§ 1. Compact linear mappings
1. Compact linear mappings
Definition 1 02NY
Let E be a topological vector space and F a separated topological vector space. A linear mapping from E into F is said to be compact if there exists a neighbourhood V of 0 in E such that is a relatively compact subset of F.
We denote by the set of compact linear mappings from E into F; we also denote by the set .
Remark 1 02NZ
A neighbourhood of 0 in E absorbs every bounded subset of E; the image of a bounded subset of E by a compact linear mapping from E into F is therefore a relatively compact subset of F.
Remark 2 02O0
Let E be a seminormed space and let B be the unit ball of E. In order that a linear mapping from E into a separated topological vector space F be compact, it is necessary and sufficient that be a relatively compact subset of F.
Remark 3 02O1
Let F be a separated topological vector space. In order that a vector subspace E of F be of finite dimension, it is necessary and sufficient that the canonical injection of E into F be compact (EVT, I, p. 15, th. 3).
Remark 4 02O2
For every topological vector space E over the field , we denote by the complexified topological vector space of E (EVT, II, p. 65). We identify E with a real topological vector subspace of by the mapping ; the real topological vector space underlying is then the topological direct sum of E and .
Let be a linear mapping from E into a separated topological vector space F over . Let denote the -linear mapping from into which extends . The sets of the form , where V is a neighbourhood of 0 in E, form a fundamental system of neighbourhoods of 0 in . In order that the set be relatively compact in , it is necessary and sufficient that be relatively compact in F. Consequently, in order that the -linear mapping be compact, it is necessary and sufficient that the -linear mapping be so.
In the same order of ideas, when is a continuous -linear mapping from into a -topological vector space G, in order that be compact it is necessary and sufficient that its restriction to E be compact.
Remark 5 02O3
Let E be a topological vector space, F a separated topological vector space. Let be a closed vector subspace of F and let be the canonical injection of into F. In order that a linear mapping from E into be compact, it is necessary and sufficient that the linear mapping from E into F be so.
Remark 6 02O4
Let be a family of separated topological vector spaces, and for every , let be a compact linear mapping from a topological vector space E into . If the set I is finite, or if E is a seminormed space, the linear mapping from E into is compact (remark 2 and TG, I, p. 63, th. 3).
Proposition 1 02O5
Let E be a topological vector space and F a separated topological vector space.
a) Every compact linear mapping from E into F is continuous ;
b) Every continuous linear mapping of finite rank from E into F is compact;
c) The set of compact linear mappings from E into F is a vector subspace of .
Let us prove a). Let be a compact linear mapping and U a neighbourhood of 0 in F. Choose a neighbourhood V of 0 in E such that is relatively compact in F. Then is bounded and there exists therefore a real number such that the set is contained in U; consequently, is continuous.
Let be a continuous linear mapping of finite rank. Since the image of is separated and of finite dimension, there exists a compact neighbourhood A of 0 in . The set is a neighbourhood of 0 in E and we have , hence the linear mapping is compact. This proves assertion b).
Let and be compact linear mappings of E into F. Let and be neighbourhoods of 0 in E such that the sets and are relatively compact in F. Put and . Then is contained in , hence is relatively compact in F, and the linear mapping is compact. It is immediate that is stable under homothety. This proves that is a vector subspace of , whence assertion c).
Proposition 2 02O6
Let E be a semi-normed space and F a separated topological vector space. Suppose that every closed bounded subset of F is complete. Then the vector subspace of is closed for the topology of bounded convergence.
Let be an element of adhering to for the topology of bounded convergence. Denote by B the unit ball of E and by V a neighbourhood of 0 in F. Choose a neighbourhood W of 0 in F such that . By hypothesis there exists an element of such that . The set being relatively compact in F, there exists a finite subset M of F such that , whence . Since this holds for every V, the set is precompact in F, hence its closure is also so (TG, II, prop. 1, p. 30). Since the latter is closed and bounded, it is complete by the hypothesis made on F, and consequently is compact (TG, II, cor., p. 30). It follows that is relatively compact. This proves that belongs to .
If F is locally convex, the hypothesis of the proposition means that F is quasi-complete (EVT, III, p. 8, déf. 6).
