Andrew F. Tuch

Washington University in St Louis - School of Law

Professor of Law

One Brookings Drive

Saint Louis, MO 63130

United States

European Corporate Governance Institute (ECGI)

c/o the Royal Academies of Belgium

Rue Ducale 1 Hertogsstraat

1000 Brussels

Belgium

  • Washington University in St Louis - School of Law

  • European Corporate Governance Institute (ECGI)

SCHOLARLY PAPERS

28

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16,099

SSRN CITATIONS
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Top 44,143

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8

CROSSREF CITATIONS

10

Scholarly Papers (28)

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1.

Investment Banking: Immediate Challenges and Future Directions

Commercial Law Quarterly, Vol. 20, No. 4, pp. 37-46, 2006, Sydney Law School Research Paper No. 06/63
Number of pages: 11 Posted: 23 Jan 2007
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 1,792 (16,734)

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Investment bank, conflicts of interest, proprietary trading, principal investing, private equity, Chinese walls, managing conflicts, avoiding conflicts, financial regulators

2.

Multiple Gatekeepers

Virginia Law Review, Vol. 96, Issue 7, pp. 1583-1672, 2010, Sydney Law School Research Paper No. 10/33
Number of pages: 91 Posted: 31 Mar 2010 Last Revised: 11 Sep 2013
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 1,309 (26,863)

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gatekeepers, optimal deterrence theory, gatekeeper liability, liability of lawyers, liability of investment banks, liability of auditors, securities fraud, joint tortfeasors, joint and several liability, credit rating agencies, aiding and abetting liability, multidisciplinary partnerships

3.

Investment Banks as Fiduciaries: Implications for Conflicts of Interest

29 Melbourne University Law Review 478 (2005), Sydney Law School Research Paper No. 06/04
Number of pages: 41 Posted: 04 Jan 2006 Last Revised: 13 May 2020
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 1,278 (27,884)

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Investment banks, merchant banks, financial advisory services, investment bank advisors, fiduciary duty, identifying fiduciary relationship, conflicts of interest, change of control transactions, mergers, acquisitions, duties of investment banks, regulation of investment banks

4.

Conflicted Gatekeepers: The Volcker Rule and Goldman Sachs

Virginia Law & Business Review, Vol. 7, No. 2, pp. 365-420, 2012 , Washington University in St. Louis Legal Studies Research Paper No. 12-12-1 , Harvard John M. Olin Center for Law, Economics, and Business Fellows' Discussion Paper No. 37
Number of pages: 58 Posted: 17 Apr 2011 Last Revised: 17 Jun 2015
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 1,197 (30,681)
Citation 2

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Financial regulation, Dodd-Frank Act, Investment Banking, Volcker Rule, Conflicts of Interest, Fiduciary Duties, Gatekeeper Liability, Securitization, SEC Enforcement, Securities Fraud, Goldman Sachs

5.

Financial Conglomerates and Information Barriers

39 J. Corp. L. 563 (2014), Washington University in St. Louis Legal Studies Research Paper No. 13-11-01
Number of pages: 55 Posted: 06 Dec 2013 Last Revised: 15 Jul 2020
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 838 (50,604)
Citation 1

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Chinese walls, Financial conglomerates, Information Barriers, Volcker Rule, Insider trading, Statistical evidence

6.

The Further Erosion of Investor Protection: Expanded Exemptions, SPAC Mergers and Direct Listings

108 Iowa L. Rev. 303 (2022), Washington University in St. Louis Legal Studies Research Paper No. 22-01-03
Number of pages: 75 Posted: 31 Jan 2022 Last Revised: 09 Dec 2022
Andrew F. Tuch and Joel Seligman
Washington University in St Louis - School of Law and Washington University in St Louis, School of Law
Downloads 762 (57,548)
Citation 1

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Securities regulation, initial public offering, IPO, special purpose acquisition company, SPAC, direct listing, underwriters, gatekeepers, Section 11, PSLRA, safe harbors, conflicts of interest

7.

Conduct of Business Regulation

"Conduct of Business Regulation," in Oxford Handbook of Financial Regulation 537 (Niamh Moloney, Eilis Ferran, & Jennifer Payne eds., 2015), Washington University in St. Louis Legal Studies Research Paper No. 14-06-04
Number of pages: 33 Posted: 02 Jul 2014 Last Revised: 08 Oct 2016
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 757 (58,045)
Citation 1

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conduct of business regulation, business conduct, broker-dealer, investment adviser, comparative analysis, MiFID, fiduciary duties, agency law, conflicts of interest

8.

Banker Loyalty in Mergers and Acquisitions

94 Texas Law Review 1079 (2016), Washington University in St. Louis Legal Studies Research Paper No. 15-09-10
Number of pages: 76 Posted: 23 Sep 2015 Last Revised: 01 Oct 2016
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 711 (63,129)

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Mergers and acquisitions, investment banking, financial advisors, fiduciary duties, engagement letters, optimal deterrence, aiding and abetting liability, Del Monte, El Paso, RBC Capital

9.

