{"id":460,"date":"2026-08-28T03:46:32","date_gmt":"2026-08-28T03:46:32","guid":{"rendered":"https:\/\/m4markets.com\/media-vn\/?p=460"},"modified":"2026-08-28T03:46:35","modified_gmt":"2026-08-28T03:46:35","slug":"introducing-broker-requirements","status":"publish","type":"post","link":"https:\/\/m4markets.com\/media-vn\/introducing-broker-requirements\/","title":{"rendered":"H\u01b0\u1edbng D\u1eabn To\u00e0n Di\u1ec7n v\u1ec1 Quy \u0110\u1ecbnh d\u00e0nh cho Introducing Broker (IB): T\u1ed5ng h\u1ee3p Y\u00eau c\u1ea7u Tu\u00e2n th\u1ee7 NFA\u00b7CFTC"},"content":{"rendered":"\n<p class=\"wp-block-paragraph\">Introducing Broker (IB) \u0111\u00f3ng vai tr\u00f2 then ch\u1ed1t trong vi\u1ec7c k\u1ebft n\u1ed1i kh\u00e1ch h\u00e0ng v\u1edbi c\u00e1c t\u1ed5 ch\u1ee9c thanh to\u00e1n b\u00f9 tr\u1eeb tr\u00ean c\u00e1c th\u1ecb tr\u01b0\u1eddng h\u1ee3p \u0111\u1ed3ng t\u01b0\u01a1ng lai, quy\u1ec1n ch\u1ecdn h\u00e0ng h\u00f3a, ngo\u1ea1i h\u1ed1i v\u00e0 ho\u00e1n \u0111\u1ed5i (swap). Tuy nhi\u00ean, \u0111\u1ec3 th\u1ef1c hi\u1ec7n vai tr\u00f2 n\u00e0y m\u1ed9t c\u00e1ch h\u1ee3p ph\u00e1p, c\u00e1 nh\u00e2n ho\u1eb7c t\u1ed5 ch\u1ee9c ph\u1ea3i \u0111\u00e1p \u1ee9ng c\u00e1c y\u00eau c\u1ea7u nghi\u00eam ng\u1eb7t v\u1ec1 \u0111\u0103ng k\u00fd, v\u1eadn h\u00e0nh v\u00e0 tu\u00e2n th\u1ee7 ph\u00e1p l\u00fd do c\u01a1 quan qu\u1ea3n l\u00fd t\u1eebng qu\u1ed1c gia \u0111\u1eb7t ra. Ri\u00eang t\u1ea1i M\u1ef9, Hi\u1ec7p h\u1ed9i H\u1ee3p \u0111\u1ed3ng T\u01b0\u01a1ng lai Qu\u1ed1c gia (National Futures Association \u2013 NFA) v\u00e0 \u1ee6y ban Giao d\u1ecbch H\u00e0ng h\u00f3a T\u01b0\u01a1ng lai (Commodity Futures Trading Commission \u2013 CFTC) quy \u0111\u1ecbnh chi ti\u1ebft ph\u1ea1m vi ho\u1ea1t \u0111\u1ed9ng v\u00e0 ngh\u0129a v\u1ee5 c\u1ee7a IB.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">H\u01b0\u1edbng d\u1eabn n\u00e0y t\u1ed5ng h\u1ee3p c\u00f3 h\u1ec7 th\u1ed1ng c\u00e1c y\u00eau c\u1ea7u \u0111\u0103ng k\u00fd, ti\u00eau chu\u1ea9n v\u1ed1n t\u1ef1 c\u00f3, ngh\u0129a v\u1ee5 tu\u00e2n th\u1ee7, c\u0169ng nh\u01b0 s\u1ef1 kh\u00e1c bi\u1ec7t gi\u1eefa IB \u0111\u1ed9c l\u1eadp v\u00e0 IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh \u2013 nh\u1eefng \u0111i\u1ec1u m\u00e0 c\u00e1 nh\u00e2n ho\u1eb7c t\u1ed5 ch\u1ee9c mu\u1ed1n tr\u1edf th\u00e0nh IB c\u1ea7n n\u1eafm r\u00f5. N\u1ed9i dung n\u00e0y \u0111\u1eb7c bi\u1ec7t h\u1eefu \u00edch cho nh\u1eefng ai \u0111ang c\u00e2n nh\u1eafc<a href=\"https:\/\/m4markets.com\/vi\/partnerships\/introducing-brokers\/\"> ch\u01b0\u01a1ng tr\u00ecnh \u0111\u1ed1i t\u00e1c IB c\u1ee7a M4Markets<\/a> ho\u1eb7c mu\u1ed1n t\u00ecm hi\u1ec3u v\u1ec1 m\u00f4i tr\u01b0\u1eddng ph\u00e1p l\u00fd tr\u01b0\u1edbc khi b\u1eaft \u0111\u1ea7u.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">T\u00f3m t\u1eaft n\u1ed9i dung ch\u00ednh<\/h2>\n\n\n\n<ul class=\"wp-block-list\">\n<li>IB ti\u1ebfp nh\u1eadn ho\u1eb7c ch\u00e0o m\u1eddi l\u1ec7nh giao d\u1ecbch t\u1eeb kh\u00e1ch h\u00e0ng nh\u01b0ng kh\u00f4ng tr\u1ef1c ti\u1ebfp n\u1eafm gi\u1eef ti\u1ec1n ho\u1eb7c t\u00e0i s\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng<\/li>\n\n\n\n<li>\u0110\u1ec3 ho\u1ea1t \u0111\u1ed9ng v\u1edbi t\u01b0 c\u00e1ch IB t\u1ea1i M\u1ef9, c\u1ea7n \u0111\u0103ng k\u00fd v\u1edbi NFA v\u00e0 \u0111\u00e1p \u1ee9ng y\u00eau c\u1ea7u v\u1ed1n t\u1ef1 c\u00f3 t\u1ed1i thi\u1ec3u<\/li>\n\n\n\n<li>IB \u0111\u1ed9c l\u1eadp c\u00f3 ngh\u0129a v\u1ee5 b\u00e1o c\u00e1o t\u00e0i ch\u00ednh ri\u00eang, trong khi IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh s\u1ebd chia s\u1ebb tr\u00e1ch nhi\u1ec7m \u0111\u00f3 v\u1edbi FCM b\u1ea3o l\u00e3nh<\/li>\n\n\n\n<li>C\u00e1c ngh\u0129a v\u1ee5 tu\u00e2n th\u1ee7 li\u00ean t\u1ee5c bao g\u1ed3m ph\u00f2ng ch\u1ed1ng r\u1eeda ti\u1ec1n (AML), quy tr\u00ecnh gi\u00e1m s\u00e1t, v\u00e0 l\u01b0u tr\u1eef s\u1ed5 s\u00e1ch \u2013 h\u1ed3 s\u01a1<\/li>\n\n\n\n<li>T\u1ea1i c\u00e1c khu v\u1ef1c ph\u00e1p l\u00fd kh\u00e1c nh\u01b0 EU, c\u00e1c khung ph\u00e1p l\u00fd ri\u00eang bi\u1ec7t nh\u01b0 MiFID II s\u1ebd \u0111\u01b0\u1ee3c \u00e1p d\u1ee5ng<\/li>\n<\/ul>\n\n\n\n<h2 class=\"wp-block-heading\">Introducing Broker (IB) l\u00e0 g\u00ec?<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">Introducing Broker l\u00e0 c\u00e1 nh\u00e2n ho\u1eb7c t\u1ed5 ch\u1ee9c ch\u00e0o m\u1eddi ho\u1eb7c ti\u1ebfp nh\u1eadn l\u1ec7nh giao d\u1ecbch c\u1ee7a kh\u00e1ch h\u00e0ng trong c\u00e1c l\u0129nh v\u1ef1c h\u1ee3p \u0111\u1ed3ng t\u01b0\u01a1ng lai, quy\u1ec1n ch\u1ecdn h\u00e0ng h\u00f3a, ngo\u1ea1i h\u1ed1i b\u00e1n l\u1ebb ngo\u00e0i s\u00e0n (retail off-exchange forex) v\u00e0 giao d\u1ecbch ho\u00e1n \u0111\u1ed5i (swap). \u0110\u1eb7c \u0111i\u1ec3m c\u1ed1t l\u00f5i l\u00e0 IB kh\u00f4ng tr\u1ef1c ti\u1ebfp n\u1eafm gi\u1eef ti\u1ec1n ho\u1eb7c t\u00e0i s\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng. Vi\u1ec7c th\u1ef1c hi\u1ec7n v\u00e0 thanh to\u00e1n b\u00f9 tr\u1eeb giao d\u1ecbch th\u1ef1c t\u1ebf do Futures Commission Merchant (FCM) \u0111\u1ea3m nh\u1eadn.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Theo \u0111\u1ecbnh ngh\u0129a c\u1ee7a NFA, IB l\u00e0 c\u00e1 nh\u00e2n ho\u1eb7c t\u1ed5 ch\u1ee9c ch\u00e0o m\u1eddi ho\u1eb7c ti\u1ebfp nh\u1eadn l\u1ec7nh mua\/b\u00e1n h\u1ee3p \u0111\u1ed3ng t\u01b0\u01a1ng lai ho\u1eb7c quy\u1ec1n ch\u1ecdn h\u00e0ng h\u00f3a, nh\u01b0ng kh\u00f4ng tr\u1ef1c ti\u1ebfp th\u1ef1c hi\u1ec7n giao d\u1ecbch hay n\u1eafm gi\u1eef t\u00e0i kho\u1ea3n kh\u00e1ch h\u00e0ng. C\u01a1 c\u1ea5u n\u00e0y cho ph\u00e9p IB t\u1eadp trung v\u00e0o vi\u1ec7c x\u00e2y d\u1ef1ng quan h\u1ec7 kh\u00e1ch h\u00e0ng v\u00e0 gi\u00e1o d\u1ee5c th\u1ecb tr\u01b0\u1eddng, trong khi FCM x\u1eed l\u00fd c\u00e1c nghi\u1ec7p v\u1ee5 thanh to\u00e1n b\u00f9 tr\u1eeb ph\u1ee9c t\u1ea1p.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Tho\u1ea1t nh\u00ecn, IB c\u00f3 v\u1ebb t\u01b0\u01a1ng t\u1ef1 broker th\u00f4ng th\u01b0\u1eddng \u1edf ch\u1ed7 \u0111\u1ec1u \u0111\u00f3ng vai tr\u00f2 trung gian, nh\u01b0ng c\u00f3 s\u1ef1 kh\u00e1c bi\u1ec7t quan tr\u1ecdng. Trong khi broker \u0111\u00f4i khi tr\u1ef1c ti\u1ebfp th\u1ef1c hi\u1ec7n giao d\u1ecbch v\u1edbi t\u01b0 c\u00e1ch trung gian, IB ch\u1ec9 gi\u1edbi h\u1ea1n \u1edf vi\u1ec7c k\u1ebft n\u1ed1i kh\u00e1ch h\u00e0ng v\u1edbi FCM m\u00e0 kh\u00f4ng c\u00f3 quy\u1ec1n th\u1ef1c hi\u1ec7n l\u1ec7nh.