standards of compliance and operational efficiency in the global precious metals market, providing strong support for the Company's transparent, standardized, and sustainable operations.

合规风控官：合规风控官由财务部门负责人担任，十年的珠宝行业经验，擅长财务分析及管理，对从原料采购、精炼生产到市场交易的全产业链环节具有深刻洞察。她负责主导建立并持续完善公司内部的《LBMA负责任采购合规手册》及配套流程；确保公司运营全面遵循LBMA《负责任采购计划》及《全球贵金属准则》；建立并执行针对贵金属供应链的持续尽职调查程序，重点监控来自受冲突影响及高风险地区的金属来源；定期审查公司业务活动，主动识别、评估和报告任何潜在的合规风险或违规行为。该专员具备系统的尽职调查专业能力，熟练掌握OECD、LBMA等国际权威的负责任采购标准，能够有效开展对交易对手的强化尽职调查（EDD）；其专业能力通过持续参与公司组织的行业培训得到保持与提升，包括多次参加由协会组织的专项外部培训，以深入理解最新监管要求与最佳实践。

Compliance and Risk Control Officer: The Compliance and Risk Control Officer is held by the head of the Finance Department. With ten years of experience in the jewelry industry, she excels in financial analysis and management and possesses deep insights into the entire industry chain, from raw material procurement and refining production to market trading. She is responsible for leading the establishment and continuous improvement of the Company's internal "LBMA Responsible Procurement Compliance Manual" and supporting processes; ensuring the Company's operations fully comply with the LBMA's Responsible Sourcing Programme and the Global Precious Metals Code; establishing and executing continuous due diligence procedures for the precious metals supply chain, focusing on monitoring metal sources from conflict-affected and high-risk areas; and periodically reviewing the Company's business activities to proactively identify, assess, and report any potential compliance risks or violations. This officer possesses systematic due diligence expertise, proficiently mastering internationally authoritative responsible procurement standards such as OECD and LBMA, enabling effective Enhanced Due Diligence (EDD) on counterparties. Their professional competence is maintained and enhanced through continuous participation in industry training organized by the Company, including multiple specialized external trainings organized by associations, to gain an in-depth understanding of the latest regulatory requirements and best practices.

合规专员：公司在业务部、财务部、物流部、综合部及生产工厂分别指定专职合规专员，负责供应链尽职调查措施的具体执行与控制，确保风险识别及控制措施在各业务环节得到有效落实。

Compliance Specialists: The Company has designated dedicated compliance specialists within the Business Department, Finance Department, Logistics Department, General Affairs Department, and the production factory. These specialists are responsible for the specific execution and control of supply chain due diligence measures, ensuring that risk identification and control measures are effectively implemented across all business processes.

设置业务部的合规专员负责交易对手的客户识别与初步尽职调查，通过执行客户尽职调查、审核交易背景、监控业务活动，确保公司所有市场行为从源头起即符合道德、法律及行业最高标准，是平衡业务发展与合规风险的关键岗位。

The Compliance Specialist in the Business Department is responsible for customer identification and initial due diligence on counterparties. By executing customer due diligence, reviewing transaction backgrounds, and monitoring business activities, this role ensures that all market behaviors of the Company align with ethical, legal, and industry best standards from the outset. It is a key position balancing business development and compliance risks.

设置财务部的合规专员负责资金流与交易合规监控，将按照LBMA《负责任采购计划》及反洗钱/反恐怖融资等合规要求，深度嵌入公司财务运营的核心流程。通过监控交易财务流、审核金融数据、执行专项尽职调查，确保公司所有与贵金属相关的资金活动透明、可追溯、符合道德与法规标准，是连接“业务合规”与“财务安全”的关键枢纽。

The Compliance Specialist in the Finance Department is responsible for monitoring fund flows and transaction compliance. They embed LBMA's Responsible Sourcing Programme and AML/CTF compliance requirements into the core processes of the Company's financial operations. By monitoring transactional financial flows, reviewing financial data, and executing specific due diligence, they ensure that all precious metal-related financial activities are transparent, traceable, and compliant with ethical and regulatory standards, serving as a crucial link between "business compliance" and "financial security."

设置物流部的合规专员负责原料运输与交付环节的控制与记录，专职负责确保公司贵金属物料在运输、仓储及交接全物流环节的操作与文件流转，持续符合LBMA《负责任采购计划》及公司内部合规政策的要求。重点保障物流过程的可追溯性、文件完整性及风险可控性，是维护供应链合规“实物流”与“信息流”一致的关键岗位。

The Compliance Specialist in the Logistics Department is responsible for the control and recording of raw material transportation and delivery. They are dedicated to ensuring that the operations and document flow throughout the logistics chain, including transportation, warehousing, and handover of the Company's precious metal materials, continuously comply with the LBMA's Responsible Sourcing Programme and the Company's internal compliance policies. This role focuses on ensuring the traceability of logistics processes, document integrity, and risk controllability, serving as a key position for maintaining consistency between the "physical flow" and "information flow" of supply chain compliance.

设置综合部的合规专员负责供应链尽职调查体系的制度管理与文件控制工作，作为公司内部合规管理体系的关键执行与协调节点，专职负责供应链合规事务的日常操作、文档管理与内外部沟通支持，确保公司运营持续符合LBMA《负责任采购计划》等内外部合规要求。

The Compliance Specialist in the General Affairs Department is responsible for the system management and document control of the supply chain due diligence system. As a key executor and coordination node within the Company's internal compliance management system, this role is dedicated to the daily operations of supply chain compliance affairs, document management, and internal/external communication support, ensuring that the Company's operations continuously meet internal and external compliance requirements such as the LBMA's Responsible Sourcing Programme.

设置生产工厂的合规专员负责原料接收与生产控制，专职负责确保所有贵金属物料在仓储库存及内部调配（配平）环节的操作、记录与实物状态，完全符合LBMA《负责任采购计划》及内部合规政策的要求。通过对实物、账目及合规文件的三重匹配与精确配平，保障库存的完整性、可追溯性，是维护公司实物资产合规“最后一米”的绝对防线。

The Compliance Specialist in the production factory is responsible for raw material receiving and production control. They are dedicated to ensuring that the operations, records, and physical status of all precious metal materials during warehousing, inventory, and internal allocation (balancing) fully comply with the LBMA's Responsible Sourcing Programme and internal compliance policies. Through triple matching and precise balancing of physical materials, accounts, and compliance documents, they ensure inventory integrity and traceability, serving as the ultimate line of defense for maintaining the compliance of the Company's physical assets.

为确保合规职责得到有效履行，公司已通过既有的管理制度与治理实践，建立了系统化的合规责任落实与问责安排。该安排明确了从合规专员到高级管理层的职责划分与汇报路径，对所有相关岗位人员的履职情况进行问责。公司设有定期由合规风控官向合规风控总监汇报，合规风控总监向董事会汇报的机制，并召开专项合规会议，对供应链尽职调查体系的执行情况、识别出的风险及改进措施进行审议与决策，从而确保管理层能够实施持续监督并行使问责权。

To ensure the effective fulfillment of compliance responsibilities, the Company has established a systematic arrangement for implementing compliance responsibilities and accountability through existing management systems and governance practices. This arrangement clarifies the division of responsibilities and reporting pathways from Compliance Specialists to senior management, holding all relevant personnel accountable for their performance. The Company has established a mechanism for regular reporting: the Compliance and Risk Control Officer reports to the Compliance and Risk Control Director, who in turn reports to the Board of Directors. Special compliance meetings are convened to review and make decisions on the implementation status of the supply chain due diligence system, identified risks, and improvement measures, thereby ensuring that management can exercise continuous supervision and accountability.

为支持持续改进，公司于 2025年 6 月4日组织召开 2025 年度黄金供应链尽职调查政策与流程的有效性的管理评审会议。该次评审对年度内尽职调查框架的运行有效性、合规符合性及风险识别与控制情况进行了系统性评估，并形成书面管理评审报告。相关报告已提交合规风控总监及董事会审阅，作为优化下一年度供应链尽职调查流程、加强内部控制及持续符合 LBMA RGG及OECD指南尽职调查框架的重要决策依据。

To support continuous improvement, the Company organized a management review meeting on June 4, 2025, to assess the effectiveness of the 2025 annual gold supply chain due diligence policies and processes. This review systematically evaluated the operational effectiveness, compliance conformance, and risk identification and control status of the due diligence framework for the year, resulting in a written management review report. The relevant report was submitted to the Compliance and Risk Control Director and the Board of Directors for review, serving as an important decision-making basis for optimizing the supply chain due diligence process in the following year, strengthening internal controls, and continuously conforming to the due diligence frameworks of LBMA RGG and the OECD Guidance.

2.3 培训与能力建设

2.3 Training and Capacity Building

公司每年将供应链尽职调查管理培训纳入年度培训计划，确保所有关键岗位人员具备充分的合规意识和专业能力。培训覆盖供应链尽职调查要求、实施流程及LBMA《负责任黄金指南》的合规标准，培训范围覆盖业务、采购、财务、物流及生产工厂等关键部门的管理人员及核心操作人员，以确保尽职调查框架在公司范围内得到一致理解和有效执行。

The Company incorporates supply chain due diligence management training into its annual training plan every year to ensure that all key personnel possess adequate compliance awareness and professional competence. The training covers supply chain due diligence requirements, implementation processes, and the compliance standards of the LBMA Responsible Gold Guidance. The scope of training includes managers and core operational staff in key departments such as Business, Procurement, Finance, Logistics, and Production Factory, ensuring consistent understanding and effective implementation of the due diligence framework across the Company.

2025 年度，公司共组织五次内部培训及一次外部专业培训，目标岗位员工参与率达到100%。具体包括：

In 2025, the Company organized five internal training sessions and one external professional training session, achieving 100% participation rate among target employees. These included:

（1）支持EITI培训（2025年3月12日）

(1) EITI Support Training (March 12, 2025)

培训围绕《采掘业透明度倡议》要求，讲解在矿业供应链中提升收益透明度、加强披露义务的具体做法，强化公司在资源国履行透明度承诺的能力。

This training focused on the requirements of the Extractive Industries Transparency Initiative (EITI), explaining specific methods for enhancing revenue transparency and strengthening disclosure obligations within the mining supply chain, reinforcing the Company's ability to fulfill transparency commitments in resource-rich countries.

