§ 10. The automorphism group of a Lie group
In this paragraph, K is assumed to be of characteristic zero.
1. Infinitesimal automorphisms
Lemma 1
Let G be a Lie group and a vector field on G. For all , let
Condition (i) means that, for all in G, we have in the group T(G):
Definition 1
Let G be a Lie group. An infinitesimal automorphism of G is any analytic vector field on G satisfying the conditions of Lemma 1.
Lemma 2
Let be a non-discrete closed subfield of K, A a -manifold, B and C -manifolds and a -analytic mapping of into C. Suppose that, for all
LIE GROUPS
, the mapping of B into C is K-*analytic*. Then, for all , the mapping of TB into TC is K-*analytic*.
We fix and write . Clearly is K'-analytic. By Differentiable and Analytic Manifolds, R, 5.14.6, it suffices to prove that the tangent mappings to are K-linear. It can be assumed that A, B, C are open neighbourhoods of 0 in complete normable spaces E, F, G over K', K, K and that is tangent to A at 0. We identify TA, TB, TC, with and with an element of E. Then for all .
We identify with and with . Then, for all
, where
We now fix . We need to prove that the mapping of into is K-linear. As the mapping of B into C is K-analytic, the mappings
are K-linear. On the other hand
and, for fixed , the mapping is K-analytic, so that the mapping is K-linear.
Proposition 1
Let* K' be a non-discrete closed subfield of K, G a Lie group over K, V a manifold over K' and a K'-*analytic mapping of* V G into G. Suppose that, for all , the mapping of G into G is an automorphism of G. Let be an element of V such that for all and . Then the vector field on G is an infinitesimal automorphism of G.
For . Hence, for (§ 2, no. 1, Proposition 3). In particular, the mapping of G into TG is a group homomorphism. On the other hand, this mapping is analytic by Lemma 2.
Proposition 2
Let* G be a real or complex Lie group and *an infinitesimal automorphism of G. There exists a law of analytic operation of K on G with the following properties: (1) if D is the associated law of infinitesimal operation, then ; (2) for all , . (a) For all , let be the open ball of centre 0 and radius in K. For all , let be the set of analytic integral curves of defined in a ball and such that . By Differentiable and Analytic Manifolds, R, 9.1.3 and 9.1.5, is non-empty and two elements of coincide on the intersection of their domains of definition; let be the least upper bound of the numbers such that there exists an element of defined in ; there exists a unique element of defined in ; we denote it by . (b) Let be in G, with and defined on the same ball . Then is analytic and . On the other hand, for all ,
and hence . This proves that . (c) By Differentiable and Analytic Manifolds, R, 9.1.4 and 9.1.5, there exists a neighbourhood V of e in G such that . Let and C be its connected component. For all , by (b). On the other hand, the functions , where , take their values in C. By Differentiable and Analytic Manifolds, R, 9.1.4 and 9.1.5, in C and finally in G. Then let for all and all . By Differentiable and Analytic Manifolds, R, 9.1.4 and 9.1.5, the mapping is a law of analytic operation of K on G. Clearly, if D is the associated law of infinitesimal operation, . By (b),
for all .
Proposition 3
Suppose that K is ultrametric. Let G be a compact Lie group and an infinitesimal automorphism of G. There exist an open subgroup I of K and a law of analytic operation of I on G with the following properties: (1) if D is the associated law of infinitesimal operation, then ; (2) for all . As G is compact, there exist an open subgroup I' of K and a law of analytic operation of I' on G with property (1) of the proposition (§ 4, no. 7, Corollary 2 to Theorem 6). We write for and . Then, for in and ,
and . Hence for
in a neighbourhood of (Differentiable and Analytic Manifolds, R, 9.1.8). As is compact, there exists an open subgroup of such that for all . In other words, for .
