Past exam of the mathematics course of the University of Cambridge / 2026 / iii / Paper 106 (Functional Analysis)

A Schauder basis of a real Banach space $X$ is a sequence $(e_n)$ for which every $x\in X$ has a unique norm-convergent expansion $x={\sum }_n{a}_n{e}_n$. Its basis projection isand its basis constant is $K_b={\sup }_n\Vert P_n\Vert <\infty$.

For the sequence space $Y$ in the question, defineConvergence in the definition of $Y$ makes $J$ well defined, and uniqueness of basis coefficients makes it a linear bijection. Moreover,whereasThus $J$ is an isomorphism and, in particular, the displayed supremum really is a complete norm on $Y$.

The coordinate functional of a Schauder basis isIt is bounded because $a_n{e}_n=(P_n-P_{n-1})x$. On finite linear combinations of the $e_n^{\ast }$, the nth partial-sum operator is the restriction of $P_n^{\ast }$, sinceThe operators have norms at most $K_b$, so the standard basis criterion shows that the dual sequence of a Schauder basis $(e_n^{\ast })$ is a basic sequence in $X^{\ast }$. For every $x^{\ast }\in X^{\ast }$ and $x\in X$,which is precisely $P_n^{\ast }{x}^{\ast }\to x^{\ast }$ in the weak-star topology.

Suppose now that $X$ is a reflexive Banach space. If $\Vert x^{\ast }-P_n^{\ast }{x}^{\ast }\Vert$ did not tend to zero, approximation by finite basis blocks would give a bounded block sequence $(u_j)$ and an $\epsilon >0$ such that $|x^{\ast }(u_j)|\ge \epsilon$. Reflexivity gives a weakly convergent subsequence. Every fixed coordinate functional is eventually zero on a block sequence, so its weak limit has every basis coordinate zero and is therefore zero. This contradicts $|x^{\ast }(u_j)|\ge \epsilon$. Hence $P_n^{\ast }{x}^{\ast }\to x^{\ast }$ in norm for every $x^{\ast }$, so the basis is shrinking and $(e_n^{\ast })$ is a basis of $X^{\ast }$.

The converse fails. The standard basis of $c_0$ is shrinking because its dual sequence is the standard basis of ${\ell }^1=(c_0{)}^{\ast }$, but $c_0$ is not reflexive.

Finally assume $(e_n^{\ast })$ is a basis of $X^{\ast }$. Map $x^{\ast \ast }\in X^{\ast \ast }$ toFor $s_n={\sum }_{k=1}^n{a}_k{e}_k$,so $(a_n)\in Z$. Conversely, if $(a_n)\in Z$ and $M={\sup }_n\Vert s_n\Vert$, defineThe limit exists: for $m>n$,because $(e_n^{\ast })$ is a basis. Also $|F(x^{\ast })|\le M\Vert x^{\ast }\Vert$, so $F\in X^{\ast \ast }$ and $F(e_n^{\ast })=a_n$. These two constructions are inverse and satisfyThus $X^{\ast \ast }$ and $Z$ are isomorphic.

Solved by gpt-5.6-sol high.

For $x$ in a unital complex algebra $A$, the spectrum of an element isFor a nonunital algebra one uses its unitization.

Now let $A$ be a Banach algebra. The invertible group is open, so the resolvent set is open and the spectrum is closed. If $|\lambda |>\Vert x\Vert$, the Neumann seriesconverges, so ${\sigma }_A(x)$ is contained in the closed disc of radius $\Vert x\Vert$ and is therefore compact.

If the spectrum were empty, $R(\lambda )=(\lambda 1-x{)}^{-1}$ would be an entire $A$-valued function. For each $f\in A^{\ast }$, the scalar function $f(R(\lambda ))$ is bounded: it tends to zero at infinity by the Neumann series and is bounded on every compact disc. The Liouville theorem makes it identically zero. Since the Hahn-Banach theorem separates points, this would give $R(\lambda )=0$, contradicting its invertibility. Hence the spectrum is nonempty.

Solved by gpt-5.6-sol high.

A character of an algebra is a nonzero multiplicative complex-linear functional $\phi :A\to \mathbb{C}$. The character space of an algebra isIf $A$ is unital, multiplicativity and nonzeroness force $\phi (1)=1$.

Solved by gpt-5.6-sol high.

For a unital Banach algebra, $\phi (a)$ belongs to ${\sigma }_A(a)$: otherwise $a-\phi (a)1$ would be invertible, while applying $\phi$ to its inverse identity would give $0=1$. Thereforeso every character of an algebra is continuous and has norm one. The nonunital case follows by extending the character to the unitization of an algebra.