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">Khung ph\u00e1p l\u00fd qu\u1ea3n l\u00fd IB t\u1ea1i M\u1ef9: Vai tr\u00f2 c\u1ee7a NFA v\u00e0 CFTC<\/h2>\n\n\n\n<figure class=\"wp-block-image size-large\"><img loading=\"lazy\" decoding=\"async\" width=\"1024\" height=\"572\" src=\"https:\/\/m4markets.com\/media-vn\/wp-content\/uploads\/sites\/7\/2026\/08\/regulatory-framework-1024x572.webp\" alt=\"\u0110\u1ed3 h\u1ecda minh h\u1ecda c\u01a1 c\u1ea5u ph\u00e2n chia tr\u00e1ch nhi\u1ec7m gi\u1eefa hai c\u01a1 quan qu\u1ea3n l\u00fd c\u1ee7a M\u1ef9 trong vi\u1ec7c thi\u1ebft l\u1eadp ti\u00eau chu\u1ea9n \u0111\u0103ng k\u00fd v\u00e0 gi\u00e1m s\u00e1t tu\u00e2n th\u1ee7.\" class=\"wp-image-462\" srcset=\"https:\/\/m4markets.com\/media-vn\/wp-content\/uploads\/sites\/7\/2026\/08\/regulatory-framework-1024x572.webp 1024w, https:\/\/m4markets.com\/media-vn\/wp-content\/uploads\/sites\/7\/2026\/08\/regulatory-framework-300x167.webp 300w, https:\/\/m4markets.com\/media-vn\/wp-content\/uploads\/sites\/7\/2026\/08\/regulatory-framework-768x429.webp 768w, https:\/\/m4markets.com\/media-vn\/wp-content\/uploads\/sites\/7\/2026\/08\/regulatory-framework-1536x857.webp 1536w, https:\/\/m4markets.com\/media-vn\/wp-content\/uploads\/sites\/7\/2026\/08\/regulatory-framework-2048x1143.webp 2048w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/figure>\n\n\n\n<p class=\"wp-block-paragraph\">Hai c\u01a1 quan ch\u1ee7 ch\u1ed1t qu\u1ea3n l\u00fd ho\u1ea1t \u0111\u1ed9ng IB t\u1ea1i M\u1ef9 l\u00e0 NFA v\u00e0 CFTC. CFTC l\u00e0 c\u01a1 quan qu\u1ea3n l\u00fd li\u00ean bang ch\u1ecbu tr\u00e1ch nhi\u1ec7m thi\u1ebft l\u1eadp c\u00e1c ti\u00eau chu\u1ea9n ch\u00ednh s\u00e1ch t\u1ed5ng th\u1ec3, c\u00f2n NFA l\u00e0 t\u1ed5 ch\u1ee9c t\u1ef1 qu\u1ea3n tr\u1ef1c ti\u1ebfp th\u1ef1c thi vi\u1ec7c \u0111\u0103ng k\u00fd, gi\u00e1m s\u00e1t v\u00e0 tu\u00e2n th\u1ee7 quy \u0111\u1ecbnh.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\">Vai tr\u00f2 c\u1ee7a CFTC<\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">CFTC l\u00e0 c\u01a1 quan gi\u00e1m s\u00e1t th\u1ecb tr\u01b0\u1eddng h\u1ee3p \u0111\u1ed3ng t\u01b0\u01a1ng lai v\u00e0 quy\u1ec1n ch\u1ecdn h\u00e0ng h\u00f3a, ph\u00e2n lo\u1ea1i IB l\u00e0 \u0111\u1ed1i t\u01b0\u1ee3ng ch\u1ecbu s\u1ef1 qu\u1ea3n l\u00fd v\u00e0 \u00e1p \u0111\u1eb7t c\u00e1c ngh\u0129a v\u1ee5 c\u01a1 b\u1ea3n. C\u1ee5 th\u1ec3, CFTC quy \u0111\u1ecbnh c\u00e1c chu\u1ea9n m\u1ef1c h\u00e0nh vi v\u00e0 ti\u00eau chu\u1ea9n b\u00e1o c\u00e1o m\u00e0 IB ph\u1ea3i tu\u00e2n th\u1ee7 trong l\u0129nh v\u1ef1c giao d\u1ecbch ho\u00e1n \u0111\u1ed5i v\u00e0 ngo\u1ea1i h\u1ed1i b\u00e1n l\u1ebb ngo\u00e0i s\u00e0n.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\">Vai tr\u00f2 v\u00e0 quy \u0111\u1ecbnh c\u1ee7a NFA<\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">NFA c\u00f3 th\u1ea9m quy\u1ec1n t\u1ef1 qu\u1ea3n l\u00fd \u0111\u1ed1i v\u1edbi c\u00e1c t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd v\u1edbi CFTC. C\u00e1c IB \u0111\u00e3 \u0111\u0103ng k\u00fd l\u00e0m th\u00e0nh vi\u00ean NFA ph\u1ea3i tu\u00e2n th\u1ee7 to\u00e0n b\u1ed9 quy \u0111\u1ecbnh c\u1ee7a NFA, bao g\u1ed3m ch\u00ednh s\u00e1ch AML, ki\u1ec3m duy\u1ec7t t\u00e0i li\u1ec7u kinh doanh, x\u1eed l\u00fd tranh ch\u1ea5p kh\u00e1ch h\u00e0ng v\u00e0 khung an ninh m\u1ea1ng. M\u1ee5c 5 v\u1ec1 Y\u00eau c\u1ea7u T\u00e0i ch\u00ednh c\u1ee7a NFA (NFA Financial Requirements Section 5) l\u00e0 \u0111i\u1ec1u kho\u1ea3n c\u1ed1t l\u00f5i quy \u0111\u1ecbnh m\u1ee9c v\u1ed1n t\u1ef1 c\u00f3 t\u1ed1i thi\u1ec3u \u0111\u1ed1i v\u1edbi IB \u0111\u1ed9c l\u1eadp.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">Ph\u00e2n lo\u1ea1i IB: S\u1ef1 kh\u00e1c bi\u1ec7t gi\u1eefa IB \u0111\u1ed9c l\u1eadp v\u00e0 IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh<\/h2>\n\n\n\n<figure class=\"wp-block-image size-large\"><img loading=\"lazy\" decoding=\"async\" width=\"1024\" height=\"572\" src=\"https:\/\/m4markets.com\/media-vn\/wp-content\/uploads\/sites\/7\/2026\/08\/broker-types-1024x572.webp\" alt=\"\u0110\u1ed3 h\u1ecda so s\u00e1nh y\u00eau c\u1ea7u v\u1ed1n, tr\u00e1ch nhi\u1ec7m b\u00e1o c\u00e1o v\u00e0 m\u1ed1i quan h\u1ec7 v\u1eadn h\u00e0nh gi\u1eefa IB \u0111\u1ed9c l\u1eadp v\u00e0 IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh.\" class=\"wp-image-463\" srcset=\"https:\/\/m4markets.com\/media-vn\/wp-content\/uploads\/sites\/7\/2026\/08\/broker-types-1024x572.webp 1024w, https:\/\/m4markets.com\/media-vn\/wp-content\/uploads\/sites\/7\/2026\/08\/broker-types-300x167.webp 300w, https:\/\/m4markets.com\/media-vn\/wp-content\/uploads\/sites\/7\/2026\/08\/broker-types-768x429.webp 768w, https:\/\/m4markets.com\/media-vn\/wp-content\/uploads\/sites\/7\/2026\/08\/broker-types-1536x857.webp 1536w, https:\/\/m4markets.com\/media-vn\/wp-content\/uploads\/sites\/7\/2026\/08\/broker-types-2048x1143.webp 2048w\" sizes=\"auto, (max-width: 1024px) 100vw, 1024px\" \/><\/figure>\n\n\n\n<p class=\"wp-block-paragraph\">IB \u0111\u01b0\u1ee3c chia th\u00e0nh hai lo\u1ea1i ch\u00ednh: IB \u0111\u1ed9c l\u1eadp (Independent IB) v\u00e0 IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh (Guaranteed IB). Hai lo\u1ea1i n\u00e0y c\u00f3 s\u1ef1 kh\u00e1c bi\u1ec7t c\u0103n b\u1ea3n v\u1ec1 y\u00eau c\u1ea7u v\u1ed1n t\u1ef1 c\u00f3, ngh\u0129a v\u1ee5 b\u00e1o c\u00e1o t\u00e0i ch\u00ednh v\u00e0 c\u1ea5u tr\u00fac quan h\u1ec7 v\u1edbi FCM.<\/p>\n\n\n\n<figure class=\"wp-block-table\"><table class=\"has-fixed-layout\"><tbody><tr><td>Ti\u00eau ch\u00ed<\/td><td>IB \u0111\u1ed9c l\u1eadp<\/td><td>IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh<\/td><\/tr><tr><td>Y\u00eau c\u1ea7u v\u1ed1n t\u1ef1 c\u00f3<\/td><td>V\u1ed1n r\u00f2ng \u0111i\u1ec1u ch\u1ec9nh (adjusted net capital) t\u1ed1i thi\u1ec3u t\u1eeb $50.000 tr\u1edf l\u00ean<\/td><td>C\u00f3 th\u1ec3 thay th\u1ebf b\u1eb1ng b\u1ea3o l\u00e3nh c\u1ee7a FCM<\/td><\/tr><tr><td>Ngh\u0129a v\u1ee5 b\u00e1o c\u00e1o t\u00e0i ch\u00ednh<\/td><td>N\u1ed9p b\u00e1o c\u00e1o t\u00e0i ch\u00ednh \u0111\u1ecbnh k\u1ef3 cho NFA<\/td><td>FCM b\u1ea3o l\u00e3nh ch\u1ecbu tr\u00e1ch nhi\u1ec7m<\/td><\/tr><tr><td>M\u1ed1i quan h\u1ec7 v\u1edbi FCM<\/td><td>Ho\u1ea1t \u0111\u1ed9ng \u0111\u1ed9c l\u1eadp<\/td><td>K\u00fd k\u1ebft h\u1ee3p \u0111\u1ed3ng b\u1ea3o l\u00e3nh (guarantee agreement)<\/td><\/tr><tr><td>Quy tr\u00e1ch nhi\u1ec7m<\/td><td>B\u1ea3n th\u00e2n IB ch\u1ecbu tr\u00e1ch nhi\u1ec7m<\/td><td>FCM b\u1ea3o l\u00e3nh ch\u1ecbu tr\u00e1ch nhi\u1ec7m li\u00ean \u0111\u1edbi<\/td><\/tr><tr><td>T\u00ednh linh ho\u1ea1t trong v\u1eadn h\u00e0nh<\/td><td>C\u00f3 th\u1ec3 h\u1ee3p t\u00e1c v\u1edbi nhi\u1ec1u FCM<\/td><td>Gi\u1edbi h\u1ea1n trong ph\u1ea1m vi FCM b\u1ea3o l\u00e3nh<\/td><\/tr><\/tbody><\/table><\/figure>\n\n\n\n<h3 class=\"wp-block-heading\">\u0110\u1eb7c \u0111i\u1ec3m c\u1ee7a IB \u0111\u1ed9c l\u1eadp<\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">IB \u0111\u1ed9c l\u1eadp ho\u1ea1t \u0111\u1ed9ng t\u1ef1 ch\u1ee7 m\u00e0 kh\u00f4ng c\u00f3 FCM b\u1ea3o l\u00e3nh. C\u1ea5u tr\u00fac n\u00e0y mang l\u1ea1i quy\u1ec1n t\u1ef1 ch\u1ee7 v\u1eadn h\u00e0nh cao h\u01a1n, nh\u01b0ng \u0111\u1ed3ng th\u1eddi y\u00eau c\u1ea7u IB ph\u1ea3i n\u1ed9p b\u00e1o c\u00e1o t\u00e0i ch\u00ednh tr\u1ef1c ti\u1ebfp cho NFA v\u00e0 duy tr\u00ec m\u1ee9c v\u1ed1n t\u1ef1 c\u00f3 t\u1ed1i thi\u1ec3u li\u00ean t\u1ee5c. Ngo\u00e0i ra, IB \u0111\u1ed9c l\u1eadp ph\u1ea3i x\u00e2y d\u1ef1ng h\u1ec7 th\u1ed1ng gi\u00e1m s\u00e1t n\u1ed9i b\u1ed9 v\u00e0 ch\u01b0\u01a1ng tr\u00ecnh AML ri\u00eang.