Draft: September 19, 2011
LOCALLY ANALYTIC VECTORS IN REPRESENTATIONSOF LOCALLY p-ADIC ANALYTIC GROUPS

Matthew Emerton
Northwestern University
Contents
Introduction
1. Non-archimedean functional analysis
2. Non-archimedean function theory
3. Continuous, analytic, and locally analytic vectors
4. Smooth, locally finite, and locally algebraic vectors
5. Rings of distributions
6. Admissible locally analytic representations
7. Representations of certain product groups
References

1
10
29
45
76
86
110
134
145

Introduction
Recent years have seen the emergence of a new branch of representation theory:
the theory of representations of locally p-adic analytic groups on locally convex
p-adic topological vector spaces (or “locally analytic representation theory”, forshort). Examples of such representations are provided by finite dimensional algebraic representations of p-adic reductive groups, and also by smooth representationsof such groups (on p-adic vector spaces). One might call these the “classical” examples of such representations. One of the main interests of the theory (from thepoint of view of number theory) is that it provides a setting in which one canstudy p-adic completions of the classical representations [6], or construct “p-adic
interpolations” of them (for example, by defining locally analytic analogues of theprincipal series, as in [23], or by constructing representations via the cohomology
of arithmetic quotients of symmetric spaces, as in [9]).
Locally analytic representation theory also plays an important role in the analysisof p-adic symmetric spaces; indeed, this analysis provided the original motivation
for its development. The first “non-classical” examples in the theory were foundby Morita, in his analysis of the p-adic upper half-plane (the p-adic symmetricspace attached to GL2 (Qp )) [17], and further examples were found by Schneider
and Teitelbaum in their analytic investigations of the p-adic symmetric spaces ofGLn (Qp ) (for arbitrary n) [22]. Motivated in part by the desire to understand theseexamples, Schneider and Teitelbaum have recently initiated a systematic studyof locally analytic representation theory [22, 23, 24, 25, 27]. In particular, they
have introduced the important notions of admissible and strongly admissible locally
The author would like to acknowledge the support of the National Science Foundation (award
numbers DMS-0070711, DMS-0401545, DMS-0701315, and DMS-1002339)

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MATTHEW EMERTON

analytic representations of a locally p-adic analytic group (as well as the related
notion of admissible continuous representations of such a group).
The goal of this memoir is to provide the foundations for the locally analytic
representation theory that is required in the papers [8, 9, 10]. In the course ofwriting those papers we have found it useful to adopt a particular point of viewon locally analytic representation theory: namely, we regard a locally analytic
representation as being the inductive limit of its subspaces of analytic vectors (ofvarious “radii of analyticity”), and we use the analysis of these subspaces as oneof the basic tools in our study of such representations. Thus in this memoir we
present a development of locally analytic representation theory built around thispoint of view. Some of the material that we present is entirely new (for example,
the notion of essentially admissible representation, which plays a key role in [8],and the results of chapter 7, which are used in [9]); other parts of it can be found(perhaps up to minor variations) in the papers of Schneider and Teitelbaum cited
above, or in the thesis of Feaux de Lacroix [12]. We have made a deliberate effort
to keep our exposition reasonably self-contained, and we hope that this will be ofsome benefit to the reader.
0.1. Locally analytic vectors and locally analytic representations
We will now give a more precise description of the view-point on locally analytic
representation theory that this memoir adopts, and that we summarized above.
Let L be a finite extension of Qp , and let K be an extension of L, complete withrespect to a discrete valuation extending the discrete valuation of L.1 We let G
denote a locally L-analytic group, and consider representations of G by continuous
operators on Hausdorff locally convex topological K-vector spaces. Our first goal
is to define, for any such representation V , the topological K-vector space Vla of
locally analytic vectors in V . As a vector space, Vla is defined to be the subspace ofV consisting of those vectors v for which the orbit map g 7→ gv is a locally analytic
V -valued function on G. The non-trivial point in the definition is to equip Vla with
an appropriate topology. In the references [22,27], the authors endow this space(which they denote by Van , rather than Vla ) with the topology that it inherits as aclosed subspace of the space C la (G, V ) of locally analytic V -valued functions on G
(each vector v ∈ Vla being identified with the corresponding orbit map ov : G → V ).
We have found it advantageous to endow Vla with a finer topology, with respect
to which it is exhibited as a locally convex inductive limit of Banach spaces. (Insome important situations — for example, when V is of compact type, or is a
Banach space equipped with an admissible continuous G-action — we prove thatthe topology that we consider coincides with that considered by Schneider andTeitelbaum.)
Suppose first that G is an affinoid rigid analytic group defined over L, and that
G is the group of L-valued points of G. If W is a Banach space equipped with a
1 In the main body of the text, in contrast to this introduction, the field K of coefficients is
assumed merely to be spherically complete with respect to a valuation extending the discrete
valution on L. Nevertheless, several of our results require the additional hypothesis that K be
discretely valued, and so we have imposed this hypothesis on K throughout the introducion inorder to simplify the discussion. In the main body of the text, when a given result requires for its
validity that K be discretely valued, we have always indicated this requirement in the statementof the result (with one exception: it is assumed throught section 6.5 that K is discretely valued,
and so this is not explictly mentioned in the statements of the results appearing in that section).

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representation of G, then we say that this representation is G-analytic if for eachw ∈ W the orbit map ow : G → W given by w extends to a W -valued rigid analytic
function on G. For any G-representation V , we define VG−an to be the locallyconvex inductive limit over the inductive system of G-equivariant maps W → V ,where W is a Banach space equipped with a G-analytic action of G.
We now consider the case of an arbitrary locally L-analytic group G. Recall
that a chart (φ, H, H) of G consists of an open subset H of G, an affinoid space H∼
isomorphic to a closed ball, and a locally analytic isomorphism φ : H −→ H(L). If
H is furthermore a subgroup of G, then the fact that H(L) is Zariski dense in H
implies that there is at most one rigid analytic group structure on H inducing the
given group structure on H. If such a group structure exists, we refer to the chart(φ, H, H) as an analytic open subgroup of G. We will typically suppress reference tothe isomorphism φ, and so will speak of an analytic open subgroup H of G, letting
H denote the corresponding rigid analytic group, and identifying H with the groupof points H(L).
For any G-representation on a Hausdorff convex K-vector space V , and any
analytic open subgroup H of G, we can define as above the space VH−an of Hanalytic vectors in V . (If we ignore questions of topology, then VH−an consists of
those locally analytic vectors with “radius of analyticity” bounded below by H.)
We define Vla to be the locally convex inductive limit over all locally analytic open
subgroups H of G of the spaces VH−an .
The representation V of G is said to be locally analytic if V is barrelled, andif the natural map Vla → V is a bijection. If V is an LF -space (we recall themeaning of this, and some related, functional analytic terminology in section 1.1
below), then we can show that if this map is a bijection, it is in fact a topologicalisomorphism. Thus given a locally analytic representation of G on an LF -space V ,∼we may write V −→ lim
VHn −an , where Hn runs over a cofinal sequence of analytic−→nopen subgroups of G.
The category of admissible locally analytic G-representations, introduced in [27],admits a useful description from this point of view. We show that a locally analytic
G-representation on a Hausdorff convex K-vector space V is admissible if and only
if V is an LB-space, such that for each analytic open subgroup H of G, the space
VH−an admits a closed H-equivariant embedding into a finite direct sum of copiesof the space C an (H, K) of rigid analytic functions on H.
Recall that in [27], a locally analytic G-representation V is defined to be admissible if and only if V is of compact type, and if the dual space V 0 is a coadmissible
module under the action of the ring Dan (H, K) of locally analytic distributions
on H, for some (or equivalently, every) compact open subgroup H of G. For thisdefinition to make sense (that is, for the notion of a coadmissible Dan (H, K)-module
to be defined), the authors must prove that the ring Dan (H, K) is a Fréchet-Stein
algebra, in the sense of [27, def., p. 8]. This result [27, thm. 5.1] is the main theoremof that reference.
In order to establish our characterization of admissible locally analytic representations, we are led to give an alternative proof of this theorem, and an alternativedescription of the Fréchet-Stein structure on Dla (H, K), which is more in keepingwith our point of view on locally analytic representations. While the proof of [27]relies on the methods of [16], we rely instead on the methods used in [1] to provethe coherence of the sheaf of rings D† .

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We also introduce the category of essentially admissible locally analytic Grepresentations. To define this category, we must assume that the centre Z of
G is topologically finitely generated. (This is a rather mild condition, which issatisfied, for example, if G is the group of L-valued points of a reductive linear algebraic group over L.) Supposing that this is so, we let Ẑ denote the rigid analytic
space parameterizing the locally analytic characters of Z, and let C an (Ẑ, K) denote
the Fréchet-Stein algebra of K-valued rigid analytic functions on Ẑ.
Let V be a convex K-vector space of compact type equipped with a locallyanalytic G-representation, and suppose that V may be written as a union V =lim
Vn , where each Vn is a Z-invariant BH-subspace of V . The Dla (H, K)-action−→non the dual space V 0 then extends naturally to an action of the completed tensor
ˆ K Dla (H, K). Our proof of the fact that Dla (H, K) is
product algebra C an (Ẑ, K) ⊗Fréchet-Stein generalizes to show that this completed tensor product is also FréchetStein. We say that V is an essentially admissible locally analytic representation of
G if, furthermore, V 0 is a coadmissible module with respect to this Fréchet-Stein
algebra, for some (or equivalently, any) compact open subgroup H of G.
It is easy to show, using the characterization of admissible locally analytic representations described above, that any such locally analytic representation of G isessentially admissible. Conversely, if V is any essentially admissible locally analytic
representation of G, and if χ is a K-valued point of Ẑ, then the closed subspaceV χ of V on which Z acts through χ is an admissible locally analytic representationof G. The general theory of Fréchet-Stein algebras [27, §3] implies that the categoryof essentially admissible locally analytic G-representations is abelian.
Since the category of coadmissible C an (Ẑ, K)-modules is (anti)equivalent to thecategory of coherent rigid analytic sheaves on the rigid analytic space Ẑ, one
ˆ K Dla (H, K)-module as being a “coherent
may think of a coadmissible C an (Ẑ, K) ⊗lasheaf” of coadmissible D (H, K)-modules on Ẑ (or, better, a “coherent cosheaf”).
Thus, roughly speaking, one may regard an essentially admissible locally analytic Grepresentation V as being a family of admissible locally analytic G-representations
parameterized by the space Ẑ, whose fibre (or, better, “cofibre”) over a pointχ ∈ Ẑ(K) is equal to V χ .
The category of essentially admissible locally analytic representations provides
the setting for the Jacquet module construction for locally analytic representations
that is the subject of the papers [8] and [10]. These functors are in turn applied in[9] to construct “eigenvarieties” (generalizing the eigencurve of [7]) that p-adicallyinterpolate systems of eigenvalues attached to automorphic Hecke eigenforms on
reductive groups over number fields.
Let us point out that functional analysis currently provides the most important
technical tool in the theory of locally analytic representations. Indeed, since continuous p-adic valued functions on a p-adic group are typically not locally integrable
for Haar measure (unless they are locally constant), there is so far no real analogue
in this theory of the harmonic analysis which plays such an important role in thetheory of smooth representations (although one can see some shades of harmonic
analysis in the theory: the irreducibility result of [23, thm. 6.1] depends for its
proof on Fourier analysis in the non-compact picture, and Hecke operators makean appearance in the construction of the Jacquet module functor of [8]). Thus one
relies on softer functional analytic methods to make progress. This memoir is noLOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

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exception; it relies almost entirely on such methods.
0.2. The organization of the memoir
A more detailed summary of the memoir now follows, preceding chapter bychapter.
In chapter 1 we develop the non-archimedean functional analysis that we will
require in the rest of the memoir. Section 1.1 is devoted to recalling various piecesof terminology that we will need, and to proving some results for which we could
not find references in the literature. None of the results are difficult, and most or
all are presumably well-known to experts. In section 1.2 we recall the theory ofFréchet-Stein algebras developed in [23, §3], and prove some additional results that
we will require in our applications of this theory.
In chapter 2 we recall the basics of non-archimedean function theory. Section 2.1
recalls the basic definitions regarding spaces of continuous, rigid analytic, and locally analytic functions with values in locally convex K-vector spaces, and establishes some basic properties of these spaces that we will require. Section 2.2 introduces the corresponding spaces of distributions. In section 2.3 we recall thedefinition and basic properties of the restriction of scalars functor, in both the rigid
analytic and the locally analytic setting.
In chapter 3 we present our construction of the space of locally analytic vectors
attached to a representation of a non-archimedean locally L-analytic group G.
After some preliminaries in sections 3.1 and 3.2, in section 3.3 we suppose that G
is the group of points of an affinoid rigid analytic group defined over L, and define
the space of analytic vectors. In section 3.4 we extend this construction to certain
non-affinoid rigid analytic groups.
In section 3.5, we return to the situation in which G is a locally L-analytic group,and construct the space of locally analytic vectors attached to any G-representation.
In section 3.6 we recall the notion of locally analytic representation, and also introduce the related notion of analytic representation, and establish some basic
properties of such representations.
Chapter 4 begins by recalling, in section 4.1, the notion of smooth and locallyfinite vectors in a G-representation. The main point of this section is to prove some
simple facts about representations in which every vector is smooth or locally finite.
In section 4.2 we assume that G is the group of L-valued points of a connected
reductive linear algebraic group G over L. For any finite dimensional algebraic
representation W of G over K, and for any G-representation V , we define the space
VW −alg of locally W -algebraic vectors in V , and study some of its basic properties.
As in [18], the representation V is said to be locally algebraic if every vector of V is
locally W -algebraic for some representation W of G. We prove that any irreducible
locally algebraic representation is isomorphic to the tensor product of a smooth
representation of G and a finite dimensional algebraic representation of G (firstproved in [18]).
One approach to analyzing representations V of G, the importance of which has
been emphasized by Schneider and Teitelbaum, is to pass to the dual space V 0 ,and to regard V 0 as a module over an appropriate ring of distributions on G. The
goal of chapter 5 is to recall this approach, and to relate it to the view-point ofchapter 3.
In section 5.1 we prove some simple forms of Frobenius reciprocity, and apply

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these to obtain a uniform development of the dual point of view for continuous,
analytic, and locally analytic representations. In section 5.2 we recall the description of algebras of analytic distributions via appropriate completions of universal
enveloping algebras. In section 5.3 we use this description, together with the methods of [1, §3], to present a new construction of the Fréchet-Stein structure on thering Dla (H, K) of locally analytic distributions on any compact open subgroup H
of G. In fact, we prove a slightly more general result, which implies not only that
Dla (H, K) is a Fréchet-Stein algebra, but also that the completed tensor productˆ K Dla (H, K) is Fréchet-Stein, for a fairly general class of commutative FréchetA⊗
Stein K-algebras A, namely, those possessing a Fréchet-Stein structure each ofwhose transition maps admits a certain kind of good integral model (as specified
in definition 5.3.21).
In chapter 6 we study the various admissibility conditions that have arisen so
far in locally analytic representation theory.
In section 6.1 we present our alternative definition of the category of admissible
locally analytic G-representations, and prove that it is equivalent to the definition
presented in [27].
In section 6.2, we recall the notion of strongly admissible locally analytic Grepresentation (introduced in [23]) and also the notion of admissible continuous Grepresentation (introduced in [25]). We prove that any strongly admissible locallyanalytic G-representation is an admissible G-representation, and also that if V isan admissible continuous G-representation, then Vla is a strongly admissible locallyanalytic G-representation. (Both of these results were originally established in [27].)
In section 6.3 we study admissible smooth and admissible locally algebraic representations. The main result concerning smooth representations is that a locallyanalytic smooth representation is admissible as a locally analytic representation if
and only if it is admissible as a smooth representation, and that it is then necessarily
equipped with its finest convex topology. (This was first proved in [27].)
In section 6.4 we suppose that the centre Z of G is topologically finitely generated. We are then able to define the category of essentially admissible locallyanalytic G-representations. As already indicated, these are locally analytic Grepresentations on a space V of compact type whose dual space V 0 is a coadmisˆ K Dla (H, K)-module, for one (or equivalently any) compact open
sible C an (Ẑ, K) ⊗
ˆ K Dla (H, K)
subgroup H of G. (The results of section 5.3 imply that C an (Ẑ, K) ⊗is a Fréchet-Stein algebra.)
In section 6.5 we introduce some simple notions related to invariant open lattices
in G-representations. In particular, we say that a G-invariant open lattice M isadmissible if the (necessarily smooth) action of G induced on M/πM (where π isa uniformizer of the ring of integers of K) is admissible. We characterize strongly
admissible locally analytic representations as being those essentially admissible locally analytic representations that contain a separated open H-invariant admissible
lattice, for some (or equivalently, every) compact open subgroup H of G.
In chapter 7, we discuss the representations of groups of the form G × Γ, where
G is a locally L-analytic group and Γ is a Hausdorff locally compact topologicalgroup that admits a countable basis of neighbourhoods of the identity consistingof open subgroups. (The motivating example is a group of the form G(Af ), where
G is a reductive group defined over some number field F , Af denotes the ringof finite adèles of F , and L is the completion of F at some finite prime.) In

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section 7.1 we introduce the notion of a strictly smooth representation of Γ on a
Hausdorff convex K-vector space V . This is a useful strengthening of the notionof a smooth representation in the context of topological group actions, defined byrequiring that the natural map lim
V H → V be a topological isomorphism. (Here−→H

the locally convex inductive limit is indexed by the open subgroups H of Γ.) In
section 7.2 we extend the various notions of admissibility introduced in chapter 6
to the context of G × Γ representations. Briefly, a topological representation ofG × Γ on a Hausdorff convex K-vector space V is said to be admissible locallyanalytic, essentially admissible locally analytic, or admissible continuous, if the Γaction on V is strictly smooth, and if the closed subspace of invariants V H has thecorresponding property as a G-representation, for each open subgroup H of Γ. The
section closes by considering locally algebraic representations in this context.
0.3. Terminology, notation, and conventions
We describe our terminological and notational conventions.
0.3.1. Throughout the memoir we fix a finite extension L of the field of p-adic
numbers Qp (for some fixed prime p), and let ordL : L× → Q denote the discrete
valuation on L, normalized so that ordL (p) = 1. We also fix an extension K
of L, spherically complete with respect to a a non-archimedean valuation ordK :K × → R extending ordL . We let OL and OK denote the rings of integers of L
and K respectively. We also let | – | denote the absolute value on K induced by thevaluation ordK .
0.3.2. A topological K-vector space V is called locally convex if there is a neighbourhood basis of the origin consisting of OK -submodules. Let us remark that thetheory of locally convex vector spaces over the non-archimedean field K can be
developed in a fashion quite similar to that of locally convex real or complex topological vector spaces. In particular, the hypothesis that K is spherically complete
ensures that the Hahn-Banach theorem holds for convex K-vector spaces [13]. Thus
we will on occasion cite a result in the literature dealing with real or complex convex
spaces and then apply the corresponding non-archimedean analogue, leaving it to
the reader to check that the archimedean proof carries over to the non-archimedean
setting. The lecture notes of Schneider [20] present a concise development of thefoundations of non-archimedean functional analysis.
We will often abbreviate the phrase “locally convex topological K-vector space”
to “convex K-vector space”.
0.3.3. The category of convex K-vector spaces and continuous K-linear maps isadditive, and all morphisms have kernels, cokernels, images, and coimages. We saythat a continuous K-linear map φ : V → W in this category is strict if its image
is equal to its coimage. Concretely, this means that the quotient of V modulo thekernel of φ embeds as a topological subspace of W . In particular, a surjection of
convex K-vector spaces is strict if and only if it is an open mapping.
We will say that a sequence of continuous K-linear maps of convex K-vector
spaces is exact if it is exact as a sequence of K-linear maps, and if furthermore all
the maps are strict.
0.3.4. Unless otherwise stated, any finite dimensional K-vector space is regarded
as a convex K-vector space, by equipping it with its unique Hausdorff topology.

