深圳市众恒隆实业有限公司
2024年度供应链尽职调查合规报告
Shenzhen Zhonghenglong Industrial Co., Ltd
2024 Supply Chain Due Diligence Compliance Report
公司名称：深圳市众恒隆实业有限公司
Company Name: Shenzhen Zhonghenglong Industrial Co., Ltd
地址：深圳市龙华区民治街道北站社区民治股份商业中心C座5701
Company Address: Rm.5701, Block C, Minzhi Gufen Commercial Center, Beizhan Community, Minzhi Sub-district, Longhua District, Shenzhen City
工厂地址：广东省东莞市凤岗镇五联村碧湖大道雨湖路9号
Refinery Address: No.9, Yuhu Road, Bihu Avenue,Wulian Village, Fenggang Town, Dongguan City, Guangdong Province
办事处：深圳市罗湖区水贝二路特力珠宝大厦A座8楼
Purchasing office: 8/F., Block A, Teli Jewelry Building, Shuibeier Road, Luohu District, Shenzhen City
年终报告：2024年度供应链尽职调查合规报告
Year-end report: 2024 Supply Chain Due Diligence Compliance Report
报告日期：2025年2月5日
Reporting date:5 February , 2025
报告负责人：曹健（公司副总经理）
Person in Charge: Cao Jian (Deputy General Manager of the company)
网址：https://www.zhlsy.com/
Website: https://www.zhlsy.com/
联系电话：0755-29503388
Tel: 0755-29503388
一、公司概况
I. Company Profile
深圳市众恒隆实业有限公司自1997年成立以来，以其稳健的步伐和卓越的表现，成为了贵金属加工行业的佼佼者。主营业务是生产和回收提纯黄金、白银、铂金、钯金等各种贵重金属以及销售黄金、银等贵金属饰品工艺品，并以其精炼产品的高品质和精湛工艺而闻名。
Shenzhen Zhonghenglong Industrial Co., Ltd. has been a prominent player in the precious metal processing industry since its inception in 1997. Its main business includes production, recycling and purification of gold, silver, platinum, palladium and other precious metals, as well as marketing of precious metal jewelry and crafts. Zhonghenglong is renowned for the high quality of its products and superb craftsmanship.
众恒隆公司以先进的技术和完善的管理制度为基础，凭借稳定的生产流程和“下工序即是客户”的理念，严格执行每一道工序的可控性和产品的质量要求。借助先进的监控系统，运行全封闭的生产工艺流程，以确保产品质量的稳定和客户的满意。多年的努力使该公司先后通过了ISO14001和IS09001质量管理体系认证，其分析检测结果的准确度和可信度也得到了业内的普遍认可，国家首饰质量监督检验中心与众恒隆公司成立了联合实验室。
Based on advanced technology and a well-established management system, Zhonghenglong combines its stable production process with its philosophy of “Treat Process as Customer” and strictly executes the controllability of each process and quality of each product. With the auxiliary of advanced monitoring systems, the company operates a fully enclosed production process to ensure the stable quality of products and satisfaction from customers. For years, the company has successively acquired the certification of ISO14001 and ISO9001 quality management system. In addition, the accuracy and reliability of the test and analysis results are widely recognized by the industry. The National Jewelry Quality Supervision and Inspection Center has established a joint laboratory with Zhonghenglong.
同时，为了科学环保地解决含贵金属工业废料的利用问题，众恒隆公司从欧洲引进了具有国际先进水平的回收提纯化验检测设备与技术，严格按照国家规定的环保达标标准进行处理。工业废水经过处理后进行循环再用，以实现废水零排放的目标。经过检测，其废水、废气和噪声都达到了达标排放的标准。为了实现环保与双碳目标，公司已于2023年4月按照国际公认的PAS 2060-碳中和承诺新标准，推出“零碳金条”。
Meanwhile, in order to address the issues of environmental waste, which containing precious metals in a sustainable manner scientifically, Zhonghenglong introduced advanced recovery and purification equipments and technologies from Europe for industrial waste treatment, strictly follow the national regulations in environmental protection. The wastewater after treated is then circulated for reuse to achieve the goal of zero wastewater discharge. All wastewater, waste gas and noise generated have met discharge standards. As a further step towards environmental protection and achieving carbon neutrality goals, Zhonghenglong has introduced “zero-carbon gold bars” in accordance with the internationally recognized PAS 2060 carbon-neutral commitment standard since April 2023.
众恒隆公司是上海黄金交易所综合类会员并连续多年荣获综合类优秀会员称号，以及上海黄金交易所标准金锭、标准金条、标准银锭提供企业。此外，众恒隆公司在国内各大行业协会中担任重要职务，如中国黄金协会常务理事、中国珠宝玉石首饰行业协会常务理事、广东省黄金协会副会长、深圳市黄金珠宝首饰行业协会副会长等。
Zhonghenglong is a comprehensive member of the Shanghai Gold Exchange and having consistently received outstanding ratings as an overall member. It is also recognized as a leading enterprise providing standard gold ingots, standard gold bars, and standard silver ingots for the Shanghai Gold Exchange. Additionally, Zhonghenglong plays important roles in major domestic industries associations, such as the executive member of China Gold Association, the executive member of the Gems and Jewelry Trade Association of China, Vice-Chairman of the Guangdong Gold Association, and Vice-Chairman of the Shenzhen Gold and Jewelry Association.
二、供应商情况概述
II. Condition overview of supplier
公司原料主要来源是从社会中回收的合质金/银，且均为国内供应商，没有识别出供应链相关联的零容忍风险和高风险。
The main sources of raw materials for the company are alloy gold/silver recycled from society , all of which are sourced from domestic suppliers. No zero-tolerance risks or high risks associated with the supply chain have been identified.
三、合规情况概述
III. Overview of compliance conditions
第一步 建立强大的公司管理体系
Step 1: Establish strong company management systems
合规声明：
Statement of Compliance :
我公司已经充分遵守第1步骤：建立强大的管理体系。
We have fully complied with Step 1: Establish strong management systems.
1、已制定黄金/白银负责任供应链尽职调查政策
1. A responsible supply chain due diligence policy for gold/silver has been established.
众恒隆根据《LBMA负责任黄金指南第9版》和《LBMA负责任白银指南第2版》的要求，已正式发布了《黄金/白银负责任供应链尽职调查政策》和《供应链尽职调查管理体系》。该政策符合《经济合作与发展组织关于来自受冲突影响和高风险区域矿石的负责任供应链尽职调查指南》（第三版）中的规定，并扩展至环境和可持续性责任。
Zhonghenglong has officially released the "Gold/Silver Responsible Supply Chain Due Diligence Policy" and "Supply Chain Due Diligence Management System" in accordance with the requirements of the "LBMA Responsible Gold Guidelines 9th Edition" and the "LBMA Responsible Silver Guidelines 2nd Edition". This policy aligns with the provisions outlined in the "OECD Guidelines for Responsible Supply Chain Due Diligence for Minerals from Conflict-Affected and High-Risk Areas" (3rd edition) and extends to environmental and sustainability responsibilities.
