A NNALI DELLA
S CUOLA N ORMALE S UPERIORE DI P ISA Classe di Scienze
E. V ESENTINI
On Banach algebras satisfying a spectral maximum principle
Annali della Scuola Normale Superiore di Pisa, Classe di Scienze 3
esérie, tome 26, n
o4 (1972), p. 933-943
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SATISFYING A SPECTRAL MAXIMUM PRINCIPLE by
E. VESENTINI(*)
Let
U
be acomplex
Banachalgebra
with unit. For any x ESp x
will denote the
spectrum
of x.Let F : jD 2013~
111
be aholomorphic
map of a domain Din C
intoTH.
A
point
zo E D such thatwill be called a
spectral
maximumpoint.
The Banachalgebra 111
will besaid to
satisfy
thespectral
maximumprinciple if,
for anyholomorphic
map F : D ->
U having
aspectral
maximumpoint, Sp F (z)
isindependent
of z. If the existence of a
spectral
maximumpoint
for Falways implies
that F is
constants, U1
will be said tosatisfy
thestrong spectral
maximumprinciple.
Let F : D -+
111
be aholomorphic
map for which there is apoint
zo E Dsatisfying (1).
It has been shown in[7, propositions
5 and7,
p.116] that,
if either has no interior
points
orSp F (z)
does not divide thecomplex plane (i.
e.,C.Sp F (z)
isconnected)
forall z E D,
thenSp F (z)
isindependent
of z. This resultimplies
that if for all x EBt1
eitherSp
x hasno interior
points
or does not divide theplane,
then111
satisfies the spec- tral maximumprinciple.
It has beenproved
in[8] that,
iflll
is commuta-tive and
semi-simple,
thevalidity
of thespectral
maximumprinciple
entailsthat of the
strong spectral
maximumprinciple provided
thatSp
x has nointerior
points
for all xE 11B.
Pervenuto alla Redazione il 13 Settembre 1971 ed in forma definitiva il 13 Dicem- bre 1971.
(*) Partially supported by the National Science Foundation (GP-28216).
The purpose of this note is to find a necessary and sufficient condition for the
spectral
maximumprinciple
to hold for a certain class of Banachalgebras.
A condition of this kind(Theorem 1) depends
on thetopological
structure of the
spectra
of the elements of thealgebra.
Theorem 2 showsthat the
spectral
maximumprinciple
and thestrong spectral
maximunprinciple
areequivalent
conditions for thesealgebras.
The class of Banach
algebras
to which Theorems 1 and 2apply
con-tains any commutative Banach
algebra
for which the Gelfand transform isa continuous
isomorphism
onto a closedsubalgebra
of all continuous func- tions on the space of maximal ideals(with
the Gelfandtopology).
Theorem3 characterizes the uniform
algebras C (X)
of all continuous functions ona
compact
Hausdorff scatterad space .~ as theonly
functionalgebras
sati-sfying
thespectral
maximumprinciple.
According
to Theorem4,
the Banachalgebra
of all bounded linearoperators
in acomplex
Hilbert space satisfies thespectral
maximumprin- ciple if,
andonly if,
the latter space has finite dimension.In the final
part
of this paper thevalidity
of thespectral
maximumprinciple
inregular self-adjoint
Banachalgebras
isinvestigated.
Theorem 5characterizes the
compact
abelian groups as theonly locally compact
abeliangroups whose group
algebras satisfy
thespectral
maximumprinciple.
1. Let X be a
compact
Hausdorff space. Let C(~)
be thecomplex
Banach
algebra
of all continuouscomplex-valued
functions on X with the uniform norm.In
[4]
A.Pelczynski
hasproved
thefollowing
PROPOSITION 1. Zet
U
be a(uniform) function algebra
on theconipact
1net1t1ic space X. is uncountable
(if, and) only if
there exists a subsetS
of X homeomorphic
to the Cantor set and a linearoperator
T :such that
for
everyf E 0(8), II TIll = ~
and(Z f ) (s) = f (s) for
every s E S.Taking as f E C (S)
a Peano curve,i. e.,
a continuousmapping
of Tonto the unit disc
the above theorem
implies
thefollowing
COROLLARY 2.
