Bourbaki

§ 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 uu from E into F is said to be compact if there exists a neighbourhood V of 0 in E such that u(V)u(V) is a relatively compact subset of F.

We denote by Lc(E;F)\mathscr{L}^c(E; F) the set of compact linear mappings from E into F; we also denote by Lc(F)\mathscr{L}^c(F) the set Lc(F;F)\mathscr{L}^c(F; F).

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 uu from E into a separated topological vector space F be compact, it is necessary and sufficient that u(B)u(B) 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 R\mathbf{R}, we denote by E(C)E_{(\mathbf{C})} the complexified topological vector space of E (EVT, II, p. 65). We identify E with a real topological vector subspace of E(C)E_{(\mathbf{C})} by the mapping x↦1⊗xx\mapsto 1\otimes x; the real topological vector space underlying E(C)E_{(\mathbf{C})} is then the topological direct sum of E and iEiE.

Let uu be a linear mapping from E into a separated topological vector space F over R\mathbf{R}. Let u(C)u_{(\mathbf{C})} denote the C\mathbf{C}-linear mapping from E(C)E_{(\mathbf{C})} into F(C)F_{(\mathbf{C})} which extends uu. The sets of the form V+iVV +iV, where V is a neighbourhood of 0 in E, form a fundamental system of neighbourhoods of 0 in E(C)E_{(\mathbf{C})}. In order that the set u(C)(V+iV)=u(V)+iu(V)u_{(\mathbf{C})}(V +iV) =u(V) +iu(V) be relatively compact in F(C)F_{(\mathbf{C})}, it is necessary and sufficient that u(V)u(V) be relatively compact in F. Consequently, in order that the C\mathbf{C}-linear mapping u(C)u_{(\mathbf{C})} be compact, it is necessary and sufficient that the R\mathbf{R}-linear mapping uu be so.

In the same order of ideas, when vv is a continuous C\mathbf{C}-linear mapping from E(C)E_{(\mathbf{C})} into a C\mathbf{C}-topological vector space G, in order that vv 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 F1F_1 be a closed vector subspace of F and let jj be the canonical injection of F1F_1 into F. In order that a linear mapping uu from E into F1F_1 be compact, it is necessary and sufficient that the linear mapping j∘uj\circ u from E into F be so.

Remark 6 02O4

Let (Gi)i∈I(G_i)_{i\in I} be a family of separated topological vector spaces, and for every i∈Ii\in I, let uiu_i be a compact linear mapping from a topological vector space E into GiG_i. If the set I is finite, or if E is a seminormed space, the linear mapping x↦(ui(x))i∈Ix\mapsto (u_i(x))_{i\in I} from E into ∏i∈IGi\prod_{i\in I}G_i 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 Lc(E;F)\mathscr{L}^c(E; F) of compact linear mappings from E into F is a vector subspace of L(E;F)\mathscr{L}(E; F).

Let us prove a). Let v:E→Fv: E\rightarrow F be a compact linear mapping and U a neighbourhood of 0 in F. Choose a neighbourhood V of 0 in E such that v(V)v(V) is relatively compact in F. Then v(V)v(V) is bounded and there exists therefore a real number λ>0\lambda >0 such that the set v(λV)v(\lambda V) is contained in U; consequently, vv is continuous.

Let u:E→Fu: E\rightarrow F be a continuous linear mapping of finite rank. Since the image u(E)u(E) of uu is separated and of finite dimension, there exists a compact neighbourhood A of 0 in u(E)u(E). The set V=u−1(A)V =\overset{-1}{u}(A) is a neighbourhood of 0 in E and we have u(V)⊂Au(V)\subset A, hence the linear mapping uu is compact. This proves assertion b).

Let u1u_1 and u2u_2 be compact linear mappings of E into F. Let V1V_1 and V2V_2 be neighbourhoods of 0 in E such that the sets u1(V1)u_1(V_1) and u2(V2)u_2(V_2) are relatively compact in F. Put V=V1∩V2V = V_1\cap V_2 and u=u1+u2u=u_1+u_2. Then u(V)u(V) is contained in u1(V1)+u2(V2)u_1(V_1) +u_2(V_2), hence is relatively compact in F, and the linear mapping uu is compact. It is immediate that Lc(E;F)\mathscr{L}^c(E; F) is stable under homothety. This proves that Lc(E;F)\mathscr{L}^c(E; F) is a vector subspace of L(E;F)\mathscr{L}(E; F), 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 Lc(E;F)\mathscr{L}^c(E; F) of L(E;F)\mathscr{L}(E; F) is closed for the topology of bounded convergence.

Let uu be an element of L(E;F)\mathscr{L}(E; F) adhering to Lc(E;F)\mathscr{L}^c(E; F) 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 W+W⊂VW + W\subset V. By hypothesis there exists an element vv of Lc(E;F)\mathscr{L}^c(E; F) such that (u−v)(B)⊂W(u-v)(B)\subset W. The set v(B)v(B) being relatively compact in F, there exists a finite subset M of F such that v(B)⊂M+Wv(B)\subset M + W, whence u(B)⊂M+Vu(B)\subset M + V. Since this holds for every V, the set u(B)u(B) 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 u(B)u(B) is relatively compact. This proves that uu belongs to Lc(E;F)\mathscr{L}^c(E; F).

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 Lc(E;F)\mathscr{L}^c(E; F) is a closed vector subspace of the Banach space L(E;F)\mathscr{L}(E; F). It contains the closure of the space Lf(E;F)\mathscr{L}^f(E; F) 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 Lf(E;F)\mathscr{L}^f(E; F) is not dense in Lc(E;F)(\mathscr{L}^c(E; F) (cf. Remark 6 of III, p. 16 and Theorem 4 of III, p. 19, b)).

Proposition 3 02O8

Let E1E_1, E, F, F1F_1 be topological vector spaces, F and F1F_1 being supposed separated. Let v:E1→E,u:E→Fv: E_1\rightarrow E,u: E\rightarrow F and w:F→F1w: F\rightarrow F_1 be linear mappings. If vv and ww are continuous and uu is compact, then w∘u∘vw\circ u\circ v is compact.

