Past exam of the mathematics course of the University of Cambridge / 2008 / iii / Paper 11 / 4 / Solution

Take a nonzero complex unital Banach algebra, with identity $1$. The spectrum of an element isThe standard Banach algebra spectrum theorem states that it is a nonempty compact subset of $\mathbb{C}$, contained in the disk $|\lambda |\le \Vert a\Vert$. Conversely, every nonempty compact set $K\subseteq \mathbb{C}$ occurs: in the Banach algebra $C(K)$, the coordinate function $a(z)=z$ has Banach algebra spectrum exactly $K$, since $\lambda -a$ has a continuous reciprocal precisely when $\lambda \notin K$. Thus the possible Banach algebra spectra are exactly the nonempty compact subsets of the complex plane.

For a nonconstant polynomial $p$, factor $p(z)-\lambda =c{\prod }_{j=1}^n(z-z_j)$ over $\mathbb{C}$. Substitution givesThese factors commute. A finite commuting product is invertible exactly when every factor is invertible: if $P={\prod }_j{x}_j$ is invertible, its inverse commutes with each $x_j$, and $x_j^{-1}=({\prod }_{k\ne j}{x}_k)P^{-1}$ is a two-sided inverse. Hence $\lambda$ belongs to the Banach algebra spectrum of $p(a)$ exactly when some root $z_j$ belongs to ${\sigma }_A(a)$, which is equivalent to $\lambda \in p({\sigma }_A(a))$. Constant polynomials give the same result directly, since ${\sigma }_A(c1)=\{c\}$. This proves the polynomial spectral mapping theorem:For a closed unital Banach subalgebra $B\subseteq A$, use the common identity $1_A\in B$. An inverse in $B$ is an inverse in $A$, so $\boxed{{\sigma }_A(b)\subseteq {\sigma }_B(b)}$. Let $\lambda \in \partial {\sigma }_B(b)$. Choose ${\lambda }_n\notin {\sigma }_B(b)$ tending to $\lambda$. Then ${\lambda }_n\notin {\sigma }_A(b)$, and $({\lambda }_{n}1-b{)}^{-1}\in B$. If $\lambda$ were outside ${\sigma }_A(b)$, continuity of inversion in $A$ would givewhere membership follows from closedness. This would make $\lambda \notin {\sigma }_B(b)$, contrary to the closed Banach algebra spectrum having its boundary inside it. Therefore $\lambda \in {\sigma }_A(b)$ and is approached by points outside that Banach algebra spectrum, provingContinuity of inversion here follows, for example, by writing a nearby element as an invertible element times $1+$ a norm-small perturbation and using the Neumann series. This is spectrum in a closed unital subalgebra.

To retain the original Banach algebra spectrum in a commutative subalgebra, take the resolvent-generated commutative algebraEvery generator commutes with $a$ and with every other generator: commuting invertible elements have commuting inverses, and their inverses commute with all elements commuting with them. commutativity persists on the algebra they generate and on its norm closure. For every $\lambda \notin {\sigma }_A(a)$, the required inverse is in $C$ by construction, so ${\sigma }_C(a)\subseteq {\sigma }_A(a)$. The inclusion for unital subalgebras gives the reverse containment. Hence $\boxed{{\sigma }_C(a)={\sigma }_A(a)}$.

Finally, the Banach subalgebra generated by one element is $D=\overline{\{p(a):p\text{ a polynomial}\}}$, and it is commutative. Put $K={\sigma }_D(a)$ and suppose its complement has a bounded connected component $U$. The boundary of $U$ lies in $K$. For $\lambda \in U$, the maximum modulus principle on a bounded domain applied to any polynomial givesHere $r_D$ is the spectral radius, and the equality uses the already proved polynomial spectral mapping theorem. Define $\chi (p(a))=p(\lambda )$. The displayed bound makes this well defined, even when two polynomials represent the same algebra element, and bounded on the dense polynomial algebra. Its continuous extension to $D$ remains linear and multiplicative, with $\chi (1)=1$ and $\chi (a)=\lambda$, so it is a character of an algebra. If $\lambda 1-a$ were invertible in $D$, applying $\chi$ to its inverse equation would give $0=1$. Thus $\lambda \in K$, contradicting $\lambda \in U$.

There are therefore no bounded complementary components. A compact subset of the plane has exactly one unbounded complementary component: everything outside a sufficiently large disk is connected, and every unbounded component meets it. Consequently $\boxed{\mathbb{C}\setminus {\sigma }_D(a)\text{ is connected}.}$