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\">\u0110\u1eb7c \u0111i\u1ec3m c\u1ee7a IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh<\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh k\u00fd k\u1ebft h\u1ee3p \u0111\u1ed3ng b\u1ea3o l\u00e3nh ch\u00ednh th\u1ee9c v\u1edbi FCM, qua \u0111\u00f3 \u0111\u01b0\u1ee3c mi\u1ec5n c\u00e1c y\u00eau c\u1ea7u v\u1ec1 v\u1ed1n t\u1ef1 c\u00f3 ri\u00eang v\u00e0 ngh\u0129a v\u1ee5 b\u00e1o c\u00e1o t\u00e0i ch\u00ednh \u0111\u1ed9c l\u1eadp. Thay v\u00e0o \u0111\u00f3, FCM b\u1ea3o l\u00e3nh ch\u1ecbu tr\u00e1ch nhi\u1ec7m li\u00ean \u0111\u1edbi \u0111\u1ed1i v\u1edbi c\u00e1c h\u00e0nh vi v\u00e0 thi\u1ebfu s\u00f3t c\u1ee7a IB \u0111\u00f3. C\u1ea5u tr\u00fac n\u00e0y gi\u00fap c\u00e1c IB quy m\u00f4 nh\u1ecf ho\u1eb7c doanh nghi\u1ec7p \u0111ang trong giai \u0111o\u1ea1n gia nh\u1eadp th\u1ecb tr\u01b0\u1eddng c\u00f3 th\u1ec3 b\u1eaft \u0111\u1ea7u ho\u1ea1t \u0111\u1ed9ng v\u1edbi r\u00e0o c\u1ea3n gia nh\u1eadp t\u01b0\u01a1ng \u0111\u1ed1i th\u1ea5p h\u01a1n.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\"><a href=\"https:\/\/m4markets.com\/media-vn\/guaranteed-vs-independent-introducing-broker\/\">Tham kh\u1ea3o h\u01b0\u1edbng d\u1eabn n\u00e0y \u0111\u1ec3 t\u00ecm hi\u1ec3u chi ti\u1ebft h\u01a1n v\u1ec1 s\u1ef1 kh\u00e1c bi\u1ec7t gi\u1eefa IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh v\u00e0 IB \u0111\u1ed9c l\u1eadp.<\/a><\/p>\n\n\n\n<h2 class=\"wp-block-heading\">Y\u00eau c\u1ea7u \u0111\u0103ng k\u00fd IB: Quy tr\u00ecnh t\u1eebng b\u01b0\u1edbc<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">Quy tr\u00ecnh \u0111\u0103ng k\u00fd IB t\u1ea1i Hoa K\u1ef3 \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n th\u00f4ng qua h\u1ec7 th\u1ed1ng \u0111\u0103ng k\u00fd tr\u1ef1c tuy\u1ebfn c\u1ee7a NFA. C\u00e1c y\u00eau c\u1ea7u v\u00e0 th\u1ee7 t\u1ee5c ch\u00ednh bao g\u1ed3m:<\/p>\n\n\n\n<h3 class=\"wp-block-heading\">B\u01b0\u1edbc 1: \u0110\u0103ng k\u00fd tr\u1ef1c tuy\u1ebfn NFA v\u00e0 n\u1ed9p \u0111\u01a1n xin th\u00e0nh vi\u00ean<\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">N\u1ed9p m\u1eabu \u0111\u0103ng k\u00fd ph\u00e1p nh\u00e2n (Form 7-R) v\u00e0 B\u1ea3ng c\u00e2u h\u1ecfi th\u00e0nh vi\u00ean (Member Questionnaire) tr\u00ean c\u1ed5ng \u0111\u0103ng k\u00fd tr\u1ef1c tuy\u1ebfn c\u1ee7a NFA. Ph\u00ed \u0111\u0103ng k\u00fd c\u0169ng \u0111\u01b0\u1ee3c thanh to\u00e1n \u1edf b\u01b0\u1edbc n\u00e0y.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\">B\u01b0\u1edbc 2: \u0110\u0103ng k\u00fd c\u00e1n b\u1ed9, nh\u00e2n vi\u00ean v\u00e0 ng\u01b0\u1eddi li\u00ean quan<\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">Ph\u1ea3i n\u1ed9p Form 8-R cho t\u1eebng Ng\u01b0\u1eddi ph\u1ee5 tr\u00e1ch ch\u00ednh (Principal) v\u00e0 Ng\u01b0\u1eddi li\u00ean quan (Associated Person, AP), \u0111\u1ed3ng th\u1eddi ho\u00e0n t\u1ea5t th\u1ee7 t\u1ee5c l\u1ea5y d\u1ea5u v\u00e2n tay. Ngo\u00e0i ra, c\u1ea7n \u0111\u00e1p \u1ee9ng c\u00e1c y\u00eau c\u1ea7u v\u1ec1 b\u1eb1ng c\u1ea5p v\u00e0 ch\u1ee9ng ch\u1ec9 li\u00ean quan, trong \u0111\u00f3 \u00edt nh\u1ea5t m\u1ed9t ng\u01b0\u1eddi ph\u1ee5 tr\u00e1ch ch\u00ednh ph\u1ea3i c\u00f3 t\u01b0 c\u00e1ch AP.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\">B\u01b0\u1edbc 3: X\u00e2y d\u1ef1ng c\u00e1c ch\u00ednh s\u00e1ch v\u00e0 quy tr\u00ecnh n\u1ed9i b\u1ed9 b\u1eaft bu\u1ed9c<\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">NFA y\u00eau c\u1ea7u ph\u1ea3i c\u00f3 quy tr\u00ecnh gi\u00e1m s\u00e1t b\u1eb1ng v\u0103n b\u1ea3n (written supervisory procedures) cho c\u00e1c l\u0129nh v\u1ef1c sau:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Ch\u01b0\u01a1ng tr\u00ecnh ch\u1ed1ng r\u1eeda ti\u1ec1n (AML)<\/li>\n\n\n\n<li>K\u1ebf ho\u1ea1ch duy tr\u00ec ho\u1ea1t \u0111\u1ed9ng kinh doanh v\u00e0 ph\u1ee5c h\u1ed3i sau th\u1ea3m h\u1ecda<\/li>\n\n\n\n<li>Ch\u00ednh s\u00e1ch an ninh m\u1ea1ng<\/li>\n\n\n\n<li>Quy tr\u00ecnh xem x\u00e9t v\u00e0 ph\u00ea duy\u1ec7t t\u00e0i li\u1ec7u kinh doanh<\/li>\n\n\n\n<li>H\u1ec7 th\u1ed1ng x\u1eed l\u00fd khi\u1ebfu n\u1ea1i c\u1ee7a kh\u00e1ch h\u00e0ng<\/li>\n\n\n\n<li>Gi\u00e1m s\u00e1t \u0111\u1ecbnh tuy\u1ebfn l\u1ec7nh t\u1ef1 \u0111\u1ed9ng (n\u1ebfu c\u00f3 \u00e1p d\u1ee5ng)<\/li>\n<\/ul>\n\n\n\n<h4 class=\"wp-block-heading\">B\u01b0\u1edbc 4: \u0110\u00e1p \u1ee9ng y\u00eau c\u1ea7u v\u1ed1n t\u1ef1 c\u00f3 v\u00e0 b\u00e1o c\u00e1o t\u00e0i ch\u00ednh<\/h4>\n\n\n\n<p class=\"wp-block-paragraph\">IB \u0111\u1ed9c l\u1eadp ph\u1ea3i duy tr\u00ec m\u1ee9c v\u1ed1n r\u00f2ng \u0111i\u1ec1u ch\u1ec9nh (adjusted net capital) t\u1ed1i thi\u1ec3u $50.000 v\u00e0 ph\u1ea3i n\u1ed9p b\u00e1o c\u00e1o t\u00e0i ch\u00ednh \u0111\u1ecbnh k\u1ef3 cho NFA. IB \u0111\u01b0\u1ee3c mi\u1ec5n y\u00eau c\u1ea7u n\u00e0y n\u1ebfu k\u00fd k\u1ebft h\u1ee3p \u0111\u1ed3ng b\u1ea3o l\u00e3nh ch\u00ednh th\u1ee9c v\u1edbi FCM.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">C\u00e1c ngh\u0129a v\u1ee5 tu\u00e2n th\u1ee7 c\u1ed1t l\u00f5i c\u1ee7a IB<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">Sau khi ho\u00e0n t\u1ea5t \u0111\u0103ng k\u00fd, IB v\u1eabn ph\u1ea3i th\u1ef1c hi\u1ec7n c\u00e1c ngh\u0129a v\u1ee5 gi\u00e1m s\u00e1t tu\u00e2n th\u1ee7 li\u00ean t\u1ee5c. \u0110\u00e2y kh\u00f4ng ph\u1ea3i l\u00e0 quy tr\u00ecnh m\u1ed9t l\u1ea7n m\u00e0 l\u00e0 h\u1ec7 th\u1ed1ng c\u1ea7n \u0111\u01b0\u1ee3c duy tr\u00ec th\u01b0\u1eddng xuy\u00ean trong su\u1ed1t qu\u00e1 tr\u00ecnh ho\u1ea1t \u0111\u1ed9ng.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\">Ch\u1ed1ng r\u1eeda ti\u1ec1n (AML) v\u00e0 x\u00e1c minh danh t\u00ednh kh\u00e1ch h\u00e0ng (KYC)<\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">T\u1ea5t c\u1ea3 IB l\u00e0 th\u00e0nh vi\u00ean NFA \u0111\u1ec1u ph\u1ea3i v\u1eadn h\u00e0nh ch\u01b0\u01a1ng tr\u00ecnh AML theo quy \u0111\u1ecbnh c\u1ee7a \u0110\u1ea1o lu\u1eadt B\u1ea3o m\u1eadt Ng\u00e2n h\u00e0ng (Bank Secrecy Act). Ch\u01b0\u01a1ng tr\u00ecnh n\u00e0y bao g\u1ed3m x\u00e1c minh danh t\u00ednh kh\u00e1ch h\u00e0ng (KYC), b\u00e1o c\u00e1o giao d\u1ecbch \u0111\u00e1ng ng\u1edd v\u00e0 r\u00e0 so\u00e1t danh s\u00e1ch \u0111\u1ed1i t\u01b0\u1ee3ng b\u1ecb tr\u1eebng ph\u1ea1t. Th\u1ea9m \u0111\u1ecbnh kh\u00e1ch h\u00e0ng (customer due diligence) kh\u00f4ng ch\u1ec9 l\u00e0 th\u1ee7 t\u1ee5c gi\u1ea5y t\u1edd m\u00e0 ph\u1ea3i \u0111\u01b0\u1ee3c x\u00e2y d\u1ef1ng theo ph\u01b0\u01a1ng ph\u00e1p ti\u1ebfp c\u1eadn d\u1ef1a tr\u00ean r\u1ee7i ro.