2025年度供应链尽职调查合规报告
成都光明派特贵金属有限公司
Chengdu Guangming Paite Precious MetalCo., Ltd.
LPPM
2025年度
供应链尽职调查合规报告
Supply Chain Due DiligenceManagement Compliance Report
2025年 2 月 26 日
February 26, 2025
公司名称：成都光明派特贵金属有限公司
Company name: Chengdu Guangming Paite Precious Metal Co., Ltd.
位 置： 中国四川省成都市龙泉驿区北京路636号
Location: 636，Beijing Road, Longquan Yi District, Chengdu, Sichuan Province, China
年终报告： 2025 年度 LPPM 供应链尽职调查合规报告
Year-end report: 2025 LPPM Supply Chain Due Diligence Management Compliance Report
报告日期： 2026 年 2 月 26 日
Report date: February 26, 2026
报告负责人： 李乾洪
Person in charge of report: Li Qian Hong
报告人职务： 合规风控总监 liqh@cdgmpt.com
Position of the person in charge of report: Compliance Risk Control
Director
一、公司概况
I. Company profile
成都光明派特贵金属有限公司（以下简称“光明派特”）成立于2004年，坐落于四川省成都市龙泉经济开发区。公司是一家专业从事贵金属提纯、装置加工及贵金属盐类生产的中日合资企业，两大股东分别是成都光明光电股份有限公司（中国兵器装备集团有限公司控股子公司，全球光学玻璃产销量排名第一）和田中贵金属工业株式会社（全球三大贵金属制造商之一，百年企业）。
Chengdu Guangming Paite Precious Metal Co., Ltd. (hereinafter referred to as "Guangming Paite") was established in 2004 and is locating at National Economic and Technological Development Zone, Longquan Yi District, Chengdu, Sichuan Province. The Guangming Paite is a Sino-Japanese joint venture specializing in the refining of precious metals, the processing of precious metal components, and the production of precious metal salts. The two major shareholders are CDGM Glass Co., Ltd. (a subsidiary of China South Industries Group Corporation, ranked first globally in the production and sales volume of optical glass) and TANAKA Precious Metal Technologies Co., Ltd. (the top three precious metal manufacturers in the world).
公司注册资本3.0776亿元，占地面积 9000平方米，建筑面积 11,000平方米，总资产4亿元，从业人数170余人。公司拥有国际先进、国内领先的贵金属分离及不分离提纯、盐类制造、熔轧、弥散强化材料制造、装置成型及喷涂技术，拥有与田中贵金属对标的分析测试技术及先进的三废处理工艺等，产品及业务包括回收提纯产品、熔轧素材、装置、热电偶及分析器皿、盐类、靶材、喷涂、贸易等，能够为客户提供全方位解决方案。
The Guangming Paite has a registered capital of 307.76 million RMB, covers an area of 9,000 square meters, with a construction area of 11,000 square meters, total assets of 400 million RMB, and employs more than 170 people. The company possesses internationally advanced and domestically leading technologies in precious metal separation and non-separation refining, salt production, melting and rolling, dispersion-strengthened material manufacturing, the device forming, and spraying processes. It also has analytical testing capabilities comparable to those of TANAKA Precious Metal, as well as advanced technologies for treating waste water, waste gas, and solid waste. The products and services include the precious metal refining, melted and rolled precious metals, devices, thermocouples, analytical vessels, salt compounds, sputtering targets, spray coatings, and trading, enabling the Guangming Paite to provide comprehensive solutions to the customers.
公司通过ISO9001质量管理体系、ISO14001环境管理体系和ISO45001职业健康安全管理体系认证。经过多年发展，光明派特已成为目前国内最具实力的贵金属企业之一。
The Guangming Paite was certified for ISO9001 quality management system, ISO14001 environmental management system, and ISO45001 occupational health and safety management system. As of now, the company has become one of the leading precious metal enterprises in China.
二、供应商情况概述
II. Overview of suppliers
公司铂金原料主要来源是从中国大陆市场回收的含铂金的工业废旧料。
The main sources of the company platinum raw materials are platinum-containing industrial scrap materials recycled from the Chinese Mainland markets.
三、合规情况概述
III. Overview of compliance status
公司对所有供应商及其供应链进行尽职调查，要求所有供应商提供的原料来源合法、合规。
The company conducts due diligence for its suppliers and its supply chain, requiring all suppliers to provide raw materials from legal and compliant sources.
第一步 建立强大的公司管理体系
Step 1: Establish a robust company management system
合规声明与要求：
Compliance statement and requirements:
我公司已经充分遵守第 1 步骤： 建立强大的公司管理体系。
Our company has fully adhered to Step 1: Establishing strong company management system.
公司严格遵守《LPPM 负责任铂钯指南》 第一步“建立强大的公司管理体系”的要求 ， 已经建立了强大的管理体系 ，确保供应链尽职调查工作全面落地。
The company strictly adheres to the requirements of the first step in the LPPM Platinum/Palladium Responsible Guidance, "Establish a Strong Company Management System," and has already established a robust management system to ensure the comprehensive implementation of supply chain due diligence.