By hypothesis, there exists a neighbourhood V of 0 in E such that u(V)u(V) is relatively compact in F. Put U=v−1(V)U =\overset{-1}{v}(V). Then U is a neighbourhood of 0 in E1E_1 and its image by w∘u∘vw\circ u\circ v is contained in w(uw(u(V)), hence is relatively compact in F1F_1. Consequently, the linear mapping w∘u∘vw\circ u\circ v is compact.

Let E be a separated topological vector space; according to Props. 1 and 3, Lc(E)\mathscr{L}^c(E) is a two-sided ideal of the algebra L(E)\mathscr{L}(E). When E is a Banach space, L(E)\mathscr{L}(E) is a Banach algebra and Lc(E)\mathscr{L}^c(E) is a closed two-sided ideal of L(E)\mathscr{L}(E) (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 Lc(E)\mathscr{L}^c(E) is a closed self-adjoint two-sided ideal of L(E)\mathscr{L}(E). In particular, it is a star-algebra.

In fact, the space Lc(E)\mathscr{L}^c(E) is a closed, hence self-adjoint, two-sided ideal of L(E)\mathscr{L}(E) (Lemma 15 of I, p. 122).

Proposition 4 02OA

Let E be a topological vector space, E^\widehat{E} its separated completion and jj the canonical mapping of E into E^\widehat{E}. Let uu be a compact linear mapping of E into a separated topological vector space F. Then there exists a unique compact linear mapping vv of E^\widehat{E} into F such that u=v∘ju=v\circ j.

Identify F with a topological vector subspace of F^\widehat{F} and denote by u^:E^→F^\widehat{u}:\widehat{E}\rightarrow \widehat{F} the unique continuous linear mapping such that u^∘j\widehat{u}\circ j coincides with uu on E. Since uu is compact, there exist a neighbourhood V of 0 in E and a compact subset A of F such that u(V)⊂Au(V)\subset A. We have u^(j(V))⊂A\widehat{u}(j(V))\subset A, whence u^(j(V))⊂A\widehat{u}(j(V))\subset A. Now j(V)j(V) is a neighbourhood of 0 in E^\widehat{E} (TG, III, p. 24, Prop. 7). It follows that the image of u^\widehat{u} is contained in F and the continuous linear mapping v:E^→Fv:\widehat{E}\rightarrow F deduced from u^\widehat{u} by passing to the subspace is compact. Since j(E)j(E) is dense in E^\widehat{E}, the mapping vv is the unique continuous linear mapping of E^\widehat{E} into F such that u=v∘ju=v\circ j.

Proposition 5 02OB

Let E be a locally convex space, F a separated topological vector space and uu a compact linear mapping of E into F. Then there exist a Banach space G, a continuous linear mapping vv of E into G and a compact linear mapping ww of G into F such that u=w∘vu=w\circ v.

Let V be a neighbourhood of 0 in E such that u(V)u(V) is relatively compact in F. Let pp be a continuous seminorm on E such that V contains the unit ball of pp (EVT, II, p. 26, cor.). Denote by EpE_p the seminormed space obtained by endowing E with the seminorm pp. The mapping uu is a compact linear mapping of EpE_p into F. The separated completion G of EpE_p is a Banach space. Denote by vv the canonical linear mapping of EpE_p into G. According to Prop. 4, there exists a compact linear mapping w:G→Fw: G\rightarrow F such that u=w∘vu=w\circ v. On the other hand, vv is a continuous mapping of E into G because the topology of E is finer than that of EpE_p.

2. Compact linear mappings and weak topologies

Let E be a locally convex space, E′E' its dual. Recall that the topology σ(E,E′)\sigma (E,E') on E is called the weak topology on E (EVT, IV, p. 4). In this number, EσE_{\sigma} 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, u:E→Fu: E\rightarrow F a compact linear mapping and B a bounded subset of E. The restriction of uu to B is a continuous mapping of the set B, endowed with the topology induced by σ(E,E′)\sigma (E,E'), into the space F.

The mapping uu is a continuous linear mapping of E into F, and also of EσE_{\sigma} into FσF_{\sigma}. Its restriction to B is therefore a continuous mapping of the set B, endowed with the topology induced by σ(E,E′)\sigma (E,E'), into the space FσF_{\sigma}. Now the set u(B)u(B) is contained in a compact subset C of F (remark 1 of III, p. 2) and the space FσF_{\sigma} is separated, so that the topologies induced on C by those of F and of FσF_{\sigma} coincide. The proposition follows.

Corollary 02OD

Let (xn)n∈N(x_n)_{n\in\mathbf{N}} be a sequence of points of E, which converges to a point xx of E for the weakened topology. The sequence (u(xn))n∈N(u(x_n))_{n\in\mathbf{N}} converges in F to u(x)u(x).

Indeed, the set consisting of the point xx and the points of the sequence (xn)n∈N(x_n)_{n\in\mathbf{N}} is a bounded subset of E (EVT, III, p. 3, cor. of prop. 2).

Proposition 7 02OE

Let E be a semi-normed space, E′E' its dual, B the unit ball of E′E' and uu a linear mapping of E′E' into a locally convex separated space F. If the restriction of uu to B endowed with the topology induced by σ(E′,E)\sigma (E',E) is continuous, then u(B)u(B) is a compact subset of F and uu is a compact linear mapping of the strong dual Eb′E'_b of E into F.

Indeed the set B, endowed with the topology induced by σ(E′,E)\sigma (E',E), is compact (EVT, III, p. 17, cor. 2).

Corollary 1 02OF

Let E be a semi-normed space of countable type, let E′E' be its dual and let B be the unit ball of E′E'. Let uu be a linear mapping of E′E' into a locally convex separated space F. Suppose that for every sequence (xn)n∈N(x_n)_{n\in\mathbf{N}} of elements of B which converges for σ(E′,E)\sigma (E',E) to 0, the sequence (u(xn))n∈N(u(x_n))_{n\in\mathbf{N}} converges to 0 in F. Then, u(B)u(B) is a compact subset of F and uu is a compact linear mapping of the strong dual Eb′E'_b of E into F.

Indeed, the topology induced on B by σ(E′,E)\sigma (E',E) is metrisable (EVT, III, p. 19, cor. 2). The assumption of the corollary therefore implies that the restriction of uu to B is a continuous mapping of B into F, when B is endowed with the topology σ(E′,E)\sigma (E',E), and the corollary follows from the preceding proposition.

