Capital International, Inc..

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.A. or 11.B. of
Form ADV.
Criminal
Check item(s) being responded to:
11.A(1)
11.A(2)
11.B(1)
11.B(2)
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a
completed Execution Page. 
Multiple counts of the same charge arising out of the same event(s) should be reported on the same DRP. Unrelated criminal actions, including separate cases
arising out of the same event, must be reported on separate DRPs. Use this DRP to report all charges arising out of the same event. One event may result in more
than one affirmative answer to the items listed above.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
No Information Filed
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is registered
or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the adviser's or advisory
affiliate's favor.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the IARD
or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  If charge(s) were brought against an organization over which you or an advisory affiliate exercise(d) control: Enter organization name, whether or not the
organization was an investment-related business and your or the advisory affiliate's position, title, or relationship. 
N/A
2.
Formal Charge(s) were brought in: (include name of Federal, Military, State or Foreign Court, Location of Court - City or County and State or Country,
Docket/Case number). 
WEST KOWLOON MAGISTRATES' COURT, KOWLOON, HONG KONG. CASE NO.: WKS 14236/2021; WKS 14235/2021; WKS 14237/2021
3.
Event Disclosure Detail (Use this for both organizational and individual charges.)

A. Date First Charged (MM/DD/YYYY): 
10/26/2021
 Exact
 Explanation
If not exact, provide explanation:
B.
Event Disclosure Detail (include Charge(s)/Charge Description(s), and for each charge provide: (1) number of counts, (2) felony or misdemeanor, (3) plea
for each charge, and (4) product type if charge is investment-related). 
REGISTRANT PLEADED GUILTY TO THREE CHARGES OF VIOLATING SECTION 6(A)(2) OF THE IMPORT AND EXPORT ORDINANCE, CAP. 60, UNDER THE LAWS
OF THE HONG KONG SPECIAL ADMINISTRATIVE REGION. HONG KONG LAW DOES NOT DISTINGUISH BETWEEN FELONIES AND MISDEMEANORS.
C.
Did any of the Charge(s) within the Event involve a felony? 
 Yes
 No
D.
Current status of the Event? 
 Pending
 On Appeal
 Final
E.
Event Status Date (complete unless status is Pending) (MM/DD/YYYY): 
11/22/2021
 Exact
 Explanation
If not exact, provide explanation:
4.
Disposition Disclosure Detail: 
Include for each charge (a) Disposition Type (e.g., convicted, acquitted, dismissed, pretrial, etc.), (b) Date, (c) Sentence/Penalty, (d) Duration (if sentence -
suspension, probation, etc.), (e) Start Date of Penalty, (f) Penalty/Fine Amount, and (g) Date Paid. 
REGISTRANT ENTERED A GUILTY PLEA ON NOVEMBER 22, 2021, AND PAID A FINE OF HK$ 40,000 (APPROXIMATELY USD 5,150) ON NOVEMBER 25, 2021.
5.
Provide a brief summary of circumstances leading to the charge(s) as well as the disposition. Include the relevant dates when the conduct which was the
subject of the charge(s) occurred. (Your response must fit within the space provided.) 
ON NOVEMBER 22, 2021, CAPITAL INTERNATIONAL, INC. ("CIINC") PLEADED GUILTY TO THREE CHARGES OF IMPORTING INTERNET ROUTERS INTO HONG KONG
WITHOUT AN IMPORT LICENSE IN VIOLATION OF SECTION 6(A)(2) OF THE IMPORT AND EXPORT ORDINANCE, CAP. 60, UNDER THE LAWS OF THE HONG KONG
SPECIAL ADMINISTRATIVE REGION. THE CHARGES AROSE FROM SHIPMENTS MADE IN APRIL 2020 TO SUPPORT THE WORK-FROM-HOME EFFORTS OF CIINC
EMPLOYEES IN RESPONSE TO THE COVID-19 PANDEMIC AND ASSOCIATED GOVERNMENT LOCKDOWNS. CIINC FAILED TO TIMELY COMPLETE APPLICABLE
IMPORT PAPERWORK IN CONNECTION WITH THE SHIPMENTS. THE WEST KOWLOON MAGISTRATES' COURT ORDERED CIINC TO PAY A FINE OF HK$ 40,000
(APPROXIMATELY USD 5,150).

Includes form instructions and options. Options shown in this text do not identify which boxes were selected.

GENERAL INSTRUCTIONS
This Disclosure Reporting Page (DRP ADV) is an 
INITIAL OR
AMENDED response used to report details for affirmative responses to Items 11.C., 11.D., 11.E.,
11.F. or 11.G. of Form ADV.
Regulatory Action
Check item(s) being responded to:
11.C(1)
11.C(2)
11.C(3)
11.C(4)
11.C(5)
11.D(1)
11.D(2)
11.D(3)
11.D(4)
11.D(5)
11.E(1)
11.E(2)
11.E(3)
11.E(4)
11.F.
11.G.
Use a separate DRP for each event or proceeding . The same event or proceeding may be reported for more than one person or entity using one DRP. File with a
completed Execution Page. 
One event may result in more than one affirmative answer to Items 11.C., 11.D., 11.E., 11.F. or 11.G. Use only one DRP to report details related to the same event.
If an event gives rise to actions by more than one regulator, provide details for each action on a separate DRP.
PART I
A.  The person(s) or entity(ies) for whom this DRP is being filed is (are):
You (the advisory firm)
You and one or more of your advisory affiliates
One or more of your advisory affiliates
If this DRP is being filed for an advisory affiliate, give the full name of the advisory affiliate below (for individuals, Last name, First name, Middle name). 
If the advisory affiliate has a CRD number, provide that number. If not, indicate "non-registered" by checking the appropriate box.
ADV DRP - ADVISORY AFFILIATE
CRD
Number:
This advisory affiliate is 
a Firm
an Individual
Registered:
Yes
No
Name:
THE CAPITAL GROUP
COMPANIES, INC.
(For individuals, Last, First,