1. 政策方面
1. Policy
公司通过并出台了《铂金供应链负责任采购政策》，该政策符合经合组织《来自受冲突影响和高风险地区矿石负责任供应链尽职调查指南》并扩展至环境和可持续性责任，该政策在企业内外部公布于官网链接：www.cdgmpt.com/LPPM/
The company has adopted and issued the "Responsible Sourcing Policy for Platinum Supply Chain", which complies with the OECD Due
Diligence Guidance for Responsible Supply Chains of Minerals from
Conflict-Affected and High-Risk Areas and extends to environmental and sustainability responsibilities. The policy is published both internally and externally on the company's official website at the following link:
www.cdgmpt.com/LPPM/.
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，确保再生铂金来源符合 LPPM 尽职调查管理要求，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、盗窃、非法开采、世界遗产遗址等高风险地区的铂金。
The policy requires companies and their 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 source of recycled platinum meets the due diligence management requirements of LPPM, and make a commitment to reject platinum from high-risk areas such as regions where human rights are violated, conflict zones, bribery, money laundering, theft, terrorist financing, illegal mining, and world heritage sites.
目前该政策已经通过纸质材料传达给所有的铂金供应商。
Currently, the policy has been communicated to all platinum suppliers via hard copies.
2. 管理架构
2. Management structure
公司已经建立了内部管理制度，按照出台的政策对管理、作用和职责、 内部审计、沟通进行界定、并开展尽职调查体系的管理评审。2025 年的尽职调查管理体系的管理评审已经在 2026 年 1 月 9 日进行， 并形成了管理评审报告。
The company has established an internal management system, which defines management, roles and responsibilities, internal audit, and communication in accordance with the policies issued, and conducts management reviews of the due diligence system. The management review of the due diligence management system for 2025 was conducted on January 9th, 2026, and a management review report was formed.
2.1 规章制度方面
公司根据《LPPM 负责任铂钯指南》制订了《铂采购尽责管理制度》，主要明确供应链尽职调查组织架构、职责、高风险地区定义，制定高风险供应链评估标准、调查处理程序、交易监控、文件保存等内容。上述制度通过合规风控总监、总经理审批后以红头文件的形式下发，作为文控处理。
2.1 Rules and regulations
The company has formulated the "Platinum Responsible Sourcing Due Diligence Management System "based on the "LPPM Responsible Platinum/Palladium Guidance". This system primarily clarifies the organizational structure and responsibilities for supply chain due diligence, defines high-risk regions, and establishes high-risk supply chain assessment standards, investigation and handling procedures, transaction monitoring, document retention, and other related content. After being approved by the Compliance and Risk Control Director and
the General Manager, the aforementioned system is issued in the form of a red-headed document and handled as a document control matter.
2.2 职责与权限
2.2 Responsibilities and Authorities
公司设置合规风控总监、合规风控专员、合规专员。
The company has set up positions such as Compliance Risk Control Director, Compliance Risk Control officer, and Compliance Specialist.
合规风控总监由公司副总经理负责公司供应链尽职调查工作，建立健全供应链尽职调查管理体系，监督供应链尽职调查流程，协调处理供应链尽职调查中的异常情况， 审批合规报告。
The Compliance and Risk Control Director, under the supervision of the Vice General Manager of the company, is responsible for conducting due diligence on the company's supply chain, establishing and improving the management system for supply chain due diligence, supervising the supply chain due diligence process, coordinating and handling any abnormalities encountered during the process, and approving compliance reports.
合规风控专员指定营运板块的财务部负责人担任，负责有关供应链尽职调查管理的所有事项 。负责制定并更新供应链尽职调查政策、制度， 负责制定高风险供应链评判标准和执行供应链尽职调查措施，指导、协调、报告公司风险评估、应对和实施等情况，监督、检查各部门的落实情况并考核 ，汇报供应链尽职调查中的异常情况 。 同时，对供应链尽职调查进行审核，并评估尽职调查是否充分，必要时收集额外文件或信息。负责有关责任供应链的员工培训，编制并更新供应链政策 ， 并向高级管理人员提供用于履行职责的适当信息。
The Compliance and Risk Control Officer shall be designated as the head of the finance department within the operational sector, responsible for all matters pertaining to supply chain due diligence management. This includes formulating and updating supply chain due diligence policies and systems, establishing high-risk supply chain evaluation criteria and implementing supply chain due diligence measures, guiding, coordinating, and reporting on the company's risk assessment, response, and implementation, supervising and inspecting the implementation by various departments and conducting assessments, and reporting any anomalies during supply chain due diligence. Additionally, the officer shall review the supply chain due diligence, assess the adequacy of the due diligence, and collect additional documents or information when necessary. The officer is also responsible for training employees involved in responsible supply chains, preparing and updating supply chain policies, and providing senior management with appropriate information for fulfilling their duties.
合规专员由业务部、物流部、财务部、化验室负责人组成，负责严格执行供应链尽职调查措施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，建立供应商尽职调查档案，并定期对重要供应商进行现场调查。
The compliance specialist, comprised of the heads of the business department, logistics department, finance department, and laboratory, is responsible for strictly implementing supply chain due diligencemeasures and high-risk supply chain evaluation standards, collecting and preserving sufficient supply chain supporting documents, establishing supplier due diligence files, and conducting regular on-site investigations of important suppliers.
公司制定了对合规风控专员、合规专员的问责机制，通过监督与检查，确保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。相关专员于2025年6月20日与2025年12月25日向高级管理人员汇报铂供应链尽职调查情况，召开内部会议并形成会议纪要。
The company established accountability mechanism for compliance risk control officer and compliance specialists. Through supervision and inspection, it ensures the effective implementation of supply chain due diligence work and avoids transactions involving high-risk supply chains. Relevant specialists are required to regularly report on the status of supply chain due diligence to senior management and promptly convene internal meetings. The specialists reported the platinum supply chain status to the managers of company on June 20th, 2025 and December 25th, 2025. The correlated summary of meeting is also documented.