Corollary 2 02OG

Let E be a semi-normed space and S\mathfrak{S} a set of precompact subsets of E whose union is dense in E. Let us denote by Eb′E'_b the strong dual of E and by ES′E'_{\mathfrak{S}} the dual of E endowed with the S\mathfrak{S}-topology. The space ES′E'_{\mathfrak{S}} is separated and the identical mapping of Eb′E'_b into ES′E'_{\mathfrak{S}} is compact.

The space ES′E'_{\mathfrak{S}} is separated according to TG, X, p. 8, prop. 7; on the unit ball of E′E', the S\mathfrak{S}-topology coincides with the weak topology σ(E′,E)\sigma (E',E) (EVT, III, p. 17, prop. 5), whence the corollary.

Example 02OH

Let E be a semi-normed space. The identical mapping of Eb′E'_b into the space E′E', 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 u:E→Fu: E\rightarrow F a linear mapping. The following conditions are equivalent :

(i) The linear mapping uu is compact ;

(ii) The set u(B)u(B) is a compact subset of F ;

(iii) The restriction of uu to B is a continuous mapping of the set B, endowed with the topology induced by σ(E,E′)\sigma (E,E'), into F ;

(iv) For every sequence (xn)n∈N(x_n)_{n\in\mathbf{N}} of points of B which converges to 0 for the topology σ(E,E′)\sigma (E,E'), the sequence (u(xn))n∈N(u(x_n))_{n\in\mathbf{N}} converges to 0 in F ;

(v) From every infinite sequence of points of u(B)u(B), one can extract a sequence which converges in F ;

(vi) Every infinite sequence of points of u(B)u(B) has an adherence value in F.

Since E is a reflexive space, B is a compact subset of EσE_{\sigma} (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 (xn)(x_n) be an infinite sequence of points of B. Since B is a compact subset of EσE_{\sigma}, there exists, by the theorem of S˘\breve{S}mulian (TVS, IV, p. 36, th. 2), a sequence (yn)(y_n), extracted from the sequence (xn)(x_n), which converges in EσE_{\sigma} to a limit yy. The sequence (yn−y)(y_n-y) is bounded in EσE_{\sigma}, 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 (u(yn−y))(u(y_n-y)) converges to 0 in F, and (u(yn))(u(y_n)), which is a sequence extracted from (u(xn))(u(x_n)), converges to u(y)u(y). This proves that (iv) implies (v).

To conclude, let us prove that (vi) implies (ii). Let j:F→F^j: F\rightarrow \widehat{F} be the canonical injection of F into its completion. Under hypothesis (vi), u(B)u(B) is a precompact subset of F (TVS, IV, p. 32, prop. 1), hence j(u(B))j(u(B)) is a relatively compact subset of F^\widehat{F} (TG, II, n∘2^{\circ}2, p. 29) and j∘uj\circ u is a compact linear mapping. By the equivalence already proved of conditions (i) and (ii), j(u(B))j(u(B)) is a compact subset of F^\widehat{F}. Consequently, u(B)u(B) is a compact subset of F.

3. Transpose

Let E be a locally convex space and E′E' its dual. Recall that one denotes by Eb′E'_b and Ec′E'_c the locally convex spaces obtained by endowing the vector space E′E' with the topology of bounded convergence and that of compact convergence respectively (TVS, III, p. 14). The space Eb′E'_b 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 uu a continuous linear mapping of E into F.

a) If the mapping uu is compact, then its transpose tu^tu is a compact linear mapping of Fc′F'_c into Ec′E'_c and a continuous linear mapping of Fc′F'_c into Eb′E'_b;

b) Suppose that the space E is a semi-normed space and that the space F is quasi-complete. If the transpose tu^tu is a continuous mapping of Fc′F'_c into Eb′E'_b, then the linear mapping uu is compact.

Suppose first that the linear mapping uu is compact. Then there exists a neighbourhood V of 0 in E whose image under uu is contained in a compact subset C of F. By definition (TVS, II, p. 47, def. 2 and p. 68, def. 1), the polar C∘C^{\circ} of C is a neighbourhood of 0 in Fc′F'_c and one has tu(C∘)⊂V∘^tu(C^{\circ})\subset V^{\circ}. Now V∘V^{\circ} is an equicontinuous subset of E′E', closed for the weak topology, hence compact in Ec′E'_c (TVS, III, p. 17, cor. 2 and prop. 5). This proves that tu^tu is a compact linear mapping of Fc′F'_c into Ec′E'_c.

Retain the preceding hypotheses and let U be a neighbourhood of 0 in Eb′E'_b. It contains the polar A∘A^{\circ} of a bounded subset A of E. Since the linear mapping uu is compact, the set u(A)u(A) is relatively compact in F (remark 1 of III, p. 2), and (tu)−1(A∘)=u(A)∘(^tu)^{-1}(A^{\circ}) =u(A)^{\circ} is a neighbourhood of 0 in Fc′F'_c. This proves that tu^tu is a continuous linear mapping of Fc′F'_c into Eb′E'_b.

Let us now place ourselves under the assumptions of b) and denote by B the unit ball of E. The polar B∘B^{\circ} of B is the unit ball of Eb′E'_b and one has (tu)−1(B∘)=u(B)∘(^tu)^{-1}(B^{\circ}) =u(B)^{\circ}. If tu^tu is a continuous mapping of Fc′F'_c into Eb′E'_b, the set u(B)∘u(B)^{\circ} is therefore a neighbourhood of 0 in Fc′F'_c; it therefore contains the polar C∘C^{\circ} of a compact subset C of F. By the bipolar theorem (EVT, II, p. 49, cor. 3), the set u(B)u(B) is contained in the closed convex envelope of C∪{0}C\cup \{0\}; this is compact because the space F is quasi-complete (EVT, III, p. 8). This proves that the linear mapping uu is compact.

Corollary 1 (Schauder) 02OK

Let E be a seminormed space, F a Banach space, E′E' and F′F' their respective strong duals, and uu a continuous linear mapping of E into F. The following properties are equivalent:

(i) The linear mapping uu of E into F is compact;

(ii) The linear mapping tu^tu of F′F' into E′E' is compact;

(iii) The linear mapping tu^tu of Fc′F'_c into E′E' is continuous.

