Bourbaki

§ 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 α\alpha a vector field on G. For all g∈Gg \in G, let

β(g)=α(g)g−1∈L(G). \beta(g) = \alpha(g)g^{-1} \in L(G).
The following conditions are equivalent: (i) α\alpha is a homomorphism of the group G into the group T(G); (ii) for all g,g′g, g' in G, α(gg′)=α(g)g′+gα(g′)\alpha(gg') = \alpha(g)g' + g\alpha(g'); (iii) for all g,g′g, g' in G, β(gg1)=β(g)+(Ad g)β(g′)\beta(gg_1) = \beta(g) + (\mathrm{Ad}\,g)\beta(g').

Condition (i) means that, for all g,g′g, g' in G, we have in the group T(G):

β(g)gβ(g′)g′=β(gg′)gg′ \beta(g)g\beta(g')g' = \beta(gg')gg'
or
β(g)((Ad g)β(g′))gg′=β(gg′)gg′. \beta(g)((\mathrm{Ad}\,g)\beta(g'))gg' = \beta(gg')gg'.
But the product of β(g)\beta(g) and (Ad g)β(g′)(\mathrm{Ad}\,g)\beta(g') in T(G) is just the sum of β(g)\beta(g) and (Ad g)β(g′)(\mathrm{Ad}\,g)\beta(g') in L(G)L(G) (§ 2, no. 1, Proposition 2). Hence (i) ⇔\Leftrightarrow (iii). On the other hand, condition (ii) may be written β(gg′)gg′=β(g)gg′+gβ(g′)g′\beta(gg')gg' = \beta(g)gg' + g\beta(g')g', or
β(gg′)=β(g)+(Ad g)β(g′) \beta(gg') = \beta(g) + (\mathrm{Ad}\,g)\beta(g')
and hence (ii) ⇔\Leftrightarrow (iii).

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 K′K' be a non-discrete closed subfield of K, A a K′K'-manifold, B and C KK-manifolds and ff a K′K'-analytic mapping of A×BA \times B into C. Suppose that, for all

LIE GROUPS

a∈Aa \in A, the mapping b↦f(a,b)b \mapsto f(a, b) of B into C is K-*analytic*. Then, for all t∈TAt \in TA, the mapping u↦(Tf)(t,u)u \mapsto (Tf)(t, u) of TB into TC is K-*analytic*.

We fix t∈TAt \in TA and write g(u)=(Tf)(t,u)g(u) = (Tf)(t, u). Clearly gg is K'-analytic. By Differentiable and Analytic Manifolds, R, 5.14.6, it suffices to prove that the tangent mappings to gg 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 tt is tangent to A at 0. We identify TA, TB, TC, with A×E,B×F,C×GA \times E, B \times F, C \times G and tt with an element of E. Then for all (x,y)∈TB=B×F(x, y) \in TB = B \times F.

g(x,y)=(f(0,x),(D1f)(0,x)(t)+(D2f)(0,x)(y)). g(x, y) = (f(0, x), (D_1f)(0, x)(t) + (D_2f)(0, x)(y)).

We identify T(B×F)T(B \times F) with (B×F)×(F×F)(B \times F) \times (F \times F) and T(C×G)T(C \times G) with (C×G)×(G×G)(C \times G) \times (G \times G). Then, for all

((x,y),(h,k))∈T(B×F)=(B×F)×(F×F), ((x, y), (h, k)) \in T(B \times F) = (B \times F) \times (F \times F),

(Tg)((x,y),(h,k))=((a,b),(c,d))(Tg)((x, y), (h, k)) = ((a, b), (c, d)), where

a=f(0,x),b=(D1f)(0,x)(t)+(D2f)(0,x)(y),c=(D2f)(0,x)(h),d=(D2D1f)(0,x)(t,h)+(D2D2f)(0,x)(y,h)+(D2f)(0,x)(k). \begin{align*} a &= f(0, x), \\ b &= (D_1f)(0, x)(t) + (D_2f)(0, x)(y), \quad c = (D_2f)(0, x)(h), \\ d &= (D_2D_1f)(0, x)(t, h) + (D_2D_2f)(0, x)(y, h) + (D_2f)(0, x)(k). \end{align*}

We now fix (x,y)∈B×F(x, y) \in B \times F. We need to prove that the mapping (h,k)↦(c,d)(h, k) \mapsto (c, d) of F×FF \times F into G×GG \times G is K-linear. As the mapping x↦f(0,x)x \mapsto f(0, x) of B into C is K-analytic, the mappings