政策要求公司及其供应商严格遵守国家关于职工权利、环境保护、公平交易等各项法律法规，积极参与供应链尽职调查工作，确保矿产金/银、再生金/银来源符合要求，并作出承诺，拒绝来自侵犯人权、冲突地区、贿赂、洗钱、恐怖主义融资、非法开采、世界遗产遗址、采用汞开采等高风险地区的黄金、白银。
The policy requires the company and its suppliers to strictly comply with national laws and regulations regarding employee rights, environmental protection, fair trade, etc., actively participate in supply chain due diligence, ensure that the sources of mineral gold/silver and recycled gold/silver meet the requirements, and make a commitment to reject gold and silver from high-risk areas such as regions where human rights are violated, conflict zones, bribery, money laundering, terrorist financing, illegal mining, world heritage sites, and areas where mercury mining is employed.
众恒隆每年定期审查政策并按照要求进行更新，将政策在公司官网进行公布:https://www.zhlsy.com/zygg/info_17_itemid_99.html，公司通过官网、洽谈、合同附件、培训等方式，已充分将该政策传达给所有的黄金白银的交易方以及内部的各个职能部门，相关传达记录均已保留并存档。
Zhonghenglong conducts regular policy reviews annually and updates them as required. The policies are published on the company's official website at https://www.zhlsy.com/zygg/info_17_itemid_99.html. The company has fully communicated the policy to all gold and silver trading parties as well as various internal functional departments through various means such as the official website, negotiations, contract attachments, and training. Relevant communication records have been retained and archived.
2、已建立内部管理体系以支持供应链尽职调查
2. An internal management system has been established to support supply chain due diligence
众恒隆按照《供应链尽职调查管理体系》建立内部管理制度，包含《供应链风险管理流程》、《风险减缓管理办法》、《反洗钱反恐怖融资规章制度》《申诉机制》、《禁止使用强迫劳动的管理程序》等制度，设立尽职调查组织架构、明确职责和权限、供应链评估标准、调查处理程序、交易监控、文件保存、培训以及内部审查和管理评审制度，确保供应链尽职调查工作全面落地。
Zhonghenglong has established an internal management system in accordance with the "Supply Chain Due Diligence Management System", encompassing various systems such as the "Supply Chain Risk Management Process", "Risk Mitigation Management Measures", "Anti-Money Laundering and Anti-Terrorist Financing Regulations", "Grievance Mechanism", and "Management Procedures for Prohibiting the Use of Forced Labor". It has also set up a due diligence organizational structure, clarified responsibilities and authorities, supply chain evaluation standards, investigation and handling procedures, transaction monitoring, document preservation, training, as well as internal review and management review systems, to ensure the comprehensive implementation of supply chain due diligence work.
尽职调查组织架构由合规总监、合规风控官以及各部门的合规专员组成。合规风控官协助总监全面负责供应链尽职调查事务，健全完善供应链尽职调查管理体系，监督调查流程，协调处理调查中的异常情况。根据LBMA负责任黄金／白银指南文件，对相关员工进行培训。合规总监负责制定年度培训计划，2024年组织各相关部门人员共计32人进行了《供应链尽职调查管理》、《采掘业透明度倡议EITI原则及标准》、《反洗钱、反恐怖主义融资》以及《反强制劳动》的培训共4次，使相关责任人明白自己在尽职调查政策实施中的义务与职责，充分保证了尽职调查程序的运行和实施。
The organizational structure for due diligence comprises the Compliance Director, the Compliance Risk Officer, and compliance officers from various departments. The Compliance Risk Officer assists the Director in overseeing supply chain due diligence matters, refining and enhancing the supply chain due diligence management system, supervising the investigation process, and coordinating the handling of anomalies encountered during the investigation. In accordance with the LBMA's Responsible Gold/Silver Guidance, relevant employees are trained. The Compliance Director is responsible for formulating annual training plans. In 2024, a total of 32 personnel from various relevant departments were organized to participate in four training sessions on "Supply Chain Due Diligence Management," "Extractive Industries Transparency Initiative (EITI) Principles and Standards," "Anti-Money Laundering and Counter-Terrorism Financing," and "Anti-Forced Labor," enabling relevant responsible individuals to understand their obligations and duties in implementing due diligence policies, thereby fully ensuring the operation and implementation of the due diligence process.
合规专员由交割部、业务部、财务部、收发部、提纯质检中心、人事部指派，负责严格执行供应链尽职调查措施，零容忍和高风险供应链评判标准，收集并保存足够的供应链证明文件。业务部负责向供应商宣传《供应链尽职调查政策》，并将《承诺函》、《KYC》、《关于遵守禁止强迫劳动政策的声明》等相关资料连同合同传达给供应商，与供应商书面确认遵守公司相关的规定，负责对供应商进行扩大到环境和可持续性责任的尽职调查，完成供应商风险评估和定期重复评价，提交合规风控官和总监审批。收发、质检合规专员负责往来重量的记录、物料的标识和贮存，以及化验结果的保存。财务部负责往来账户的管理，确保交易过程通过合规渠道进行账务往来，禁止现金交易。
The compliance specialist is appointed by the Delivery Department, Business Department, Finance Department, Receiving and Dispatching Department, Purification Quality Inspection Center, and Human Resources Department. They are responsible for strictly implementing supply chain due diligence measures, adhering to zero-tolerance and high-risk supply chain evaluation standards, and collecting and preserving sufficient supply chain documentation. The Business Department is responsible for promoting the "Supply Chain Due Diligence Policy" to suppliers, communicating relevant documents such as the "Commitment Letter", "KYC", and "Declaration on Compliance with the Forced Labor Prohibition Policy" along with contracts to suppliers, confirming in writing the compliance with company regulations, conducting due diligence on suppliers' environmental and sustainability responsibilities, completing supplier risk assessments and regular re-evaluations, and submitting them for approval by the Compliance Risk Officer and Director. The Receiving and Dispatching, Quality Inspection Compliance Specialist is responsible for recording the weight of transactions, identifying and storing materials, and preserving laboratory test results. The Finance Department is responsible for managing the current accounts, ensuring that transactions are conducted through compliant channels, and prohibiting cash transactions.
人事部发布了关于禁止强迫劳动的政策声明以及公示申诉渠道让利益相关方报告有关强迫劳动的申诉，并于公司官网公示：
The Human Resources Department has issued a policy statement prohibiting forced labor and has publicized complaint channels for stakeholders to report complaints related to forced labor. The statement has been posted on the company's official website:
https://www.zhlsy.com/zygg/info_17_itemid_101.html
对外，公司制定了《关于遵守禁止强迫劳动政策的声明》要求所有供应商签署，确保我们采购的原料不涉及到任何的强迫劳工。
Externally, the company has formulated a "Declaration on Compliance with the Policy Prohibiting Forced Labor" and requires all suppliers to sign it, ensuring that the raw materials we procure do not involve any forced labor.
