Supplier Management

Capital Futures is a financial services company, committed to becoming the most customer-centric digital financial company. Suppliers are indispensable partners to our company. Besides our efforts in implementing various Environmental, Social, and Governance (ESG) initiatives, we aim to leverage our influence to encourage suppliers to join us in these efforts.

Our company has specific regulations for suppliers regarding integrity management and sustainable development, as outlined in our Code of Integrity in Business Operations and Sustainable Development Practice Guidelines. In managing our suppliers, Capital Futures has announced the "Supplier Management Policy" on our company website. This policy explicitly includes aspects such as corporate ethics and integrity, risk management, labor and human rights, social responsibility, and environmental protection. Since the second half of 2020, we have required cooperating suppliers to fill out the "Supplier Corporate Social Responsibility Self-Assessment Form" and sign our "Supplier Management Policy Commitment Letter" upon contract signing, ensuring they meet several ESG requirements.Our company conducts a comprehensive evaluation of cooperating suppliers every fourth quarter. The responsible unit fills out the "Supplier Evaluation Form" to identify suppliers needing improvement, followed by subsequent tracking, review, and improvement. On December 10, 2024, the company conducted online training for suppliers to promote our company's ESG policies and concepts, effectively implementing supplier management.

Capital Futures hopes to implement supplier management through the above concrete measures, working hand in hand with cooperating suppliers to contribute to environmental protection and social sustainability. Together, we aim to move towards the goals of corporate and environmental sustainability.

• Employees of suppliers should avoid and refrain from engaging in improper and illegal activities related to conflicts of interest at work, including but not limited to bribery, fraud, and other violations of business integrity.
• Employees of suppliers should avoid and refrain from engaging in improper and illegal activities related to conflicts of interest in their work, including but not limited to bribery, fraud, and other violations of business integrity.

Suppliers should have a risk control mechanism in place, covering but not limited to trade secrets, information security, confidentiality measures, product manufacturing and transportation safety, and crisis management.

• Suppliers should uphold the basic human rights and rights of their employees, including but not limited to prohibiting the use of child labor.
• Suppliers commit to providing a humane workplace and prohibit any form of forced labor.
• Suppliers commit to treating all employees equally without discrimination based on race, class, status, language, ideology, religion, political affiliation, nationality, birthplace, gender, sexual orientation, age, marital status, appearance, physical features, disabilities, or any other personal circumstances.
• Suppliers ensure the respect for employees' rights to freely associate and engage in negotiations.
• Suppliers commit that labor working hours and compensation policies comply with local relevant laws and regulations.
• Suppliers should provide a healthy and safe working environment for their employees, commit to complying with local labor safety and health regulations, strive to promote workplace health, and make efforts to prevent occupational accidents.
• Suppliers should prioritize the protection of personal privacy.

• Suppliers commit to actively participating in public welfare activities within their capacity to promote social harmony and progress.
• Suppliers commit to complying with domestic environmental regulations and international standards, and ensure that the products they supply meet international and local environmental laws, free from banned or restricted substances, to uphold environmental sustainability.
• Suppliers commit to avoiding the depletion of water resources, air, and land in their operations. Within cost-effectiveness and technical feasibility, they should make every effort to minimize adverse impacts on human health and the environment by adopting the best pollution prevention measures.

Suppliers understand and agree to continuously implement the above requirements both now and in the future. They will also assist downstream suppliers in complying with this commitment through appropriate measures, collectively practicing corporate social responsibility.

This commitment letter applies to the supply relationship between the supplier and Capital Futures and is part of the cooperation contract. If any provision of this commitment letter is violated, the supplier agrees to make immediate improvements. If improvements cannot be made or the situation is severe, Capital Futures may terminate or end the cooperation contract and seek damages.

On December 10, 2024, our company conducted annual training for suppliers, focusing on promoting the Supplier Management Policy. The training covered the following topics:

Our company conducts annual evaluations of suppliers at the end of each year. Suppliers who do not pass the evaluation will be listed as those requiring improvement and will be monitored for progress.