If
X is an uncountablecompact
metric space, andif
Sis a
compact
subsetof X homeomorphic
to the Cantor8et,
there is af1tnction
such that
ilfil
=1 andREMARK.
Actually Proposition
1 of[4]
isslightly
moreprecise
thanCorollary 2,
but the latter will be sufficient for the purposes of this note.Let .g be a
compact
subset ofC.
We denoteby
A(~)
the uniformfunction
algebra
of all continuous functions on ~~ which areholomorphic
on Int
(g) (endowed
with the uniformnorm).
Let
j5~
be thecomplement
of the unboundedcomponent
K.The
boundary jf K,
ofi. e.,
the outerboundary
ofK,
is theSilov boundary
of LetB (KI)
be the uniform functionalgebra on jf K1 consisting
of the restrictions to~f .g1
of the elements of A(~1). Applying Corollary
2 to B(Kl)
we obtainLEMMA 3.
If
K is an uncountablecompact
subsetof C,
there exists afunction f E
A(K,)
such thatLEMMA 4. The
spectral
maximu1uprinciple
does not holdfor
the discalgebra
A(11).
PROOF. Let
K,
and.~2
be twodisjoint compact
subsets of T =(z : ~ I z [ = 1 )
with
Lebesgue
measure zero, bothhomeomorphic
to the Cantor set. Let01
and
1>2
be two continuousmappings
ofK,
UK2
onto the unit interval such thatqJl(K2)
=W2(Kt)
=10). Let VJ
be a continuousmapping
of I onto the
rectangle Ra of (; having
vertices 1+ n i,
- a+ 17- i,
-- a - 17-
i,
1 - a i(a
>0),
suchthat tp (0) = 1 +
17- i.By
Rudin-Carleson’s theorem[6]
there is an element 0 E A(A) mapping
4 ontoRa
and whose restriction toKi
U1~2
is 1p oøt.
Thus 0(K1
UK2)
= 0(A)
=Ra .
Theentire
function 1
exp : z --> ez-l mapsRa
onto the annulus with center 0 and radii 1 and e-a-1. Let e exp o ø. Then FE A(A), ()
and F-1(1)
c T.Consider now the conformal
mapping
of Int
(A)
onto thehalf-plane
II =iz :
Re z0).
Theimage
of the disciz : I z I ~ is,
for asufficiently large,
aneighborhood, Ya ,
of thepoint
-1. The diameter ofYa
tends to zero as a tends to+
oo.Let
f
be theholomorphic
function defined on L1’ = d - .F~(1) by
Then
f (d’)
=f Kî
= II - Int( V~a),
where~i
=gl - F-¡l (1).
Choose now a so
large
thatYa
is seen from 0 under anangle
lessthan
71
than
12 .
°Let 8 be the closed circular sector with center 0 and radius 2 deter-
i17 a
mined
by
thepoints 2e 8
and2e2
24. Itsamplitude
isn .
Let A be a con-6
tinuous
mapping
of I onto S suchthat À(0)
= 0. The function A o02
mapsK1
U,g2 onto S,
while ~, oclJ2 (g1) = 10). By
Rudin-Carleson’stheorem,
thereis an
element g
E A(d)
suchthat g
K, = À o([>2’ and g (d)
- S. Sinceg2
n F-1(1 )
=~, then g (d’)
_ S.Let C
be anycomplex number,
and consider the functionf + ’g.
Forall ( E C
Thus for
Since
for C = 0, (/-}-)(J’)=2013Int.(F
°when [
issuf6ciently
i ’-
small
( f -- g) (d’)
does not containYa.
Sincewhen ( = e’ 6,
Int(S),
thenVa
,n
is contained in the interior of
( f + ( g) (d’), provided that - e’ 6 1
is Suffi-ciently
small.Let B be the open circular sector with center
0,
and vertices 1 ande2
6. Forevery C
E B the functionFc
definedby
belongs
to A(d).