(h,k)↦(D2f)(0,x)(h),(h,k)↦(D2D2f)(0,x)(y,h), (h, k) \mapsto (D_2f)(0, x)(h), \quad (h, k) \mapsto (D_2D_2f)(0, x)(y, h),
(h,k)↦(D2f)(0,x)(k)(h, k) \mapsto (D_2f)(0, x)(k)

are K-linear. On the other hand

(D2D1f)(0,x)(t,h)=lim⁡λ∈K′,λ→0λ−1((D2f)(λt,x)(h)−(D2f)(0,x)(h)) (D_2D_1f)(0, x)(t, h) = \lim_{\lambda \in K', \lambda \to 0} \lambda^{-1}((D_2f)(\lambda t, x)(h) - (D_2f)(0, x)(h))

and, for fixed λ\lambda, the mapping x↦f(λt,x)x \mapsto f(\lambda t, x) is K-analytic, so that the mapping h↦(D2f)(λt,x)(h)h \mapsto (D_2f)(\lambda t, x)(h) 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 (v,g)↦vg(v, g) \mapsto vg a K'-*analytic mapping of* V ×\times G into G. Suppose that, for all v∈Vv \in V, the mapping g↦vgg \mapsto vg of G into G is an automorphism of G. Let ε\varepsilon be an element of V such that εg=g\varepsilon g = g for all g∈Gg \in G and a∈Tε(V)a \in T_\varepsilon(V). Then the vector field g↦agg \mapsto ag on G is an infinitesimal automorphism of G.

For v∈V, g1∈G, g2∈G, v(g1g2)=(vg1)(vg2)v \in V,\ g_1 \in G,\ g_2 \in G,\ v(g_1g_2) = (vg_1)(vg_2). Hence, for u1∈TG, u2∈TG, a(u1u2)=(au1)(au2)u_1 \in TG,\ u_2 \in TG,\ a(u_1u_2) = (au_1)(au_2) (§ 2, no. 1, Proposition 3). In particular, the mapping g↦agg \mapsto ag 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 α\alpha *an infinitesimal automorphism of G. There exists a law of analytic operation (λ,g)↦ϕλ(g)(\lambda, g) \mapsto \phi_\lambda(g) of K on G with the following properties: (1) if D is the associated law of infinitesimal operation, then D(1)=αD(1) = \alpha; (2) for all λ∈K\lambda \in K, ϕλ∈Aut G\phi_\lambda \in \mathrm{Aut}\, G. (a) For all μ>0\mu > 0, let KμK_\mu be the open ball of centre 0 and radius μ\mu in K. For all g∈Gg \in G, let Fg\mathscr{F}_g be the set of analytic integral curves ff of α\alpha defined in a ball KμK_\mu and such that f(0)=gf(0) = g. By Differentiable and Analytic Manifolds, R, 9.1.3 and 9.1.5, Fg\mathscr{F}_g is non-empty and two elements of Fg\mathscr{F}_g coincide on the intersection of their domains of definition; let μ(g)\mu(g) be the least upper bound of the numbers μ\mu such that there exists an element of Fg\mathscr{F}_g defined in KμK_\mu; there exists a unique element of Fg\mathscr{F}_g defined in Kμ(g)K_{\mu(g)}; we denote it by fgf_g. (b) Let g1,g2g_1, g_2 be in G, f1∈Fg1,f2∈Fg2f_1 \in \mathscr{F}_{g_1}, f_2 \in \mathscr{F}_{g_2} with f1f_1 and f2f_2 defined on the same ball KμK_\mu. Then f1f2:Kμ→Gf_1 f_2 : K_\mu \to G is analytic and (f1f2)(0)=g1g2(f_1 f_2)(0) = g_1 g_2. On the other hand, for all λ∈Kμ\lambda \in K_\mu,