2024年度由人力资源主管组织了内部审查，众恒隆与每名入职员工均签订了劳动合同，按时支付薪资，公司的工会委员会代表员工维护合法权益，协调劳资关系。2024年度不存在任何强制劳动的行为。
In 2024, the HR supervisor organized an internal review. Zhonghenglong signed labor contracts with each newly hired employee, paid salaries on time, and the company's labor union committee represented employees to safeguard their legitimate rights and interests and coordinate labor-management relations. There was no forced labor in 2024.
公司获得了 ISO 14001 的证书，并制定了环境管理手册和计划来管理公司生产和运营中的环境风险，特别是对空，水和土地污染的管理。公司获得了当地环保局发放的《环境影响报告的批复》。公司建立了危险化学品的管理流程来对化学品的存储、操作和处理进行管理。公司的运营和采购不涉及任何的破换世界遗产保护、影响土著人民等。
The company has obtained the ISO 14001 certificate and formulated an environmental management manual and plan to manage environmental risks in its production and operations, particularly focusing on the management of air, water, and land pollution. The company has obtained the "Approval of Environmental Impact Report" issued by the local environmental protection bureau. The company has established a hazardous chemical management process to oversee the storage, handling, and disposal of chemicals. The company's operations and procurement do not involve any activities that would damage the protection of world heritage or affect indigenous peoples.
另外，公司制定了对合规人员的问责机制，要求相关专员定期向高级管理人员汇报供应链尽职调查情况。通过监督与检查，确保了供应链尽职调查工作得到有效的实施，规避高风险供应链的交易。
In addition, the company has established an accountability mechanism for compliance personnel, requiring relevant specialists to regularly report on the supply chain due diligence to senior management. Through supervision and inspection, the effective implementation of supply chain due diligence is ensured, and transactions involving high-risk supply chains are avoided.
众恒隆已于2024年12月27日由合规风控官组织进行了年度管理评审，并将管理评审结果汇报给了合规总监。
Zhonghenglong conducted an annual management review organized by the Compliance Risk Officer on December 27, 2024, and reported the results of the management review to the Compliance Director.
3、已建立了强有力的供应链可追溯体系
3. A strong supply chain traceability system has been established
3.1供应链可追溯体系
3.1 Supply chain traceability system
在业务开展中，通过收集尽职调查问卷（KYC）并审查供应商资质、营业执照、身份验证资料、业务运营、股东信息和物料来源等，供应商资信调查通过后签订合同以及承诺书，承诺原料合法，符合LBMA负责任黄金/白银采购政策；供应商送的每一批来料，都有来料验收单，表明产品类型、熔前熔后重量等，验收人员和供应商签字确认；熔炼取样化验，最后形成标准金银锭，分配编号，通过上海黄金交易所进行交易。
In the process of business development, through collecting KYC (Know Your Customer) questionnaires and reviewing supplier qualifications, business licenses, identity verification documents, business operations, shareholder information, and material sources, suppliers are subject to credit investigation. After passing the investigation, contracts and letters of commitment are signed, promising that the raw materials are legal and comply with the LBMA's responsible gold/silver procurement policy. Each batch of incoming materials sent by the supplier is accompanied by an incoming material acceptance form indicating the product type, weight before and after melting, etc., which is signed and confirmed by the acceptance personnel and the supplier. After melting, sampling and testing, standard gold and silver ingots are formed, assigned numbers, and traded through the Shanghai Gold Exchange.
公司对所有交易情况进行监督，确保交易与供应链调查一致。使用线上管理系统以及电子台账记录黄金、白银来料，确保物料可追溯。对于所有的原料入库均保留完整的单据资料，对于入库的金/银料保存有入库单、检验单、财务凭证等。明确各个部门应在日常工作中收集保存的资料，由业务部、检测中心、财务部对相关单据进行保存，并定期将相关资料送至档案室进行存档，保存期限均高于5年。
The company supervises all transactional activities to ensure consistency with supply chain investigations. It utilizes an online management system and electronic ledgers to record gold and silver incoming materials, ensuring material traceability. Complete documentation is maintained for all raw material inventory entries, including receipts, inspection forms, financial vouchers, etc. for gold/silver materials. Each department is clarified on the information they should collect and retain in their daily work. The Business Department, Testing Center, and Finance Department are responsible for preserving relevant documents and regularly submitting them to the archives for filing. The retention period is over 5 years.
3.2通过官方银行渠道收付款
3.2 Receive and make payments through official banking channels
公司所有业务均通过官方银行渠道收付款，没有任何现金交易。全部由业务部门发起资金事项联签程序，通过公司基本户所在的银行网上付款，并打印银行回单作为凭证附件保留。财务合规专员负责交易监控工作，对不符或以任何形式疑似不符的交易背景进行检查，并报告合规总监。2024年度没有发现不符及任何形式不符的情况。
All business transactions of the company are conducted through official banking channels, with no cash transactions involved. All fund transactions are initiated by the business department and undergo a joint signing process. Payments are made online through the bank where the company's primary account is located, and bank receipts are printed and retained as voucher attachments. The financial compliance specialist is responsible for transaction monitoring, inspecting any discrepancies or transactions suspected of being discrepant in any form, and reporting to the compliance director. In 2024, no discrepancies or any form of discrepancies were found.
4、强化合作，协助黄金/白银供应交易方建立尽职调查能力
4. Strengthen cooperation and assist gold/silver supply trading parties in building due diligence capabilities
公司将黄金、白银供应链的政策与要求、电子培训教材等通过电子邮件、短信、社交软体等方式传达给供应商。2024年对供应商进行了线上培训和经验分享，以确保他们了解供应链政策要求，协助供应商更大程度地建立尽职调查能力, 遵守《经济合作与发展组织关于来自受冲突影响和高风险区域矿石的负责任供应链尽职调查指南》并扩展至环境和可持续性责任。
The company communicates policies and requirements for the gold and silver supply chain, as well as electronic training materials, to suppliers through various means such as email, text messages, and social media. In 2024, online training and experience sharing were conducted for suppliers to ensure they understand the supply chain policy requirements, assist suppliers in building due diligence capabilities to a greater extent, comply with the "OECD Guidance on Due Diligence for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas," and extend to environmental and sustainability responsibilities.
公司2024年度签约的所有供应商均签署了相关《承诺书》，承诺黄金、白银来源合法合规，拒绝零容忍和高风险, 严格遵守合同和法律的规定，EITI相关原则以及反洗钱反恐怖融资、反强制劳动等。
All suppliers contracted by the company in 2024 have signed the relevant "Letter of Commitment", pledging to source gold and silver legally and compliantly, reject zero tolerance and high risks, strictly adhere to contract and legal provisions, as well as the EITI principles, anti-money laundering, anti-terrorist financing, anti-forced labor, etc.