Corollary 02O7
Let E and F be Banach spaces. The set is a closed vector subspace of the Banach space . It contains the closure of the space of continuous linear mappings of finite rank from E into F.
This follows from Propositions 1 and 2.
There exist Banach spaces E and F such that is not dense in cf. Remark 6 of III, p. 16 and Theorem 4 of III, p. 19, b)).
Proposition 3 02O8
Let , E, F, be topological vector spaces, F and being supposed separated. Let and be linear mappings. If and are continuous and is compact, then is compact.
By hypothesis, there exists a neighbourhood V of 0 in E such that is relatively compact in F. Put . Then U is a neighbourhood of 0 in and its image by is contained in (V)), hence is relatively compact in . Consequently, the linear mapping is compact.
Let E be a separated topological vector space; according to Props. 1 and 3, is a two-sided ideal of the algebra . When E is a Banach space, is a Banach algebra and is a closed two-sided ideal of (cor. to Prop. 2). It is a proper ideal if E is of infinite dimension (cf. Remark 3, p. 2).
Corollary 02O9
Let E be a Hilbert space. The space is a closed self-adjoint two-sided ideal of . In particular, it is a star-algebra.
In fact, the space is a closed, hence self-adjoint, two-sided ideal of (Lemma 15 of I, p. 122).
Proposition 4 02OA
Let E be a topological vector space, its separated completion and the canonical mapping of E into . Let be a compact linear mapping of E into a separated topological vector space F. Then there exists a unique compact linear mapping of into F such that .
Identify F with a topological vector subspace of and denote by the unique continuous linear mapping such that coincides with on E. Since is compact, there exist a neighbourhood V of 0 in E and a compact subset A of F such that . We have , whence . Now is a neighbourhood of 0 in (TG, III, p. 24, Prop. 7). It follows that the image of is contained in F and the continuous linear mapping deduced from by passing to the subspace is compact. Since is dense in , the mapping is the unique continuous linear mapping of into F such that .
Proposition 5 02OB
Let E be a locally convex space, F a separated topological vector space and a compact linear mapping of E into F. Then there exist a Banach space G, a continuous linear mapping of E into G and a compact linear mapping of G into F such that .
Let V be a neighbourhood of 0 in E such that is relatively compact in F. Let be a continuous seminorm on E such that V contains the unit ball of (EVT, II, p. 26, cor.). Denote by the seminormed space obtained by endowing E with the seminorm . The mapping is a compact linear mapping of into F. The separated completion G of is a Banach space. Denote by the canonical linear mapping of into G. According to Prop. 4, there exists a compact linear mapping such that . On the other hand, is a continuous mapping of E into G because the topology of E is finer than that of .
2. Compact linear mappings and weak topologies
Let E be a locally convex space, its dual. Recall that the topology on E is called the weak topology on E (EVT, IV, p. 4). In this number, denotes the space E endowed with the weak topology.
Proposition 6 02OC
Let E be a locally convex space, F a separated locally convex space, a compact linear mapping and B a bounded subset of E. The restriction of to B is a continuous mapping of the set B, endowed with the topology induced by , into the space F.
The mapping is a continuous linear mapping of E into F, and also of into . Its restriction to B is therefore a continuous mapping of the set B, endowed with the topology induced by , into the space . Now the set is contained in a compact subset C of F (remark 1 of III, p. 2) and the space is separated, so that the topologies induced on C by those of F and of coincide. The proposition follows.
Corollary 02OD
Let be a sequence of points of E, which converges to a point of E for the weakened topology. The sequence converges in F to .
Indeed, the set consisting of the point and the points of the sequence is a bounded subset of E (EVT, III, p. 3, cor. of prop. 2).
Proposition 7 02OE
Let E be a semi-normed space, its dual, B the unit ball of and a linear mapping of into a locally convex separated space F. If the restriction of to B endowed with the topology induced by is continuous, then is a compact subset of F and is a compact linear mapping of the strong dual of E into F.
Indeed the set B, endowed with the topology induced by , is compact (EVT, III, p. 17, cor. 2).
