Past exam of the mathematics course of the University of Cambridge / 2005 / iii / Paper 7 (Banach Algebras)

In a unital Banach algebra, the Neumann series gives $(1-u{)}^{-1}={\sum }_{k=0}^{\infty }{u}^k$ whenever $\Vert u\Vert <1$: the series converges in norm by submultiplicativity and completeness, and multiplication of its partial sums on either side gives $1-u^{N+1}\to 1$. Consequently, if $g$ is invertible and $\Vert g^{-1}\Vert \Vert h-g\Vert <1$, writeThe second factor has a Neumann series inverse, so $h$ is invertible. This exhibits a ball around each $g$ in the group of invertible elements of a Banach algebra, proving that group is an open set.

The same series proves continuity of inversion in a Banach algebra, with the useful quantitative estimateThe right side tends to zero as $h\to g$. Since applying inversion twice gives the original element, it is a bijection whose inverse is the same continuous map. Thus inversion is a homeomorphism of the open group of invertibles onto itself.

For the final unheaded request, defineIt is open by the preceding argument and contains $0$. If ${\lambda }_0$ were a boundary point, a sequence ${\lambda }_n\in E$ would converge to ${\lambda }_0$, while openness gives ${\lambda }_0\notin E$. Then $1-{\lambda }_{n}a\to 1-{\lambda }_{0}a$ is a noninvertible limit of invertibles. The one-sided-inverse argument in part (ii) shows that this limit has neither a left inverse of an algebra element nor a right inverse of an algebra element, contradicting the hypothesis. Therefore $E$ has empty boundary; it is both open and closed in the connected complex plane, and $E=\mathbb{C}$.

For every nonzero $\mu$, put $\lambda ={\mu }^{-1}$. The identity $\mu 1-a=\mu (1-\lambda a)$ proves invertibility, so the spectrum of an element $a$ is contained in $\{0\}$. It is nonempty: if the resolvent of an element existed for all $\mu \in \mathbb{C}$, it would be an entire algebra-valued function tending to zero at infinity by the Neumann series. Applying any bounded linear functional and then the Liouville theorem would make it zero; the Hahn-Banach theorem separates points and would force the resolvent itself to be zero, contradicting its inverse equation. Hence

If $\Vert x_n^{-1}\Vert \Vert x-x_n\Vert <1$, thenis invertible by the Neumann series, a contradiction. Thus every $n$ satisfiesHere $x\ne x_n$ because $x_n$ is invertible and $x$ is not. Since $x_n\to x$, this proves the inverse norm divergence at noninvertible boundary points:

Suppose $b$ were a left inverse of an algebra element $x$, so $bx=1$. Then $b{x}_n\to 1$, and $b{x}_n$ is invertible for all sufficiently large $n$ by the Neumann series. For such $n$, $b=(b{x}_n)x_n^{-1}$ is a product of invertibles, hence invertible. The equation $bx=1$ then gives $x=b^{-1}$, a contradiction.

If instead $xb=1$, then $x_{n}b\to 1$, so $x_{n}b$ is eventually invertible. Now $b=x_n^{-1}(x_{n}b)$ is invertible, and again $x=b^{-1}$, a contradiction. This proves that a noninvertible limit of invertibles has neither type of one-sided inverse. No finite-dimensional assumption is used.

Write $K={\sigma }_A(x)$ and equip $\mathcal{O}(U)$ with the compact-open topology. All algebra homomorphisms here are complex linear. Choose a finite positively oriented boundary cycle $\Gamma$ in $U\setminus K$ with winding number one on a neighborhood of $K$ and zero outside $U$. Such a cycle can be obtained as the boundary of a finite union of sufficiently small squares whose interior contains $K$ and whose closure is contained in $U$; holes are included with negative boundary orientation. Define the holomorphic functional calculus by the norm-convergent contour integralThe resolvent identity proves that $R$ is a Banach-space-valued holomorphic function off $K$. The Cauchy integral theorem, applied after each bounded linear functional, makes the integral independent of the chosen boundary cycle. The Hahn-Banach theorem then gives equality of the algebra-valued integrals. Moreover,which proves complex linearity and continuity for the compact-open topology.