合规总监每季度组织会议，各部门合规专员参加，就当季供应链相关信息进行内部报告。沟通事项包括日常尽职调查管理工作内容及原料采购部门对于当期合作供应商尽职调查工作文件，对于尽调工作开展不完善的供应商进行二次尽调，必要时派遣人员进行供应商辅导，提高供应商对其上下游的尽职调查能力。
The Compliance Director organizes meetings quarterly, with the participation of compliance officers from each department, to conduct internal reports on supply chain-related information for the current quarter. The communication items include daily due diligence management work content and the raw material procurement department's due diligence work documents for current cooperative suppliers. For suppliers with incomplete due diligence work, a second round of due diligence is conducted. If necessary, personnel are dispatched to provide guidance to suppliers to improve their due diligence capabilities for their upstream and downstream partners.
5、建立沟通申诉机制，促进相关方和员工的参与。
5. Establish a communication and grievance mechanism to promote the participation of relevant parties and employees
众恒隆设立了申诉工作处理小组，成员由合规总监、合规风控官、合规专员组成，工作组负责对申诉的处理。
Zhonghenglong has established a complaint handling team, consisting of the Compliance Director, Compliance Risk Control Officer, and Compliance Specialist. This team is responsible for handling complaints.
众恒隆将申诉渠道在官网公示：
Zhonghenglong will publicize the complaint channel on its official website:
https://www.zhlsy.com/zygg/info_17_itemid_100.html ，允许员工和外部利益相关者表达对供应链或任何新的识别风险的担忧。
https://www.zhlsy.com/zygg/info_17_itemid_100.html,allow employees and external stakeholders to express their concerns regarding supply chain or any newly identified risks.
公司已建立了完善的申诉机制并严格执行，在整个申诉过程中保护员工隐私，对举报人信息保密，杜绝任何行为的打击报复。
The company has established a comprehensive grievance mechanism and strictly implemented it, protecting employee privacy throughout the grievance process, keeping the information of the reporter confidential, and eliminating any retaliation against any behavior.
申诉处理小组在收到申诉后 10 个工作日内确认收到申诉，并根据申诉内容判断确认接受或拒绝申诉。如果申诉被拒绝，应向申诉方提供书面解释，并记录在案。对特殊重要申诉信息由申诉处理小组在决定受理后30个工作日内对申诉进行调查、审查和裁决。申诉处理小组应采取合理措施，包括召开一次或多次会议，以作出合理决定。这类措施的例子包括:
The grievance handling team shall confirm receipt of the grievance within 10 working days after receiving it and decide whether to accept or reject the grievance based on its content. If the grievance is rejected, a written explanation shall be provided to the complaining party and recorded. For particularly important grievance information, the grievance handling team shall investigate, review, and adjudicate the grievance within 30 working days after deciding to accept it. The grievance handling team shall take reasonable measures, including holding one or more meetings, to make reasonable decisions. Examples of such measures include:
（1）咨询专家；
（2）请求申诉方或其他人提供更多信息。
（3）申诉决定以书面形式传达给申诉方，申诉决定应包含：
① 申诉决定
② 申诉决定是如何以及何时做出的
③ 任何新的建议
(1) Consult experts;
(2) Request the appealing party or other individuals to provide additional information.
(3) The appeal decision shall be communicated to the appealing party in writing, and the appeal decision shall include:
① Appeal decision
② How and when was the appeal decision made
③ Any new suggestions
申诉小组定期总结，并在公司官网公示申诉内容、处理方式及处理结果，同时严格保护申诉人隐私信息。截至2024年底申诉小组没有收到内部员工或供应商的风险申诉信息。
The grievance team regularly summarizes and publicizes the grievance content, handling methods, and results on the company's official website, while strictly protecting the privacy information of the complainants. As of the end of 2024, the grievance team has not received any risk-related grievance information from internal employees or suppliers.
第二步 供应链风险的识别与评估
Step 2: Identify and assess risk in the supply chain
合规声明：
Statement of Compliance:
我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。
We have fully complied with Step 2: Identify and assess risk in the supply chain.
1、已制定识别供应链风险的程序
1. Procedures for identifying supply chain risks have been established
根据《经济合作与发展组织关于来自受冲突影响和高风险区域矿石的负责任供应链尽职调查指南》，黄金/白银冶炼公司应识别相关风险包括密切关注来自侵犯人权、武装冲突、非法开采、开采利用汞以及源于世界遗产遗址等地区的黄金和白银，以及用于贿赂、洗钱、恐怖主义融资等行为的黄金/白银。公司为每个供应商建立供应商档案，根据风险状况进行了调查，在与其签合同之前完成供应商档案的建立工作。
According to the "OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas", gold/silver smelting companies should identify relevant risks, including closely monitoring gold and silver sourced from areas affected by human rights violations, armed conflicts, illegal mining, mining with mercury, and world heritage sites, as well as gold/silver used for bribery, money laundering, terrorist financing, and other activities. The company establishes supplier profiles for each supplier, conducts investigations based on risk status, and completes the establishment of supplier profiles before signing contracts with them.
公司制定了受冲突影响和高风险区域（CAHRA）定义流程与判定标准，并对识别出来的风险规定了处理程序，充分对供应链中的风险进行识别、评估和缓解。
The company has established a process and criteria for defining Conflict-Affected and High-Risk Areas (CAHRA), and has outlined procedures for handling identified risks, ensuring thorough identification, assessment, and mitigation of risks within the supply chain.
2024年度，公司主要从国内供应商采购当地金银回收料，根据受冲突影响和高风险区域的识别程序判定，未识别出零容忍和高风险。
In 2024, the company primarily sourced local gold and silver recycling materials from domestic suppliers. Based on the identification process for conflict-affected and high-risk areas, no zero-tolerance or high-risk issues were identified.
2、评估供应链风险
2. Evaluate supply chain risks
公司设立风险评估小组，由业务部、收发部、财务部、提纯检测中心、质检中心经验丰富、能力出众的员工代表组成，对各部门涉及的供应链风险进行识别和评估。
The company has established a risk assessment team, consisting of representatives from the Business Department, Receiving and Dispatching Department, Finance Department, Purification Testing Center, and Quality Inspection Center, who are experienced and capable employees. The team is responsible for identifying and assessing supply chain risks involved in various departments.