Corollary 1 02OF
Let E be a semi-normed space of countable type, let be its dual and let B be the unit ball of . Let be a linear mapping of into a locally convex separated space F. Suppose that for every sequence of elements of B which converges for to 0, the sequence converges to 0 in F. Then, is a compact subset of F and is a compact linear mapping of the strong dual of E into F.
Indeed, the topology induced on B by is metrisable (EVT, III, p. 19, cor. 2). The assumption of the corollary therefore implies that the restriction of to B is a continuous mapping of B into F, when B is endowed with the topology , and the corollary follows from the preceding proposition.
Corollary 2 02OG
Let E be a semi-normed space and a set of precompact subsets of E whose union is dense in E. Let us denote by the strong dual of E and by the dual of E endowed with the -topology. The space is separated and the identical mapping of into is compact.
The space is separated according to TG, X, p. 8, prop. 7; on the unit ball of , the -topology coincides with the weak topology (EVT, III, p. 17, prop. 5), whence the corollary.
Example 02OH
Let E be a semi-normed space. The identical mapping of into the space , endowed with the weak topology, the topology of compact convergence or the topology of precompact convergence, is compact.
Proposition 8 02OI
Let E be a reflexive Banach space, B its unit ball, F a locally convex separated space and a linear mapping. The following conditions are equivalent :
(i) The linear mapping is compact ;
(ii) The set is a compact subset of F ;
(iii) The restriction of to B is a continuous mapping of the set B, endowed with the topology induced by , into F ;
(iv) For every sequence of points of B which converges to 0 for the topology , the sequence converges to 0 in F ;
(v) From every infinite sequence of points of , one can extract a sequence which converges in F ;
(vi) Every infinite sequence of points of has an adherence value in F.
Since E is a reflexive space, B is a compact subset of (TVS, IV, p. 17, prop. 6), hence (iii) implies (ii). Condition (ii) implies (i) by definition, and condition (i) implies (iii) by prop. 6. It is also elementary that (iii) implies (iv) and that (v) implies (vi).
We shall now prove that (iv) implies (v). Let be an infinite sequence of points of B. Since B is a compact subset of , there exists, by the theorem of mulian (TVS, IV, p. 36, th. 2), a sequence , extracted from the sequence , which converges in to a limit . The sequence is bounded in , hence in E (TVS, IV, p. 1, prop. 1); it is therefore contained in a homothetic set of B. If condition (iv) is satisfied, the sequence converges to 0 in F, and , which is a sequence extracted from , converges to . This proves that (iv) implies (v).
To conclude, let us prove that (vi) implies (ii). Let be the canonical injection of F into its completion. Under hypothesis (vi), is a precompact subset of F (TVS, IV, p. 32, prop. 1), hence is a relatively compact subset of (TG, II, n, p. 29) and is a compact linear mapping. By the equivalence already proved of conditions (i) and (ii), is a compact subset of . Consequently, is a compact subset of F.
3. Transpose
Let E be a locally convex space and its dual. Recall that one denotes by and the locally convex spaces obtained by endowing the vector space with the topology of bounded convergence and that of compact convergence respectively (TVS, III, p. 14). The space is also called the strong dual of E (loc. cit., example 4).
Proposition 9 02OJ
Let E be a locally convex space, F a separated locally convex space and a continuous linear mapping of E into F.
a) If the mapping is compact, then its transpose is a compact linear mapping of into and a continuous linear mapping of into ;
b) Suppose that the space E is a semi-normed space and that the space F is quasi-complete. If the transpose is a continuous mapping of into , then the linear mapping is compact.
Suppose first that the linear mapping is compact. Then there exists a neighbourhood V of 0 in E whose image under is contained in a compact subset C of F. By definition (TVS, II, p. 47, def. 2 and p. 68, def. 1), the polar of C is a neighbourhood of 0 in and one has . Now is an equicontinuous subset of , closed for the weak topology, hence compact in (TVS, III, p. 17, cor. 2 and prop. 5). This proves that is a compact linear mapping of into .
Retain the preceding hypotheses and let U be a neighbourhood of 0 in . It contains the polar of a bounded subset A of E. Since the linear mapping is compact, the set is relatively compact in F (remark 1 of III, p. 2), and is a neighbourhood of 0 in . This proves that is a continuous linear mapping of into .