(Tλ(f1f2))1=(Tλf1)1⋅f2(λ)+f1(λ)⋅(Tλf2)1(§ 2, Proposition 7) (T_\lambda(f_1 f_2))1 = (T_\lambda f_1)1 \cdot f_2(\lambda) + f_1(\lambda) \cdot (T_\lambda f_2)1 \quad (\S\ 2,\ \text{Proposition 7})
=α(f1(λ))f2(λ)+f1(λ)α(f2(λ)) = \alpha(f_1(\lambda)) f_2(\lambda) + f_1(\lambda) \alpha(f_2(\lambda))
=α((f1f2)(λ))(Lemma 1) = \alpha((f_1 f_2)(\lambda)) \tag{\text{Lemma 1}}

and hence f1f2∈Fg1g2f_1 f_2 \in \mathscr{F}_{g_1 g_2}. This proves that μ(g1g2)≥inf⁡g∈V(μ(g1),μ(g2))\mu(g_1 g_2) \geq \inf_{g \in V} (\mu(g_1), \mu(g_2)). (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 σ=inf⁡g∈Vμ(g)>0\sigma = \inf_{g \in V} \mu(g) > 0. Let h∈Gh \in G and C be its connected component. For all h′∈Ch' \in C, μ(h′)≥inf⁡(σ,μ(h))>0\mu(h') \geq \inf(\sigma, \mu(h)) > 0 by (b). On the other hand, the functions fh′f_{h'}, where h′∈Ch' \in C, take their values in C. By Differentiable and Analytic Manifolds, R, 9.1.4 and 9.1.5, μ=+∞\mu = +\infty in C and finally μ=+∞\mu = +\infty in G. Then let fg(λ)=ϕλ(g)f_g(\lambda) = \phi_\lambda(g) for all g∈Gg \in G and all λ∈K\lambda \in K. By Differentiable and Analytic Manifolds, R, 9.1.4 and 9.1.5, the mapping (λ,g)↦ϕλ(g)(\lambda, g) \mapsto \phi_\lambda(g) is a law of analytic operation of K on G. Clearly, if D is the associated law of infinitesimal operation, D(1)=αD(1) = \alpha. By (b),

ϕλ(g1g2)=ϕλ(g1)ϕλ(g2) \phi_\lambda(g_1 g_2) = \phi_\lambda(g_1) \phi_\lambda(g_2)

for all λ∈K,g1∈G,g1∈G\lambda \in K, g_1 \in G, g_1 \in G.

Proposition 3

Suppose that K is ultrametric. Let G be a compact Lie group and α\alpha an infinitesimal automorphism of G. There exist an open subgroup I of K and a law of analytic operation (λ,g)↦ϕλ(g)(\lambda, g) \mapsto \phi_\lambda(g) of I on G with the following properties: (1) if D is the associated law of infinitesimal operation, then D(1)=αD(1) = \alpha; (2) for all λ∈I,ϕλ∈Aut G\lambda \in I, \phi_\lambda \in \mathrm{Aut}\, G. As G is compact, there exist an open subgroup I' of K and a law of analytic operation (λ,g)↦ϕλ(g)(\lambda, g) \mapsto \phi_\lambda(g) of I' on G with property (1) of the proposition (§ 4, no. 7, Corollary 2 to Theorem 6). We write ϕλ(g)=fg(λ)\phi_\lambda(g) = f_g(\lambda) for λ∈I′\lambda \in I' and g∈Gg \in G. Then, for g1,g2g_1, g_2 in GG and λ∈I′\lambda \in I',

(Tλ(fg1fg2))1=(Tλfg1)1⋅fg2(λ)+fg1(λ)⋅(Tλfg2)1=α(fg1(λ))fg2(λ)+fg1(λ)α(fg2(λ))=α(fg1(λ)fg2(λ)) (T_\lambda(f_{g_1}f_{g_2}))1 = (T_\lambda f_{g_1})1 \cdot f_{g_2}(\lambda) + f_{g_1}(\lambda) \cdot (T_\lambda f_{g_2})1 \\ = \alpha(f_{g_1}(\lambda)) f_{g_2}(\lambda) + f_{g_1}(\lambda) \alpha(f_{g_2}(\lambda)) \\ = \alpha(f_{g_1}(\lambda) f_{g_2}(\lambda))

and (fg1fg2)(0)=g1g2=fg1g2(0)(f_{g_1}f_{g_2})(0) = g_1 g_2 = f_{g_1g_2}(0). Hence fg1′g2′(λ)=fg1′(λ)fg2′(λ)f_{g_1'g_2'}(\lambda) = f_{g_1'}(\lambda) f_{g_2'}(\lambda) for (g1′,g2′,λ)(g_1', g_2', \lambda)

in a neighbourhood of (g1,g2,0)(g_1, g_2, 0) (Differentiable and Analytic Manifolds, R, 9.1.8). As GG is compact, there exists an open subgroup II of I′I' such that fg1g2(λ)=fg1(λ)fg2(λ)f_{g_1g_2}(\lambda) = f_{g_1}(\lambda) f_{g_2}(\lambda) for all g1∈G,g2∈G,λ∈Ig_1 \in G, g_2 \in G, \lambda \in I. In other words, ϕλ∈Aut G\phi_\lambda \in \mathrm{Aut}\, G for λ∈I\lambda \in I.

