§ 3. Compact forms of complex semi-simple Lie algebras
1. Real forms
If is a complex Lie algebra, we denote by (or sometimes by ) the real Lie algebra obtained by restriction of scalars. If is a real Lie algebra, we denote by (or sometimes by ) the complex Lie algebra obtained by extension of scalars. The homomorphisms of real Lie algebras correspond bijectively to the homomorphisms of complex Lie algebras if and correspond, we have and for .
Definition 1 01B1
Let be a complex Lie algebra. A real form of is a real subalgebra of that is an -structure on the -vector space Algebra, Chap. II, §8, no. 1, Def. 1).
This means that the homomorphism of complex Lie algebras associated to the canonical injection is bijective. Thus, a real subalgebra of is a real form of if and only if the subspaces and of the real vector space are complementary. The conjugation of relative to the real form is the map such that
Proposition 1 01JF
Let be a real form of and the conjugation of relative to . Then:
Id (2)
for . An element of belongs to if and only if .
b) Let be a map satisfying (2). Then the set of fixed points of is a real form of , and is the conjugation of relative to .
The proof is immediate.
Note that if B denotes the Killing form of , and if is a real form of , the restriction of B to is the Killing form of ; in particular, B is real-valued on . Assume that is reductive; then the real Lie algebra is compact if and only if the restriction of B to is negative (§1, no. 3). In that case we say that is a compact real form of .
2. Real forms associated to a Chevalley system
In this number, we consider a split semi-simple Lie algebra over the field (Chap. VIII, §2, no. 1), with root system , and a Chevalley system of (Chap. VIII, §2, no. 4, Def. 3).
Recall (loc. cit.) that the linear map that coincides with Id on and maps to for all is an automorphism of . Moreover (loc. cit., Prop. 7), if are roots, then
with and
Denote by the real vector subspace of consisting of the such that for all . Then is an -structure on the complex vector space , we have for all , and the restriction of the Killing form B of to is separating positive (Chap. VIII, §2, no. 2, Remark 2). Moreover,
if (5)
(Chap. VIII, §2, no. 2, Prop. 1 and no. 4, Lemma 3).
Proposition 2 01JG
The real vector subspace of is a
real form of , of which is a Cartan subalgebra. The pair is a split semi-simple real Lie algebra, of which is a Chevalley system.
b) Let be the conjugation of relative to . Then . The set of fixed points of is a compact real form of , of which is a Cartan subalgebra.
Part a) follows immediately from the preceding. We prove b). Since and are two semi-linear maps from to that coincide on , they coincide. Now satisfies conditions (2) of no. 1, hence is the conjugation of relative to the real form consisting of the such that (Prop. 1). For all put
Then the -vector space is generated by , the and the . More precisely, if we choose a chamber C of R, then
It is clear that is a Cartan subalgebra of , and it remains to prove that the restriction of B to is negative. Now and the different subspaces of the form are orthogonal with respect to B, by (5); the restriction of B to is negative and
hence the conclusion.
Remark 01B2
With the preceding notations, we have the following formulas:
(in the last three formulas, it is understood, as usual, that if is not a root).
Note that is a real subalgebra of , namely .
Let Q(R) be the group of radical weights of R (Chap. VI, §1, no. 9). Recall that to any homomorphism is associated an elementary automorphism of such that for all and (Chap. VIII, §5, no. 2).
Proposition 3 01B3
Let be a compact real form of such that . There exists a homomorphism such that .
Let be the conjugation of relative to . By hypothesis for , so for . Thus, for all and all ,
it follows that for all , hence also for all . Hence there exists such that . Since , we have , so = 1; similarly, formulas (3) and (4) give if are roots. By Chap. VI, §1, no. 6, Cor. 2 of Prop. 19, there exists a homomorphism such that for all .
We now show that each is strictly positive. Indeed, , and since is negative, it suffices to show that for every non-zero element of ; but every element of can be written as , with and in , and
hence the stated assertion, the restriction of B to being negative and separating by hypothesis.
It follows that the homomorphism takes values in ; hence there exists a homomorphism such that . Then is a real form of ; the corresponding conjugation is . For all , we have
and for ; it follows that is the conjugation with respect to , and hence that .