Let us now place ourselves under the assumptions of b) and denote by B the unit ball of E. The polar of B is the unit ball of and one has . If is a continuous mapping of into , the set is therefore a neighbourhood of 0 in ; it therefore contains the polar of a compact subset C of F. By the bipolar theorem (EVT, II, p. 49, cor. 3), the set is contained in the closed convex envelope of ; this is compact because the space F is quasi-complete (EVT, III, p. 8). This proves that the linear mapping is compact.
Corollary 1 (Schauder) 02OK
Let E be a seminormed space, F a Banach space, and their respective strong duals, and a continuous linear mapping of E into F. The following properties are equivalent:
(i) The linear mapping of E into F is compact;
(ii) The linear mapping of into is compact;
(iii) The linear mapping of into is continuous.
The equivalence of (i) and (iii) results from prop. 9, a) and b); the implication (iii)(ii) follows from the fact that the identity mapping of into is compact (cor. of prop. 7 of III, p. 7).
To conclude, let us prove that condition (ii) implies (i). Suppose that the linear mapping is compact. It results from the implication (i)(ii), applied to , that is a compact linear mapping of into . Let us denote by the canonical linear mapping of E into ; it is continuous. Since F is identified with a closed vector subspace of and since coincides with on E, it results from remark 5 of III, p. 3 that the linear mapping is compact.
Corollary 2 02OL
Let E be a seminormed space and F a Banach space of countable type. Let be a continuous linear mapping of E into F. Suppose that for every sequence of elements of converging weakly to 0, the sequence converges strongly to 0 in . Then the linear mapping is compact.
Let us denote by the unit ball of , endowed with the topology induced by the topology . Since F is a Banach space of countable type, is a compact metrisable space (EVT, III, p. 19, cor. 2). Under the assumption made, the restriction of to is a continuous mapping of into and is a compact subset of . By cor. 1, the linear mapping is compact.
Remark 02OM
Let E and F be separated locally convex spaces. The transpose of a compact linear mapping of E into F is not always a compact linear mapping of into cf. III, p. 108, exercise 15).
4. The Leray-Schauder theorem
The following theorem will be proved in TA, to appear.
Theorem 1 (Brouwer) 02ON
Let B be a nonempty compact convex subset of a finite-dimensional normed vector space. Every continuous mapping of B into B has a fixed point.
We shall deduce from it the following result.
Theorem 2 (Leray-Schauder) 02OO
Let X be a nonempty compact topological space, homeomorphic to a convex subset of a locally convex space. Every continuous mapping of X into X has a fixed point.
One may suppose that X is a convex subset of a locally convex space E. Let N be the closure of in E and the canonical surjection. Since X is a separated space, the restriction of to X is injective; since X is compact, it therefore defines a homeomorphism of X onto a nonempty compact convex subset of the separated locally convex space . This allows us to suppose that the space E is separated.
Let be a continuous mapping. The mapping defined by is continuous; since X is compact, the image is closed. It is therefore enough to prove that 0 adheres to (X), that is to say that for every convex open neighbourhood U of 0 in E, there exists a point of X such that .
Let U be a convex neighbourhood of 0 in E. For every , let denote the set of elements of X such that . It is open in X and contains . Since X is compact and nonempty, there exists a nonempty finite subset A of X such that the sets , for , cover X. Let be a continuous partition of unity subordinate to the covering (TG, IX, p. 43, prop. 1 and p. 47, th. 3). Let F denote the vector subspace of E generated by . For every , put
This defines a continuous mapping . Its image is contained in the convex envelope of (A), hence in . Since the set is a nonempty compact convex subset of a finite-dimensional vector space, the mapping has a fixed point by Theorem 1. We have
For every A such that , one has so that . Since U is convex, it follows that , which completes the proof.
5. Invariant subspaces under a compact operator
The following theorem is to be compared with Schur’s Lemma (A, VIII, p. 43, cor. and V, p. 386, prop. 6) and Corollary 4 of I, p. 26.