The equivalence of (i) and (iii) results from prop. 9, a) and b); the implication (iii)⇒\Rightarrow(ii) follows from the fact that the identity mapping of F′F' into Fc′F'_c 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 tu:F′→E′^tu: F'\rightarrow E' is compact. It results from the implication (i)⇒\Rightarrow(ii), applied to tu^tu, that ttu^{tt}u is a compact linear mapping of E′′E'' into F′′F''. Let us denote by vv the canonical linear mapping of E into E′′E''; it is continuous. Since F is identified with a closed vector subspace of F′′F'' and since uu coincides with t(tu)∘v^t(^tu)\circ v on E, it results from remark 5 of III, p. 3 that the linear mapping uu is compact.

Corollary 2 02OL

Let E be a seminormed space and F a Banach space of countable type. Let uu be a continuous linear mapping of E into F. Suppose that for every sequence (yn)(y_n) of elements of F′F' converging weakly to 0, the sequence (tu(yn))(^tu(y_n)) converges strongly to 0 in E′E'. Then the linear mapping uu is compact.

Let us denote by B′B' the unit ball of F′F', endowed with the topology induced by the topology σ(F′,F)\sigma (F',F). Since F is a Banach space of countable type, B′B' is a compact metrisable space (EVT, III, p. 19, cor. 2). Under the assumption made, the restriction of tu^tu to B′B' is a continuous mapping of B′B' into E′E' and tu(B′)^tu(B') is a compact subset of E′E'. By cor. 1, the linear mapping uu 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 Fb′F'_b into Eb′(E'_b(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 {0}\{0\} in E and π:E→E/N\pi : E\rightarrow E/N the canonical surjection. Since X is a separated space, the restriction of π\pi 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 E/NE/N. This allows us to suppose that the space E is separated.

Let f:X→Xf: X\rightarrow X be a continuous mapping. The mapping h:X→Eh: X\rightarrow E defined by h(x)=f(x)−xh(x) =f(x)-x is continuous; since X is compact, the image h(X)h(X) is closed. It is therefore enough to prove that 0 adheres to hh(X), that is to say that for every convex open neighbourhood U of 0 in E, there exists a point bb of X such that f(b)−b∈Uf(b)-b\in U.

Let U be a convex neighbourhood of 0 in E. For every a∈Xa\in X, let VaV_a denote the set of elements xx of X such that f(x)−f(a)∈Uf(x)-f(a)\in U. It is open in X and contains aa. Since X is compact and nonempty, there exists a nonempty finite subset A of X such that the sets VaV_a, for a∈Aa\in A, cover X. Let (φa)a∈A(\varphi_a)_{a\in A} be a continuous partition of unity subordinate to the covering (Va)a∈A(V_a)_{a\in A} (TG, IX, p. 43, prop. 1 and p. 47, th. 3). Let F denote the vector subspace of E generated by f(A)f(A). For every x∈F∩Xx\in F\cap X, put

g(x)=∑a∈Aφa(x)f(a) g(x) =\sum_{a\in A}\varphi_a(x)f(a)

This defines a continuous mapping g:F∩X→Eg: F\cap X\rightarrow E. Its image is contained in the convex envelope of ff(A), hence in F∩XF\cap X. Since the set F∩XF\cap X is a nonempty compact convex subset of a finite-dimensional vector space, the mapping gg has a fixed point b∈F∩Xb\in F\cap X by Theorem 1. We have

f(b)−b=f(b)−g(b)=∑a∈Aφa(b)(f(b)−f(a)) f(b)-b=f(b)-g(b) =\sum_{a\in A}\varphi_a(b) (f(b)-f(a))

For every a∈a\in A such that φa(b)≠0\varphi_a(b)\not = 0, one has b∈Vab\in V_a so that f(b)−f(a)∈Uf(b)-f(a)\in U. Since U is convex, it follows that f(b)−b∈Uf(b)-b\in U, 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 C\mathbf{C} and A a subset of L(E)\mathscr{L}(E). Make the following assumptions:

(i) There exists no closed vector subspace of E, distinct from {0}\{0\} 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 L(E)\mathscr{L}(E) generated by A, one is reduced to the case where A is a unital subalgebra of L(E)\mathscr{L}(E). Let then hh be a nonzero compact endomorphism of E belonging to A.

Lemma 1 02OQ

There exists an element aa of A such that the kernel of ha−1Eha-1_E is not reduced to 0.

There exists an element x0x_0 of E such that h(x0)≠0h(x_0)\not = 0. Let V be a closed neighbourhood of h(x0)h(x_0) not containing 0. Since the endomorphism hh is compact, one can choose a convex open neighbourhood U of x0x_0 such that h(U)h(U) is a relatively compact subset of V. The closure C of h(U)h(U) is therefore a compact convex subset of E; since it is contained in V, it does not contain 0.

Let yy be a point of C. Let AyAy denote the set of images of yy under the elements of A. It is a vector subspace of E stable under A; it is nonzero since it contains yy. By assumption (i) of the theorem, the set AyAy is dense in E. There therefore exists an element bb of A such that b(y)∈Ub(y)\in U. Since the set C is compact, there exists a

−1-1

finite family (b1,...,bn)(b_1, . . . , b_n) of elements of A such that the sets bi(U)b_i(U) cover C. There exists a continuous partition of unity (φ1,...,φn)(\varphi_1, . . . , \varphi_n) on C subordinate to this covering (TG, IX, p. 47, th. 3). Define a mapping f:C→Ef: C\rightarrow E by putting

f(x)=∑i=1nφi(x)bi(x) f(x) =\sum_{i=1}^n\varphi_i(x)b_i(x)

for every x∈Cx\in C; it is a continuous mapping. Since U is convex and bi(x)b_i(x) belongs to U when φi(x)\varphi_i(x) is not zero, we have f(C)⊂Uf(C)\subset U and h(f(C))⊂Ch(f(C))\subset C. By Leray-Schauder's theorem (Theorem 2 of III, p. 11), there exists an element x∈Cx\in C such that h(f(x))=xh(f(x)) =x. Put then

a=∑i=1nφi(x)bi a=\sum_{i=1}^n\varphi_i(x)b_i

We have h(a(x))=h(f(x))=xh(a(x)) =h(f(x)) =x and xx is nonzero since 0 does not belong to C, hence the kernel of ha−1Eha-1_E is nonzero.

