Bourbaki

§ 8. Lie groups over R\mathbf{R} and Qp\mathbf{Q}_p

1. Continuous morphisms

Theorem 1

Let G and H be two Lie group germs over R\mathbf{R} or Qp\mathbf{Q}_p. Let f be a continuous morphism of G into H. Then f is analytic.

We give L(G)L(G) and L(H)L(H) norms which define their topologies and such that ∥[x,y]∥≤∥x∥∥y∥\| [x, y] \| \leq \|x\| \|y\| for all x,yx, y. There exist an open ball V of centre 0 in L(G)L(G) and an exponential mapping ϕ\phi of G defined on V such that: (1) ϕ(V)\phi(V) is an open neighbourhood of ee in G; (2) ϕ\phi is an isomorphism of the analytic manifold V onto the analytic manifold ϕ(V)\phi(V); (3) ϕ(nx)=ϕ(x)n\phi(nx) = \phi(x)^n for all x∈Vx \in V and all n∈Zn \in \mathbf{Z} such that nx∈Vnx \in V. We define similarly W and ψ\psi for H. By shrinking V if necessary, it can be assumed that f(ϕ(V))⊂ψ(W)f(\phi(V)) \subset \psi(W). Then g=ψ−1∘f∘ϕg = \psi^{-1} \circ f \circ \phi is a continuous mapping of V into W.

We show that

(x∈V,λ∈Q and λx∈V)⇒g(λx)=λg(x). (x \in V, \lambda \in \mathbf{Q} \text{ and } \lambda x \in V) \Rightarrow g(\lambda x) = \lambda g(x).
It can be assumed that λ≠0\lambda \neq 0. Let λ=rq\lambda = \frac{r}{q} with r,qr, q in Z−{0}\mathbf{Z} - \{0\}. Let y=rqxy = \frac{r}{q} x.

If K=RK = \mathbf{R}, we write z=xq=yr∈Vz = \frac{x}{q} = \frac{y}{r} \in V. Then x=qz,y=rzx = qz, y = rz, whence

g(x)=ψ−1(f(ϕ(qz)))=ψ−1(f(ϕ(z)q))=ψ−1(f(ϕ(z))q). g(x) = \psi^{-1}(f(\phi(qz))) = \psi^{-1}(f(\phi(z)^q)) = \psi^{-1}(f(\phi(z))^q).
We show that ψ−1(f(ϕ(z))q)=qψ−1(f(ϕ(z)))=qg(z)\psi^{-1}(f(\phi(z))^q) = q \psi^{-1}(f(\phi(z))) = qg(z). It suffices to verify that, if u∈ψ(W)u \in \psi(W) is such that uq∈ψ(W)u^q \in \psi(W), then ψ−1(uq)=qψ−1(u)\psi^{-1}(u^q) = q \psi^{-1}(u); but if u=ψ(v)u = \psi(v), uq=ψ(vq)u^q = \psi(v^q), then v1/q∈Wv^1/q \in W and (ψ(v1/q))q=uq(\psi(v^1/q))^q = u^q, hence ψ(v1/q)=u=ψ(v)\psi(v^1/q) = u = \psi(v) and therefore v1=qvv^1 = qv.

Similarly, g(y)=rg(z)g(y) = rg(z), whence (1).

If K=QpK = \mathbf{Q}_p, we write z=rx=qy∈Vz = rx = qy \in V, whence g(z)=rg(x)=qg(y)g(z) = rg(x) = qg(y), whence again (1).