For
all C
EB, Fc ( 4 ) C 4 ;
for(d) =~= A,
while for some(L1)
= A. Thus themapping B 3 C
I--~Fc
is aholomorphic
function with values in A
(A)
for which thespectral
maximumprinciple
does not hold.
Q.
E. D.2. Let
U
be acomplex
Banachalgebra
with unit. For anyx E U.
,11
antl e
(x)
will denote the norm and thespectral
radius of x.Let xo be an element of
U
and let:IS
be the closedsubalgebra
of’111 generated by
x andby
the unit.LEMMA 5.
If Sp
xo isuncountable,
andif
there exists a constant k>
0 such thatfor
all x E36~
then there exists an element y E’~
such thatSpy=d.
PROOF. The
spectrum of $0
in is the union ofSp
xo and of all bounded connectedcomponents Sup
xo .Thus Spz
xo is connected.Since
Sp xo
isuncountable,
thenSp xo
contains a Cantor set. Thus also8py
x,contains a Cantor set.
By
Lemma 3 there is a functionf
E A(Spy xo)
such thatIn view of
Mergelyan’s theorem, V
istopologi- cally isomorphic
with the commutative Banachalgebra A (Spy xo),
the iso-morphism mapping xo
onto thefunction ~
I--~~.
Let y E~
be the element whoseimage
isf.
Since the space of maximal idealsof 36,
endowed with the Gelfandtopology,
is(homeomorphic to) Spy
x~o , thenSpS
y = A.If ( pv)
is a sequence ofpolynomials converging
tof uniformly
onSpy
x, then thesequence pv (x) ~
converges to y. Since pv(Sp xo)
=Sp
py(xo),
then for
all ~
ESp y,
i. e.,f (Sp xo) c Sp
y. But thenConsider the natural
homomorphism
of the uniformalgebra
A(4j
== A
(Sp y)
onto the Banachalgebra U.
Theimage
of A(A)
lies in36.
Letg
(y)
be theimage
of any g E A(A).
ThenSp g (y) I 9 (A).
A direct
application
of Lemma 4 showsthat,
if is uncountable and if condition(2)
holds for all x6 3By
there is aholomorphic
functionF : D -~ ~
with values in1S, having
aspectral
maximumpoint
in thedomain D and such that
Sp F (z)
is notindependent
of z.(~) (Added in proof; December 9, 1972). According to a result of W. Zelazko, which
was communicated to me by A. Browder, any complex Banach algebra A satisfying (2) for all is commutative. lience the Banach algebra in Theorem 1 is commutative.
On the other
hand, Proposition
5 of[7] implies
that if thespectral
maximum
principle
does not hold in’U1,
then there is some x E1I1
such thatSp x
contains interiorpoints.
In conclusion we have the
following
theoremTHEOREM 1. Let
U
be a Banachalgebra
with unit such that(2)
holdsfor
all x6 TH.
Then thespectral
maximumprirrciple
holds in’tIl if,
andonly
if, Sp x is
countablefor
all xLet
U
be a commutative Banachalgebra
withunit,
and letMa
bethe space of maximal ideals of
U,
endowed with the Gelfandtopology.
Let be the
subalgebra
of Cconsisting
of the Gelfand transforms of the elements ofU.
Then(2)
holds for all x EU if,
andonly if, U
is-
semi
simple
andU1
is a closedsubalgebra
of CLet
U
be a commutative Banachalgebra
with unitsatisfying (2)
forall x E
U,
and let F : D -+Ta
be anyholomorphic mapping
of a domainDc (:
intoU, having
aspectral
maximumpoint
zo E D. If Int(Sp
F(zo))
=~,
then for all X E
Mtn
theholomorphic
function X o F :D -+ (t
is such that Hence x o F is constant on D. Thatimplies
thefollowing
THEOREM 2..Let be a commutative Banach
algebra satisfying (2) for
all x E
B11.
Then thestrolzg spectral
maximum_principle
and thespectral
maxi-principle
areequivalent
conditionsfor U.
3. Let
ol
be a(uniform)
functionalgebra
on acompact
Hausdorffspace X. Then for all and Theorems 1 and 2
apply.