2.1供应链调查
2.1 Supply chain investigation
公司通过以下措施对供应链进行尽职调查，并完成了尽职调查问卷：
The company conducted due diligence on the supply chain through the following measures and completed the due diligence questionnaire:
（1）资质验证。要求合作方提供相应的资质证明文件，营业执照，身份证明文件，矿山供应商还需要提供采矿许可证、环评认证以及关注矿工佩戴劳保、健康安全交易、职业病体检等。
（2）建立供应商档案。对供应商基本情况、股东信息、提供原料类型及产地、计划精炼贵金属类型、结算方式等信息进行详细调查，并尽可能的将供应链调查向供应商的上游延伸，最终确定其风险等级。
（3）建立来料登记簿。对供应商当批次来料的日期、重量、原料来源、主要上游供应商进行调查登记，判断其来料风险等级。
（4）建立供应商年度调研报告工作流程。对除银行之外的全年黄金、白银来料量前三名进行专项尽职调查，形成供应商年度调查报告，内容包括：供应商概况、资质信息、来料类型及所占比重、上游供应商概况及名单、原料产地及品种、是否存在国外黄金、白银等。
（5）对产品的去向进行尽职调查。针对黄金、白银销售业务，对一次性购买黄金重量超过30公斤或累计购买超过100公斤的客户，一次性购买白银重量超过2000公斤或累计购买超过5000公斤的客户，进行产品去向尽职调查工作。
充分发挥网络作用，利用天眼查、中国审判信息网等网站对供应商资质情况、失信情况、诉讼情况、处罚情况进行查询，对涉及高风险行为的供应商终止合作。
(1) Qualification verification. Partners are required to provide corresponding qualification documents, business licenses, and identity documents. Mine suppliers also need to provide mining licenses, environmental impact assessment certifications, and ensure that miners wear labor protection gear, conduct health and safety transactions, and undergo occupational disease physical examinations.
(2) Establish supplier profiles. Conduct detailed investigations on suppliers' basic information, shareholder information, types and origins of raw materials provided, types of precious metals planned to be refined, settlement methods, and other relevant information. Extend the supply chain investigation upstream to suppliers as much as possible, and ultimately determine their risk levels.
(3) Establish an incoming material registration book. Investigate and register the date, weight, raw material source, and main upstream suppliers of the current batch of incoming materials from suppliers, and assess their risk level.
(4) Establish a workflow for annual supplier research reports. Conduct special due diligence on the top three suppliers of gold and silver materials (excluding banks) throughout the year, and form an annual supplier survey report. The report should include: supplier profile, qualification information, types of materials supplied and their proportions, profile and list of upstream suppliers, origin and variety of raw materials, and whether there is foreign gold, silver, etc.
(5) Conduct due diligence on the whereabouts of products. For gold and silver sales business, conduct due diligence on the whereabouts of products for customers who purchase more than 30 kilograms of gold in one go or accumulate purchases exceeding 100 kilograms, and for customers who purchase more than 2,000 kilograms of silver in one go or accumulate purchases exceeding 5,000 kilograms.
Fully leverage the role of the internet, utilize websites such as Tianyancha and China Judgment Online to conduct inquiries into suppliers' qualifications, credit status, litigation history, and punishment records, and terminate cooperation with suppliers involved in high-risk behaviors.
2.2 CAHRA的判定。公司制定了CHARA的定义流程。公司采用以下资源和标准判定CAHRA：
2.2 Judgment of CAHRA. The Company developed definition processes for CHARA. The following resources and criteria are applied to determine CAHRA by the Company:
脆弱国家指数（2022） Fragile States Index（2022）
(1) Fragile States Index (2022)
全球冲突晴雨表（2021版）
(2) Global Conflict Barometer (2021)
联合国人类发展指数（UN Human Development Indicator）
(3) UN Human Development Indicator
多德-弗兰克法案第 1502条列“指明国家）
(4) “Designated Countries” listed in the Section 1502 of the Dodd-Frank Act
欧盟根据 2017/821条例提供的CAHRA清单
(5) CAHRA List provided by the European Union under Regulation 2017/821
联合国人权事务高级专员办事处或同等机构
(6) The Office of the High Commissioner for Human Rights (UN Human Rights) or equivalent institutions
金融行动特别工作组 (FATF) 的报告(包括相关国家/地区报告)
(7) Financial Action Task Force (FATF) Reports (including reports about relevant countries/regions)
关于高风险黄金中心/转运中心和高洗钱风险国家/地区的可靠市场情报
(8) Reliable market intelligence on high-risk gold centers/transit centers and countries/regions with high risks of money laundering
（9）制裁名单：（英国、美国、欧盟、联合国及相关制裁清单）
（9）Sanctions lists (US, UK, EU, UN, and relevant sanctions lists)
2.3 零容忍和高风险供应链
2.3 Zero tolerance and high-risk supply chains
根据LBMA和OECD相关规定，结合公司实际情况，特规定如下零容忍和高风险供应链评判标准：
Based on the relevant regulations of LBMA & OECD and combined with the actual situation of the Company, the following criteria for judging zero-tolerance and high-risk supply chains are specially stipulated:
零容忍风险：
Zero-tolerance risks:
矿山金/银来自被指定为世界遗产地的地区。
(1) Mined gold/silver comes from areas designated as World Heritage Sites.
以违反国际制裁(包括但不吸纳与联合国、欧盟、英国和美国制裁)的方式采购矿山金/银、再生金/银。
(2) Purchasing mined gold/silver and recycled gold/silver in a manner that violates international sanctions (including but not inclusive of sanctions imposed by the United Nations, the European Union, the United Kingdom, and the United States).
矿山金/银、再生金/银的供应对手方、其他已知的上游公司或其 UBO 是已知的洗钱者、欺诈者或恐怖分子，或曾严重侵犯人权，或直接或间接支持非法非国家武装组织。
(3) Suppliers of mine gold/silver, recycled gold/silver, other known upstream companies or their UBOs are known as money launderers, fraudsters or terrorists, or have seriously violated human rights, or directly or indirectly supported illegal non-state armed groups.
高风险标准：
High-risk criteria：
高风险的位置
High-risk locations
(1)黄金／白银来自受冲突影响和高风险地区 (CAHRA) 或曾在该等地区过境或通过该等地区运输。
(2)黄金／白银据称来自已知或合理怀疑来自 CAHRA 的黄金/白银过境的国家/地。
(3)黄金／白银据称来自已知储量、可能资源或预期产量有限的国家/地区。
(1) Gold/silver comes from conflict-affected and high-risk areas (CAHRA) or has transited or been transported through such areas.
(2) The gold/silver is allegedly sourced from countries/regions where gold/silver transit is known or reasonably suspected to originate from CAHRA.
(3) Gold/silver is allegedly sourced from countries/regions with known reserves, potential resources, or expected limited production.
高风险供应商/交易方或其他已知上游公司：
High risk suppliers/parties or other known upstream companies:
(1)在具有高洗钱风险的国家/地区运营
(2)具有符合基于位置高风险标准的股东或最终收益方或其他黄金白银供应权益
(3)具有身为政治人物最终收益方
（4）从事高风险商业活动(如军火、赌博和娱乐业、古董和艺术、教派及其领袖)
（5）已知在过去12 个月曾从高风险国家/地区采购黄金/白银
（6）与供应链中的供应商或对手方之间有重要且无法解释的运输路线。
（7）提供的文件有重大差异/不一致，或拒绝提供所要求的文件。
(1) Operating in countries/regions with high money laundering risks
(2) Having shareholders or ultimate beneficiaries or other gold and silver supply interests that meet the high-risk criteria based on location
(3) Being the ultimate beneficiary as a politician
(4) Engaging in high-risk commercial activities (such as arms trading, gambling and entertainment industry, antiques and art, religious sects and their leaders)
(5) It is known that gold/silver has been purchased from high-risk countries/regions in the past 12 months
(6) There are significant and unexplained transportation routes with suppliers or counterparties in the supply chain.
