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Carlyle Group Inc.

For the period ended Sep 30, 2026. Filed Nov 6, 2026.

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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.

Sep 30, 2026 · Filed Nov 6, 2026

CG$42.31+6.6%Stored close · as of Nov 9, 2026

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Item 4. Controls and Procedures

Evaluation of Disclosure Controls and Procedures

We maintain disclosure controls and procedures (as that term is defined in Rules 13a-15(e) and

15d-15(e) under the Securities Exchange Act of 1934, as amended (the “Exchange Act”)) that are designed to

ensure that information required to be disclosed in our reports under the Exchange Act is recorded, processed,

summarized and reported within the time periods specified in the SEC’s rules and forms, and that such information

is accumulated and communicated to our management, including our principal executive officer and principal

financial officer, as appropriate, to allow timely decisions regarding required disclosures. In designing disclosure

controls and procedures, our management necessarily was required to apply its judgment in evaluating the cost-

benefit relationship of possible disclosure controls and procedures. The design of any disclosure controls and

procedures also is based in part upon certain assumptions about the likelihood of future events, and there can be

no assurance that any design will succeed in achieving its stated goals under all potential future conditions. Any

controls and procedures, no matter how well designed and operated, can provide only reasonable, not absolute,

assurance of achieving the desired control objectives.

Our management, with the participation of our principal executive officer and principal financial officer, has

evaluated the effectiveness of the design and operation of our disclosure controls and procedures as of the end of

the period covered by this report. Based upon that evaluation and subject to the foregoing, our principal executive

officer and principal financial officer concluded that, as of the end of the period covered by this report, the design

and operation of our disclosure controls and procedures were effective to accomplish their objectives at the

reasonable assurance level.

Changes in Internal Control over Financial Reporting

There have been no changes in our internal control over financial reporting (as defined in Rule 13a-15(f) and

15d-15(f) under the Exchange Act) during the fiscal quarter ended September 30, 2026 that have materially

affected, or that are reasonably likely to materially affect, our internal control over financial reporting.

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