Theorem 3 02OP
Let E be a separated locally convex space over and A a subset of . Make the following assumptions:
(i) There exists no closed vector subspace of E, distinct from and E, which is stable under A;
(ii) The set A contains a nonzero compact endomorphism. Then the commutant of A is reduced to the homotheties.
Replacing A by the unital subalgebra of generated by A, one is reduced to the case where A is a unital subalgebra of . Let then be a nonzero compact endomorphism of E belonging to A.
Lemma 1 02OQ
There exists an element of A such that the kernel of is not reduced to 0.
There exists an element of E such that . Let V be a closed neighbourhood of not containing 0. Since the endomorphism is compact, one can choose a convex open neighbourhood U of such that is a relatively compact subset of V. The closure C of is therefore a compact convex subset of E; since it is contained in V, it does not contain 0.
Let be a point of C. Let denote the set of images of under the elements of A. It is a vector subspace of E stable under A; it is nonzero since it contains . By assumption (i) of the theorem, the set is dense in E. There therefore exists an element of A such that . Since the set C is compact, there exists a
finite family of elements of A such that the sets cover C. There exists a continuous partition of unity on C subordinate to this covering (TG, IX, p. 47, th. 3). Define a mapping by putting
for every ; it is a continuous mapping. Since U is convex and belongs to U when is not zero, we have and . By Leray-Schauder's theorem (Theorem 2 of III, p. 11), there exists an element such that . Put then
We have and is nonzero since 0 does not belong to C, hence the kernel of is nonzero.
Let us complete the proof of Theorem 3. Let be an element of A such that the kernel T of is nonzero (Lemma 1). Let denote the canonical injection of T into E. The linear mapping is equal to , and is therefore compact. Hence the dimension of T is finite (Remark 3 of III, p. 2). Let be an element of which commutes with A. Since commutes with , we have . Since T is of nonzero finite dimension over the algebraically closed field , the endomorphism of T induced by has an eigenvalue .
Put F = Ker(). It is a closed nonzero vector subspace of E; it is stable under A, since commutes with the elements of A. By assumption (i), we have F = E, whence .
Corollary 1 02OR
Let us retain the assumptions of Theorem 3 and suppose moreover that the elements of A are pairwise permutable. Then E is of dimension 1 over .
By assumption (ii) of Theorem 3, the space E is not zero. It therefore contains a vector subspace F of dimension 1. This subspace is closed because E is assumed separated. By Theorem 3, every element of A is a homothety, and therefore stabilizes F. It then follows from assumption (i) of Theorem 3 that F is equal to E.
Corollary 2 (Lomonosov) 02OS
Let E be a separated locally convex space of dimension at least 2 over the field and an endomorphism of E. Suppose that there exists a compact endomorphism of E permutable with . Then there exists a closed vector subspace F of E, distinct from and from E, such that .
In fact, Corollary 1 shows that the set cannot satisfy assumption (i) of Theorem 3.
Corollary 3 02OT
Let E be a separated locally convex space over the field and a compact endomorphism of E. If E is of dimension at least 2, there exists a closed vector subspace F of E, distinct from and from E, such that .
The case is immediate. The case follows from Cor. 2 by taking .
6. Approximation spaces
Given locally convex spaces E and F, let us recall (EVT, III, p. 14, Example 2) that denotes the locally convex space obtained by endowing with the topology of precompact convergence. We also denote by the locally convex space . When the locally convex space E is separated and quasi-complete (EVT, III, p. 8, def. 6), the topology of precompact convergence on coincides with the topology of compact convergence, since the closure of a precompact subset of E is compact (EVT, III, p. 8).
Definition 2 02OU
A locally convex space E is said to have the approximation property, or again to be an approximation space, if the identity mapping of E is adherent in the space to the set of continuous finite-rank endomorphisms of E.
In particular, every finite-dimensional locally convex space is an approximation space.
Remark 1 02OV
In order that the topological direct sum of locally convex spaces E and F be an approximation space, it is necessary and sufficient that E and F be approximation spaces.
Remark 2 02OW
Let E be a locally convex space. Let N be the closure of in E and P an algebraic supplementary subspace of N in E. Then P is a topological supplementary subspace of N in E, and is isomorphic to the locally convex space . The space N is an approximation space. By Remark 1, in order that E be an approximation space, it is necessary and sufficient that the separated locally convex space be one.