3. 强有力的内部追溯体系
3. A robust internal traceability system
公司建立了一套供应链可追溯体系，收集和维护每一批产品的供应链信息，为每一批出库的产品分配唯一编号。The company established supply chain traceability system to collect and maintain supply chain information for each product batch and assigns a unique number to each batch of products dispatched from the warehouse.
3.1 供应链可追溯体系
3.1 Supply chain traceability system
所有的供应商都会被进行资信调查，通过尽职调查问卷收集和审查供应商资质、业务运营、股东信息和物料来源等资信调查通过后签订合同，约定原料合法，符合 LPPM 尽职调查政策；供应商送的每一批来料 ，都有入库单，表明产品类型、重量、验收人员和供应商签字确认； 熔炼取样化验 ， 最后形成铂金产品，分配唯一编号。
All suppliers will undergo credit investigations. Through due diligence questionnaires, we collect and review supplier qualifications, business operations, shareholder information, and material sources. After passing the credit investigation, contracts will be signed, stipulating that raw materials are legal and comply with LPPM's due diligence policies. Each batch of incoming materials sent by the supplier will have an inventory sheet indicating the product type, weight, acceptance personnel, and supplier's signature for confirmation. Smelting, sampling, and testing will be conducted, and finally, platinum products will be formed, assigned with a unique number.
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。
The company supervises all transactional activities to ensure consistency with supply chain investigations.
公司对供应链尽职调查进行检查，每批来料编号唯一，生产可追溯，对于所有的原料入库均保留完整的单据资料，对于入库的铂金料保存有入库单、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、检测部、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 conducts due diligence inspections on the supply chain, ensuring that each batch of incoming materials has a unique number, and that production is traceable. Complete documentation is retained for all raw material stock-ins, including stock-in sheets, inspection sheets, financial vouchers, etc. for platinum materials. Each department is clearly defined to collect and retain relevant documents in their daily work. The Business Department, Inspection Department, and Finance Department are responsible for keeping relevant documents and regularly submitting them to the archives for filing. The retention period is more than 5 years.
3.2 维护资料
在业务开展中，客户的营业执照、资质验证资料、供应商尽职调查表、每一批次的入库单、出库单、检测单等相关记录保存 5 年以上。
3.2 Maintenance Documentation
In the course of business operations, relevant records such as business licenses, qualification verification documents, supplier due diligence forms, and each batch's warehousing, ex-warehouse, and inspection forms should be kept for more than 5 years.
3.3 培训
公司每年将供应链尽职调查管理培训纳入公司年度培训计划当中 ，组织公司重点岗位以及合规专员对供应链尽职调查管理的要求、内容以及《LPPM 负责任铂钯指南》进行培训 ，确保供应链尽职调查管理工作落到实处。2025 年 5 月 8 日与 10 月 9 日组织了两次对公司各相关部门人员与工厂管理人员、生产人员的 LPPM 相关知识培训。
3.3 Training
The company incorporates supply chain due diligence management training into its annual training plan every year, organizing training for key positions and compliance officers on the requirements, content, and LPPM Responsible Platinum/Palladium Guidance for supply chain due diligence management, to ensure that supply chain due diligence management is implemented effectively. On May 8th and October 9th, 2025, two training sessions on LPPM-related knowledge were organized for personnel from relevant departments, factory managers and production staff.
3.4 通过官方银行渠道付款
公司在支付货款时 ，由市场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以配合政府部门的监管。公司禁止现金交易。
3.4 Payment through official banking channels
When the company pays for cargoes, the marketing department initiates the joint signature procedure for fund matters. The payment is made online through the bank where the company's basic account is located, and a bank receipt is printed as a voucher attachment for retention to facilitate supervision by government departments. It should be noted that the cash transaction is prohibited in the company.
3.5 与政府当局的合作
公司与政府当局进行全面且透明的合作，必要时会提供对记录和信息访问权限。2025年未发生需与政府当局进行合作调查的情况。
This company fully cooperates with the government authorities, and is willing to provide access to records and information when necessary. It should be noted that there is no investigation cooperation request with the government authorities in 2025.
4. 协助铂金供应链交易方建立尽职调查能力
公司鼓励与供应商建立基于信任和互认的长期关系，特别是遵守
《经合组织关于来自受冲突影响和高风险地区矿石负责任供应链尽职
调查指南》 并扩展至环境和可持续性责任的供应商。
4. Assisting platinum supply chain trading parties in building
due diligence capabilities
The company encourages the establishment of long-term
relationships with suppliers based on trust and mutual recognition,
especially those suppliers who adhere to the OECD Due Diligence
Guidance for Responsible Supply Chains of Minerals from Conflict-
Affected and High-Risk Areas and extend their responsibilities to
environmental and sustainability issues.
公司将铂金供应链的政策与要求通过纸质文件方式传达给相关交易方，提高供应链交易方建立尽职调查能力。公司与供应商都要严格遵守合同和法律的规定，协助供应商更大程度的建立尽职调查能力。
The company communicates its policies and requirements for the platinum supply chain to relevant trading parties through hard copies, aiming to enhance the due diligence capabilities of supply chain trading parties. Both the company and its suppliers must strictly comply with contractual and legal provisions and assist suppliers in building their due diligence capabilities to a greater extent.