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0.3.5. If V and W are two K-vector space we let Hom(V, W ) denote the K-vector
space of K-linear maps from V to W . The formation of Hom(V, W ) is contravariantly functorial in V and covariantly functorial in W .
0.3.6. An important case of the discussion of (0.3.5) occurs when W = K. The
space Hom(V, K) is the dual space to V , which we denote by V̌ . The formation ofV̌ is contravariantly functorial in V .
Passing to the transpose yields a natural injection Hom(V, W ) → Hom(W̌ , V̌ ).
0.3.7. If V and W are two convex K-vector spaces, then we let L(V, W ) denote
the K-vector subspace Hom(V, W ) consisting of continuous K-linear maps. As
with Hom(V, W ), the formation of L(V, W ) is contravariantly functorial in V andcovariantly functorial in W .
The space L(V, W ) admits various convex topologies. The two most common are
the strong topology (that is, the topology of uniform convergence on bounded subsets of V ), and the weak topology (that is, the topology of pointwise convergence).
We let Lb (V, W ), respectively Ls (V, W ), denote the space L(V, W ) equipped withthe strong, respectively weak, topology. The formation of Lb (V, W ) and Ls (V, W )are again both functorial in V and W .
0.3.8. An important case of the discussion of (0.3.7) occurs when W = K. The
space L(V, K) is the topological dual space to V , which we will denote by V 0 . The
Hahn-Banach theorem shows that if V is Hausdorff, then the functionals in V 0
separate the elements of V . The formation of V 0 is contravariantly functorial in V .
We let Vb0 and Vs0 denote V equipped with the strong, respectively weak, topology.
The formation of either of these convex spaces is contravariantly functorial in V .
Passing to the transpose yields the maps L(V, W ) → L(Wb0 , Vb0 ) and L(V, W ) →L(Ws0 , Vs0 ), which are injective when W is Hausdorff (since the elements of W 0 thenseparate the elements of W ).
There are natural K-linear maps V → (Vs0 )0 and V → (Vb0 )0 , which are injective
when V is Hausdorff. The first is then in fact always a bijection, while the second
is typically not. If it is, then V is called semi-reflexive.
There is a refinement of the notion of semi-reflexivity. Namely, we say that theHausdorff convex K-vector space V is reflexive if the map V → (Vb0 )0 is a topologicalisomorphism, when the target is endowed with its strong topology.
0.3.9. If V and W are two convex K-vector spaces then there are (at least) two
natural locally convex topologies that can be placed on the tensor product V ⊗K W.
The inductive tensor product topology is universal for separately continuous bilinear
maps of convex K-vector spaces V × W → U, while the projective tensor producttopology is universal for jointly continuous bilinear maps V × W → U. We let
V ⊗K,ι W denote V ⊗K W equipped with its inductive tensor product topology,
and V ⊗K,π W denote V ⊗K W equipped with its projective tensor product topology.
(This is the notation of [20, §17].) We denote the completions of these two convex
ˆ K,π W respectively. The identity map onˆ K,ι W and V ⊗K-vector spaces by V ⊗V ⊗K W induces a natural continuous bijection V ⊗K,ι W → V ⊗K,π W, whichˆ K,π W.
ˆ K,ι W → V ⊗extends to a continuous linear map V ⊗In many contexts, the bijection V ⊗K,ι W → V ⊗K,π W is a topological isomorphism. This is the case, for example, if W is finite dimensional, or if V and W are
Fréchet spaces. (See proposition 1.1.31 below for an additional such case.) In theseLOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

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ˆ K W to denote the topological tensor
situations, we write simply V ⊗K W and V ⊗product and its completion.
0.3.10. If G is a group then we let e denote the identity element of G.
0.3.11. If V is a K-vector space and G is a group, then we will refer to a left
action of G on V by K-linear endomorphisms of V simply as a G-action on V , oras a G-representation on V . (Thus by convention our group actions are always left
actions.)
If V is furthermore a topological K-vector space, and G acts on V throughcontinuous endomorphisms (or equivalently, topological automorphisms) of V , wewill refer to the G-action as a topological G-action on V .2
Finally, if V is a topological K-vector space and G is a topological group, thenwe have the notion of a continuous G-action on V : this is an action for which theaction map G × V → V is continuous. (Such an action is thus in particular atopological G-action on V .)One can also consider an intermediate notion of continuity for the action of a
topological group G on a topological K-vector space V , in which one asks merelythat the action map G × V → V be separately continuous. We remind the reader
that if V is a barrelled convex K-vector space and if G is locally compact thenthis a priori weaker condition in fact implies the joint continuity of the G-action.
(Indeed, since G is locally compact, we see that the action of a neighbourhood of theidentity in G is pointwise bounded, and thus equicontinuous, since V is barrelled.
The claim is then a consequence of lemma 3.1.1 below.)
0.3.12. If V and W are two K-vector spaces each equipped with a G-action, thenthe K-vector space Hom(V, W ) is equipped with a G-action, defined by the condition that g(φ(v)) = (gφ)(gv), for g ∈ G, φ ∈ Hom(V, W ) and v ∈ V . An elementof Hom(V, W ) is fixed under this G-action precisely if it is G-equivariant. We let
HomG (V, W ) denote the subspace of Hom(V, W ) consisting of G-fixed elements; itis thus the space of G-equivariant K-linear maps from V to W .
0.3.13. A particular case of the discussion of (0.3.12) occurs when V is a Kvector space equipped with a G-action, and W = K, equipped with the trivial
G-action. The resulting G-action on V̌ is called the contragredient G-action, and ischaracterized by the condition hgv̌, gvi = hv̌, vi for any elements v̌ ∈ V̌ and v ∈ V .
In other words, it is the action obtained on V̌ after converting the transpose actionof G on V̌ (which is a right action) into a left action.
If W is a second K-vector space equipped with a G-action, then the naturalinjection Hom(V, W ) → Hom(W̌ , V̌ ) is G-equivariant, if we endow the target with
the G-action of (0.3.12) induced by the contragredient G-action on each of W̌ and V̌ .
0.3.14. If V and W are two convex K-vector spaces each equipped with a topological G-action then L(V, W ) is a G-invariant subspace of Hom(V, W ). We let
LG (V, W ) denote the subspace of G-invariant elements; this is then the space ofcontinuous G-equivariant K-linear maps from V to W .
Since the formation of Lb (V, W ) and Ls (V, W ) is functorial in V and W , we seethat the G-action on either of these convex spaces is topological.
2 This is perhaps not the best imaginable terminology, but provides a succinct substitute for the
more accurate, but somewhat lengthy, expression, “an action of G by topological automorphismsof V ”.

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0.3.15. A particular case of the discussion of (0.3.14) occurs when V is a convex
K-vector space equipped with a topological G-action, and W = K equipped withthe trivial G-action. Thus we see that V 0 is G-invariant with respect to the contragredient action of G on V̌ , and that the contragredient action of G on either Vb0 or
Vs0 is again topological.
Furthermore, if W is a second convex K-vector space equipped with a topological
G-action, then the natural maps L(V, W ) → L(Wb0 , Vb0 ) and L(V, W ) → L(Ws0 , Vs0 )are G-equivariant. (Here the G-action on the target of either of these maps isdefined as in (0.3.14) using the contragredient G-action on W 0 and V 0 .)0.3.16. We will frequently be considering groups or K-vector spaces equipped withadditional topological structures, and consequently we will sometimes use the adjective “abstract” to indicate that a group or vector space is not equipped with any
additional such structure. Similarly, we might write that a K-linear map between
convex K-vector spaces is an isomorphism of abstract K-vector spaces if it is a
K-linear isomorphism that is not necessarily a topological isomorphism.
0.3.17. A crucial point in non-archimedean analysis is the distinction between locally analytic and rigid analytic spaces (and hence between locally analytic and rigid
analytic functions). Naturally enough, in the theory of locally analytic representations it is the notion of locally analytic function that comes to the fore. However,any detailed investigation of locally analytic phenomena ultimately reduces to theconsideration of functions given by power series, and hence to the consideration ofalgebras of rigid analytic functions. We refer to [28] and [3] for the foundations of
the locally and rigid analytic theories respectively.
Acknowledgments. I would like to thank David Ben-Zvi, Kevin Buzzard, Brian
Conrad, Jan Kohlhaase, Robert Kottwitz, Peter Schneider, Jeremy Teitelbaum,and Bertrand Toen for helpful discussions on various aspects of this memoir. I
also thank Owen Jones for pointing out some typos in an ealier version of themanuscript.
Chapter 1. Non-archimedean functional analysis
1.1. Functional analytic preliminaries
In this section we recall some functional analytic terminology, and establish some
simple results that we will require. We begin with a discussion of F H-spaces, BHspaces, spaces of LF -type, spaces of LB-type, LF -spaces, LB-spaces, and spacesof compact type. Our discussion of these notions owes quite a lot to that of [12, §1]
Definition 1.1.1. Let V be a Hausdorff locally convex topological K-vector space.
We say that V is an F H-space if it admits a complete metric that induces a locallyconvex topology on V finer than than its given topology. We refer to the topological
vector space structure on V induced by such a metric as a latent Fréchet spacestructure on V .
If V admits a latent Fréchet space structure that can be defined by a norm (thatis, a latent Banach space structure), then we say that V is a BH-space.
Proposition 1.1.2. (i) An F H-space V admits a unique latent Fréchet spacestructure. We let V denote V equipped with its latent Fréchet space structure.
(ii) If f : V1 → V2 is a continuous morphism of F H-spaces then f : V 1 → V 2 isa continuous morphism of Fréchet spaces.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

11

Proof. Suppose that V1 and V2 are F H-spaces and that f : V1 → V2 is a continuous
map between them, and let V 1 and V 2 denote some latent Fréchet space structureon each of these spaces. The identity map then induces a continuous bijection
V 1 × V 2 → V1 × V2 .
Since V2 is Hausdorff, the graph Γf of f is closed in V1 × V2 , and so also in V 1 × V 2 .
The closed graph theorem now shows that f : V 1 → V 2 is continuous. This
proves (ii). To prove (i), take V1 = V2 = V, let V 1 and V 2 be two latent Fréchetspace structures on V , and let f be the identity map from V to itself. 
Proposition 1.1.3. (i) If V is an F H-space (respectively a BH-space) and W isa closed subspace of V then W is also an F H-space (respectively a BH-space), andW is a closed subspace of V .
(ii) If V1 → V2 is a surjective map of Hausdorff topological K-vector spaces andV1 is an F H-space (respectively a BH-space) then V2 is an F H-space (respectively
a BH-space).
Proof. (i) The identity map from V to itself induces a continuous map V → V .
The preimage of W under this map is a closed subspace of V , which thus equips
W with a latent Fréchet space structure, which is in fact a latent Banach spacestructure if V is a Banach space.
(ii) Let W denote the kernel of the composite V 1 → V1 → V2 , which is acontinuous map. Since V2 is Hausdorff we see that W is closed in V 1 , and so themap V 1 /W → V2 is a continuous bijection whose source is either a Fréchet spaceor a Banach space, depending on our hypothesis on V1 . This equips V2 with either
a latent Fréchet space structure or a latent Banach space structure. 
Definition 1.1.4. If V is a Hausdorff topological K-vector space, an F H-subspace(respectively a BH-subspace) W of V is a subspace W of V that becomes an F Hspace (respectively a BH-space) when equipped with its subspace topology.
Proposition 1.1.5. If W1 and W2 are F H-subspaces (respectively
BH-subspaces)Tof the Hausdorff topological K-vector space V then so are W1 W2 and W1 + W2 .
Proof. Let W denote the kernel of the morphism(1.1.6)W1 ⊕ W2(w1 ,w2 )7→w1 +w2−→V.

Since this is a continuous morphism into the Hausdorff space V , we see that W isa closed subspace of W 1 ⊕ W 2 , and so is either a Fréchet space or a Banach space,depending on our hypothesis on W1 and W2 .
The continuous morphism
W1 ⊕ W2(w1 ,w2 )7→w1

−→

V

T
T
induces a continuous bijection from W to W1 W2 , and thus equips W1 W2 witheither a latent Fréchet space structure or a latent Banach space structure. The
morphism (1.1.6) induces a continuous bijection from (W 1 ⊕ W 2 )/W to W1 + W2 ,and thus equips W1 + W2 with either a latent Fréchet space structure or a latent
Banach space structure. This proves the proposition. 12

MATTHEW EMERTON

Proposition 1.1.7. If f : V1 → V2 is a continuous map of Hausdorff topological
K-vector spaces and if W is an F H-subspace (respectively a BH-subspace) of V1 ,then f (W ) is an F H-subspace (respectively a BH-subspace) of V2 .
Proof. This follows from proposition 1.1.3 (ii). 
Proposition 1.1.8. Let V be a Hausdorff topological K-vector space, and let W
be a finite dimensional K-vector space. If U is an F H-subspace (respectively a
BH-subspace) of V then U ⊗K W is an F H-subspace (respectively a BH-subspace)of V ⊗K W . Conversely, if T is an F H-subspace (respectively a BH-subspace) of
V ⊗K W, then there is an F H-subspace (respectively a BH-subspace) U of V suchthat T ⊂ U ⊗K W .
Proof. Let U be an F H-subspace or a BH-subspace of V . The latent Fréchet or
Banach space structure U on U induces a latent Fréchet or Banach space structure
U ⊗K W on U ⊗K W, proving the first assertion.
Suppose now that T is an arbitrary F H-subspace or BH-subspace of V ⊗K W.
What we have just proved shows that T ⊗K W̌ is either an F H-subspace or a BHsubspace of V ⊗K W ⊗K W̌ . Let U be the image of T ⊗K W̌ under the natural map
V ⊗K W ⊗K W̌ → V , given by contracting W against W̌ . Proposition 1.1.7 showsthat U is either an F H-subspace or a BH-subspace of V, and it is immediately seenthat there is an inclusion T ⊂ U ⊗K W . 
Definition 1.1.9. We say that a Hausdorff convex
S∞K-vector space V is of LF -type(respectively of LB-type) if we may write V = n=1 Vn , where V1 ⊂ V2 ⊂ · · · ⊂Vn ⊂ · · · is an increasing sequence of F H-subspaces (respectively BH-subspaces)of V .
Proposition
1.1.10. If V is a Hausdorff convex K-vector space of LF -type, sayS∞
V = n=1 Vn , for some increasing sequence V1 ⊂ V2 ⊂ · · · ⊂ Vn ⊂ · · · of F Hsubspaces of V , then any F H-subspace of V is contained in Vn for some n.
Proof. This follows from [5, prop. 1, p. I.20]. 
If V is a Hausdorff locally convex topological K-vector space, if A is a bounded
OK -submodule of V , and if VA denotes the vector subspace of V spanned by A,
then the gauge of A defines a norm on VA , with respect to which the map VA → V
becomes continuous. If A is furthermore closed and semi-complete, then VA is
complete with respect to this norm [5, cor., p. III.8] (see also [20, lem. 7.17]), andhence is a BH-subspace of V . Conversely, if W is a BH-subspace of V , thenthe image of the unit ball of W is a bounded OK -submodule A of V , and themap W → V factors as W → VB → V for any bounded OK -submodule B of
V containing A. (Here VB is equipped with its norm topology.) In particular,
if V is semi-complete, then the spaces VA , as A ranges over all closed bounded
OK -submodules of V , are cofinal in the directed set of all BH-subspaces of V .
Proposition 1.1.11. If V is a semi-complete locally convex Hausdorff K-vector
space, and if A is a bounded subset of V , then there is a BH-subspace W of V
containing A, such that A is bounded when regarded as a subset of W . If furthermore
V is either Fréchet or of compact type (as defined below in definition 1.1.16 (ii)),
then W can be chosen so that the topologies induced on A by V and W coincide.
Proof. We begin by replacing A by the closed OK -submodule of V that it generates;
this is then a closed bounded OK -submodule of V . The first claim then follows
directly from the preceding discussion.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

13

In the case where V is a Fréchet space, the second claim of the theorem follows∼
from [20, lem. 20.5]. Suppose now that V is of compact type, and write V −→lim
Vn , where the transition maps Vn → Vn+1 are injective and compact maps−→nbetween Banach spaces. Since V is complete and of LB-type, the first claim,
together with proposition 1.1.10, shows that we may find an integer n and a bounded
subset An of Vn such that A is equal to the image of An under the injection Vn → V .
(Alternatively, apply [20, lem. 16.9 (ii)], which in any case is used in the proof that
V is complete [20, prop. 16.10 (i)].) Since the injection Vn → Vn+1 is compact,
the image An+1 of An in Vn+1 is c-compact (being closed, since it is the preimageof the closed subset A of V ). The map An+1 → A is thus a continuous bijection
from the c-compact OK -module An+1 to the OK -module A, and so is a topologicalisomorphism. Thus taking W = Vn+1 proves the second claim in the case where V
is of compact type. 
If V is a Hausdorff convex K-vector space, then there is a continuous bijection
W → V, where W runs over all BH-subspaces of V . The spaces for which
lim
−→
W

this map is a topological isomorphism are said to be ultrabornological [5, ex. 20,
p. III.46]. In particular, semi-complete bornological Hausdorff convex spaces areultrabornological [5, cor., p. III.12]. Since the property of being either barrelled orbornological is preserved under the passage to locally convex inductive limits, we
see that any ultrabornological Hausdorff convex K vector space is necessarily bothbarrelled and bornological.
Suppose that V is a convex K-vector space described as a locally convex inductive
limit V = lim
Vi , and that U is a closed subspace of V . If Ui denotes the preimage of−→i∈I

U in Vi , for each i ∈ I, then the natural map lim
Ui → U is a continuous bijection,−→i∈Ibut in general it is not a topological isomorphism.
Proposition 1.1.12. Suppose that V is a Hausdorff ultrabornological convex KW , where W ranges over all BH-subspaces of V .
vector space, and write V = lim−→
W

If U isTa closed subspace of V that is also ultrabornological, then the natural map
lim
U W → U is a topological isomorphism.
−→
W

Proof. Since U is ultrabornological, by assumption, it is the inductive limit of
T its
BH-subspaces. Each of these subspaces is a BH-subspace of V , and so U W
ranges over all BH-subspaces of U , as W ranges over all BH-subspaces of V . 
The following definition provides a relative version of the notion of BH-space.
Definition 1.1.13. A continuous linear map between Hausdorff topological Kvector spaces U → V is said to be BH if it admits a factorization of the form
U → W → V, where W is a K-Banach space.
Equivalently, U → V is a BH-map if its image lies in a BH-subspace W of V ,and if it lifts to a continuous map U → W .
Obviously, any map whose source or target is a K-Banach space is a BH-map.
Lemma 1.1.14. Any compact map between locally convex Hausdorff topological
K-vector spaces is a BH-map.

14

MATTHEW EMERTON

Proof. Given a compact map U → V , there is by definition an open OK -submoduleof U whose image in V has c-compact (and in particular bounded and complete)closure. If we denote this closure by A, we may factor U → V into continuous maps
U → VA → V . Since A is closed, bounded, and complete the above discussion showsthat VA is a Banach space, and so the map U → V is a BH-map. (This argument
is taken from [20, p. 101]; note that we are using the notation and results discussed
prior to the statement of proposition 1.1.11.) Lemma 1.1.15. If V is a semi-complete convex Hausdorff K-vector space, then amap U → V is a BH-map if and only if some open neighbourhood of the origin in
U has bounded image in V .
Proof. Since Banach spaces contain bounded open neighbourhoods of the origin, it
is clear that any BH-map U → V has the stated property. Conversely, suppose thatsome open neighbourhood of U maps into a bounded subset A of V . We may as
well suppose that A is a closed OK -submodule of V . Then U → V factors throughthe natural map VA → V , and so is a BH-map. (We are using the notation andresults discussed prior to the statement of proposition 1.1.11.) 
Definition 1.1.16. (i) We say that a locally convex topological K-vector space
is an LF -space (respectively, LB-space) if it is isomorphic to the locally convex
inductive limit of a sequence of K-Fréchet spaces (respectively K-Banach spaces).
(ii) We say that a Hausdorff locally convex topological K-vector space is ofcompact type if it is isomorphic to the locally convex inductive limit of a sequenceof convex K-vector spaces in which the transition maps are compact.
∼

Let V be a Hausdorff LF -space (respectively LB-space), and write V −→ lim
Vn ,
−→
n

where {Vn } is an inductive sequence of K-Fréchet spaces (respectively K-Banach
spaces). If we let Wn denote the quotient of Vn by the kernel of the natural map
Vn → V , then Wn is again a K-Fréchet space (respectively K-Banach space), since
V is Hausdorff by assumption. The transition maps between the spaces Vn induce
transition maps between the spaces Wn , which thus form an inductive sequence,and the natural map lim
Vn → lim
Wn is an isomorphism. Hence V may be written
−→
−→
n

n

as the inductive limit of a sequence of K-Fréchet spaces (respectively K-Banach
spaces) with injective transition maps. In particular V is of LF -type (respectively,
LB-type). In fact, proposition 1.1.10 shows that the Hausdorff LF -spaces (respectively LB-spaces) are precisely the Hausdorff ultrabornological convex spaces of
LF -type (respectively LB-type). (To see the LF -case of this assertion, use the factthat Fréchet spaces are ultrabornological.)Any convex K-vector space V of compact type is in fact an LB-space (as follows∼
from Lemma 1.1.14). Write V −→ lim
Vn , where {Vn } is an inductive sequence of−→n

K-Banach spaces with compact transition maps. As in the preceding paragraph,
let Wn denote the quotient of Vn by the kernel of the natural map Vn → V .
The transition maps in the inductive sequence {Wn } are again compact, and thus
any compact type convex K-vector space may in fact be written as the locallyconvex inductive limit of an inductive sequence of K-Banach spaces having compact
injective transition maps. Conversely, the locally convex inductive limit of any
inductive sequence of K-Banach spaces having compact injective transition maps
is Hausdorff [20, lem. 16.9], and so is of compact type. We refer to [20, prop. 16.10]

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

15

and [23, p. 445] for a fuller discussion of spaces of compact type. Of particularimportance is the fact that any such space is complete and reflexive, and that
passage to the strong dual induces an anti-equivalence of categories between the
category of compact convex K-vector spaces and the category of nuclear K-Fréchetspaces.
We recall the following version of the open mapping theorem.
Theorem 1.1.17. A continuous surjection V → W from a convex Hausdorff LF space to a convex Hausdorff space is strict if and only if W is an LF -space.
Proof. The forward implication is a special case of [5, cor., p. II.34]. To prove∼the converse implication, write V −→ lim
Vn as an inductive limit of a sequence−→nof Fréchet spaces, and let V → W be a strict surjection. For each value of n, let
Wn denote the quotient of the Fréchet space Vn by the kernel of the composite
Vn → V → W ; then Wn is again a Fréchet space. The surjection from V to W
factors as
V → lim
Wn → W,−→nand the second morphism is a continuous bijection. Since the composite of bothmorphisms is a strict surjection, by assumption, so is this second morphism. Thus
it is a topological isomorphism, and hence W is an LF -space, as claimed. In particular, a continuous bijection between LF -spaces is necessarily a topological isomorphism.
Proposition 1.1.18. If V is a Hausdorff convex K-vector space that is both an
LB-space and normable then V is a Banach space.
∼

Proof. Write V −→ lim
Vn . We may and do assume, without loss of generality,−→nthat the transition morphisms Vn → Vn+1 are injective. Passing to duals yields acontinuous bijection(1.1.19)

Vb0 → lim
(Vn0 )b .
←−n(Recall that the subscript b denotes that each dual is equipped with its strong
topology.) Since V is normable, its dual Vb0 is a Banach space. Similarly, each
dual (Vn0 )b is a Banach space, and so lim(Vn0 )b is a Fréchet space. Thus the open←−nmapping theorem shows that (1.1.19) is an isomorphism.
Let pn : Vb0 → (Vn0 )b denote the natural map. Let U denote the unit ball in Vb0 ,and Un the unit ball in (Vn0 )b (with respect to some choices of norms on these
Banach spaces). Taking into account the fact that (1.1.19) is an isomorphism,
together with the definition of the projective limit topology, we see that we mayfind some n and some α ∈ K × such that
(1.1.20)p−1
n (αUn ) ⊂ U.

Since U contains no non-trivial subspace of Vb0 , we see from (1.1.20) that pn has atrivial kernel, and so is injective. Thus (1.1.20) shows that in fact pn is a topologicalembedding.

16

MATTHEW EMERTON

Let V̂ denote the Banach space obtained by completing V . The natural map
V̂b0 → Vb0 is an isomorphism, and so the natural map V̂b0 → (Vn0 )b is a topologicalembedding. We deduce from [5, cor. 3, p. IV.30] that the injection
Vn → V̂(1.1.21)is a topological embedding, and hence has a closed image. Since (1.1.21) also
has dense image (since V 0 → Vn0 is injective), it is a topological isomorphism. We
conclude that the natural map V → V̂ is a topological isomorphism, as required. 
Proposition 1.1.22. If V is a Hausdorff convex K-vector space that is both an∼
LF -space and semi-complete, then writing V −→ lim
Vn as the inductive limit of−→na sequence of Fréchet spaces, we have that for any convex K-vector space W , thenatural map Lb (V, W ) → lim
Lb (Vn , W ) is a topological isomorphism.
←−n∼Proof. Since V −→ lim
Vn , we see that for any convex K-vector space W the natu−→n

ral map Lb (V, W ) → lim
Lb (Vn , W ) is certainly a continuous bijection. Propo←−nsitions 1.1.10 and 1.1.11 show that it is in fact a topological isomorphism, as
claimed. 
Corollary 1.1.23. If V is a semi-complete locally convex Hausdorff LB-space, and
if W is a Fréchet space, then Lb (V, W ) is a Fréchet space.
Proof. If we write V = lim
Vn as the locally convex inductive limit of a sequence−→n∼of Banach spaces, then proposition 1.1.22 shows that Lb (V, W ) −→ lim
Lb (Vn , W ).
←−n

Since a projective limit of a sequence of Fréchet spaces is again a Fréchet space, itsuffices to prove the corollary in the case when V is a Banach space. Since W is aFréchet space, it is obvious that Lb (Vn , W ) has a countable basis of neighbourhoodsof the origin. That it is complete follows from [20, prop. 7.16]. 
Proposition 1.1.24. If V is a semi-complete locally convex Hausdorff LB-space,and if W is a Fréchet space, then any morphism V → W is a BH-morphism.
Proof. Suppose given such a morphism. By lemma 1.1.15, we must show that there
is an open neighbourhood of the origin of V that has bounded image in W . The
transpose of the given map induces a continuous map(1.1.25)

Wb0 → Vb0 .