The Remaking of Wall Street

7 Harvard Business Law Review 315 (2017), Washington University in St. Louis Legal Studies Research Paper No. 17-07-01
Number of pages: 60 Posted: 19 Jul 2017 Last Revised: 30 Nov 2022
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 707 (63,928)
Citation 3

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Private Equity, Private Funds, Private Capital, Investment Banking, Systemic Risk, Financial Crisis, Financial Stability, Asset Management

10.

Fiduciary Principles in Banking Law

Evan J. Criddle, Paul B. Miller, and Robert H. Sitkoff, eds., The Oxford Handbook of Fiduciary Law (New York: Oxford University Press 2019), Washington University in St. Louis Legal Studies Research Paper No. 18-07-01
Number of pages: 22 Posted: 21 Jul 2018 Last Revised: 28 May 2020
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 650 (70,791)
Citation 1

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fiduciary duties, fiduciary law, banking, investment banking, making loans, accepting deposits, mergers and acquisitions, underwriting, disclaimers, information barriers, Chinese walls, informed consent, conflicts of interest, contracting out

11.

A General Defense of Information Fiduciaries

98 Washington University Law Review 1897 (2021), Washington University in St. Louis Legal Studies Research Paper No. 20-09-01
Number of pages: 42 Posted: 22 Sep 2020 Last Revised: 07 Aug 2021
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 640 (72,248)

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Fiduciary law, privacy law, data, loyalty, online service providers, social media, surveillance, user privacy, data security, technology

12.

The Paradox of Financial Services Regulation: Preserving Client Expectations of Loyalty in an Industry Rife with Conflicts of Interest

in THE REGULATION OF WEALTH MANAGEMENT 53-85 (Hans Tjio ed., 2008), Sydney Law School Research Paper No. 08/21
Number of pages: 41 Posted: 25 Jan 2008 Last Revised: 11 Sep 2013
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 526 (92,216)
Citation 1

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investment banks, conflicts of interest, fiduciary obligations, mergers and acquisitions, financial services regulation, ASIC v Citigroup, Australian Securities and Investments Commission

13.

Obligations of Financial Advisers in Change-of-Control Transactions: Fiduciary and Other Questions

Company & Securities Law Journal, Vol. 24, pp. 488-521, 2006
Number of pages: 35 Posted: 08 Dec 2006 Last Revised: 18 Sep 2013
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 484 (102,042)

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Investment banks, merchant banks, fiduciary obligations, mergers and acquisitions, takeovers, change-of-control transactions, conflicts of interest, managing conflicts, regulation of investment banks, duties of financial advisers

14.

The Self-Regulation of Investment Bankers

83 George Washington Law Review 101 (2014), Washington University in St. Louis Legal Studies Research Paper No. 14-04-04
Number of pages: 76 Posted: 05 May 2014 Last Revised: 07 Mar 2018
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 474 (104,610)

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Investment banking, investment bankers, FINRA, self-regulation, professional responsibilities, ethics, enforcement, conflicts of interest, fraud

15.

The Limits of Gatekeeper Liability

73 Wash. & Lee L. Rev. Online 619 (2017), Washington University in St. Louis Legal Studies Research Paper No. 17-04-01
Number of pages: 23 Posted: 20 Apr 2017
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 468 (106,187)

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Gatekeepers, Gatekeeper Liability, Optimal Deterrence Theory, Liability of Underwriters, Securities Fraud, Conflicts of Interest, Corporate Liability, Collaborative Gatekeepers, Multiple Gatekeepers

16.

Contemporary Challenges in Takeovers: Avoiding Conflicts, Preserving Confidences and Taming the Commercial Imperative

Sydney Law School Research Paper No. 06/11, Company & Securities Law Journal, Vol. 24, pp. 107-136, 2006
Number of pages: 31 Posted: 16 Aug 2006
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 459 (108,730)

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Takeovers, mergers and acquisitions, change of control transactions, conflicts of interest, effectiveness of Chinese walls, confldential information, professional responsibility, investment banks

17.

Fairness Opinions and SPAC Reform

European Corporate Governance Institute - Law Working Paper No. 703-2023
Number of pages: 63 Posted: 17 Apr 2023 Last Revised: 06 Sep 2023
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 444 (112,984)

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SPACs, fairness opinions, IPOs, de-SPACs, fiduciary duty, statutory requirements, Delaware, underwriters, Section 11, PSLRA, safe harbors, conflicts of interest

18.

Securities Underwriters in Public Capital Markets: The Existence, Parameters and Consequences of the Fiduciary Obligation to Avoid Conflicts

Journal of Corporate Law Studies, Vol. 7, No. 1, pp. 51-84, April 2007
Number of pages: 35 Posted: 31 May 2007
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 421 (120,265)
Citation 1

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investment bank, underwriter, conflicts of interest, fiduciary obligation, fiduciary relationship, initial public offering, regulation of financial institutions, financial services conglomerates

19.