The Gelfand topology on ${\Phi }_A$ is the weak-star topology inherited from $A^{\ast }$: a net ${\phi }_i$ converges to $\phi$ exactly when ${\phi }_i(a)\to \phi (a)$ for every $a\in A$. If $A$ is unital, ${\Phi }_A$ lies in the weak-star compact dual unit ball by the Banach-Alaoglu theorem. The equationsdefine a weak-star closed subset, so ${\Phi }_A$ is compact.

Solved by gpt-5.6-sol high.

For a compact Hausdorff space $K$, every character of the Banach algebra $C(K)$ is an evaluation characterat a unique $x\in K$. The map $x\mapsto {\delta }_x$ is a homeomorphism from $K$ onto ${\Phi }_{C(K)}$ with its Gelfand topology.

Solved by gpt-5.6-sol high.

The unitization of $C_0(\mathbb{R})$ is $C({\mathbb{R}}^{+})$ on the one-point compactification of $\mathbb{R}$. The supplied homeomorphism identifies ${\mathbb{R}}^{+}$ with the circle $\mathbb{T}$. Every character $\phi$ of $C_0(\mathbb{R})$ extends to the unital characterBy part d, $\tilde{\phi }$ is evaluation at a point of ${\mathbb{R}}^{+}$. Evaluation at the point at infinity vanishes on $C_0(\mathbb{R})$ and cannot restrict to the nonzero character $\phi$. The point is therefore some $x\in \mathbb{R}$, and $\phi ={\delta }_x$. Conversely each ${\delta }_x$ is plainly a character, so

Solved by gpt-5.6-sol high.

Let $\phi$ be a character of $C(\mathbb{R})$. Put $q(t)=1/(t^2+1)$. Sincewe have $(\phi (t{)}^2+1)\phi (q)=1$, so the restriction of $\phi$ to $C_0(\mathbb{R})$ is nonzero. Part e gives a point $x$ such that this restriction is ${\delta }_x$. For $g(t)=t/(t^2+1)\in C_0(\mathbb{R})$, multiplicativity givesand hence $\phi (t)=x$.

If $h\ge 0$ is continuous, thenbelongs to $C_0(\mathbb{R})$. Applying $\phi$ to $k(h+t^2+1)=1$ yieldsso $\phi (h)=h(x)$. Every complex-valued continuous function is a complex linear combination of nonnegative continuous functions, obtained from the positive and negative parts of its real and imaginary components. Therefore $\phi ={\delta }_x$, and

Solved by gpt-5.6-sol high.

Suppose an algebra norm made $C(\mathbb{R})$ a Banach algebra. Its unital character space of an algebra would be compact in the Gelfand topology. By part i it consists of the evaluations ${\delta }_x$. The mapis continuous from the usual topology because every $h\in C(\mathbb{R})$ is continuous, and its inverse is the continuous map $\phi \mapsto \phi (t)$ defined by the coordinate function $t$. Thus the character space is homeomorphic to the noncompact space $\mathbb{R}$, a contradiction. No complete algebra norm exists.

Solved by gpt-5.6-sol high.

Let $B$ be the completion under the assumed algebra norm. Restriction sends every $\psi \in {\Phi }_B$ to a character of the dense subalgebra $C(\mathbb{R})$, hence by part i to ${\delta }_x$ for some $x$. Continuity of the restriction says exactly that $x\in K$. Conversely, every ${\delta }_x$ continuous for the algebra norm extends uniquely through the completion, and continuity of multiplication makes the extension a character of $B$. Restriction and extension therefore give a bijection

For $b\in B$, choose $h_n\in C(\mathbb{R})$ converging to $b$ in the algebra norm. Characters on the unital Banach algebra $B$ are uniformly norm bounded, so $h_n{|}_K$ converges uniformly to the function $x\mapsto {\tilde{\delta }}_x(b)$. This function is continuous. Hence $x\mapsto {\tilde{\delta }}_x$ is continuous into the Gelfand topology. Its inverse is again $\psi \mapsto \psi (t)$, so the bijection is a homeomorphism. In particular, $K$ is compact.

Solved by gpt-5.6-sol high.

Assume for contradiction that any algebra norm exists. Part iii makes $K$ compact, so choose an interval disjoint from $K$ and a nonzero $a\in C(\mathbb{R})$ supported in that interval. Choose $b\in C(\mathbb{R})$ with $b=1$ on $K$ and $b=0$ on the support of $a$. Then $a,b$ are nonzero and $ab=0$.

