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Should brokers lock the filing cabinets that contain their clients’ personal information?

April 26, 2017brokers cabinets contain filing lock

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Should brokers lock the filing cabinets that contain their clients’ personal information?

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A. Yes. The Act stipulates that security safeguards must protect personal information against loss or theft as well as unauthorized access, disclosure, copying, use, or modification. For physical files, the Act specifically suggests measures such as locked filing cabinets and restricted access.