Since
lll separates points,
Theorem 1implies immediately that,
ifBIl
sati-sfies the
spectral
maximumprinciple,
then X istotally
disconnected.This section will
provide
a characterization of functionalgebras
sati-sfying
thespectral
maximumprinciple.
Let X be a
compact
Hausdorff space. It has been shown in[5] (cf.
also
[6’])
that X is scattered(i.
e., contains nonon-empty perfect subset) if,
and
only if, f(X)
is countable for anyf E 0 (X). Furthermore,
if X is scat-tered,
then C(~)
is theonly
functionalgebra
on X[5, 6’].
For any
compact
subsetR ( )
is the closure inC (K)
of thesubalgebra generated by
the rational functionson I
withpoles
off K.LEMMA 6. Let
TH
be afunction algebra
on acompact Hausdorff
space X.If Sp f
hasplanar Lebesgue
measure zerofor
allf E B11,
then :a) U = 0 (-X);
b)
X isscattered ;
c) Sp f is
countablefor
allf E
C(X).
PROOF: I
a)
For any x E Xlet 1’x
be the character ofU1
definedby
1’z
( f ) = f (x)
Themapping :
x - Ta; is ahomeomorphism
of X ontoa closed subset of An element
f E U1
and its Gelfand transform are-
related
by
theidentity f
=f
o r.Let r be a rational function
on C
with all itspoles
offSp f.
ThenSince
Sp f
hasplanar Lebesgue
measure zero,by
theHartogs-
Rosenthal theorem
[1,
p.47],
Therefore the continuousfunction C I~’
can beuniformly approximated
onSp f by
rational func-tions with
poles
offSp f.
Hencef E U1
for anyBy
the Stone Weier.strass
theorem,
b)
is notscattered,
there exists somef E C (X)
such thatf (~) _ ~ --- [0, 1].
Let g be a continuousmapping
of I onto A. Theng
o f E
C(X),
whileSp (g o f ) = d
haspositive planar
measure.Since X is
scattered,
thenb) implies c). Q.
E. D.As a consequence of Lemma 6 and of Theorem
1,
ifU1
satisfies thespectral
maximumprinciple,
then(Sp 1
is countable for all and there-fore)
X is scattered andU
= C(X). Conversely,
if X is scattered thenC (X)
is theonly
functionalgebra on X, and,
for allf E C (X), f (X)
=Sp f
is countable.
In conclusion we have
THEOREM 3. Let
U
be afunction algebra
on acompact Hausdorff
space X.If U satisfies
thespectral
maximumprinciple,
the X is scattered andU1
= C(X). Conversely if
X is scattered then’~ satisfies the spectral
maxi-mum
principle.
Let
U
be a O.algebra
with unit and let x be a normal element ofU.
Let
U’
be the closedC* subalgebra
ofU generated by
x andby
the unit.Then there is
a *.isometry Q
of ontoU’ mapping
the function« 1 » onto the unit and the function
« ~ 1-+ ~ >>
onto x.If
Sp
x isuncountable,
then it contains aperfect set,
and thereforeU’
does not
satisfy
thespectral
maximumprinciple.
But for anyf E
0(Sp x),
Hence
if
the C*algebra ’ij1
contains a normal ele-ment x such that
Sp
x isuncountable,
thenU
does notsatisfy
thespectral
maximum
principle,.
As a consequence of this statement we have
THEOREM 4. The
algebra of
all bounded linearoperators
in a Hilbert space Hsatisfies
thespectral
maximumprinciple, if,
andoiily if,
H hasfinite
(s) This proof was inspired by that of Theorem 3, p. 201 of
[3].
13 Annali delda Scuola Norm. Sup. di
4. Let
U
be a(semi-simple) regular
Banachalgebra
with a unit.LEMMA 7. The
regular self-adjoint
Banachalgebra U satiBfies
the 8pee-tral maximum
prineiple if,
andonly if, for
everyf E tI1,
Int(rSp f )
=0.
PROOF.
a) Let fE U
be such thatLet ’0 and C
1 betwo distinct
points
ofInt (Sp f ).
