Annual report pursuant to Section 13 and 15(d)
Cover
Cover
Financial Statements
CONSOLIDATED BALANCE SHEETS
CONSOLIDATED BALANCE SHEETS (Parenthetical)
CONSOLIDATED STATEMENTS OF OPERATIONS AND STATEMENTS OF OTHER COMPREHENSIVE INCOME
CONSOLIDATED STATEMENTS OF SHAREHOLDERS EQUITY
CONSOLIDATED STATEMENTS OF CASH FLOWS
Notes to Financial Statements
DESCRIPTION OF BUSINESS
SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES
CASH AND CASH EQUIVALENTS
RESTRICTED CASH
TRADING AND AVAILABLE-FOR-SALE SECURITIES AT FAIR VALUE
BROKERAGE AND OTHER RECEIVABLES, NET
LOANS ISSUED
DEFERRED TAX LIABILITIES ASSETS
FIXED ASSETS, NET
INTANGIBLE ASSETS, NET
OTHER ASSETS, NET
SECURITIES REPURCHASE AGREEMENT OBLIGATIONS
CUSTOMER LIABILITIES
TRADE PAYABLES
SECURITIES SOLD, NOT YET PURCHASED AT FAIR VALUE
LOANS RECEIVED
DEBT SECURITIES ISSUED
OTHER LIABILITIES
FEE AND COMMISSION INCOME/(EXPENSE)
NET GAIN ON TRADING SECURITIES
NET INTEREST INCOME/ (EXPENSE)
NET GAIN ON FOREIGN EXCHANGE OPERATIONS
RELATED PARTY TRANSACTIONS
STOCKHOLDERS' EQUITY
STOCK-BASED COMPENSATION
LEASES
ACQUISITIONS
COMMITMENTS AND CONTINGENCIES
SUBSEQUENT EVENTS
Accounting Policies
SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (Policies)
Notes Tables
SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (Tables)
CASH AND CASH EQUIVALENTS (Tables)
RESTRICTED CASH (Tables)
TRADING AND AVAILABLE-FOR-SALE SECURITIES AT FAIR VALUE (Tables)
BROKERAGE AND OTHER RECEIVABLES, NET (Tables)
LOAN ISSUED (Tables)
DEFERRED TAX LIABILITIES ASSETS (Tables)
FIXED ASSETS, NET (Tables)
INTANGIBLE ASSETS, NET (Tables)
OTHER ASSETS, NET (Tables)
SECURITIES REPURCHASE AGREEMENT OBLIGATIONS (Tables)
CUSTOMER LIABILITIES (Tables)
TRADE PAYABLES (Tables)
LOANS RECEIVED (Tables)
DEBT SECURITIES ISSUED (Tables)
OTHER LIABILITIES (Tables)
FEE AND COMMISSION INCOME(EXPENSE) (Tables)
NET GAIN ON TRADING SECURITIES (Tables)
NET INTEREST INCOME (EXPENSE) (Tables)
NET GAIN ON FOREIGN EXCHANGE OPERATIONS (Tables)
STOCK-BASEDCOMPENSATION (Tables)
LEASES (Tables)
ACQUISITIONS (Tables)
COMMITMENTS AND CONTINGENCIES (Tables)
Notes Details
DESCRIPTION OF BUSINESS (Details Narrative)
SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (Details)
SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES (Details Narrative)
CASH AND CASH EQUIVALENTS (Details)
CASH AND CASH EQUIVALENTS (Details 1)
CASH AND CASH EQUIVALENTS (Details Narrative)
RESTRICTED CASH (Details)
RESTRICTED CASH (Details Narrative)
TRADING AND AVAILABLE FOR SALE SECURITIES AT FAIR VALUE (Details)
TRADING AND AVAILABLEFORSALE SECURITIES AT FAIR VALUE (Details 1)
TRADING AND AVAILABLE FOR SALE SECURITIES AT FAIR VALUE (Details 2)
TRADING AND AVAILABLE FOR SALE SECURITIES AT FAIR VALUE (Details 3)
TRADING AND AVAILABLE FOR SALE SECURITIES AT FAIR VALUE (Details 4)