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\">H\u1ec7 th\u1ed1ng gi\u00e1m s\u00e1t v\u00e0 qu\u1ea3n l\u00fd t\u00e0i li\u1ec7u kinh doanh<\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">IB ph\u1ea3i gi\u00e1m s\u00e1t \u0111\u1ea7y \u0111\u1ee7 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u00e1c AP v\u00e0 ph\u1ea3i xem x\u00e9t t\u1ea5t c\u1ea3 t\u00e0i li\u1ec7u kinh doanh c\u0169ng nh\u01b0 qu\u1ea3ng c\u00e1o tr\u01b0\u1edbc khi ph\u00e1t h\u00e0nh. NFA y\u00eau c\u1ea7u t\u00e0i li\u1ec7u kinh doanh ph\u1ea3i ch\u00ednh x\u00e1c, c\u00f4ng b\u1eb1ng v\u00e0 kh\u00f4ng g\u00e2y hi\u1ec3u l\u1ea7m. C\u00e1c c\u1ee5m t\u1eeb nh\u01b0 \u0111\u1ea3m b\u1ea3o l\u1ee3i nhu\u1eadn hay giao d\u1ecbch kh\u00f4ng thua l\u1ed7 b\u1ecb nghi\u00eam c\u1ea5m tuy\u1ec7t \u0111\u1ed1i.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\">L\u01b0u tr\u1eef s\u1ed5 s\u00e1ch v\u00e0 h\u1ed3 s\u01a1<\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">IB ph\u1ea3i l\u01b0u tr\u1eef h\u1ed3 s\u01a1 to\u00e0n di\u1ec7n bao g\u1ed3m th\u00f4ng tin li\u00ean l\u1ea1c v\u1edbi kh\u00e1ch h\u00e0ng, l\u1ecbch s\u1eed l\u1ec7nh, h\u1ee3p \u0111\u1ed3ng v\u00e0 h\u1ed3 s\u01a1 khi\u1ebfu n\u1ea1i. Theo y\u00eau c\u1ea7u c\u1ee7a NFA, h\u1ea7u h\u1ebft c\u00e1c h\u1ed3 s\u01a1 ph\u1ea3i \u0111\u01b0\u1ee3c l\u01b0u gi\u1eef t\u1ed1i thi\u1ec3u 5 n\u0103m, trong \u0111\u00f3 2 n\u0103m \u0111\u1ea7u ph\u1ea3i \u1edf tr\u1ea1ng th\u00e1i c\u00f3 th\u1ec3 truy c\u1eadp ngay l\u1eadp t\u1ee9c.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\">Ngh\u0129a v\u1ee5 b\u00e1o c\u00e1o t\u00e0i ch\u00ednh<\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">IB \u0111\u1ed9c l\u1eadp ph\u1ea3i n\u1ed9p b\u00e1o c\u00e1o t\u00e0i ch\u00ednh \u0111\u1ecbnh k\u1ef3 cho NFA. B\u00e1o c\u00e1o t\u00e0i ch\u00ednh ph\u1ea3i ch\u1ee9ng minh r\u1eb1ng v\u1ed1n r\u00f2ng \u0111i\u1ec1u ch\u1ec9nh \u0111\u00e1p \u1ee9ng m\u1ee9c t\u1ed1i thi\u1ec3u quy \u0111\u1ecbnh; n\u1ebfu kh\u00f4ng \u0111\u1ea1t y\u00eau c\u1ea7u, IB ph\u1ea3i th\u00f4ng b\u00e1o ngay cho NFA.<\/p>\n\n\n\n<h3 class=\"wp-block-heading\">Ngh\u0129a v\u1ee5 h\u00e0ng n\u0103m v\u00e0 t\u1ef1 ki\u1ec3m tra<\/h3>\n\n\n\n<p class=\"wp-block-paragraph\">NFA k\u1ef3 v\u1ecdng IB th\u1ef1c hi\u1ec7n ki\u1ec3m tra \u0111\u1ed9c l\u1eadp ch\u01b0\u01a1ng tr\u00ecnh AML h\u00e0ng n\u0103m, r\u00e0 so\u00e1t l\u1ea1i quy tr\u00ecnh gi\u00e1m s\u00e1t v\u00e0 c\u1eadp nh\u1eadt h\u1ec7 th\u1ed1ng an ninh m\u1ea1ng. Qu\u00e1 tr\u00ecnh t\u1ef1 ki\u1ec3m tra n\u00e0y l\u00e0 c\u01a1 ch\u1ebf then ch\u1ed1t \u0111\u1ec3 ph\u00e1t hi\u1ec7n s\u1edbm c\u00e1c v\u1ea5n \u0111\u1ec1 tu\u00e2n th\u1ee7 ti\u1ec1m \u1ea9n.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">Ph\u00e2n chia vai tr\u00f2 gi\u1eefa FCM v\u00e0 IB<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">Hi\u1ec3u r\u00f5 m\u1ed1i quan h\u1ec7 gi\u1eefa FCM v\u00e0 IB l\u00e0 b\u01b0\u1edbc \u0111\u1ea7u ti\u00ean \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o tu\u00e2n th\u1ee7 c\u00e1c y\u00eau c\u1ea7u quy \u0111\u1ecbnh. Hai t\u1ed5 ch\u1ee9c n\u00e0y th\u1ef1c hi\u1ec7n c\u00e1c vai tr\u00f2 b\u1ed5 sung cho nhau.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Vai tr\u00f2 c\u1ee7a FCM:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>L\u01b0u k\u00fd v\u1ed1n v\u00e0 t\u00e0i s\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng<\/li>\n\n\n\n<li>Th\u1ef1c hi\u1ec7n v\u00e0 thanh to\u00e1n giao d\u1ecbch th\u1ef1c t\u1ebf<\/li>\n\n\n\n<li>Qu\u1ea3n l\u00fd k\u00fd qu\u1ef9 v\u00e0 quy\u1ebft to\u00e1n<\/li>\n\n\n\n<li>V\u1eadn h\u00e0nh h\u1ec7 th\u1ed1ng qu\u1ea3n l\u00fd r\u1ee7i ro t\u1ed5ng th\u1ec3<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">Vai tr\u00f2 c\u1ee7a IB:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>T\u00ecm ki\u1ebfm kh\u00e1ch h\u00e0ng v\u00e0 duy tr\u00ec quan h\u1ec7<\/li>\n\n\n\n<li>Ch\u00e0o m\u1eddi v\u00e0 ti\u1ebfp nh\u1eadn l\u1ec7nh (kh\u00f4ng n\u1eafm gi\u1eef v\u1ed1n c\u1ee7a kh\u00e1ch h\u00e0ng)<\/li>\n\n\n\n<li>\u0110\u00e0o t\u1ea1o giao d\u1ecbch v\u00e0 cung c\u1ea5p th\u00f4ng tin th\u1ecb tr\u01b0\u1eddng<\/li>\n\n\n\n<li>Thu ph\u00ed v\u00e0 hoa h\u1ed3ng<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">Nh\u1edd c\u01a1 c\u1ea5u n\u00e0y, IB c\u00f3 th\u1ec3 t\u1eadp trung v\u00e0o quan h\u1ec7 kh\u00e1ch h\u00e0ng v\u00e0 ch\u1ea5t l\u01b0\u1ee3ng d\u1ecbch v\u1ee5 m\u00e0 kh\u00f4ng ph\u1ea3i lo l\u1eafng v\u1ec1 s\u1ef1 ph\u1ee9c t\u1ea1p k\u1ef9 thu\u1eadt c\u1ee7a thanh to\u00e1n b\u00f9 tr\u1eeb v\u00e0 quy\u1ebft to\u00e1n. FCM ch\u1ecbu tr\u00e1ch nhi\u1ec7m v\u1ec1 c\u01a1 s\u1edf h\u1ea1 t\u1ea7ng giao d\u1ecbch th\u1ef1c t\u1ebf th\u00f4ng qua k\u1ebft n\u1ed1i v\u1edbi c\u00e1c c\u00f4ng ty thanh to\u00e1n b\u00f9 tr\u1eeb (clearing firms).<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">Y\u00eau c\u1ea7u \u0111\u1ed1i v\u1edbi c\u00e1n b\u1ed9 ch\u1ee7 ch\u1ed1t v\u00e0 ng\u01b0\u1eddi li\u00ean quan<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">NFA \u00e1p \u0111\u1eb7t c\u00e1c y\u00eau c\u1ea7u ri\u00eang bi\u1ec7t \u0111\u1ed1i v\u1edbi C\u00e1n b\u1ed9 ch\u1ee7 ch\u1ed1t (Principals) v\u00e0 Ng\u01b0\u1eddi li\u00ean quan (Associated Persons) c\u1ea5u th\u00e0nh IB. C\u00e1n b\u1ed9 ch\u1ee7 ch\u1ed1t l\u00e0 nh\u1eefng c\u00e1 nh\u00e2n c\u00f3 \u1ea3nh h\u01b0\u1edfng \u0111\u1ebfn vi\u1ec7c ra quy\u1ebft \u0111\u1ecbnh c\u1ee7a ph\u00e1p nh\u00e2n IB, bao g\u1ed3m gi\u00e1m \u0111\u1ed1c \u0111i\u1ec1u h\u00e0nh, c\u1ed5 \u0111\u00f4ng l\u1edbn v\u00e0 th\u00e0nh vi\u00ean h\u1ed9i \u0111\u1ed3ng qu\u1ea3n tr\u1ecb. Ng\u01b0\u1eddi li\u00ean quan l\u00e0 nh\u1eefng c\u00e1 nh\u00e2n tr\u1ef1c ti\u1ebfp ti\u1ebfp x\u00fac v\u1edbi kh\u00e1ch h\u00e0ng ho\u1eb7c ch\u00e0o m\u1eddi l\u1ec7nh giao d\u1ecbch thay m\u1eb7t cho IB.