Let us complete the proof of Theorem 3. Let aa be an element of A such that the kernel T of ha−1Eha-1_E is nonzero (Lemma 1). Let ii denote the canonical injection of T into E. The linear mapping ii is equal to h∘a∘ih\circ a\circ i, and is therefore compact. Hence the dimension of T is finite (Remark 3 of III, p. 2). Let uu be an element of L(E)\mathscr{L}(E) which commutes with A. Since uu commutes with h∘ah\circ a, we have u(T)⊂Tu(T)\subset T. Since T is of nonzero finite dimension over the algebraically closed field C\mathbf{C}, the endomorphism of T induced by uu has an eigenvalue λ\lambda.

Put F = Ker(u−λ1Eu-\lambda 1_E). It is a closed nonzero vector subspace of E; it is stable under A, since uu commutes with the elements of A. By assumption (i), we have F = E, whence u=λ1Eu=\lambda 1_E.

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 C\mathbf{C}.

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 C\mathbf{C} and uu an endomorphism of E. Suppose that there exists a compact endomorphism h≠0h\not = 0 of E permutable with uu. Then there exists a closed vector subspace F of E, distinct from {0}\{0\} and from E, such that u(F)⊂Fu(F)\subset F.

In fact, Corollary 1 shows that the set A={u,h}A =\{u, h\} cannot satisfy assumption (i) of Theorem 3.

Corollary 3 02OT

Let E be a separated locally convex space over the field C\mathbf{C} and uu a compact endomorphism of E. If E is of dimension at least 2, there exists a closed vector subspace F of E, distinct from {0}\{0\} and from E, such that u(F)⊂Fu(F)\subset F.

The case u=0u= 0 is immediate. The case u≠0u\not = 0 follows from Cor. 2 by taking h=uh=u.

6. Approximation spaces

Given locally convex spaces E and F, let us recall (EVT, III, p. 14, Example 2) that Lpc(E;F)\mathscr{L}_{pc}(E; F) denotes the locally convex space obtained by endowing L(E;F)\mathscr{L}(E; F) with the topology of precompact convergence. We also denote by Lpc(E)\mathscr{L}_{pc}(E) the locally convex space Lpc(E;E)\mathscr{L}_{pc}(E; E). When the locally convex space E is separated and quasi-complete (EVT, III, p. 8, def. 6), the topology of precompact convergence on L(E;F)\mathscr{L}(E; F) 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 1E1_E of E is adherent in the space Lpc(E)\mathscr{L}_{pc}(E) to the set Lf(E)\mathscr{L}^f(E) 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 {0}\{0\} 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 E/NE/N. 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 E/NE/N be one.

Remark 3 02OX

Let E be a locally convex space, A an equicontinuous subset of Lf(E)\mathscr{L}^f(E) and T a total subset of E. If 1E1_E is adherent to A for the topology of simple convergence in T, then 1E1_E is adherent to A in Lpc(E)\mathscr{L}_{pc}(E) (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 C\mathbf{C}. Let us denote by E0E_0 the locally convex space over R\mathbf{R} underlying E. In order that E be an approximation space, it is necessary and sufficient that E0E_0 be one. In fact, the condition is necessary; let us prove that it is sufficient. Suppose therefore that E0E_0 is an approximation space. Let C be a precompact subset of E and U a balanced convex neighbourhood of 0 in E. Put C′=C∪iCC'= C\cup iC. There exists a continuous R\mathbf{R}-linear mapping uu of finite rank from E0E_0 into E0E_0 such that x−u(x)x-u(x) belongs to U for every x∈C′x\in C'. Put v(x)=12(u(x)−iu(ix))v(x) =\frac{1}{2}(u(x)-iu(ix)) for every xx in E. Thus one defines a continuous C\mathbf{C}-linear mapping of finite rank from E into E. For every x∈Cx\in C, we have x∈C′,ix∈C′x\in C',ix\in C' and x−v(x)=12(x−u(x))−i2(ix−u(ix))x-v(x) =\frac{1}{2}(x-u(x))-\frac{i}{2}(ix-u(ix)), so that x−v(x)x-v(x) belongs to U. This proves that E is an approximation space.

Remark 5 02OZ

Let E be a locally convex space over R\mathbf{R}. In order that the complexified locally convex space E(C)E_{(\mathbf{C})} 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 E(C)E_{(\mathbf{C})} is isomorphic to E×EE\times E.

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 n⩾1n\geqslant 1 be an integer and (x1,...,xn)(x_1, . . . , x_n) a family of elements of E. Let V denote the vector subspace generated by the xix_i and pVp_V the orthogonal projection with image V. We have pV(xi)=xip_V(x_i) =x_i for 1⩽i⩽n1\leqslant i\leqslant n. It follows that 1E1_E 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.o7^o7 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 n⩾0n\geqslant 0, elements e1,...,ene_1, . . . , e_n of E, and continuous linear forms f1,...,fnf_1, . . . , f_n on E, such that x−∑i=1nfi(x)eix-\sum^n_{i=1}f_i(x)e_i belongs to U for every x∈Cx\in C.

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 {0}(\{0\}(cf. remark 2). Then the set A of the u∈Lf(E)u\in \mathscr{L}^f(E) such that u(E)⊂Pu(E)\subset P is dense in Lf(E)\mathscr{L}^f(E). Since P is separated, every element uu of A is of the form x↦∑i=1nfi(x)eix\mapsto \sum^n_{i=1}f_i(x)e_i, where n∈N,e1,...,enn\in \mathbf{N},e_1, . . . , e_n are elements of E and f1,...,fnf_1, . . . , f_n 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 Lf(E;F)\mathscr{L}^f(E; F) is dense in Lpc(E;F)\mathscr{L}_{pc}(E; F);

b) The set Lf(F;E)\mathscr{L}^f(F; E) is dense in Lpc(F;E)\mathscr{L}_{pc}(F; E);

c) Let S\mathfrak{S} be a set of bounded subsets of F and u∈L(F;E)u\in \mathscr{L}(F; E). Suppose that the image under uu of every subset of F belonging to S\mathfrak{S} is precompact. Then uu is adherent to Lf(F;E)\mathscr{L}^f(F; E) for the S\mathfrak{S}-topology (EVT, III, p. 13).