For the constant function $1$ and the coordinate function $Z$, the contour can be deformed to a large circle because their integrands are holomorphic everywhere outside $K$. There the Neumann series gives $R(z)={\sum }_{n\ge 0}{x}^n{z}^{-n-1}$. Integrating term by term showsTo prove multiplicativity, take nested cycles ${\Gamma }_o,{\Gamma }_i$ around $K$, with the outer cycle winding once on the inner cycle and the inner winding zero on the outer cycle. Use the outer cycle for $f$ and the inner for $g$. The resolvent identity readsIn the resulting double integral, the term containing $R(w)$ gives $f(w)g(w)R(w)$ after the $z$ integral, by the Cauchy integral formula. The term containing $R(z)$ vanishes after the $w$ integral, because $w\mapsto g(w)/(z-w)$ is holomorphic on and inside the inner cycle's region. ThereforeThe integrals are over finite compact curves and have continuous integrands, so exchanging their order is legitimate. This proves the existence of the required continuous unital algebra homomorphism.

For uniqueness, the Runge approximation theorem gives density in $\mathcal{O}(U)$, for the compact-open topology, of rational functions with poles outside $U$. More explicitly, exhaust $U$ by compact sets that are holomorphically convex relative to $U$, and approximate on those sets by rational functions whose poles lie in the complement of $U$; this gives convergence on every compact subset. Any unital algebra homomorphism taking $Z$ to $x$ must take $(Z-\alpha {)}^{-1}$, for $\alpha \notin U$, to $(x-\alpha 1{)}^{-1}$, since it preserves inverse equations. Partial fractions and polynomial algebra therefore fix its value on every such rational function. Continuity fixes its value on their limits. Thus the continuous unital homomorphism with the prescribed coordinate value is unique. Restricting a function to a smaller neighborhood of $K$ gives the same value, either by the contour definition or this uniqueness argument.

To prove the holomorphic spectral mapping theorem, first let $\mu \notin f(K)$. There is an open neighborhood $V\subseteq U$ of $K$ on which $f-\mu$ has no zeros. The holomorphic function $h=1/(f-\mu )$ on $V$ supplies a two-sided inverse throughThus ${\sigma }_A({\Theta }_x(f))\subseteq f(K)$. Conversely, if $\lambda \in K$ and $\mu =f(\lambda )$, the divided differenceis holomorphic on $U$, and multiplicativity givesThe two factors commute. A commuting product $uv$ can be invertible only if both factors are invertible: its inverse commutes with each factor, and $v(uv{)}^{-1}$ is a two-sided inverse for $u$. Invertibility of the displayed product would therefore contradict $\lambda \in K$. This proves

For the root, let $D=\mathbb{C}\setminus (-\infty ,0]$ and $q(z)=\exp (\mathrm{Log}z/3)$, using the principal complex logarithm. Define $y={\Theta }_x(q)$. Since $q(z{)}^3=z$, multiplicativity and the holomorphic spectral mapping theorem giveThis is the principal cube root of a Banach-algebra element.

For uniqueness, suppose $v^3=x$ and ${\sigma }_A(v)\subset S$. Cubing maps the whole open sector $S$ into $D$, sois a continuous unital algebra homomorphism: pullback by cubing is continuous for the compact-open topology, since images of compact sets are compact. It takes the coordinate function to $v^3=x$, and uniqueness already proved gives $F={\Theta }_x$. For $z\in S$, the scalar principal cube root satisfies $q(z^3)=z$, because $3\arg z\in (-\pi ,\pi )$. HenceThis proves uniqueness with the stated spectral sector, without assuming the ambient Banach algebra is commutative or that algebra characters separate its elements.

First, a maximal left ideal $L$ is closed. Its norm closure is again a left ideal, since multiplication is continuous. If that closure were all of $A$, some $\ell \in L$ would satisfy $\Vert 1-\ell \Vert <1$ and would be invertible by the Neumann series. But a proper left ideal cannot contain an invertible element: ${\ell }^{-1}\ell =1$ would put $1$ in $L$. Maximality therefore forces $\overline{L}=L$.

Consequently $X=A/L$ is a nonzero quotient Banach space. It is a simple module for left multiplication by $A$, because the inverse image of any submodule under $A\to A/L$ is a left ideal containing $L$, and hence is either $L$ or $A$. Since $La\subseteq L$, right multiplication defines a well-defined bounded module endomorphismIndeed, changing $u$ by an element of $L$ changes $ua$ by an element of $L$, and taking the infimum over representatives proves the quotient norm bound. Right multiplication commutes with the left action by associativity.