<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>T\u1ea5t c\u1ea3 c\u00e1n b\u1ed9 ch\u1ee7 ch\u1ed1t ph\u1ea3i n\u1ed9p Form 8-R v\u00e0 v\u01b0\u1ee3t qua ki\u1ec3m tra l\u00fd l\u1ecbch<\/li>\n\n\n\n<li>\u0110\u1ec3 \u0111\u1ee7 \u0111i\u1ec1u ki\u1ec7n l\u00e0m AP, c\u1ea7n ph\u1ea3i v\u01b0\u1ee3t qua k\u1ef3 thi Series 3 (ho\u1eb7c \u0111\u00e1p \u1ee9ng c\u00e1c \u0111i\u1ec1u ki\u1ec7n mi\u1ec5n tr\u1eeb t\u01b0\u01a1ng \u0111\u01b0\u01a1ng)<\/li>\n\n\n\n<li>\u00cdt nh\u1ea5t m\u1ed9t c\u00e1n b\u1ed9 ch\u1ee7 ch\u1ed1t ph\u1ea3i \u0111\u1ed3ng th\u1eddi c\u00f3 t\u01b0 c\u00e1ch AP<\/li>\n\n\n\n<li>Sau khi \u0111\u0103ng k\u00fd v\u1edbi NFA, m\u1ecdi thay \u0111\u1ed5i v\u1ec1 c\u00e1n b\u1ed9 ch\u1ee7 ch\u1ed1t ho\u1eb7c AP ph\u1ea3i \u0111\u01b0\u1ee3c c\u1eadp nh\u1eadt \u0111\u0103ng k\u00fd ngay l\u1eadp t\u1ee9c<\/li>\n<\/ul>\n\n\n\n<h2 class=\"wp-block-heading\">H\u01b0\u1edbng d\u1eabn tu\u00e2n th\u1ee7 cho IB: Danh s\u00e1ch ki\u1ec3m tra tr\u01b0\u1edbc khi v\u1eadn h\u00e0nh<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">Tr\u01b0\u1edbc khi b\u1eaft \u0111\u1ea7u ho\u1ea1t \u0111\u1ed9ng IB th\u1ef1c t\u1ebf, c\u1ea7n ki\u1ec3m tra c\u00e1c h\u1ea1ng m\u1ee5c sau \u0111\u00e2y. \u0110\u00e2y l\u00e0 \u0111i\u1ec3m kh\u1edfi \u0111\u1ea7u t\u1ed1i thi\u1ec3u \u0111\u1ec3 \u0111\u00e1p \u1ee9ng c\u00e1c y\u00eau c\u1ea7u quy \u0111\u1ecbnh.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Li\u00ean quan \u0111\u1ebfn h\u1ee3p \u0111\u1ed3ng \u0111\u1ed1i t\u00e1c:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>X\u00e1c nh\u1eadn ph\u00e1p nh\u00e2n ch\u00ednh x\u00e1c, khu v\u1ef1c \u0111\u01b0\u1ee3c ph\u00e9p ho\u1ea1t \u0111\u1ed9ng, c\u01a1 c\u1ea5u thanh to\u00e1n v\u00e0 c\u00e1c h\u00ecnh th\u1ee9c ti\u1ebfp th\u1ecb b\u1ecb c\u1ea5m<\/li>\n\n\n\n<li>Thi\u1ebft l\u1eadp quy\u1ec1n s\u1edf h\u1eefu th\u00f4ng tin li\u00ean l\u1ea1c v\u1edbi kh\u00e1ch h\u00e0ng v\u00e0 quy tr\u00ecnh ph\u00ea duy\u1ec7t tr\u01b0\u1edbc \u0111\u1ed1i v\u1edbi t\u00e0i li\u1ec7u ti\u1ebfp th\u1ecb<\/li>\n\n\n\n<li>Xem x\u00e9t quy\u1ec1n ki\u1ec3m to\u00e1n v\u00e0 \u0111i\u1ec1u kho\u1ea3n thu h\u1ed3i (clawback)<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">T\u00e0i li\u1ec7u ti\u1ebfp th\u1ecb v\u00e0 b\u00e1n h\u00e0ng:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Bao g\u1ed3m c\u00e1c c\u1ea3nh b\u00e1o r\u1ee7i ro theo y\u00eau c\u1ea7u c\u1ee7a FCM ho\u1eb7c c\u01a1 quan qu\u1ea3n l\u00fd<\/li>\n\n\n\n<li>Lo\u1ea1i b\u1ecf ho\u00e0n to\u00e0n m\u1ecdi n\u1ed9i dung li\u00ean quan \u0111\u1ebfn \u0111\u1ea3m b\u1ea3o l\u1ee3i nhu\u1eadn ho\u1eb7c giao d\u1ecbch kh\u00f4ng c\u00f3 thua l\u1ed7<\/li>\n\n\n\n<li>L\u1eadp t\u00e0i li\u1ec7u v\u1ec1 quy tr\u00ecnh ph\u00ea duy\u1ec7t tr\u01b0\u1edbc \u0111\u1ed1i v\u1edbi t\u1ea5t c\u1ea3 t\u00e0i li\u1ec7u ti\u1ebfp th\u1ecb<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">Ranh gi\u1edbi v\u1ec1 t\u00e0i s\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>Tuy\u1ec7t \u0111\u1ed1i kh\u00f4ng nh\u1eadn ti\u1ec1n k\u00fd qu\u1ef9, y\u00eau c\u1ea7u r\u00fat ti\u1ec1n, m\u1eadt kh\u1ea9u t\u00e0i kho\u1ea3n hay gi\u1ea5y \u1ee7y quy\u1ec1n giao d\u1ecbch c\u1ee7a kh\u00e1ch h\u00e0ng<\/li>\n\n\n\n<li>Ch\u1ec9 k\u1ebft n\u1ed1i kh\u00e1ch h\u00e0ng th\u00f4ng qua k\u00eanh onboarding ch\u00ednh th\u1ee9c c\u1ee7a broker<\/li>\n<\/ul>\n\n\n\n<p class=\"wp-block-paragraph\">L\u01b0u tr\u1eef h\u1ed3 s\u01a1:<\/p>\n\n\n\n<ul class=\"wp-block-list\">\n<li>L\u01b0u tr\u1eef trang \u0111\u00edch (landing page), qu\u1ea3ng c\u00e1o, email, ngu\u1ed3n gi\u1edbi thi\u1ec7u, l\u1ecbch s\u1eed thanh to\u00e1n v\u00e0 h\u1ed3 s\u01a1 khi\u1ebfu n\u1ea1i<\/li>\n<\/ul>\n\n\n\n<h2 class=\"wp-block-heading\">S\u1ef1 kh\u00e1c bi\u1ec7t v\u1ec1 quy \u0111\u1ecbnh gi\u1eefa IB trong n\u01b0\u1edbc v\u00e0 IB n\u01b0\u1edbc ngo\u00e0i<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">Ngo\u00e0i c\u00e1c IB ho\u1ea1t \u0111\u1ed9ng t\u1ea1i M\u1ef9, NFA c\u00f2n c\u00f3 quy \u0111\u1ecbnh ri\u00eang \u0111\u1ed1i v\u1edbi IB n\u01b0\u1edbc ngo\u00e0i (Foreign Introducing Broker). IB n\u01b0\u1edbc ngo\u00e0i l\u00e0 nh\u1eefng \u0111\u01a1n v\u1ecb ho\u1ea1t \u0111\u1ed9ng b\u00ean ngo\u00e0i M\u1ef9 nh\u01b0ng h\u01b0\u1edbng \u0111\u1ebfn kh\u00e1ch h\u00e0ng t\u1ea1i M\u1ef9, v\u00e0 c\u00f3 th\u1ec3 ph\u1ea3i tu\u00e2n theo c\u00e1c y\u00eau c\u1ea7u \u0111\u0103ng k\u00fd ho\u1eb7c mi\u1ec5n tr\u1eeb ri\u00eang bi\u1ec7t. N\u1ebfu b\u1ea1n \u0111ang c\u00e2n nh\u1eafc h\u1ee3p t\u00e1c ngo\u1ea1i h\u1ed1i to\u00e0n c\u1ea7u, n\u00ean t\u00ecm hi\u1ec3u th\u00eam v\u1ec1<a href=\"https:\/\/m4markets.com\/media-vn\/foreign-introducing-broker-what-it-means-for-global-forex-partnerships\/\"> vai tr\u00f2 v\u00e0 y\u00eau c\u1ea7u c\u1ee7a IB n\u01b0\u1edbc ngo\u00e0i<\/a>.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">Quy \u0111\u1ecbnh v\u1ec1 IB t\u1ea1i EU v\u00e0 c\u00e1c khu v\u1ef1c ph\u00e1p l\u00fd kh\u00e1c<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">Kh\u00e1c v\u1edbi h\u1ec7 th\u1ed1ng NFA\u00b7CFTC c\u1ee7a M\u1ef9, t\u1ea1i EU kh\u00f4ng t\u1ed3n t\u1ea1i m\u1ed9t &#8220;gi\u1ea5y ph\u00e9p IB&#8221; th\u1ed1ng nh\u1ea5t. Thay v\u00e0o \u0111\u00f3, vi\u1ec7c cung c\u1ea5p d\u1ecbch v\u1ee5 \u0111\u1ea7u t\u01b0 \u0111\u01b0\u1ee3c x\u00e1c \u0111\u1ecbnh d\u1ef1a tr\u00ean b\u1ea3n ch\u1ea5t th\u1ef1c t\u1ebf c\u1ee7a ho\u1ea1t \u0111\u1ed9ng, theo khu\u00f4n kh\u1ed5 MiFID II (Ch\u1ec9 th\u1ecb v\u1ec1 Th\u1ecb tr\u01b0\u1eddng C\u00f4ng c\u1ee5 T\u00e0i ch\u00ednh II).<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">T\u1ea1i EU, n\u1ebfu th\u1ef1c hi\u1ec7n c\u00e1c ho\u1ea1t \u0111\u1ed9ng nh\u01b0 ti\u1ebfp nh\u1eadn v\u00e0 chuy\u1ec3n ti\u1ebfp l\u1ec7nh, cung c\u1ea5p t\u01b0 v\u1ea5n \u0111\u1ea7u t\u01b0, ho\u1eb7c ti\u1ebfp x\u00fac v\u1edbi kh\u00e1ch h\u00e0ng thay m\u1eb7t cho c\u00f4ng ty \u0111\u1ea7u t\u01b0, b\u1ea1n c\u00f3 th\u1ec3 c\u1ea7n ph\u1ea3i \u0111\u01b0\u1ee3c c\u1ea5p ph\u00e9p ri\u00eang t\u1eeb c\u01a1 quan gi\u00e1m s\u00e1t t\u00e0i ch\u00ednh c\u1ee7a qu\u1ed1c gia s\u1edf t\u1ea1i (v\u00ed d\u1ee5: Finanssivalvonta t\u1ea1i Ph\u1ea7n Lan, BaFin t\u1ea1i \u0110\u1ee9c). V\u00ec quy \u0111\u1ecbnh, m\u1ee9c \u0111\u1ed9 b\u1ea3o v\u1ec7 nh\u00e0 \u0111\u1ea7u t\u01b0 v\u00e0 c\u00e1ch x\u1eed l\u00fd thu\u1ebf kh\u00e1c nhau t\u00f9y t\u1eebng qu\u1ed1c gia, b\u1ea1n b\u1eaft bu\u1ed9c ph\u1ea3i tham kh\u1ea3o \u00fd ki\u1ebfn c\u1ee7a chuy\u00ean gia ph\u00e1p l\u00fd v\u00e0 tu\u00e2n th\u1ee7 c\u00e1c quy \u0111\u1ecbnh \u0111\u1ecba ph\u01b0\u01a1ng tr\u01b0\u1edbc khi tri\u1ec3n khai ho\u1ea1t \u0111\u1ed9ng IB t\u1ea1i b\u1ea5t k\u1ef3 khu v\u1ef1c ph\u00e1p l\u00fd c\u1ee5 th\u1ec3 n\u00e0o.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">C\u00e1ch ti\u1ebfp c\u1eadn th\u1ef1c t\u1ebf \u0111\u1ec3 tr\u1edf th\u00e0nh IB<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">Sau khi \u0111\u00e3 n\u1eafm r\u00f5 to\u00e0n b\u1ed9 c\u00e1c y\u00eau c\u1ea7u ph\u00e1p l\u00fd, l\u1ed9 tr\u00ecnh an to\u00e0n v\u00e0 th\u1ef1c t\u1ebf nh\u1ea5t \u0111\u1ec3 b\u1eaft \u0111\u1ea7u ho\u1ea1t \u0111\u1ed9ng IB l\u00e0 nh\u01b0 sau.