3. Conjugacy of compact forms
Theorem 1 01B4
Let be a complex semi-simple Lie algebra.
a has compact (resp. splittable) real forms.
b) The group Int() operates transitively on the set of compact (resp. splittable) real forms of .
Let be a Cartan subalgebra of . Then is split (Chap. VIII, §2, no. 1, Remark 2), and has a Chevalley system (Chap. VIII, §4, no. 4, Cor. of Prop. 5). Part a) now follows from Prop. 2. Let be a compact real form of ; we show that there exists Int() such that . Let be a Cartan subalgebra of ; then is a Cartan subalgebra of ; since Int() operates transitively on the set of Cartan subalgebras of (Chap. VII, §3, no. 2, Th. 1), we are reduced to the case in which . Since is a compact form, the eigenvalues of the endomorphisms ad , for , are purely imaginary (§1, no. 3, Prop. 1), so the roots map to ; this implies that . Then, by Prop. 3 (no. 2), there exists Int() such that , hence b) in the case of compact forms. Finally, let and be two splittable real forms of . There exist framings and (Chap. VIII, §4, no. 1). These extend in an obvious way to bases and of . An automorphism of that maps to maps to ; thus, it suffices to apply Prop. 5 of Chap. VIII, §5, no. 3, to obtain the existence of an element of Aut Int() such that .
Remark 01B5
We shall see much later a general classification of real forms of a complex semi-simple Lie algebra.
Corollary 1 01B6
Let and be two compact real Lie algebras. Then and are isomorphic if and only if the complex Lie algebras and are isomorphic.
The condition is clearly necessary. Conversely, assume that and are isomorphic. Let (resp. ) be the centre of (resp. ) and (resp. ) the derived algebra of (resp. ). Then and are the centres of and , respectively, and hence are isomorphic; it follows that the commutative algebras and are isomorphic. Similarly, and are isomorphic, hence and , which are compact real forms of two isomorphic complex semi-simple Lie algebras, are isomorphic by Th. .
Corollary 2 01B7
Let be a complex Lie algebra. The following conditions are equivalent:
(i) is reductive.
(ii) There exists a compact real Lie algebra such that is isomorphic to .
(iii) There exists a compact Lie group G such that is isomorphic to .
By Def. 1 of §1, no. 3, conditions (ii) and (iii) are equivalent and imply (i). If is reductive, it is the direct product of a commutative algebra, which clearly has a compact real form, and a semi-simple algebra which has one by Th. , hence (i) implies (ii).
Corollary 3 01B8
Let and be two complex semi-simple Lie algebras. The compact real forms of are the products , where, for is a compact real form of .
Indeed, there exists a compact real form (resp. ) of (resp. ); then is a compact real form of . The corollary now follows from Th. , applied to and .
Note that it follows from Cor. 3 above that a compact real Lie algebra is simple if and only if the complex Lie algebra is simple. We say that is of type , or ., if is of type , or . (Chap. VIII, §2, no. 2). By Cor. 1 above, two compact simple real Lie algebras are isomorphic if and only if they are of the same type.
Let G be an almost simple connected compact Lie group (Chap. III, §9, no. 8, Def. 3). We say that G is of type , or ., if its Lie algebra is of type , or .. Two simply-connected almost simple compact Lie groups are isomorphic if and only if they are of the same type.
4. Example I: compact algebras of type a
Let V be a finite dimensional complex vector space and a separating positive hermitian form on V. The unitary group associated to (cf. Algebra, Chap. IX) is the subgroup of consisting of the automorphisms of the complex Hilbert space ; this is a (real) Lie subgroup of the group (V), whose Lie algebra is the subalgebra of the real Lie algebra consisting of the endomorphisms of V such that (Chap. III, §3, no. 10, Cor. 2 of Prop. 37), where denotes the adjoint of relative to . Since the group is compact (§1, no. ) is a compact real Lie algebra. Similarly, the special unitary group is a compact Lie subgroup of (V), whose Lie algebra is .
When and is the usual hermitian form (for which the canonical basis of is orthonormal), we write instead of . The elements of (resp. ) are the matrices such that (resp. ), which are said to be unitary (resp. anti-hermitian).