（2）内部负责任采购标准培训（2025年4月11日）

(2) Internal Responsible Procurement Standards Training (April 11, 2025)

针对公司内部负责任采购政策进行系统性解读，重点说明供应商审核、风险评估及与LBMA负责任采购要求的衔接，通过案例分析讲解《了解您的交易方（KYC）问卷》的填写规范、第三方数据库筛查方法以及强化尽职调查的触发条件及执行步骤，提升相关岗位的实务操作能力，确保采购流程符合国际标准。

This session provided a systematic interpretation of the Company's internal responsible procurement policy, focusing on supplier vetting, risk assessment, and alignment with LBMA responsible procurement requirements. Through case studies, it explained the completion standards for the Know Your Counterparty (KYC) questionnaire, third-party database screening methods, and the triggers and execution steps for Enhanced Due Diligence, enhancing the practical operational capabilities of relevant positions and ensuring procurement processes meet international standards.

2025年度，公司未发生任何被上报的内部尽职调查流程重大违规情况。针对所适用的内部上报机制，经核查确认无相关违规事件记录，因此亦未涉及采取警告、处罚等内部制裁措施的情形。公司将持续完善尽职调查流程监督与管控，确保相关机制有效运行。特此说明。

In 2025, there were no reported significant violations of the internal due diligence process. Regarding the applicable internal reporting mechanism, verification confirmed no records of relevant violations; therefore, no internal sanctions such as warnings or penalties were applied. The Company will continue to improve the supervision and control of the due diligence process to ensure the effective operation of related mechanisms. This statement is provided for clarification.

（3）反贿赂培训（2025年4月22日）

(3) Anti-Bribery Training (April 22, 2025)

培训涵盖反贿赂法律法规、公司反腐败政策及高风险场景识别，旨在提升员工对贿赂风险的防范意识，确保业务往来中的廉洁合规。

This training covered anti-bribery laws and regulations, the Company's anti-corruption policy, and identification of high-risk scenarios, aiming to enhance employees' awareness of bribery risks and ensure integrity and compliance in business dealings.

（4）供应链尽职调查培训（2025年5月14日）

(4) Supply Chain Due Diligence Training (May 14, 2025)

围绕OECD尽职调查指南及LBMA相关要求，讲解供应链风险识别、信息收集与核查流程，强化对上游供应商合规管理的实操能力。

Centered on the OECD Due Diligence Guidance and LBMA related requirements, this training explained supply chain risk identification, information collection, and verification processes, strengthening practical capabilities in managing upstream supplier compliance.

（5）反洗钱反恐怖融资培训（2025年6月21日）

(5) Anti-Money Laundering and Counter-Terrorism Financing Training (June 21, 2025)

培训聚焦反洗钱与反恐怖融资的国际标准、客户尽职调查要点及可疑交易识别机制，提升对金融犯罪风险的识别与应对能力。

This training focused on international standards for anti-money laundering and counter-terrorism financing, key points of customer due diligence, and mechanisms for identifying suspicious transactions, enhancing the ability to identify and respond to financial crime risks.

（6）外部专业培训（2025年8月29日）

(6) External Professional Training (August 29, 2025)

公司派出 2 名同事参加 LBMA及中国黄金协会在山东组织的负责任采购专项外部培训，以获取行业最新监管动态及最佳实践经验，并将培训成果在内部进行传达与分享。

The Company sent two colleagues to participate in a specialized external training on responsible procurement organized by LBMA and the China Gold Association in Shandong Province to acquire the latest industry regulatory trends and best practices. The outcomes of this training were communicated and shared internally.

公司对培训效果进行评估，包括培训签到记录及反馈总结，并保存完整培训档案（培训计划、教材、签到表）。上述记录作为公司管理体系有效运行及员工具备持续胜任能力的客观证据。

The Company evaluates the effectiveness of training, including training sign-in records and feedback summaries, and maintains complete training files (training plans, materials, sign-in sheets). These records serve as objective evidence of the effective operation of the Company's management system and the continuous competence of its employees.

3. 强有力的内部追溯与控制体系

3. Strong Internal Traceability and Control System

公司已建立供应链追溯流程，覆盖采购、入库、生产加工及出库全流程。该体系确保所有原料及成品在批次层级实现可追溯管理，相关信息完整、准确且可核验，持续符合 LBMA供应链尽职调查与记录保存的要求。公司通过标准化操作流程对供应链相关数据进行系统收集、存储及维护，并为每一批次入库及出库产品分配唯一识别编号，形成完整的审计轨迹，支持独立鉴证及监管核查。

The Company has established a supply chain traceability process covering the entire workflow from procurement, warehousing, production processing, to outbound shipment. This system ensures that all raw materials and finished products are traceable at the batch level, with complete, accurate, and verifiable information, continuously meeting the LBMA requirements for supply chain due diligence and record-keeping. Through standardized operating procedures, the Company systematically collects, stores, and maintains supply chain-related data, assigning a unique identification number to each batch of incoming and outgoing products, creating a complete audit trail to support independent assurance and regulatory verification.

3.1 供应链可追溯及控制机制

3.1 Supply Chain Traceability and Control Mechanism

公司已对所有交易方实施严格的资信审查，并通过尽职调查问卷收集和审核交易方资质、业务运营、股东结构及原料来源。在完成尽职调查并通过合规审查后，双方签订合同，确保原料来源合法合规，并符合LBMA供应链尽职调查政策。每批次供应商提供的原料均需附带入库单，记录产品类型、重量、验收人员及交易方签字确认，并进行熔炼取样分析，最终精炼为标准金，并分配唯一可追溯编号。  

The Company has implemented strict credit checks on all counterparties and collects and reviews their qualifications, business operations, shareholder structure, and raw material sources through due diligence questionnaires. After completing due diligence and passing compliance review, contracts are signed between both parties, ensuring that raw material sources are legal, compliant, and conform to LBMA supply chain due diligence policies. Each batch of raw materials provided by suppliers must be accompanied by a warehouse receipt documenting the product type, weight, acceptance personnel, and signature confirmation of the counterparty. The materials undergo melting and sampling analysis and are ultimately refined into standard gold bars, each assigned a unique traceability number.

与此同时，公司对所有交易进行风险评估，包括但不限于通过对方签署承诺、实地评估等方式，出具供应商准入及风险评估报告，确保交易数据与供应链尽职调查信息一致，并对供应链尽职调查流程实施定期审查。

Simultaneously, the Company conducts risk assessments for all transactions, including, but not limited to, obtaining signed commitments from counterparties and conducting on-site evaluations. Supplier admission and risk assessment reports are generated to ensure consistency between transaction data and supply chain due diligence information, and periodic reviews of the supply chain due diligence process are implemented.

所有入库原料均需保留完整的文件记录，包括但不限于全部金材料入库必须附带完整单据，包括供应商信息、物料类别、重量、日期。入库环节由专人验收，并执行熔炼取样及质量确认程序。精炼完成后的每块标准金锭均分配唯一追溯编号，并建立出库记录，确保货物流、信息流及资金流一致。物料从接收到最终生产成成品出库的所有数据均进行了记录，确保内部的可追溯性。

All incoming raw materials must retain complete documentation, including, but not limited to, complete documentation accompanying all gold material receipts, including supplier information, material type, weight, and date. The receiving process involves dedicated personnel for acceptance, executing melting sampling and quality confirmation procedures. Each standard gold bar produced after refining is assigned a unique traceability number, and outbound records are established to ensure consistency between physical flow, information flow, and fund flow. All data from material receipt to final finished product shipment is recorded to ensure internal traceability.

在2025年度，公司采购的黄金原料均为中国大陆的含金首饰与投资金条，总涉及38家供应商，主要为贸易商。此外，公司会对每一笔收到的黄金材料进行拍照留存，以证明这些物料符合LBMA定义的回收材料标准。在此期间，公司对每一笔交易进行日常监控，目前尚未发现任何异常情况。同时，我们查询了EITI的网站，中国大陆不属于EITI的执行国家和地区。

In 2025, the gold raw materials purchased by the Company were all gold-containing jewelry and investment gold bars from mainland China, involving a total of 38 suppliers, primarily traders. Additionally, the Company takes photographs of every batch of received gold material to prove that these materials meet the LBMA's definition of recycled materials. During this period, the Company conducted daily monitoring of each transaction and has not yet identified any abnormal situations. Meanwhile, we checked the EITI website; mainland China is not an implementing country or region for EITI.

此外，公司对交易活动实施持续监控，确保交易数据与尽职调查资料保持一致。如发现异常情况，启动内部风险升级处理程序。2025年度，公司对交易对手识别、原产地及贵金属可追溯性相关的事件中未发现异常情况。

Furthermore, the Company implements continuous monitoring of transaction activities to ensure consistency between transaction data and due diligence information. If any abnormalities are found, the internal risk escalation procedure is initiated. In 2025, no abnormalities were identified in matters related to counterparty identification, origin, and precious metal traceability.

3.2 文件管理与记录保存

3.2 Document Management and Record Keeping

在公司运营过程中的供应商准入阶段，所有新交易方须完成 KYC 程序并提供相关资质文件，即客户的身份证明、身份验证资料、营业执照、资质认证文件、交易方尽职调查表，经合规审批后方可开展业务。每批次的入库单、出库单等关键交易记录均需妥善存档。所有数据和文件的存储期限不少于5年，以确保符合LBMA负责任采购要求，支持供应链尽职调查的可追溯性和合规性。

During the supplier admission phase of the Company's operations, all new counterparties must complete the KYC procedure and provide relevant qualification documents, namely customer identification, identity verification materials, business license, qualification certification documents, and the counterparty due diligence form. Business can only commence after compliance approval. Key transaction records such as warehouse receipts and outbound records for each batch must be properly archived. All data and documents are stored for a period of no less than five years to ensure compliance with LBMA responsible procurement requirements and to support the traceability and compliance of supply chain due diligence.

所有相关文件按内部档案管理制度统一归档，保存期限不少于五年，以满足 LBMA 负责任采购要求、反洗钱（AML）法规及国际审计标准。

All relevant documents are uniformly archived according to the internal document management system, with a retention period of no less than five years, to meet LBMA responsible procurement requirements, Anti-Money Laundering (AML) regulations, and international auditing standards.

3.3通过官方银行渠道付款

3.3 Payment through Official Banking Channels

公司严格执行资金支付审批流程，建立明确的分级授权与职责分离机制。所有付款事项由业务部门发起申请，经相关部门联合审核并取得相应层级授权后方可执行，确保审批环节完整、控制有效。

The Company strictly implements the fund payment approval process, establishing a clear hierarchical authorization and segregation of duties mechanism. All payments are initiated by the business department, reviewed jointly by relevant departments, and executed only after obtaining the corresponding level of authorization, ensuring the completeness of the approval process and effective control.