Lemma 3

Let GG and G′G' be Lie groups and ϕ\phi a homomorphism of GG into Aut(G′)\mathrm{Aut}(G'). Let f(g,g′)=(ϕ(g))(g′)f(g, g') = (\phi(g))(g') for g∈G,g′∈G′g \in G, g' \in G'. Consider the following conditions: (i) ff is analytic; (ii) ff is analytic in a neighbourhood of (eG,eG′)(e_G, e_{G'}); (iii) for all g′∈G′g' \in G', the mapping g↦f(g,g′)g \mapsto f(g, g') is analytic. Then (i) ⇔\Leftrightarrow ((ii) and (iii)). If GG is connected, (i) ⇔\Leftrightarrow (ii). Clearly (i) implies (ii) and (iii). Let g0∈G,g0′∈G′g_0 \in G, g_0' \in G'. For all g∈G,g′∈G′g \in G, g' \in G',

f(gg0,g′g0′)=(ϕ(g)ϕ(g0))(g′g0′)=ϕ(g)(ϕ(g0)g′).ϕ(g)(ϕ(g0)g0′). f(gg_0, g'g_0') = (\phi(g)\phi(g_0))(g'g_0') = \phi(g)(\phi(g_0)g').\phi(g)(\phi(g_0)g_0').

This proves the implication ((ii) and (iii)) ⇒\Rightarrow (i). Finally, if G′G' is connected, G′G' is generated by every neighbourhood of eG′e_{G'} and hence (ii) ⇒\Rightarrow (iii).

2. The automorphism group of a Lie group (real or complex case)

In this no., we assume that K=RK = \mathbf{R} or C\mathbf{C}.

Lemma 4

Let HH be a finite-dimensional simply connected Lie group. (i) For all u∈Aut L(H)u \in \mathrm{Aut}\, L(H), let θ(u)\theta(u) be the unique automorphism of HH such that L(θ(u))=uL(\theta(u)) = u. Then the mapping (u,g)↦θ(u)g(u, g) \mapsto \theta(u)g of (Aut L(H))×H(\mathrm{Aut}\, L(H)) \times H into HH is analytic. (ii) Let NN be a Lie subgroup of HH and Aut(H,N)\mathrm{Aut}(H, N) the set of v∈Aut Hv \in \mathrm{Aut}\, H such that v(N)=Nv(N) = N. Then 0−1(Aut(H,N))0^{-1}(\mathrm{Aut}(H, N)) is a Lie subgroup of Aut L(H)\mathrm{Aut}\, L(H). (iii) Suppose that NN is discrete and normal, so that the Lie algebra of G=H/NG = H/N is identified with L(H)L(H). For all w∈Aut Gw \in \mathrm{Aut}\, G, let η(w)\eta(w) be the unique automorphism of HH such that L(η(w))=L(w)L(\eta(w)) = L(w). Then the mapping η\eta is an isomorphism of the group Aut G\mathrm{Aut}\, G onto the group Aut(H,N)\mathrm{Aut}(H, N). To prove (i), it suffices, by Lemma 3 of no. 1, to verify that the mapping (u,g)↦θ(u)g(u, g) \mapsto \theta(u)g is analytic in a neighbourhood of (IdL(H),e)(\mathrm{Id}_{L(H)}, e). There exists an open neighbourhood B of 0 in L(H)L(H) such that ψ=exp⁡H∣B\psi = \exp_H|B is an analytic isomorphism of B onto an open neighbourhood of e in H. There exist an open neighbourhood U of IdL(H)\mathrm{Id}_{L(H)} in Aut L(H)L(H) and an open neighbourhood B′B' of 0 in L(H)L(H) such that U(B′)⊂BU(B') \subset B. Then the mapping (u,g)↦θ(u)g(u, g) \mapsto \theta(u)g of U×ψ(B′)U \times \psi(B') into H is composed of the following mappings:

the mapping (u,g)↦(u,ψ−1(g))(u, g) \mapsto (u, \psi^{-1}(g)) of U×ψ(B′)U \times \psi(B') into U×B′U \times B'; the mapping (u,x)↦u(x)(u, x) \mapsto u(x) of U×B′U \times B' into BB; the mapping y↦ψ(y)y \mapsto \psi(y) of BB into GG.