Proposition 4 01B9
a) The compact real forms of the complex Lie algebra are the algebras , where belongs to the set of separating positive hermitian forms on the complex vector space V.
b) The algebras are the compact real forms of .
Let be a separating positive hermitian form on V. For all (V), put (where is the adjoint of relative to ). Then satisfies conditions (2) of Prop. 1 of no. 1, so the set (resp. ) of fixed points of on (resp. ) is a compact real form of (resp. ). Since operates transitively on the set of separating positive hermitian forms on V (Algebra, Chap. IX) and on the set of compact real forms of (no. 3, Th. 1 and Chap. VIII, §13, no. 1 (VII)), Prop. 4 is proved.
Corollary 01BA
Every compact simple real Lie algebra of type is isomorphic to .
Indeed, every complex Lie algebra of type is isomorphic to (Chap. VIII, §13, no. 1).
Remark 1 01BB
We have ; the compact real forms of are the .
Remark 2 01BC
If the complex Lie algebra is equipped with the splitting and Chevalley system introduced in Chap. VIII, §13, no. 1 (IX), then, with the notations in no. 2,
5. Example II: compact algebras of type b
Let V be a finite dimensional real vector space and Q a separating positive quadratic form on V. The orthogonal group associated to Q (Algebra, Chap. IX) is the subgroup of consisting of the automorphisms of the real Hilbert space ; this is a Lie subgroup of (V), whose Lie algebra is the subalgebra of consisting of the endomorphisms of V such that (Chap. III, §3, no. 10, Cor. 2 of Prop. ) denoting the adjoint of relative to Q. Since the group is compact, is thus a compact real Lie algebra. Put ; this is a closed subgroup of finite index of (of index 2 if dim ), hence also with Lie algebra .
When and Q is the usual quadratic form (for which the canonical basis of is orthonormal), we write instead of . The elements of (resp. ) are the matrices such that (resp. ), which are said to be orthogonal (resp. anti-symmetric).
Let be the complex vector space associated to V and let be the quadratic form on associated to Q. Identify with ; then is identified with this is clear since the map from to itself is -linear. Since is of type if dim , , and of type if dim (Chap. VIII, §13, nos. 2 and 4), we deduce:
Proposition 5 01BD
Every compact simple real Lie algebra of type (resp. of type ) is isomorphic to (resp. ).
6. Compact groups of rank 1
By General Topology, Chap. VIII, §1, no. 4, Prop. 3, Prop. 4 and Remark 4, the topological group is isomorphic to the topological group of quaternions of norm 1, and the quotient of by the subgroup Z consisting of the matrices and is isomorphic to the topological group . Note that Z is the centre of indeed, since , every element of the centre of the group is in the centre of the algebra and hence belongs to the group with two elements .
Proposition 6 01BE
Every compact semi-simple real Lie algebra of rank 1 is isomorphic to and to . Every connected semi-simple compact Lie group of rank 1 is isomorphic to if it is simply-connected, and to if not.
The first assertion follows from the Cor. of Prop. 4 and Prop. 5. Since is homeomorphic to General Topology, Chap. VIII, §1, no. 4, Remark 4), hence is simply-connected (General Topology, Chap. XI, in preparation), every simply-connected compact semi-simple Lie group of rank 1 is isomorphic to ; every connected compact semi-simple Lie group of rank 1 that is not simply-connected is isomorphic to a quotient of by a subgroup of Z that does not reduce to the identity element, hence to .
Remark 01BF
We have seen above that is simply-connected and that is of order 2. We shall see much later that these results generalize to and , respectively (cf. also §3, Exerc. 4 and 5).
Recall (Chap. VIII, §1, no. 1) that the canonical basis of is the basis , where
0
0 0 0 0 .
We thus obtain a basis of , also called canonical, by putting
We have
If B denotes the Killing form of an immediate calculation gives
Further, note that is a Cartan subalgebra of , that the maximal torus T of that corresponds to it consists of the diagonal matrices
Further, the centre of consists of the identity and .
Put
By Chap. VIII, §1, no. 5,
Finally, for , we have
Exercises
See the exercises for § 3.