Lemma 3
Let and be Lie groups and a homomorphism of into . Let for . Consider the following conditions: (i) is analytic; (ii) is analytic in a neighbourhood of ; (iii) for all , the mapping is analytic. Then (i) ((ii) and (iii)). If is connected, (i) (ii). Clearly (i) implies (ii) and (iii). Let . For all ,
This proves the implication ((ii) and (iii)) (i). Finally, if is connected, is generated by every neighbourhood of and hence (ii) (iii).
2. The automorphism group of a Lie group (real or complex case)
In this no., we assume that or .
Lemma 4
Let be a finite-dimensional simply connected Lie group. (i) For all , let be the unique automorphism of such that . Then the mapping of into is analytic. (ii) Let be a Lie subgroup of and the set of such that . Then is a Lie subgroup of . (iii) Suppose that is discrete and normal, so that the Lie algebra of is identified with . For all , let be the unique automorphism of such that . Then the mapping is an isomorphism of the group onto the group . To prove (i), it suffices, by Lemma 3 of no. 1, to verify that the mapping is analytic in a neighbourhood of . There exists an open neighbourhood B of 0 in such that is an analytic isomorphism of B onto an open neighbourhood of e in H. There exist an open neighbourhood U of in Aut and an open neighbourhood of 0 in such that . Then the mapping of into H is composed of the following mappings:
the mapping of into ; the mapping of into ; the mapping of into .
Hence this mapping is analytic.
Let be the canonical mapping of H into the homogeneous space . Then is the set of such that
Suppose that N is discrete and normal. Let . Then
Let G be a locally compact group and the automorphism group of G. Recall that a topology has been defined on (General Topology, Chapter X, § 3, no. 5). It is the coarsest topology for which the mappings and of into (space of continuous mappings of G into G with the compact convergence topology) are continuous. The topology is compatible with the group structure on (loc. cit.). For every compact subset L of G and every neighbourhood U of in G, let be the set of such that and for all ; then the form a fundamental system of neighbourhoods of . If G is generated by a compact subset C, the topology is also the coarsest topology for which the mappings and of into are continuous (for every compact subset of G is contained in for sufficiently large n). If K is locally compact and V is a finite-dimensional vector space over K, the topology on is just the usual topology.
Theorem 1
Let G be a finite-dimensional Lie group and its identity component. Suppose that G is generated by and a finite number of elements.
(i) There exists on one and only one analytic manifold structure satisfying the following condition: (AUT) for every analytic manifold M and every mapping f of M into , f is analytic if and only if the mapping of into G is analytic.
Suppose in the rest of the statement that Aut G has this structure. (ii) Aut G is a finite-dimensional Lie group. (iii) The morphism of Aut G into Aut L(G) is analytic. (iv) If G is connected, is an isomorphism of the Lie group Aut G onto a Lie subgroup of Aut L(G); this Lie subgroup is equal to Aut L(G) if G is simply connected. (v) Let be the set of infinitesimal automorphisms of G. Then is a Lie algebra of vector fields and the law of infinitesimal operation associated with the mapping of (Aut G) G into G is an isomorphism of L(Aut G) onto . (vi) The topology of the Lie group Aut G is the topology . (a) The uniqueness of the analytic structure considered in (i) is obvious. (b) Suppose that G is connected. Let H be the universal covering space of G, the canonical morphism of H onto G and N = Ker . We introduce the notation , and Aut(H, N) of Lemma 4. We transport the Lie group structure of Aut L(G) to Aut H by means of . Then Aut H becomes a finite-dimensional Lie group and Aut(H, N) a Lie subgroup of Aut H (Lemma 4 (ii)). We transport the Lie group structure of Aut(H, N) to Aut G by means of . Then Aut G becomes a finite-dimensional Lie group. Properties (ii), (iii) and (iv) of the theorem are satisfied and the mapping of (Aut G) G into G is analytic (Lemma 4 (i)). Let M be an analytic manifold, a mapping of M into Aut G and the mapping of M G into G. Clearly, if is analytic, is analytic. Suppose that is analytic. Then the T: TM TG TG is analytic; its restriction to M L(G), that is the mapping of M L(G) into L(G) is therefore analytic; as L(G) is finite-dimensional, it follows that the mapping of M into Aut L(G) is analytic and hence that is analytic. Thus (i) holds.