In the completion $B$, every character is evaluation at a point of $K$, so ${\sigma }_B(b)=\{1\}$. Thus $q=1-b$ has spectral radius zero. The equality $ab=0$ givesfor every $n$. The spectral radius formula supplies an $n$ with $\Vert q^n\Vert <1$, and submultiplicativity then givesan impossibility because $a\ne 0$. Hence $C(\mathbb{R})$ admits no algebra norm at all.

Solved by gpt-5.6-sol high.

LetChoose positive ${\epsilon }_n$ with ${\prod }_n(1+{\epsilon }_n)<\infty$. We construct $x_n\in K$ inductively. Once $E_n=\mathrm{span}\{x_1,\dots ,x_n\}$ has been chosen, compactness of its unit sphere gives finitely many members of $X^{\ast }$ that almost norm every vector of $E_n$. Because $0\in {\overline{K}}^w$, the next $x_{n+1}$ may be chosen so that all those functionals are as small on it as required. Choosing the error relative to $d$ givesfor all scalars $a_1,\dots ,a_{n+1}$. Indeed, if the last coefficient could threaten this estimate, $\Vert x_{n+1}\Vert \ge d$ first bounds that coefficient by a fixed multiple of the norm of the preceding sum; the selected norming functional then gives the displayed inequality. Iteration and the finite product bound satisfy the standard basis criterion, so $(x_n)$ is a basic sequence contained in $K$.

The same proof works for any Hausdorff locally convex vector topology $\tau$ weaker than the weak topology: on each finite-dimensional $E_n$, the $\tau$-continuous linear functionals still norm the space, and $0\in {\overline{K}}^{\tau }$ supplies the next point. A canonical strictly weaker example arises on $X^{\ast }$ when $X$ is not reflexive: the weak-star topology $\sigma (X^{\ast },X)$ is then strictly weaker than the weak topology $\sigma (X^{\ast },X^{\ast \ast })$.

We next prove the Eberlein-Smulian theorem. If the weak closure of a bounded set $K$ is weakly compact, take any sequence in $K$ and let $Y$ be its closed linear span. The relevant weak closure lies in the separable space $Y$. A countable weak-star dense subset of the dual unit ball separates points of this compact set, so its weak topology is metrizable. Compact metrizability gives a weakly convergent subsequence.

For the converse, suppose $K$ is not relatively weakly compact. In the canonical embedding into $X^{\ast \ast }$, chooseThe Hahn-Banach theorem gives $x^{\ast \ast \ast }\in X^{\ast \ast \ast }$ that vanishes on $J_X(X)$ but satisfies $x^{\ast \ast \ast }(x^{\ast \ast })=1$. Alternating Goldstine approximation with the fact that $x^{\ast \ast }$ lies in the weak-star closure of $J_{X}K$ constructs bounded $x_n^{\ast }\in X^{\ast }$ and $x_n\in K$ such that, up to errors tending to zero,If a subsequence $x_{n_j}$ converged weakly to $x$, then for each fixed $i$ the second relation would give $x_i^{\ast }(x)=1$. A weak-star cluster point $x^{\ast }$ of the bounded sequence $(x_i^{\ast })$ satisfies $x^{\ast }(x_{n_j})=0$ by the first relation, and hence $x^{\ast }(x)=0$ by weak convergence; but passing to the same cluster point in $x_i^{\ast }(x)=1$ gives $x^{\ast }(x)=1$. This contradiction produces a sequence in $K$ with no weakly convergent subsequence. Relative weak compactness is therefore equivalent to the subsequence condition.

Finally suppose $K$ is weakly sequentially compact and $x\in {\overline{K}}^w$. If $x$ lies in the norm closure of $K$, a norm-convergent sequence suffices. Otherwise apply the first part to $K-x$ and obtain a basic sequence $(y_n)$. A subsequence converges weakly by hypothesis. Its weak limit lies in the closed span of the basic sequence, while every coordinate functional is eventually zero on that subsequence. The limit is consequently zero, so the corresponding sequence from $K$ converges weakly to $x$.

This also shows that a weakly sequentially compact $K$ is weakly closed: any point of its weak closure is the limit of a sequence in $K$, and a weakly convergent subsequence has its limit in $K$. The relative form of the Eberlein-Smulian theorem then makes $K$ weakly compact. The reverse implication follows from the first direction of that theorem. Thus weak compactness and weak sequential compactness are equivalent.

Solved by gpt-5.6-sol high.