公司所有供应商都签署《供应商社会责任承诺书》，承诺铂金来源合法、合规，符合 LPPM 规定。
All the suppliers have signed the "Supplier Social Responsibility Commitment Letter", promising that the source of platinum is legal, compliant, and in accordance with LPPM regulations.
5.建立机密申诉机制
公司利用官方网站链接：
www.cdgmpt.com/LPPM/， 公布电话和邮箱， 允许员工和外部利益相关者表达关于负责任供应链与采矿、贸易、加工和出口情况有关的疑虑对供应链或任何新的识别风险的担忧。公司建立了完善的申诉处理程序，并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。
2025 年公司未接到员工和外部利益相关者的申诉。
5. Establish a confidential complaint mechanism The company utilizes the official website link:
www.cdgmpt.com/LPPM/, which publicizes telephone numbers and email addresses, allowing employees and external stakeholders to express concerns regarding responsible supply chain and mining, trade, processing, and export situations, as well as any new identified risks in the supply chain. The company has established comprehensive grievance handling procedure, and protects employee privacy throughout the grievance process, keeping the information of the reporter confidential and eliminating any retaliation.
In 2025, the company did not receive any complaints from employees or external stakeholders.
第二步 供应链风险的识别与评估
合规声明与要求：
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。
公司严格遵守《LPPM 负责任铂钯指南》第二步“供应链风险的识别与评估”的要求，制定了受冲突影响和高风险区域的识别程序（包括标准、引用资源和频率），制定了高风险供应链的判定标准和对识别出来的风险的处理程序，充分对供应链中的风险进行识别、评估和缓解 。2025年度, 公司来料全部来自于中国大陆含铂金的工业废旧料,结合公司制定的《受冲突影响和高风险区域的识别程序》中，判定中国大陆为低风险区域。
Step 2: Identification and assessment of supply chain risks
Compliance statement and requirements:
Our company has fully adhered to Step 2: Identifying and assessing risks in the supply chain.
The company strictly adheres to the requirements of the second step of
the LPPM Responsible Platinum/Palladium Guidance, "Identification and Assessment of Supply Chain Risks," and has established an identification procedure for conflict-affected and high-risk areas (including standards,
reference resources, processes and frequencies). It has also formulated criteria for
determining high-risk supply chains and procedures for handling
identified risks, fully identifying, assessing, and mitigating risks in the
supply chain. In 2025, the company mainly sourced platinum-containing industrial scrap materials from Chinese Mainland. Based on the company's established "Identification Procedure for Conflict-Affected and High-Risk Areas," Chinese Mainland was determined to be low-risk areas.
1.识别供应链风险
根据经合组织《来自受冲突影响和高风险地区矿石负责任供应链尽职调查指南》并扩展至环境和可持续性责任，铂金冶炼公司识别相关风险，密切关注来自侵犯人权、武装冲突、非法开采及源于世界遗产遗址等地区的铂金，以及用于贿赂、洗钱、盗窃、恐怖主义融资等行为的铂金。公司为每个供应商建立供应商档案，根据公司的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。
1. Identify supply chain risks
Based on the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas and its extension to environmental and sustainability responsibilities, platinum smelting companies identify relevant risks and closely monitor platinum sourced from areas such as those with human rights violations, armed conflicts, illegal mining, and those originating from World Heritage sites, platinum used for bribery, money laundering, theft, terrorist financing, and other activities. The company establishes supplier profiles for each supplier, conducts investigations based on the company's risk profile, and completes the establishment of supplier profiles before signing contracts with them.
2.评估供应链风险
2.1 供应链调查
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：
（1）资质验证。对于所有供应商均进行供应链的尽职管理调查，在进行合作前要求合作方提供相应的资质证明文件，法人客户提供营业执照，个人客户提供身份证复印件。矿山客户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。
（2）建立供应商档案 。利用LPPM的KYC问卷调查表对供应商基本情况、业务运营、股东信息、实际控股人、供应商管理层架构、提供原料类型及产地、计划精炼贵金属类型、与其供应商结算方式、其供应商概况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，对于涉及高风险标准的供应商终止合作。
（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尽职调查，判断其来料风险等级。
（4）建立客户专项调研报告工作流程 。在走访客户时 ，对原料来源进行追溯 ，向供应商传达铂金冶炼公司尽职管理政策，并要求其在政策上签字。
2. Assess supply chain risks
2.1 Supply chain investigation
The company conducted due diligence on the supply chain through the following measures and completed the due diligence questionnaire:
(1) Qualification verification. Due diligence management investigations are conducted on the supply chain for all suppliers. Before cooperation, partners are required to provide corresponding qualification documents. Legal entities are required to provide business licenses, while individual customers are required to provide copies of their ID cards. Mining customers also need to provide mining licenses, environmental impact assessment certifications, and ensure that miners wear labor protection gear, conduct healthy and safe transactions, and undergo occupational disease physical examinations.
(2) Establish supplier profiles. Conduct detailed investigations on suppliers' basic information, business operation, shareholder information, actual controllers, supplier management structure, types of raw materials provided and their origins, types of precious metals planned to be refined, settlement methods with suppliers, and supplier profiles through LPPM KYC Questionnaire. Extend the supply chain investigation upstream to suppliers as much as possible and ultimately determine their risk levels. Terminate cooperation with suppliers that meet high-risk criteria.