Remark 3 02OX
Let E be a locally convex space, A an equicontinuous subset of and T a total subset of E. If is adherent to A for the topology of simple convergence in T, then is adherent to A in (EVT, III, p. 16, Proposition 4 and p. 17, Proposition 5), and E is an approximation space.
Remark 4 02OY
Let E be a locally convex space over . Let us denote by the locally convex space over underlying E. In order that E be an approximation space, it is necessary and sufficient that be one. In fact, the condition is necessary; let us prove that it is sufficient. Suppose therefore that is an approximation space. Let C be a precompact subset of E and U a balanced convex neighbourhood of 0 in E. Put . There exists a continuous -linear mapping of finite rank from into such that belongs to U for every . Put for every in E. Thus one defines a continuous -linear mapping of finite rank from E into E. For every , we have and , so that belongs to U. This proves that E is an approximation space.
Remark 5 02OZ
Let E be a locally convex space over . In order that the complexified locally convex space of E be an approximation space, it is necessary and sufficient that E be one. This follows from remarks 1 and 4, since the underlying real locally convex space of is isomorphic to .
Proposition 10 02P0
Let E be a Hilbert space. Then E is an approximation space.
The set A of orthogonal projections of finite rank in E is equicontinuous. Let be an integer and a family of elements of E. Let V denote the vector subspace generated by the and the orthogonal projection with image V. We have for . It follows that is adherent to A for the topology of simple convergence, and hence that E is an approximation space (remark 3).
Other examples of approximation spaces will be given in No. of III, p. 20.
Lemma 2 02P1
Let E be a locally convex space. Then E is an approximation space if and only if, for every precompact subset C of E and every neighbourhood U of 0 in E, there exist an integer , elements of E, and continuous linear forms on E, such that belongs to U for every .
The definition of the topology of precompact convergence shows that the condition is sufficient. Conversely, suppose that E is an approximation space. Let P be a topological complement in E of the closure of cf. remark 2). Then the set A of the such that is dense in . Since P is separated, every element of A is of the form , where are elements of E and continuous linear forms on E (EVT, I, p. 14, th. 2). This proves that the condition is necessary.
Remark 6 02P2
There exist Banach spaces which do not possess the approximation property, as was proved by P. Enflo (A counterexample to the approximation problem in Banach spaces, Acta Math. 130 (1973), p. 309–317 ; cf. exercise 25 of III, p. 112). This answered a question of S. Banach (Théorie des opérations linéaires, Monografje Matematyczne I, Warszawa, 1932, remarks on Chapter VI, §1). See also the remark on p. 21.
Proposition 11 02P3
Let E and F be locally convex spaces. Suppose that E is an approximation space.
a) The set is dense in ;
b) The set is dense in ;
c) Let be a set of bounded subsets of F and . Suppose that the image under of every subset of F belonging to is precompact. Then is adherent to for the -topology (EVT, III, p. 13).
Let be an element of . The mapping of into is continuous (TG, X, p. 5, prop. 3). We have and , therefore is adherent to in . This proves a).
Analogously, under the assumptions of c), the mapping of into is continuous (loc. cit.). We have and , therefore is adherent to in .
The image of a precompact subset of F by a continuous linear mapping of F into E is precompact, therefore b) follows from c).
Corollary 02P4
Let E be a separated approximation space and F a locally convex space. Every compact linear mapping of F into E is adherent to in the space endowed with the topology of bounded convergence.
This follows from prop. 11, c), for the image of a bounded subset of F by a compact linear mapping of F into E is relatively compact in E (remark 1 of III, p. 2), therefore precompact.
Proposition 12 02P5
Let E be a locally convex space, I a set, and for each , let be a locally convex space and a continuous linear mapping with dense image. Suppose that for every neighbourhood U of 0 in E, there exist and a neighbourhood V of 0 in such that . If the are approximation spaces, then E is also one.