在支付方式管理方面，公司已制定并实施《现金交易管理流程》，明确现金支付的适用情形、审批权限、操作规范及记录保存要求。同时制定并实施《银行对公转账支付流程》，所有货款支付优先采用银行对公转账方式，仅在符合制度规定的特殊情形下方可启用现金支付，且须经更高层级授权审批，确保资金流转的合规性与可追溯性。

Regarding payment method management, the Company has formulated and implemented the "Cash Transaction Management Process," specifying the applicable scenarios, approval authority, operational specifications, and record-keeping requirements for cash payments. Concurrently, the "Corporate Bank Transfer Payment Process" has been formulated and implemented. All payment for goods is primarily made via corporate bank transfers. Cash payments are only permitted under special circumstances stipulated by the regulations and require higher-level authorization approval, ensuring the compliance and traceability of fund flows.

为保障资金流的透明性与可追溯性，公司系统保存付款申请、审批记录、银行回单、财务凭证及相关现金支付单据，统一纳入供应链尽职调查档案管理。相关记录按内部制度归档，可供独立鉴证机构审阅，满足LBMA负责任采购框架及相关法律法规要求。

To ensure the transparency and traceability of fund flows, the Company systematically saves payment applications, approval records, bank receipts, financial vouchers, and related cash payment documents, which are uniformly integrated into the supply chain due diligence file management. Relevant records are archived according to internal policies and are available for review by independent assurance bodies, meeting the requirements of the LBMA Responsible Procurement Framework and relevant laws and regulations.

2025年度，公司所有黄金相关交易均采用银行转账方式，并完整留存银行回单、水单及对应发票，未发生任何现金交易。公司已建立的现金交易流程进一步夯实了支付管控体系的完整性，确保在任何支付方式下均能有效落实合规要求。

In 2025, all gold-related transactions by the Company were conducted via bank transfers, with complete retention of bank receipts, transaction slips, and corresponding invoices. No cash transactions occurred. The established cash transaction process further solidifies the integrity of the payment control system, ensuring compliance requirements are effectively implemented regardless of the payment method used.

4.强化合作，协助黄金供应链交易方建立尽职调查能力

4. Strengthen Cooperation and Assist Gold Supply Chain Counterparties in Building Due Diligence Capacity

4.1内部管理与持续沟通

4.1 Internal Management and Continuous Communication

公司合规团队在2025年度加强了对供应链客户的的联系与支持。合规小组每季度会及时通报新增及现有供应链动态、尽职调查管理进展，并评审业务部门提交的客户经营变化情况。

The Company's compliance team strengthened its connection and support with supply chain customers in 2025. The compliance team promptly communicated updates on new and existing supply chain dynamics and due diligence management progress quarterly, and reviewed changes in customer operations submitted by the business department.

2025年，尽职调查相关工作进展顺利，国内供应商均积极良好地配合了公司的尽职调查要求。

In 2025, due diligence-related work progressed smoothly, and domestic suppliers actively and cooperatively responded to the Company's due diligence requirements.

4.2政策传达与外部培训

4.2 Policy Communication and External Training

公司致力于与交易方建立基于信任、合规互认的长期合作关系，优先选择严格遵守OECD指南并将其责任范围扩展至环境与可持续发展的交易方。

The Company is committed to establishing long-term cooperative relationships with counterparties based on trust and mutual recognition of compliance, preferentially selecting counterparties that strictly adhere to the OECD Guidance and extend their scope of responsibility to environment and sustainability.

2025年度，我司已通过邮件方式，向包括贵司在内的38家供应商统一传达了LBMA负责任采购认证的相关合规要求，明确说明供应商需遵循《供应链管理政策》中关于人权保护、反洗钱、冲突矿产管控等LBMA标准及中国法律法规要求，并请各供应商配合提供KYC尽职调查资料、ESG自我评估表及签署供应商尽职调查承诺书，以支持供应链尽职调查工作的开展。相关邮件均已留存沟通记录，并指定合规小组提供对接支持，确保供应链各方有效落实负责任采购义务。

In 2025, the Company communicated the relevant compliance requirements for LBMA Responsible Sourcing Certification via email to 38 suppliers, clearly stating that suppliers must follow the LBMA standards and Chinese laws and regulations regarding human rights protection, anti-money laundering, and conflict minerals control as outlined in the Supply Chain Management Policy. Suppliers were requested to cooperate by providing KYC due diligence materials, ESG self-assessment forms, and signing the Supplier Due Diligence Commitment Letter to support the implementation of supply chain due diligence work. Communication records for relevant emails have been retained, and a designated compliance team provides support to ensure that all parties in the supply chain effectively implement responsible procurement obligations.

2025年度所有交易方均须严格遵守合同条款及相关法律法规，公司也提供合规支持，为对方提供规范的合规文件模板、进行合规培训指导，以协助交易方优化其尽职调查体系。

In 2025, all counterparties were required to strictly abide by contract terms and relevant laws and regulations. The Company also provided compliance support, offering standardized compliance document templates and compliance training guidance to assist counterparties in optimizing their due diligence systems.

基于沟通信息，公司对交易方进行初步风险评估以规避合作风险。具体流程包括要求交易方填写详尽的《KYC问卷调查》，以筛查其供应链与原产地风险。尽职调查审核通过后，双方签订正式合同。

Based on the communication information, the Company conducts preliminary risk assessments of counterparties to mitigate cooperation risks. The specific process includes requiring counterparties to complete a detailed KYC Questionnaire to screen for risks in their supply chain and origin. Following the due diligence review and approval, a formal contract is signed between both parties.

此外，所有交易方均已签署《供应方责任承诺书》，并承诺遵守公司《黄金负责任采购尽职管理程序》。该承诺已纳入采购合同，确保所有贵金属的来源合法、合规，符合LBMA负责任采购标准。

Additionally, all counterparties have signed the "Supplier Responsibility Commitment Letter" and committed to adhering to the Company's "Gold Responsible Procurement Due Diligence Management Procedure." This commitment is incorporated into the procurement contract, ensuring that the sources of all precious metals are legal, compliant, and meet LBMA responsible procurement standards.

在合规体系建设方面，2025年，公司多次前往黄金交易方公司进行商务拜访，向所有交易方传达《黄金负责任采购供应链管理政策》、LBMA指南的最新要求以及公司的合规期望，确保交易方充分理解其义务，我们不仅传达要求，还积极提供支持，帮助交易方提升尽职调查能力，优化其管理体系，严格遵守合同与相关法律法规。同时，公司积极支持并倡导EITI（采掘业透明度倡议）原则的实施，公司并未从 EITI 国家中的国有企业采购矿产金。

In terms of compliance system development, in 2025, the Company conducted multiple business visits to gold counterparties' companies to communicate the "Gold Responsible Procurement Supply Chain Management Policy," the latest requirements of LBMA guidance, and the Company's compliance expectations to all counterparties, ensuring they fully understand their obligations. The Company not only communicated requirements but also actively provided support to help counterparties enhance their due diligence capabilities, optimize their management systems, and strictly comply with contracts and relevant laws and regulations. Simultaneously, the Company actively supports and advocates for the implementation of EITI principles; the Company did not purchase mined gold from state-owned enterprises in EITI countries.

通过上述系统化的合作前审核、持续沟通与协助机制，公司不仅履行了自身的合规责任，更有力地推动了供应链上下游共同构建负责任、可持续的贵金属供应体系。

Through these systematic pre-cooperation reviews, continuous communication, and assistance mechanisms, the Company not only fulfills its own compliance responsibilities but also effectively promotes the joint construction of a responsible and sustainable precious metal supply system across the upstream and downstream supply chain.

5.建立机密申诉机制

5. Establish a Confidential Grievance Mechanism

公司已建立透明且可访问的申诉和举报机制，并通过官方网站：https://www.pointgold.com/#/details/3，公开相关联系方式，包括电话及电子邮件（申诉电话：0755-25525080；申诉邮箱：popo@singyueinc.com），以便员工及外部利益相关方可通过匿名或公开形式表达对黄金负责任供应链的采购、采矿、贸易、加工及出口过程中可能存在的合规疑虑或潜在风险的关切。

The Company has established a transparent and accessible grievance and reporting mechanism. Contact information, including telephone and email (Grievance Hotline: 0755-25525080; Grievance Email: popo@singyueinc.com), is publicly available on the official website: https://www.pointgold.com/#/details/3. This allows employees and external stakeholders to express concerns, anonymously or openly, regarding potential compliance issues or risks in the procurement, mining, trading, processing, and export processes related to the responsible gold supply chain.

公司已制定并实施完善的申诉处理程序，确保所有举报得到公正、及时和透明的审查，并严格执行举报人隐私保护政策，杜绝任何形式的打击报复或不当影响，以保障举报人的权益和供应链合规管理的完整性。

The Company has formulated and implemented a comprehensive grievance handling procedure to ensure all reports receive fair, timely, and transparent reviews. It strictly enforces whistleblower privacy protection policies, prohibiting any form of retaliation or undue influence, to safeguard the rights of reporters and the integrity of supply chain compliance management.

公司公司已建立透明且可访问的申诉和举报机制与《黄金负责任采购申诉程序》，确保每项申诉得到公正、及时、透明处理，具体流程如下：

The Company has established a transparent and accessible grievance and reporting mechanism alongside the "Gold Responsible Procurement Grievance Procedure" to ensure each grievance is handled fairly, promptly, and transparently. The specific process is as follows:

1.受理申诉

1.Grievance Acceptance

合规部门专人统一接收申诉，收到申诉后 10 个工作日内确认收到申诉。公司需对接收到的询问和申诉信息进行分类识别，申诉信息分为一般信息、特殊/重要申诉信息、不予受理信息。如果申诉被拒绝，应向申诉方提供书面解释，并记录在案。不得采取进一步行动。

A designated person in the compliance department receives grievances uniformly. Acknowledgment of receipt is sent within 10 working days of receiving a grievance. The Company classifies and identifies the received inquiries and grievance information into categories: general information, special/important grievance information, and inadmissible information. If a grievance is rejected, a written explanation must be provided to the grievant and recorded. No further action is taken.

2.调查与处置

Investigation and Handling

受理后，业务部门牵头在45个工作日内完成详细调查并核实事实。属实则制定并执行纠正措施；无事实依据或问题已化解则不作处理。必要时与申诉方及相关方沟通。

Upon acceptance, the business department leads a detailed investigation to verify the facts within 45 working days. If the grievance is substantiated, corrective measures are formulated and implemented; if it lacks factual basis or the issue has been resolved, no action is taken. Communication with the grievant and relevant parties is conducted as necessary.

3.反馈与结案

Feedback and Case Closure

处理完毕后遵循申诉者保护原则，将调查结论、处理意见及纠正措施以邮件或电话方式反馈申诉方。

After processing, adhering to the principle of reporter protection, the investigation conclusions, handling opinions, and corrective measures are communicated back to the grievant via email or phone.