There is no restriction inassuming ’0
=0, C1
=1. Forany C
EC, 4 (C, r)
will indicate the closed disc withcenter (
and radius r. Let roand r,
be twopositive
numbers such thatLet 0
and a be twopositive
numbers such thatand that both closed discs are contained in Int
~Sp f ).
Let
~~ I’ll
Let
00
andPi
be two elements ofU
such that00 and 01
are real-valued functions onMta,
ysatisfying
thefollowing
conditionsThe element
fo
=00 f
is suchthat,
ifBo = f -1 (IDt (4 (0,
ro+
~o+ a)),
n
Let 11’
be an element ofU
suchthat qp
is a real-valued functionsatisfying
the
following
conditionsThe
image
J = is a closed subset of[o,1~ containing
0 and 1. Iff1=~1(f-e)-~-~,
then -n
Being f i = f
onF1’
thenf!
13r1).
FurthermoreLet h Since A
(1, rl)
contains any square with center 1 and/
side
J’2
1"1 then h contains the annulus P with center 0 and radii-..~-i) (~’2)
e
A
.Let F:
C - lll
be theholomorphic mapping
definedby
Then
If z satisfies both conditions
i, e.,
ifthen
Thus, by (3)
is the same for all zsatisfying
conditions(4).
If o
)
0 issufficiently small,
then the latterinequalities
arecompatible
and the set of
points satisfying
both of them is anon-empty
annulus. Let0 r R
be its radii. ThenF (z)
has aspectral
maximumpoint
inInt
(4 (0, R))
butSp
F(z)
is not constant. >b)
IfInt (Sp f ) = ~
forall f E U,
thenby Proposition
5 of[7], U
satisfies the
spectral
maximumprinciple. Q.
E. D.We will
apply
now Lemma 7 to the groupalgebra
of alocally
com-pact
abelian group G. First we recallthat,
ifU
is aregular
Banachalge-
bra without a
unit,
then also thealgebra U X C
obtainedby formally adjoining
a unit tolll
isregular,
and vice-versa.Let G be a
locally compact
abelian group and let r be the dual group ofG,
endowed with thelocally compact topology
definedby
the continuous characters of G.PROPOSITION : 8. The group
algebra
Ll(G)
contains an elementf
E Ll(G)
.g?tch that Int
( f (F)) 4= 0 if,
andonly if,
G is notcompact.
PROOF.
a)
If G isnon-compact,
then r is non-discrete. Therefore r contains a Cantor set 0 which is also a Helson set(cf.,
e. g.[2],
Theorems41.5
(p. 555)
and 41.13(p. 564)).
So if g : 0- C
is a continuous functionon 0 such that
g (C) = d
there exists an elementf E L1 (G)
such thatf (x)
= g(x)
for all x E 0. Hencef (1’)
::J 4.b) Conversely,
let Int( f (r)) # §§
for somef E
L1( G).
If r is notcompact
the functionf
vanishes atinfinity.
Therefore it extendsuniquely
to the one
point compactification r
of rassuming
value zero at the com-N N N
pactifying point.
Let7
be the extended function. Then Int(§S(T)) # §§
andN N IV
therefore 7 (p)
contains aperfect
set. Thus1’
is not scattered and afortiori
is not discrete.
If 1~ is
compact
thisargument applies directly
tor, leading
to thesame conclusion.
Q.
E. D.The
following
theorem is a consequence of Lemma 7 andProposition
8.THEOREM 4. The group
algebra
Ll(G)
nioreexactly
thealgebra
ob-tained
by formally adjoining
a unit to .L1(G)) satisfies
thespectral
maximum_principle if,
andonly if,
G iscompact.
For
example
thespectral
maximumprinciple
is satisfied when G is the circle group, and is not satisfied when G =1R,
G =Z.
Furthermore the
spectral
maximum_principle
and thestrong spectral
maximum
principle
areequivalent
conditionsfor
the groupalgebra
Li(G).
Univer8ity of Maryland and Scuola Normale Superiore, Pisa
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