Compliance & Due Diligence

Regulatory Standing

Rift Valley Minerals Ltd. is a Ugandan limited liability company operating under the supervision of multiple regulators. Every document referenced below is available to verified counterparties as part of our onboarding KYC pack.

Key Documents

• Certificate of Incorporation — Uganda Registration Services Bureau (URSB), reference [PLACEHOLDER]
• Gold Export Licence — Ministry of Energy and Mineral Development, reference [PLACEHOLDER]
• Directorate of Geological Survey and Mines registration — [PLACEHOLDER]
• Financial Intelligence Authority (FIA) registration — [PLACEHOLDER]
• Uganda Revenue Authority (URA) TIN — [PLACEHOLDER]

OECD Due Diligence Guidance

We align our supply chain with the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, with particular reference to Supplement II on gold. Our five-step framework mirrors the OECD model:

KYC & Anti-Money-Laundering

We operate a full KYC/AML programme under Ugandan law (the Anti-Money Laundering Act 2013 and amendments) and with reference to international FATF recommendations. Core controls include:

• Customer identification on every counterparty (corporate KYC, ultimate beneficial ownership, sanctions screening).
• Enhanced due diligence on politically exposed persons, high-risk jurisdictions, and unusual transaction patterns.
• Transaction monitoring with documented investigation of any flagged activity.
• Suspicious transaction reporting to the Uganda Financial Intelligence Authority in accordance with statutory obligations.
• Record retention of all customer and transaction records for a minimum of ten years.
• Annual staff training on AML/CFT, sanctions, and responsible sourcing.

Sanctions Compliance

We screen all counterparties against consolidated international sanctions lists (UN, OFAC, UK OFSI, EU). We do not transact with sanctioned individuals, entities, or jurisdictions. Our list of excluded jurisdictions tracks LBMA's Responsible Gold Guidance and OECD high-risk area guidance.

Supply-Chain Traceability

Every kilogram of gold Rift Valley Minerals handles is traceable back to a named, licensed source cooperative. Documentation maintained for each consignment includes:

• Source cooperative identification and licence number
• Mine of origin geographic coordinates
• Production and weight records
• Purchase invoices and payment records
• Internal pre-assay and independent assay reports
• Transport and custody chain from mine to export facility
• Uganda export permit and airway bill

Audits & Reviews

We welcome and facilitate buyer-side supply-chain audits by:

• Nominated independent auditors (KPMG, Deloitte, RCS Global, etc.)
• Buyer internal compliance teams
• Industry-body audits (LBMA-nominated, RJC)

Grievance Mechanism

We maintain an accessible grievance mechanism for any person or organisation with concerns about our sourcing or operations. Grievances can be submitted confidentially to compliance@riftvalleyminerals.com and are investigated by the Head of Compliance with written response within 30 days.

Anti-Fraud Statement

Requesting Our Compliance Pack

The full Rift Valley Minerals compliance pack — including certified copies of licences, our OECD-aligned DDG policy, AML/CFT policy, and most recent independent audit summary — is provided to qualified counterparties on request as part of onboarding KYC.