4.记录与归档

Recording and Archiving

合规专员定期总结风险情况处理结果，并在公司官网公示申诉内容、处理方式及处理结果，合规风控官负责全程监督风险减缓措施的实施并每日向高级管理者汇报进度，在风险减缓措施实施完成后，由合规专员定期评估措施的有效性并作出总结和评价。

Compliance Specialists periodically summarize the outcomes of risk handling. The grievance content, handling method, and results are published on the Company's official website. The Compliance and Risk Control Officer is responsible for overseeing the implementation of risk mitigation measures throughout the process and reports progress to senior management daily. After the implementation of risk mitigation measures is completed, Compliance Specialists periodically evaluate the effectiveness of the measures and provide summaries and assessments.

所有申诉的受理、调查、处理及反馈信息均完整、保密归档。

All information regarding the acceptance, investigation, handling, and feedback of grievances is completely and confidentially archived.

公司严格遵循申诉者保护及信息保密原则，对申诉方身份及内容全程保密，严禁打击、报复或歧视，申诉信息由专人管理，未经授权不得泄露。

The Company strictly adheres to the principles of reporter protection and information confidentiality, maintaining the confidentiality of the reporter's identity and the content throughout the process. Retaliation, revenge, or discrimination is strictly prohibited. Grievance information is managed by designated personnel and must not be disclosed without authorization.

截至2025年底，公司未收到任何来自员工或外部利益相关方的申诉或举报。公司将继续确保申诉与举报机制的有效性，以保障全球贵金属供应链的合规性、可持续性及道德性。上述情况说明，公司不仅有效执行了供应链管控措施，更使申诉机制成为可及的后备监督与补救途径——这一机制的存在本身，已符合LBMA对有效申诉机制的要求。公司将持续巩固其运行，确保供应链管理的完整性、合规性与可持续性。

As of the end of 2025, the Company had not received any grievances or reports from employees or external stakeholders. The Company will continue to ensure the effectiveness of the grievance and reporting mechanism to safeguard the compliance, sustainability, and ethical standards of the global precious metals supply chain. The above situation demonstrates that the Company not only effectively implements supply chain control measures but also makes the grievance mechanism an accessible backup supervision and remedy pathway – the existence of this mechanism itself meets LBMA's requirements for an effective grievance mechanism. The Company will continue to consolidate its operation, ensuring the integrity, compliance, and sustainability of supply chain management.

第二步 供应链风险的识别与评估

Step 2: Identify and Assess Risks in the Supply Chain

合规声明与要求：

Compliance Statement and Requirements:

公司已经充分遵守第2步骤：对供应链中的风险进行识别和评估。

The Company has fully complied with Step 2: Identify and assess risks in the supply chain.

1. 识别受冲突影响和高风险区域（位置风险识别）

1. Identify Conflict-Affected and High-Risk Areas (Location Risk Identification)

公司严格遵循LBMA黄金责任指南第二步关于供应链风险识别与评估的要求，并制定了《受冲突影响和高风险区域的识别程序》，涵盖风险标准、数据来源及评估流程，以确保供应链透明度、合规性及尽职调查的有效性。  

The Company strictly adheres to the requirements of Step 2 of the LBMA Responsible Gold Guidance regarding supply chain risk identification and assessment and has formulated the "Procedure for Identifying Conflict-Affected and High-Risk Areas," covering risk criteria, data sources, and assessment processes to ensure supply chain transparency, compliance, and the effectiveness of due diligence.

在公司制定的《受冲突影响和高风险区域的识别程序》中，主要引用了以下的资源来识别公司供应链中的受冲突影响和高风险区域（CAHRAs）：

In the Company's "Procedure for Identifying Conflict-Affected and High-Risk Areas," the following resources are primarily referenced to identify Conflict-Affected and High-Risk Areas (CAHRAs) within the Company's supply chain:

1.制裁清单（美国，联合国，欧盟和英国）

Sanctions Lists (US, UN, EU, and UK)

2.多德弗兰克法案第1502条

Dodd-Frank Act Section 1502

3.欧盟CAHRA清单

EU CAHRA List

4.《海德堡冲突晴雨表》

Heidelberg Conflict Barometer

5.《脆弱国家指数》

Fragile States Index

6.联合国人权事务高级专员办事处报告

Reports from the Office of the United Nations High Commissioner for Human Rights

7.反洗钱金融行动特别工作组（简称FATF）报告

Reports from the Financial Action Task Force (FATF)

8.行业可靠市场情报（涉及高风险黄金交易中心、转运中心及高洗钱风险国家/地区）

Reliable industry market intelligence (involving high-risk gold trading hubs, transit centers, and high money laundering risk countries/regions)

公司确保所有引用的风险评估资源保持一年一次频率更新，并在相关数据源发布最新信息时，即时重新评估受冲突影响和高风险区域（CAHRAs），以确保供应链尽职调查的有效性和合规性。

The Company ensures that all referenced risk assessment resources are updated annually, and immediately reassesses CAHRAs when the relevant data sources release the latest information, to guarantee the effectiveness and compliance of supply chain due diligence.

在2025年度，公司主要从中国大陆市场采购回收首饰及投资金条。经过基于联合国、欧盟、美国和英国制裁清单、欧盟CAHRA清单、FATF高风险国家报告及其他权威数据的尽职调查评估，中国大陆未被列为受冲突影响和高风险区域（CAHRAs，）。

In 2025, the Company primarily sourced recycled jewelry and investment gold bars from the mainland China market. Based on due diligence assessments using UN, EU, US, and UK sanctions lists, the EU CAHRA list, FATF high-risk country reports, and other authoritative data, mainland China was not classified as a Conflict-Affected and High-Risk Area (CAHRA).

因此，在2025年度，公司未识别出供应链涉及CAHRAs，并确认其黄金采购活动符合LBMA负责任供应链管理标准及尽职调查框架的合规要求。  

Therefore, in 2025, the Company did not identify its supply chain as involving CAHRAs and confirmed that its gold procurement activities comply with the LBMA Responsible Supply Chain Management standards and the compliance requirements of the due diligence framework.

2. 供应商风险识别

2. Supplier Risk Identification

为确保供应链的合规性、透明度及尽职调查的有效执行，公司制定并实施了《LBMA供应商问卷调查表》与《ESG自我评估表》作为核心管理工具，同时通过一系列强化措施系统建立并持续完善交易方档案，以精准识别、评估与管理供应链各环节风险。公司对所有合作交易方实行常态化的风险监测与定期审查机制，其中包括每季度开展一次的新增及现有供应商风险评估，确保对供应链风险实现动态、及时的识别与响应。在此基础上，公司严格要求所有新交易方在正式签订合同前完成全部尽职调查流程，并建立健全完整的交易方档案，从合作源头保障供应链合规与可追溯。  

To ensure the compliance, transparency, and effective execution of due diligence in the supply chain, the Company has formulated and implemented the "LBMA Supplier Questionnaire" and the "ESG Self-Assessment Form" as core management tools. Through a series of reinforcement measures, it systematically establishes and continuously improves counterparty files to accurately identify, assess, and manage risks at all stages of the supply chain. The Company implements regular risk monitoring and periodic review mechanisms for all cooperating counterparties, including a quarterly risk assessment for new and existing suppliers, ensuring dynamic and timely identification and response to supply chain risks. Based on this, the Company strictly requires all new counterparties to complete the full due diligence process before formally signing a contract and to establish complete counterparty files, ensuring supply chain compliance and traceability from the very beginning of the cooperation.

（1）资质验证

(1) Qualification Verification

a.对所有交易方进行严格的尽职调查，确保其资质、运营及供应链管理符合LBMA负责任黄金指南的要求。  

a. Conduct strict due diligence on all counterparties to ensure their qualifications, operations, and supply chain management meet the requirements of the LBMA Responsible Gold Guidance.

b.对法人客户需其提供营业执照、最终受益人信息。

b. Require corporate clients to provide business licenses and ultimate beneficiary information.

c.对个人客户需提供有效身份证明及资金来源证明。

c. Require individual clients to provide valid identification and proof of source of funds.

d.对矿产供应商需提供采矿许可证、环境影响评估（EIA）认证、矿工安全及健康合规证明。

d. Require mining suppliers to provide mining licenses, Environmental Impact Assessment (EIA) certification, and miner safety and health compliance certificates.

（2）交易方档案建立  

(2) Counterparty File Establishment

a.调查交易方基本信息、管理层架构，确保其商业运作透明合规。  

a. Investigate counterparty basic information and management structure to ensure transparent and compliant business operations.

b.评估供应链可追溯性，涵盖原料来源、供应国及交易对手方。  

b. Assess supply chain traceability, covering raw material sources, supplying countries, and counterparties.

c.针对反洗钱（AML）、反恐怖主义融资（CTF）及负责任采购进行综合尽职调查，并向上游供应链延伸，确保供应链的完整性。  

c. Conduct comprehensive due diligence on Anti-Money Laundering (AML), Counter-Terrorism Financing (CTF), and responsible procurement, extending to the upstream supply chain to ensure supply chain integrity.

（3）来料登记与风险评估  

(3) Incoming Material Registration and Risk Assessment

a.记录每批次来料的日期、重量、来源，并核实主要上游交易方的合规性。  

a. Record the date, weight, and source of each batch of incoming materials, and verify the compliance of major upstream counterparties.

b.依据供应链尽职调查结果，对来料进行风险分类管理。  

b. Perform risk classification management for incoming materials based on supply chain due diligence results.

（4）客户专项调研及政策传达  

(4) Customer-Specific Research and Policy Communication

我司将与每家供应商合同签订前，以电子邮件形式向供应商完成政策传达，随邮件附相关文件：《深圳国金国银控股有限公司供应链管理政策》、《KYC尽职调查》、《ESG自我评估表》、《供应商尽职调查承诺书》，并要求供应商理解、签署、遵照执行，确保严格遵守LBMA及公司合规要求。

Before signing a contract with each supplier, the Company communicates the policy via email, attaching relevant documents: "Shenzhen Guojin Guoyin Holdings Co., Ltd. Supply Chain Management Policy," "KYC Due Diligence," "ESG Self-Assessment Form," and "Supplier Due Diligence Commitment Letter." Suppliers are required to understand, sign, and comply with these documents, ensuring strict adherence to LBMA and Company compliance requirements.

