Answer 1: If the relevant A shares the investor holds is under the custody of the securities firm, the securities firm shall ensure that the odd lot to be sold via it is the total number of odd lot shares of the same stock held by the investor under the custody of the securities firm, before the odd lot sell order can be submitted. If the relevant A shares the investor holds are not under the custody of the securities firm, the securities firm does not need to confirm with the investor whether the odd lot order submitted includes all the odd lot shares the investor holds of the same stock (i.e. the securities firm does not need to confirm with the investor whether the investor holds an odd lot of the same stock at other securities firms or custodians) before the sell order can be submitted. However, it is the securities firm’s responsibility to ensure in an appropriate manner that the investor is aware of his or her responsibility to comply with the relevant rules regarding odd lot trading. If the securities firm discovers ex post that the investor has violated the odd lot trading rules, the securities firm shall promptly remind the investor and stop such violation.

Answer 2: For an investor whose A shares are under the custody of a securities firm, when the investor cancels the remaining unexecuted odd lot in the order and then re-submits for selling, the securities firm needs to ensure that the odd lot re-submitted for selling includes all the odd lot shares of the same stock held by the investor before it can be submitted to sell. For an investor whose A shares are not under the custody of a securities firm, the securities firm does not need to ensure that the odd lot re-submitted for selling includes the same number of shares as odd lot of the same stock held by the investor. That is to say, the securities firm does not need to confirm with the investor whether the investor holds other odd shares of the same stock through other securities firm(s) or custodian(s) before submitting sell order.

Answer 3: In such case, the investor does not need to cancel the second order (an odd lot sell order) and is not required to combine it with the previous unfilled odd lot sell order.

Answer 4: When placing an odd lot sell order, the investor should place a sell order for all the odd lot shares of the same stock held in the corresponding trading account in one go.