As Q\mathbf{Q} is dense in KK, (1) implies that

(x∈V,λ∈K and λx∈V)⇒g(λx)=λg(x). (x \in V, \lambda \in K \text{ and } \lambda x \in V) \Rightarrow g(\lambda x) = \lambda g(x).
Let x∈L(G)x \in L(G) and λ,λ′\lambda, \lambda' be elements of K∗K^* such that λx∈V,λ′x∈V\lambda x \in V, \lambda' x \in V. Then
g(λ′x)=g(λ′λλx)=λ′λg(λx) g(\lambda' x) = g\left( \frac{\lambda'}{\lambda} \lambda x \right) = \frac{\lambda'}{\lambda} g(\lambda x)
by (2) and hence 1λg(λx)=1λ′g(λ′x)\frac{1}{\lambda} g(\lambda x) = \frac{1}{\lambda'} g(\lambda' x). Thus an extension hh of gg to L(G)L(G) is defined by writing h(x)=1λg(λx)h(x) = \frac{1}{\lambda} g(\lambda x) for all λ\lambda such that λx∈V\lambda x \in V. Clearly hh is continuous. We show that
(x∈L(G) and λ∈K)⇒h(λx)=λh(x). (x \in L(G) \text{ and } \lambda \in K) \Rightarrow h(\lambda x) = \lambda h(x).
Let λ′∈K∗\lambda' \in K^* be such that λ′x∈V\lambda' x \in V and λ′λx∈V\lambda' \lambda x \in V. Then
h(λx)=1λ′g(λ′λx)=1λ′λg(λ′x)=λ1λ′g(λ′x)=λh(x). h(\lambda x) = \frac{1}{\lambda'} g(\lambda' \lambda x) = \frac{1}{\lambda'} \lambda g(\lambda' x) = \lambda \frac{1}{\lambda'} g(\lambda' x) = \lambda h(x).
Let x,yx, y be in L(G)L(G). Then, by Proposition 4 of § 4, no. 3,
h(x)+h(y)=lim⁡λ∈K∗,λ→0λ−1ψ−1(ψ(λh(x))ψ(λh(y)))=lim⁡λ∈K∗,λ→0λ−1ψ−1(ψ(h(λx))ψ(h(λy))). \begin{align*} h(x) + h(y) &= \lim_{\lambda \in K^*, \lambda \to 0} \lambda^{-1} \psi^{-1}(\psi(\lambda h(x)) \psi(\lambda h(y))) \\ &= \lim_{\lambda \in K^*, \lambda \to 0} \lambda^{-1} \psi^{-1}(\psi(h(\lambda x)) \psi(h(\lambda y))). \end{align*}
For ∣λ∣|\lambda| sufficiently small, λx∈V\lambda x \in V and λy∈V\lambda y \in V and hence the above expression is equal to
lim⁡λ∈K∗,λ→0λ−1ψ−1(f(ϕ(λx))f(ϕ(λy)))=lim⁡λ∈K∗,λ→0λ−1(ψ−1∘f)(ϕ(λx)ϕ(λy))=lim⁡λ∈K∗,λ→0λ−1g(ϕ−1(ϕ(λx)ϕ(λy)))=lim⁡λ∈K∗,λ→0h(λ−1ϕ−1(ϕ(λx)ϕ(λy)))=h(lim⁡λ∈K∗,λ→0λ−1ϕ−1(ϕ(λx)ϕ(λy)))=h(x+y). \begin{align*} &\lim_{\lambda \in K^*, \lambda \to 0} \lambda^{-1} \psi^{-1}(f(\phi(\lambda x)) f(\phi(\lambda y))) \\ &= \lim_{\lambda \in K^*, \lambda \to 0} \lambda^{-1} (\psi^{-1} \circ f)(\phi(\lambda x) \phi(\lambda y)) \\ &= \lim_{\lambda \in K^*, \lambda \to 0} \lambda^{-1} g(\phi^{-1}(\phi(\lambda x) \phi(\lambda y))) \\ &= \lim_{\lambda \in K^*, \lambda \to 0} h(\lambda^{-1} \phi^{-1}(\phi(\lambda x) \phi(\lambda y))) \\ &= h(\lim_{\lambda \in K^*, \lambda \to 0} \lambda^{-1} \phi^{-1}(\phi(\lambda x) \phi(\lambda y))) \\ &= h(x + y). \end{align*}
Thus hh is continuous and linear, hence g=h∣Vg = h|V is analytic, hence ff is analytic on ϕ(V)\phi(V) and hence ff is analytic (§ 1, no. 10).

Corollary 1

Let GG be a topological group. There exists on GG at most one analytic manifold structure over R\mathbf{R} (resp. Qp\mathbf{Q}_p) compatible with the topological group structure on GG.

This follows immediately from Theorem 1.

Definition 1

A topological group G is called a real (resp. p-adic) Lie group if there exists on G a real (resp. p-adic) Lie group structure compatible with its topology.

That structure is then unique and we can speak of the dimension of such a group. If G and H are two such groups, every continuous morphism of G into H is analytic.

Corollary 2

Let G be a topological group and V an open neighbourhood of e. Suppose that V has an analytic manifold structure which makes it into a real (resp. p-adic) Lie group germ. Then G is a real (resp. p-adic) Lie group.