Corollary 1.1.23 shows that Vb0 is a Fréchet space. Thus [5, lem. 1, p. IV.26]
implies that some neighbourhood of the origin of Wb0 maps into a bounded subset
of Vb0 . Since V is bornological (being an LB-space), any bounded subset of Vb0
is equicontinuous. Thus (1.1.25) maps the pseudo-polar of some bounded OK submodule of W into the pseudo-polar of an open lattice in V . From [20, prop. 13.4]
we conclude that the original map V → W maps some open lattice in V into abounded OK -submodule of W , and we are done. 
We now establish some results pertaining to topological tensor products.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

17

Proposition 1.1.26. Suppose that U , V and W are Hausdorff locally convex Kvector spaces, with U bornological, and V and W complete. If we are given anˆ K,π W is
ˆ K,π V → U ⊗injective continuous map V → W , then the induced map U ⊗again injective.
Proof. Since U is bornological, the double duality map U → (Ub0 )0b is a topologicalembedding [20, lem. 9.9], which by [20, cor. 17.5 (ii)] induces a commutative diagramˆ K,π VU⊗/U⊗
ˆ K,π W
ˆ K,π V
(Ub0 )0b ⊗/ (U 0 )0 ⊗
ˆ
b b K,π W

in which the vertical arrows are again topological embeddings. Thus it suffices toprove the proposition with U replaced by (Ub0 )0b . Propositions 7.16 and 18.2 of [20]now yield a commutative diagramˆ K,π V
(Ub0 )0b ⊗/ (U 0 )0 ⊗
ˆ K,π WL(Ub0 , V )/ L(U 0 , W ),bb b

in which the vertical arrows identify each of the topological tensor products withthe subspace of the corresponding spaces of linear maps consisting of completely
continuous maps. These arrows are thus injective, and so is the lower horizontal
arrow (being induced by the injection V → W ). Consequently the upper horizontal
arrow is also injective, as claimed. 
Corollary 1.1.27. If U0 → U1 and V0 → V1 are injective continuous maps ofˆ K V0 → U1 ⊗
ˆ K V1 is injective.
K-Banach spaces, then the induced map U0 ⊗Proof. Banach spaces are bornological and complete. Thus this follows by applying
ˆ K V0 → U0 ⊗
ˆ K V1 and U0 ⊗
ˆ K V1 →proposition 1.1.26 to the pair of maps U0 ⊗ˆ
U1 ⊗K V1 . 
Proposition 1.1.28. If V and W are two nuclear K-Fréchet spaces then the comˆ K W is again a nuclear K-Fréchet space.
pleted topological tensor product V ⊗Proof. The completed tensor product of two Fréchet spaces is again a Fréchet space.
Propositions 19.11 and 20.4 of [20] show that if V and W are nuclear, then so isˆK W. V⊗
Proposition 1.1.29. If V and W are two Fréchet spaces, each described as a∼∼projective limit of a sequence of Fréchet spaces, V −→ lim
Vn and W −→ lim
Wn ,
←−
←−
n

∼

n

ˆ K W −→ lim Vn ⊗
ˆ K Wn .
then there is a natural isomorphism V ⊗←−nProof. The functoriality of the formation of projective tensor products and of completions shows that there are natural maps
ˆ K W → lim Vn ⊗
ˆ K Wn .
V ⊗K W → V ⊗←−n

A consideration of the definition of the projective topology on V ⊗K W , and hence
ˆ K W , shows that the second of these mapsof the topology on the Fréchet space V ⊗is a topological isomorphism. 

18

MATTHEW EMERTON

Lemma 1.1.30. If V and W are two convex K-vector spaces expressed as locally∼∼convex inductive limits, say V −→ lim
Vi and W −→ lim
Wj , then there is a natural
−→
−→
i∈I

isomorphism

lim
−→

j∈J

∼

Vi ⊗K,ι Wj −→ V ⊗K,ι W.

(i,j)∈I×J

Proof. For each (i, j) ∈ I × J, the functoriality of the formation of inductive tensor
products yields a continuous map Vi ⊗K,ι Wj → V ⊗K,ι W. Passing to the inductive
limit yields a continuous map lim
Vi ⊗K,ι Wj → V ⊗K,ι W, which is in fact a−→(i,j)∈I×J

bijection (since on the level of abstract K-vector spaces, the formation of tensor
products commutes with passing to inductive limits). A consideration of the universal property that defines the inductive tensor product topology shows that thismap is a topological isomorphism. 
Proposition 1.1.31. If V and W are two semi-complete LB-spaces, then the natural bijection V ⊗K,ι W → V ⊗K,π W is a topological isomorphism.
Proof. This follows from the argument used to prove [5, thm. 2, p. IV.26]. Corollary 1.1.23 replaces the citation of “IV, p. 23, prop. 3” in that argument, while
proposition 1.1.24 replaces the citation of “lemma 1”. 
Not only is the preceding proposition proved in the same way as [5, thm. 2,
p. IV.26], it generalizes that result. Indeed, the strong dual of a reflexive Fréchetspace is a complete LB-space (as follows from propositions 2 and 4 of [5, pp. IV.22–
23]).
As was already mentioned in (0.3.9), when the hypotheses of the preceding proposition apply, we write simply V ⊗K W to denote the tensor product of V and W ,equipped with its inductive (or equivalently, its projective) tensor product topology.
ˆ K W to denote the completion of V ⊗K W .
We write V ⊗Proposition 1.1.32. Let V and W be convex K-vector spaces of compact type,∼∼
Wn −→ W be expressions of V and W respectively
Vn −→ V and lim
and let lim
−→
−→
n

n

as the locally convex inductive limit of Banach spaces, with injective and compact
transition maps.
∼
ˆ K W. In particular,ˆ K Wn −→V⊗(i) There is a natural isomorphism lim
Vn ⊗
−→
n

ˆ K W is of compact type.
V⊗ˆ K W is strongly dual to the nuclear Fréchet space(ii) The compact space V ⊗ˆ K Wb0 .
Vb0 ⊗Proof. We begin with (i). Consider the commutative diagram(1.1.33)

lim
Vn ⊗K Wn−→

/ V ⊗K Wnˆ K Wn
lim
V
⊗
n
−→


/V⊗
ˆ K W.

nLemma 1.1.30 implies that the top horizontal arrow is a topological isomorphism.
By definition, the right-hand vertical arrow is a topological embedding that identifies its target with the completion of its source. We will show that the same is trueof the left-hand vertical arrow. This will imply that the bottom horizontal is also
a topological isomorphism, as required.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

19

The fact that the composite of the top horizontal arrow and the right-handvertical arrow in (1.1.33) is a topological embedding implies that the left-handvertical arrow is also a topological embedding. It clearly has dense image. From
ˆ K Wn is the inductive limit
corollary 1.1.27 and [20, lem. 18.12] we see that lim
Vn ⊗
−→
n

of a sequence of Banach spaces with compact and injective transition maps, hence
is of compact type, and so in particular is complete. Thus the left-hand verticalarrow of (1.1.33) does identify its target with the completion of its source, and thediscussion of the preceding paragraph shows that (i) is proved.
In order to prove part (ii), note that the strong duals Vb0 and Wb0 are nuclear
Fréchet spaces (and so in particular are reflexive). It follows from [20, prop. 20.13]∼
ˆ K W −→
ˆ K Wb0 )0b . Part (ii) follows
that there is a topological isomorphism V ⊗(Vb0 ⊗
ˆ K W . (Alternatively,
upon appealing to the reflexivity of the convex space V ⊗ˆ K Wb0 is again a nuclear Fréchet space. This also
proposition 1.1.28 shows that Vb0 ⊗ˆ K W is of compact type.) 
provides an alternative proof that V ⊗Lemma 1.1.34. If U and V are convex K-vector spaces, with U barrelled, and if
A and B are bounded OK -submodules of U and V respectively, then A ⊗OK B is abounded OK -submodule of U ⊗K,ı V.
Proof. To prove the lemma, it suffices to show that for any separately continuous
K-bilinear pairing U × V → W , the induced map U ⊗K,ı V → W takes A ⊗OK B
to a bounded subset of W . The given pairing realizes B as a pointwise bounded setof continuous maps U → W . Since U is barrelled, it follows that in fact B induces
an equicontinuous set of maps U → W . Thus A ⊗OK B does indeed have bounded
image in W , as required. 
Proposition 1.1.35. If U , V and W are convex K-vector spaces, with U barrelled,∼then the natural isomorphism of abstract K-vector spaces Hom(U ⊗K V, W ) −→Hom(U, Hom(V, W )) (expressing the adjointness of ⊗ and Hom) induces a continuous bijection of convex K-vector spaces
Lb (U ⊗K,ı V, W ) → Lb (U, Lb (V, W )).
Proof. It follows from [5, prop. 6, p. III.31] that the adjointness of ⊗ and Hom
induces an isomorphism of abstract K-vector spaces∼

L(U ⊗K,ı V, W ) −→ L(U, Lb (V, W )).
It remains to be shown that this map is continuous, when both the source and thetarget are equipped with their strong topology. This follows from lemma 1.1.34. 
We end this section with a presentation of some miscellaneous results and definitions.
Proposition 1.1.36. Let V and W be Hausdorff convex K-vector spaces, and suppose that every bounded subset of Wb0 is equicontinuous as a set of functionals on W .
(This holds if W is barrelled or bornological, for example.) Then passing to thetranspose induces a topological embedding of convex spaces Lb (V, W ) → Lb (Wb0 , Vb0 ).
Proof. As observed in (0.3.8), passing to the transpose always induces an injection Lb (V, W ) → Lb (Wb0 , Vb0 ). We must show that under the assumptions of the
proposition this is a topological embedding.

20

MATTHEW EMERTON

Let B 0 be bounded in Wb0 and let U 0 be a neighbourhood of zero in Vb0 . Writem to denote the maximal ideal of OK . Then by definition of the strong topology
on V 0 , there exists a bounded subset B of V such that U 0 ⊃ {v 0 ∈ V 0 | v 0 (B) ⊂m}. A neighbourhood basis of the origin in Lb (Wb0 , Vb0 ) is thus given by the sets
0
0
0
0
0 0
0
0
0
SB,B
0 = {φ : Wb → Vb | φ (b )(B) ⊂ m for all b ∈ B }, as B and B range over the00bounded subsets of V and Wb respectively. If SB,B 0 denotes the preimage of SB,B0000in L(V, W ), then SB,B 0 = {φ : V → W | b (φ(B)) ⊂ m for all b ∈ B }.
If B is a bounded subset of V and if U is a neighbourhood of zero in W , then write
TB,U = {φ : V → W | φ(B) ⊂ U }. As B runs over all bounded subsets of V andU runs over all neighbourhoods of zero in W the sets TB,U form a neighbourhoodbasis of zero in Lb (V, W ). Thus we must compare the collections of subsets TB,U
and SB,B 0 of L(V, W ). Since W is locally convex, we may restrict our attention to
those TB,U for which U is an open OK -submodule of W .
If U is an open OK -submodule of W and we set BU0 = {w0 ∈ W 0 | w0 (U ) ⊂ m}then BU0 is a bounded subset of Ws0 , and the theory of pseudo-polars (see [20,cor. 13.5]) shows that U = {w ∈ W | b0 (w) ∈ m for all b0 ∈ BU0 }. We conclude that
TB,U = SB,BU0 .
Conversely, if B 0 is an arbitrary bounded subset of Wb0 then by assumption B 0
is an equicontinuous set of functionals on W, and so there exists an open OK submodule U in W such that b0 (U ) ⊂ m for every b0 ∈ B 0 . Thus B 0 ⊂ BU0 , and so
SB,B 0 ⊃ SB,BU0 = TB,U . This result, together with that of the preceding paragraph,shows that Lb (V, W ) → Lb (Wb0 , Vb0 ) is a topological embedding, as required. 
Proposition 1.1.36 is an extension of the well-known fact that for any convex
K-vector space W satisfying the hypothesis of the proposition, the double duality
map W → (Wb0 )0b is a topological embedding. (See [5, p. IV.15], or [20, lem. 9.9].)
Definition 1.1.37. If V is a locally convex topological K-vector space, then we
define the bounded-weak topology on V 0 to be the finest locally convex topology
on V 0 which induces on each bounded subset of Vb0 a topology coarser than that0denote V 0 equipped with the bounded-weak topology.
induced by Vs0 . We let Vbs
Proposition 1.1.38. Suppose given locally convex spaces V and W , with W barrelled and complete, and a continuous linear map V → W . If this map has theproperty that it maps any bounded subset of V into a c-compact subset of W , then0
→ Vb0 .
its transpose induces a continuous map Wbs
Proof. By [19, prop. 5, p. 153], we see that the transpose map Wb0 → Vb0 also takes
bounded subsets into c-compact subsets.
Let B be a bounded subset of Wb0 . Since W is barrelled, the classes of equicontinuous, strongly bounded, and weakly bounded subsets of W 0 coincide. Also, any
weakly closed weakly bounded subset of W 0 , being also equicontinuous, is in fact
weakly c-compact.
We see in particular that the weak closure of a strongly bounded set is again
strongly bounded, and thus that any strongly bounded subset of W 0 is contained ina strongly bounded subset that is weakly c-compact. Let B be such a subset of W 0 .
The image of B is then c-compact with respect to the topology on Vs0 . In particular
it is closed in Vs0 , and so also in Vb0 . On the other hand this image is contained in ac-compact subset of Vb0 , and thus is itself a c-compact subset of Vb0 . The topologies
on the image of B induced by Vb0 and Vs0 thus coincide, and so the transpose map

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

21

Ws0 → Vb0 is continuous when restricted to B. By definition, we conclude that it0yields a continuous map Wbs→ Vb0 , as claimed. 
Definition 1.1.39. We say that a Hausdorff convex K-vector space V is hereditarily complete if any Hausdorff quotient of V is complete.
Fréchet spaces are hereditarily complete, as are spaces of compact type. (In fact,
the strong dual to any reflexive Fréchet space is hereditarily complete, by [19, cor.,p. 114] and the discussion on page 123 of this reference.)
Proposition 1.1.40. Any closed subspace of a hereditarily complete Hausdorffconvex K-vector space is again hereditarily complete.
Proof. Let V → W be a closed embedding, with W a hereditarily complete convex
K-vector space. If U is a closed subspace of V , then V /U is a closed subspace of
W/U . Since W/U is complete, by assumption, the same if true of V /U . Thus V isalso hereditarily complete. Proposition 1.1.41. Let V be convex K-vector space of compact type, and write∼
V −→ lim
Vn , where {Vn } is a sequence of Banach spaces with compact injective−→ntransition maps. Suppose given a closed subspace Un ⊂ Vn for each n, such thatfor all n the preimage of Un+1 under the map Vn → Vn+1 is equal to Un . Then
U = lim
Un is again of compact type, and the natural map U → V is a closed−→nembedding.
Proof. For each n write Wn = Vn /Un . It is immediate from our assumptions thatfor each n, the maps Un → Un+1 and Wn → Wn+1 are compact and injective. Thus
we obtain the diagram of continuous K-linear maps
0 → lim
Un → lim
Vn → lim
Wn → 0,
−→
−→
−→
n

n

n

which is short exact as a diagram of abstract K-vector spaces, and in which each of
the spaces appearing is of compact type. Theorem 1.1.17 implies that the maps in
Un → lim
Vn is a closed
this diagram are in fact strict, and so in particular that lim−→−→nembedding, as claimed.

n

1.2. Fréchet-Stein algebras
In this section we recall some basic aspects of the theory of Banach and Fréchet
K-algebras, and especially the notion of Fréchet-Stein structure, introduced in [27].
We adopt the convention that all modules are left modules.
Definition 1.2.1. (i) A locally convex topological K-algebra is a locally convex
topological K-vector space A equipped with a K-algebra structure, such that themultiplication map A × A → A is jointly continuous. (Equivalently, such that themultiplication map induces a continuous morphism A ⊗K,π A → A.)
If A is a K-Banach space (respectively, a K-Fréchet space), then we will refer to
A as a K-Banach algebra (respectively, a K-Fréchet algebra).
(ii) If A is a locally convex topological K-algebra, then a locally convex topological A-module is a locally convex topological K-vector space M equipped with an
A-module structure (compatible with its K-vector space structure), such that the22

MATTHEW EMERTON

multiplication map A × M → M is jointly continuous. (Equivalently, such that themultiplication map induces a continuous morphism A ⊗K,π M → M .)If M is a K-Banach space (respectively, a K-Fréchet space), then we will refer
to M as an A-Banach module (respectively, an A-Fréchet module).
(iii) If A is a locally convex topological K-algebra, and M is a locally convex
topological A-module, then we say that M is finitely generated over A (as a topological module) if there exists a strict surjection of A-modules An → M for somen ≥ 0.
Note that in part (iii), when we say that a topological module is finitely generated, we require that it be presentable topologically (not just algebraically) as aquotient of some finite power of A.
We remark that it follows from [3, prop. 1.2.1/2] that if A is a Banach algebrain the sense defined above, then A admits a norm with respect to which it becomesa Banach algebra in the usual sense [3, def. 3.7.1/1].
Lemma 1.2.2. If A is a locally convex topological K-algebra, and M is a locallyconvex topological A-module, then there is a unique locally convex topological Amodule structure on the completion M̂ of M , such that the natural morphism M →M̂ becomes A-linear.
Proof. Clear. Lemma 1.2.3. Let A → B be a continuous homomorphism of locally convex topological K-algebras, and let M be a locally convex topological A-module. If B ⊗A M
is endowed with the quotient topology obtained by regarding it as a quotient of
B ⊗K,π M , then it becomes a locally convex topological B-module.
Proof. Clear. In the context of lemma 1.2.3, we will always regard B ⊗A M as a topological
B-module by endowing with it the quotient topology induced from B ⊗K,π M. We
ˆ A M denote the completion of the locally convex B-module B ⊗A M .
let B ⊗
Proposition 1.2.4. Let A be a Noetherian K-Banach algebra.
(i) Every finitely generated A-module has a unique structure of K-Banach space
making it an A-Banach module.
(ii) If f : M → N is an A-linear morphism between finitely generated A-modules,
then f is continuous and strict with respect to the Banach space structures on M
and N given by (i).
Proof. Part (i) is a restatement of [3, props. 3.7.3/3]. Part (ii) is a restatement of[3, prop. 3.7.3/2, cor. 3.7.3/5]. This proposition shows in particular that if A is Noetherian, then the forgetful
functor from the category of finitely generated A-Banach modules to the category offinitely generated abstract A-modules is an equivalence of categories. In particular,
since the latter category is abelian (A being Noetherian), the same is true of theformer.
Proposition 1.2.5. Let A → B be a continuous homomorphism of locally convex
topological K-algebras, and suppose that B is hereditarily complete (in the sense ofdefinition 1.1.39). If M is a finitely generated locally convex topological A-module,

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

23

ˆ A M is surjective, and B ⊗ˆ A M is a finitely
then the natural map B ⊗A M → B ⊗generated topological B-module.
Proof. By assumption there is a strict surjection An → M for some n ≥ 0, andhence a strict surjection B n → B ⊗A M . Since B, and hence B n , is hereditarily complete, the quotient of B n by the closure of the kernel of this surjection isˆ A M is surjective, as claimed. complete. Thus B ⊗A M → B ⊗Note that if A and B are Noetherian Banach algebras, then [3, prop. 3.7.3/6]
ˆ A M is in fact an isomorphism.
shows that the map B ⊗A M → B ⊗Definition 1.2.6. Let A be a locally convex topological K-algebra. A weakFréchet-Stein structure on A consists of the following data:(i) A sequence of locally convex topological K-algebras {An }n≥1 , such that each
An is hereditarily complete (in the sense of definition 1.1.39).
(ii) For each n ≥ 1, a continuous K-algebra homomorphism An+1 → An , which
is a BH-map of convex K-vector spaces (in the sense of definition 1.1.13).
∼(iii) An isomorphism of locally convex topological K-algebras A −→ lim
An (the←−nprojective limit being taken with respect to the maps of (ii)), such that each of theinduced maps A → An has dense image.
We say that A is a weak Fréchet-Stein K-algebra if it admits a weak Fréchet-Steinstructure.
Note that if A admits a weak Fréchet-Stein structure, then it is the projective
limit of a sequence of Hausdorff convex K-vector spaces with BH-transition maps,
and so is a Fréchet space. Thus a weak Fréchet-Stein algebra is, in particular, aFréchet algebra.
Suppose given a sequence of locally convex topological K-algebras {An }n≥1 satisfying conditions (i) and (ii) of definition 1.2.6, and an isomorphism of locally∼convex topological K-algebras A −→ lim
An . If we let Bn denote the closure of←−nthe image of A in An , then the projective system {Bn }n≥1 also satisfies conditions (i) (by proposition 1.1.40) and (ii) (since clearly the BH-map An+1 → An∼
induces a BH-map Bn+1 → Bn ). The natural map A −→ lim
Bn is also an isomor←−nphism, and by construction it satisfies condition (iii) of definition 1.2.6. Thus A isa weak Fréchet-Stein K-algebra, and the projective system {Bn }n≥1 forms a weakFréchet-Stein structure on A.
∼∼
We say that two weak Fréchet-Stein structures A −→ lim
An and A −→ lim
Bn
←−
←−
n

n

on A are equivalent if the projective systems {An }n≥1 and {Bn }n≥1 are isomorphic
in the category of projective systems of topological K-algebras.
Proposition 1.2.7. If A is a locally convex topological K-algebra, then any two
weak Fréchet-Stein structures on A are equivalent.
∼∼

Proof. Let A −→ lim
An and A −→ lim
Bn be two weak Fréchet-Stein structures
←−
←−
n

n

on A. Since each transition map An+1 → An is assumed to be a BH-map with dense
image, we may factor each map as An+1 → Vn → An , where Vn is a Banach space,and each map has dense image. Similarly, we may factor each map Bn+1 → Bn as
Bn+1 → Wn → Bn , where Wn is a Banach space, and each map has dense image.