Let vv be an element of L(E;F)\mathscr{L}(E; F). The mapping φ:w↦v∘w\varphi :w\mapsto v\circ w of Lpc(E)\mathscr{L}_{pc}(E) into Lpc(E;F)\mathscr{L}_{pc}(E; F) is continuous (TG, X, p. 5, prop. 3). We have φ(1E)=v\varphi (1_E) =v and φ(Lf(E))⊂Lf(E;F)\varphi (\mathscr{L}^f(E))\subset \mathscr{L}^f(E; F), therefore vv is adherent to Lf(E;F)\mathscr{L}^f(E; F) in Lpc(E;F)\mathscr{L}_{pc}(E; F). This proves a).

Analogously, under the assumptions of c), the mapping ψ:w↦w∘u\psi :w\mapsto w\circ u of Lpc(E)\mathscr{L}_{pc}(E) into LS(F;E)\mathscr{L}_{\mathfrak{S}}(F; E) is continuous (loc. cit.). We have ψ(1E)=u\psi (1_E) =u and ψ(Lf(E))⊂Lf(F;E)\psi (\mathscr{L}^f(E))\subset \mathscr{L}^f(F; E), therefore uu is adherent to Lf(F;E)\mathscr{L}^f(F; E) in LS(F;E)\mathscr{L}_{\mathfrak{S}}(F; E).

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 Lf(F;E)\mathscr{L}^f(F; E) in the space L(F;E)\mathscr{L}(F; E) 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 i∈Ii\in I, let FiF_i be a locally convex space and vi:E→Fiv_i: E\rightarrow F_i a continuous linear mapping with dense image. Suppose that for every neighbourhood U of 0 in E, there exist i∈Ii\in I and a neighbourhood V of 0 in FiF_i such that vi−1(V)⊂U\overset{-1}{v_{i}}(V)\subset U. If the FiF_i 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 i∈Ii\in I and a continuous semi-norm pp on FiF_i such that U contains (p∘vi)−1([0,1])(p\circ v_i)^{-1}([0,1]). Put F=Fi,v=viF = F_i,v=v_i and B=vB =v(A), and suppose that F is an approximation space. The set B is precompact in F. There therefore exist (lemma 2) an integer n⩾1n\geqslant 1, elements y1,...,yny_1, . . . , y_n of F and continuous linear forms f1,...,fnf_1, . . . , f_n on F, such that one has, for every y∈By\in B,

p(y−∑nfj(y)yj)⩽12 p(y-\sum^nf_j(y)y_j)\leqslant \frac{1}{2}
j=1j=1

Since B is bounded (EVT, III, p. 3, prop. 2), there exists a real number M>0M>0 such that ∣fj(y)∣⩽M|f_j(y)|\leqslant M for every jj such that 1⩽j⩽n1\leqslant j\leqslant n and every y∈By\in B. Moreover, since v(E)v(E) is dense in F, there exists, for each integer jj such that 1⩽j⩽n1\leqslant j\leqslant n, an element xjx_j of E such that p(yj−v(xj))⩽(2nM)−1p(y_j-v(x_j))\leqslant (2nM)^{-1}. The linear mapping

u:x⟼∑j=1nfj(v(x))xj u:x\longmapsto \sum_{j=1}^nf_j(v(x))x_j

belongs to Lf(E)\mathscr{L}^f(E). For every x∈Ax\in A, one has

v(x−u(x))=v(x)−∑j=1nfj(v(x))yj+∑j=1nfj(v(x))(yj−v(xj)) v(x-u(x)) =v(x)-\sum_{j=1}^nf_j(v(x))y_j+\sum_{j=1}^nf_j(v(x))(y_j-v(x_j))

whence p(v(x−u(x)))⩽12+nM2nM=1p(v(x-u(x)))\leqslant \frac{1}{2}+\frac{nM}{2nM}= 1, and therefore x−u(x)∈Ux-u(x)\in U. 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 (Ei)i∈I(E_i)_{i\in I} be a family of approximation spaces. For every finite subset J of I, let us put EJ=∏i∈JEiE_J=\prod_{i\in J}E_i and denote by vJv_J the canonical mapping of E=∏i∈IEiE =\prod_{i\in I}E_i into EJE_J. The locally convex space EJE_J is an approximation space (Remark 1). The corollary then follows from Prop. 12 applied to the locally convex space E, to the family (EJ)(E_J) of locally convex spaces, and to the continuous linear mappings vJ:E→EJv_J: E\rightarrow E_J.

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 P\mathscr{P} be the set of continuous prehilbertian seminorms on E. For each p∈Pp\in \mathscr{P}, the hypothesis implies that the seminormed space EpE_p obtained by endowing E with the seminorm pp is an approximation space (Corollary 2 and Proposition 10), and the identity mapping of E into EpE_p is continuous. The corollary therefore follows from Proposition 12.

Lemma 3 02PA

Let E be a metrisable locally convex space and (xn)n∈N(x_n)_{n\in\mathbf{N}} a sequence of elements of E converging to 0. There exist a sequence (yn)n∈N(y_n)_{n\in\mathbf{N}} of elements of E converging to 0 and a sequence (λn)n∈N(\lambda_n)_{n\in\mathbf{N}} of elements of the interval [0,1][0,1] converging to 0 such that one has xn=λnynx_n=\lambda_ny_n for every n∈Nn\in \mathbf{N}.

Since E is metrisable, there exists a fundamental system (Vm)m∈N(V_m)_{m\in\mathbf{N}} of balanced neighbourhoods of 0 in E such that V0=EV_0= E and 2m+1Vm+1⊂Vm2^{m+1}V_{m+1}\subset V_m for every m⩾0m\geqslant 0. Since (xn)(x_n) converges to 0, there exists a strictly increasing sequence (Nm)m∈N(N_m)_{m\in\mathbf{N}} of integers such that N0=0N_0= 0 and such that, for every m⩾0m\geqslant 0, one has xn∈Vmx_n\in V_m for n⩾Nmn\geqslant N_m. For every integer n⩾0n\geqslant 0, there exists a unique integer m⩾0m\geqslant 0 such that Nm⩽n<Nm+1N_m\leqslant n <N_{m+1}, and one then puts λn=2−m\lambda_n= 2^{-m} and yn=2mxny_n= 2^mx_n. The sequence (λn)(\lambda_n) thus defined converges to 0. Moreover, since yn∈Vmy_n\in V_m for n⩾Nm+1n\geqslant N_{m+1}, the sequence (yn)(y_n) converges to 0 in E. Finally, one has xn=λnynx_n=\lambda_ny_n for every nn.

