Audits and recordkeeping: Bail bonds

Recordkeeping requirements

By law, you must:

  • Maintain all the following types of records for at least 3 years.
  • and
  • Keep these records readily available so we can audit them.

Records you must keep:

  • Bank trust account records
  • Duplicate receipt books or receipt journals
  • Prenumbered checks
  • Check registers or cash disbursement journals
  • Validated bank deposit slips
  • Reconciled bank monthly statement (client liability vs. bank statement)
  • All canceled checks and voided checks
  • Client information, including:
    • Defendant’s name
    • Application form
    • Transaction records, including transaction dates, amount received, amount disbursed, current balance, check number, and items covered
    • Indemnitor’s and indemnity agreements
    • Premium receipts
    • Collateral receipts
    • Letters of forfeiture or surrender forms
    • Letters of demand and affidavits, if surrendered before a forfeiture has occurred
    • Any written information or communications that may influence the bail bond or collateral
  • A transaction folder or file containing a copy of all agreements, invoices, billings, and related correspondence for each transaction
  • Records of all collaterals, securities, or monetary instruments received or held in the bail bond business transactions
  • Records of training and continuing education for each bail bond agent employed in the agency
  • Records of exoneration of all bail bond transactions, including:
    • Court, citation, or case number
    • Date the bail was issued
    • The defendant’s name, address, and telephone number
    • Amount of the bond
    • Name of the court
    • Date of exoneration of the bond

For an overview of recordkeeping requirements and audit procedures, see Audits and Recordkeeping Procedures.

Self audit checklist

Would you pass a recordkeeping audit? Use the Self Audit Checklist to see if you could pass the test.

Related laws and rules

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