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Taxes, Keiretsu Affiliation, and Income Shifting

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Author Info
Jeffrey D. Gramlich (University of Hawai'i, and University of Michigan)
Piman Limpaphayom (Chulalongkorn University (Thailand))
S. Ghon Rhee (University of Hawai'i)
Abstract

This paper provides evidence that keiretsu group member firms are subject to lower effective tax rates than independent firms in Japan. As one explanation for this phenomenon, we develop a hypothesis that keiretsu firms strategically shift financially reported income among affiliates in order to reduce overall effective tax rates. Empirical evidence supports this income- shifting hypothesis since the positive relationship between pretax return m firm value and marginal tax rate status is significantly mitigated by keiretsu membership. Further, it appears that keiretsu income shifting activities intensify when Japanese firms face economic recession, contrasting conjecture of weakening strength of keiretsu affiliation during this period. We also find evidence supporting the view that benefactors of shifted income are compensated via increased dividends.

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Paper provided by Tinbergen Institute in its series Tinbergen Institute Discussion Papers with number 02-114/2.

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Date of creation: 02 Dec 2002
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Handle: RePEc:dgr:uvatin:20020114

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Related research
Keywords: Keyretsu; income shifting; marginal tax rate.;

Find related papers by JEL classification:
G32 - Financial Economics - - Corporate Finance and Governance - - - Financing Policy; Capital and Ownership Structure

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  1. Berglof, Erik & Perotti, Enrico, 1994. "The governance structure of the Japanese financial keiretsu," Journal of Financial Economics, Elsevier, vol. 36(2), pages 259-284, October. [Downloadable!] (restricted)
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  6. Kim, Kenneth A & Limpaphayom, Piman, 1998. "A Test of the Two-Tier Corporate Governance Structure: The Case of Japanese Keiretsu," Journal of Financial Research, Southern Finance Association and Southwestern Finance Association, vol. 21(1), pages 37-51, Spring.
  7. David Harris & Randall Morck & Joel Slemrod & Bernard Yeung, 1991. "Income Shifting in U.S. Multinational Corporations," NBER Working Papers 3924, National Bureau of Economic Research, Inc. [Downloadable!] (restricted)
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  8. Kaplan, Steven N, 1994. "Top Executive Rewards and Firm Performance: A Comparison of Japan and the United States," Journal of Political Economy, University of Chicago Press, vol. 102(3), pages 510-46, June. [Downloadable!] (restricted)
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  12. Hoshi, Takeo & Kashyap, Anil & Scharfstein, David, 1990. "The role of banks in reducing the costs of financial distress in Japan," Journal of Financial Economics, Elsevier, vol. 27(1), pages 67-88, September. [Downloadable!] (restricted)
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  13. Beason, D., 1998. "Keiretsu affiliation and share price volatility in Japan," Pacific-Basin Finance Journal, Elsevier, vol. 6(1-2), pages 27-43, May. [Downloadable!] (restricted)
  14. Hoshi, Takeo & Kashyap, Anil & Scharfstein, David, 1991. "Corporate Structure, Liquidity, and Investment: Evidence from Japanese Industrial Groups," The Quarterly Journal of Economics, MIT Press, vol. 106(1), pages 33-60, February. [Downloadable!] (restricted)
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  15. Sadahiko Suzuki & Richard W Wright, 1985. "Financial Structure and Bankruptcy Risk in Japanese Companies," Journal of International Business Studies, Palgrave Macmillan Journals, vol. 16(1), pages 97-110, March. [Downloadable!] (restricted)
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