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">N\u1ebfu b\u1ea1n mu\u1ed1n s\u1eed d\u1ee5ng SEO ho\u1eb7c marketing d\u1ef1a tr\u00ean n\u1ed9i dung, b\u1ea1n n\u00ean b\u1eaft \u0111\u1ea7u v\u1edbi vai tr\u00f2 \u0111\u1ed1i t\u00e1c li\u00ean k\u1ebft (affiliate) \u0111\u01b0\u1ee3c \u0111\u1ecbnh ngh\u0129a ch\u1eb7t ch\u1ebd. T\u1eadp trung v\u00e0o vi\u1ec7c gi\u00e1o d\u1ee5c kh\u00e1ch h\u00e0ng, k\u1ebft n\u1ed1i v\u1edbi broker v\u00e0 c\u00f4ng khai c\u00e1c kho\u1ea3n th\u00f9 lao; \u0111\u1ed3ng th\u1eddi \u1ee7y th\u00e1c cho broker \u0111\u01b0\u1ee3c c\u1ea5p ph\u00e9p c\u00e1c c\u00f4ng vi\u1ec7c nh\u01b0 m\u1edf t\u00e0i kho\u1ea3n, KYC, n\u1ea1p\/r\u00fat ti\u1ec1n, x\u1eed l\u00fd l\u1ec7nh v\u00e0 \u0111\u00e1nh gi\u00e1 m\u1ee9c \u0111\u1ed9 ph\u00f9 h\u1ee3p. Khi ho\u1ea1t \u0111\u1ed9ng m\u1edf r\u1ed9ng sang x\u1eed l\u00fd l\u1ec7nh, \u0111\u01b0a ra khuy\u1ebfn ngh\u1ecb \u0111\u1ea7u t\u01b0 c\u00e1 nh\u00e2n h\u00f3a ho\u1eb7c qu\u1ea3n l\u00fd t\u00e0i s\u1ea3n kh\u00e1ch h\u00e0ng, b\u1ea1n c\u1ea7n trao \u0111\u1ed5i v\u1edbi chuy\u00ean gia t\u1ea1i khu v\u1ef1c ph\u00e1p l\u00fd \u0111\u00f3 \u0111\u1ec3 xem x\u00e9t vi\u1ec7c xin c\u1ea5p ph\u00e9p ri\u00eang.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">B\u1ea1n c\u00f3 th\u1ec3 t\u00ecm hi\u1ec3u quy tr\u00ecnh t\u1eebng b\u01b0\u1edbc v\u00e0 c\u00e1c l\u1eddi khuy\u00ean th\u1ef1c ti\u1ec5n t\u1ea1i <a href=\"https:\/\/m4markets.com\/media-vn\/how-to-become-an-introducing-broker\/\">H\u01b0\u1edbng d\u1eabn ngh\u1ec1 nghi\u1ec7p Introducing Broker<\/a>.<\/p>\n\n\n\n<h2 class=\"wp-block-heading\">C\u00e2u h\u1ecfi th\u01b0\u1eddng g\u1eb7p v\u1ec1 IB<\/h2>\n\n\n\n<div data-wp-context=\"{ &quot;autoclose&quot;: false, &quot;accordionItems&quot;: [] }\" data-wp-interactive=\"core\/accordion\" role=\"group\" class=\"wp-block-accordion is-layout-flow wp-block-accordion-is-layout-flow\">\n<div data-wp-class--is-open=\"state.isOpen\" data-wp-context=\"{ &quot;id&quot;: &quot;accordion-item-1&quot;, &quot;openByDefault&quot;: false }\" data-wp-init=\"callbacks.initAccordionItems\" data-wp-on-window--hashchange=\"callbacks.hashChange\" class=\"wp-block-accordion-item is-layout-flow wp-block-accordion-item-is-layout-flow\">\n<h3 class=\"wp-block-accordion-heading\"><button aria-expanded=\"false\" aria-controls=\"accordion-item-1-panel\" data-wp-bind--aria-expanded=\"state.isOpen\" data-wp-on--click=\"actions.toggle\" data-wp-on--keydown=\"actions.handleKeyDown\" id=\"accordion-item-1\" type=\"button\" class=\"wp-block-accordion-heading__toggle\"><span class=\"wp-block-accordion-heading__toggle-title\">IB c\u00f3 \u0111\u01b0\u1ee3c gi\u1eef ti\u1ec1n c\u1ee7a kh\u00e1ch h\u00e0ng kh\u00f4ng?<\/span><span class=\"wp-block-accordion-heading__toggle-icon\" aria-hidden=\"true\">+<\/span><\/button><\/h3>\n\n\n\n<div inert aria-labelledby=\"accordion-item-1\" data-wp-bind--inert=\"!state.isOpen\" id=\"accordion-item-1-panel\" role=\"region\" class=\"wp-block-accordion-panel is-layout-flow wp-block-accordion-panel-is-layout-flow\">\n<p class=\"wp-block-paragraph\">Kh\u00f4ng. IB kh\u00f4ng \u0111\u01b0\u1ee3c ph\u00e9p gi\u1eef ho\u1eb7c qu\u1ea3n l\u00fd ti\u1ec1n hay t\u00e0i s\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng. Vai tr\u00f2 n\u00e0y ho\u00e0n to\u00e0n thu\u1ed9c v\u1ec1 FCM. Ngay khi ti\u1ebfp nh\u1eadn ti\u1ec1n c\u1ee7a kh\u00e1ch h\u00e0ng, c\u00e1c y\u00eau c\u1ea7u c\u1ea5p ph\u00e9p ri\u00eang bi\u1ec7t s\u1ebd \u0111\u01b0\u1ee3c \u00e1p d\u1ee5ng.<br><\/p>\n<\/div>\n<\/div>\n<\/div>\n\n\n\n<div data-wp-context=\"{ &quot;autoclose&quot;: false, &quot;accordionItems&quot;: [] }\" data-wp-interactive=\"core\/accordion\" role=\"group\" class=\"wp-block-accordion is-layout-flow wp-block-accordion-is-layout-flow\">\n<div data-wp-class--is-open=\"state.isOpen\" data-wp-context=\"{ &quot;id&quot;: &quot;accordion-item-2&quot;, &quot;openByDefault&quot;: false }\" data-wp-init=\"callbacks.initAccordionItems\" data-wp-on-window--hashchange=\"callbacks.hashChange\" class=\"wp-block-accordion-item is-layout-flow wp-block-accordion-item-is-layout-flow\">\n<h3 class=\"wp-block-accordion-heading\"><button aria-expanded=\"false\" aria-controls=\"accordion-item-2-panel\" data-wp-bind--aria-expanded=\"state.isOpen\" data-wp-on--click=\"actions.toggle\" data-wp-on--keydown=\"actions.handleKeyDown\" id=\"accordion-item-2\" type=\"button\" class=\"wp-block-accordion-heading__toggle\"><span class=\"wp-block-accordion-heading__toggle-title\">IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh c\u00f3 c\u1ea7n \u0111\u00e1p \u1ee9ng y\u00eau c\u1ea7u v\u1ed1n t\u1ef1 c\u00f3 kh\u00f4ng?<\/span><span class=\"wp-block-accordion-heading__toggle-icon\" aria-hidden=\"true\">+<\/span><\/button><\/h3>\n\n\n\n<div inert aria-labelledby=\"accordion-item-2\" data-wp-bind--inert=\"!state.isOpen\" id=\"accordion-item-2-panel\" role=\"region\" class=\"wp-block-accordion-panel is-layout-flow wp-block-accordion-panel-is-layout-flow\">\n<p class=\"wp-block-paragraph\">IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh \u0111\u01b0\u1ee3c mi\u1ec5n c\u00e1c y\u00eau c\u1ea7u v\u1ec1 v\u1ed1n t\u1ef1 c\u00f3 \u0111\u1ed9c l\u1eadp v\u00e0 ngh\u0129a v\u1ee5 b\u00e1o c\u00e1o t\u00e0i ch\u00ednh th\u00f4ng qua th\u1ecfa thu\u1eadn b\u1ea3o l\u00e3nh v\u1edbi FCM. Tuy nhi\u00ean, FCM b\u1ea3o l\u00e3nh s\u1ebd ch\u1ecbu tr\u00e1ch nhi\u1ec7m li\u00ean \u0111\u1edbi \u0111\u1ed1i v\u1edbi c\u00e1c h\u00e0nh vi c\u1ee7a IB \u0111\u00f3.<br><\/p>\n<\/div>\n<\/div>\n<\/div>\n\n\n\n<div data-wp-context=\"{ &quot;autoclose&quot;: false, &quot;accordionItems&quot;: [] }\" data-wp-interactive=\"core\/accordion\" role=\"group\" class=\"wp-block-accordion is-layout-flow wp-block-accordion-is-layout-flow\">\n<div data-wp-class--is-open=\"state.isOpen\" data-wp-context=\"{ &quot;id&quot;: &quot;accordion-item-3&quot;, &quot;openByDefault&quot;: false }\" data-wp-init=\"callbacks.initAccordionItems\" data-wp-on-window--hashchange=\"callbacks.hashChange\" class=\"wp-block-accordion-item is-layout-flow wp-block-accordion-item-is-layout-flow\">\n<h3 class=\"wp-block-accordion-heading\"><button aria-expanded=\"false\" aria-controls=\"accordion-item-3-panel\" data-wp-bind--aria-expanded=\"state.isOpen\" data-wp-on--click=\"actions.toggle\" data-wp-on--keydown=\"actions.handleKeyDown\" id=\"accordion-item-3\" type=\"button\" class=\"wp-block-accordion-heading__toggle\"><span class=\"wp-block-accordion-heading__toggle-title\">L\u00e0 IB, t\u00f4i c\u00f3 th\u1ec3 cung c\u1ea5p chi\u1ebfn l\u01b0\u1ee3c giao d\u1ecbch kh\u00f4ng?