LBMA Responsible Gold Guidance

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1、LBMAResponsibleGoldGuidanceVersion518/01/2013IntroductionLBMAhassetupaResponsibleGoldGuidanceforGoodDeliveryRefinersinordertocombatsystematicorwidespreadabusesofhumanrights,toavoidcontributingtoconflict,tocomplywithhighstandardsofanti-moneylaunderingandcomb

2、atingterroristfinancingpractice.ThisGuidanceformalisesandconsolidatesexistinghighstandardsofduediligenceamongstallLBMAGoodDeliveryRefiners.ThisGuidancefollowsthefivestepsframeworkforrisk-basedduediligenceoftheOECDDueDiligenceGuidanceforResponsibleSupplyChai

3、nsofMineralsfromConflict-AffectedandHigh-RiskAreasadoptedon15December2010andfollowstherequirementsdetailedintheOECDGoldSupplementadoptedon17July2012.ScopeAllRefinersproducingLBMAgooddeliverygoldbars(“Refiners”)mustcomplywiththisLBMAResponsibleGoldGuidancein

4、ordertoremainontheLBMAGoodDeliveryList.AnyRefinerapplyingtobeaLBMAGoodDeliveryaccreditedGoldRefinerafter1January2012,mustimplementtheLBMAResponsibleGoldGuidanceandpassanauditpriortobecomingamemberoftheGoodDeliveryList.DefinitionAML-CFT:Anti-moneylaundering–

5、combatingthefinancingofterrorism.Contributiontoconflict:Contributiontoarmedaggressionbetweentwoormorepartieswhichleadstohumanrightsabuses.Thepartiesintheconflictmayincludegovernment,militia,organisedcriminalsorterroristgroups.Goldorigin:TheoriginofMinedGold

6、iswherethemineislocated.TheoriginofrecyclablegoldisconsideredtobethepointinthegoldsupplychainwherethegoldisdeliveredtotheRefiner.Gold-supplyingcounterparty:Agoldsupplierthatisdirectlyengagedwithagoldrefinery.GrandfatheredStocks:Goldinvestmentproducts(ingots

7、,bars,coinsandgraininsealedcontainers)heldinbullionbankvaults,centralbankvaults,exchangesandrefineries,withaverifiabledatepriorto1January2012,whichwillnotrequireadeterminationoforigin.Thisincludesstocksheldbyathirdpartyonbehalfofthelistedentities.LBMA–Respo

8、nsibleGoldGuidancePage1v.518Jan20131RefertodefinitionoftheOECDDueDiligenceGuidanceforResponsibleSupplyChainsofMineralsfromConflict-AffectedandHigh-RiskAreas,SupplementonGoldHumanrights:Forthepurposeoft