Hence this mapping is analytic.

Let pp be the canonical mapping of H into the homogeneous space H/NH/N. Then θ−1(Aut(H,N))\theta^{-1}(\mathrm{Aut}(H, N)) is the set of u∈Aut L(H)u \in \mathrm{Aut}\ L(H) such that

p(θ(u)g)=p(e),p(θ(u−1)g)=p(e) p(\theta(u)g) = p(e), \quad p(\theta(u^{-1})g) = p(e)
for all g∈Ng \in N. By § 8, no. 2, Theorem 2 and Corollary 2 to Theorem 2, this proves (ii).

Suppose that N is discrete and normal. Let w∈Aut Gw \in \mathrm{Aut}\ G. Then

L(p∘η(w))=L(η(w))=L(w)=L(w∘p) L(p \circ \eta(w)) = L(\eta(w)) = L(w) = L(w \circ p)
hence p∘η(w)=w∘pp \circ \eta(w) = w \circ p and therefore η(w)∈Aut(H,N)\eta(w) \in \mathrm{Aut}(H, N). Clearly the mapping η\eta of Aut G\mathrm{Aut}\ G into Aut(H,N)\mathrm{Aut}(H, N) is an injective homomorphism. This homomorphism is surjective because p:H→Gp : H \to G is a submersion.

Let G be a locally compact group and Γ\Gamma the automorphism group of G. Recall that a topology Tβ\mathscr{T}_\beta has been defined on Γ\Gamma (General Topology, Chapter X, § 3, no. 5). It is the coarsest topology for which the mappings v↦vv \mapsto v and v↦v−1v \mapsto v^{-1} of Γ\Gamma into Cc(G;G)C_c(G; G) (space of continuous mappings of G into G with the compact convergence topology) are continuous. The topology Tβ\mathscr{T}_\beta is compatible with the group structure on Γ\Gamma (loc. cit.). For every compact subset L of G and every neighbourhood U of eGe_G in G, let N(L,U)N(L, U) be the set of ϕ∈Γ\phi \in \Gamma such that ϕ(g)∈gU\phi(g) \in gU and ϕ−1(g)∈gU\phi^{-1}(g) \in gU for all g∈Lg \in L; then the N(L,U)N(L, U) form a fundamental system of neighbourhoods of eΓe_\Gamma. If G is generated by a compact subset C, the topology Tβ\mathscr{T}_\beta is also the coarsest topology for which the mappings v↦v∣Cv \mapsto v|C and v↦v−1∣Cv \mapsto v^{-1}|C of Γ\Gamma into Cu(C;G)C_u(C; G) are continuous (for every compact subset of G is contained in (C∪C−1)n(C \cup C^{-1})^n for sufficiently large n). If K is locally compact and V is a finite-dimensional vector space over K, the topology Tβ\mathscr{T}_\beta on GL(V)\mathbf{GL}(V) is just the usual topology.

Theorem 1

Let G be a finite-dimensional Lie group and G0G_0 its identity component. Suppose that G is generated by G0G_0 and a finite number of elements.