<\/span><span class=\"wp-block-accordion-heading__toggle-icon\" aria-hidden=\"true\">+<\/span><\/button><\/h3>\n\n\n\n<div inert aria-labelledby=\"accordion-item-3\" data-wp-bind--inert=\"!state.isOpen\" id=\"accordion-item-3-panel\" role=\"region\" class=\"wp-block-accordion-panel is-layout-flow wp-block-accordion-panel-is-layout-flow\">\n<p class=\"wp-block-paragraph\">Gi\u00e1o d\u1ee5c th\u1ecb tr\u01b0\u1eddng mang t\u00ednh chung chung \u0111\u01b0\u1ee3c ph\u00e9p, nh\u01b0ng vi\u1ec7c \u0111\u01b0a ra khuy\u1ebfn ngh\u1ecb \u0111\u1ea7u t\u01b0 c\u00e1 nh\u00e2n h\u00f3a ho\u1eb7c cung c\u1ea5p chi\u1ebfn l\u01b0\u1ee3c giao d\u1ecbch c\u1ee5 th\u1ec3 c\u00f3 th\u1ec3 \u0111\u00f2i h\u1ecfi gi\u1ea5y ph\u00e9p t\u01b0 v\u1ea5n \u0111\u1ea7u t\u01b0 ri\u00eang. Ti\u00eau chu\u1ea9n kh\u00e1c nhau t\u00f9y khu v\u1ef1c ph\u00e1p l\u00fd, v\u00ec v\u1eady c\u1ea7n x\u00e1c nh\u1eadn v\u1edbi chuy\u00ean gia ph\u00e1p l\u00fd.<\/p>\n<\/div>\n<\/div>\n<\/div>\n\n\n\n<div data-wp-context=\"{ &quot;autoclose&quot;: false, &quot;accordionItems&quot;: [] }\" data-wp-interactive=\"core\/accordion\" role=\"group\" class=\"wp-block-accordion is-layout-flow wp-block-accordion-is-layout-flow\">\n<div data-wp-class--is-open=\"state.isOpen\" data-wp-context=\"{ &quot;id&quot;: &quot;accordion-item-4&quot;, &quot;openByDefault&quot;: false }\" data-wp-init=\"callbacks.initAccordionItems\" data-wp-on-window--hashchange=\"callbacks.hashChange\" class=\"wp-block-accordion-item is-layout-flow wp-block-accordion-item-is-layout-flow\">\n<h3 class=\"wp-block-accordion-heading\"><button aria-expanded=\"false\" aria-controls=\"accordion-item-4-panel\" data-wp-bind--aria-expanded=\"state.isOpen\" data-wp-on--click=\"actions.toggle\" data-wp-on--keydown=\"actions.handleKeyDown\" id=\"accordion-item-4\" type=\"button\" class=\"wp-block-accordion-heading__toggle\"><span class=\"wp-block-accordion-heading__toggle-title\">Ch\u1ee9ng ch\u1ec9 IB c\u00f3 \u00fd ngh\u0129a g\u00ec?<\/span><span class=\"wp-block-accordion-heading__toggle-icon\" aria-hidden=\"true\">+<\/span><\/button><\/h3>\n\n\n\n<div inert aria-labelledby=\"accordion-item-4\" data-wp-bind--inert=\"!state.isOpen\" id=\"accordion-item-4-panel\" role=\"region\" class=\"wp-block-accordion-panel is-layout-flow wp-block-accordion-panel-is-layout-flow\">\n<p class=\"wp-block-paragraph\">\u00dd ngh\u0129a v\u00e0 hi\u1ec7u l\u1ef1c th\u1ef1c t\u1ebf c\u1ee7a ch\u1ee9ng nh\u1eadn ch\u00ednh th\u1ee9c d\u00e0nh cho ho\u1ea1t \u0111\u1ed9ng IB \u0111\u01b0\u1ee3c tr\u00ecnh b\u00e0y chi ti\u1ebft t\u1ea1i<a href=\"https:\/\/m4markets.com\/media-vn\/introducing-broker-certificate-what-it-means-and-when-it-matters\/\"> H\u01b0\u1edbng d\u1eabn ch\u1ee9ng ch\u1ec9 Introducing Broker<\/a>.<br><\/p>\n<\/div>\n<\/div>\n<\/div>\n\n\n\n<h2 class=\"wp-block-heading\">Tr\u1ecdng t\u00e2m tu\u00e2n th\u1ee7 quy \u0111\u1ecbnh IB: T\u1ed5ng k\u1ebft v\u00e0 b\u01b0\u1edbc ti\u1ebfp theo<\/h2>\n\n\n\n<p class=\"wp-block-paragraph\">\u0110\u1ec3 ho\u1ea1t \u0111\u1ed9ng v\u1edbi t\u01b0 c\u00e1ch Introducing Broker, b\u1ea1n c\u1ea7n chu\u1ea9n b\u1ecb nhi\u1ec1u h\u01a1n l\u00e0 ch\u1ec9 c\u00f3 n\u0103ng l\u1ef1c kinh doanh. T\u1eeb \u0111\u0103ng k\u00fd NFA, duy tr\u00ec v\u1ed1n t\u1ef1 c\u00f3, x\u00e2y d\u1ef1ng quy tr\u00ecnh gi\u00e1m s\u00e1t b\u1eb1ng v\u0103n b\u1ea3n, v\u1eadn h\u00e0nh ch\u01b0\u01a1ng tr\u00ecnh AML\u00b7KYC, \u0111\u1ebfn b\u00e1o c\u00e1o t\u00e0i ch\u00ednh \u0111\u1ecbnh k\u1ef3 \u2014 c\u00e1c ngh\u0129a v\u1ee5 tu\u00e2n th\u1ee7 ch\u00ednh l\u00e0 n\u1ec1n t\u1ea3ng c\u1ed1t l\u00f5i c\u1ee7a ho\u1ea1t \u0111\u1ed9ng IB.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">Vi\u1ec7c l\u1ef1a ch\u1ecdn c\u1ea5u tr\u00fac \u0111\u1ed9c l\u1eadp hay \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh s\u1ebd \u1ea3nh h\u01b0\u1edfng \u0111\u00e1ng k\u1ec3 \u0111\u1ebfn c\u00e1c y\u00eau c\u1ea7u ban \u0111\u1ea7u v\u00e0 ph\u01b0\u01a1ng th\u1ee9c v\u1eadn h\u00e0nh. IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh c\u00f3 r\u00e0o c\u1ea3n gia nh\u1eadp th\u1ea5p h\u01a1n nh\u01b0ng ph\u1ee5 thu\u1ed9c nhi\u1ec1u v\u00e0o FCM, trong khi IB \u0111\u1ed9c l\u1eadp c\u00f3 m\u1ee9c \u0111\u1ed9 t\u1ef1 ch\u1ee7 cao h\u01a1n nh\u01b0ng \u0111i k\u00e8m v\u1edbi tr\u00e1ch nhi\u1ec7m t\u00e0i ch\u00ednh nghi\u00eam ng\u1eb7t h\u01a1n.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">N\u1ebfu b\u1ea1n mu\u1ed1n x\u00e2y d\u1ef1ng ho\u1ea1t \u0111\u1ed9ng IB hi\u1ec7u qu\u1ea3 trong khi v\u1eabn \u0111\u00e1p \u1ee9ng c\u00e1c y\u00eau c\u1ea7u ph\u00e1p l\u00fd, \u0111i\u1ec3m kh\u1edfi \u0111\u1ea7u l\u00e0 thi\u1ebft l\u1eadp quan h\u1ec7 \u0111\u1ed1i t\u00e1c v\u1edbi m\u1ed9t broker \u0111\u01b0\u1ee3c c\u1ea5p ph\u00e9p uy t\u00edn. C\u00e1ch ti\u1ebfp c\u1eadn th\u1ef1c t\u1ebf l\u00e0 b\u1eaft \u0111\u1ea7u v\u1edbi m\u1ed9t broker, m\u1ed9t khu v\u1ef1c \u0111\u01b0\u1ee3c ph\u00e9p, sau khi trang n\u1ed9i dung \u0111\u1ea7u ti\u00ean \u0111\u01b0\u1ee3c ph\u00ea duy\u1ec7t th\u00ec theo d\u00f5i l\u01b0\u1ee3ng kh\u00e1ch h\u00e0ng ti\u1ec1m n\u0103ng v\u00e0 t\u00ecnh tr\u1ea1ng khi\u1ebfu n\u1ea1i, r\u1ed3i m\u1edf r\u1ed9ng d\u1ea7n t\u1eebng b\u01b0\u1edbc.<\/p>\n\n\n\n<p class=\"wp-block-paragraph\">L\u01b0u \u00fd: T\u00e0i li\u1ec7u n\u00e0y cung c\u1ea5p th\u00f4ng tin chung nh\u1eb1m m\u1ee5c \u0111\u00edch gi\u00e1o d\u1ee5c v\u00e0 kh\u00f4ng thay th\u1ebf cho t\u01b0 v\u1ea5n ph\u00e1p l\u00fd ho\u1eb7c tu\u00e2n th\u1ee7. Tr\u01b0\u1edbc khi \u0111\u0103ng k\u00fd v\u00e0 ho\u1ea1t \u0111\u1ed9ng v\u1edbi t\u01b0 c\u00e1ch IB t\u1ea1i b\u1ea5t k\u1ef3 khu v\u1ef1c ph\u00e1p l\u00fd c\u1ee5 th\u1ec3 n\u00e0o, b\u1ea1n b\u1eaft bu\u1ed9c ph\u1ea3i tham kh\u1ea3o \u00fd ki\u1ebfn c\u1ee7a chuy\u00ean gia ph\u00e1p l\u00fd v\u00e0 tu\u00e2n th\u1ee7 c\u00f3 \u0111\u1ee7 n\u0103ng l\u1ef1c.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>Introducing Broker (IB) \u0111\u00f3ng vai tr\u00f2 then ch\u1ed1t trong vi\u1ec7c k\u1ebft n\u1ed1i kh\u00e1ch h\u00e0ng v\u1edbi c\u00e1c t\u1ed5 ch\u1ee9c thanh to\u00e1n b\u00f9 tr\u1eeb tr\u00ean c\u00e1c th\u1ecb tr\u01b0\u1eddng h\u1ee3p \u0111\u1ed3ng t\u01b0\u01a1ng lai, quy\u1ec1n ch\u1ecdn h\u00e0ng h\u00f3a, ngo\u1ea1i h\u1ed1i v\u00e0 ho\u00e1n \u0111\u1ed5i (swap). Tuy nhi\u00ean, \u0111\u1ec3 th\u1ef1c hi\u1ec7n vai tr\u00f2 n\u00e0y m\u1ed9t c\u00e1ch h\u1ee3p ph\u00e1p, c\u00e1 nh\u00e2n ho\u1eb7c t\u1ed5 ch\u1ee9c ph\u1ea3i \u0111\u00e1p \u1ee9ng c\u00e1c y\u00eau c\u1ea7u nghi\u00eam ng\u1eb7t v\u1ec1 \u0111\u0103ng k\u00fd, v\u1eadn h\u00e0nh v\u00e0 tu\u00e2n th\u1ee7 ph\u00e1p l\u00fd do c\u01a1 quan qu\u1ea3n l\u00fd t\u1eebng qu\u1ed1c gia \u0111\u1eb7t ra. Ri\u00eang t\u1ea1i M\u1ef9, Hi\u1ec7p h\u1ed9i H\u1ee3p \u0111\u1ed3ng T\u01b0\u01a1ng lai Qu\u1ed1c gia (National Futures Association \u2013 NFA) v\u00e0 \u1ee6y ban Giao d\u1ecbch H\u00e0ng h\u00f3a T\u01b0\u01a1ng lai [&hellip;]<\/p>\n","protected":false},"author":41,"featured_media":461,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[3],"tags":[],"class_list":["post-460","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-trading-guides"],"blocksy_meta":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v28.