Past exam of the mathematics course of the University of Cambridge / 2024 / iii / Paper 106 (Functional Analysis)

First suppose that $X$ is separable. Choose a norm-dense sequence $(x_n)$ in $B_X$. On every norm-bounded subset of $X$, a countable norm-dense subset $(f_n)$ of $B_{X^{\ast }}$ in the weak-star topology separates points, andmetrizes the weak topology. Indeed, convergence for all $f_n$, boundedness, and weak-star density imply convergence for every $f\in X^{\ast }$. Thus a weakly compact set $K$ is a compact metric space and hence is sequentially compact.

For general $X$, take a sequence $(x_n)$ in $K$ and letThe space $Y$ is separable and norm closed. The Hahn-Banach theorem shows both that $Y$ is weakly closed in $X$ and that its own weak topology is the subspace topology inherited from $X$. Hence $K\cap Y$ is weakly compact and, by the separable case, contains a weakly convergent subsequence of $(x_n)$. Its limit lies in $K\cap Y$. Therefore every weakly compact subset of a Banach space is weakly sequentially compact, which is one direction of the Eberlein-Smulian theorem.

A bounded sequence $(x_n)$ lies in a scalar multiple of the closed unit ball of the reflexive Banach space $X$, which is weakly compact. Part (a) gives a subsequence $x_{k_n}\rightharpoonup z$ for some $z\in X$.

The compact operator $T$ is weak-to-weak continuous, so $T{x}_{k_n}\rightharpoonup Tz$. We claim that the convergence is in norm. Otherwise some further subsequence would satisfy $\Vert T{x}_{k_n}-Tz\Vert \ge \epsilon$. Compactness supplies a norm-convergent subsubsequence; its norm limit must also be its weak limit $Tz$, a contradiction. Hence

If $X$ is reflexive, then $X^{\ast }$ is reflexive. The weak topology $\sigma (X^{\ast },X^{\ast \ast })$ and weak-star topology $\sigma (X^{\ast },X)$ therefore coincide under the canonical identification $X^{\ast \ast }=X$. Thus every weak-star convergent sequence in $X^{\ast }$ is weakly convergent, so $X$ is a Grothendieck space.

Conversely, suppose that $X$ is separable and Grothendieck. The Banach-Alaoglu theorem and weak-star metrizability of the dual ball make $B_{X^{\ast }}$ weak-star compact and metrizable, hence weak-star sequentially compact. Every convergent subsequence is weakly convergent by the Grothendieck property. Thus $B_{X^{\ast }}$ is weakly sequentially compact. The stated converse to part (a), equivalently the other direction of the Eberlein-Smulian theorem, makes $B_{X^{\ast }}$ weakly compact. Hence $X^{\ast }$ is reflexive, and therefore so is $X$.

Finally let $T:X\to Y$ be bounded and onto, with $X$ Grothendieck, and suppose $y_n^{\ast }\to y^{\ast }$ weak-star in $Y^{\ast }$. Thenweak-star in $X^{\ast }$, hence weakly. The open mapping theorem implies that $T^{\ast }:Y^{\ast }\to X^{\ast }$ is an isomorphism onto its closed range. Given $y^{\ast \ast }\in Y^{\ast \ast }$, the functionalis bounded on $T^{\ast }(Y^{\ast })$ and extends by the Hahn-Banach theorem to some $x^{\ast \ast }\in X^{\ast \ast }$. ThereforeThis is weak convergence in $Y^{\ast }$, so $Y$ is Grothendieck.

In a unital C-star algebra $A$, an element is Hermitian when $x=x^{\ast }$, unitary when $x^{\ast }x=x{x}^{\ast }=1$, and normal when $x^{\ast }x=x{x}^{\ast }$. It is a positive element of a C-star algebra when $x=y^{\ast }y$ for some $y$, equivalently when it is Hermitian and its spectrum lies in $[0,\infty )$.

Suppose first that $\Vert \tau \Vert =\tau (1)$, and normalize so that both equal one. If $x=x^{\ast }$, the C-star identity givesWriting $\tau (x)=a+ib$, we obtainfor every real $t$, which forces $b=0$. Decomposing an arbitrary $x$ into its Hermitian real and imaginary parts now gives

Let $x=x^{\ast }$. Every character of an algebra on the commutative unital Banach algebra generated by $x$ has norm and value at one equal to one, so the preceding argument makes its value on $x$ real. The character description of the spectrum of an element therefore gives $\sigma (x)\subset \mathbb{R}$. Iterating the C-star identity,so $\Vert x\Vert =r(x)$. If $c=\Vert x\Vert$, then $x+c1$ has nonnegative spectrum and is positive, as is $c1$; henceis a difference of positive elements.

If $0\le x$ and $\Vert x\Vert \le 1$, then spectral translation givesThus $1-x$ is positive and, by the norm--spectral-radius equality for Hermitian elements, $\Vert 1-x\Vert \le 1$.

Return to a norm-one $\tau$ with $\tau (1)=1$. For $0\le x\le 1$, the preceding paragraph and reality on Hermitian elements giveScaling proves that $\tau$ is a positive functional on a C-star algebra. Every character has norm and value at one equal to one, so every character is positive. On $C[0,1]$, the functionalis positive but is not multiplicative, and hence is not a character.

Conversely, let $\tau$ be positive. Writing a Hermitian element as a difference of positive elements shows that $\tau$ is real on Hermitian elements. Positivity offor every $\lambda \in \mathbb{C}$ says that the associated quadratic polynomial is nonnegative. Minimizing it in $\lambda$ gives the Cauchy--Schwarz inequalityTaking $y=1$ yields $|\tau (x){|}^2\le \tau (x^{\ast }x)\tau (1)$. Since $0\le x^{\ast }x\le \Vert x{\Vert }^{2}1$, positivity givesTogether with $\tau (1)\le \Vert \tau \Vert$, this proves $\Vert \tau \Vert =\tau (1)$.