A linear map $T:X\to Y$ is a weakly compact operator when $T(B_X)$ is relatively weakly compact. Every weakly compact subset of a Banach space is norm bounded, soThus even without assuming continuity initially, a weakly compact linear map is bounded.

The key bidual criterion isFor the forward implication, approximate $x^{\ast \ast }\in B_{X^{\ast \ast }}$ weak-star by points $J_X{x}_{\alpha }$ using the Goldstine theorem. Weak compactness supplies a subnet for which $T{x}_{\alpha }$ converges weakly to some $y\in Y$, while weak-star continuity of $T^{\ast \ast }$ makes $J_{Y}T{x}_{\alpha }$ converge to $T^{\ast \ast }{x}^{\ast \ast }$. Hence $T^{\ast \ast }{x}^{\ast \ast }=J_{Y}y$. Conversely, if the displayed inclusion holds, the weak-star compact set $T^{\ast \ast }(B_{X^{\ast \ast }})$ lies in $J_Y(Y)$, where the inherited weak-star topology is the weak topology of $Y$. It is a weakly compact set containing $J_{Y}T(B_X)$.

If $T$ is weakly compact and $y^{\ast \ast \ast }\in Y^{\ast \ast \ast }$, restriction of $y^{\ast \ast \ast }$ to $J_Y(Y)$ defines $y^{\ast }\in Y^{\ast }$. For $x^{\ast \ast }\in X^{\ast \ast }$,so $T^{\ast \ast \ast }{y}^{\ast \ast \ast }=J_{X^{\ast }}(T^{\ast }{y}^{\ast })$. The bidual criterion makes $T^{\ast }$ weakly compact. Conversely, if $T^{\ast }$ is weakly compact, then $T^{\ast \ast \ast }(Y^{\ast \ast \ast })\subseteq J_{X^{\ast }}(X^{\ast })$. Every $y^{\ast \ast \ast }$ annihilating $J_Y(Y)$ is sent to zero, so every $T^{\ast \ast }{x}^{\ast \ast }$ lies inThe criterion makes $T$ weakly compact. Hence $T$ is weakly compact exactly when $T^{\ast }$ is.

The bidual criterion also proves the structure of $\mathcal{W}(X,Y)$. It is closed under linear combinations. If $T_n\to T$ in operator norm and every $T_n$ is weakly compact, then $T_n^{\ast \ast }{x}^{\ast \ast }\to T^{\ast \ast }{x}^{\ast \ast }$ in norm; the canonical copy $J_Y(Y)$ is norm closed, so $T$ is weakly compact. For bounded composable maps $A$ and $B$, the image condition for $(ATB{)}^{\ast \ast }=A^{\ast \ast }{T}^{\ast \ast }{B}^{\ast \ast }$ proves the ideal property. Thus the weakly compact operators form a norm-closed operator ideal.

The Krein-Smulian theorem states that the norm-closed convex hull $\overline{\mathrm{co}}K$ of a weakly compact set $K$ is weakly compact. To prove it, view $K$ as a compact Hausdorff space in its weak topology. The probability measures on $K$ form a weak-star compact subset of $C(K{)}^{\ast }$ by the Banach-Alaoglu theorem. The barycentre mapis weak-star-to-weak continuous; scalar integration and weak compactness ensure that $b_{\mu }\in X$. Finitely supported probability measures are weak-star dense and their barycentres are precisely $\mathrm{co}K$. The image of all probability measures is therefore the weak closure of $\mathrm{co}K$, and it is weakly compact. A convex set has the same weak and norm closures by the Hahn-Banach separation theorem, proving the claim.

If $X$ is reflexive, $B_X$ is weakly compact and every bounded $T:X\to Y$ is weak-to-weak continuous, so $T$ is weakly compact. If $Y$ is reflexive, every bounded subset of $Y$ is relatively weakly compact, with the same conclusion. Thuswhenever either space is reflexive.

If $X={\ell }^1$ and $Y$ is nonreflexive, the Eberlein-Smulian theorem supplies a bounded sequence $(y_n)$ in $Y$ with no weakly convergent subsequence. The formuladefines a bounded operator $T:{\ell }^1\to Y$. Since $T{e}_n=y_n$, it cannot be weakly compact. Therefore $\mathcal{B}({\ell }^1,Y)\ne \mathcal{W}({\ell }^1,Y)$.

This conclusion does not hold for every pair of nonreflexive spaces. Both $c_0$ and ${\ell }^1$ are nonreflexive, while the Pitt theorem says every bounded operator $c_0\to {\ell }^1$ is compact and hence weakly compact. Thus

Solved by gpt-5.6-sol high.