Choose $\lambda$ in the nonempty spectrum of an element of $T$ in the Banach algebra $\mathcal{B}(X)$. Both the kernel and range of $T-\lambda I$ are submodules. If this module endomorphism were nonzero, simplicity would force its kernel to be zero and its range to be all of $X$. It would be a bounded bijection of Banach spaces, with bounded inverse by the bounded inverse theorem, contradicting the choice of $\lambda$. Thus $T=\lambda I$. Applying this identity to $1+L$ yields $a-\lambda 1\in L$. If also $a-\mu 1\in L$, then $(\lambda -\mu )1\in L$; since $1\notin L$, $\lambda =\mu$. ThereforeThis is the scalar right action on a maximal-left-ideal quotient; it does not assume that $L$ is a two-sided ideal or that $A/L$ is an algebra.

Now consider the center of an associative algebra $Z$. For each $u\in A$, the map $z\mapsto zu-uz$ is a continuous linear map, so its kernel is closed. Their intersection $Z$ is therefore closed. The identity belongs to $Z$, as do sums and scalar multiples of its elements. If $z,w\in Z$, then for every $u\in A$,Thus $zw\in Z$. Also $zw=wz$, since $z$ commutes with every element of $A$, including $w$. Hence the center is a closed commutative unital subalgebra, and is a Banach algebra in the inherited norm.

For every $z\in Z$, the inclusion $Lz=zL\subseteq L$ allows the first argument to apply. Let $\chi (z)$ be the unique scalar for which $z-\chi (z)1\in L$. Equivalently, the induced right multiplication on $A/L$ is $T_z=\chi (z)I$. Sincethe map $\chi :Z\to \mathbb{C}$ is a complex-linear unital character of an algebra. It is surjective because $\chi (\alpha 1)=\alpha$, and its kernel is precisely $L\cap Z$. ConsequentlyIndeed any ideal properly containing the kernel would have a nonzero image in the field $\mathbb{C}$ and thus would be all of $Z$. The algebra character is also continuous: $|\chi (z)|=\Vert \chi (z)I\Vert =\Vert T_z\Vert \le \Vert z\Vert$, although continuity is not needed for maximality.

Fix $z\in K$. If $z\in \partial K$, the conclusion is immediate. Otherwise $z$ is in the interior of $K$. If $f(z)=0$, nonnegativity of the boundary supremum suffices. For $f(z)\ne 0$, the complex Hahn-Banach theorem gives a bounded linear functional $\ell :A\to \mathbb{C}$ with $\Vert \ell \Vert =1$ and $\ell (f(z))=\Vert f(z)\Vert$. The scalar function $g=\ell \circ f$ is holomorphic.

Let $V$ be the connected component of the interior of $K$ containing $z$. It is bounded, its closure is contained in $K$, and $\partial V\subseteq \partial K$. To see the last inclusion, a boundary point of $V$ lying in the interior of $K$ would have a small connected open ball in that interior meeting $V$; the ball would belong to the same component, contradicting that it is a boundary point. The scalar maximum modulus principle on a bounded domain therefore givesFor completeness, this boundary form of the maximum modulus principle follows by taking the maximum on the compact closure of $V$. An interior maximum makes $g$ constant on $V$, in which case continuity gives the same value on its nonempty boundary. Thus the norm maximum principle for a Banach-space-valued holomorphic function applies to arbitrary compact $K$, even when it is disconnected or has nonsmooth boundary:

For $n\ge 0$, putThe bound $r(u)\le \Vert u\Vert$ makes $M$ finite. Each $p_n$ is continuous; submultiplicativity gives $p_{n+1}\le p_n$, and the spectral radius formula gives $p_n(w)\to r(f(w))$. Spectral radius need not be continuous, so applying the Dini theorem directly to $p_n$ would not be justified. Instead define, on the compact boundary,These are continuous, decrease pointwise to the continuous constant $M$, and therefore converge uniformly by the Dini theorem. In particular,Multiplication is a continuous bilinear operation in a Banach algebra, so the product rule shows that $w\mapsto f(w{)}^{2^n}$ is a Banach-space-valued holomorphic function. Part (i), applied to this power, givesTaking the limit on the left and the limit superior on the right proves the spectral-radius maximum principle:

Apply the spectral-radius maximum principle to the entire Banach-space-valued holomorphic function $f(z)=a+zb$ on the closed disk $|z|\le \epsilon$. On its boundary the assumed estimate gives $r(f(z))\le C\epsilon$. Thereforefor every $\epsilon >0$. Letting $\epsilon \downarrow 0$ provesThe puncture at $z=0$ in the hypothesis causes no difficulty: the bound is used only on the nonzero boundary circle.

