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:

  1. (a)

    $U, V$ are unitary.

  2. (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

\[T: B \to M_{n}(\complex) \quad T(z_{1}, \cdots, z_{n}) = U\text{diag}(z_{1}, \cdots, z_{n})V\]

and $p \in \complex[z]$, then:

  1. (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. (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. (3)

    $\norm{p(T)}_{M_n(\complex)}\le \max_{W \in U(M_n(\complex))}\norm{p(W)}_{M_n(\complex)}$.

  4. (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

\[\normn{p(T(z_1, \cdots, z_n))}_{M_n(\complex)}= \dpn{p(T(z_1, \cdots, z_n))\xi, \eta}{\complex^n}= f_{\xi, \eta}(z_{1}, \cdots, z_{n})\]

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

\begin{align*}\norm{p(T)}_{M_n(\complex)}&\le \max_{z \in B}\norm{p(T(z_1, \cdots, z_n))}_{M_n(\complex)}\\&\le \max_{W \in U(M_n(\complex))}\norm{p(U(W))}_{M_n(\complex)}\end{align*}

(4): For any $W \in U(M_{n}(\complex))$, the continuous functional calculus implies that

\[\norm{p(W)}_{M_n(\complex)}\le \max_{\lambda \in \sigma_{M_n(\complex)}(W)}|p(\lambda)| \le \max_{\lambda \in \partial B_\complex(0, 1)}|p(\lambda)| = \norm{p}_{H^\infty(D)}\]

As the above holds for all unitary matrices,

\[\norm{p(T)}_{M_n(\complex)}\le \max_{W \in U(M_n(\complex))}\norm{p(U(W))}_{M_n(\complex)}\le \norm{p}_{H^\infty(D)}\]

by (3).$\square$

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