(i) There exists on Aut G\mathrm{Aut}\ G one and only one analytic manifold structure satisfying the following condition: (AUT) for every analytic manifold M and every mapping f of M into Aut G\mathrm{Aut}\ G, f is analytic if and only if the mapping (m,g)↦f(m)g(m, g) \mapsto f(m)g of M×GM \times G 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 ϕ:u↦L(u)\phi : u \mapsto L(u) of Aut G into Aut L(G) is analytic. (iv) If G is connected, ϕ\phi 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 aa be the set of infinitesimal automorphisms of G. Then aa is a Lie algebra of vector fields and the law of infinitesimal operation associated with the mapping (u,g)↦u(g)(u, g) \mapsto u(g) of (Aut G) ×\times G into G is an isomorphism of L(Aut G) onto aa. (vi) The topology of the Lie group Aut G is the topology Tβ\mathscr{T}_\beta. (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, pp the canonical morphism of H onto G and N = Ker pp. We introduce the notation θ\theta, η\eta and Aut(H, N) of Lemma 4. We transport the Lie group structure of Aut L(G) to Aut H by means of θ\theta. 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 η−1\eta^{-1}. Then Aut G becomes a finite-dimensional Lie group. Properties (ii), (iii) and (iv) of the theorem are satisfied and the mapping (u,g)↦u(g)(u, g) \mapsto u(g) of (Aut G) ×\times G into G is analytic (Lemma 4 (i)). Let M be an analytic manifold, ff a mapping of M into Aut G and ϕ\phi the mapping (m,g)↦f(m)g(m, g) \mapsto f(m)g of M ×\times G into G. Clearly, if ff is analytic, ϕ\phi is analytic. Suppose that ϕ\phi is analytic. Then the Tϕ\phi: TM ×\times TG →\to TG is analytic; its restriction to M ×\times L(G), that is the mapping (m,x)↦L(f(m))x(m, x) \mapsto L(f(m))x of M ×\times L(G) into L(G) is therefore analytic; as L(G) is finite-dimensional, it follows that the mapping m↦L(f(m))m \mapsto L(f(m)) of M into Aut L(G) is analytic and hence that ff is analytic. Thus (i) holds.

Let L(G) be given a norm. For all λ>0\lambda > 0, let B_\lambda be the open ball of centre 0 and radius λ\lambda in L(G). We choose λ>0\lambda > 0 sufficiently small for ψ=exp⁡G∣Bλ\psi = \exp_G|_{B_\lambda} to be an isomorphism of the analytic manifold B_\lambda onto the open submanifold ψ(Bλ)\psi(B_\lambda) of G. Let Φ\Phi be a filter on Aut G. For Φ\Phi to converge to IdG\mathrm{Id}_G in Aut G, it is necessary and sufficient that L(Φ)L(\Phi) converge to IdL(G)\mathrm{Id}_{L(G)} in Aut L(G) and hence that L(Φ)∣Bλ/2L(\Phi)|_{B_{\lambda/2}} and L(Φ)−1∣Bλ/2L(\Phi)^{-1}|_{B_{\lambda/2}} converge uniformly to IdBλ/2\mathrm{Id}_{B_{\lambda/2}}. This condition implies that Φ∣ψ(Bλ/2)\Phi|\psi(B_{\lambda/2}) and Φ−1∣ψ(Bλ/2)\Phi^{-1}|\psi(B_{\lambda/2}) converge uniformly to Idψ(Bλ/2)\mathrm{Id}_{\psi(B_{\lambda/2})}. Conversely, suppose that Φ∣ψ(Bλ/2)\Phi|\psi(B_{\lambda/2}) converges uniformly to Idψ(Bλ/2)\mathrm{Id}_{\psi(B_{\lambda/2})}. There exists M ∈Φ\in \Phi such that, if u∈Mu \in M, then u(ψ(Bλ/2))⊂ψ(B2λ/3)u(\psi(B_{\lambda/2})) \subset \psi(B_{2\lambda/3}); then L(u)(B_{\lambda/2}) is a connected subset of L(G) whose image under exp⁡G\exp_G is contained in ψ(B2λ/3)\psi(B_{2\lambda/3}), hence L(u)(B_{\lambda/2}) does not meet Bλ−B2λ/3B_\lambda - B_{2\lambda/3} and therefore L(u)(B_{\lambda/2}) ⊂\subset B_\lambda; then the hypothesis that Φ∣ψ(Bλ/2)\Phi|\psi(B_{\lambda/2}) converges uniformly to Idψ(Bλ/2)\mathrm{Id}_{\psi(B_{\lambda/2})} implies that L(Φ)∣Bλ/2L(\Phi)|_{B_{\lambda/2}} converges uniformly to IdBλ/2\mathrm{Id}_{B_{\lambda/2}}. It then follows that:

(Φ converges to IdG in Aut G)  ⟺  (Φ converges to IdG under Tβ). (\Phi \text{ converges to } \mathrm{Id}_G \text{ in Aut } G) \iff (\Phi \text{ converges to } \mathrm{Id}_G \text{ under } \mathscr{T}_\beta).