24

MATTHEW EMERTON

Thus we obtain a pair of projective systems of Banach spaces {Vn }n≥1 and{Wn }n≥1 , each with dense transition maps, the first being equivalent to {An }n≥1
and the second being equivalent to {Bn }n≥1 . Since the projective limit of each of{Vn }n≥1 and {Wn }n≥1 is the same Fréchet space A, they are necessarily equivalent.
It follows that {An }n≥1 and {Bn }n≥1 are equivalent as projective systems of convex
K-vector spaces. Since A has dense image in each of the topological algebras An
and Bn , they are then necessarily equivalent as projective systems of topologicalK-algebras. ∼

Definition 1.2.8. Let A be a weak Fréchet-Stein algebra, and let A −→ lim
An←−nbe a choice of a weak Fréchet-Stein structure on A.
If M is a locally convex topological A-module, then we say that M is coadmissible(with respect to the given weak Fréchet-Stein structure on A) if we may find thefollowing data:(i) A sequence {Mn }n≥1 , such that Mn is a finitely generated locally convex
topological An -module for each n ≥ 1.
∼
ˆ An+1 Mn+1 −→(ii) An isomorphism of topological An -modules An ⊗Mn foreach n ≥ 1.
∼(iii) An isomorphism of topological A-modules M −→ lim
Mn . (Here the projec←−ntive limit is taken with respect to the transition maps Mn+1 → Mn induced by theisomorphisms of (ii).)
We will refer to such a projective sequence {Mn }n≥1 as above as an {An }n≥1 sequence (for the coadmissible module M ).
∼If A is equipped with a weak Fréchet-Stein structure A −→ lim
An , then since←−neach An is hereditarily complete, proposition 1.2.5 implies that for any finitely
generated locally convex topological An+1 -module Mn , the completed tensor prodˆ An+1 Mn is finitely generated. Thus hypothesis (ii) of definition 1.2.8 is
uct An ⊗reasonable. Note that it also implies that Mn is Hausdorff, for each n ≥ 1.
If we are in the situation of definition 1.2.8, then for any n ≥ 1, we may construct
a commutative diagram
/ Am
Am
n+1
n

Mn+1


/ Mn

(for an appropriately chosen value of m ≥ 0), in which the vertical arrows are strict
surjections. Since the upper horizontal arrow is BH, by assumption, the same∼is true of the lower horizontal arrow. Thus M −→ lim
Mn is isomorphic to the←−nprojective limit of Hausdorff locally convex spaces under BH-transition maps, andso is a Fréchet space.
∼
Let us remark that the isomorphism A −→ lim
An witnesses A as a coadmissible←−ntopological A-module.
Proposition 1.2.9. If A is a weak Fréchet-Stein algebra, and if M is a locallyconvex topological A-module that is coadmissible with respect to one choice of weakFréchet-Stein structure on A, then M is coadmissible with respect to any suchchoice.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS
∼

25

∼

Proof. Let A −→ lim
An and A −→ lim
Bn be two weak Fréchet-Stein structures
←−
←−
n≥1

n≥1

on A. Proposition 1.2.7 shows that we may find strictly increasing functions φ andψ mapping N to itself, such that for each n ≥ 1, the map A → An (respectively
A → Bn ) factors through the map A → Bφ(n) (respectively A → Aψ(n) ).
Suppose that {Mn }n≥1 is an {An }n≥1 -sequence realizing M as a coadmissible
module for the weak Fréchet-Stein structure on A induced by the projective seˆ Aψ(n) Mψ(n) . Proposition 1.2.5
quence {An }n≥1 . For each n ≥ 1, define Nn := Bn ⊗shows that Nn is a finitely generated Bm -module. Since ψ(n + 1) ≥ ψ(n), the transition map Mψ(n+1) → Mψ(n) induces a continuous Bn+1 -linear map Nn+1 → Nn .
ˆ Bn+1 Nn+1 → Nn , which sits
This in turn induces a continuous Bn -linear map Bn ⊗in the commutative diagram/ Nn

ˆ Bn+1 Nn+1
Bn ⊗

ˆ Bn+1 (Bn+1 ⊗ˆ Aψ(n+1) Mψ(n+1) )
Bn ⊗


∼

ˆ Aψ(n+1) Mψ(n+1)
Bn ⊗
∼


ˆ Aψ(n) (Aψ(n) ⊗ˆ Aψ(n+1) Mψ(n+1) )Bn ⊗/ Bn ⊗
ˆA

ψ(n)Mψ(n) .

ˆ Aψ(n+1) Mψ(n+1) → Mψ(n) is an isomorBy assumption, the natural map Aψ(n) ⊗phism, and thus the same is true of the lower, and so also of the upper, horizontal
arrow in this diagram. Altogether, we see that the sequence of topological modules{Nn }n≥1 satisfies conditions (i) and (ii) of definition 1.2.8.
The projection M → Mψ(n) induces a continuous A-linear map M → Nn , foreach n ≥ 1 (compatible with the transition map Nn+1 → Nn ), and consequently
there is a continuous A-linear map M → lim
Nn . We will prove that this is a←−ntopological isomorphism, and hence show that {Nn }n≥1 also satisfies condition (iii)of definition 1.2.8, and thus is a {Bn }n≥1 -sequence realizing M as a coadmissible
module with respect to the weak Fréchet-Stein structure on M induced by the
projective sequence {Bn }n≥1 .
Note that there is the obvious natural map Mψ(n) → Nn . On the other hand,since ψ(φ(n)) ≥ n for any n ≥ 1, we see that for any such value of n there is a
ˆ Aψ(φ(n)) Mψ(φ(n)) → An ⊗
ˆ Aψ(φ(n)) Mψ(φ(n)) → Mn (thenatural map Nφ(n) = Bφ(n) ⊗first map being induced by the fact that A → An factors through A → Bφ(n) ,and the second map by the transition function Mψ(φ(n)) → Mn ). Thus the projective systems {Mn }n≥1 and {Nn }n≥1 are equivalent, and in particular the natural
map M → lim
Nn is a topological isomorphism. This completes the proof of the←−nproposition. 
Definition 1.2.10. Let A be a locally convex topological K-algebra. A Fréchet∼
Stein structure on A is a weak Fréchet-Stein structure A −→ lim
An on A, such
←−
n

26

MATTHEW EMERTON

that for each n ≥ 1, the algebra An is a left Noetherian K-Banach algebra, and thetransition map An+1 → An is right flat.
We say that A is a Fréchet-Stein algebra if it admits a Fréchet-Stein structure.
The notion of Fréchet-Stein structure and Fréchet-Stein algebra is introduced in[27, def., p. 7]. The notion of weak Fréchet-Stein structure is a useful generalization,
which provides additional flexibility when it comes to constructing and analyzingFréchet-Stein algebras and their coadmissible modules.
∼
Suppose that A −→ lim
An is a Fréchet-Stein structure on the locally convex←−n∼

topological K-algebra A. If M −→ lim
Mn is a coadmissible A-module, where←−n{Mn }n≥1 is an {An }n≥1 -sequence, then each Mn is a Hausdorff quotient of Arnn ,for some rn ≥ 0, and hence is an An -Banach module. The remark following theproof of proposition 1.2.5 implies that the natural map An ⊗An+1 Mn+1 → Mn is
an isomorphism. Thus the notion of coadmissibility for topological A-modules as
defined above coincides with that defined in [27, p. 152].
The following theorem incorporates the most important results of [27, §3].
∼

Theorem 1.2.11. Let A be a Fréchet-Stein algebra, and let A −→ lim
An be a←−n

choice of weak Fréchet-Stein structure on A.
(i) If M is a coadmissible A-module, and if {Mn }n≥1 is an {An }n≥1 -sequence for∼which there is a topological isomorphism M −→ lim
Mn , then for each value of n,←−nˆ A M → Mn is an isomorphism. Consequently, the natural
the natural map An ⊗ˆ
map A → lim
A⊗M
is an isomorphism.
n A
←−
n

(ii) The full subcategory of the category of topological A-modules consisting of
coadmissible A-modules is closed under passing to finite direct sums, closed submodules, and Hausdorff quotient modules, and is abelian.
∼

Proof. Let A −→ lim
Bn be a Fréchet-Stein structure on A; such a structure exists,←−
mby assumption. Following the proof of proposition 1.2.9, we use proposition 1.2.7 tochoose strictly increasing functions φ and ψ mapping N to itself, such that for eachn ≥ 1, the map A → An (respectively A → Bn ) factors through the map A → Bφ(n)ˆ Aψ(n) Mψ(n) . As
(respectively A → Aψ(n) ). For each n ≥ 1, we define Nn := Bn ⊗in the proof of proposition 1.2.9, we find that {Nn }n≥1 is a {Bn }n≥1 -sequence
realizing M as a coadmissible module with respect to the Fréchet-Stein structure
on A induced by the projective sequence {Bn }. It follows from [27, cor. 3.1] that for
any n ≥ 1, the natural map Bn ⊗A M → Nn is a topological isomorphism. (Actually,that result as stated shows only that this map is a continuous Bn -linear bijection
between Hausdorff finitely generated topological Bn -modules. However, such a map
is necessarily a topological isomorphism, since Bn is a Banach algebra.) Since Nnˆ A M. Thus
is in fact complete, the source of this isomorphism is isomorphic to Bn ⊗
ˆ A M → Nn = Bn ⊗
ˆ Aψ(n) Mψ(n) is an isomorphism for any
the natural map Bn ⊗n ≥ 1. Applying this with n replaced by φ(n), we obtain the required isomorphism∼

ˆ A M −→ An ⊗
ˆ Bφ(n) (Bφ(n) ⊗
ˆA M)
An ⊗
∼

∼

∼

ˆ Bφ(n) (Bφ(n) ⊗ˆ Aψ(φ(n)) Mψ(φ(n)) ) −→ An ⊗
ˆ Aψ(φ(n)) Mψ(φ(n)) −→ Mn−→ An ⊗

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

27(the final isomorphism following from our assumption that {Mn } is an {An }sequence). This proves (i).
Part (ii) is a restatement of [27, cor. 3.4 (i),(ii)]. 
Note that part (ii) of the preceding result implies in particular that any finitely
presented A-module admits a unique topology with respect to which it becomes a
coadmissible topological A-module, and that continuous morphisms between coadmissible topological A-modules are strict. It is furthermore shown in [27] that any
A-linear map between coadmissible locally convex topological A-modules is necessarily continuous (and hence strict), or equivalently, that the forgetful functor fromthe category of coadmissible locally convex topological A-modules to the categoryof abstract A-modules is fully faithful. (See the remark following the proof of [27,lem. 3.6].)
Definition 1.2.12. We say that a topological K-algebra A is a nuclear Fréchet
algebra if there exists a projective system {An }n≥1 of K-Banach algebras with∼compact transition maps, and an isomorphism of topological K-algebras A −→
lim
An .
←−
n

It follows from [20, cor. 16.6] that any topological K-algebra A satisfying theconditions of the preceding definition is in particular a nuclear Fréchet space.
If we let Bn denote the closure of the image of A under the natural map A → An ,for each n ≥ 1, the space Bn is a Banach subalgebra of An , and the natural map
A → lim
Bn is an isomorphism. Thus, in definition 1.2.12, it is no loss of generality←−nto require that A have dense image in each of the topological K-algebras An . Sincecompact type maps are BH-maps (by lemma 1.1.14), and since Banach spaces arehereditarily complete, we find that a nuclear Fréchet algebra is in particular a weakFréchet-Stein algebra.
Lemma 1.2.13. The completed tensor product of a pair of nuclear Fréchet algebras
over K is again a nuclear Fréchet algebra.
∼∼

Proof. If A −→ lim
An and B −→ lim
Bn are two nuclear Fréchet algebras, written
←−
←−
n

n

as projective limits, with compact transition maps, of K-Banach algebras, thenpropositions 1.1.29 and [20, lem. 18.12] together yield a topological isomorphism∼ˆ K B −→
ˆ K Bn , where the transition maps are again compact. This
A⊗
lim
An ⊗
←−
n

proves the lemma. ∼

Proposition 1.2.14. Let A be a nuclear Fréchet algebra, and write A −→ lim
An←−n

as in definition 1.2.12, with the further hypothesis that A has dense image in each
An . Let Aop denote the opposite algebra to A. If V is a compact type convex
K-vector space, then the following structures on V are equivalent:(i) An A-module structure for which the multiplication map A × V → V isseparately continuous.
(ii) A topological Aop -module structure on the dual space Vb0 .
∼(iii) An isomorphism V −→ lim
Vn , where {Vn } is an inductive sequence of K−→n

Banach spaces, in which each Vn is endowed with the structure of a topologicalAn -module, and such that the transition maps Vn → Vn+1 are compatible with themap An+1 → An .

28

MATTHEW EMERTON

Proof. Proposition 1.1.35 shows that giving a separately continuous bilinear map
A×V →V

(1.2.15)

is equivalent to giving a continuous map A → Lb (V, V ), and (taking into accountthat A and Vb0 are both nuclear Fréchet spaces, so that a separately continuous
bilinear map
A × Vb0 → Vb0(1.2.16)is automatically jointly continuous) that giving a jointly continuous bilinear map
as in (1.2.16) is equivalent to giving a map A → Lb (Vb0 , Vb0 ). Proposition 1.1.36,
and the fact that V is reflexive, shows that the natural map Lb (V, V ) → Lb (Vb0 , Vb0 )is a topological isomorphism. Thus passing to duals shows that the existence ofthe separately continuous bilinear map (1.2.15) is equivalent to the existence of thejointly continuous bilinear map (1.2.16). It is straightforward to check that (1.2.15)
induces an A-module structure on V if and only if (1.2.16) induces an Aop -module
structure on Vb0 . Thus (i) and (ii) are equivalent.
If (iii) holds, then each Vn is in particular a topological A-module, and thetransition maps Vn → Vn+1 are compatible with the A-module structure on source
and target. Passing to the inductive limit in n, we find that V is an A-module, andthat the map A × V → V describing this module structure is separately continuous.
Thus (iii) implies (i).
We now turn to showing that (i) implies (iii). Suppose to begin with that V
is any compact type convex K-vector space, and consider the space Lb (A, V ). By∼
ˆ K V , and so by proposi[20, cor. 18.8] there is an isomorphism Lb (A, V ) −→ A0b ⊗tion 1.1.32 (i) we see that Lb (A, V ) is of compact type. By proposition 1.1.10, any
map A → V factors through a map An → Vn for some n ≥ 1, and hence there is acontinuous bijectionlim
Lb (An , Vn ) → Lb (A, V ).
−→n

(In fact this is a topological isomorphism, since its source and target are both LBspaces.) The image of Lb (An , Vn ) in Lb (A, V ) is an An -invariant BH-subspace of
Lb (A, V ). The right regular representation of An on Lb (An , Vn ) makes the latter atopological An -Banach module, and thus Lb (A, V ) satisfies the condition of (iii).
Now suppose that V satisfies condition (i). Proposition 1.1.35 also yields acontinuous injection(1.2.17)

V → Lb (A, V ).

Evaluation at 1 ∈ A gives a splitting of the injection (1.2.17), and hence this map
is in fact a closed embedding. If we give Lb (A, V ) the A-module structure inducedby the right regular representation of A, then (1.2.17) is furthermore a map of
A-modules. The discussion of the preceding paragraph shows that V is thus aclosed A-submodule of an A-module satisfying condition (iii). Thus V also satisfies
condition (iii). More precisely, if we let Vn denote the preimage in Lb (An , Vn )of V , so that Vn is a closed A-submodule of Lb (An , Vn ), then Vn is in fact an∼
An -submodule of Lb (An , Vn ) (because A is dense in An ), and V −→ lim
Vn . 
−→nLOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

29

Chapter 2. Non-archimedean function theory
2.1. Continuous, rigid analytic, and locally analytic functions
In this section we recall the basic notions of non-archimedean function theory.
Definition 2.1.1. If X is a set and V is a K-vector space, we let F(X, V ) denote
the K-vector space of V -valued functions on X.
The formation of F(X, V ) is evidently covariantly functorial in V and contravariantly functorial in X. In particular, for each x ∈ X we obtain a natural map∼
F(X, V ) → F(x, V ) −→ V, that we denote by evx . (Of course, this is simply theevaluation map at x.)
Definition 2.1.2. If X is a Hausdorff topological space and if V is a Hausdorff
locally convex topological K-vector space, then we let C(X, V ) denote the K-vector
space of continuous V -valued functions on G, equipped with the (Hausdorff locallyconvex) topology of uniform convergence on compact sets.
The vector space C(X, V ) is a subspace of F(X, V ), and the formation of C(X, V )is covariantly functorial in V and contravariantly functorial in X. In particular, if
x ∈ X then the restriction of evx to C(X, V ) is a continuous map to V , which wedenote by the same symbol evx .
Multiplying K-valued functions by vectors in V induces a jointly continuous
bilinear map C(X, K) × V → C(X, V ), and hence a continuous map C(X, K) ⊗K,πV → C(X, V ). The example of [20, pp. 111–112] shows that if X is compact and if
V is complete, then this map induces an isomorphism(2.1.3)∼ˆ K,π V −→C(X, K) ⊗C(X, V ).

Proposition 2.1.4. If X is a compact topological space, and if V is a Fréchet space(respectively a Banach space), then C(X, V ) is again a Fréchet space (respectively
a Banach space).
Proof. Since V is in particular assumed to be complete, the isomorphism (2.1.3)
shows that C(X, V ) is the completed tensor product of a Banach space and a Fréchetspace (respectively a Banach space), and hence is itself a Fréchet space (respectively
a Banach space). (One can also prove this statement directly, by using a choice of
metric or norm defining the topology on V to construct a sup metric or sup normon C(X, V ), which defines the topology on C(X, V ).) In particular, if X is compact then C(X, K) is a Banach space.
Corollary 2.1.5. Let X be a locally compact topological space that can be written
as a disjoint union of compact open subsets, and let V be a Fréchet space.
(i) The convex space C(X, V ) is barrelled.
(ii) If X is furthermore σ-compact, then C(X, V ) is a Fréchet space.
`
Proof. Let X = i Xi be the hypothesized decomposition of X into a disjoint∼
union of compact open subsets. Then we obtain a natural isomorphism C(X, V ) −→Q
i C(Xi , V ). Proposition 2.1.4 implies in particular that each of the spaces C(Xi , V )is barrelled. Thus C(X, V ) is isomorphic to a product of barrelled spaces, hence isitself barrelled [5, cor., p. IV.14].

30

MATTHEW EMERTON

If X is σ-compact, then the collection {Xi } is countable. Thus (again by proposition 2.1.4) C(X, V ) is isomorphic to a product of a countable number of Fréchetspaces, and so is itself a Fréchet space. 
Let X be a compact topological space. If V is a Hausdorff convex K-vector space
and if W is a BH-subspace of V , then the image of the natural map C(X, W ) →C(X, V ) is a BH-subspace of V . (We refer to definition 1.1.1 for the notion of a
BH-subspace of V . Recall in particular that if W is a BH-subspace of V then W
denotes the latent Banach space structure on W .)Proposition 2.1.6. If X is a compact topological space, and if V is either a Fréchetspace or a space of compact type, then any BH-subspace of C(X, V ) is contained in
the image of the natural map C(X, W ) → C(X, V ), for some BH-subspace W of V .
In particular, the natural map limC(X, W ) → C(X, V ) (where the locally convex−→
W

inductive limit is taken over all BH-subspaces W of V ) is a continuous bijection.
If V is a Fréchet space, then this map is even a topological isomorphism.
Proof. Since V is in particular assumed to be complete, the same is true of C(X, V ).
Thus any BH-subspace of C(X, V ) is contained in the subspace generated by someclosed bounded OK -submodule of C(X, V ). Any such set is in turn contained in the
set C(X, A), for some closed bounded OK -submodule A of V . Proposition 1.1.11
shows that we may find a BH-subspace W of V containing A, such that A isbounded when regarded as a subset of W and such that the topology induced on
A by W agrees with the topology induced on A by V . We may therefore regard
C(X, A) as a bounded subset of C(X, W ). The first claim of the proposition follows.
If U ranges over the directed set of all BH-subspaces of C(X, V ), then the natural map lim
U → C(X, V ) is a continuous bijection. If V is a Fréchet space,−→Uthen proposition 2.1.4 implies that C(X, V ) is also, and so in particular is ultrabornological. Thus in this case, the preceding natural map is even a topologicalisomorphism. The result of the preceding paragraph shows that the natural map
lim
C(X, W ) → lim
U is a also a topological isomorphism. The remaining claims of
−→
−→
W

U

the proposition now follow. 
If V is a convex space of compact type, so that in particular V is of LB-type,then the preceding proposition implies that the convex space C(X, V ) is also of
LB-type.
Proposition 2.1.7. If V and W are two Hausdorff convex K-vector spaces, and
if X is a non-empty Hausdorff topological space, then the natural map
Lb (V, W ) → Lb (C(X, V ), C(X, W ))(induced by the functoriality of the formation of C(X, – )) is a topological embedding.
Proof. If C is a compact subset of X and U is a neighbourhood of zero in V
(respectively W ) then let SC,U denote the subset of C(X, V ) (respectively C(X, W ))defined by SC,U = {f | f (C) ⊂ U }. This set is a neighbourhood of zero in C(X, V )(respectively C(X, W )), and such sets form a neighbourhood basis of zero, if C isallowed to run over all compact subsets of X and U to run over all neighbourhoodsof zero in V (respectively W ). In light of this it is straightforward to check that a

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

31

subset B of C(X, V ) is bounded if and only if for every compact subset C of X, thesubset {f (c) | f ∈ B, c ∈ C} is a bounded subset of V .
If B is bounded subset of C(X, V ) and SC,U is a neighbourhood of zero in C(X, W )of the type described in the preceding paragraph, let TB,C,U denote the subset of
L(C(X, V ), C(X, W )) defined by TB,C,U = {φ | φ(B) ⊂ SC,U }. This set is a neighbourhood of zero in Lb (C(X, V ), C(X, W )), and such sets form a neighbourhoodbasis of zero if B is allowed to run over all bounded subsets B of C(X, V ), C overall compact subsets of X, and U over all neighbourhoods of zero in W .
Fixing such a B, C, and U , let D denote the subset of V defined by D ={f (c) | f ∈ B, c ∈ C}. As observed above, D is a bounded subset of V . The
preimage of TB,C,U under the natural map L(V, W ) → L(C(X, V ), C(X, W )) isequal to {φ | φ(D) ⊂ U }. Since D is bounded in V and U is open in W this aneighbourhood of zero in Lb (V, W ). Thus we have proved that the natural map
Lb (V, W ) → Lb (C(X, V ), C(X, W )) is continuous. Since X is non-empty this map isalso evidently injective, and so it remains to prove that any open subset of Lb (V, W )can be obtained by pulling back an open subset of Lb (C(X, V ), C(X, W )).
Let D be an arbitrary bounded subset of V , and define B to be that subset ofC(X, V ) consisting of the constant functions corresponding to the elements of D.
In this case we see that for any non-empty compact subset C of X, the set D isrecovered as the set {f (c) | f ∈ B, c ∈ C}. Thus our preceding calculations showthat for any neighbourhood U of zero in W , the preimage of TB,C,U in L(V, W )is precisely equal to {φ | φ(D) ⊂ U }. Since sets of this type form a neighbourhoodbasis of zero in Lb (V, W ), we find that the map Lb (V, W ) → Lb (C(X, W ), C(X, W ))is a topological embedding, as claimed. 
Definition 2.1.8. If V is a Hausdorff convex K-vector space, then let c0 (N, V )denote the space of sequences in V that converge to zero, equipped with the (locallyconvex Hausdorff) topology of uniform convergence.
S
If N̂ = N {∞} denotes the one-point compactification of the discrete topologicalspace N, then we may regard c0 (N, V ) as the closed subspace of C(N̂, V ) consistingof those functions that vanish at infinity.
Definition 2.1.9. Let X be an affinoid rigid analytic space defined over L.
(i) We let C an (X, K) denote the K-Banach algebra of K-valued rigid analytic
functions defined on X.
(ii) If V is a K-Banach space then we define the K-Banach space C an (X, V )of V -valued rigid analytic functions on X to be the completed tensor productˆ V.
C an (X, K) ⊗The formation of C an (X, V ) is evidently covariantly functorial in V and contravariantly functorial in X.
Proposition 2.1.10. If X is an affinoid rigid analytic space defined over L, then∼there is an isomorphism C an (X, K) −→ c0 (N, K).
Proof. This is standard. 
Definition 2.1.11. If V is a Hausdorff locally convex topological K-vector spaceand X is an affinoid rigid analytic space defined over L, we define the locally convex
space C an (X, V ) of V -valued rigid analytic functions on X to be the locally convex