在2025年底，我公司收集了38家供应商完成的《KYC尽职调查》、《ESG自我评估表》，同时收集了供应商的营业执照、法人和受益人的相关身份资料。我们通过国家信息信用平台、天眼查、中国裁判文书网等渠道，结合供应商的官方网站，以及他们发布的与人权、冲突、治理、ESG相关的公示文件（如可持续发展报告、ESG报告、企业社会责任报告、负责任采购报告），并对供应商与风险相关的信息进行检索，以此来核查供应商填写的《了解您的交易方问卷》。截至目前，暂未识别出与供应商相关的警示信号，以及与洗钱、恐怖主义融资、腐败、ESG相关的风险。

By the end of 2025, the Company had collected completed "KYC Due Diligence" forms and "ESG Self-Assessment Forms" from 38 suppliers, along with their business licenses and identification information for legal representatives and beneficiaries. We verified the information provided in the suppliers' "Know Your Counterparty Questionnaires" by cross-referencing data from the National Enterprise Credit Information Publicity System, Tianyancha, China Judgments Online, and other channels, combined with suppliers' official websites and their publicly available documents related to human rights, conflict, governance, and ESG (such as sustainability reports, ESG reports, corporate social responsibility reports, and responsible procurement reports), and by searching for supplier-related risk information. To date, no red flags related to suppliers, nor risks associated with money laundering, terrorist financing, corruption, or ESG, have been identified.

3.物料风险识别

3. Material Risk Identification

在2025年度内公司采购的黄金原料主要来自中国大陆的回收材料，提供回收材料的供应商都是中国大陆的贸易商和珠宝商，识别出的回收材料的节点中国大陆不涉及任何的CAHRAs；根据公司对每笔交易的日常审查以及收集的供应商信息，未出现任何异常的交易也未涉及任何的洗钱、恐怖主义融资、腐败、ESG相关的风险。

In 2025, the gold raw materials purchased by the Company primarily came from recycled materials sourced in mainland China. The suppliers providing these recycled materials are all traders and jewelers based in mainland China. The identified nodes for recycled materials do not involve any CAHRAs. Based on the Company's daily review of each transaction and the collected supplier information, no abnormal transactions were found, nor were there any risks related to money laundering, terrorist financing, corruption, or ESG.

4. 风险分类

4. Risk Categorization

根据最新版本的LBMA黄金责任指南的要求，并结合公司所采购的再生金的物料特性，公司需对其供应链进行严格的风险识别与评估，以确保符合国际尽职调查标准。公司重点识别再生金供应链中可能涉及的零容忍风险及高风险因素，包括但不限于以下方面：  

According to the requirements of the latest version of the LBMA Responsible Gold Guidance and considering the characteristics of the recycled gold materials purchased, the Company must conduct strict risk identification and assessment of its supply chain to ensure compliance with international due diligence standards. The Company focuses on identifying zero-tolerance risks and high-risk factors that may be present in the recycled gold supply chain, including but not limited to the following aspects:

（1）零容忍风险：

(1) Zero-Tolerance Risks:

a.任何来自被指定为世界遗产地的区域的开采黄金。

a. Any mined gold originating from areas designated as World Heritage sites.

b.采购再生金不得违反国际制裁规定，包括但不限于联合国、欧盟、英国及美国的制裁措施。

b. Procurement of recycled gold must not violate international sanctions regulations, including but not limited to sanctions measures by the UN, EU, UK, and US.

c.再生金的供应对手方、任何已知的上游公司或其最终受益人若涉及以下情形，公司将立即终止合作：  

c. The Company will immediately terminate cooperation if the supplying counterparty for recycled gold, any known upstream company, or its ultimate beneficiary is involved in the following situations:

①被列入全球反洗钱（AML）及制裁名单，涉及洗钱、欺诈或恐怖主义融资。

① Listed on global Anti-Money Laundering (AML) and sanctions lists, involved in money laundering, fraud, or terrorist financing.

②曾严重侵犯人权，包括强迫劳动、童工、人口贩卖等行为。

② Has been involved in serious human rights violations, including forced labor, child labor, human trafficking, etc.

③直接或间接支持非法非国家武装组织，或通过供应链为冲突地区提供资金支持。  

③ Directly or indirectly supports illegal non-state armed groups, or provides financial support to conflict zones through the supply chain.

（2）高风险

(2) High Risks

a.基于地理位置的风险：再生金的采购需重点评估其地理来源，以防范涉及受冲突影响和高风险地区的潜在风险：

a. Geographic Location-Based Risks: Procurement of recycled gold requires a strong focus on assessing its geographic origin to mitigate potential risks involving Conflict-Affected and High-Risk Areas:

①任何来自CAHRA地区的再生金，或曾在CAHRA地区过境或通过该地区运输的材料，需接受严格的供应链尽职调查。

① Any recycled gold originating from CAHRAs, or materials that have transited or been transported through CAHRAs, must undergo strict supply chain due diligence.

②任何据称来源于或合理怀疑来源于CAHRA的黄金，以及来自黄金出口量极为有限的国家/地区的供应，均需额外核查，以确保其来源的合法性和合规性。

② Any gold claimed to originate, or reasonably suspected to originate, from CAHRAs, as well as supplies from countries/regions with extremely limited gold exports, require additional verification to ensure the legality and compliance of their source.

b.基于供应商的高风险因素：公司严格遵循LBMA《负责任黄金指南》及尽职调查框架，对所有交易对手及其上游供应商进行风险评估，重点识别以下高风险情形：

b. Supplier-Based High-Risk Factors: The Company strictly follows the LBMA Responsible Gold Guidance and due diligence framework, conducting risk assessments on all counterparties and their upstream suppliers, with a focus on identifying the following high-risk scenarios:

①运营地域风险： 供应商在高洗钱风险国家或地区开展业务，且该地区被金融行动特别工作或其他国际监管机构列为高风险管辖区。

① Operational Geographic Risk: The supplier operates in a country or region with high money laundering risk, identified as a high-risk jurisdiction by the Financial Action Task Force or other international regulatory bodies.

②股东及最终受益人风险：供应商的股东、最终受益人或其他持有黄金供应权益的实体位于高风险地区，或符合基于地理位置的高风险标准；供应商的最终受益人为政治公众人物，可能涉及腐败或影响供应链的透明度。

② Shareholder and Ultimate Beneficial Owner Risk: The supplier's shareholders, ultimate beneficial owners (UBOs), or other entities holding gold supply interests are located in high-risk areas or meet geographic location-based high-risk criteria; the supplier's UBO is a Politically Exposed Person (PEP), potentially involving corruption or affecting supply chain transparency.

③业务性质风险：具有身为政治人物的UBO ，供应商或其相关企业从事高风险商业活动，包括但不限于军火、赌博、娱乐业、古董及艺术品交易、宗教组织及其领导人相关业务，可能涉及洗钱或非法资金流动。

③ Business Nature Risk: The supplier or its related enterprises engage in high-risk commercial activities, including but not limited to arms, gambling, entertainment, antiquities and art trading, businesses related to religious organizations and their leaders, which may involve money laundering or illicit financial flows.

④交易及物流异常：供应商在过去12个月内曾从高风险国家或地区采购黄金，且未提供充分的供应链尽职调查文件；供应链中的供应商或交易对手存在异常且无法解释的运输路线，可能涉及规避制裁或非法贸易。

④ Transaction and Logistics Anomalies: The supplier has purchased gold from high-risk countries or regions within the past 12 months without providing adequate supply chain due diligence documentation; there are abnormal and unexplained transportation routes involving suppliers or counterparties in the supply chain, potentially related to sanctions evasion or illicit trade.

c.基于物料类型的高风险因素：公司严格遵循LBMA《负责任黄金指南》及尽职调查框架，对所有再生金的供应链进行严格审查，重点识别以下高风险情形：

c. Material Type-Based High-Risk Factors: The Company strictly follows the LBMA Responsible Gold Guidance and due diligence framework, conducting rigorous reviews of all recycled gold supply chains, with a focus on identifying the following high-risk scenarios:

①再生金来源于高风险供应链的中间精炼厂或交易商，且该精炼厂或交易商在供应链尽职调查过程中透明度不足或合规记录存在重大问题。

① Recycled gold originates from an intermediate refiner or trader in a high-risk supply chain, and that refiner or trader exhibits significant issues with transparency or compliance records during supply chain due diligence.

②供应链中的交易对手方从高风险中间精炼厂采购，且未能提供充分的供应链可追溯性文件及合规证明，可能涉及非法金属流入正规市场。

② Counterparties in the supply chain source from high-risk intermediate refiners and fail to provide adequate supply chain traceability documentation and compliance certificates, potentially involving the flow of illicit metal into the legitimate market.

2025年内，根据公司的交易记录和风险识别流程，没有任何的零容忍及高风险被识别出。

In 2025, based on the Company's transaction records and risk identification process, no zero-tolerance or high risks were identified.

5.针对高风险的加强型尽职调查

5. Enhanced Due Diligence for High Risks

报告期内，本精炼商严格遵循LBMA RGG的要求，针对回收金供应链建立了严格的加强型尽职调查 (EDD) 机制。公司建立了明确的EDD触发条件，涵盖地点、供应商和物料三个维度的风险指标，包括但不限于：涉及CAHRA或FATF名单国家、供应商或其最终实际所有人（UBO）为PEP或从事高风险行业、文件不符或拒绝配合等。

During the reporting period, the Refiner strictly adhered to the requirements of the LBMA RGG and established a robust Enhanced Due Diligence (EDD) mechanism for the recycled gold supply chain. The Company established clear EDD trigger conditions covering risk indicators across three dimensions: location, supplier, and material, including but not limited to: involvement with CAHRAs or FATF-listed countries; the supplier or its Ultimate Beneficial Owner (UBO) being a PEP or engaged in high-risk industries; document discrepancies or refusal to cooperate.

一旦触发EDD，我们立即启动标准化流程：

Once EDD is triggered, we immediately initiate a standardized process:

1.评估团队的资质评估：首先组建合规评估团队（包括合规风控总监、合规风控官，必要时引入LBMA认可的第三方保证提供方），确保所有参与EDD的人员均具备相应资质和经验：内部合规团队定期接受LBMA及相关职业培训；外部合作方均为LBMA认可的第三方保证提供方，具备ISAE 3000等鉴证能力，确保现场访问及评估由公司经过专业培训、无利益冲突的资深合规员工主导；在特定高风险管辖区，公司将聘请具备属地合规经验和审计资质的独立第三方咨询机构联合开展实地调查。所有参与评估的人员均须签署利益冲突回避与如实报告声明，以确保评估结果的独立性和准确性。

Assessment Team Qualification Evaluation: First, form a compliance assessment team (including the Compliance and Risk Control Director, Compliance and Risk Control Officer, and if necessary, introduce an LBMA-recognized third-party assurance provider) to ensure all personnel involved in EDD possess the appropriate qualifications and experience: the internal compliance team regularly receives LBMA and related professional training; external partners are all LBMA-recognized third-party assurance providers with ISAE 3000 and other assurance capabilities. On-site visits and assessments are led by the Company's professionally trained, senior compliance staff with no conflicts of interest. In specific high-risk jurisdictions, the Company will engage independent third-party consulting firms with local compliance experience and audit qualifications to jointly conduct on-site investigations. All personnel involved in the assessment must sign a conflict of interest declaration and truthful reporting statement to ensure the independence and accuracy of the assessment results.