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, D(L(Aut G))=aD(L(\text{Aut } G)) = a. Hence a is a Lie algebra of vector fields and D is a morphism of L(Aut G)L(\text{Aut } G) onto a. Let x1x_1 and x2x_2 be elements of L(Aut G)L(\text{Aut } G) such that D(x1)=D(x2)D(x_1) = D(x_2). Then the laws of operation (λ,g)↦(exp⁡λx1)g(\lambda, g) \mapsto (\exp \lambda x_1)g and (λ,g)↦(exp⁡λx2)g(\lambda, g) \mapsto (\exp \lambda x_2)g of K on G have the same associated law of infinitesimal operation; hence, for ∣λ∣|\lambda| sufficiently small, exp⁡λx1\exp \lambda x_1 and exp⁡λx2\exp \lambda x_2 coincide on a neighbourhood of e (§4§ 4, no. 7, Theorem 6), whence exp⁡λx1=exp⁡λx2\exp \lambda x_1 = \exp \lambda x_2. It follows that x1=x2x_1 = x_2 and hence D is an isomorphism of L(Aut G)L(\text{Aut } G) 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 G0G_0 and a finite number of elements x1,x2,…,xnx_1, x_2, \ldots, x_n. Every u∈Aut Gu \in \text{Aut } G leaves G0G_0 stable. Let Aut1G\text{Aut}_1 G be the set of u∈Aut Gu \in \text{Aut } G which, on passing to the quotient, give the identity automorphism of G/G0G/G_0. This is a normal subgroup of Aut G\text{Aut } G. By part (b) of the proof, Aut G0\text{Aut } G_0 has a canonical Lie group structure and the mapping (g1,g2,…,gn,u)↦(ug1,ug2,…,ugn)(g_1, g_2, \ldots, g_n, u) \mapsto (ug_1, ug_2, \ldots, ug_n) of G0n×Aut G0G_0^n \times \text{Aut } G_0 into G0nG_0^n is analytic. Let P be the corresponding semidirect product of Aut G0\text{Aut } G_0 by G0nG_0^n; it is a finite-dimensional Lie group (§1§ 1, no. 4, Proposition 7).

If w∈Aut1Gw \in \text{Aut}_1 G, we write

w0=w∣G0∈Aut G0wi=xi−1w(xi)∈G0(1≤i≤n)ζ(w)=((w1,…,wn),w0)∈P. w_0 = w|G_0 \in \text{Aut } G_0 \\ w_i = x_i^{-1}w(x_i) \in G_0 \quad (1 \leq i \leq n) \\ \zeta(w) = ((w_1, \ldots, w_n), w_0) \in P.
For all w,w′w, w' in Aut1G\text{Aut}_1 G,
ζ(w)ζ(w′)=((w1,…,wn)(w0(w1′),…,w0(wn′)),w0w0′)=((w1w0(w1′),…,wnw0(wn′)),w0w0′)=((x−1w(x1)w(x1−1w′(x1)),…,xn−1w(xn)w(xn−1w′(xn))),w0w0′)=(((ww′)1,…,(ww′)n),(ww′)0)=ζ(ww′) \begin{align*} \zeta(w)\zeta(w') &= ((w_1, \ldots, w_n)(w_0(w'_1), \ldots, w_0(w'_n)), w_0w'_0) \\ &= ((w_1w_0(w'_1), \ldots, w_nw_0(w'_n)), w_0w'_0) \\ &= ((x^{-1}w(x_1)w(x_1^{-1}w'(x_1)), \ldots, x_n^{-1}w(x_n)w(x_n^{-1}w'(x_n))), w_0w'_0) \\ &= (((ww')_1, \ldots, (ww')_n), (ww')_0) \\ &= \zeta(ww') \end{align*}
and hence ζ\zeta is a homomorphism of Aut1G\text{Aut}_1 G into P. This homomorphism is obviously injective.

We show that ζ(Aut1G)\zeta(\text{Aut}_1 G) is closed in P. Let Φ\Phi be a filter on Aut1G\text{Aut}_1 G such that ζ(Φ)\zeta(\Phi) converges to a point ((w1,…,wn),w0)((w_1, \ldots, w_n), w_0) of P. Then Φ\Phi 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 G0G_0 stable and v∣G0=w0v|G_0 = w_0. It follows that v∈Aut1Gv \in \text{Aut}_1 G. As ζ(v)=((w1,…,wn),w0)\zeta(v) = ((w_1, \ldots, w_n), w_0), we have shown that ζ(Aut1G)\zeta(\text{Aut}_1 G) is closed in P.

