Past exam of the mathematics course of the University of Cambridge / 2002 / iii / Paper 7 / 2

Give $\mathcal{O}(U)$ the compact-open topology. Choose a finite polygonal cycle $\Gamma$ in $U\setminus {\sigma }_A(x)$ whose winding number is one on the Banach algebra spectrum and zero outside $U$. One can take the oriented boundary of a finite union of small squares surrounding the compact Banach algebra spectrum and contained in $U$. DefineThe integral is an algebra-norm integral of a continuous function on finitely many segments. Cauchy's theorem, applied after any bounded linear functional on $A$, makes it independent of the cycle. Moreoverso it is continuous for the compact-open topology.

Here is a direct verification of the algebra properties and uniqueness using the allowed Runge theorem. The version required is that every holomorphic function on an open plane set is a locally uniform limit of rational functions with poles outside that set, allowing a polynomial part. A rational function $r=p/q$ of this kind has the unambiguous value $r(x)=p(x)q(x{)}^{-1}$, since the roots of $q$ avoid the Banach algebra spectrum. These rational values form a unital algebra homomorphism.

They agree with the contour integral. First $\frac{1}{2\pi i}{\int }_{\Gamma }(z1-x{)}^{-1}dz=1$, by replacing the cycle with a large circle and integrating its Neumann expansion. The identity $z^{j}1-x^j=(z1-x){\sum }_{k=0}^{j-1}{z}^{j-1-k}{x}^k$ then proves the assertion for polynomials. For $a\notin U$, the resolvent identity givesThe cycle has winding number zero at $a$, so integration gives $(x-a1{)}^{-1}$. This identity holds on a neighborhood of $a$ disjoint from the cycle and the Banach algebra spectrum. Differentiating with respect to $a$ gives the analogous result for every power $(z-a{)}^{-k}$, and partial fractions give it for all the rational functions under consideration.

If $r_n\to f$ and $s_n\to g$ locally uniformly, the contour estimate makes their evaluated sequences converge. Since $r_n{s}_n\to fg$ locally uniformly and multiplication in $A$ is continuous, their limits satisfy ${\Theta }_x(fg)={\Theta }_x(f){\Theta }_x(g)$. Also ${\Theta }_x(1)=1$ and ${\Theta }_x(Z)=x$. Conversely any continuous unital complex-algebra homomorphism sending $Z$ to $x$ must send $Z-a$ to $x-a1$ and its reciprocal to the inverse. It therefore agrees on rational functions and then, by Runge density and continuity, on all of $\mathcal{O}(U)$. This proves existence and uniqueness of the holomorphic functional calculus.

For its spectral mapping property, first note compatibility on a smaller open spectral neighborhood $W\subseteq U$: composing restriction to $W$ with the calculus there gives the calculus on $U$ by uniqueness. If $\mu \notin g({\sigma }_A(x))$, choose such a $W$ where $\mu -g$ never vanishes. Thenwith the right side evaluated on $W$. Conversely, for $\lambda \in {\sigma }_A(x)$, write $g(z)-g(\lambda )=(z-\lambda )q(z)$ with $q$ holomorphic on $U$. The evaluated factors commute. If their product were invertible, both factors would be invertible, contradicting $\lambda \in {\sigma }_A(x)$. ThusPullback $h\mapsto h\circ g$ is continuous from $\mathcal{O}(V)$ to $\mathcal{O}(U)$ because the image under $g$ of a compact set is compact. The composite $h\mapsto {\Theta }_x(h\circ g)$ is a continuous unital homomorphism taking the coordinate function to $y={\Theta }_x(g)$. Uniqueness of the calculus at $y$ provesFor the exponential conclusion, let $K={\sigma }_A(x)$. There is a simple polygonal arc from zero through its unbounded complementary component to outside a disk containing $K$, continued by a ray to infinity and avoiding $K$. Loops in an initial polygonal path can be removed to make the arc simple. The complement of this slit is a simply connected open neighborhood of $K$ avoiding zero, and hence admits a holomorphic logarithm $\ell$. Set $y={\Theta }_x(\ell )$. The composition rule givesThe calculus of the entire exponential agrees with the usual algebra exponential because its power-series partial sums converge locally uniformly. Finally an invertible matrix over the complex numbers has a finite Banach algebra spectrum avoiding zero. Removing finitely many plane points leaves a connected set, so the hypothesis always holds: every invertible matrix over the complex numbers is an exponential of a matrix over the complex numbers.