Recall (EVT, II, p. 28) that if E is a vector space and L a convex balanced subset of E, one denotes by ELE_L 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 ELE_L coincide.

The set A is contained in the closed convex balanced hull of the set of points of a sequence (xn)n∈N(x_n)_{n\in\mathbf{N}} of elements of E converging to 0 (EVT, IV, p. 24, Cor. 1). Let (yn)n∈N(y_n)_{n\in\mathbf{N}} and (λn)n∈N(\lambda_n)_{n\in\mathbf{N}} be sequences satisfying the conclusions of Lemma 3. The closed convex balanced hull L of the points of the sequence (yn)(y_n) contains A and is a compact subset of E (EVT, III, p. 8). Hence ELE_L is a Banach space (EVT, III, p. 8, Cor.). In this Banach space, the norm of xnx_n is majorized by λn\lambda_n, therefore the sequence (xn)(x_n) tends to 0. The closed convex balanced hull A~\widetilde{A} of the sequence (xn)(x_n) in ELE_L is a compact subset of ELE_L (EVT, III, p. 8). Since L is a bounded subset of E, the canonical injection of ELE_L into E is continuous. The topologies induced on A~\widetilde{A} by those of ELE_L and of E coincide, and A~\widetilde{A} is a compact, hence closed, subset of E. Since the set A~\widetilde{A} is convex, balanced, and contains the sequence (xn)(x_n), 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 Lf(F;E)\mathscr{L}^f(F; E) is dense in Lc(F;E)\mathscr{L}^c(F; E) 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 Lf(F;E)\mathscr{L}^f(F; E) for the topology of bounded convergence. Then E is an approximation space.

Let F be a semi-normed space. The closure of Lf(F;E)\mathscr{L}^f(F; E) in L(F;E)\mathscr{L}(F; E) is contained in Lc(F;E)\mathscr{L}^c(F; E) (Prop. 1 and 2 of III, p. 4). It is equal to Lc(F;E)\mathscr{L}^c(F; E) if E is an approximation space by Cor. to Prop. 11. This proves assertion a).

Suppose that the hypothesis of b) is satisfied. Let ε>0\varepsilon >0 be a real number. Let A be a compact subset of E and pp 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 ELE_L (Lemma 4). The canonical injection j:EL→Ej: E_L\rightarrow E is compact and ELE_L is a Banach space (TVS, III, p. 8, Cor.). Hence by hypothesis there exist an integer n⩾1n\geqslant 1, elements e1,...,ene_1, . . . , e_n of E, and continuous linear forms ℓ1,...,ℓn\ell_1, . . . , \ell_n on ELE_L, such that the mapping vv of ELE_L into E defined by v(x)=∑i=1nℓi(x)eiv(x) =\sum^n_{i=1}\ell_i(x)e_i satisfies p(x−v(x))⩽ε2p(x-v(x))\leqslant \frac{\varepsilon}{2} for x∈Ax\in A. The image of tj:E′→(EL)′^tj: E'\rightarrow (E_L)' is dense in (EL)′(E_L)' for the weak topology (TVS, IV, p. 6, Prop. 5). On (EL)′(E_L)' the topology of compact convergence is compatible with the duality between (EL)′(E_L)' and ELE_L (TVS, IV, p. 3, Example). Therefore tj(E′)^tj(E') is dense in (EL)′(E_L)' for the topology of compact convergence (TVS, IV, p. 1, Prop. 1), and there exist continuous linear forms f1,...,fnf_1, . . . , f_n on E such that

∣ℓi(x)−fi(x)∣p(ei)⩽ε2n |\ell_i(x)-f_i(x)|p(e_i)\leqslant \frac{\varepsilon}{2n}

for x∈Ax\in A and 1⩽i⩽n1\leqslant i\leqslant n. The endomorphism u:x↦∑i=1nfi(x)eiu:x\mapsto \sum^n_{i=1}f_i(x)e_i of E belong to Lf(E)\mathscr{L}^f(E), and for every x∈Ax\in A, one has

p(x−u(x))⩽p(x−v(x))+p(v(x)−u(x))⩽ε2+n×ε2n=ε p(x-u(x))\leqslant p(x-v(x)) +p(v(x)-u(x))\leqslant \frac{\varepsilon}{2}+n\times \frac{\varepsilon}{2n}=\varepsilon

It follows from this that 1E1_E belong to the closure of Lf(E)\mathscr{L}^f(E) 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 C0(X;K)\mathscr{C}_0(X; K), or simply C0\mathscr{C}_0(X), the Banach space of continuous mappings from X into K tending to 0 at infinity, endowed with the norm defined by ∥f∥=\|f\|= supx∈X∣f(x)∣_{x\in X}|f(x)| for f∈C0(X)f\in \mathscr{C}_0(X). When X is compact, this space coincides with the space C(X)\mathscr{C}(X) of continuous mappings from X into K.

Lemma 5 02PD

Let X be a compact topological space, F a finite subset of C(X)\mathscr{C}(X) and ε>0\varepsilon >0 a real number.

There exist a finite subset X0⊂XX_0\subset X and a linear mapping u:C(X0)→C(X)u:\mathscr{C}(X_0)\rightarrow \mathscr{C}(X) of norm ⩽1\leqslant 1 such that ∥u(f∣X0)−f∥⩽ε\|u(f|X_0)-f\|\leqslant \varepsilon for every f∈Ff\in F.

Since the set F is an equicontinuous subset of C\mathscr{C} (X), there exists a finite covering (Ui)i∈I(U_i)_{i\in I} of X such that, for every i∈Ii\in I and every f∈Ff\in F, the diameter of f(Ui)f(U_i) is ⩽ε\leqslant \varepsilon. For ii in I, choose a point xix_i of UiU_i, and denote by X0X_0 the finite set of the xix_i for i∈Ii\in I.

Let (φi)i∈I(\varphi_i)_{i\in I} be a continuous partition of unity subordinate to (Ui)i∈I(U_i)_{i\in I} (TG, IX, p. 47, th. 3). Define a linear mapping uu of C(X0)\mathscr{C}(X_0) into C(X)\mathscr{C}(X) by putting

u(g)=∑i∈Ig(xi)φi u(g) =\sum_{i\in I}g(x_i)\varphi_i

for every g∈C(X0)g\in \mathscr{C}(X_0). The linear mapping uu has norm ⩽1\leqslant 1 and satisfies ∥u(f∣X0)−f∥⩽ε\|u(f|X_0)-f\|\leqslant \varepsilon for every ff in F, whence the assertion.

