Theorem 41.1.8 (Von Neumann’s Inequality for Matrices).label Let $n \in \natp$, $T \in M_{n}(\complex)$ with $\norm{T}_{M_n(\complex)}\le 1$, and $U, V, S \in M_{n}(\complex)$ such that:
- (a)
$U, V$ are unitary.
- (b)
$S = \text{diag}(s_{1}, \cdots, s_{n})$, where $\seqf{s_j}\subset [0, 1]$.
Let $B = \ol{B_\complex(0, 1)}^{n} \subset \complex^{n}$ and
and $p \in \complex[z]$, then:
- (1)
For each $\xi, \eta \in \complex^{n}$, let
\[f_{\xi, \eta}: B \to \complex \quad (z_{1}, \cdots, z_{n}) \mapsto \dpn{p(T(z_1, \cdots, z_n))\xi, \eta}{\complex^n}\]then $f_{\xi, \eta}$ achieves its maximum modulus on $\partial B$.
- (2)
For any $(z_{1}, \cdots, z_{n}) \in B$, if
\[\normn{p(T(z_1, \cdots, z_n))}_{M_n(\complex)}= \max_{w \in \overline{B}}\normn{p(T(w_1, \cdots, w_n))}_{M_n(\complex)}\]then $T(z_{1}, \cdots, z_{n})$ is unitary.
- (3)
$\norm{p(T)}_{M_n(\complex)}\le \max_{W \in U(M_n(\complex))}\norm{p(W)}_{M_n(\complex)}$.
- (4)
$\norm{p(T)}_{M_n(\complex)}\le \norm{p}_{H^\infty(D)}$.
For each $\seqf{z}\in \overline{B_{\complex^n}(0, 1)}$
Proof, [Exercise 2.16, Po02], attributed to Wermer. (1): By the Maximum Modulus Principle.
(2): Let $(z_{1}, \cdots, z_{n}) \in \complex^{n}$ such that $\normn{p(T(z_1, \cdots, z_n))}_{M_n(\complex)}$ is maximal. By compactness of the unit sphere in $\complex^{n}$, there exists $\xi, \eta \in \partial B_{\complex^n}(0, 1)$ such that
By maximality, $f_{\xi, \eta}$ achieves its maximum modulus at $(z_{1}, \cdots, z_{n})$, so (1) implies that $(z_{1}, \cdots, z_{n}) \in \partial B$. At which point, $|z_{j}| = 1$ for all $1 \le j \le n$, and $\text{diag}(z_{1}, \cdots, z_{n})$ is unitary. Therefore $T(z_{1}, \cdots, z_{n}) = U\text{diag}(z_{1}, \cdots, z_{n})V$ is also unitary.
(3): Since $(s_{1}, \cdots, s_{n}) \in B$, (2) implies that
(4): For any $W \in U(M_{n}(\complex))$, the continuous functional calculus implies that
As the above holds for all unitary matrices,
by (3).$\square$
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