2.工具确认：使用与《尽职调查指南》保持一致的工具，包括但不限于LBMA精炼厂工具包中的回收材料 KYC 问卷 以及LPPM精炼厂工具包中的现场访问报告模板。

Tool Confirmation: Use tools consistent with the Due Diligence Guidance, including but not limited to the Recycled Material KYC Questionnaire in the LBMA Refiner Toolkit and the On-Site Visit Report Template in the LPPM Refiner Toolkit.

3.对供应商进行背景筛查及文件预审；随后开展现场访问，通过管理层访谈、设施检查、员工访谈及运输环节核查，全面评估供应商的负责任采购实践和风险控制能力。

Conduct background screening and document pre-review of the supplier; then conduct on-site visits, comprehensively evaluating the supplier's responsible procurement practices and risk control capabilities through management interviews, facility inspections, employee interviews, and transportation link verification.

4.替代程序（非现场访问）： 在不可抗力或安全风险导致无法直接开展现场访问的极端情况下，本厂实施了严格的替代程序。我们通过安全的数字化手段进行了远程核实，深度审查了供应商的尽职调查记录和交易凭证。

Alternative Procedures (Off-Site Visit): In extreme cases where direct on-site visits are impossible due to force majeure or security risks, the Refinery implements strict alternative procedures. We conduct remote verification using secure digital means, deeply reviewing the supplier's due diligence records and transaction credentials.

此外，我们要求高风险供应商提供由国际认可的独立审计机构出具的合规鉴证报告，并对这些报告进行了交叉验证。所有依赖替代程序的高风险业务，均需由合规风控总监及董事会进行最终审阅和逐案批准，以确保风险得到实质性管控。

Additionally, we require high-risk suppliers to provide compliance assurance reports issued by internationally recognized independent audit firms and cross-validate these reports. All high-risk businesses relying on alternative procedures require final review and case-by-case approval by the Compliance and Risk Control Director and the Board of Directors to ensure substantial risk control.

5.文件记录：所有EDD发现均详细记录，并由合规风控总监向董事会汇报。对于确认存在严重风险的供应商，我们依据RPG5第三步采取风险管理策略，包括暂停交易、制定纠正行动计划或终止关系。

Documentation and Recording: All EDD findings are documented in detail and reported by the Compliance and Risk Control Director to the Board of Directors. For suppliers confirmed to have serious risks, we adopt risk management strategies according to RGG Step 3, including suspending transactions, developing corrective action plans, or terminating the relationship.

在 2025 年内，根据公司的交易记录和风险识别流程，没有任何的零容忍及高风险被识别出，不符合加强型尽职调查（EDD）的触发条件，所以在本年度无需启动并实施加强型尽职调查。

In 2025, based on the Company's transaction records and risk identification process, no zero-tolerance or high risks were identified, and the trigger conditions for Enhanced Due Diligence (EDD) were not met. Therefore, there was no need to initiate and implement Enhanced Due Diligence in this year.

6. 供应链风险评估与持续监控

6. Supply Chain Risk Assessment and Continuous Monitoring

确保供应链的合规性、透明度及尽职调查的有效性，公司对2025年金料的供应链进行了风险评估，收集并核验了供应链相关信息，并依据风险评估标准完成全供应链风险评估，包括收集所有供应商的《KYC尽职调查表》并对所提交的信息进行了核查，核查范围涵盖OECD指南中列出的与人权、冲突、治理以及ESG相关的风险。公司对每一笔交易进行核查，确认是否有来自高风险地区或涉及腐败、恐怖主义融资等风险，最终完成《KYC尽职调查表》及《风险评估表》。评估结果显示，公司供应链未识别出任何零容忍风险或高风险交易，符合LBMA负责任采购要求。

To ensure the compliance, transparency, and effectiveness of due diligence in the supply chain, the Company conducted a risk assessment for the 2025 gold material supply chain. It collected and verified supply chain-related information and completed a full supply chain risk assessment based on risk assessment standards. This included collecting the "KYC Due Diligence Form" from all suppliers and verifying the submitted information, with the scope of verification covering risks related to human rights, conflict, governance, and ESG as outlined in the OECD Guidance. The Company verified each transaction to confirm whether there were risks originating from high-risk areas or involving corruption, terrorist financing, etc., ultimately completing the "KYC Due Diligence Form" and "Risk Assessment Form." The assessment results showed that the Company's supply chain did not identify any zero-tolerance risks or high-risk transactions, complying with LBMA responsible procurement requirements.

在开展风险评估和持续监控的过程中，公司配备了具备相应资质与经验的风险合规团队。风险评估工作由风险合规风控专员牵头执行，该团队定期接受LBMA及相关负责任采购要求的职业培训，具备识别与评估供应链风险的专业能力。在必要时，公司可引入LBMA认可的第三方保证提供方或具备属地合规经验的独立咨询机构提供支持。所有参与风险评估与监控的人员均须签署利益冲突回避与如实报告声明，确保评估结果的独立性与准确性。风险评估结果通过正式的风险评估报告形式，由风险合规风控专员呈报至风险合规总监，并由其向董事会及总裁办相关专门委员会进行汇报，为公司供应链决策提供依据。

In carrying out risk assessment and continuous monitoring, the Company has equipped a risk and compliance team with appropriate qualifications and experience. The risk assessment work is led by the Risk Compliance Specialist. This team regularly receives professional training on LBMA and related responsible procurement requirements, possessing the professional competence to identify and assess supply chain risks. When necessary, the Company can introduce LBMA-recognized third-party assurance providers or independent consulting firms with local compliance experience for support. All personnel involved in risk assessment and monitoring must sign a conflict of interest declaration and truthful reporting statement to ensure the independence and accuracy of the assessment results. The risk assessment results are compiled into a formal risk assessment report, submitted by the Risk Compliance Specialist to the Risk Compliance Director, who then reports to the Board of Directors and relevant special committees of the President's Office, providing a basis for the Company's supply chain decisions.

风险评估的复核与批准流程如下：所有供应商的《KYC尽职调查表》及《风险评估表》在完成后，首先由风险合规风控专员进行逐项审查，确认信息完整性与风险识别准确性；审查通过后，提交至风险合规总监进行最终审批。对于涉及潜在风险的情形，即使未达到零容忍或高风险标准，亦需由合规风控总监联合相关业务部门进行个案审阅，必要时提请董事会审议，确保风险评估结论的审慎性与权威性。

The review and approval process for risk assessments is as follows: After completion, the "KYC Due Diligence Form" and "Risk Assessment Form" for all suppliers are first reviewed item by item by the Risk Compliance Specialist to confirm information completeness and risk identification accuracy. After passing the review, they are submitted to the Risk Compliance Director for final approval. For situations involving potential risks, even if they do not meet the zero-tolerance or high-risk criteria, the Compliance and Risk Control Director, together with the relevant business departments, must conduct a case-by-case review. If necessary, the matter is brought to the Board of Directors for deliberation, ensuring the prudence and authority of the risk assessment conclusions.

作为风险识别的重要组成部分，公司建立了持续性的交易监控流程。该流程对每一笔金料交易进行动态核查，重点监控交易对手背景、物料来源地、物流路径及交易凭证的一致性，并与预设的风险指标进行比对，包括但不限于涉及CAHRA或FATF名单国家、供应商或其最终实际所有人（UBO）为PEP或从事高风险行业、文件不符或拒绝配合等情形。交易监控与风险评估系统联动运行，确保任何新出现的风险信号能够被及时识别并触发后续审查或尽职调查程序。所有监控记录均纳入合规档案，由风险合规风控专员定期复核，确保风险管理的持续有效。

As a crucial part of risk identification, the Company has established a continuous transaction monitoring process. This process dynamically verifies each gold material transaction, focusing on the counterparty's background, material source location, logistics path, and consistency of transaction documents, and compares them against pre-set risk indicators, including but not limited to: involvement with CAHRAs or FATF-listed countries; the supplier or its Ultimate Beneficial Owner (UBO) being a PEP or engaged in high-risk industries; document discrepancies or refusal to cooperate. Transaction monitoring and the risk assessment system operate in tandem, ensuring that any emerging risk signals can be promptly identified and trigger subsequent reviews or due diligence procedures. All monitoring records are included in the compliance files and periodically reviewed by the Risk Compliance Specialist to ensure the continuous effectiveness of risk management.

7. 风险评估报告与高级管理层汇报

7. Risk Assessment Report and Reporting to Senior Management

公司已建立系统化的风险评估报告制度，确保供应链风险管理的透明度、可追溯性及合规性。所有风险评估结果均需按LBMA RGG的要求进行审核，并向高级管理层汇报。报告流程：

The Company has established a systematic risk assessment reporting system to ensure the transparency, traceability, and compliance of supply chain risk management. All risk assessment results must be reviewed according to LBMA RGG requirements and reported to senior management. The reporting process is as follows:

（1）合规团队定期对供应链尽职调查结果进行分析，并编制全面的风险评估报告。

(1) The compliance team periodically analyzes supply chain due diligence results and prepares a comprehensive risk assessment report.

（2）该报告由合规总监审阅，并根据评估结果制定针对性的风险缓解计划。

(2) The report is reviewed by the Compliance Director, who formulates a targeted risk mitigation plan based on the assessment results.

（3）必要时，风险评估结果及风险缓解措施将提交高级管理层及总裁办，以确保公司采取适当的治理措施，降低供应链风险。

(3) If necessary, the risk assessment results and risk mitigation measures will be submitted to senior management and the President's Office to ensure the Company takes appropriate governance measures to reduce supply chain risks.

公司已完成2025年度供应链风险评估，并将最终结果提交至合规风控总监，已由合规风控总监汇报给CEO并形成记录。

The Company has completed the 2025 annual supply chain risk assessment and submitted the final results to the Compliance and Risk Control Director, who has reported them to the CEO, with records maintained.

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 and Requirements:

公司已经充分遵守第3步：设计和落实管理体系应对识别的所有风险。

The Company has fully complied with Step 3: Design and implement a management system to respond to all identified risks.

公司已全面遵循LBMA RGG第三步的要求，有效识别、评估和管理所有供应链风险。截至2025年，公司未识别出零容忍风险或高风险交易方，因此无需制定风险缓解计划。

The Company has fully adhered to the requirements of Step 3 of the LBMA RGG, effectively identifying, assessing, and managing all supply chain risks. As of 2025, the Company has not identified any zero-tolerance risks or high-risk counterparties, therefore no risk mitigation plan was required.