Middle)
This DRP should be removed from the ADV record because the advisory affiliate(s) is no longer associated with the adviser.
This DRP should be removed from the ADV record because: (1) the event or proceeding occurred more than ten years ago or (2) the adviser is registered
or applying for registration with the SEC or reporting as an exempt reporting adviser with the SEC and the event was resolved in the adviser's or advisory
affiliate's favor.
If you are registered or registering with a state securities authority , you may remove a DRP for an event you reported only in response to Item 11.D(4), and
only if that event occurred more than ten years ago. If you are registered or registering with the SEC, you may remove a DRP for any event listed in Item 11
that occurred more than ten years ago.
This DRP should be removed from the ADV record because it was filed in error, such as due to a clerical or data-entry mistake. Explain the circumstances: 
B.
If the advisory affiliate is registered through the IARD system or CRD system, has the advisory affiliate submitted a DRP (with Form ADV, BD or U-4) to the IARD
or CRD for the event? If the answer is "Yes," no other information on this DRP must be provided.
 Yes
 No
NOTE: The completion of this form does not relieve the advisory affiliate of its obligation to update its IARD or CRD records.
PART II
1.  Regulatory Action initiated by:
SEC   
Other Federal   
State   
SRO
Foreign
(Full name of regulator, foreign financial regulatory authority, federal, state, or SRO) 
FINANSINSPEKTIONEN (SWEDISH FINANCIAL SUPERVISORY AUTHORITY (THE "SFSA"))
2.
Principal Sanction:
Civil and Administrative Penalt(ies) /Fine(s)
Other Sanctions: 
3.
Date Initiated (MM/DD/YYYY): 
04/08/2026
 Exact
 Explanation
If not exact, provide explanation:
4.
Docket/Case Number:
5.
Advisory Affiliate Employing Firm when activity occurred which led to the regulatory action (if applicable):
6.
Principal Product Type:
Equity Listed (Common & Preferred Stock)
Other Product Types: 
7.
Describe the allegations related to this regulatory action (your response must fit within the space provided):
THE SFSA FOUND THAT THE REGISTRANT'S ULTIMATE PARENT COMPANY, THE CAPITAL GROUP COMPANIES, INC. ("CGC"), DID NOT SUBMIT CERTAIN
NOTIFICATIONS OF CHANGES IN MAJOR SHAREHOLDINGS FOR SHARES HELD IN A CANADIAN COMPANY, WHOSE COMMON SHARES ARE LISTED ON THE
TORONTO STOCK EXCHANGE AND NASDAQ STOCKHOLM EXCHANGE, WITHIN THE PRESCRIBED TIME LIMITS. THE SHARES WERE HELD BY CLIENT ACCOUNTS
MANAGED BY CGC'S INVESTMENT ADVISORY SUBSIDIARIES AND CONSISTED ENTIRELY OF COMMON STOCK LISTED ON THE TORONTO STOCK EXCHANGE. ALL
NECESSARY FILINGS WITH THE RELEVANT CANADIAN REGULATOR AND THE COMPANY WERE MADE WITHIN THE PRESCRIBED TIME LIMITS.
8.
Current Status?      
 Pending
 On Appeal
 Final
9.
If on appeal, regulatory action appealed to (SEC, SRO, Federal or State Court) and Date Appeal Filed:
If Final or On Appeal, complete all items below. For Pending Actions, complete Item 13 only.
10. How was matter resolved:
Decision
11. Resolution Date (MM/DD/YYYY):
05/22/2026
 Exact
 Explanation
If not exact, provide explanation:
12. Resolution Detail:
A.  Were any of the following Sanctions Ordered (check all appropriate items)?

 Monetary/Fine Amount: $ 325,000.00
 Revocation/Expulsion/Denial
 Disgorgement/Restitution
 Censure
 Cease and Desist/Injunction
 Bar
 Suspension
B.
Other Sanctions Ordered:
Sanction detail: if suspended, enjoined or barred, provide duration including start date and capacities affected (General Securities Principal, Financial
Operations Principal, etc.). If requalification by exam/retraining was a condition of the sanction, provide length of time given to requalify/retrain, type of
exam required and whether condition has been satisfied. If disposition resulted in a fine, penalty, restitution, disgorgement or monetary compensation,
provide total amount, portion levied against you or an advisory affiliate, date paid and if any portion of penalty was waived: 
THE SFSA IMPOSED AN ADMINISTRATIVE FINE OF SEK 3,000,000 (APPROXIMATELY $325,000) ON CGC. THE FINE WAS PAID ON MAY 22, 2026.
13. Provide a brief summary of details related to the action status and (or) disposition and include relevant terms, conditions and dates (your response must fit
within the space provided).
THE SFSA IMPOSED AN ADMINISTRATIVE FINE OF SEK 3,000,000 (APPROXIMATELY $325,000) ON CGC. THE FINE WAS PAID ON MAY 22, 2026.