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>H\u01b0\u1edbng D\u1eabn To\u00e0n Di\u1ec7n v\u1ec1 Quy \u0110\u1ecbnh d\u00e0nh cho Introducing Broker (IB) [T\u1ed5ng h\u1ee3p Y\u00eau c\u1ea7u NFA\u00b7CFTC 2026 ]<\/title>\n<meta name=\"description\" content=\"T\u00ecm hi\u1ec3u \u0111\u1ea7y \u0111\u1ee7 c\u00e1c y\u00eau c\u1ea7u \u0111\u0103ng k\u00fd NFA, ti\u00eau chu\u1ea9n v\u1ed1n t\u1ef1 c\u00f3, ngh\u0129a v\u1ee5 tu\u00e2n th\u1ee7 v\u00e0 so s\u00e1nh IB \u0111\u1ed9c l\u1eadp v\u1edbi IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh d\u00e0nh cho Introducing Broker (IB). H\u01b0\u1edbng d\u1eabn chi ti\u1ebft c\u00e1c y\u00eau c\u1ea7u tu\u00e2n th\u1ee7 c\u1ed1t l\u00f5i trong m\u00f4i tr\u01b0\u1eddng ph\u00e1p l\u00fd t\u1ea1i M\u1ef9.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/m4markets.com\/media-vn\/introducing-broker-requirements\/\" \/>\n<meta property=\"og:locale\" content=\"vi_VN\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"H\u01b0\u1edbng D\u1eabn To\u00e0n Di\u1ec7n v\u1ec1 Quy \u0110\u1ecbnh d\u00e0nh cho Introducing Broker (IB) [T\u1ed5ng h\u1ee3p Y\u00eau c\u1ea7u NFA\u00b7CFTC 2026 ]\" \/>\n<meta property=\"og:description\" content=\"T\u00ecm hi\u1ec3u \u0111\u1ea7y \u0111\u1ee7 c\u00e1c y\u00eau c\u1ea7u \u0111\u0103ng k\u00fd NFA, ti\u00eau chu\u1ea9n v\u1ed1n t\u1ef1 c\u00f3, ngh\u0129a v\u1ee5 tu\u00e2n th\u1ee7 v\u00e0 so s\u00e1nh IB \u0111\u1ed9c l\u1eadp v\u1edbi IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh d\u00e0nh cho Introducing Broker (IB). H\u01b0\u1edbng d\u1eabn chi ti\u1ebft c\u00e1c y\u00eau c\u1ea7u tu\u00e2n th\u1ee7 c\u1ed1t l\u00f5i trong m\u00f4i tr\u01b0\u1eddng ph\u00e1p l\u00fd t\u1ea1i M\u1ef9.\" \/>\n<meta property=\"og:url\" content=\"https:\/\/m4markets.com\/media-vn\/introducing-broker-requirements\/\" \/>\n<meta property=\"og:site_name\" content=\"M4markets-Vietnam\" \/>\n<meta property=\"article:publisher\" content=\"https:\/\/www.facebook.com\/M4MarketsOfficial\" \/>\n<meta property=\"article:author\" content=\"https:\/\/www.facebook.com\/M4MarketsOfficial\" \/>\n<meta property=\"article:published_time\" content=\"2026-08-28T03:46:32+00:00\" \/>\n<meta property=\"article:modified_time\" content=\"2026-08-28T03:46:35+00:00\" \/>\n<meta property=\"og:image\" content=\"https:\/\/m4markets.com\/media-vn\/wp-content\/uploads\/sites\/7\/2026\/08\/broker-regulation-cover-scaled.webp\" \/>\n\t<meta property=\"og:image:width\" content=\"2560\" \/>\n\t<meta property=\"og:image:height\" content=\"1429\" \/>\n\t<meta property=\"og:image:type\" content=\"image\/webp\" \/>\n<meta name=\"author\" content=\"M4markets Team\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:creator\" content=\"@https:\/\/x.com\/m4markets_Group\" \/>\n<meta name=\"twitter:site\" content=\"@m4markets_Group\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"M4markets Team\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"20 ph\u00fat\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\\\/\\\/schema.org\",\"@graph\":[{\"@type\":\"Article\",\"@id\":\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/introducing-broker-requirements\\\/#article\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/introducing-broker-requirements\\\/\"},\"author\":{\"name\":\"M4markets Team\",\"@id\":\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/#\\\/schema\\\/person\\\/defb1cadd84ceafb871df746ace9fb68\"},\"headline\":\"H\u01b0\u1edbng D\u1eabn To\u00e0n Di\u1ec7n v\u1ec1 Quy \u0110\u1ecbnh d\u00e0nh cho Introducing Broker (IB): T\u1ed5ng h\u1ee3p Y\u00eau c\u1ea7u Tu\u00e2n th\u1ee7 NFA\u00b7CFTC\",\"datePublished\":\"2026-08-28T03:46:32+00:00\",\"dateModified\":\"2026-08-28T03:46:35+00:00\",\"mainEntityOfPage\":{\"@id\":\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/introducing-broker-requirements\\\/\"},\"wordCount\":5410,\"commentCount\":0,\"publisher\":{\"@id\":\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/#organization\"},\"image\":{\"@id\":\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/introducing-broker-requirements\\\/#primaryimage\"},\"thumbnailUrl\":\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/wp-content\\\/uploads\\\/sites\\\/7\\\/2026\\\/08\\\/broker-regulation-cover-scaled.webp\",\"articleSection\":[\"H\u01b0\u1edbng d\u1eabn giao d\u1ecbch ti\u1ebfng Vi\u1ec7t c\u1ee7a M4Markets | FX, Forex CFD v\u00e0 chi\u1ebfn l\u01b0\u1ee3c giao d\u1ecbch\"],\"inLanguage\":\"vi\",\"potentialAction\":[{\"@type\":\"CommentAction\",\"name\":\"Comment\",\"target\":[\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/introducing-broker-requirements\\\/#respond\"]}]},{\"@type\":\"WebPage\",\"@id\":\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/introducing-broker-requirements\\\/\",\"url\":\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/introducing-broker-requirements\\\/\",\"name\":\"H\u01b0\u1edbng D\u1eabn To\u00e0n Di\u1ec7n v\u1ec1 Quy \u0110\u1ecbnh d\u00e0nh cho Introducing Broker (IB) [T\u1ed5ng h\u1ee3p Y\u00eau c\u1ea7u NFA\u00b7CFTC 2026 ]\",\"isPartOf\":{\"@id\":\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/#website\"},\"primaryImageOfPage\":{\"@id\":\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/introducing-broker-requirements\\\/#primaryimage\"},\"image\":{\"@id\":\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/introducing-broker-requirements\\\/#primaryimage\"},\"thumbnailUrl\":\"https:\\\/\\\/m4markets.com\\\/media-vn\\\/wp-content\\\/uploads\\\/sites\\\/7\\\/2026\\\/08\\\/broker-regulation-cover-scaled.webp\",\"datePublished\":\"2026-08-28T03:46:32+00:00\",\"dateModified\":\"2026-08-28T03:46:35+00:00\",\"description\":\"T\u00ecm hi\u1ec3u \u0111\u1ea7y \u0111\u1ee7 c\u00e1c y\u00eau c\u1ea7u \u0111\u0103ng k\u00fd NFA, ti\u00eau chu\u1ea9n v\u1ed1n t\u1ef1 c\u00f3, ngh\u0129a v\u1ee5 tu\u00e2n th\u1ee7 v\u00e0 so s\u00e1nh IB \u0111\u1ed9c l\u1eadp v\u1edbi IB \u0111\u01b0\u1ee3c b\u1ea3o l\u00e3nh d\u00e0nh cho Introducing Broker (IB). 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