Convex combinations preserve positivity and value one at the identity, so the state space $S(A)$ is convex. If $x$ is normal, the unital C-star subalgebra $C^{\ast }(1,x)$ is commutative and its Gelfand transform identifies it with $C(\sigma (x))$. Choose $\lambda \in \sigma (x)$ with $|\lambda |=\Vert x\Vert$. Evaluation at $\lambda$ is a state taking $x$ to $\lambda$. Its norm-preserving Hahn--Banach extension to $A$ still takes $1$ to one, so the norm criterion makes the extension a state $\tau$ satisfying $|\tau (x)|=\Vert x\Vert$.

The state space is nonempty, convex, and weak-star compact by the Banach-Alaoglu theorem. The Krein-Milman theorem gives an extreme point, so a pure state on a C-star algebra exists. For positive $x$, the preceding norm-attainment result makesa nonempty weak-star compact convex set. It is a face: if a convex combination has the maximal possible value on $x$, each summand does. An extreme point of $F$ exists by Krein--Milman and, because $F$ is a face, is extreme in $S(A)$. It is the required pure state.

The Hahn-Banach separation theorem for two convex sets states that if $A$ and $B$ are disjoint nonempty convex subsets of a real locally convex space $X$ and $A$ is open, then there are a continuous linear functional $f\in X^{\ast }$ and a real number $c$ such thatTo prove it, formThis is open and convex and does not contain zero. The separation of a point and an open convex set, proved from the Minkowski functional and the Hahn-Banach theorem, gives a nonzero continuous $f$ with $f(c)<0$ for every $c\in C$. Hence $f(a)<f(b)$ for all $a,b$. Taking $c$ between ${\sup }_{A}f$ and ${\inf }_{B}f$ gives the stated form.

For a dual pair $(E,F)$, the topology $\sigma (E,F)$ has a neighbourhood base at zero consisting ofEvery $f\in F$ is continuous by definition. Conversely, if a linear functional $g$ is continuous, some such neighbourhood lies in $\{|g|<1\}$. Therefore ${\bigcap }_j\ker f_j\subseteq \ker g$. Elementary linear algebra then gives $g\in \mathrm{span}\{f_1,\dots ,f_n\}\subseteq F$. Thus

For a normed space $X$, the weak topology is $\sigma (X,X^{\ast })$; on $X^{\ast }$ the weak-star topology is $\sigma (X^{\ast },X)$, using the canonical image of $X$ in $X^{\ast \ast }$. If $X$ is reflexive, $X^{\ast \ast }=J_X(X)$, so the weak and weak-star topologies on $X^{\ast }$ coincide. Conversely, if they coincide, every $x^{\ast \ast }\in X^{\ast \ast }$ is weak-star continuous. The dual-pair result says that every such functional is evaluation at some $x\in X$, so $J_X$ is onto and $X$ is reflexive.

For $A\subseteq E$, every $a\in A$ and zero satisfy every inequality defining $A^{\circ \circ }$, so $A\cup \{0\}\subseteq A^{\circ \circ }$. The latter is an intersection of weakly closed convex half-spaces, hence containsIf $x\notin C$, choose an open convex neighbourhood $V$ of zero with $(x+V)\cap C=\varnothing$. Applying the separation theorem to $x+V$ and $C$ gives $f\in F$ withBecause $0\in C$, the supremum is nonnegative. After multiplying $f$ by a positive scalar, $f\le 1$ on $C$ while $f(x)>1$. Thus $f\in A^{\circ }$ but $x\notin A^{\circ \circ }$. We conclude with the Bipolar theorem for a dual pair:

Let $M^{+}(K)$ be the positive linear functionals on $C(K)$: those $\phi$ for which $f\ge 0$ implies $\phi (f)\ge 0$. For real $f$,so positivity gives $|\phi (f)|\le \phi (1_K)\Vert f{\Vert }_{\infty }$; decomposition into real and imaginary parts, or the positive-functional Cauchy--Schwarz inequality, gives the same bound for complex $f$. Hence $\phi$ is continuous andThe Riesz-Markov-Kakutani representation theorem says that there is a unique finite regular positive Borel measure $\mu$ withMore generally, $C(K{)}^{\ast }=M(K)$ is the Banach space of finite regular complex Borel measures with the total-variation norm.

Now let $A\subseteq \mathcal{B}(H)$ be commutative, unital, and C-star, and put $K={\Phi }_A$. The Gelfand transform is an isometric star-isomorphism $A\cong C(K)$. For $\xi ,\eta \in H$, the functionalon $C(K)$ is represented by a regular complex measure ${\mu }_{\xi ,\eta }$. The diagonal measures are positive. Polarization and the Riesz theorem assemble them into a projection-valued measure $E$ characterized byfor Borel sets $S\subseteq K$. The multiplication identities first hold for continuous functions and extend to bounded Borel functions by a monotone-class argument. Thereforedefines a unital star-homomorphism with $\Vert \Psi (f)\Vert \le \Vert f{\Vert }_{\infty }$, andfor every $T\in A$.

For a normal $T\in \mathcal{B}(H)$, apply this construction to the commutative C-star algebra $C^{\ast }(1,T)$. Its character space identifies with $\sigma (T)$, and the Gelfand transform of $T$ is the coordinate function $z(\lambda )=\lambda$. We obtain the Borel functional calculus for a normal operatorIf $\sigma (T)\subseteq \mathbb{T}$, then $\overline{z},z=z\overline{z}=1$ on the spectrum. Since $\Psi$ preserves products and involution,Thus $T$ is a unitary operator.