尽管目前尚未发现高风险情况，公司仍依据指南最新版本建立了供应链风险缓解程序。该程序涵盖风险策略（继续交易/暂停交易/终止交易）、符合LBMA RGG的各类风险缓解策略适用情形、风险缓解计划的制定与实施流程，以及对风险缓解计划实施的持续监控流程。

Although no high-risk situations have been identified to date, the Company has established a supply chain risk mitigation procedure in accordance with the latest version of the guidance. This procedure covers risk strategies (continue trading / suspend trading / terminate trading), the applicability of various risk mitigation strategies under LBMA RGG, the process for developing and implementing risk mitigation plans, and the continuous monitoring process for the implementation of risk mitigation plans.

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: Undertake Independent Third-Party Audit of the Refiner's Due Diligence Practices

合规声明与要求：

Compliance Statement and Requirements:

我公司已经充分遵守第4步：确保供应链尽职调查实践得到独立的第三方审计，以验证其合规性、透明度及持续有效性。

The Company has fully complied with Step 4: Ensure that supply chain due diligence practices are subject to an independent third-party audit to verify their compliance, transparency, and continuing effectiveness.

1.审计安排

1. Audit Arrangement

为确保供应链尽职调查体系契合LBMA准则、OECD尽职调查框架以及国际最佳实践，公司聘请SLR（原RCS）作为独立审计机构，分别于2025年五月对2024年度的供应链尽职管理体系展开全面审计，2026年3月16日-17日对2025年度的供应链尽职管理体系展开全面审计。

To ensure that the supply chain due diligence system aligns with LBMA guidelines, the OECD Due Diligence Framework, and international best practices, the Company engaged SLR (formerly RCS) as an independent audit firm. A comprehensive audit of the 2024 supply chain due diligence management system was conducted in May 2025, and a comprehensive audit of the 2025 system was conducted on March 16-17, 2026.

我们选择SLR作为2024、2025年度LBMA合规性审计的第三方机构，主要基于以下两点考虑：首先，SLR具备LBMA认可的审计资质，其专业能力与行业认可度能够充分满足监管要求，确保审计工作的权威性与合规性。其次，SLR与我们公司之间不存在任何利益往来，能够保持独立的第三方立场，保证审计过程的客观、公正。

We selected SLR as the third-party auditor for the 2024 and 2025 LBMA compliance audits primarily based on the following two considerations: First, SLR possesses audit qualifications recognized by LBMA, and its professional competence and industry recognition fully meet regulatory requirements, ensuring the authority and compliance of the audit work. Second, there are no conflicts of interest between SLR and our Company, allowing them to maintain an independent third-party position and ensure the objectivity and fairness of the audit process.

此次审计覆盖公司在黄金采购、交易、风险评估以及合规管理等方面的政策执行状况，并对其供应链透明度和责任采购合规性进行独立评估。

This audit covered the Company's policy implementation in areas such as gold procurement, trading, risk assessment, and compliance management, and conducted an independent evaluation of its supply chain transparency and responsible procurement compliance.

同时，公司从专业性、独立性、利益冲突等维度对鉴证服务提供商进行了评估，最终评估结果经CEO及董事会审核通过。

Simultaneously, the Company evaluated the assurance service provider based on dimensions such as professionalism, independence, and conflict of interest. The final evaluation result was reviewed and approved by the CEO and the Board of Directors.

2.持续独立审计机制

2. Continuous Independent Audit Mechanism

公司每年均聘请独立的第三方审计机构对供应链尽职调查体系及财务管理进行审查，并出具合规审计报告。该审计过程符合LBMA良好交割规定，并确保所有供应链交易符合反洗钱（AML）、反恐融资（CTF）及企业社会责任（CSR）要求。

The Company engages an independent third-party audit firm annually to review the supply chain due diligence system and financial management, issuing a compliance audit report. This audit process conforms to LBMA Good Delivery rules and ensures that all supply chain transactions comply with Anti-Money Laundering (AML), Counter-Terrorism Financing (CTF), and Corporate Social Responsibility (CSR) requirements.

3.透明度与合规承诺

3. Transparency and Compliance Commitment

公司承诺严格执行LBMA及国际监管机构的审计要求，并积极接受独立审计机构的监督和建议。审计报告及相关合规文件将在公司CEO和董事会审议后，向相关利益相关方进行透明披露，以确保公司供应链管理的可信度、可追溯性及合规性。

The Company commits to strictly implementing the audit requirements of LBMA and international regulatory bodies and actively accepts supervision and recommendations from independent audit firms. Audit reports and related compliance documents will be transparently disclosed to relevant stakeholders after review by the Company's CEO and Board of Directors, ensuring the credibility, traceability, and compliance of the Company's supply chain management.

4.鉴证过程

4. Assurance Process

2024年度经审计发现存在以下问题：

The 2024 audit identified the following issues:

（1）问题1：在2024年度并未对供应链尽职调查政策、流程的有效性及内部培训效果进行评估。

(1) Issue 1: In 2024, the effectiveness of the supply chain due diligence policies, processes, and internal training was not evaluated.

改正：已于2025年6月4日开展管理访谈，以评估供应链尽职调查政策、流程的有效性。同时对内部培训效果进行评估，并形成报告。

Correction: Management interviews were conducted on June 4, 2025, to evaluate the effectiveness of supply chain due diligence policies and processes. Concurrently, the effectiveness of internal training was assessed, and a report was generated.

（2）问题2：因内部人员流动及部分供应商合作时间较早，未保留向另外16家供应商传达该政策的邮件记录；32家供应商中，有5家的承诺书未涵盖政策中的所有风险，或未声明遵守精炼商的政策及要求。

(2) Issue 2: Due to internal personnel turnover and early cooperation with some suppliers, email records of communicating the policy to another 16 suppliers were not retained; among 32 suppliers, the commitment letters for 5 did not cover all risks in the policy or did not declare compliance with the refiner's policies and requirements.

改正：公司已于2025年6月3日向2024年度32家所有供应商传达了该政策，并通过管理层访谈和邮件沟通记录确认，另于2025年6月已收集更新后的承诺书，涵盖政策中的所有相关风险，并声明遵守精炼商的政策及要求。

Correction: The Company communicated the policy to all 32 suppliers for the 2024 year on June 3, 2025, confirmed via management interviews and email communication records. Additionally, updated commitment letters covering all relevant risks in the policy and declaring compliance with the refiner's policies and requirements were collected in June 2025.

（3）问题3：风险评估使用了联合国制裁清单，但未包含美国、英国、欧盟及其他相关制裁清单；未提供核查记录，以确认供应商及其最终受益人未被列入任何政府通缉名单、已知洗钱分子、诈骗犯或恐怖分子名单。此外，无KYC审核记录；KYC问卷未涵盖RGG9中列出的所有ESG议题，且无数据点支持答案（是/否）的结果；32家供应商中有17家未填写供应商ESG表现自我评估表，且已填写的自我评估表中未包含支持答案（是/否）结果的数据点。

(3) Issue 3: The risk assessment used the UN sanctions list but did not include US, UK, EU, and other relevant sanctions lists; no verification records were provided to confirm that suppliers and their ultimate beneficiaries were not on any government wanted lists, known money launderers, fraudsters, or terrorist lists. Additionally, there were no KYC review records; the KYC questionnaire did not cover all ESG issues listed in RGG9 and lacked data points to support the yes/no answers; 17 out of 32 suppliers did not complete the Supplier ESG Performance Self-Assessment Form, and the completed self-assessment forms did not contain data points supporting the yes/no results.

改正：公司已于2025年6月修订《受冲突影响和高风险地区识别程序》，纳入美国、英国及欧盟制裁清单。受冲突影响和高风险地区识别记录也已相应更新，未识别出任何受冲突影响和高风险地区；公司已核实供应商及其最终受益人未被列入任何政府通缉名单、已知洗钱分子、诈骗犯或恐怖分子名单；公司已填写的KYC问卷中也补充了审核意见；公司已收集了经供应商签字确认的完整KYC问卷，以及由供应商填写的用于识别ESG风险（包括童工与强迫劳动）的《供应商ESG表现自我评估表》。受审核方已对KYC问卷及《供应商ESG表现自我评估表》进行了核查。

Correction: The Company revised the "Procedure for Identifying Conflict-Affected and High-Risk Areas" in June 2025 to include US, UK, and EU sanctions lists. The records for identifying Conflict-Affected and High-Risk Areas were correspondingly updated, and no such areas were identified. The Company verified that suppliers and their ultimate beneficiaries were not on any government wanted lists, known money launderers, fraudsters, or terrorist lists. Review comments were added to the completed KYC questionnaires. The Company collected complete KYC questionnaires signed by suppliers, as well as the "Supplier ESG Performance Self-Assessment Form" completed by suppliers for identifying ESG risks (including child labor and forced labor). The auditee verified the KYC questionnaires and the Supplier ESG Performance Self-Assessment Forms.

（4）问题4：因问题3导致无法完全确定是否需要开展强化尽职调查；《禁止强迫劳动政策声明》未描述对黄金供应链中禁止强迫劳动情况的监控流程与方法。

(4) Issue 4: Due to Issue 3, it was impossible to fully determine whether Enhanced Due Diligence was required; the "Statement on Policy Prohibiting Forced Labor" did not describe the monitoring processes and methods for prohibiting forced labor in the gold supply chain.

改正：公司已将美国、英国及欧盟制裁清单纳入《受冲突影响和高风险地区识别程序》及相关记录。未识别出受冲突影响和高风险地区，亦未触发任何风险警示信号。因此，无需开展强化尽职调查；公司已修订《禁止强迫劳动政策声明》，纳入对黄金供应链中禁止强迫劳动情况的监控流程与方法。

Correction: The Company incorporated US, UK, and EU sanctions lists into the "Procedure for Identifying Conflict-Affected and High-Risk Areas" and related records. No CAHRAs were identified, and no red flags were triggered. Therefore, Enhanced Due Diligence was not required. The Company revised the "Statement on Policy Prohibiting Forced Labor" to include monitoring processes and methods for prohibiting forced labor in the gold supply chain.

（5）问题5：公司没有记录证明合规团队已向合规总监报告尽职调查实践及风险评估结果

(5) Issue 5: The Company had no record demonstrating that the compliance team reported due diligence practices and risk assessment results to the Compliance Director.

改正：公司已于2025年6月3日向合规总监报告了尽职调查实践及风险评估结果。

Correction: The Company reported due diligence practices and risk assessment results to the Compliance Director on June 3, 2025.

（6）问题6：《风险缓解管理措施》未包含在风险缓解过程中咨询相关利益相关方的流程。

(6) Issue 6: The "Risk Mitigation Management Measures" did not include a process for consulting relevant stakeholders during risk mitigation.

改正：公司已修订《风险缓解管理措施》，纳入了在风险缓解过程中咨询相关利益相关方的流程。

Correction: The Company revised the "Risk Mitigation Management Measures" to include a process for consulting relevant stakeholders during risk mitigation.