(3) Establish an incoming material registration book. Conduct due diligence on the date, weight, raw material source, and main upstream suppliers of the supplier's incoming materials for the current batch and assess their risk level.
(4) Establish a workflow for special customer research reports. During customer visits, trace the source of raw materials, communicate the due diligence management policy of the platinum smelting company to suppliers, and request them to sign the policy.
2.2 公司根据风险概况将铂金供应链分为零容忍、高风险及低风险三类，对不同风险等级的供应链实施对应管理。
2.2 The company classified the risks of the supply chain of platinum into 3 categories, namely, the zero-tolerance issues、the high-risk issues and the low-risk issues, and implemented corresponding management for the aforementioned issues.
2.3 受冲突影响和高风险地区的判定 。公司制定了《受冲突影响
和高风险地区的识别流程》。公司使用人权、治理、冲突三方面的资源 ，以及美国、欧盟、英国和联合国的制裁清单、欧盟的受冲突影响和高风险地区清单、多德弗兰克法案中指明的国家、海德堡冲突晴雨表、高风险洗钱区域、联合国人权报告、FATF 国际反洗钱和反恐融资组织的黑/灰名单来识别铂金供应链中的零容忍、高风险区域 。经过评估，公司铂金供应链中的中国大陆地区被识别为低风险地区。
2.3 Determination of conflict-affected and high-risk areas. The company has established the "Identification Process for Conflict-affected and High-risk Areas." The company utilizes resources in three areas: human rights, governance, and conflict, as well as sanctions lists from the United States, the European Union, the United Kingdom, and the United Nations, the EU's list of conflict-affected and high-risk areas, countries specified in the Dodd-Frank Act, the Heidelberg Barometer, the Credible market intelligence on countries where there is a high risk of money laundering, the UN Human Rights Office of the High Commissioner or equivalent, and the black/gray list of the Financial Action Task Force (FATF) international anti-money laundering and counter-terrorist financing organization to identify high-risk and zero-tolerance areas in the platinum supply chain. After evaluation, the regions of Chinese Mainland in the company's platinum supply chain have been identified as low-risk areas.
2.4 零容忍供应链
根据LPPM 相关规定，结合公司实际情况，特规定如下零容忍供应链评判标准：
（1）矿产铂金或再生铂金来源于特定区域或被指定为世界遗产的区域；
（2）再生铂金声称来源于一个已知会收集和处理被盗的加工厂；
（3）矿产铂金或再生铂金被引入到供应链中时，可能使公司面临制裁；
（4）矿产铂金或再生铂金来源于已知被盗的任何铂族金属或含铂族金属的材料，或来自已知加工厂的含被盗的含铂族金属材料的产品；
（5）在供应链中的公司或者其他已知的上游公司或已知的最终受益人涉及洗钱，欺诈或恐怖分子，或曾涉及严重侵犯人权，或涉及直接或间接支持非法组织/非国家武装团体。
当上述评判标准任何一条客观存在时，则该供应链被判定为零容忍风险供应链。部门合规专员应立即准备材料上报合规风控专员，由合规风控专员上报合规总监，由合规总监批准，停止交易，消除风险。
2.4 Zero-tolerance supply chain
According to the LPPM relevant regulations of LPPM and in consideration of the actual situation of the company, the following zero-tolerance supply chain evaluation criteria are hereby stipulated:
(1) The Mined or Recycled PGM that is known to have been sourced from an area or areas that are designated World Heritage Sites;
(2) The Recyclable PGM that originates from a Processor that is known to collect and process stolen auto catalysts;
(3) The Mined or Recycled PGM which, when introduced to the supply chain, would expose a Refiner to sanctions or sanctioning;
(4) Any PGM or PGM-containing material known to be stolen, or Recycled PGM that originates from a Processor that is known to collect and process stolen PGM-containing material;
(5) Any Mined PGM or Recycled PGM-supplying counterparty, other known upstream company or their UBOs that are known money launderers, fraudsters or terrorists, or have been implicit in serious Human Rights abuses, or in direct or indirect support to illegitimate non-state armed groups.
When any of the above-mentioned evaluation criteria objectively exists, the supply chain is deemed to be zero-tolerance. The department compliance specialist should immediately prepare materials and report to the compliance risk control officer, who will then report to the compliance risk control director. The compliance risk control director will approve the implementation of countermeasures to stop transactions and eliminate risks.