Let g∈Gg \in G. There exists an open neighbourhood V′V' of ee in G such that V′∪gV′g−1⊂VV' \cup gV'g^{-1} \subset V. The mapping v↦gvg−1v \mapsto gv g^{-1} of V′V' into VV is a continuous and hence analytic morphism of the Lie group germ V′V' into the Lie group germ VV. It then suffices to apply Proposition 18 of § 1, no. 9.

Remark

(1) Theorem 1 and its corollaries are no longer true if R\mathbf{R} (resp. Qp\mathbf{Q}_p) is replaced by C\mathbf{C} (Exercise 1).

(2) Let G be a topological group. It can be shown† that the following conditions are equivalent: (a) G is a finite-dimensional real Lie group; (b) G is locally compact and there exists a neighbourhood of ee containing no subgroup distinct from {e}\{e\}; (c) there exists an open neighbourhood of ee homeomorphic to an open ball of a space Rn\mathbf{R}^n. (For a much less difficult result, cf. Exercise 6.)

Proposition 1

Let G, G' be topological groups and f a continuous morphism of G into G'. Suppose that one of the following three cases holds: (a) G is a real Lie group and G' is a p-adic Lie group; (b) G is a p-adic Lie group and G' is a real Lie group; (c) G is a p-adic Lie group and G' is a p′p'-adic Lie group with p≠p′p \neq p'. Then f is locally constant.

Case (a). Let G0G_0 be the identity component of G. Then f(G0)f(G_0) is a connected subgroup of G′G' and hence f(G0)={e}f(G_0) = \{e\} and G0G_0 is open in G.

Case (b). Let V′V' be a neighbourhood of ee in G′G' such that every subgroup of G′G' contained in V′V' reduces to {e}\{e\} (§ 4, no. 2, Corollary 1 to Theorem 2). There exists a neighbourhood V of ee in G such that f(V)⊂V′f(V) \subset V'. Then there exists an open subgroup G1G_1 of G such that G1⊂VG_1 \subset V (§ 7, no. 1, Proposition 1). Then f(G1)={e}f(G_1) = \{e\}.

Case (c). By § 7, Theorem 4 and the Corollary to Proposition 8, there exists a neighbourhood V′V' of ee in G′G' such that, for all x′∈V′−{e}x' \in V' - \{e\}, x′pn{x'}^{p^n} does not tend

† See for example D. Montgomery and L. Zippin, Topological transformation groups, Interscience tracts in pure and applied mathematics, no. 1, Interscience publishers, New York 1955 (in particular pp. 169 and 184).

to ee as nn tends to +∞+\infty. There exists a neighbourhood VV of ee in GG such that f(V)⊂V′f(V) \subset V'. By § 7, Theorem 4 and Proposition 9, there exists an open subgroup G1G_1 of GG such that G1⊂VG_1 \subset V and such that, for all x∈G1x \in G_1, xpnx^{p^n} tends to ee as nn tends to +∞+\infty. Then f(G1)={e}f(G_1) = \{e\}.

2. Closed subgroups

Theorem 2

Let GG be a finite-dimensional Lie group over R\mathbf{R} or Qp\mathbf{Q}_p. Every closed subgroup of GG is a Lie subgroup of GG. More generally, let UU be a symmetric open neighbourhood of ee in GG and HH a non-empty closed subspace of UU such that the conditions x∈Hx \in H, y∈Hy \in H and xy−1∈Uxy^{-1} \in U imply xy−1∈Hxy^{-1} \in H. Then HH is a Lie subgroup germ of GG.

Let h\mathfrak{h} be the Lie subalgebra tangent to HH at ee (§ 4, no. 5, Definition 2). There exists a Lie subgroup germ H0H_0 of GG with Lie algebra h\mathfrak{h} and contained in HH. We prove that H0H_0 is open in HH with the topology induced by that on GG. This will prove that HH is an analytic submanifold of GG and will establish the theorem.

There exist a vector subspace k\mathfrak{k} supplementary to h\mathfrak{h} in L(G)L(G), symmetric open neighbourhoods V1,V2V_1, V_2 of zero in h\mathfrak{h} and k\mathfrak{k} respectively and an exponential mapping ϕ\phi of GG defined on V1+V2V_1 + V_2 and possessing the following properties:

(a) the mapping (a1,a2)↦ϕ(a1)ϕ(a2)(a_1, a_2) \mapsto \phi(a_1)\phi(a_2) is an analytic isomorphism of V1×V2V_1 \times V_2 onto an open subset VV of GG; (b) ϕ(V1)⊂H0\phi(V_1) \subset H_0; (c) V2⊂UV^2 \subset U.