Let A be a precompact subset of E and U a neighbourhood of 0 in E. By hypothesis there exist and a continuous semi-norm on such that U contains . Put and (A), and suppose that F is an approximation space. The set B is precompact in F. There therefore exist (lemma 2) an integer , elements of F and continuous linear forms on F, such that one has, for every ,
Since B is bounded (EVT, III, p. 3, prop. 2), there exists a real number such that for every such that and every . Moreover, since is dense in F, there exists, for each integer such that , an element of E such that . The linear mapping
belongs to . For every , one has
whence , and therefore . The proposition follows.
Corollary 1 02P6
A dense vector subspace of an approximation space is an approximation space.
Corollary 2 02P7
If the separated completion of a locally convex space E is an approximation space, then E is an approximation space.
Corollary 3 02P8
The product of a family of approximation spaces is an approximation space.
Let indeed be a family of approximation spaces. For every finite subset J of I, let us put and denote by the canonical mapping of into . The locally convex space is an approximation space (Remark 1). The corollary then follows from Prop. 12 applied to the locally convex space E, to the family of locally convex spaces, and to the continuous linear mappings .
Corollary 4 02P9
Let E be a locally convex space. If every continuous seminorm on E is majorized by a continuous prehilbertian seminorm, then E is an approximation space.
Let be the set of continuous prehilbertian seminorms on E. For each , the hypothesis implies that the seminormed space obtained by endowing E with the seminorm is an approximation space (Corollary 2 and Proposition 10), and the identity mapping of E into is continuous. The corollary therefore follows from Proposition 12.
Lemma 3 02PA
Let E be a metrisable locally convex space and a sequence of elements of E converging to 0. There exist a sequence of elements of E converging to 0 and a sequence of elements of the interval converging to 0 such that one has for every .
Since E is metrisable, there exists a fundamental system of balanced neighbourhoods of 0 in E such that and for every . Since converges to 0, there exists a strictly increasing sequence of integers such that and such that, for every , one has for . For every integer , there exists a unique integer such that , and one then puts and . The sequence thus defined converges to 0. Moreover, since for , the sequence converges to 0 in E. Finally, one has for every .
Recall (EVT, II, p. 28) that if E is a vector space and L a convex balanced subset of E, one denotes by the vector subspace of E generated by L, endowed with the seminorm whose unit ball is L. When the set L contains no line, this seminorm is a norm.
Lemma 4 02PB
Let E be a Fréchet space and A a compact subset of E. There exists a compact convex balanced subset L of E containing A such that the topologies induced on A by those of E and of coincide.
The set A is contained in the closed convex balanced hull of the set of points of a sequence of elements of E converging to 0 (EVT, IV, p. 24, Cor. 1). Let and be sequences satisfying the conclusions of Lemma 3. The closed convex balanced hull L of the points of the sequence contains A and is a compact subset of E (EVT, III, p. 8). Hence is a Banach space (EVT, III, p. 8, Cor.). In this Banach space, the norm of is majorized by , therefore the sequence tends to 0. The closed convex balanced hull of the sequence in is a compact subset of (EVT, III, p. 8). Since L is a bounded subset of E, the canonical injection of into E is continuous. The topologies induced on by those of and of E coincide, and is a compact, hence closed, subset of E. Since the set is convex, balanced, and contains the sequence , it contains A. This completes the proof.
Theorem 4 02PC
Let E be a Fréchet space.
a) Suppose that E is an approximation space. Then, for every semi-normed space F, the space is dense in for the topology of bounded convergence;
b) Conversely, suppose that for every Banach space F, every compact linear mapping of F into E belong to the closure of for the topology of bounded convergence. Then E is an approximation space.
Let F be a semi-normed space. The closure of in is contained in (Prop. 1 and 2 of III, p. 4). It is equal to if E is an approximation space by Cor. to Prop. 11. This proves assertion a).
Suppose that the hypothesis of b) is satisfied. Let be a real number. Let A be a compact subset of E and a continuous semi-norm on E. Let L be a compact convex balanced subset of E such that A is a compact subset of the normed space (Lemma 4). The canonical injection is compact and is a Banach space (TVS, III, p. 8, Cor.). Hence by hypothesis there exist an integer , elements of E, and continuous linear forms on , such that the mapping of into E defined by satisfies for . The image of is dense in for the weak topology (TVS, IV, p. 6, Prop. 5). On the topology of compact convergence is compatible with the duality between and (TVS, IV, p. 3, Example). Therefore is dense in for the topology of compact convergence (TVS, IV, p. 1, Prop. 1), and there exist continuous linear forms on E such that
for and . The endomorphism of E belong to , and for every , one has
It follows from this that belong to the closure of for the topology of compact convergence. But the latter coincides with the topology of precompact convergence since E is complete. Hence E is an approximation space.