TRADING AND AVAILABLE FOR SALE SECURITIES AT FAIR VALUE (Details Narrative)
BROKERAGE AND OTHER RECEIVABLES NET (Details)
BROKERAGE AND OTHER RECEIVABLES NET (Details Narrative)
LOANS ISSUED (Details)
DEFERRED TAX ASSETS (Details)
DEFERRED TAX ASSETS (Details 1)
DEFERRED TAX ASSETS (Details 2)
DEFERRED TAX ASSETS (Details Narrative)
FIXED ASSETS, NET (Details)
FIXED ASSETS, NET (Details Narrative)
INTANGIBLE ASSETS, NET (Details)
INTANGIBLE ASSETS, NET (Details Narrative)
OTHER ASSETS, NET (Details)
SECURITIES REPURCHASE AGREEMENT OBLIGATIONS (Details)
SECURITIES REPURCHASE AGREEMENT OBLIGATIONS (Details Narrative)
CUSTOMER LIABILITIES (Details)
CUSTOMER LIABILITIES (Details Narrative)
TRADE PAYABLES (Details)
TRADE PAYABLES (Details Narrative)
SECURITIES SOLD, NOT YET PURCHASED AT FAIR VALUE (Details Narrative)
LOANS RECEIVED (Details)
LOANS RECEIVED (Details Narrative)
DEBT SECURITIES ISSUED (Details)
DEBT SECURITIES ISSUED (Details Narrative)
OTHER LIABILITIES (Details)
FEE AND COMMISSION INCOME(EXPENSE) (Details)
NET GAIN ON TRADING SECURITIES (Details)
NET INTEREST INCOME (EXPENSE) (Details)
NET GAIN ON FOREIGN EXCHANGE OPERATIONS (Details)
RELATED PARTY TRANSACTIONS (Details Narrative)
STOCKHOLDERS EQUITY (Details Narrative)
STOCK BASED COMPENSATIONS (Details)
STOCK BASED COMPENSATIONS (Details 1)
STOCK BASED COMPENSATIONS (Details 2)
STOCK BASED COMPENSATIONS (Details Narrative)
LEASES (Details)
LEASES (Details 1)
LEASES (Details Narrative)
ACQUISITIONS (Details)
ACQUISITIONS (Details Narrative)
COMMITMENTS AND CONTINGENCIES (Details)
SUBSEQUENT EVENTS (Details Narrative)
CASH AND CASH EQUIVALENTS (Details 1)
v3.21.1
CASH AND CASH EQUIVALENTS (Details 1) - USD ($)
Mar. 31, 2021
Mar. 31, 2020
Remaining contractual maturity: 30 - 90 days
$ 0
$ 272,000
Remaining contractual maturity: up to 30 days
248,946,000
9,373,000
Total contractual maturity
248,946,000
9,645,000
U.S. sovereign debt
Remaining contractual maturity: 30 - 90 days
0
Remaining contractual maturity: up to 30 days
1,562,000
Total contractual maturity
$ 1,562,000
Average interest rate
0.50%
Equity securities
Remaining contractual maturity: 30 - 90 days
$ 0
0
Remaining contractual maturity: up to 30 days
94,562,000
108,000
Total contractual maturity
$ 94,562,000
$ 108,000
Average interest rate
4.42%
14.25%
Corporate equity
Remaining contractual maturity: 30 - 90 days
$ 0
$ 15,000
Remaining contractual maturity: up to 30 days
51,564,000
9,212,000
Total contractual maturity
$ 51,564,000
$ 9,227,000
Average interest rate
2.76%
14.08%
Non-U.S. sovereign debt
Remaining contractual maturity: 30 - 90 days
$ 0
$ 257,000
Remaining contractual maturity: up to 30 days
101,258,000
53,000
Total contractual maturity
$ 101,258,000
$ 310,000
Average interest rate
1.07%
17.18%
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