（7）问题7：《风险缓解管理措施》未包含向董事会委员会报告发现结果的流程。

(7) Issue 7: The "Risk Mitigation Management Measures" did not include a process for reporting findings to the Board Committee.

改正：公司已修订《风险缓解管理措施》，纳入了向董事会委员会报告发现结果的流程。报告记录及管理层访谈确认，发现结果已向董事会委员会报告。

Correction: The Company revised the "Risk Mitigation Management Measures" to include a process for reporting findings to the Board Committee. Report records and management interviews confirmed that findings were reported to the Board Committee.

（8）问题8：公司没有书面程序用于公开发布合规报告；合规报告未按照LBMA负责任采购计划披露指南，披露其尽职调查管理体系及实践方面的上述不符合项。

(8) Issue 8: The Company had no written procedure for publicly releasing the compliance report; the compliance report did not disclose the above non-conformities in its due diligence management system and practices according to the LBMA Responsible Sourcing Programme disclosure guidance.

改正：公司已修订《黄金供应链尽职调查规则》，纳入了每年公开发布合规报告的流程。精炼商还已在合规报告中披露了上述中风险及高风险事项。

Correction: The Company revised the "Gold Supply Chain Due Diligence Rules" to include a procedure for publicly releasing the compliance report annually. The refiner also disclosed the above-mentioned medium and high-risk matters in the compliance report.

5.鉴证结果

5. Assurance Results

在2025年度的鉴证结论中，公司所建立的黄金尽职调查管理体系未被识别出任何高、中、低风险，这充分表明公司建立的负责任采购尽职调查管理体系运行良好。

In the 2025 assurance conclusion, no high, medium, or low risks were identified in the Company's established gold due diligence management system. This fully demonstrates that the Company's established responsible procurement due diligence management system is operating effectively.

第五步 供应链尽职调查年度报告

Step 5: Report on Supply Chain Due Diligence

合规声明与要求：

Compliance Statement and Requirements:

我公司已经充分遵守第5步：有关供应链尽职调查的报告。

The Company has fully complied with Step 5: Report on supply chain due diligence.

公司严格遵守LBMA RGG第五步“供应链尽职调查年度报告”的要求。

The Company strictly adheres to the requirements of Step 5 of the LBMA RGG, "Report on supply chain due diligence."

公司将于2026年4月30日前依据深圳国金国银控股有限公司供应链尽职调查政策对2025年度合规报告进行公示，确保所有交易符合LBMA及OECD尽职调查框架。

The Company will publish the 2025 annual compliance report based on the Shenzhen Guojin Guoyin Holdings Co., Ltd. Supply Chain Due Diligence Policy before April 30, 2026, ensuring all transactions comply with the LBMA and OECD due diligence frameworks.

2025年度供应链尽职调查评估显示，公司供应链未识别出零容忍风险或高风险交易方。公司未发现需执行风险缓解管理策略的交易方，且无任何需“暂停合作”或“终止合作”的供应商。公司供应链尽职管理合规报告将在官方网站公示，以确保外部利益相关方能够获取相关信息，确保符合LBMA责任采购标准，并致力于维护供应链的完整性、透明度及可持续发展。

The 2025 supply chain due diligence assessment shows that the Company's supply chain did not identify any zero-tolerance risks or high-risk counterparties. The Company found no counterparties requiring the implementation of risk mitigation management strategies, and no suppliers requiring "suspension" or "termination" of cooperation. The Company's supply chain due diligence management compliance report will be published on its official website to ensure that external stakeholders can access relevant information, ensuring compliance with LBMA responsible sourcing standards and commitment to maintaining the integrity, transparency, and sustainable development of the supply chain.

四、供应链可持续发展 & ESG 执行情况

IV. Supply Chain Sustainable Development & ESG Implementation

深圳国金国银控股有限公司作为一家贵金属精炼企业，深知环境、社会及治理（ESG）标准对于可持续发展的重要性。公司严格遵循国际与本地环境法规，积极推动资源高效回收、低碳精炼，以实际行动践行负责任的企业责任。

As a precious metal refining enterprise, Shenzhen Guojin Guoyin Holdings Co., Ltd. deeply understands the importance of Environmental, Social, and Governance (ESG) standards for sustainable development. The Company strictly adheres to international and local environmental regulations, actively promotes efficient resource recycling and low-carbon refining, and fulfills responsible corporate responsibilities through concrete actions.

1.环境

1. Environment

高效贵金属回收体系：公司专注于黄金资源的循环利用，主要回购旧首饰、投资金条及其他旧合质金制品，确保贵金属资源的可持续再生，符合全球资源循环经济发展趋势。

绿色低碳生产工艺：采用低能耗、低污染的精炼生产设备，提升生产效率。公司使用闭环生产系统，确保废水、废气、固体废弃物的环保达标。通过ISO 14001 环境管理体系认证，确保环境管理标准化、系统化。

Efficient Precious Metal Recycling System: The Company focuses on the circular utilization of gold resources, primarily repurchasing old jewelry, investment gold bars, and other old doré products, ensuring the sustainable regeneration of precious metal resources, aligning with the global trend of developing a circular economy for resources.

Green and Low-Carbon Production Processes: Utilizes refining production equipment with low energy consumption and low pollution to enhance production efficiency. The Company uses a closed-loop production system to ensure that wastewater, exhaust gas, and solid waste meet environmental standards. It has obtained ISO 14001 Environmental Management System certification, ensuring standardized and systematic environmental management.

2.社会责任

2. Social Responsibility

供应链责任管理：公司确保原料来源符合负责任供应链管理原则，避免冲突矿产，并遵循OECD 指南。建立严格的供应商审核机制，优先选择符合ESG标准的合作伙伴，推动整个行业的可持续发展。

Supply Chain Responsibility Management: The Company ensures that raw material sources comply with responsible supply chain management principles, avoid conflict minerals, and follow OECD Guidance. It has established a strict supplier review mechanism, prioritizing partners that meet ESG standards, thereby promoting the sustainable development of the entire industry.

员工权益与职业健康：公司推行安全生产管理体系，降低职业健康安全风险，遵循ISO 45001职业健康安全管理体系，以保障员工的健康与安全。

Employee Rights and Occupational Health: The Company implements a safety production management system to reduce occupational health and safety risks, following the ISO 45001 Occupational Health and Safety Management System to protect employee health and safety.

落实多元化与包容性政策，尊重员工权益，为员工提供公平的职业发展机会。

Implement diversified and inclusive policies, respect employee rights, and provide fair career development opportunities for employees.

同时，公司严格遵守国家和国际的法律法规，杜绝使用童工，加强对弱势群体的保护。

Simultaneously, the Company strictly abides by national and international laws and regulations, prohibits the use of child labor, and strengthens the protection of vulnerable groups.

社会责任与社区支持：公司积极参与当地社区环保项目，推动循环经济理念的普及，促进社会可持续发展。开展环境保护与可持续发展教育培训，增强员工与公众的环保意识。

Social Responsibility and Community Support: The Company actively participates in local community environmental protection projects, promotes the concept of a circular economy, and fosters social sustainable development. It conducts environmental protection and sustainable development education and training to enhance the environmental awareness of employees and the public.

3.治理

3. Governance

合规与透明度：遵循全球ESG最佳实践，建立健全的环境、社会及治理合规体系。未来将定期发布ESG 报告，确保信息透明，向利益相关方展示公司在可持续发展方面的努力与成果。

Compliance and Transparency: Follow global ESG best practices, establish, and continuously improve a sound environmental, social, and governance compliance system. ESG reports will be published periodically in the future to ensure information transparency and demonstrate the Company's efforts and achievements in sustainable development to stakeholders.

企业伦理与反腐败：坚持诚信经营，严格执行反腐败、反洗钱政策，并定期接受外部审计与合规评估。设立合规举报渠道，确保业务运作符合国际道德标准。

Corporate Ethics and Anti-Corruption: Adhere to honest business operations, strictly implement anti-corruption and anti-money laundering policies, and undergo regular external audits and compliance assessments. Establish compliance reporting channels to ensure business operations meet international ethical standards.

公司坚持以资源循环利用、绿色制造、低碳发展为核心，致力于打造国际标准的贵金属可持续供应链，并通过持续优化环保技术、供应链管理、碳中和措施，推动全球黄金产业向绿色、低碳、可持续方向发展。

The Company adheres to resource recycling, green manufacturing, and low-carbon development as its core principles, striving to build a sustainable precious metal supply chain meeting international standards. Through continuous optimization of environmental technologies, supply chain management, and carbon neutrality measures, it promotes the global gold industry's development towards green, low-carbon, and sustainable directions.

五、管理结论

V. Management Conclusion

截至2025年12月31日的财年内，深圳国金国银控股有限公司严格遵循LBMA RGG的要求，并已建立并有效实施完善的管理制度、操作程序、尽职调查流程及合规实践。公司始终致力于持续改进和合规优化，并通过内部审查机制定期监测所有纠正措施的执行情况，以确保供应链管理的透明度、可追溯性及符合国际最佳实践。所有纠正性行动计划将按照LBMA规定在公司内部进行严格落实和持续监督，以确保合规性与责任采购标准的持续提升。

For the fiscal year ended December 31, 2025, Shenzhen Guojin Guoyin Holdings Co., Ltd. strictly adhered to the requirements of the LBMA RGG and has established and effectively implemented robust management systems, operating procedures, due diligence processes, and compliance practices. The Company is always committed to continuous improvement and compliance optimization, and regularly monitors the implementation of all corrective actions through its internal review mechanisms to ensure the transparency, traceability, and alignment with international best practices of its supply chain management. All corrective action plans will be strictly implemented and continuously monitored internally in accordance with LBMA regulations to ensure the continuous improvement of compliance and responsible sourcing standards.

六、其他报告批注

VI. Other Report Notes

如果本报告用户希望就本报告向深圳国金国银控股有限公司进行任何反馈，则可以通过邮箱gjgy@singyueinc.com联系公司相关部门。我们欢迎所有利益相关方，包括监管机构、行业协会、供应链合作伙伴、客户及社会公众，对本公司的业务合规性及其执行情况提出建议。公司承诺持续改进负责任供应链管理体系，并确保所有合规要求符合负责任采购和供应链尽职调查的标准。

If users of this report wish to provide any feedback to Shenzhen Guojin Guoyin Holdings Co., Ltd. regarding this report, they may contact the relevant department of the Company via email at gjgy@singyueinc.com. We welcome all stakeholders, including regulatory authorities, industry associations, supply chain partners, customers, and the general public, to offer suggestions on the Company’s business compliance and its implementation. The Company is committed to continuously improving its responsible supply chain management system and ensuring that all compliance requirements meet the standards of responsible procurement and supply chain due diligence.