32

MATTHEW EMERTON

inductive limit of Banach spaces
C an (X, V ) := lim
C an (X, W ),−→W

where W runs over the directed set of all BH-subspaces W of V .
The formation of C an (X, V ) is covariantly functorial in V (use proposition 1.1.7)
and contravariantly functorial in X. Note that if V is a K-Banach space thendefinitions 2.1.9 and 2.1.11 yield naturally isomorphic objects, since V then forms
a final object in the directed set of all BH-subspaces of V .
If W is a BH-subspace of V , then the continuous injection W → V induces aˆ K W → C an (X, K) ⊗
ˆ K,π V.
natural map C an (X, W ) = C an (X, K) ⊗Passing to the inductive limit in W we obtain a natural map
ˆ K,π V.
C an (X, V ) → C an (X, K) ⊗(2.1.12)

Proposition 2.1.13. Let V be a Hausdorff convex space, and let X be an affinoid
rigid analytic space over L.
(i) The map (2.1.12) is injective.
(ii) If V is furthermore a Fréchet space, then the map (2.1.12) is a topologicalisomorphism.
Proof. Let V̂ denote the completion of V . If W is a BH-subspace of V , then theinjection W → V → V̂ yields an injection c0 (N, W ) → c0 (N, V̂ ). Passing to the
locally convex inductive limit over all BH-subspaces W of V , we obtain an injectionlimc (N, W ) → c0 (N, V̂ ).
−→ 0(2.1.14)W∼

If we choose an isomorphism C an (X, K) −→ c0 (N, K), as in proposition 2.1.10,
then the isomorphism (2.1.3) — applied to the one-point compactification of N —allows us to rewrite this injection as an injection
ˆ K W → C an (X, K) ⊗
ˆ K,π V.
lim
C an (X, K) ⊗−→W

This is the map (2.1.12), and so we have proved part (i) of the proposition.
If V is a Fréchet space, then proposition 2.1.6 shows that the map (2.1.14) is a
topological isomorphism, and hence that (2.1.12) is a topological isomorphism inthis case. This proves part (ii) of the proposition. 
Note that the preceding result shows that C an (X, V ) is Hausdorff, since it injects
ˆ K,π V.
continuously into the Hausdorff space C an (X, K) ⊗Since the proof identifies C an (X, V ) with c0 (N, V ) when V is Fréchet, we also seethat if V is Fréchet then C an (X, V ) is again Fréchet. On the other hand, if V is of
LB-type, then proposition 1.1.10, together with the definition of C an (X, V ) as an
inductive limit, shows that C an (X, V ) is an LB-space.
We require the notion of a relatively compact morphism of rigid analytic spaces.
Although this can be defined more generally [3, §9.6.2], the following special caseof this definition will suffice for our purposes.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

33

Definition 2.1.15. We say that a morphism X → Y of affinoid rigid analytic
varieties over L is relatively compact if it fits into a commutative diagramX/YBn (r1 )/ Bn (r2 ),for some r1 < r2 , in which the right-hand vertical arrow is a closed immersion, andthe lower horizontal arrow is the natural open immersion. (Here for any n and r welet Bn (r) := {(x1 , . . . , xn ) | |xi | ≤ r for all i = 1, . . . , n} denote the n-dimensional
closed ball of radius r centred at the origin of An .)Proposition 2.1.16. If X → Y is a relatively compact morphism of affinoid rigid
analytic spaces over L, then the induced map C an (Y, K) → C an (X, K) is compact.
Proof. The diagram whose existence is guaranteed by definition 2.1.15 yields a
diagram of morphisms of Banach spaces
C an (B(r2 ), K)/ C an (B(r1 ), K)C an (Y, K)/ C an (X, K),

in which the left-hand vertical arrow is surjective, and hence open. Thus to prove
the proposition, it suffices to show that the upper morphism is compact. This is
standard, and is in any case easily checked. We will need to consider topological vector-space valued analytic functions on
rigid analytic spaces that are not necessarily affinoid. The various classes of spaces
encompassed by the following definition are suitable for our purposes.
Definition 2.1.17. Let X be a rigid analytic space defined over L.
(i) We say that X is σ-affinoid if there is an increasing
sequence X1 ⊂ X2 ⊂S∞
· · · ⊂ Xn ⊂ · · · of affinoid open subsets of X such that X = n=1 Xn , with {Xn }n≥1forming an admissible cover of X.
(ii) We say that X is strictly σ-affinoid if there is an increasing sequence X1 ⊂X2 ⊂ · · · ⊂ Xn ⊂ · · · of admissible affinoid openSsubsets of X such that each of these∞inclusions is relatively compact, such that X = n=1 Xn , with {Xn }n≥1 forming an
admissible cover of X.
(iii) We say that X is quasi-Stein if there is an increasing sequence X1S⊂ X2 ⊂∞· · · ⊂ Xn ⊂ · · · of admissible affinoid open subsets of X such that X = n=1 Xn ,with {Xn }n≥1 forming an admissible cover of X, and such that for each n ≥ 1, themap C an (Xn+1 , K) → C an (Xn , K) induced by the inclusion Xn ⊂ Xn+1 has dense
image. (This definition is due to Kiehl [15].)(iv) We say that X is strictly quasi-Stein if there is an increasing sequence X1 ⊂X2 ⊂ · · · ⊂ Xn ⊂ · · · of admissible affinoid open subsets
S∞ of X such that each of theseinclusions is relatively compact, such that X = n=1 Xn , with {Xn }n≥1 forming
an admissible cover of X, and such that for each n ≥ 1, the map C an (Xn+1 , K) →C an (Xn , K) induced by the inclusion Xn ⊂ Xn+1 has dense image.

34

MATTHEW EMERTON

Evidently any strictly σ-affinoid or quasi-Stein rigid analytic space is also σaffinoid, and any strictly quasi-Stein rigid analytic space is quasi-Stein. The basic
example of a σ-affinoid rigid analytic space that we have in mind is that of an open
ball, which may be written as a union of an increasing sequence of closed balls. Of
course, an open ball is even strictly quasi-Stein.
S∞
If X is σ-affinoid, and if X = n=1 Xn is an admissible open cover of X satisfying
the conditions of definition 2.1.17 (i), then any admissible affinoid open subset Y
of X is contained in Xn for some n. Thus the sequence of admissible affinoid open
subsets {Xn } of X is cofinal in the directed set of all admissible affinoid open subsets
of X.
Definition 2.1.18. Suppose that X is a σ-affinoid rigid analytic space definedover L. If V is a Hausdorff locally analytic convex K-vector space, then we define
the convex K-vector space C an (X, V ) of analytic V -valued functions on X to be
the projective limit lim
C an (Y, V ), where Y runs over all admissible affinoid open←−Y

subsets of X.
Since C an (X, V ) is defined as the projective limit of Hausdorff locally convex
spaces, it is again Hausdorff locally convex. The formation of C an (X, V ) is covariantly functorial in V and contravariantly functorial in X. The remarks preceding
definition 2.1.18 show that the projective limit that appears in this definition may
be taken over any increasing sequence {Xn } which witnesses the fact that X is
σ-affinoid.
If V is a Fréchet space, then each C an (Xn , V ) is a Fréchet space (by proposition 2.1.13 (ii)), and thus C an (X, V ) is a Fréchet space, being the projective limitof a sequence of Fréchet spaces. In particular, C an (X, K) is a Fréchet algebra. If
X is strictly σ-affinoid, then proposition 2.1.16 shows that C an (X, K) is the projective limit of a sequence of Banach spaces equipped with compact transition maps.
Thus if X is strictly σ-affinoid, then C an (X, K) is a nuclear Fréchet algebra. If X
is quasi-Stein, then C an (X, K) is a Fréchet-Stein algebra (if {Xn }n≥1 is an admissible covering of X satisfying the conditions of Definition 2.1.17 (iii), then the iso∼morphism C an (X, K) −→ lim
C an (Xn , K) provides the necessary weak Fréchet-Stein←−nstructure), and if X is strictly quasi-Stein, then C an (X, K) is a nuclear Fréchet-Stein
algebra.
Proposition 2.1.19. Let X be a σ-affinoid rigid analytic space over L. If V is a K∼
ˆ K V.
Fréchet space, then there is a natural isomorphism C an (X, V ) −→ C an (X, K) ⊗S
Proof. Write X = n≥1 Xn , where X1 ⊂ · · · Xn ⊂ Xn+1 · · · is an increasing sequence of admissible open affinoid subsets of X, forming an admissible open coverof X. Definition 2.1.18, together with proposition 2.1.13 (iii), yields an isomorphism∼ˆ K V ).
C an (X, V ) = lim
C an (Xn , V ) −→ lim(C an (Xn , K) ⊗
←−
←−
n

n

The claimed isomorphism is now provided by proposition 1.1.29. 
We now discuss the evaluation of rigid analytic functions on X at the L-valued
points of X.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

35

Proposition 2.1.20. If X is a σ-affinoid rigid analytic space over L, if V is any
Hausdorff convex K-vector space, and if we write X := X(L), then the evaluationan
at the points of X yields a natural continuous map
S∞C (X, V ) → C(X, V ). If, furthermore, we may find an admissible cover X := n=1 Xn satisfying the conditionsof definition 2.1.17 (i), with the additional property that Xn (L) is Zariski dense inXn for each n ≥ 1, then this map is injective.
Proof. We first suppose that X is affinoid, and that V is a Banach space. Then byˆ V. If we take into account the natural isomordefinition C an (X, V ) = C an (X, K) ⊗phism provided by (2.1.3), then we that the continuous map
C an (X, K) → C(X, K)(2.1.21)induced by evaluating rigid analytic functions on points in X yields the continuousmap
C an (X, V ) → C(X, V )(2.1.22)of the proposition. The naturality of (2.1.22) is evident. Furthermore, by definition
X is Zariski dense in X if and only if the map (2.1.21) is injective, in which casethe map (2.1.22) is also injective, by corollary 1.1.27, since (taking into account theisomorphism (2.1.3)) it is obtained from (2.1.21) by taking the completed tensor
product with V over K.
Now consider the case where X is affinoid but V is arbitrary. The preceding
paragraph gives a continuous map C an (X, W ) → C(X, W ) for each BH-subspace
W of V , which is injective if X is Zariski dense in X. Composing this with thecontinuous injection C(X, W ) → C(X, V ) yields a continuous map C an (X, W ) →C(X, V ), which is injective if X is Zariski dense in X. Finally, taking the inductive
limit over all BH-subspaces W yields the required continuous map C an (X, V ) →C(X, V ), which is injective if X is Zariski dense in X.
S∞Its naturality is clear.
Now suppose that X is σ-affinoid, and write X = n=1 , with {Xn } an admissible
cover of X by an increasing sequence
S∞ of admissible affinoid open subsets of X.
Set Xn := Xn (L), so that X = n=1 Xn . Each Xn is a compact open subsetof X, and the sequence Xn is cofinal in the directed set of compact subsets of∼
X. Thus C(X, V ) −→ lim
C(Xn , V ), and the map C an (X, V ) → C(X, V ) under←−nconsideration is the projective limit of the maps C an (Xn , V ) → C(Xn , V ). The
preceding paragraph shows that these maps are continuous, and thus so is theirprojective limit. If Xn is Zariski dense in Xn for each value of n, then each of themaps C an (Xn , V ) → C(Xn , V ) is injective. Passing to the projective limit over n,
we find that the map C an (X, V ) → C(X, V ) is injective, as required. 
Proposition 2.1.23. Let V be a Hausdorff convex K-vector space and let W be aclosed subspace of V . Let X be a σ-affinoid rigid
S∞analytic space defined over L, forwhich we may find an admissible cover X := n=1 Xn satisfying the conditions ofdefinition 2.1.17 (i), with the additional property that Xn (L) is Zariski dense in Xn
for each n ≥ 1. Then the diagram
C an (X, W )(2.1.20)

C(X, W )/ C an (X, V )(2.1.20)

/ C(X, V )36

MATTHEW EMERTON

is Cartesian on the level of abstract vector spaces. If V (and hence W ) is a Fréchetspace, then the horizontal arrows of this diagram are closed embeddings, and the
diagram is Cartesian on the level of topological vector spaces.
Proof. Let us suppose first that V is a Fréchet space, that X is affinoid, and that
X := X(L) is Zariski dense in X. We must show that the natural map C an (X, W ) →C an (X, V ) identifies C an (X, W ) with the closed subspace of C an (X, V ) consisting offunctions that are W -valued when evaluated at points of X.
Consider the exact sequence 0 → W → V → V /W → 0, in which the inclusion isa closed embedding and the surjection is strict. After taking the completed tensor
product of this exact sequence with C an (X, K), and applying the isomorphisms
provided by proposition 2.1.13 (ii), we obtain an exact sequence
0 → C an (X, W ) → C an (X, V ) → C an (X, V /W ) → 0
having the same properties. (To see that the sequence obtained from 0 → W →V → V /W → 0 by taking the completed tensor product with C an (X, K) over
K is exact, note that the isomorphism of proposition 2.1.10, together with theisomorphism (2.1.3) applied to the one-point compactification of N, shows that theresulting sequence is topologically isomorphic to the sequence
0 → c0 (N, W ) → c0 (N, V ) → c0 (N, V /W ) → 0,
which is easily seen to be exact.) Thus to prove the proposition, it suffices to observethat (since X is Zariski dense in X) an element of C an (X, V /W ) that vanishes at
every point of X is necessarily the zero element.
Now suppose that V is an arbitrary Hausdorff convex K-vector space (and continue to suppose that X is affinoid).TIf U runs through the members of the directed
set of BH-subspaces of V then U W runs through the members of the directed
set of BH-subspaces of W . Applying the result already proved, we find that the
diagramT/ C an (X, U )C an (X, U W )TC(X, U W )/ C(X, U )is Cartesian. The diagram
C(X, UTW)


C(X, W )/ C(X, U )/ C(X, V )is also evidently Cartesian, and so we conclude that the diagram
C an (X, U

T

W)


C(X, W )/ C an (X, U )/ C(X, V )LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

37

is Cartesian. Passing to the inductive limit over U yields the proposition. (Notethat because we pass to a locally convex inductive limit, we cannot conclude that the
diagram of the proposition is Cartesian as a diagram of topological vector spaces.)
S Finally, if we assume that X is σ-affinoid, admitting an admissible cover X =Xn , where {Xn } is an increasing sequence of admissible affinoid open subspaces
for which Xn := Xn (L) is Zariski dense in Xn for each n, then the diagram
C an (X, W )/ C an (X, V )
C(X, W )/ C(X, V )is obtained as a projective limit over n of the diagrams
C an (Xn , W )/ C an (Xn , V )C(Xn , W )/ C(Xn , V ).

These diagrams are Cartesian by what has already been proved, and so the sameis true of their projective limit. Since furthermore the projective limit of closed
embeddings is a closed embedding, we see that if V and W are Fréchet spaces, thenthe horizontal maps in this diagram are closed embeddings, and that in this casethe diagram is Cartesian even on the level of topological K-vector spaces. 
Proposition 2.1.24. If X is a σ-affinoid rigid analytic space defined over L, andif each of V and W is a Fréchet space, then the natural mapanan
Lb (V, W ) → Lb (C (X, V ), C (X, W ))(induced by the functoriality of the construction of C an (X, – )) is continuous.
Proof. We prove the proposition first in the case where X is affinoid. If we fix∼
an isomorphism C an (X, K) −→ c0 (N, K), as we may do, by proposition 2.1.10,∼
then (2.1.3) and proposition 2.1.13 (ii) together yield an isomorphism C an (X, K) −→c0 (N, V ), functorial in V . The proposition, in the case where X is affinoid, now
follows from proposition 2.1.7 (applied to X = N̂).
S∞
Suppose now that X is σ-affinoid, and write X = n=1 Xn as the union of
an increasing sequence of admissible open affinoid subspaces. Since by definition
C an (X, W ) := lim
C an (Xn , W ), there is a natural isomorphism
←−
n

∼

an
an
an
an
Lb (C (X, V ), C (X, W )) −→ lim
Lb (C (X, W ), C (Xn , W )).
←−n

Thus it suffices to show that, for each n ≥ 1, the natural map Lb (V, W ) →Lb (C an (X, V ), C an (Xn , W )) is continuous. If we factor this map as Lb (V, W ) →Lb (C an (Xn , V ), C an (Xn , W )) → Lb (C an (X, V ), C an (Xn , W )), then its continuity is aconsequence of the result of the preceding paragraph. 

38

MATTHEW EMERTON

Suppose now that X is a locally L-analytic manifold. (We always assume thatsuch an X is paracompact, and hence strictly paracompact, in the sense of [23,p. 446], by a theorem of Schneider [21, Satz 8.6].) Let {Xi }i∈I be a partition of X
into a disjoint union of charts Xi ; we refer to such a partition as an analytic partition∼of X. By definition each Xi is equipped with an identification φi : Xi −→ Xi (L),where Xi is a rigid analytic closed ball defined over L. The collection of all analytic
partitions of X forms a directed set (under the relation of refinement).
Let {Xi }i∈I be an analytic partition of X, and let {Xj }j∈J be an analytic
partition of X that refines it. Let σ : J → I be the map describing the refinement,so that Xj ⊂ Xσ(j) for each j ∈ J. If each of these inclusions is a relatively compact
morphism, then we say that the refinement is relatively compact.
The following definition is taken from [12, 2.1.10]. Another account appears in[23, p. 5].
Definition 2.1.25. Let V be a Hausdorff convex K-vector space and X be a locallyL-analytic manifold.
We define the convex K-vector space C la (X, V ) of locally analytic
funcQ V -valued
antions on X to be the locally convex inductive limit
lim
C
(X
,
i W i ),i∈I−→
{Xi ,Wi }i∈Itaken over the directed set of collections of pairs {Xi , Wi }i∈I , where {Xi }i∈I is ananalytic partition of X, and each Wi is a BH-subspace of V .
The formation of C la (X, V ) is covariantly functorial in V (by proposition 1.1.7)
and contravariantly functorial in X.
If {Xi }i∈I Q
is any partition of X into disjoint open subsets, then the natural map
C la (X, V ) → i∈I C la (Xi , V ) is an isomorphism [12, 2.2.4].
If X is compact, then any analytic partition of X is finite, and so we may
replace the variable BH-subspaces Wi by a BH-subspace W containing each ofthem. Thus taking firstQthe inductive limit in W , we obtain a natural isomorphism∼an
C la (X, V ) −→ limi C (Xi , V ), where the inductive limit is taken over the−→{Xi }i∈I

directed set of analytic partitions {Xi }i∈I of X. Alternatively, we may first takethe inductive limit with respect to the analytic partitions of X, and so obtain∼
C la (X, W ) −→ C la (X, V ), where the inductive limit isa natural isomorphism lim−→
Wtaken over all BH-subspaces W of V .
Maintaining the assumption that X is compact, choose a sequence ({Xi }i∈In )n≥1of analytic partitions of X that is cofinal in the directed set of all such analytic
partitions, and such that for each n ≥ 1, the partition {Xi }i∈In+1 is a relatively
compact refinement
Q of the partition {XQi }i∈In . Proposition 2.1.16 then shows thatthe natural map i∈In C an (Xi , K) → i∈In+1 C an (Xi , K) is a compact map. Passing to the locally convex inductive limit, we find that C la (X, K) is of compact type.
If X is arbitrary, then we see from the preceding paragraph that C la (X, K) is a
product of spaces of compact type. Thus C la (X, K) is reflexive (hence barrelled)
and complete, being a product of reflexive and complete spaces.
Proposition 2.1.26. If V is a Hausdorff convex K-vector space and X is a locallyL-analytic manifold, then evaluation at points of X induces a continuous injection
C la (X, V ) → C(X, V ), that is natural, in the sense that it is compatible with thefunctorial properties of its source and target. Furthermore, this injection has dense
image.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

39

Proof. If {Xi }i∈I is an analytic partition of X then proposition 2.1.20 yields acontinuous injection C an (Xi , V ) → C(Xi , V ), and so a continuous injectionYY

C an (Xi , V ) →i∈I∼

C(Xi , V ) −→ C(X, V ).

i∈I

Passing to the inductive limit yields the required map of the proposition. Its naturality is clear.
To see that the image is dense, note that locally constant functions are containedin C la (X, V ), and are dense in C(X, V ). 
This result shows that C la (X, V ) is Hausdorff, since it admits a continuous injection into the Hausdorff space C(X, V ).
Proposition 2.1.27. If X is a locally L-analytic manifold, if V is a Hausdorffconvex K-vector space, and if W is a closed subspace of V , then the diagram
C la (X, W )(2.1.26)

C(X, W )/ C la (X, V )(2.1.26)

/ C(X, V )is Cartesian on the level of abstract K-vector spaces.
Proof. We begin with an observation that relates the BH-subspaces of V and W(which was already made in the proofs of each of propositions 1.1.12 and 2.1.23):
T
If U is a BH-subspace of V , then since W is closed in V , the intersection U W
is a BH-subspace of W . On the other hand, any BH-subspace of W is also a
BH-subspaceof V . Thus as U ranges over all BH-subspaces of V , the intersecT
tions U W range over all BH-subspaces of W . Furthermore, the induced map
T
U W → U on latent Banach spaces is a closed embedding.
Now, let {Xi }i∈I be an analytic partition of X, and for each i ∈ I, let Ui be a
BH-subspace of V . For each i ∈ I we see by proposition 2.1.23 that the diagram
C an (Xi , Ui

T


C(Xi , W )W)/ C an (Xi , U i )/ C(Xi , V )is Cartesian as a diagram of abstract K-vector spaces. Taking
the product over∼ Q
all i ∈ I, taking into account the isomorphism C(X, W ) −→ i∈I C(Xi , W ), andpassing to the locally convex inductive limit over all collections of pairs {(Xi , Ui )}i∈I(taking into account as well the observation of the preceding paragraph), we deduce
the proposition. 
Proposition 2.1.28. If V is a Hausdorff locally convex topological K-vector space,and if X is a compact locally L-analytic manifold, then there is a continuous inˆ K,π V. If V is of compact type, then it is even ajection C la (X, V ) → C la (X, K) ⊗topological isomorphism, and so in particular C la (X, V ) is again a space of compact
type.