Let L(G) be given a norm. For all , let B_\lambda be the open ball of centre 0 and radius in L(G). We choose sufficiently small for to be an isomorphism of the analytic manifold B_\lambda onto the open submanifold of G. Let be a filter on Aut G. For to converge to in Aut G, it is necessary and sufficient that converge to in Aut L(G) and hence that and converge uniformly to . This condition implies that and converge uniformly to . Conversely, suppose that converges uniformly to . There exists M such that, if , then ; then L(u)(B_{\lambda/2}) is a connected subset of L(G) whose image under is contained in , hence L(u)(B_{\lambda/2}) does not meet and therefore L(u)(B_{\lambda/2}) B_\lambda; then the hypothesis that converges uniformly to implies that converges uniformly to . It then follows that:
This proves (vi).
Let D be the law of infinitesimal operation associated with the law of left operation of Aut(G) on G. By Propositions 1 and 2 of no. 1, . Hence a is a Lie algebra of vector fields and D is a morphism of onto a. Let and be elements of such that . Then the laws of operation and of K on G have the same associated law of infinitesimal operation; hence, for sufficiently small, and coincide on a neighbourhood of e (, no. 7, Theorem 6), whence . It follows that and hence D is an isomorphism of onto a.
The theorem has thus been completely proved for G connected.
(c) We pass to the general case. By hypothesis, G is generated by and a finite number of elements . Every leaves stable. Let be the set of which, on passing to the quotient, give the identity automorphism of . This is a normal subgroup of . By part (b) of the proof, has a canonical Lie group structure and the mapping of into is analytic. Let P be the corresponding semidirect product of by ; it is a finite-dimensional Lie group (, no. 4, Proposition 7).
If , we write
We show that is closed in P. Let be a filter on such that converges to a point of P. Then converges pointwise to a mapping v of G into G. Clearly v is an endomorphism of the group G. Moreover, v leaves each coset modulo stable and . It follows that . As , we have shown that is closed in P.
(d) In part (d) of the proof we assume that . By , no. 2, Theorem 2, is a Lie subgroup of P. We transport the real Lie group structure on to by means of . Thus becomes a finite-dimensional Lie group.
Let M be an analytic manifold, f a mapping of M into Aut_1G and φ the mapping (m, g) ↦ f(m)g of M × G into G. We have the following equivalences:
f analytic ⇔ the mappings m: ↦ (f(m))_i, where 0 ≤ i ≤ n, are analytic ⇔ {the mappings m ↦ f(m)x_i of M into G, for 1 ≤ i ≤ n, are analytic and the mapping (m, g) ↦ f(m)g of M × G_0 into G is analytic ⇔ φ is analytic.
For w ∈ Aut_1G, L(w) = L(w_0) and hence the morphism w ↦ L(w) of Aut_1G into Aut L(G) is analytic. We see as in (b) that the law of infinitesimal operation associated with the law of operation of Aut_1G on G is an isomorphism of L(Aut_1G) onto a.
Let C be a compact subset of G_0 generating G_0. For a filter Φ to converge to on Aut_1G, it is necessary and sufficient that Φ|(C ∪ {x_1} ∪ ... ∪ {x_n}) and Φ^{-1}|(C ∪ {x_1} ∪ ... ∪ {x_n}) converge uniformly to
Id_a|(C ∪ {x_1} ∪ ... ∪ {x_n}).
The topology of Aut_1G is therefore the topology .
Clearly Aut_1G is open in Aut G with the topology . There exists on Aut G a Lie group structure compatible with this topology and inducing on Aut_1G the structure constructed above (§ 8, no. 1, Corollary 2 to Theorem 1). The fact that the Lie group Aut G has the properties of the theorem follows from the corresponding properties for Aut_1G.