(d) In part (d) of the proof we assume that K=RK = \mathbf{R}. By §8§ 8, no. 2, Theorem 2, ζ(Aut1G)\zeta(\text{Aut}_1 G) is a Lie subgroup of P. We transport the real Lie group structure on ζ(Aut1G)\zeta(\text{Aut}_1 G) to Aut1G\text{Aut}_1 G by means of ζ−1\zeta^{-1}. Thus Aut1G\text{Aut}_1 G 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 IdG\mathrm{Id}_G 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 Tβ\mathscr{T}_\beta.

Clearly Aut_1G is open in Aut G with the topology Tβ\mathscr{T}_\beta. 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

αi=xi−1α(xi)∈L(G)=L(G0). \alpha_i = x_i^{-1} \alpha(x_i) \in L(G) = L(G_0).

Finally, we write f(α)=((α1,...,αn),α0)∈L(P)f(\alpha) = ((\alpha_1, ..., \alpha_n), \alpha_0) \in L(P). Then f is a C-linear mapping of a into L(P).

On the other hand, clearly L(ζ)=f∘DL(\zeta) = f \circ D. Hence L(ζ)(L(Aut1G))=f(a)L(\zeta)(L(Aut_1G)) = f(a) is a complex vector subspace of L(P). By Proposition 2 of § 4, no. 2, ζ(Aut1G)\zeta(Aut_1G) is a complex Lie subgroup of P and we can proceed exactly as in (d): we transport the complex Lie group structure on ζ(Aut1G)\zeta(Aut_1G) to Aut_1G by means of ζ−1\zeta^{-1} 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 Tβ\mathscr{T}_\beta. Let w∈Aut Gw \in \mathrm{Aut}\ G. Let σ\sigma be the automorphism v↦wvw−1v \mapsto wvw^{-1} of Aut₁G. It is real analytic (§8§ 8, no. 1, Theorem 1), L(σ)L(\sigma) is an R\mathbf{R}-automorphism of L(Aut1G)L(\mathrm{Aut}_1 G) and

D∘L(Aut1G)∘D−1 D \circ L(\mathrm{Aut}_1 G) \circ D^{-1}

is an R\mathbf{R}-automorphism of aa. This automorphism is also the automorphism of aa derived from ww by transport of structure; as ww is K-analytic, we see that L(σ)L(\sigma) is K-linear. Hence σ\sigma is K-analytic (§3§ 3, no. 8, Proposition 32). By §1§ 1, no. 9, Proposition 18, there exists on Aut G one and only one Lie K-group structure such that Aut1G\mathrm{Aut}_1 G 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 Aut1G\mathrm{Aut}_1 G.

Corollary 1

Let G be a finite-dimensional real Lie group and G0G_0 its identity component. Suppose that G is generated by G0G_0 and a finite number of elements. Then Aut G has the topology Tβ\mathscr{T}_\beta 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 u↦L(u)u \mapsto L(u) is an isomorphism of Aut G onto a Lie subgroup of Aut L(G)L(G) (Theorem 1). The image of Int G under this isomorphism is Ad G. But Ad G is the identity component of Aut L(G)L(G) (§9§ 9, 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 w∈Aut Gw \in \mathrm{Aut}\ G. Then L(w)L(w) coincides with ww in a neighbourhood of 0. Let x∈Gx \in G. Let pp be the characteristic of the residue field. Then pnxp^n x tends to 0 as nn tends to +∞+\infty. There therefore exists nn such that w(pnx)=L(w)(pnx)w(p^n x) = L(w)(p^n x). Therefore

pnw(x)=w(x)pn=w(xpn)=w(pnx)=L(w)(pnx)=pnL(w)(x) p^n w(x) = w(x)^{p^n} = w(x^{p^n}) = w(p^n x) = L(w)(p^n x) = p^n L(w)(x)

whence w(x)=L(w)(x)w(x) = L(w)(x). Thus, w=L(w)∣Gw = L(w)|G.

Let Γ\Gamma be the set of γ∈Aut L(G)\gamma \in \mathrm{Aut}\ L(G) such that γ(G)=G\gamma(G) = G. As G is open and compact in L(G)L(G), Γ\Gamma is an open subgroup of Aut L(G)\mathrm{Aut}\ L(G). By the above, Aut G is identified with Γ\Gamma, 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.

Transcribed from the printed volume. Not translated.