40

MATTHEW EMERTON

Proof. If {Xi }i∈I is an analytic partition of X (necessarily finite, since X is compact), then (2.1.12) yields a natural map
YYˆ K,π V )C an (Xi , V ) →(C an (Xi , K) ⊗
i∈I

i∈I

Y
∼
ˆ K,π V → C la (X, K) ⊗
ˆ K,π V.
−→ ( C an (Xi , K)) ⊗i∈I

Passing to the locally convex inductive limit over all analytic partitions, we obtainˆ K,π V. To see that it is injective, we may compose ita map C la (X, V ) → C la (X, K) ⊗∼la
ˆ K,π V → C(X, K) ⊗
ˆ K,π V −→with the natural map C (X, K) ⊗C(X, V̂ ) (where V̂denotes the completion of V , and the isomorphism is provided by (2.1.3)). The mapthat we obtain is then seen to be equal to the composite C la (X, V ) → C(X, V ) →C(X, V̂ ), where the first arrow is the injection of proposition 2.1.26, and the second
arrow is induced by the embedding V → V̂ . Since this latter composite is injective,ˆ K,π V that we have constructed
we conclude that the map C la (X, V ) → C la (X, K) ⊗is also injective.
Suppose now that V is of compact type, and write V = lim
Vn as the induc−→ntive limit of a sequence of Banach spaces, with injective and compact transition
maps. Choose a cofinal sequence ({Xi }i∈Im )m≥1 of analytic partitions of X, suchthat each partition provides a relatively compact refinement of the partition thatprecedes it.Q We may compute C la (X, V ) as the locally convex inductive limit
ˆ K Vn . Part (i) of proposition 1.1.32 now shows thatlim
( i∈Im C an (Xi , K)) ⊗−→{Xi }i∈I ,nm

ˆ K V is a topological isomorphism, and thatthe injection C la (X, V ) → C la (X, K) ⊗
ˆ K V is of compact type, as claimed. 
C la (X, K) ⊗The final statement of the preceding proposition is a restatement of [23, lem. 2.1].
The discussion that follows proposition 2.2.10 below shows that if V is complete
and of LB-type, then the map of the preceding proposition is bijective.
Corollary 2.1.29. If W → V is a closed embedding of Hausdorff convex K-vector
spaces of compact type, and if X is a compact locally L-analytic manifold, then thenatural injection C la (X, W ) → C la (X, V ) is a closed embedding.
Proof. Propositions 2.1.27 and 2.1.28 together imply that the source and image ofthis injection are both spaces of compact type. By theorem 1.1.17, it is necessarily
a closed embedding. 
Proposition 2.1.30. If V is a Hausdorff convex space of LB-type, and if X is acompact locally L-analytic manifold, then C la (X, V ) is an LB-space.
S
Proof. Write V = nVn as a union of BH-subspaces. Choose a cofinal sequence({Xi }i∈Im )m≥1 of analytic partitions of X. We may compute C la (X, V ) as theQ
ˆ K V n . Thus it is an( i∈Im C an (Xi , K)) ⊗locally convex inductive limit
lim−→{Xi }i∈I ,nm

LB-space.

Proposition 2.1.31. If X is a compact locally analytic L-manifold and if V and
W are two Hausdorff convex K-vector spaces of compact type, then the natural map
Lb (V, W ) → Lb (C la (X, V ), C la (X, W )), induced by the functoriality of the construction of C la (X, – ), is a continuous map of convex K-vector spaces.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

41

Proof. Since V and W are of compact type, proposition 2.1.28 shows that thesame is true of C la (X, V ) and C la (X, W ), and that furthermore, the latter spaces
ˆ K V respectively. From [20,
ˆ K V and C la (X, K) ⊗are isomorphic to C la (X, K) ⊗∼0 ˆ
prop. 20.9] we deduce isomorphisms Vb ⊗K,π W −→ Lb (V, W ) and∼lalaˆ K V )0b ⊗ˆ K,π C la (X, K) ⊗
ˆ K,π W −→(C la (X, K) ⊗Lb (C (X, V ), C (X, W )).
∼ˆ K V )0b −→ˆ K,π Vb0
Taking into account the isomorphism (C la (X, K) ⊗C la (X, K)0b ⊗yielded by proposition 1.1.32 (ii), we find that the natural map Lb (V, W ) →Lb (C la (X, V ), C la (X, W )) that is under consideration may be rewritten as a map(2.1.32)ˆ K,π W → C la (X, K)0b ⊗ˆ K,π Vb0 ⊗ˆ K,π C la (X, K) ⊗
ˆ K,π WVb0 ⊗∼

ˆ K,π C la (X, K) ⊗
ˆ K,π Vb0 ⊗ˆ K,π W.
−→ C la (X, K)0b ⊗This is immediately seen to be obtained from the map(2.1.33)ˆ K,π C la (X, K)
K → C la (X, K)0b ⊗(obtained by taking V = W = K in (2.1.32), which sends 1 ∈ K to the elementof the tensor product corresponding to the identity map on C la (X, K)) by tenˆ K,π W , and then completing. Since (2.1.33) is certainly
soring through with Vb0 ⊗continuous, we conclude that the same is true of (2.1.32). 
2.2. Distributions
In this section we recall the various types of distributions that are relevant to
non-archimedean function theory.
Definition 2.2.1. If X is a Hausdorff topological space, then we let D(X, K)
denote the dual space to the convex K-vector space C(X, K). This is the space of
K-valued measures on X.
Definition 2.2.2. If X is a σ-affinoid rigid analytic space defined over L, then we
let Dan (X, K) denote the dual space to the convex K-vector space C an (X, K). Thisis the space of K-valued analytic distributions on X.
Definition 2.2.3. If X is a locally L-analytic manifold, then we let Dla (X, K)
denote the dual space to the convex space of compact type C la (X, K). This is thespace of K-valued locally analytic distributions on X.
In these definitions we have not specified any particular topology on the dual
spaces under consideration. As with the dual space to any convex space, they admit
various locally convex topologies. Frequently we will endow these spaces with theirstrong topologies, in which case we add a subscript ‘b’ to emphasize this. If X is acompact topological space X then D(X, K)b is a Banach space, if X is an affinoid
rigid analytic space over L then Dan (X, K)b is also a Banach space, if X is a strictly
σ-affinoid rigid analytic space then Dan (X, K)b is of compact type, if X is a locallyL-analytic space then Dla (X, K)b is reflexive, and if X is furthermore compact
then Dla (X, K)b is a nuclear Fréchet space. (The third and fifth claims follow fromthe fact that the dual of a nuclear Fréchet space is a space of compact type, andconversely. The fourth follows from the fact that Dla (X, K) is dual to the reflexive
space C la (X, K).)

42

MATTHEW EMERTON

If µ is an element of
R D(X, K) and f is an element of C(X, K), then it is sometimes
suggestive to write X f (x)dµ(x) to indicate the evaluation of the functional µ
on f . Similar notation can be used for the evaluation of elements of Dan (X, K)(respectively Dla (X, K)) on elements of C an (X, K) (respectively C la (X, K)) for σaffinoid rigid analytic spaces X (respectively locally analytic spaces X) over L.
If X is a Hausdorff topological space and x is an element of X then the functionalevx defines an element of D(X, K), which we denote (as usual) by δx . If we let K[X]denote the vector space spanned on X over K then the map x 7→ δx gives a map
K[X] → D(X, K), which is easily seen to be an embedding (since a continuousfunction on X can assume arbitrary values at a finite collection of points of X).
The image of this map is weakly dense in D(X, K) (since a continuous function thatvanishes at every point of X vanishes), but is typically not strongly dense (sinceC(X, K) is typically not reflexive).
Similarly, if X is a rigid analytic space over L, if X = X(L), and if x is an elementof X, then evx defines an element δx of Dan (X, K). If X is Zariski dense in X thenthe elements δx are weakly dense in Dan (X, K) (since by assumption a rigid analytic
function which vanishes at every point of X vanishes on X), but are typically notstrongly dense in Dan (X, K) (since C an (X, K) is typically not reflexive). However, if
X is strictly σ-affinoid, then the nuclear Fréchet space C an (X, K) is reflexive, and so
the elements δx ∈ Dan (X, K) corresponding to the functionals evx are both weakly
and strongly dense in Dan (X, K). Similarly, if X is a locally L-analytic manifold
then C la (X, K) is reflexive, and so the elements δx defined by the functionals evx
are both weakly and strongly dense in Dla (X, K). (This is [23, lem. 3.1] .)Lemma 2.2.4. If X is a Hausdorff topological space, then the map X → D(X, K)s ,given by x 7→ δx , is continuous.
Proof. Let ξ denote the topology on X induced by this injection. By definition of
the weak topology, for any x ∈ X, a basis of ξ-neighbourhoods of x is provided bysets of the form {y ∈ X | |f (x) − f (y)| < }, where f is an element of C(X, K), and a positive real number. Thus the topology ξ is coarser than the given topology
on X, and the proposition follows. 
If X is a locally L-analytic manifold, then the continuous injection C la (X, K) →C(X, K) of proposition 2.1.26 induces a continuous map(2.2.5)

D(X, K)b → Dla (X, K)b .

Also, the association of δx to x induces an injective map(2.2.6)

X → Dla (X, K)b .

Proposition 2.2.7. Let X be a locally L-analytic manifold.
(i) The map (2.2.5) is injective, with dense image.
(ii) The map (2.2.6) is a topological embedding.
Proof. Since the map of proposition 2.1.26 has dense image, the map (2.2.5) is
injective. Since the map (2.2.5) evidently contains all the elements δx (x ∈ X) in
its image (they are the images of the corresponding elements δx in its source), it
also has dense image. This proves (i).
We turn to proving (ii). Let ξ denote the given topology on X, and let ξ 0 denotethe topology induced on X by regarding it as a subspace of Dla (X, K) via theLOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

43

map (2.2.6). Any locally analytic function f ∈ C la (X, K) induces a continuousfunctional on Dla (X, K), which thus restricts to a ξ 0 -continuous function on X.
From the definition of (2.2.6), this is exactly the function f again. Thus we see inparticular that any ξ-locally constant function on X is ξ 0 -continuous. Since a basisof ξ-open subsets of X can be cut out via locally constant functions, we see thatthe topology ξ 0 is finer than ξ.
Since C la (X, K) is reflexive, any closed and bounded subset of C la (X, K) is ccompact. Also, C(X, K) is complete and barrelled (the latter by corollary 2.1.5).
The hypotheses of proposition 1.1.38 are thus satisfied by the map of proposition 2.1.26, and we infer from that proposition that the transpose map (2.2.5) factors as D(X, K)b → D(X, K)bs → Dla (X, K)b . We will show that the map x 7→ δx
induces a continuous map X → D(X, K)bs , and thus that (2.2.6) is continuous.
0This will imply` that ξ is finer than ξ , and so prove (ii).
Let X = i Xi be a partition of X into a disjoint union of compact open subsets.
It suffices to show that the map Xi → D(X, K)bs , given by x 7→ δx , is continuousfor each i. The image of Xi in D(X, K) is bounded as a subset of D(X, K)b (since
Xi is compact), and so by definition of the bounded-weak topology, the topology
on this image induced by D(X, K)bs is coarser than the weak topology. Thus it
suffices to show that the map Xi → D(X, K)s is continuous. This map factors as
Xi → D(Xi , K)s → D(X, K)s , and so by lemma 2.2.4 we are done. 
If V is any Hausdorff convex K-vector space, then by composing elements ofL(Dla (X, K)b , V ) with the map (2.2.6), we obtain a K-linear map(2.2.8)laL(D (X, K)b , V ) → C(X, V ).

Proposition 2.2.9. The map (2.2.8) is continuous, when the source is given its
strong topology.
Proof. If we let {Xi }i∈I denote a partition of X into compact open subsets, then the
Q
L
∼
∼
la
la
isomorphismsi∈I C(Xi , V ) −→ C(X, V )i∈I D (Xi , K)b −→ D (X, K)b andallow us to write (2.2.8) as the product of the maps Lb (Dla (Xi , K)b , V ) → C(Xi , V ).
Hence we may restrict our attention to the case where X is compact. If V̂ denotes
the completion of V , we may embed (2.2.8) into the commutative diagram
Lb (Dla (X, K)b , V )/ C(X, V )
Lb (Dla (X, K)b , V̂ )

/ C(X, V̂ ),in which the vertical arrows are embeddings. Thus we may assume in addition that
V is complete. Taking into account [20, cor. 18.8] and the isomorphism (2.1.3),
we may rewrite (2.2.8) (in the case where X is compact and V is complete) as thecompleted tensor product with V of the natural map C la (X, K) → C(X, K). Thus
it is continuous, as claimed. 
Proposition 2.2.10. There is a continuous linear map
C la (X, V ) → Lb (Dla (X, K)b , V ),

44

MATTHEW EMERTON

uniquely determined by the fact that its composite with (2.2.8) is the map of proposition 2.1.26. If furthermore V is of LB-type, then this map is a bijection.
Proof. The required map is constructed in [23, thm. 2.2] and the discussion that
follows the proof of that theorem, and by that theorem is shown to be bijective if
V is of LB-type. We will give another description of this map, which shows that
it is continuous. Let {Xi }i∈I be an analytic partition of X, and let {Wi }i∈I be acollection of BH-subspaces of V . For each i ∈ I, the natural map C an (Xi , K) →C la (Xi , K) and the map W i → V together induce a continuous map
ˆ K W i → C la (Xi , K) ⊗ˆK Wi
C an (Xi , W i ) = C an (Xi , K) ⊗∼−→ Lb (Dla (Xi , K), W i ) → Lb (Dla (Xi , K), V )(the isomorphism following from [20, cor. 18.8]). Taking the product of these maps
over all i ∈ I, we obtain a continuous map
Y

C an (Xi , W i ) →

i

Y

la
Lb (D (Xi , K), V )

i

M
∼
∼
−→ Lb (
Dla (Xi , K), V ) −→ Lb (Dla (X, K), V ).
i∈I

Passing to the inductive limit over all such collections of pairs {(Xi , Wi )}i∈I , weobtain a continuous map(2.2.12)

C la (X, K) → Lb (Dla (X, K), V ).

If f ∈ C la (X, K), then its image φ ∈ L(Dla (X, K)b , V ) is characterized by theproperty φ(δx ) = f (x), and so we see that (2.2.12) coincides with the map constructed in [23], and that the composite of this map with (2.2.8) is the map of
proposition 2.1.26, as claimed. 
The preceding result relates to proposition 2.1.28, in the following way. Supposethat V is complete. Then, taking into account the isomorphism of [20, cor. 18.8],
the map of proposition 2.2.10 may be rewritten as a map
ˆ K,π V.
C la (X, V ) → C la (X, K) ⊗This is easily checked to be equal to the map of proposition 2.1.28. Thus if V
is complete and of LB-type, then we see that the map of proposition 2.1.28 is abijection.
2.3. Change of field
In this brief section we discuss two “change of field” functors.
If F is a finite extension of K, then the valuation on K extends in a unique fashion
to a spherically complete non-archimedean valuation on F . We can now define
an “extension of scalars” functor as follows. If V is any locally convex K-vector
space V , then the tensor product F ⊗K V is naturally a locally convex F -vector
space. Furthermore, it is Hausdorff, normable, metrizable, complete, barrelled,
bornological, an LF -space, and LB-space, or of compact type, if and only if theLOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

45

same is true of V . (If F is an arbitrary extension of K, spherically complete withrespect to a non-archimedean valuation extending that on K, then we can define
an extension of scalars functor by sending V to F ⊗K,π V. However, this functor isnot so easily studied if F is of infinite degree over K.)
If V is any Hausdorff locally convex K-vector space, then given any Hausdorff
topological space X, any σ-affinoid rigid analytic space X over L, or any locally L∼
analytic space X, there are natural isomorphisms F ⊗K C(X, V ) −→ C(X, F ⊗K V ),∼∼F ⊗K C an (X, V ) −→ C an (X, F ⊗K V ), and F ⊗K C la (X, V ) −→ C la (X, F ⊗K V ).
Suppose now that E is a closed subfield of L (so that there are inclusions
Qp ⊂ E ⊂ L). If X is a rigid analytic space over E, then we let X/L denotethe corresponding rigid analytic space over L, obtained by extending scalars. If A
is an affinoid E-Banach algebra, then (Sp A)/L = Sp(L ⊗E A). Extension of scalars
defines a functor from the category of rigid analytic spaces over E to the categoryof rigid analytic spaces over L. This functor admits a right adjoint, referred to as“restriction of scalars”. If X is a rigid analytic space over L, then we let ResL
EX
denote the rigid analytic space over E obtained by restriction of scalars.
The right adjointness property of restriction of scalars implies that for any rigid
analytic space X over L, there is a natural map(2.3.1)(ResL
E X)/L → X.

If L is a a GaloisQextension of E, then there is furthermore a natural isomorphism
∼
(τ )
(ResL
, where τ ranges over the elements of the Galois group of
E X)/L −→τ X(τ )L over E, and X
denotes the rigid analytic space over L obtained by twisting∼
X via the automorphism τ : L −→ L. (The map (2.3.1) is obtained by projecting
onto the factor corresponding to the identity automorphism.)
We may similarly define an extension of scalars functor from the category of
locally E-analytic spaces to the category of locally L-analytic spaces, and a corresponding right adjoint restriction of scalars functor. Note that if X is a rigid
analytic space over L, then ResL
E X(E) = X(L), and hence that if X is a locallyL-analytic space, then ResLX
has
the same underlying topological space as X.
E
Thus restriction of scalars may equally well be regarded as the forgetful functor,“regard a locally L-analytic space as a locally E-analytic space”.
If X is a locally L-analytic space, and we first restrict and then extend scalars,
then there is a natural map(2.3.2)(ResL
E X)/L → X.

Chapter 3. Continuous, analytic, and locally analytic vectors
3.1. Regular representations
In this section we study the left and right regular actions of a group on thefunction spaces associated to it. We begin with a lemma.
Lemma 3.1.1. Let V be a topological K-vector space and G a topological group,and consider a map(3.1.2)

G×V →V

46

MATTHEW EMERTON

such that each g ∈ G acts as a linear transformation of V . Then the map (3.1.2)
is continuous if and only if it satisfies the following conditions:(i) for each v ∈ V the map g 7→ gv from G to V induced by (3.1.2) is continuousat the identity e ∈ G;(ii) for each g ∈ G the linear transformation v 7→ gv of V induced by (3.1.2) is
continuous (that is, the G-action on V is topological );(iii) the map (3.1.2) is continuous at the point (e, 0) of G × V .
Proof. It is clear that these conditions are necessary, and we must show that they
are also sufficient. We begin by showing that if v is an element of V , then themap (3.1.2) is continuous at the point (e, v) ∈ G × V .
Let M be a neighbourhood of zero in V , and choose a neighbourhood M 0 of zerosuch that M 0 + M 0 ⊂ M . By (iii), we may find a neighbourhood H of e in G anda neighbourhood M 00 of zero in V such that gM 00 ⊂ M 0 if g ∈ H. Since the map
g 7→ gv is continuous at the element e, by (i), we may also find a neighbourhood
H 0 of e contained in H such that H 0 v ⊂ v + M 0 . Thus we see that the image of
H 0 × (v + M 00 ) is contained in v + M , proving that (3.1.2) is continuous at the point(e, v) ∈ G × V .
Now let (g, v) be an arbitrary element of G × V , and let M be neighbourhoodof zero in V . Replacing v by gv in the discussion of the preceding paragraph, we
may find an open subset H 0 of e ∈ G and a neighbourhood M 00 of zero in V suchthat the image of H 0 × (gv + M 00 ) is contained in gv + M. Since the action of gon V is continuous, by (ii), we may find a neighbourhood M 000 of zero such thatgM 000 ⊂ M 00 . Now H 0 g is a neighbourhood of g and the image of H 0 g × (v + M 000 )under (3.1.2) is contained in gv + M . This proves that (3.1.2) is continuous at the
point (g, v) ∈ G × V . 
Note that condition (iii) of the preceding lemma holds if a neighbourhood of e in
G acts equicontinuously on V . Suppose, for example, that G is a locally compact
abelian group, and V is a barrelled convex K-vector space equipped with a Gaction for which the action map (3.1.2) is separately continuous. Any relatively
compact neighbourhood of e then acts in a pointwise bounded fashion on V , andhence (since V is barrelled) acts equicontinuously on V . Thus all three conditionsof lemma 3.1.1 are satisfied, and (3.1.2) is jointly continuous.
Corollary 3.1.3. If V is a convex K-vector space equipped with a topological actionof the topological group G, and if H is an open subgroup of G such that the resulting
H-action on V is continuous, then the G-action on V is continuous.
Proof. By assumption, condition (ii) of lemma 3.1.1 is satisfied for G, and conditions (i) and (iii) are satisfied with H in place of G. But these latter two conditions
depend only on an arbitrarily small neighbourhood of the identity e ∈ G, and sothey hold for G since they hold for H. Lemma 3.1.1 now implies that the G-action
on V is continuous. Lemma 3.1.4. If V is a topological K-vector space equipped with a continuous
action of a topological group G, then any compact subset of G acts equicontinuously
on V .
Proof. Let C be a compact subset of G, and let M be a neighbourhood of zero in V .
If g ∈ C, then there exists a neighbourhood Ug of g in G, and a neighbourhood
Mg of zero in V , such that Ug Mg ⊂ M . A finite number of the Ug suffice toLOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