(e) In part (e) of the proof we assume that K = C. By (c) and Theorem 2 of § 8, no. 2, there exists on Aut_1G a real Lie group structure such that ζ is an isomorphism of Aut_1G onto a real Lie subgroup of P.
The law of operation (w, g) ↦ wg of (Aut_1G) × G on G is real analytic. Let D be the associated law of infinitesimal operation. By Propositions 1 and 2 of no. 1, D(L(Aut_1G)) = a.
For all α ∈ a, let α_0 denote the restriction of α to G_0; it is an infinitesimal automorphism of G_0 which we identify, because of part (b) of the proof, with an element of L(Aut G_0). For 1 ≤ i ≤ n, we write
Finally, we write . Then f is a C-linear mapping of a into L(P).
On the other hand, clearly . Hence is a complex vector subspace of L(P). By Proposition 2 of § 4, no. 2, is a complex Lie subgroup of P and we can proceed exactly as in (d): we transport the complex Lie group structure on to Aut_1G by means of and we see as in (d) that Aut_1G has the properties analogous to properties (i), (ii), (iii), (v) and (vi) of the theorem.
Clearly Aut₁G is open in Aut G with the topology . Let . Let be the automorphism of Aut₁G. It is real analytic (, no. 1, Theorem 1), is an -automorphism of and
is an -automorphism of . This automorphism is also the automorphism of derived from by transport of structure; as is K-analytic, we see that is K-linear. Hence is K-analytic (, no. 8, Proposition 32). By , no. 9, Proposition 18, there exists on Aut G one and only one Lie K-group structure such that is an open Lie subgroup of Aut G. The fact that this structure has the properties of the theorem follows from the corresponding properties for .
Corollary 1
Let G be a finite-dimensional real Lie group and its identity component. Suppose that G is generated by and a finite number of elements. Then Aut G has the topology and is a finite-dimensional real Lie group.
Corollary 2
Let G be a semi-simple connected real or complex Lie group. The group Int G is the identity component of Aut G.
The mapping is an isomorphism of Aut G onto a Lie subgroup of Aut (Theorem 1). The image of Int G under this isomorphism is Ad G. But Ad G is the identity component of Aut (, no. 8, Proposition 30 (ii)).
3. The automorphism group of a Lie group (ultrametric case)
Theorem 2
When K is ultrametric and locally compact and G is a compact Lie group, assertions (i), (ii), (iii), (v) and (vi) of Theorem 1 are true.* (a) The uniqueness of the analytic structure considered in (i) is obvious. (b) Suppose that G is the Lie group defined by the normable Lie algebra L. Then G is an open and closed ball in L. Let . Then coincides with in a neighbourhood of 0. Let . Let be the characteristic of the residue field. Then tends to 0 as tends to . There therefore exists such that . Therefore
whence . Thus, .
Let be the set of such that . As G is open and compact in , is an open subgroup of . By the above, Aut G is identified with , whence there is a Lie group structure on Aut G, with which properties (i), (ii), (iii) and (vi) of Theorem 1 are obvious. Property (v) follows from Propositions 1 and 3 of no. 1.
(c) We pass to the general case. By § 7, no. 1, Proposition 1, there exists an open compact subgroup G_0 of G which is of the type considered in (b). Then G is generated by G_0 and a finite number of elements x_1, x_2, ..., x_n. Let Aut_1G be the set of u ∈ Aut G such that u(G_0) = G_0 and u(x_iG_0) = x_iG_0 for 1 ≤ i ≤ n. We define as in the proof of Theorem 1, part (c), a semi-direct product P of Aut G_0 by G_0^n and an injective homomorphism ζ of Aut_1G into P, whose image is closed in P.
(d), (e): the argument is exactly as in parts (d), (e) of the proof of Theorem 1 with R replaced by Q_p and using Proposition 3 instead of Proposition 2.
Remark
If K = Q_p, and the Lie group G is generated by a compact subset (cf. Exercise 2), assertions (i), (ii), (iii) and (vi) of Theorem 1 are still true, but not (v) (Exercise 3).
Exercises
See the exercises for § 10.