An algebra involution is a map $x\mapsto x^{\ast }$ satisfyingThus it is a conjugate-linear map, reverses multiplication, and has square equal to the identity map. These are algebraic axioms; norm continuity, when included in a convention for a Banach star algebra, is an additional requirement and is not used here. A Hermitian element of a star algebra satisfies $h^{\ast }=h$.

Conjugate linearity gives $0^{\ast }=0$. The map $\ast$ is surjective, so every $u$ is $v^{\ast }$ for some $v$. The identities $(v1{)}^{\ast }=1^{\ast }{v}^{\ast }=v^{\ast }$ and $(1v{)}^{\ast }=v^{\ast }{1}^{\ast }=v^{\ast }$ show that $1^{\ast }$ is a two-sided identity; uniqueness of the identity gives $1^{\ast }=1$. Therefore both zero and the identity are Hermitian algebra elements.

For the final unheaded request, first prove equality of the two spectra for a Hermitian element of a star algebra $h\in B$. Write $D=\mathbb{C}\setminus {\sigma }_A(h)$. The spectrum is a compact subset of the real axis by the assumption that $A$ is a Hermitian Banach algebra, so $D$ is connected: points above and below the real axis can be joined by paths passing beyond the endpoints of an interval containing the spectrum; points of the real axis outside the spectrum can first move a short distance vertically. DefineFor large $|\lambda |$, the Neumann series ${\lambda }^{-1}{\sum }_{n\ge 0}(h/\lambda {)}^n$ converges in the closed unital star-subalgebra $B$, so $E$ is nonempty. It is relatively open in $D$ by the same series applied to a perturbation of an already invertible element of $B$. It is relatively closed in $D$, since the resolvent of an element is continuous in $A$ and $B$ is closed. Connectedness gives $E=D$. Conversely an inverse in $B$ is an inverse in $A$, soThis proves the needed spectrum in a closed unital subalgebra equality for Hermitian algebra elements without presupposing that their spectra in $B$ are real.

Now suppose $b\in B$ is invertible in $A$. Both $b{b}^{\ast }$ and $b^{\ast }b$ are Hermitian algebra elements, since reversing products and applying $\ast$ twice fixes them. They are invertible in $A$, by part (ii), so the preceding equality of spectra of Hermitian algebra elements makes them invertible in $B$. Part (ii), applied within $B$, then makes $b$ invertible in $B$. Applying this to $b-\lambda 1$ for every scalar $\lambda$, and using the automatic converse for an inverse already in $B$, proves spectral permanence for Hermitian Banach algebras:Only closedness, a common identity, closure under the algebra involution, and real ambient spectra of Hermitian algebra elements were used; the C-star identity was not assumed.

If $u$ is invertible, applying the algebra involution to $u^{-1}u=u{u}^{-1}=1$ givesso $u^{\ast }$ is invertible and $(u^{\ast }{)}^{-1}=(u^{-1}{)}^{\ast }$. The converse follows by applying $\ast$ again. Sincewe have $\lambda \notin {\sigma }_A(x)$ if and only if $\overline{\lambda }\notin {\sigma }_A(x^{\ast })$. Taking complements and using that complex conjugation is a bijection givesThe conjugation bar in the printed PDF is essential; this is not an assertion that the two spectra always coincide.

If $x$ is invertible, part (i)'s inverse calculation gives an inverse for $x^{\ast }$, and therefore both $x{x}^{\ast }$ and $x^{\ast }x$ are invertible. Conversely, if both products are invertible, setThen $xr=1$ and $\ell x=1$: $r$ is a right inverse of an algebra element $x$ and $\ell$ is a left inverse of an algebra element $x$. They coincide because $\ell =\ell (xr)=(\ell x)r=r$, providing a two-sided inverse. ThusBoth products are required in a general Banach algebra; a single one-sided inverse need not suffice.