(7) There are significant discrepancies/inconsistencies in the provided documents, or the requested documents are refused to be provided.
高风险物料：
High-risk materials :
矿山金/银:
Mined gold/silver
采购自ASM
(1)Purchased from ASM
(2)使用汞生产
(2 )Produced with mercury
(3)造成灾难性伤害或高度不利的ESG 因素(在公司尽可能能够识别的范围内)
(3) Catastrophic injury or highly adverse ESG factors (to the extent that the Company is able to identify them)
再生金/银
Recycled gold/silver
(1)来自具有高风险供应链的中间精炼厂或交易商或从具有高风险供应链的中间精炼厂采购的交易对手方
(1)Transaction counterparties from intermediate refineries or traders with high-risk supply chains or purchases from intermediate refineries with high-risk supply chains
(2)无法证明其为再生金/再生银
(2)Unable to prove that to be recycled gold/silver
2.4 ESG因素
(1)遵守经营所在国/地区的环境、健康、安全和劳工法规/政策；
(2)环境管理，包括
空气、水、土地污染及事件管理计划；
水资源管理，特别是在缺水的地区
未经授权从世界遗产地和保护区采购
(3)危险化学品（包括汞和氰化物）的储存、处理和处置;
(4)劳工管理，包括薪酬、工作时间、集体谈判、歧视、多样性、纠纷和工人权益保障
(5)社区参与和管理方案（土地征用和社区重新安置、文化遗产和土著居民、关闭规划和保护弱势群体）
(6)管理商业诚信和道德行为，并支持实施相关倡议（如采掘业透明度倡议EITI)
2.4 ESG factors
(1) Comply with the environmental, health, safety, and labor regulations/policies of the country/region where the business operates;
(2) Environmental management, including
a. Air, water, and land pollution, as well as incident management plans;
b. Water resource management, especially in water-scarce regions
c. Unauthorized procurement from World Heritage sites and protected areas
(3) Storage, handling, and disposal of hazardous chemicals, including mercury and cyanide;
(4) Labor management, including compensation, working hours, collective bargaining, discrimination, diversity, disputes, and protection of workers' rights and interests
(5) Community participation and management plan (land acquisition and community resettlement, cultural heritage and indigenous people, closure planning, and protection of vulnerable groups)
(6) Manage business integrity and ethical conduct, and support the implementation of relevant initiatives (such as the Extractive Industries Transparency Initiative, EITI)
2.5 关于强化尽职调查的说明
众恒隆通过KYC对上游原料供应商进行尽职调查，主要包括供应商基本信息、业务活动、供应商股东和受益人信息、物料来源、负责任采购建立和实施情况、ESG基本情况、反洗钱、反贿赂和反恐怖主义融资的相关规定，强迫劳工和物料运输情况。结合制定的《风险评估表》对交易方进行了CAHRAs识别和风险识别。一旦供应链中有任何的高风险被识别出来，采用设计的《现场考察表》对涉及高风险的供应商通过线上和现场拜访的形式进行加强型尽职调查，如可能，会聘请有资质的公司执行，以确定并评估风险。
若触发加强型尽职调查，精炼商必须对黄金产地进行实地调查/考察，
实地考察应至少包括但不限于：
• 证实记录在案的 KYC 信息；
• 重点调查威胁融资风险以及具体的供应链尽职调查结果 ；
• 在任何交易发生前进行，或至少在业务关系开始后六个月内进行；
• 由与供应商没有任何利益冲突的胜任员工或独立的第三方顾问进行。 进行实地考察的人员必须承诺如实、准确地报告；
• 在适用的情况下，咨询相关的内部和外部利益相关方(例如，地方或中央主管机构、上游公司、国际或民间社会组织或受影响的第三方)；
• 在实地考察报告模板中完整和准确地记录；
• 根据问题的数量和严重程度予以跟进，并记录在改进计划中。
基于所接收的含金材料类型，加强型尽职调查措施可在实地考察期间或远程开展。
有关高风险LSM黄金供应链的EDD措施应包括但不限于：
•对从矿山到精炼厂的基于冲突地点的高风险供应链中的每一家公司(包括黄金生产商、中间商、黄金交易商和出口商以及运输商)按比例开展 KYC 活动
•了解在矿区和供应链中提供的公共或私人安保服务的性质(包括根据《安全和人权自愿原则》对安保人员进行筛选和培训)。
•考虑矿区和运输路线军事化以及为非法非国家武装组织或公共或私人安全部队提供直接或间接支持的风险。
•确定任何一方在矿区、运输路线和黄金交易及/或出口环节犯下任何严重侵犯人权行为的风险。
• 根据生产者特许权估计手工和小规模采矿业者(如有)人数，并确认其合法 ASM 身份、考虑第三方来源的黄金在不知情的情况下被引入生产商运营过程的风险 、考虑生产者和 ASM 参与者之间的关系，以识别冲突或紧张的实例。
• 在适用的情况下，完成税务和使用费合规的自我声明。
• 除非法律禁止，否则，了解从提取开始在供应链的所有点对政府机构和官员、公共或私人安全部队或其他武装组织作出的支付或补偿。
• 考虑就初步尽职调查中确定的问题遵守环境、健康、安全、劳工、社区、商业诚信法规、政策和最佳实践的情况。
有关高风险 ASM 黄金供应链的 EDD 措施应包括但不限于：
• 对从矿石加工厂或黄金汇集商到精炼商的基于地点的高风险供应链中的每一家公司(包括合作社、黄金交易商和出口商以及运输商)按比例开展 KYC 活动
• 收集关于 ASM 供应商的政府、政治或军事联系的信息（包括任何与非国家武装团体或公共或私人安全部队关系的报告实例）。
• 收集有关任何一方在矿区、运输路线和黄金交易及/或出口环节犯下任何严重侵犯人权行为的证据。
• 考虑矿区和运输路线军事化以及为非法非国家武装组织或公共或私人安全部队提供直接或间接支持的风险。
• 考虑到 LSM 和 ASM 之间的任何冲突或紧张关系。
• 考虑有关来自其他来源的黄金在不知情的情况下被引入黄金供应链及/或虚假陈述的风险、怀疑或报告。
• 考虑汞的储存、处理和使用以及对环境和工人健康的影响。
• 评估与最初尽职调查中确定的问题相关的其他 ESG 风险管理实践的适当性。
• 除非法律禁止，否则，了解从提取开始在供应链的所有点对政府机构和官员、公共或私人安全部队或其他武装组织作出的支付或补偿。
有关来自中间精炼商的高风险再生金的 EDD 措施应包括但不限于：
• 提供关于中间精炼商的负责任采购实践的独立鉴证报告：
包括对遵循经合组织负责任采购计划的评估
由中间精炼商委托开展
在新的业务关系开始之前或在精炼商实施本指南的合理时间框架内完成
•中间精炼商的最终实益拥有人的身份
2024年度，业务部门按《供应链尽职调查管理办法》进行合规调查，合规总监负责审查尽职调查的真实性、有效性和完整性。2024年所有物料均来自于中国，且中国未被识别为CAHRAs, 也未识别出供应商和其供应链中有零容忍风险，高风险以及强迫劳工的风险，所以未触发强化尽职调查。
2.5 Explanation on Strengthening Due Diligence
Zhonghenglong conducts due diligence on upstream raw material suppliers through KYC, mainly covering basic supplier information, business activities, information on supplier shareholders and beneficiaries, material sources, establishment and implementation of responsible procurement, basic ESG conditions, relevant regulations on anti-money laundering, anti-bribery, and anti-terrorist financing, as well as forced labor and material transportation conditions. Based on the developed "Risk Assessment Form", CAHRAs identification and risk identification are carried out for trading partners. Once any high risks are identified in the supply chain, the designed "On-site Inspection Form" is used to conduct enhanced due diligence on suppliers involved in high risks through online and on-site visits. If possible, qualified companies will be hired to perform the inspection to identify and assess risks.