Proxy Advisor Influence in a Comparative Light

99 Boston University Law Review 1459 (2019), Washington University in St. Louis Legal Studies Research Paper No. 19-05-01
Number of pages: 55 Posted: 14 May 2019 Last Revised: 30 Jul 2019
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 355 (145,750)

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Proxy advisory firms, institutional investors, proxy voting, comparative analysis, shareholder activism, corporate governance, shareholder rights, ISS, Glass Lewis, United Kingdom

20.

The Weakening of Fiduciary Law

Research Handbook on Fiduciary Law 354 (D. Gordon Smith & Andrew S. Gold eds., 2018), Washington University in St. Louis Legal Studies Research Paper No. 17-04-03
Number of pages: 24 Posted: 12 Apr 2017 Last Revised: 16 Sep 2018
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 332 (156,547)

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fiduciary duties, organizational structure, conflicts of interest, conflicts of duties, proprietary trading, financial conglomerates, information barriers, Chinese walls, disclaimers, mandatory arbitration

21.

Reassessing Self-Dealing: Between No Conflict and Fairness

88 Fordham Law Review 939 (2019), Washington University in St. Louis Legal Studies Research Paper No. 19-11-01
Number of pages: 61 Posted: 06 Dec 2019 Last Revised: 22 May 2020
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 321 (162,370)

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self-dealing; related party transactions; fiduciary duties; corporate governance; fairness

22.

Managing Management Buyouts: A US-UK Comparative Analysis

Research Handbook on Comparative Corporate Governance (Afra Afsharipour & Martin Gelter eds., Edward Elgar Publishing, 2021), 477-99, Washington University in St. Louis Legal Studies Research Paper No. 20-04-02
Number of pages: 34 Posted: 11 May 2020 Last Revised: 08 Aug 2022
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 311 (167,870)

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Management buyout, MBO, public-to-private, P2P, comparative analysis, fiduciary duties, directors and officers

23.

M&A Advisor Misconduct: A Wrong Without a Remedy?

Delaware Journal of Corporate Law, Vol. 45, 2021, Washington University in St. Louis Legal Studies Research Paper No. 21-05-02
Number of pages: 43 Posted: 25 May 2021
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 236 (221,745)

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Mergers and acquisitions, M&A advisors, financial advisors, investment banks, engagement letters, aiding and abetting liability, deterrence

24.

Disclaiming Loyalty: M&A Advisors and Their Engagement Letters

93 Texas Law Review See Also 211 (2015), Washington University in St. Louis Legal Studies Research Paper No. 15-06-02
Number of pages: 19 Posted: 19 Jun 2015
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 213 (244,455)

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Investment banking, conflicts of interest, mergers and acquisitions, disloyalty, financial advisors, fiduciary duties, informed consent, fiduciary waivers, engagement letters, Delaware law, Del Monte, El Paso, Rural Metro, conflicts of interest, M&A

25.

The Rise of Fintech - Foreword

61 Wash. U. J. L. & Pol'y 1 (2020), Washington University in St. Louis Legal Studies Research Paper No. 20-03-01
Number of pages: 9 Posted: 06 Apr 2020 Last Revised: 15 Jul 2020
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 124 (384,733)

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fintech, technological disruption, financial regulation, boundaries of the firm, initial coin offerings, ICOs, equity crowdfunding, smart contracts

26.

Comment Letter on SEC Proposed Reforms of SPACs, Shell Companies, and Projections

Washington University in St. Louis Legal Studies Research Paper No. 22-07-01
Number of pages: 29 Posted: 19 Jul 2022 Last Revised: 28 Oct 2022
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 122 (389,458)

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SPACs, de-SPACs, SPAC mergers, SEC proposed reforms, going-private transactions, fairness opinions

27.

Review of David Kershaw, The Foundations of Anglo-American Corporate Fiduciary Law

78(1) Cambridge Law Journal 210 (2019)
Number of pages: 7 Posted: 05 Jun 2019 Last Revised: 19 Jun 2019
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 122 (389,458)

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corporate law, fiduciary duties, US-UK comparison, business judgment rule, duty of care, duty of loyalty, corporate opportunities, legal realism in corporate law

28.

A Narrow View of Transnational Fiduciary Law

Transnational Fiduciary Law (Seth Davis, Thilo Kuntz & Gregory Shaffer eds., Cambridge University Press, Forthcoming), Washington University in St. Louis Legal Studies Research Paper No. 22-09-04
Number of pages: 32 Posted: 31 Oct 2022
Andrew F. Tuch
Washington University in St Louis - School of Law
Downloads 46 (679,620)

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Transnational fiduciary law, transnational law, fiduciary law, transnational legal orders, TLOs, financial services regulation