We shall prove (and this will achieve the proof) that there exists an open neighbourhood V2′V'_2 of 0 in V2V_2 such that H∩(ϕ(V1)ϕ(V2′))=ϕ(V1)H \cap (\phi(V_1)\phi(V'_2)) = \phi(V_1).

Suppose that the assertion is false. Then we can find a sequence (xn)(x_n) in V1V_1 and a sequence (yn)(y_n) in V2−{0}V_2 - \{0\} tending to 0, such that ϕ(xn)ϕ(yn)∈H\phi(x_n)\phi(y_n) \in H for all nn. Then ϕ(yn)∈H\phi(y_n) \in H by (c).

If K=QpK = \mathbf{Q}_p, it can be assumed that V2V_2 is an additive subgroup of k\mathfrak{k} and that ϕ(pa)=ϕ(a)p\phi(pa) = \phi(a)^p for all a∈V2a \in V_2 and all p∈Zp \in \mathbf{Z}. Then ϕ(λy1)∈H\phi(\lambda y_1) \in H for all λ∈Z\lambda \in \mathbf{Z} and hence by continuity for all λ∈Zp\lambda \in \mathbf{Z}_p. The mapping f:λ↦ϕ(λy1)f : \lambda \mapsto \phi(\lambda y_1) of Zp\mathbf{Z}_p into GG is analytic and takes its values in HH and (T0f)(1)=y1(T_0f)(1) = y_1. Hence y1∈hy_1 \in \mathfrak{h}, which is absurd. The theorem is therefore established in the case of Qp\mathbf{Q}_p.

If K=RK = \mathbf{R}, it can be assumed that V2V_2 is connected and that yny_n belongs to 12V2−{0}\frac{1}{2}V_2 - \{0\}. By taking a subsequence of (yn)(y_n) if necessary, we can find a sequence (λn)(\lambda_n) of non-zero scalars such that λn−1yn\lambda_n^{-1}y_n tends to an element yy of V2−{0}V_2 - \{0\}. The sequence (λn)(\lambda_n) tends to 0. Let λ∈R\lambda \in \mathbf{R} be such that λy∈12V2\lambda y \in \frac{1}{2}V_2; we prove that exp⁡(λy)∈H\exp(\lambda y) \in H. It can be assumed that λλn−1yn∈12V2\lambda \lambda_n^{-1}y_n \in \frac{1}{2}V_2 for all nn. Let kn∈Zk_n \in \mathbf{Z} be such that ∣λ−knλn∣|\lambda - k_n \lambda_n| tends to 0. For nn sufficiently large, (λ−knλn)λn−1yn∈12V2(\lambda - k_n \lambda_n)\lambda_n^{-1}y_n \in \frac{1}{2}V_2 and hence knyn∈12V2k_n y_n \in \frac{1}{2}V_2. Hence exp⁡(hyn)∈H\exp(h y_n) \in H for hh an integer and 0≤∣h∣≤∣kn∣0 \leq |h| \leq |k_n| (as is seen by induction on ∣h∣|h|). Then

exp⁡(λy)=lim⁡n→∞exp⁡(λλn−1yn)=lim⁡n→∞(exp⁡((λ−knλn)λn−1yn)exp⁡(knyn))=lim⁡n→∞exp⁡knyn∈H. \exp(\lambda y) = \lim_{n \to \infty} \exp(\lambda \lambda_n^{-1}y_n) = \lim_{n \to \infty} (\exp((\lambda - k_n \lambda_n)\lambda_n^{-1}y_n) \exp(k_n y_n)) = \lim_{n \to \infty} \exp k_n y_n \in H.

Hence the mapping f:λ↦exp⁡λyf : \lambda \mapsto \exp \lambda y, where λy∈14V2\lambda y \in \frac{1}{4}V_2, takes its values in HH and (T0f)(1)=y(T_0f)(1) = y. Hence y∈hy \in \mathfrak{h}, which is absurd. The theorem is thus established in the case of R\mathbf{R}.

Theorem 2 is no longer true if GG is not assumed to be finite-dimensional (Exercise 12).