(1) If enhanced due diligence is triggered, refiners must conduct on-site investigations/inspections of gold production sites,
The field inspection should include at least, but not limited to:
• Verify the documented KYC information;
• Focus on investigating the risk of threat financing and specific supply chain due diligence results;
• Conduct it before any transaction takes place, or at least within six months after the commencement of the business relationship;
• Conducted by competent employees or independent third-party consultants who have no conflict of interest with the supplier. Personnel conducting on-site inspections must commit to reporting truthfully and accurately;
• Where applicable, consult relevant internal and external stakeholders (e.g., local or central authorities, upstream companies, international or civil society organizations, or affected third parties);
• Record completely and accurately in the field inspection report template;
• Follow up on issues based on their quantity and severity, and record them in the improvement plan.
(2) Based on the type of gold-bearing material received, enhanced due diligence measures can be conducted during on-site inspections or remotely.
EDD measures pertaining to high-risk LSM gold supply chains should encompass, but are not necessarily limited to:
• Conduct KYC activities proportionally for every company in the high-risk supply chain based on conflict locations, from mines to refineries, including gold producers, intermediaries, gold traders and exporters, as well as transporters
• Understand the nature of public or private security services provided in mining areas and supply chains (including screening and training of security personnel in accordance with the Voluntary Principles on Security and Human Rights).
• Consider the risks of militarizing mining areas and transportation routes, as well as providing direct or indirect support to illegal non-state armed groups or public or private security forces.
• Identify the risk of any serious human rights violations committed by any party in the mining area, transportation routes, and gold trading and/or export processes.
• Estimate the number of artisanal and small-scale miners (if any) based on the concessions of producers, confirm their legal ASM status, consider the risk of gold from third-party sources being unknowingly introduced into the producer's operation process, and take into account the relationship between producers and ASM participants to identify instances of conflict or tension.
• Complete self-declaration of tax and royalty compliance, where applicable.
• Unless prohibited by law, be aware of any payments or compensation made to government agencies and officials, public or private security forces, or other armed organizations at all points in the supply chain, starting from extraction.
• Consider compliance with environmental, health, safety, labor, community, business integrity regulations, policies, and best practices regarding the issues identified during the preliminary due diligence.
EDD measures pertaining to high-risk ASM gold supply chains should encompass, but are not limited to:
• Conduct KYC activities proportionally for each company in the high-risk supply chain based on location, ranging from ore processing plants or gold aggregators to refiners, including cooperatives, gold traders and exporters, as well as transporters
• Collect information on the government, political, or military connections of ASM suppliers (including any reported instances of relationships with non-state armed groups or public or private security forces).
• Collect evidence of any serious human rights violations committed by any party in the mining areas, transportation routes, and gold trading and/or export processes.
• Consider the risks of militarization of mining areas and transportation routes, as well as the provision of direct or indirect support to illegal non-state armed groups or public or private security forces.
• Take into account any conflicts or tensions between LSM and ASM.
• Consider risks, suspicions, or reports regarding the unintentional introduction of gold from other sources into the gold supply chain and/or misrepresentation.
• Consider the storage, handling, and use of mercury, as well as its impact on the environment and workers' health.
• Evaluate the appropriateness of other ESG risk management practices related to the issues identified during the initial due diligence.
• Unless prohibited by law, obtain information on payments or compensation made to government agencies and officials, public or private security forces, or other armed organizations at all points in the supply chain, starting from extraction.
EDD measures pertaining to high-risk recycled gold sourced from intermediate refiners should encompass, but are not limited to:
• Provide independent assurance reports on the responsible sourcing practices of intermediate refiners:
Including the assessment of compliance with the OECD's Responsible Procurement Initiative
Conducted by an intermediate refiner
Complete before the commencement of a new business relationship or within a reasonable timeframe for refiners to implement this guideline
The identity of the ultimate beneficial owner of the intermediate refiner
In 2024, the business department conducted compliance investigations in accordance with the "Supply Chain Due Diligence Management Measures". The compliance director was responsible for reviewing the authenticity, effectiveness, and integrity of the due diligence. In 2024, all materials were sourced from China, and China was not identified as a CAHRA. No suppliers or their supply chains were identified as posing zero-tolerance risks, high risks, or forced labor risks, thus no enhanced due diligence was triggered.
第三步 设计并实施策略来应对已识别的风险
Step 3: Design and implement a management strategy to respond to identified risks
合规声明与要求：
Statement of Compliance:
我公司已经充分遵守第3步：设计和实施风险管理体系以应对识别的风险。
We have fully complied with Step 3: Design and implement a management system to respond to identified risks.
1、制定风险管理策略
众恒隆制订了《供应链风险减缓管理办法》，约定了在供应商评估及日常业务开展过程中发现的违规情况的处理方式；规范了发现供应商存在高风险行为的处理步骤；明确了尽职管理各级组织、人员的责任，以及向高级管理人员汇报实施进度等。
如果供应链中识别出零容忍的风险，不得与其建立业务关系，或必须立即终止现有的业务关系。
当识别出以下问题，公司应立即停止与交易方的合作关系：
1. Develop risk management strategies
Zhonghenglong has formulated the "Supply Chain Risk Mitigation Management Measures", which stipulates the handling methods for violations found during supplier evaluation and daily business operations; standardizes the steps for handling high-risk behaviors identified among suppliers; and clarifies the responsibilities of organizations and personnel at all levels in due diligence management, as well as the reporting of implementation progress to senior management.
If zero-tolerance risks are identified in the supply chain, no business relationship should be established with such parties, or existing business relationships must be terminated immediately.