47

cover the compact set C. If we let M 0 denote the intersection of the corresponding
finite collection of neighbourhoods Mg , we obtain a neighbourhood of zero with theproperty that CM 0 ⊂ M . This proves the lemma. 
Suppose now that G is an abstract group and that V is an abstract K-vector
space. The left and right regular actions of G on itself are the maps G × G → G
defined as (g1 , g2 ) 7→ g2−1 g1 and (g1 , g2 ) 7→ g1 g2 respectively. (We regard these as
right actions of G on itself.) They commute one with the other. Via functoriality of
the formation of the K-vector space of functions F(G, V ), we obtain (left) actionsof G on the space F(G, V ), which we again refer to as the left and right regularactions. These actions also commute with one another.
If G is a topological group (respectively the L-valued points of a σ-affinoid rigid
analytic group G defined over L, respectively a locally L-analytic group) and if V
is a Hausdorff locally convex topological K-vector space, then we similarly may
consider the left and right regular representations of G on C(G, V ) (respectively on
C an (G, V ), respectively on C la (G, V )).
Proposition 3.1.5. If G is a locally compact topological group and V is a Hausdorff locally convex K-vector space, then the left and right regular actions of G on
C(G, V ) are both continuous.
Proof. We will show that the right regular action is continuous. The proof of theanalogous result for the left regular action proceeds along identical lines.
If C is a compact subset of G and M is a neighbourhood of zero in V , let UC,M
denote the subset of C(G, V ) consisting of functions φ such that φ(C) ⊂ M . As C
runs over all compact subsets of G and M runs over the neighbourhoods of zeroin V , the sets UC,M form a basis of neighbourhoods of zero in C(G, V ). If H isa relatively compact open subset of G then CH is a compact subset of G, andthe right regular action of H on C(G, V ) takes UCH,M to UC,M . Thus we see that
H acts equicontinuously on C(G, V ). In particular, since G is covered by such H,
condition (ii) of lemma 3.1.1 holds. Choosing H so that it contains a neighbourhoodof e ∈ G, we see that condition (iii) of that lemma also holds. It remains to beshown that condition (i) of lemma 3.1.1 holds.
Let φ be an element of C(G, V ), C a compact subset of G, and M a neighbourhood of zero in V . We will find a relatively compact neighbourhood H of theidentity in G such that H(φ + UCH,M ) ⊂ φ + UC,M . This will show that the right
regular action is continuous at the point (e, φ) of G×C(G, V ), verifying condition (i).
Since φ is continuous and C is compact, we may find an open neighbourhood H
of e such that φ(g) − φ(gh) ∈ M for any g ∈ C and h ∈ H. (This is a variation on
the fact that for a function on a compact uniform space, continuity implies uniform
continuity.) Since G is locally compact, we may choose H to be relatively compact.
Thus hφ ⊂ φ + UC,M for every h ∈ H, and so H(φ + UCH,M ) ⊂ φ + UC,M , asrequired. 
Proposition 3.1.6. Suppose that G is a rigid analytic group S
defined over L, which∞
is furthermore σ-affinoid as a group, in the sense that G = n=1 Gn , where each
Gn is an admissible affinoid open subgroup of G. If we write G = G(L), then for
any Hausdorff convex K-vector space V , the left and right regular actions of G on
C an (G, V ) are continuous.
S∞
Proof. If we write G = n=1 Gn , with Gn := Gn (L) open in G for each n ≥ 1, then

48

MATTHEW EMERTON

C an (G, V ) = lim
C an (Gn , V ), and so it suffices to show that Gn acts continuously←−non C an (Gn , V ) for each n ≥ 1. This reduces us to the case where G is affinoid. We
suppose this to be the case for the remainder of the proof.
Since C an (G, V ) is barrelled, the discussion following lemma 3.1.1 shows thatit suffices to show that the G-action on C an (G, V ) is separately continuous. The
definition of C an (G, V ) as an inductive limit then allows us to reduce first to thecase where V is a Banach space. Finally, the definition of C an (G, V ) for a Banach
space V allows us to reduce to the case where V = K. The proof then proceeds
along the same lines as that of the preceding proposition. (In place of the fact that acontinuous function on a compact space is uniformly continuous, one should use thefact that an analytic function on an affinoid space is Lipschitz [3, prop. 7.2.1/1].) 
3.2. The orbit map and continuous vectors
Now suppose that V is an abstract K-vector space equipped with an action ofan abstract group G. Each element v of V gives rise to a function ov ∈ F(G, V ),defined by ov (g) = gv; we refer to ov as the orbit map of the vector v. Formationof the orbit map yields a K-linear embedding o : V → F(G, V ), which is a section
to the map eve : F(G, V ) → V .
Lemma 3.2.1. The map o : V → F(G, V ) is G-equivariant when F(G, V ) is
equipped with the right regular G-action. Thus the restriction of eve to o(V ) is aG-equivariant isomorphism when o(V ) is endowed with the right regular G-action.
Proof. This lemma is an immediate consequence of the fact that o is a section toeve , together with the formula ov (gg 0 ) = og0 v (g). 
There is a convenient characterization of the image of o. First note that, in
addition to the left and right regular actions of G on F(G, V ), we obtain anotheraction of G induced by its action on V and the functoriality of F(G, V ) in V , which
we refer to as the pointwise action of G. This commutes with both the left andright regular actions. Since the left and right regular actions also commute one
with the other, we obtain an action of G × G × G on F(G, V ), the first factor acting
via the pointwise action, the second via the left regular action, and the third via
the right regular action. Explicitly, if (g1 , g2 , g3 ) ∈ G × G × G and φ ∈ F(V, G),then(3.2.2)((g1 , g2 , g3 ) · φ)(g 0 ) = g1 · φ(g2−1 g 0 g3 ).

Let ∆1,2 : G → G × G × G denote the map g 7→ (g, g, 1). Then ∆1,2 induces aG-action on F(G, V ) which commutes with the right regular action of G. Explicitly,
this action is defined by(3.2.3)(g · φ)(g 0 ) = g · φ(g −1 g 0 ).

We first explain how to untwist the ∆1,2 (G)-action on F(G, V ).
Lemma 3.2.4. If we define a K-linear map F(G, V ) → F(G, V ) by sending afunction φ to the function φ̃ defined by φ̃(g) = g −1 · φ(g), then this map is an
isomorphism. It is furthermore G-equivariant, provided we equip its source withthe ∆1,2 (G)-action and its target with the left regular G-action.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

49

Proof. This is easily checked by the reader. 
We observe for later that we could also consider the ∆1,3 (G)-action on F(G, V ),and that this action is made isomorphic to the right regular G-action on F(G, V ) via
the isomorphism φ 7→ (φ̃ : g 7→ gφ(g)). For now, we require the following corollary.
Corollary 3.2.5. The image of o is equal to the space F(G, V )∆1,2 (G) of ∆1,2 (G)fixed vectors in F(G, V ).
Proof. An element φ of F(G, V ) is fixed under the action (3.2.3) if and only if theelement φ̃ that it is sent to under the isomorphism of lemma 3.2.4 is fixed under
the left regular action of G; equivalently, if and only if φ̃ is constant. The explicit
formula relating φ and φ̃ shows that φ̃ is constant if and only if φ(g) = gφ(e) =oφ(e) (g) for all g ∈ G. 
If V is any K-vector space (not necessarily equipped with a G-action), we may
consider the double function space F(G, F(G, V )). If we endow F(G, V ) with its
right regular G-action, then the preceding constructions apply, with F(G, V ) in∼place of V . There is a natural isomorphism ı : F(G × G, V ) −→ F(G, F(G, V )),defined by (ıφ)(g1 )(g2 ) = φ(g1 , g2 ), and we will reinterpret the preceding constructions (applied to F(G, F(G, V ))) in terms of this isomorphism.
Let α : G×G → G denote the map α : (g1 , g2 ) 7→ g2 g1 and β : G → G×G denotethe map β : g 7→ (e, g). These maps induce maps α∗ : F(G, V ) → F(G × G, V ) andβ ∗ : F(G × G, V ) → F(G, V ), and we obtain the following commutative diagrams:(3.2.6)F(G, V )
QQQ
QQQo
∗
QQQ
α
QQQ

(
ı /
F(G, F(G, V ))F(G × G, V )and(3.2.7)/ F(G, F(G, V ))F(G × G, V )
QQQ
∗
QQQβ
QQQ
eve
QQQ
(

F(G, V ).
ı

(The commutativity of each diagram is easily checked by the reader.)Suppose now that G is a locally compact topological group and that V is a
Hausdorff convex K-vector space equipped with a topological G-action. We may
apply the above considerations with C(G, V ) in place of F(G, V ).
Definition 3.2.8. We define the convex K-vector space Vcon of continuous vectors
in V to be the closed subspace of ∆1,2 (G)-invariant elements of C(G, V ), equippedwith the continuous G-action induced by the right regular action of G on C(G, V ).
The formation of Vcon is evidently covariantly functorial in V and contravariantly
functorial in G.

50

MATTHEW EMERTON

Proposition 3.2.9. The restriction of the map eve to Vcon is a continuous Gequivariant injection of Vcon into V . Its image consists of the subspace of vectors v
in V for which the orbit map ov is continuous.
Proof. Since the map eve : C(G, V ) → V is continuous, so is its restriction to theclosed subspace Vcon of C(G, V ). It is G-equivariant by lemma 3.2.1. By corollary 3.2.5, an element φ ∈ C(G, V ) is fixed under the action of ∆1,2 (G) if and only
if it is of the form ov for some v ∈ V . Thus an element v of V lies in eve (Vcon ) if
and only if ov is continuous. 
Now suppose that the G-action on V is continuous, so that Vcon maps continuously and bijectively onto V . The map v 7→ ov then yields an embedding o : V →C(G, V ) of K-vector spaces, which is a section to the map eve : C(G, V ) → V .
Proposition 3.2.10. If V is a Hausdorff convex K-vector space, equipped with acontinuous G-action, then the map o is continuous and G-equivariant, when C(G, V )is equipped with the right regular G-action, and restricts to a topological isomorphism of V onto the closed subspace Vcon of C(G, V ).
Proof. Lemma 3.2.1 and corollary 3.2.5 taken together imply that the map o is
G-equivariant, with image equal to Vcon . To show that o is continuous, it suffices
to show that for each compact subset C of G and each neighbourhood M of zero in
V there is a neighbourhood M 0 of zero in V such that for all v ∈ M 0 , the function
ov takes C into M . In other words, regarding C as fixed for a moment, for every
neighbourhood M of zero, there should be a neighbourhood M 0 of zero such that
CM 0 ⊂ M . This is precisely the condition that the action of C be equicontinuous.
Since C is compact, lemma 3.1.4 shows that it does act equicontinuously. Thus themap o is indeed continuous, and provides a continuous inverse to the the continuous
map Vcon → V induced by eve . Lemma 3.2.11. The isomorphism of lemma 3.2.4 induces a topological isomorphism of C(G, V ) onto itself.
Proof. We begin by noting that since the G-action on V is assumed to be continuous, the function φ̃ : G → V is continuous if the function φ is. (Here we are using
the notation introduced in the statement of lemma 3.2.4.)
Fix a compact subset C of G and an open neighbourhood M of zero in V . Since
C acts equicontinuously on V , by lemma 3.1.4, we may find an open neighbourhood
M 0 of zero such that CM 0 ⊂ M. Then the map φ 7→ φ̃ takes {φ | φ(C) ⊂ M 0 } into
˜ ⊂ M }. Thus φ 7→ φ̃ is continuous. It is equally straightforward to
the set {φ̃ | φ(C)check that its inverse is continuous, and thus the lemma is proved. 
Similarly, one may show that the map φ 7→ (φ̃ : g 7→ gφ(g)) induces an isomorphism between C(G, V ) and C(G, V ). (As observed following the proof oflemma 3.2.4, this map intertwines the ∆1,3 (G)-action and the right regular action
on its source and target.)
The following results will be required in subsequent sections.
Lemma 3.2.12. Let G be a group and V be a Hausdorff convex K-vector spaceequipped with a topological G-action. If W is an F H-subspace of V that is invariant
under the G-action on V then the topological G-action on W induces a topological
G-action on W .
Proof. This follows from proposition 1.1.2 (ii). LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

51

Definition 3.2.13. If G is a topological group and V is a Hausdorff convex Kvector space equipped with a topological G-action then we say that a G-invariant
F H-subspace W of V is continuously invariant if the induced G-action on W is
continuous.
Proposition 3.2.14. Let G be a compact topological group and V be a Hausdorff convex K-vector space equipped with a topological G-action. If W is an F Hsubspace of V then among all the continuously G-invariant F H-subspaces of W
is one that contains all the others, which we denote by coG (W ). If W is a BHsubspace of V , then so is coG (W ).
Proof. The continuous injection W → V induces a continuous injection C(G, W ) →C(G, V ). Define U to be the preimage under this map of the closed subspace Vconof C(G, V ). Then U is a closed subspace of C(G, W ), and thus a Fréchet space. By
construction it is invariant under the right regular action of G on C(G, W ), and thus
endowed with a continuous G-action. We have continuous G-equivariant injections
U → Vcon → V ; let U denote the image of U under the composite of these maps.
By construction, U is a continuously G-invariant F H-subspace of W . Furthermore, U is equal to the set of vectors w ∈ W for which Gw ⊂ W and ow : G → W
is continuous, and so U contains any continuously G-invariant F H-subspace of W .
Thus we set coG (W ) := U . To complete the proof of the proposition, note that if
W is in fact a Banach space, then so also is U , and so U is a BH-subspace of V . 
The following result is also useful.
Proposition 3.2.15. If G is a compact topological group and V is a semi-complete
Hausdorff convex K-vector space equipped with a continuous G-action, then any
BH-subspace of V is contained in a G-invariant BH-subspace.
Proof. The discussion preceding proposition 1.1.11 shows that it suffices to provethat any bounded subset of V may be embedded in a G-invariant bounded subsetof V . Equivalently, if A is a bounded subset of V , we must show that the set GA of
all G-translates of elements of A is bounded. This follows from lemma 3.1.4, whichshows that G acts equicontinuously. 
3.3. Analytic vectors
Let G be an affinoid rigid analytic group, and suppose that the group of Lrational points G := G(L) is Zariski dense in G. Let V be a Hausdorff convex
K-vector space equipped with a topological G-action. Our goal in this section is todefine the convex space of G-analytic vectors in V .
We begin by supposing that V is a K-Banach space equipped with a topologicalaction of G. We can repeat the discussion that begins section 3.2 in the context ofC an (G, V ). In particular, the functoriality of C an (G, V ) in V induces a topologicalaction of G on C an (G, V ) that we refer to as the pointwise action of G, which
commutes with both the left and right regular actions. Since the left and right
regular actions also commute one with the other, we obtain an action of G × G × G
on C an (G, V ), the first factor acting via the pointwise action, the second via theleft regular action, and the third via the right regular action. As in section 2.1
we let ∆1,2 : G → G × G × G denote the map g 7→ (g, g, 1). Then ∆1,2 induces
a topological G-action on C an (G, V ) that commutes with the right regular action
of G.

52

MATTHEW EMERTON

Definition 3.3.1. If V is a K-Banach space equipped with a topological actionof G, then define the Banach space VG−an of G-analytic vectors in V to be theclosed subspace of ∆1,2 (G)-invariant elements of C an (G, V ), equipped with the right
regular action of G.
The formation of VG−an is clearly covariantly functorial in V and contravariantly
functorial in G. Note that the G-action on VG−an is continuous, since the right
regular G-action on C an (G, V ) is so (by proposition 3.1.6).
Proposition 2.1.20 yields a continuous injection(3.3.2)C an (G, V ) → C(G, V )which is compatible with the G × G × G-action on source and target.
Proposition 3.3.3. The subspace VG−an of C an (G, V ) is equal to the preimage
under (3.3.2) of the closed subspace Vcon of C(G, V ). Evaluation at e yields acontinuous injection VG−an → V . The image of VG−an in V consists of the subspaceof those vectors v for which the orbit map ov is (the restriction to G of ) an elementof C an (G, V ).
Proof. This is an immediate consequence of the definitions. 
Proposition 3.3.4. Let V be a K-Banach space. If the Banach space C an (G, V )is equipped with its right regular G-action, then the natural map C an (G, V )G−an →C an (G, V ), obtained by applying proposition 3.3.3 to C an (G, V ), is an isomorphism.
Proof. We consider the rigid analytic analogue of the diagrams (3.2.6) and (3.2.7).
Namely, let α : G × G → G denote the rigid analytic map α : (g1 , g2 ) 7→ g2 g1 , andlet β : G → G × G denote the rigid analytic map β : g 7→ (e, g). Then α is faithfully
flat, β is a closed immersion, and the composite α ◦ β is equal to the identity map
from G to itself.
Passing to spaces of rigid analytic functions, we obtain morphisms of Banach
spaces α∗ : C an (G, K) → C an (G × G, K) and β ∗ : C an (G × G) → C an (G, K), thefirst of which is a closed embedding, and the second of which is a strict surjection.
There is a natural isomorphism∼ˆ C an (G, K) = C an (G, C an (G, K)).
ı : C an (G × G, K) −→ C an (G, K) ⊗Via this isomorphism, the action of ∆1,2 (G) on C an (G, C an (G, K)) induces an actionof ∆1,2 (G) on C an (G × G, K), given explicitly by the formula(g · φ)(g1 , g2 ) = φ(g −1 g1 , g2 g).
As G is dense in G, we deduce that α∗ identifies C an (G, K) with the ∆1,2 (G)invariant subspace of C an (G × G, K). Also, since eve is equal to the composite β ∗ ◦ ı−1 , and since β ∗ ◦ α∗ is the identity on C an (G, K), we conclude thateve : C an (G, K)G−an = C an (G, C an (G, K))∆1,2 (G) → C an (G, K) is an isomorphism.
Tensoring this isomorphism through by V , and completing, we conclude similarlythat eve : C an (G, V )G−an → C an (G, V ) is an isomorphism, as required. LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

53

Proposition 3.3.5. If W → V is a G-equivariant closed embedding of K-Banach
spaces equipped with topological G-actions then the diagram
WG−an(3.3.3)W/ VG−an/V(3.3.3)is Cartesian. In particular, the induced map WG−an → VG−an is a closed embeddingof Banach spaces.
Proof. The closed embedding W → V induces a closed embedding of Banach spaces
C an (G, W ) → C an (G, V ), which by proposition 2.1.23 identifies C an (G, W ) withthe subspace of functions in C an (G, V ) that are W -valued. Passing to ∆1,2 (G)invariants yields the proposition. 
Corollary 3.3.6. If V is a K-Banach space equipped with a topological G-action
then the natural map (VG−an )G−an → VG−an is an isomorphism.
Proof. Proposition 3.3.4 shows that the natural map C an (G, V )G−an → C an (G, V )is an isomorphism. Taking this into account, the corollary follows by applying
proposition 3.3.5 to the closed embedding VG−an → C an (G, V ). 
Proposition 3.3.7. For any K-Banach space V the continuous injective map∼
C an (G, V ) → C(G, V ) of proposition 2.1.20 induces an isomorphism C an (G, V ) −→C(G, V )G−an . (The analytic vectors of the target are computed with respect to theright regular G-action.)
Proof. The functoriality of the construction of the space of analytic vectors yields
a map C an (G, V )G−an → C(G, V )G−an , which when composed with the inverse of
the isomorphism of proposition 3.3.4 yields a map C an (G, V ) → C(G, V )G−an . We
will show this map to be an isomorphism.
Consider the commutative diagram
C an (G, V )∼α∗/ C an (G × G, V )∆1,2 (G)∼/ (C an (G, K) ⊗
ˆ C an (G, V ))∆1,2 (G)ˆ C(G, V ))∆1,2 (G)(C an (G, K) ⊗
C(G, V )∼∗α/ C(G × G, V )∆1,2 (G)∼/ (C(G, K) ⊗ˆ C(G, V ))∆1,2 (G) ,in which α∗ denotes the map induced on function spaces by the map α : (g1 , g2 ) 7→
g2 g1 , and all of whose horizontal arrows are isomorphisms. By definition, the space
ˆ C(G, V ))∆1,2 (G) , and this diagram
C(G, V )G−an is equal to the space (C an (G, K) ⊗shows that this space may be identified with those V -valued functions on G × G
that are of the form (g1 , g2 ) 7→ f (g2 g1 ) for some f ∈ C(G, V ), and that are analytic
with respect to the variable g1 . By restricting such a function to G × e ⊂ G × G,
we see that f must be an analytic function, and thus that the map C an (G, V ) →C(G, V )G−an is a continuous bijection. Since its source and target are Banach
spaces, the open mapping theorem shows that it is an isomorphism, as claimed. 

54

MATTHEW EMERTON

Corollary 3.3.8. If V is a K-Banach space equipped with a topological G-action
then the natural map (Vcon )G−an → VG−an is an isomorphism.
Proof. By construction there is a G-equivariant closed embedding Vcon → C(G, V ),and so by propositions 3.3.5 and 3.3.7 a Cartesian diagram(Vcon )G−an/ C an (G, V )


Vcon


/ C(G, V ).

The definition of Vcon then implies that (Vcon )G−an maps isomorphically onto thesubspace of ∆1,2 (G)-invariants in C an (G, V ); that is, VG−an . 
The next two lemmas are included for later reference. For both lemmas, we
assume given an open affinoid subgroup H of G, equal to the Zariski closure of its
group H := H(L) of L-valued points. If V is a K-Banach space equipped with a
topological H-action, then we may restrict the left and right regular action of G
on C an (G, V ) to actions of H. Combining these actions with the pointwise actionof H arising from the action of H on V , we obtain an action of H × H × H on
C an (G, V ) (the first factor acting via the pointwise action, the second factor by theleft regular representation, and the third factor by the right regular representation).
The formation of C an (G, V ) with its H × H × H-action is obviously functorial in V .
Lemma 3.3.9. If V is a K-Banach space equipped with a topological H-action,then the natural map C an (G, VH−an )∆1,2 (H) → C an (G, V )∆1,2 (H) is an isomorphism.
Proof. Directly from the definitions, this is the map(3.3.10)

C an (G, C an (H, V )∆1,2 (H) )∆1,2 (H) → C an (G, V )∆1,2 (H)induced by restricting the evaluation map eve : C an (H, V ) → V to C an (H, V )∆1,2 (H) .
∼There is a canonical isomorphism C an (G, C an (H, V )) −→ C an (G × H, V ), which
induces an isomorphism
C an (G, C an (H, V )∆1,2 (H) )∆1,2 (H)∼−→ {f ∈ C an (G × H, V ) | f (h1 g, h2 ) = f (g, h2 h1 ) andf (g, h1 h2 ) = h1 f (g, h2 ) for all g ∈ G, h1 , h2 ∈ H}.
We also have the isomorphism∼

C an (G, V )∆1,2 (H) −→ {f ∈ C an (G, V ) | f (hg) = hf (g) for all g ∈ G, h ∈ H}.
With respect to these descriptions of its source and target, we may reinterpret themap (3.3.10) as the map{f ∈ C an (G × H, V ) | f (h1 g, h2 ) = f (g, h2 h1 ) and f (g, h1 h2 ) = h1 f (g, h2 ) for allg ∈ G, h1 , h2 ∈ H} → {f ∈ C an (G, V ) | f (hg) = hf (g) for all g ∈ G, h ∈ H},
given by restricting to G × e ⊂ G × H. Described this way, it is immediatethat (3.3.10) induces an isomorphism between its source and target. LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

55

Lemma 3.3.11. The evaluation map eve : C an (H, K) → K induces an isomor∼
phism C an (G, C an (H, K))∆1,2 (H) −→ C an (G, K).
Proof. This is proved in an analogous manner to the previous lemma. 
Proposition 3.3.12. If U and V are two K-Banach spaces, each equipped with aˆ K VG−an → U ⊗ˆ K V (obtained by taking
topological G-action, then the map UG−an ⊗the completed tensor product of the natural continuous injections UG−an → U andˆ K V )G−an →VG−an → V ) factors through the natural continuous injection (U ⊗
ˆ K V (where U ⊗ˆ K V is equipped with the diagonal G-action).
U⊗
Proof. If φ1 is an element of C an (G, U ) and φ2 is an element of C an (G, V ), then theˆ K V ). Thus we obtain a
map g 7→ φ1 (g) ⊗ φ2 (g) yields an element of C an (G, U ⊗ˆ K V ), which induces acontinuous bilinear map C an (G, U )×C an (G, V ) → C an (G, U ⊗ˆ C an (G, V ) → C an (G, U ⊗ˆ K V ). This restricts to a map
continuous map C an (G, U ) ⊗ˆ K C an (G, V )∆1,2 (G) → C an (G, U ⊗ˆ K V )∆1,2 (G)C an (G, U )∆1,2 (G) ⊗ˆ K V is taken to be the diagonal action). Taking into
(where the G-action on U ⊗account definition 3.3.1, this proves the proposition. 
We now allow V to be an arbitrary convex K-vector space equipped with a
topological action of G, and extend definition 3.3.1 to this more general context.
Definition 3.3.13. If V is a locally convex Hausdorff topological K-vector spaceequipped with a topological action of G, define the convex K-vector space VG−an of
W G−an ,G-analytic vectors in V to be the locally convex inductive limit VG−an = lim−→
W

where W runs over all the G-invariant BH-subspaces of V , and each W is equippedwith the G-action provided by lemma 3.2.12.
The formation of VG−an (as a convex K-vector space with topological G-action)is covariantly functorial in V (by proposition 1.1.7) and contravariantly functorial
in G. Since VG−an is defined as the locally convex inductive limit of a family of
Banach spaces, it is both barrelled and bornological.
Proposition 3.3.3 provides for each G-invariant BH-subspace W of V a continuous injection W G−an → W , which we may compose with the continuous injection
W → V to obtain a continuous injection(3.3.14)

W G−an → V.