2.5 高风险供应链
2.5 High-risk supply chain
根据 LPPM 相关规定，结合公司实际情况，特规定如下高风险供应链评判标准：
（1）矿产铂金或再生铂金来源于、 中转或者运经受冲突影响和高风险地区；
（2）矿产铂金声称来源于一个已知储量有限、资源有限或预计产量有限的国家；
（3）再生铂金来源于已知的冲突影响和高风险地区 ， 或者有理由怀疑经此地区中转的；
（4）在供应链中的公司或者其他已知的上游公司位于一个有着洗钱、犯罪和贪污高风险的国家；
（5）在供应链中的公司或其他已知的上游公司的收益所有人是政治敏感人物；
（6）在供应链中的公司或其他已知的上游公司积极参与高风险商业活动（例如武器、赌博、赌业、古董和艺术品、钻石等） ，宗教和宗教领袖的；
（7）矿产铂金来源于国内手续不全、非法开采的小型矿山 ， 以及开采铂金源于手工开采；
（8）不遵守环境和可持续发展法律要求 ，矿产铂金或再生铂金源于世界遗产遗址或国内自然生态保护区；
（9）其他高风险情况。
当上述评判标准任何一条客观存在时，则该供应链被判定为高风险供应链。部门合规专员应立即准备材料上报合规风控专员，由合规风控专员上报合规总监，由合规总监批准，停止交易，消除风险。
In accordance with the relevant regulations of LPPM and in consideration of the actual situation of the company, the following high-risk supply chain evaluation criteria are hereby stipulated:
(1) Mineral platinum or recycled platinum originates from, transits through, or is transported through conflict-affected and high-risk areas;
(2) The mineral platinum is claimed to originate from a country with known limited reserves, limited resources, or expected limited production;
(3) Recycled platinum originates from known conflict-affected and high-risk areas, or there are reasonable grounds to suspect it has transited through such areas;
(4) Companies in the supply chain or other known upstream companies are located in a country with high risks of money laundering, crime, and corruption;
(5) The beneficial owner of the company in the supply chain or other known upstream companies is a politically sensitive individual;
(6) Companies in the supply chain or other known upstream companies actively engage in high-risk commercial activities (such as weapons, gambling, betting, antiques and art, diamonds, etc.), religion, and religious leaders;
(7) Mineral platinum is sourced from domestic small mines that have incomplete procedures and engage in illegal mining, as well as from
artisanal mining;
(8) Failure to comply with environmental and sustainable development legal requirements, where the platinum used in minerals or recycled platinum originates from World Heritage sites or domestic natural ecological reserves；
(9) Other high-risk situations.
When any of the above-mentioned evaluation criteria objectively exists, the supply chain is deemed to be high-risk. The department compliance specialist should immediately prepare materials and report to the compliance risk control officer, who will then report to the compliance risk control director. The compliance risk control director will approve the implementation of countermeasures to stop transactions and eliminate risks.
2.6 公司建立风险评估流程 ，对公司铂金供应商风险进行评估：
公司收集了供应商的《尽职调查检查表》，并在对供应商的拜访中对填写的数据进行核查，确认《尽职调查清单》中的文件是否收集齐全，确保数据的正确性和完成性；根据风险评估标准对供应商进行风险评估并完成《风险评估表》 ，得出评估结论 ， 即 2025 年公司铂金供应链均未识别出任何高风险。当供应链调查发现来自高风险区域时，要做加强型尽职调查，包括实地评估，评估政策中的风险。
针对高风险矿产铂族金属供应链的强化尽职调查：
（1）对高风险供应链中从矿场到精炼厂的每个公司进行尽职调查；
（2）检查托运人和运输情况（克隆卡车、劫持等威胁）；
（3）获取矿场或供应链其他环节所雇用的任何公共或私人安保服务的所有权和运营详情；
（4）评估矿场和运输路线军事化的威胁，包括直接间接支持非法非国家武装团体和/或安全部队的风险；
（5）检查供应链中是否存在侵犯人权或最恶劣形式的童工现象的证据；
（6）确认在适当情况下正确自行申报税款和特许权使用费；
（7）考虑遵守当地环境、社会和治理（ESG）法规、健康与安全记录、社区关系等；
（8）了解矿场是否存在官方或其他形式的小规模或手工采矿作业，以及公司与这些作业的关系；
（9）考虑第三方来源的含铂族金属材料被引入矿场运营的风险。
针对高风险回收铂金供应链的强化尽职调查：
（1）检查政府观察名单信息；
（2）检查托运人和运输情况（克隆卡车、劫持等威胁）；
（3）与管理层和直接接触材料的现场人员进行面谈，以确定其负责任采购意识以及供应链管理流程的适当性；
（4）评估供应商的风险意识和尽职调查（DD）程序；
（5）检查企业注册信息、增值税、税务记录等；
（6）评估现场访问和了解客户供应链尽职调查政策。
2.4 The company establishes a risk assessment process to assess the risks of its platinum suppliers:
The company collected the "Due Diligence Questionnaire" from suppliers and verified the data filled in during visits to supplier to confirm whether the documents in the "Due Diligence Checklist" were fully
collected, ensuring the correctness and completeness of the data. Based on risk assessment criteria, the company conducted a risk assessment on suppliers and completed the "Risk Assessment Form", drawing an assessment conclusion that no high risks were identified in the company's platinum supply chain in 2025. When supply chain investigations reveal sources from high-risk areas, enhanced due diligence, including on-site assessments, should be conducted to evaluate the risks in policies.
Enhanced Due Diligence Measures for High-Risk Mined PGM:
(1) Conducting KYC on each company involved in the High-Risk supply chain, from mine site to refinery, proportionate to the risk;
(2) Checking shippers and transportation (threats of cloned trucks, hijackings, etc.);
(3) Obtaining ownership and operating details of any public or private security services employed at the mine site or elsewhere in the supply chain;
(4) Assessing the threat of militarization of mine sites and transport routes, including the risk of direct or indirect support to illegitimate non-state armed groups and/ or security forces;
(5) Examination of the supply chain for evidence of Human Rights abuse or worst forms of child labour;
(6) Confirmation of proper self-declaration of taxes and royalty payments, where appropriate;
(7) Consideration of compliance with local ESG regulations, Health & Safety records, community relations etc.;
(8) Understanding of the presence, or otherwise, of small-scale or Artisanal mining operations, official or otherwise, on the miner property and the company relations with them;
(9) Consideration of risks of PGM-containing material from third-party sources being introduced to the miner operations.