7. Examples of approximation spaces
Recall that every Hilbert space is an approximation space (III, p. 15, Prop. 10). This section gives other examples.
If X is a locally compact space, one denotes by , or simply (X), the Banach space of continuous mappings from X into K tending to 0 at infinity, endowed with the norm defined by sup for . When X is compact, this space coincides with the space of continuous mappings from X into K.
Lemma 5 02PD
Let X be a compact topological space, F a finite subset of and a real number.
There exist a finite subset and a linear mapping of norm such that for every .
Since the set F is an equicontinuous subset of (X), there exists a finite covering of X such that, for every and every , the diameter of is . For in I, choose a point of , and denote by the finite set of the for .
Let be a continuous partition of unity subordinate to (TG, IX, p. 47, th. 3). Define a linear mapping of into by putting
for every . The linear mapping has norm and satisfies for every in F, whence the assertion.
Proposition 13 02PE
Let X be a locally compact topological space. The Banach space is an approximation space.
Suppose first that X is compact. Let be the set of mappings of the form , where is a finite subset of X and is a linear mapping of norm . The set A is equicontinuous. By Lemma 5, the identity mapping of belongs to the closure of A for the topology of simple convergence on . The proposition then results from Remark 3 of III, p. 14.
Pass to the general case. Let Y be the Alexandroff compactification of X and the point at infinity of Y (TG, I, p. 67). Identify with the set of elements of vanishing at . Then is the topological direct sum of and the vector space of constant mappings on Y. Since is an approximation space by what precedes, the space is an approximation space (Remark 1 of III, p. 14).
Corollary 02PF
Every commutative star algebra is an approximation space.
In fact, such an algebra is isomorphic to the algebra of continuous functions tending to 0 at infinity on a locally compact space (I, p. 108, th. 1).
Remark 02PG
If E is an infinite-dimensional Hilbert space, the star algebra does not have the approximation property (A. Szankowski, does not have the approximation property, Acta Math. 147 (1981), p. 89–108).
Lemma 6 02PH
Let X be a locally compact topological space. Let be a positive measure on X and . Let F be a finite subset of and a real number.
There exists a finite-rank projector of of norm such that for every in F.
Let be the set of finite partitions of X, where is an integer and are integrable subsets of non-zero measure of X. For every partition , one defines an endomorphism of by putting
for , where is the characteristic function of . The mapping induces, on passing to quotients, a projector of . It is easily verified that the image of is the space of classes of functions such that vanishes on H and is constant on for .
Let us prove that . For , one has
By Hölder's inequality (INT, IV, p. 208, § 6, No., Theorem 2), for every one has the inequality
whence .
Let be the set of classes in of integrable functions on X taking only a finite number of values. Since is dense in (INT, IV, p. 162, §4, No., Corollary 1), there exists a finite set of such that every element of F is at distance at most from an element of . On considering the finite partition formed by the sets of non-zero measure on which the mapping takes a given value, one sees that there exists an element of such that for every in . The projector therefore has the required properties.
Proposition 14 02PI
Let X be a locally compact topological space, a positive measure on X, and . The space is an approximation space.
If , then the space is a commutative stellar algebra (Example 4 of I, p. 103), hence an approximation space (Cor. of Prop. 13), and the same is true of by Remark 5 of III, p. 15.
Suppose that is finite. Let be the set of projectors of finite rank and norm . By Lemma 6, the identity mapping of is adherent to A for the topology of simple convergence, and the proposition then follows from Remark 3 of III, p. 14.
Exercises
In Exercises 1 to 5 only, K denotes a complete non-archimedean non-discrete valued field, whose valuation is denoted by . We also denote by the image of under the mapping . The Banach spaces considered are Banach spaces over K.
See the exercises for § 1.