Proposition 13 02PE

Let X be a locally compact topological space. The Banach space C0(X)\mathscr{C}_0(X) is an approximation space.

Suppose first that X is compact. Let A⊂Lf(C(X))A\subset \mathscr{L}^f(\mathscr{C}(X)) be the set of mappings of the form f↦u(f∣X0)f\mapsto u(f|X_0), where X0X_0 is a finite subset of X and u:C(X0)→C(X)u:\mathscr{C}(X_0)\rightarrow \mathscr{C}(X) is a linear mapping of norm ⩽1\leqslant 1. The set A is equicontinuous. By Lemma 5, the identity mapping of C(X)\mathscr{C}(X) belongs to the closure of A for the topology of simple convergence on C(X)\mathscr{C}(X). 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 ω\omega the point at infinity of Y (TG, I, p. 67). Identify C0(X)\mathscr{C}_0(X) with the set of elements of C(Y)\mathscr{C}(Y) vanishing at ω\omega. Then C(Y)\mathscr{C}(Y) is the topological direct sum of C0(X)\mathscr{C}_0(X) and the vector space of constant mappings on Y. Since C(Y)\mathscr{C}(Y) is an approximation space by what precedes, the space C0(X)\mathscr{C}_0(X) 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 L(E)\mathscr{L}(E) does not have the approximation property (A. Szankowski, B(H)\mathscr{B}(H) 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 μ\mu be a positive measure on X and p∈[1,+∞[p\in [1,+\infty [. Let F be a finite subset of LKp(X,μ)L^p_K(X, \mu) and ε>0\varepsilon >0 a real number.

There exists a finite-rank projector uu of LKp(X,μ)L^p_K(X, \mu) of norm ⩽1\leqslant 1 such that ∥u(f)−f∥⩽ε\|u(f)-f\|\leqslant \varepsilon for every ff in F.

Let P\mathscr{P} be the set of finite partitions π=(K1,...,Kn,H)\pi = (K_1, . . . ,K_n,H) of X, where n⩾1n\geqslant 1 is an integer and K1,...,KnK_1, . . . ,K_n are integrable subsets of non-zero measure of X. For every partition π=(K1,...,Kn,H)∈P\pi = (K_1, . . . ,K_n,H)\in \mathscr{P}, one defines an endomorphism vπv_{\pi} of Lp(X,μ)\mathscr{L}^p(X, \mu) by putting

vπ(f)=∑n1μ(Ki)(∫Kifdμ)φKi v_{\pi}(f) =\sum^n\frac{1}{\mu(K_i)}(\int_{K_i}f d\mu)\varphi_{K_i}
i=1i=1

for f∈LKp(X,μ)f\in \mathscr{L}_K^p(X, \mu), where φKi\varphi_{K_i} is the characteristic function of KiK_i. The mapping vπv_{\pi} induces, on passing to quotients, a projector uπu_{\pi} of LKp(X,μ)L^p_K(X, \mu). It is easily verified that the image of uπu_{\pi} is the space of classes of functions f∈LKp(X,μ)f\in \mathscr{L}_K^p(X, \mu) such that ff vanishes on H and is constant on KiK_i for 1⩽i⩽n1\leqslant i\leqslant n.

Let us prove that ∥uπ∥⩽1\|u_{\pi}\|\leqslant 1. For f∈LKp(X,μ)f\in \mathscr{L}_K^p(X, \mu), one has

∥uπ(f)∥pp=∑i=1nμ(Ki)1−p∣∫Kifdμ∣p \|u_{\pi}(f)\|^p_p=\sum_{i=1}^n\mu(K_i)^{1-p}|\int_{K_i}f d\mu|^p

By Hölder's inequality (INT, IV, p. 208, § 6, No.o4^o4, Theorem 2), for every ii one has the inequality

∣∫Kifdμ∣p⩽μ(Ki)p−1∫Ki∣f∣pdμ |\int_{K_i}f d\mu|^p\leqslant \mu(K_i)^{p-1}\int_{K_i}|f|^pd\mu

whence ∥uπ(f)∥p⩽∥f∥p\|u_{\pi}(f)\|_p\leqslant \|f\|_p.

Let E\mathscr{E} be the set of classes in LKp(X,μ)L^p_K(X, \mu) of integrable functions on X taking only a finite number of values. Since E\mathscr{E} is dense in LKp(X,μ)L^p_K(X, \mu) (INT, IV, p. 162, §4, No.o10^o10, Corollary 1), there exists a finite set F′F' of E\mathscr{E} such that every element of F is at distance at most ε\varepsilon from an element of F′F'. On considering the finite partition π\pi formed by the sets of non-zero measure on which the mapping x↦(f(x))f∈F′x\mapsto (f(x))_{f\in F'} takes a given value, one sees that there exists an element π\pi of P\mathscr{P} such that uπ(f)=fu_{\pi}(f) =f for every ff in F′F'. The projector uπu_{\pi} therefore has the required properties.

Proposition 14 02PI

Let X be a locally compact topological space, μ\mu a positive measure on X, and p∈[1,+∞]p\in [1,+\infty ]. The space LKp(X,μ)L^p_K(X, \mu) is an approximation space.

If p=+∞p= +\infty, then the space LC∞(X,μ)L^{\infty}_{\mathbf{C}}(X, \mu) 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 LR∞(X,μ)L^{\infty}_{\mathbf{R}}(X, \mu) by Remark 5 of III, p. 15.

Suppose that pp is finite. Let A⊂Lf(LKp(X,μ))A\subset \mathscr{L}^f(L^p_K(X, \mu)) be the set of projectors of finite rank and norm ⩽1\leqslant 1. By Lemma 6, the identity mapping of LKp(X,μ)L^p_K(X, \mu) 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 x↦∣x∣x\mapsto |x|. We also denote by G⊂R+∗G\subset \mathbf{R}^*_+ the image of K∗K^* under the mapping x↦∣x∣x\mapsto |x|. The Banach spaces considered are Banach spaces over K.

See the exercises for § 1.

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