Enhanced Due Diligence Measures for High-Risk Recycled PGM:
(1) Checking government watchlist information;
(2) Checking shippers and transportation (threats of cloned trucks, hijackings, etc.);
(3) Interviews with Management and material-facing site personnel to determine Responsible Sourcing awareness and appropriateness of supply chain management processes;
(4) Assessment of Supplier risk-awareness and DD procedures;
(5) Checking business registrations, VAT, tax records etc.;
(6) Assessment of site visit and KYC policies.
3. 向高级管理层报告风险评估
公司建立风险评估报告制度，将识别和评估出的风险识别和评估结果汇报给合规总监 。2025 年度评估所有铂金供应链均为低风险。
3. Report risk assessment to senior management
The company has established a risk assessment reporting process, which reports the identified and assessed risks and their results to the compliance risk control director. In the 2025 annual assessment, all platinum supply chains were asseaaed as low risk.
第三步 设计并实施策略来应对已识别的风险
合规声明与要求：
我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。
Step 3: Design and implement strategies to address identified risks
Compliance statement and requirements:
Our company has fully complied with Step 3: Designing and
implementing a management system to address all identified risks.
公司严格遵守《LPPM 负责任铂钯指南》第三步“设计并实施策略来应对已识别的风险”的要求 。2025 年未发现高风险供应链，不需要做风险缓解。
The company strictly adheres to the requirements of Step 3 in the LPPM Responsible Platinum/Palladium Guidance, which involves "designing
and implementing risk mitigation strategies to address identified risks." In 2025, no high-risk supply chains were identified, thus risk mitigation plan and implementation is not applicable.
公司制订了《供应链风险减缓管理办法》制定了风险缓解策略，包括（i）在继续交易的同时减轻风险；（ii）在暂停交易的同时减轻风险；或（iii）终止交易 ，并作为文控管理，约定了在供应商评估及日常业务开展过程中发现的违规情况的处理方式；规范了发现供应商存在高风险行为的处理步骤；明确了尽职管理各级组织、人员的责任，向高级管理人员实施进度跟进。
如果铂族金属供应链尽职调查的结果表明存在以下几种情况将立即终止交易：
（1）洗钱、恐怖主义融资；
（2）严重侵犯人权；
（3）证实含铂族金属材料被盗；
（4）对对非法非国家武装集团的直接或间接支持；
（5）对矿物来源的欺诈性虚假陈述，或者认为这种可能性过高。
如果铂族金属供应链尽职调查的结果表明存在以下几种情况将暂停交易：
（1）直接或间接支持非法的公共或私人安全部队；
（2）对矿物来源的虚假陈述；
（3）严重侵犯人权;
（4）洗钱、恐怖主义融资;
（5）被盗的含铂族金属材料;
（6）含铂族金属的材料严重违反环境、健康、安全、劳工和社区相关的地方法规和/或ESG风险，极有可能造成严重不利影响。
The company has formulated the "Supply Chain Risk Mitigation
Management Measures" and established risk mitigation strategies,
including (i) mitigating risks while continuing transactions; (ii) mitigating risks while suspending transactions; or (iii) terminating transactions. As a document control management, it stipulates the handling methods for
violations found during supplier evaluation and daily business operations. It standardizes the handling steps for discovering high-risk behaviors of suppliers and clarifies the responsibilities of organizations and personnel at all levels of due diligence management, with progress follow-up
implemented by senior management.
The transactions would be terminated If the result of the PGM supply chain due
diligence concludes that there is:
(1) Money laundering, terrorist financing;
(2) Serious Human Rights abuse;
(3) Proved PGM-containing material theft;
(4) Direct or indirect support to illegitimate non-state armed groups;
(5) Fraudulent misrepresentation of the origin of minerals or if the possibility of the
same is deemed too high.
The transactions would be suspended If the result of the PGM supply chain due
diligence concludes that there is:
(1) Direct or indirect support to illegitimate public or private security forces;
(2) Fraudulent misrepresentation of the origin of minerals;
(3) serious Human Rights abuses;
(4) money laundering, terrorist financing;
(5) stolen PGM-containing material;
(6) Material breaches of environmental, health, safety, labour and community-
related local legislation, and/or ESG risks that have the high likelihood to result
in highly adverse impacts;
疑似高风险物料，对其进行单独登记并隔离。
If suspected high-risk incoming materials are received, they should be separately registered and notified to the refining workshop.
当供应链尽职调查发现可能来自高风险区域，则需立即暂停该矿产铂金、再生铂金的冶炼，直至供应商在 6 个月之内提供可证明其并不可能存在的额外数据或信息为止。若在 6 个月之内仍未提供相关证据，则需立即停止该交易并上报至有关人员。
If supply chain due diligence identifies potential sources from high-risk areas, the smelting of platinum from minerals and recycled platinum should be immediately suspended until supplier provides additional data or information within six months to prove that such sources are unlikely to exist. If relevant evidence is not provided within six months, the transaction should be immediately halted and reported to relevant personnel.