Corollary 1

Let G′G' be a locally compact group, GG a finite-dimensional Lie group over R\mathbf{R} (resp. Qp\mathbf{Q}_p) and ff a continuous morphism of G′G' into GG. If the kernel of ff is discrete, G′G' is a finite-dimensional real (resp. pp-adic) Lie group.

There exists a compact neighbourhood VV of ee in G′G' such that f∣Vf|V is a homeomorphism of VV onto a compact subspace of GG. If UU is a sufficiently small open neighbourhood of ee in GG, the hypotheses of Theorem 2 are satisfied with H=f(V)∩UH = f(V) \cap U. Hence HH is a Lie subgroup germ of GG. Let WW be the inverse image of HH under f∣Vf|V. Then WW is a neighbourhood of ee in G′G'. Let WW be given the analytic manifold structure transported from that on HH by (f∣W)−1(f|W)^{-1}. For all z∈G′z \in G', the mapping x↦f(z)xf(z)−1x \mapsto f(z)x f(z)^{-1} of GG into GG is analytic; hence there exists an open neighbourhood W′W' of ee in WW such that the mapping x′↦zx′z−1x' \mapsto zx'z^{-1} of W′W' into WW is analytic. By Proposition 18 of § 1, no. 9, there exists on G′G' a Lie group structure which induces on a sufficiently small open neighbourhood of ee the same analytic structure as WW and hence the same topology as the initial topology on G′G'.

Corollary 2

Let GG be a finite-dimensional Lie group over KK, HH a subgroup of GG, VV an open neighbourhood of ee in GG and (Mi)i∈I(M_i)_{i \in I} a family of analytic manifolds over KK; for all i∈Ii \in I, let fif_i be a KK-analytic mapping of VV into MiM_i such that

H∩V={x∈V∣fi(x)=fi(e) for all i∈I}. H \cap V = \{ x \in V \mid f_i(x) = f_i(e) \text{ for all } i \in I \}.

(i) If K=CK = \mathbf{C}, HH is a Lie subgroup of GG. (ii) If KK is a finite extension of Qp\mathbf{Q}_p and II is finite, HH is a Lie subgroup of GG.

(i) Suppose that K=CK = \mathbf{C}. We consider GG as a real Lie group. Then HH is a real Lie subgroup of GG (Theorem 2). Let a∈L(H)a \in L(H). There exists a connected open neighbourhood WW of 00 in C\mathbf{C} such that exp⁡λa∈V\exp \lambda a \in V for all λ∈W\lambda \in W. Let i∈Ii \in I. Then fi(exp⁡λa)=fi(e)f_i(\exp \lambda a) = f_i(e) if λ∈R∩W\lambda \in \mathbf{R} \cap W. Hence fi(exp⁡λa)=fi(e)f_i(\exp \lambda a) = f_i(e) if λ∈W\lambda \in W by analytic continuation. Thus, exp⁡λa∈H\exp \lambda a \in H for λ∈W\lambda \in W and therefore μa∈L(H)\mu a \in L(H) for all μ∈C\mu \in \mathbf{C}. Therefore HH is a Lie subgroup of the complex Lie group GG (§ 4, no. 2, Proposition 2).

(ii) Suppose that KK is a finite extension of Qp\mathbf{Q}_p. We consider GG as a Lie group over Qp\mathbf{Q}_p. It is finite-dimensional and Theorem 2 implies that HH is a pp-adic Lie subgroup of GG. Since II is finite, ∏i∈IMi\prod_{i \in I} M_i is a manifold and it can be assumed that the family (fi)(f_i) reduces to a single mapping ff. Let a∈L(G)a \in L(G). Let ϕ\phi be an exponential mapping of GG. Then f(ϕ(λa))=f(e)f(\phi(\lambda a)) = f(e) for λ∈Qp\lambda \in \mathbf{Q}_p and ∣λ∣|\lambda| sufficiently small. Since ff is K-analytic, it follows that f(ϕ(λa))=f(e)f(\phi(\lambda a)) = f(e) for λ∈K\lambda \in K and ∣λ∣|\lambda| sufficiently small. Hence ϕ(λa)∈H\phi(\lambda a) \in H for λ∈K\lambda \in K and ∣λ∣|\lambda| sufficiently small and therefore μa∈L(H)\mu a \in L(H) for all μ∈K\mu \in K. The proof is completed as in (i).

Corollary 2 (ii) is no longer true if we omit the hypothesis that I is finite.

Exercises

See the exercises for § 8.

Transcribed from the printed volume. Not translated.