Upon identifying the following issues, the company should immediately terminate its cooperative relationship with the trading party:
1.洗钱
1. Money laundering
2.恐怖主义融资
2. Terrorist financing
3.严重侵犯人权
3. Serious violations of human rights
4.直接或间接支持非国家武装组织
4. Direct or indirect support for non-state armed groups.
5.谎报矿物产地
5. Misrepresentation of mineral origin
6、具有灾难性的ESG影响
6. Catastrophic ESG effects
当实施加强型尽职调查后，对以上问题有合理的怀疑，公司应立即暂停与交易方的合作关系，一旦在6个月内从供应商初获取对上述怀疑的反驳性证明和回应，即可由合规总监审批后恢复业务关系。
2、对评估为高风险的供应商采取以下措施：
(1)实施加强型尽职调查
(2)不与该供应商建立业务关系
（3）与已建立业务关系的供应商暂停合作，如果在6个月内，供应商提供反驳性证明和回应，且能再次符合公司对风险的评估要求，重新建立合作关系；
（4）与已建立业务关系的供应商暂停业务，如果在6个月内，供应商不能符合公司对风险的评估要求，将终止合作。
After conducting enhanced due diligence, if there are reasonable doubts regarding the aforementioned issues, the company should immediately suspend its cooperation with the trading party. Once rebuttal evidence and responses to the aforementioned doubts are obtained from the supplier within six months, the business relationship can be resumed upon approval by the compliance director.
2. The following measures shall be taken against suppliers assessed as high-risk:
(1) Conduct enhanced due diligence
(2) Not establishing business relations with this supplier
(3) Suspend cooperation with suppliers who have established business relationships. If, within six months, the supplier provides rebuttal evidence and a response, and can once again meet the company's risk assessment requirements, the cooperation relationship can be re-established;
(4) Suspend business with suppliers who have established business relationships, and terminate cooperation if they fail to meet the company's risk assessment requirements within 6 months.
当实施加强型尽职调查的结果不完全令人满意，或认为虽然存在以下情况，但供应商已作出合理和善意的努力，公司可继续与供应商合作，并与供应商一起制定并执行改善计划：
When the results of the enhanced due diligence are not entirely satisfactory, or when it is believed that the supplier has made reasonable and good-faith efforts despite the following circumstances, the company may continue to cooperate with the supplier and work together with the supplier to develop and implement an improvement plan:
（1）贿赂
（1） Bribery
（2）非欺诈性误报矿物产地
（2） Non-fraudulent misreporting of mineral origin
（3）未支付应付政府的税收、费用和特许权使用费
（3）Failure to pay taxes, fees and royalties due to the government
（4)严重违反与环境、健康、安全、劳工和社区有关的地方立法，及/或存在极有可能造成高度不利影响的 ESG 风险。
(4)Serious violation of environmental, health, safety, labor and community-related local methods, which is highly likely to cause serious adverse effects.
对任何识别出的风险，公司将会与交易方和利益相关方进行沟通并制定相应的风险缓解计划。风险缓解计划实施后，相关的风控专员就供应商提供材料证据与反馈的过程进行记录，对供应商所提交的材料进行核实与审查，确保风险缓解进展与实施的有效性。
众恒隆严格遵守LBMA负责任黄金/白银指南，设计并实施策略来应对已识别的风险。2024年未发现零容忍和高风险供应链，不需要做风险缓解措施。
For any identified risks, the company will communicate with trading partners and stakeholders and develop corresponding risk mitigation plans. After the implementation of the risk mitigation plan, the relevant risk control specialist will record the process of suppliers providing material evidence and feedback, verify and review the materials submitted by suppliers, and ensure the effectiveness of risk mitigation progress and implementation.
Zhonghenglong strictly adheres to the LBMA's Responsible Gold/Silver Guidelines, devising and implementing strategies to address identified risks. In 2024, no zero-tolerance or high-risk supply chains were identified, thus no risk mitigation measures were required.
3、已建立风险评估报告制度
公司建立风险评估报告制度，每年合规专员对部门尽职调查工作上报合规总监。2024年度的风险识别和评估结果已汇报给合规总监并保留了相应的传达记录。
3. A risk assessment reporting system has been established
The company has established a risk assessment reporting system, where the compliance specialist reports the due diligence work of each department to the compliance director annually. The risk identification and assessment results for the year 2024 have been reported to the compliance director, and corresponding communication records have been retained.
第四步 独立第三方审计
Step 4 Arrange for an independent third-party audit of the supply chain due diligence.
合规声明：
Statement of Compliance :
我公司已经充分遵守第4步：安排供应链尽职调查的独立第三方审计。
We have fully complied with Step 4: Arrange for an independent third-party audit.
公司严格遵守对精炼商的尽职调查实践开展独立的第三方审计的要求。自2020年开始，公司已委托RCS Global进行LBMA相关负责任合规审计并依照审计要求提供相关数据及文件。
The Company has strictly complied with the requirements of Step 4 of the LBMA Responsible Gold and Silver Guidance “conduct an independent third-party audit of the refiner’s due diligence practice” and have appointed RCS Global to audit the supply chain due diligence system of the Company in since 2020.
第五步 供应链尽职调查年度报告
Step 5 Annual report on supply chain due diligence
合规声明：
Statement of Compliance:
我公司已经充分遵守第5步：有关供应链尽职调查的报告。
We have fully complied with Step 5: Report on supply chain due diligence.
众恒隆严格遵守供应链尽职调查年度合规报告的要求，按时编制2024年度供应链尽职管理合规报告，并于公司官方网站进行公示:
https://www.zhlsy.com/zygg/info_17_itemid_103.html
Zhonghenglong strictly adheres to the requirements of the annual compliance report for supply chain due diligence, prepares the 2024 annual supply chain due diligence management compliance report on time, and publicizes it on the company's official website: https://www.zhlsy.com/zygg/info_17_itemid_103.html
需要了解更多内容或者对本报告有任何反馈意见，可通过电话0755-29503388或电子邮件Ken@zhlsz.net与我们联系。
If you need to know more or have any feedback on this report, please contact us by phone at 0755-29503388 or email at Ken@zhlsz.net.
四、管理结论
IV. Management conclusion
综上所述，截至于2024年12月31日的报告年度内，深圳市众恒隆实业有限公司完全遵守了《LBMA负责任黄金/白银指南》，实施了有效的管理制度、程序、流程和实践，完善了供应链管理体系，充分进行了供应商风险的识别和评估，并扩展至环境和可持续发展的影响，对供应链尽职调查进行独立第三方审计。公司将持续改进完善管理体系，加强内部监测和管理，提升对风险的防范。
In summary, during the reporting year ending December 31, 2024, Shenzhen Zhonghenglong Industrial Co., Ltd. fully adhered to the LBMA Responsible Gold/Silver Guidelines. It implemented effective management systems, procedures, processes, and practices, improved its supply chain management system, fully identified and assessed supplier risks, extended its focus to environmental and sustainable development impacts, and conducted independent third-party audits for supply chain due diligence. The company will continue to improve its management system, strengthen internal monitoring and management, and enhance risk prevention.