提供的资料包括：
（1）提供证明不存在有关矿产铂金、再生铂金提取、运输或贸易的系统性或广泛人权侵犯行为的政府性文件，如供应商所在地相关公安或商务部门出具的合法性证明等；
（2）提供并未向非法武装组织提供直接或间接支持的证明文件；
（3）提供并未通过欺诈掩盖矿产铂金或再生铂金的原产地证明文件， 如相关政府部门出具的原产地证明；
（4）提供不存在洗钱或恐怖主义融资的证明文件；
（5）提供国内小型矿山资质证明文件；
（6）提供环境和可持续发展相关方针政策、制度文件以及通过有关部门环评报告；
The provided materials include:
(1) Provide government documents proving the absence of systematic or widespread human rights violations related to the extraction, transportation, or trade of platinum minerals and recycled platinum, such as legal certificates issued by relevant public security or commerce departments in the supplier's location;
(2) Provide documentary evidence that no direct or indirect support has been provided to illegal armed organizations;
(3) Provide supporting documents that do not conceal the origin of platinum from minerals or recycled platinum through fraud, such as the certificate of origin issued by the relevant government department;
(4) Provide supporting documents indicating the absence of money laundering or terrorist financing;
(5) Provide qualification certificates for domestic small-scale mines;
(6) Provide relevant policies, institutional documents related to the environment and sustainable development, as well as environmental impact assessment reports approved by relevant departments.
当供应链中发现的实际和潜在风险以及提议的风险管理策略，向董事会委员会报告调查结果。
公司每年对供应链进行审查，并评估是否应重复对供应链中的风险进行识别和评估，包括可能进行进一步的现场访问，以确保有效管理风险。
The investigation results shall be reported to the board of directors, which include the risks or the potential risks, as well as proposed strategy for risk management.
The company conduct an annual investigation on the supply chain of platinum and determine whether the risks shall be re-evaluated by site visiting the suppliers and etc., in order to make sure that the risk management of the company is effective.
第四步 对精炼商的尽职调查实践开展独立的第三方审计。
合规声明与要求：
我公司已经充分遵守第 4 步： 安排独立第三方审计。
公司严格遵守《LPPM 负责任铂钯指南》第四步“对精炼商的尽职调查实践开展独立的第三方审计”的要求 ，计划 2026 年聘请 LPPM认可的鉴证服务提供商SLR对公司2025 年度供应链尽职体系进行审计。
Step 4: Conduct independent third-party audits on the due diligence practices of refiners.
Compliance statement and requirements:
Our company has fully complied with Step 4: arranging for an independent third-party audit.
The company strictly adheres to the requirements of Step 4 ofthe LPPM Responsible Platinum/Palladium Guidance, which stipulates "conducting independent third-party audits of due diligence practices for refiners". It plans to engage approved assurance providers (SLR) of LPPM in 2026 to audit the company's supply chain due diligence system for the year 2025.
第五步 供应链尽职调查年度报告
合规声明与要求：
我公司已经充分遵守第 5 步： 有关供应链尽职调查的报告。
公司严格遵守《LPPM 负责任铂钯指南》第五步“供应链尽职调查年度报告”的要求。
Step 5: Annual report on supply chain due diligence
Compliance statement and requirements:
Our company has fully complied with Step 5: Report on supply chain due diligence.
The company strictly adheres to the requirements of Step 5, "Annual Report on Supply Chain Due Diligence," as outlined in the LPPM
Responsible Platinum/Palladium Guidance.
公司每年通过成都光明派特贵金属有限公司官网对供应链尽职调查合规报告进行公示。
The company annually publicizes its supply chain due diligence management compliance report through the official website of Chengdu Guangming Paite Precious Metal Co., Ltd.
根据 2025 年的尽职调查结果， 无供应商需要进行风险缓解的管理策略 。在 2025 年年终无评估结果为“暂停合作”或“终止合作”的铂金供应商 。
Based on the due diligence results in 2025, no suppliers require risk
mitigation management strategies. There were no platinum suppliers with
assessment results of "Suspended Cooperation" or "Terminated
Cooperation" at the end of 2025. The supply chain due
diligence management compliance report will be publicly disclosed
on the company's official website.
四、管理结论
综上所述 ，在报告年度截至于 2025 年 12 月 31 日的财年内，根据《伦敦铂金市场协会（LPPM）负责任的铂金钯金指南》 的要求，成都光明派特贵金属有限公司实施了有效的管理制度、程序、流程和实践。成都光明派特贵金属有限公司致力于不断的改进提升，所有的纠正措施将在内部进行定期监测。纠正性行动计划单独传达给 LPPM 执行机构，以及《伦敦铂金市场协会（LPPM）负责任的铂金钯金指南》 的管理人员。
IV. Management Conclusion
In summary, during the fiscal year ending on December 31, 2025, as
reported, Chengdu Guangming Paite Precious Metal Co., Ltd. implemented
effective management systems, procedures, processes, and practices in
accordance with the requirements of the "London Platinum and Palladium Market (LPPM) Responsible Sourcing Programme Guidance". Chengdu Guangming Paite Precious Metal Co., Ltd. is committed to continuous
improvement and enhancement, and all corrective measures will be regularly monitored internally. The corrective action plan will be
communicated separately to the LPPM executive body and the
management personnel responsible for the "London Platinum Market (LPPM) Responsible Sourcing Programme Guidance ".
五、其他报告批注
如果本报告用户希望就本报告向成都光明派特贵金属有限公司进行 任何反馈，则可以通过邮箱gmpt@cdgmpt.com联系企业相关部门。
V. Other report annotations
If users of this report wish to provide any feedback to Chengdu Guangming Paite Precious Metal Co., Ltd. regarding this report, they can contact the relevant department of the company via email at
gmpt@cdgmpt.com