Taking the limit over all such W then yields a continuous injection(3.3.15)

VG−an → V.

As a particular consequence, we conclude that VG−an is Hausdorff.
The following result justifies the designation of VG−an as the space of G-analytic
vectors in V .
Theorem 3.3.16. If V is a Hausdorff convex K-vector space equipped with a
topological G-action then there is a (uniquely determined ) continuous injection
VG−an → C an (G, V ) such that the diagram(3.3.17)

VG−an(3.3.15)/Vo
C an (G, V )/ F(G, V )56

MATTHEW EMERTON

is Cartesian on the level of abstract vector spaces. Thus the image of the continuous
injection (3.3.15) contains precisely those vectors v ∈ V for which the orbit map ov
is (the restriction to G of ) an element of C an (G, V ).
Proof. Since the map (3.3.15) and the natural map C an (G, V ) → F(G, V ) are injective (the latter since we have assumed that G is Zariski dense in G), there isclearly at most one such map which makes (3.3.17) commute.
If W is a G-invariant BH-subspace of V , then by construction there is a closed
embedding W G−an → C an (G, W ). Composing with the injection C an (G, W ) →C an (G, V ), and then passing to the inductive limit over all W , yields a continuous injection VG−an → C an (G, V ) that makes (3.3.17) commute. It remains to beshown that (3.3.17) is Cartesian.
Let V1 denote the subspace of V consisting of those vectors v ∈ V for which ov
is given by an element of C an (G, V ). We must show that the image of (3.3.15) isequal to V1 .
The commutativity of (3.3.17) shows that image of (3.3.15) lies in V1 . Conversely,
let v be a vector in V1 . The orbit map ov : G → V is thus given by an elementof C an (G, V ), and so by an element of C an (G, W ) for some BH-subspace W of
V . The continuous map C an (G, W ) → C(G, W ) → C(G, V ) is G-equivariant, if weendow all the spaces appearing with the right regular G-action. Let W 1 denotethe preimage in C an (G, W ) of the G-invariant closed subspace Vcon of C(G, V ); thenW 1 is a G-invariant closed subspace of C an (G, W ). Let W1 denote the image of W 1eve
V ; by construction W1 is a G-invariant
under the continuous map W 1 → Vcon −→BH-subspace of V . Again by construction, W1 is contained in V1 and contains theelement v. We claim that the natural map (W 1 )G−an → W 1 is an isomorphism.
Granting this, it follows that v is contained in the image of (W 1 )G−an in V1 andthe commutativity of (3.3.17) is proved.
We now prove the claim. Observe that by proposition 3.3.4 the natural map
C an (G, W )G−an → C an (G, W ) is an isomorphism. Our claim follows upon applying
proposition 3.3.5 to the closed embedding W 1 → C an (G, W ). 
Proposition 3.3.18. If V is a Fréchet space equipped with a topological G-action,then the map VG−an → C an (G, V ) provided by proposition 3.3.16 is a closed embedding. In particular, VG−an is again a Fréchet space.
Proof. Proposition 2.1.13 (ii) shows that C an (G, V ) is a Fréchet space, and theproof of that proposition, together with propositions 2.1.6 and 3.2.15, shows that,
as W ranges over all G-invariant BH-subspaces of V , the images of the maps
C an (G, W ) → C an (G, V ) are cofinal in the directed set of all BH-subspaces ofC an (G, V ). Since the closed subspace C an (G, V )∆1,2 (G) of C an (G, V ) is again aFréchet space, and hence ultrabornological, we deduce from proposition 1.1.12 thatthe natural map lim
C an (G, W )∆1,2 (G) → C an (G, V )∆1,2 (G) is an isomorphism. This−→W

proves the proposition. 
Proposition 3.3.19. If V is a Hausdorff convex K-vector space equipped with a
topological G-action then the action of G on VG−an is continuous.
Proof. If W is a G-invariant BH-subspace of V then the action of G on W G−an iscontinuous. This implies that the action of G on VG−an is separately continuous.
Since VG−an is barrelled, the G-action on VG−an is continuous, as claimed. LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

57

The following result shows that in definition 3.3.13 we may restrict our attention
to continuously G-invariant BH-subspaces of V .
Proposition 3.3.20. If V is a Hausdorff convex K-vector space equipped witha topological G-action then the natural map lim
U G−an → VG−an , in which the−→U

inductive limit is taken over all continuously G-invariant BH-subspaces U of V , is
an isomorphism.
Proof. Let W be a G-invariant BH-subspace of V . Then the image U of W con
in W is a continuously G-invariant BH-subspace of V that is contained in W .
Since U is isomorphic to W con by construction, corollary 3.3.8 shows that the map
U G−an → W G−an induced by the inclusion U ⊂ W is an isomorphism. This proves
the proposition. 
Corollary 3.3.21. If V is a Hausdorff convex K-vector space of LF -type (respectively of LB-type), and if V is equipped with a topological G-action, then VG−an is
an LF -space (respectively an LB-space.).
S∞
Proof. Suppose V = n=1 Vn , where V1 ⊂ V2 ⊂ · · · ⊂ Vn ⊂ · · · is an increasing sequence of F H-subspaces of V . Proposition 1.1.10 shows that the sequence {Vn }n≥1
is cofinal in the directed set of F H-subspaces of V . Applying proposition 3.2.14,
define Wn := coG (Vn ); the sequence {Wn }n≥1 is then cofinal in the directed setof continuously G-invariant F H-subspaces of V . Consider now the continuous inU G−an → lim
W G−an → VG−an , the first inductive limit being taken
jections lim
−→
−→
U

W

over all continuously G-invariant BH-subspaces U of V , and the second over allcontinuously G-invariant F H-subspaces W of V . Since, by Proposition 3.3.20, thecomposite of these injections is an isomorphism, so is each of them separately; inparticular, the second map is. Since, as was already noted, the sequence {Wn }n≥1 is∼cofinal among the W , we obtain an isomorphism lim(W n )G−an −→ VG−an . Propo−→nsition 3.3.18 shows that (W n )G−an is a Fréchet space for each value of n, and thusthat VG−an is an LF -space.
If in fact each of the Vn is a BH-subspace of Vn , then so is each Wn . Thus
(W n )G−an is a Banach space for each value of n, and in this case we see that VG−an
is even an LB-space. 
Proposition 3.3.22. If V is a Hausdorff convex K-vector space equipped with a
topological G-action then the continuous injection (VG−an )G−an → VG−an is in fact
a topological isomorphism.
Proof. Let W range over all G-invariant BH-subspace of V . The functoriality of
the formation of G-analytic vectors induces a commutative diagramlim(W G−an )G−an−→/ (VG−an )G−an

W


lim
W
G−an
−→


/ VG−an ,W

in which the inductive limits are taken over all such W . Corollary 3.3.6 implies
that the left-hand vertical map is an isomorphism, while by definition the lower
horizontal arrow is an isomorphism. Since the other arrows are continuous injective

58

MATTHEW EMERTON

maps, we see that the right-hand vertical arrow is also a topological isomorphism,
as claimed. 
Proposition 3.3.23. Let V be a Hausdorff convex K-vector space equipped witha topological G-action, and let W be a G-invariant closed subspace of V . If W1
denotes the preimage of W in VG−an under the natural map VG−an → V of (3.3.15)(so that W1 is a G-invariant closed subspace of VG−an ), then the map WG−an →VG−an (induced by the functoriality of the formation of analytic vectors) induces acontinuous bijection of WG−an onto W1 . If furthermore VG−an is either a Fréchetspace or of compact type, then this continuous bijection is a topological isomorphism.
Proof. The first statement of the corollary follows from propositions 2.1.23 andtheorem 3.3.16.
To prove the second, we first observe that proposition 3.3.22 yields an isomor∼
phism (VG−an )G−an −→ VG−an , and so the first statement of the proposition,
applied to the closed embedding W1 → VG−an , induces a continuous bijection(W1 )G−an → W1 . As VG−an is either a Fréchet space or a space of compact type, thesame is true of its closed subspace W1 , and hence by corollary 3.3.21, (W1 )G−an is
an LF -space. This bijection is thus a topological isomorphism. This isomorphism
fits into the sequence of continuous injections (W1 )G−an → WG−an → W1 → W(the first of these being induced by the third and functoriality of the formation of
G-analytic vectors). We deduce that the map WG−an → W1 is also a topologicalisomorphism, as required. 
Proposition 3.3.24. If V is either a Fréchet space or a convex space of com∼pact type, then there is a natural isomorphism C(G, V )G−an −→ C an (G, V ). (HereC(G, V ) and C an (G, V ) are regarded as G-representations via the right regular Gaction.)
Proof. Propositions 2.1.6 implies that as W ranges over all BH-subspaces of V , theimages of the maps C(G, W ) → C(G, V ) are cofinal in the set of all BH-subspacesof C(G, V ). This gives the first and last members of the sequence of isomorphisms∼∼∼

C(G, W )G−an −→ lim
C(G, V )an −→ lim
C an (G, W ) −→ C an (G, V ),
−→
−→
W

W

the middle isomorphism being provided by proposition 3.3.7.

Corollary 3.3.25. If V is either a Fréchet space or a convex space of compact type,then the natural injection C an (G, V )G−an → C an (G, V ) is a topological isomorphism.
(Here C an (G, V ) is regarded as a G-representation via the right regular G-action.)
Proof. Proposition 3.3.24 shows that the injection C an (G, V )G−an → C an (G, V ) is
obtained by passing to G-analytic vectors in the injection C(G, V )G−an → C(G, V ).
The corollary follows from proposition 3.3.22. 
Corollary 3.3.26. If V is either a Fréchet space or a convex space of compact type,∼then there is a natural isomorphism C la (G, V )G−an −→ C an (G, V ). (Here C la (G, V )and C an (G, V ) are regarded as G-representations via the right regular G-action.)
Proof. If we pass to G-analytic vectors in the sequence of continuous injections
C an (G, V ) → C la (G, V ) → C(G, V ) we obtain a sequence of continuous injections
C an (G, V )G−an → C la (G, V )G−an → C(G, V )G−an . As we observed in the proof of

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

59

corollary 3.3.25, the composite of these bijections is an isomorphism, and thus eachof these bijections is itself an isomorphism. Applying proposition 3.3.24 we see that∼
C la (G, V )G−an −→ C an (G, V ), as required. 
Proposition 3.3.27. If V is a Hausdorff convex K-vector space equipped with∼a topological G-action, and if there is a G-equivariant isomorphism lim
Vn −→ V ,−→nwhere {Vn }n≥1 is an inductive sequence of Hausdorff LB-spaces, each equipped witha topological G-action, admitting injective G-equivariant transition maps, then there∼(Vn )G−an −→ VG−an .
is a natural isomorphism lim−→nProof. It follows from proposition 1.1.10 that any BH-subspace of V lies in theimage of the map Vn → V for some sufficiently large value of n. This yields the
proposition. 
3.4. Analytic vectors continued
In this section we suppose that G is a rigid analytic group defined over L,Swhich is∞
σ-affinoid as a group, in the sense that G admits an admissible cover G = n=1 Gn ,where {Gn }n≥1 is an increasing sequence of admissible affinoid open subgroups
S∞ of G.
We write G := G(L), and for each n, write Gn := Gn (L), so that G = n=1 Gn .
We also assume that Gn is Zariski dense in Gn for each n ≥ 1, and thus that G is
Zariski dense in G.
Definition 3.4.1. If V is a Hausdorff convex K-vector space equipped with a
topological G-action, then we define the convex K-vector space VG−an of G-analytic
vectors in V to be the projective limit lim
VH−an , where the projective limit is taken←−nover all admissible affinoid open subgroups H of G.
If H1 ⊂ H2 is an inclusion of admissible affinoid open subgroups of G, then
the natural map VH2 −an → VH1 −an is an injection (since when composed with thenatural injection VH1 −an → V it yields the natural injection VH2 −an → V ). Thus thetransition maps in the projective system of definition 3.4.1 are all injections. The
remarks preceding definition 2.1.18 show that we may in fact restrict this projective
limit to be taken over the subgroups Gn of G.
The formation of VG−an is evidently covariantly functorial in V and contravariantly functorial in G.
Proposition 3.4.2. There is a natural continuous G-action on VG−an , as well asa natural continuous G-equivariant injection VG−an → V.
Proof. We regard VG−an as the projective limit lim
VGn −an . If m ≤ n then the con←−ntinuous Gn -action on VGn −an provided by proposition 3.3.19 restricts to a continuous Gm -action on VGn −an . Passing to the projective limit, we obtain a continuous
Gm -action on VG−an . Since G is the union of its open subgroups Gm , we obtain acontinuous G-action on VG−an .
The G-equivariant injection VG−an → V is obtained by composing the naturalprojection VG−an → VGn −an (for some choice of n) with the continuous injection
VGn −an → V . (The resulting continuous injection is obviously independent of the
choice of n.) 60

MATTHEW EMERTON

Theorem 3.4.3. If V is a Hausdorff convex K-vector space equipped with a topological G-action then there is a (uniquely determined ) continuous injection VG−an →C an (G, V ) such that the diagram
VG−an(3.4.2)/VoC an (G, V )/ F(G, V )is Cartesian on the level of abstract vector spaces. In particular, the image of thecontinuous injection (3.4.2) contains precisely those vectors v ∈ V for which theorbit map ov is (the restriction to G of ) an element of C an (G, V ).
Proof. For each value of n, theorem 3.3.16 yields a diagram of continuous maps
VGn −an/VC an (Gn , V )o/ F(Gn , V ),Cartesian on the level of abstract K-vector spaces. These diagrams are compatible
with respect to the maps Gn → Gn+1 , and passing to the projective limit in nyields the diagram of the theorem. 
Proposition 3.4.4. If V is a Fréchet space, then the map VG−an → C an (G, V )provided by theorem 3.4.3 is a closed embedding. In particular, VG−an is again aFréchet space (since the remark following definition 2.1.18 shows that C an (G, V ) isa Fréchet space).
Proof. Proposition 3.3.18 shows that the natural map VGn −an → C an (Gn , V ) is a
closed embedding, for each n ≥ 1. Since the projective limit of closed embeddings
is a closed embedding, the result follows. 
Corollary 3.4.5. If V is a K-Fréchet space equipped with a topological action∼of G, then there exists a natural G-equivariant topological isomorphism VG−an −→ˆ K V )∆1,2 (G) .
(C an (G, K) ⊗∼Proof. Proposition 2.1.19 yields a natural topological isomorphism C an (G, V ) −→
ˆ K V. The claim now follows from proposition 3.4.4. 
C an (G, K) ⊗Corollary 3.4.6. If G is strictly σ-affinoid, and if V is a nuclear Fréchet spaceequipped with a topological G-action, then VG−an is again a nuclear Fréchet space.
Proof. Since G is strictly σ-affinoid, the space C an (G, K) is a nuclear Fréchet space.
Proposition 1.1.28 and corollary 3.4.5 show that VG−an is a closed subspace of a
nuclear Fréchet space, and hence is again a nuclear Fréchet space. 
Corollary 3.4.7. If V is a K-Fréchet space equipped with a topological G-action,then the natural map (VG−an )G−an → VG−an is a topological isomorphism.
Proof. Since V is a Fréchet space, the same is true of VG−an , by proposition 3.4.4.
Corollary 3.4.5 thus yields an isomorphism(3.4.8)∼
ˆ K VG−an )∆1,2 (G)(VG−an )G−an −→ (C an (G, K) ⊗

ˆ K (lim VGn −an ))∆1,2 (G) .
= ((limC an (Gn , K)) ⊗
←−
←−
n

n

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

61

Proposition 3.3.18 shows that each VGn −an is a Fréchet space, and we obtain
isomorphisms(3.4.9)

ˆ K (lim VGn −an ))∆1,2 (G)((lim
C an (Gn , K)) ⊗
←−
←−
n

n

∼

ˆ K VGn −an ))∆1,2 (G)−→ (lim(C an (Gn , K) ⊗
←−
n

∼

∼

ˆ K VGn −an )∆1,2 (Gn ) −→ lim VGn −an = VG−an .
−→ lim(C an (Gn , K) ⊗
←−
←−
n

n

(The first isomorphism is provided by proposition 1.1.29, the second is evident,
and the third is provided by the definition of (VGn −an )Gn −an , together with propositions 2.1.13 (ii), 3.3.18, and 3.3.22.) Composing the isomorphism provided by(3.4.9) with that provided by (3.4.8) establishes the corollary. 
Proposition 3.4.10. Let V be a Hausdorff convex K-vector space equipped witha topological G-action, and let W be a G-invariant closed subspace of V . If W1
denotes the preimage of W in VG−an under the natural map VG−an → V (a Ginvariant closed subspace of VG−an ), then the map WG−an → VG−an (induced byfunctoriality of the formation of analytic vectors) induces a continuous bijection of
WG−an onto W1 . If furthermore VG−an is a Fréchet space, then this map is even a
topological isomorphism.
Proof. The first claim follows from theorem 3.4.3 and proposition 2.1.23. The
second claim is proved in an analogous manner to the second claim of proposition 3.3.23, by appealing to proposition 3.4.4 and corollary 3.4.7. 
Proposition 3.4.11. If Gn has finite index in G for some (equivalently, all )n ≥ 1 (or equivalently, if G is compact), and if V is either a K-Fréchet spaceor a convex K-vector space of compact type, then there is a natural isomorphism∼
C(G, V )G−an −→ C an (G, V ). (Here the spaces C(G, V ) and C an (G, V ) are regarded
as G-representations via the right regular G-action.)
Proof. Note that Gn is both open in G and compact (being the L-analytic pointsof the open affinoid subgroup Gn of G), and so has finite index in G if and only if
G is itself compact. Note also that this latter condition makes no reference to n,
and thus that the former condition hold for one value of n if only if holds for all ofthem. This verifies the equivalences claimed in the statement of the `proposition.
Suppose now that Gn is finite index in G. The decomposition G = g∈G/Gn g Gn
∼ Qyields a Gn -equivariant isomorphism C(G, V ) −→ g∈G/Gn C(g Gn , V ), and hence(since the formation of analytic vectors obviously commutes with the formation offinite direct products) an isomorphism∼

C(G, V )Gn −an −→Y

C(g Gn , V )Gn −ang∈G/Gn∼−→Y
g∈G/Gn∼C an (g Gn , V ) −→ C an (ag Gn , V ).

g∈G/Gn(For each g ∈ G/Gn , we have written g Gn to denote the admissible open affinoid
subset of G obtained by translating Gn on the left by the coset representative g.
The second isomorphism is provided by proposition 3.3.24.) The admissible open

62

MATTHEW EMERTON`
affinoid subsets g∈G/Gn g Gn , for n ≥ 1, form a cofinal collection of admissible
open affinoid subsets of G. Thus, passing to the projective limit over n ≥ 1, we∼
obtain the required isomorphism C(G, V )G−an −→ C an (G, V ). 
Proposition 3.4.12. If V is a Hausdorff convex K-vector space equipped with a
topological action of G, and if H is an affinoid rigid analytic subgroup of G thatis normalized by G (so that G acts naturally on VH−an ), then the natural map(VH−an )G−an → VG−an is a topological isomorphism.
Proof. Recall that G may be written as an increasing union of a sequence of affinoid open subgroups {Gn }n≥1 . We may choose this sequence of subgroups so that
H = G1 . If n ≥ 1, then there are continuous injections VGn −an → VH−an → V, andhence continuous injections (VGn −an )Gn −an → (VH−an )Gn −an → VGn −an . Proposition 3.3.22 shows that the composite of these maps is a topological isomorphism,
and thus in particular so is the second of these, the map(3.4.13)(VH−an )Gn −an → VGn −an .

Passing to the projective limit of the maps (3.4.13) as n tends to infinity, theproposition follows. 
Proposition 3.4.14. Suppose that H is a rigid analytic affinoid group definedover L, containing G as a rigid analytic subgroup, and assume that H := H(L)normalizes G. If V is a Hausdorff convex K-vector space equipped with a topologicalH-action, then the natural map (VG−an )H−an → VH−an is a topological isomorphism.
Proof. Since G is contained in H, we have natural continuous injections VH−an →VG−an → V. As H normalizes G, the H-action on V lifts to a H-action on VG−an , andboth injections are H-equivariant. Passing to H-analytic vectors yields continuous
injections (VH−an )H−an → (VG−an )H−an → VH−an . Proposition 3.3.22 shows thatthe composite of these two maps is a topological isomorphism. The same is thustrue of each of these maps separately. 
Corollary 3.4.15. Suppose that J ⊂ G is an inclusion of σ-affinoid groups, which
factors as J ⊂ G1 ⊂ G, and such that G normalizes J. If V is a Hausdorffconvex K-vector space equipped with a topological G-action then the natural map(VJ−an )G−an → VG−an is a topological isomorphism.
Proof. By proposition 3.4.14, the natural map (VJ−an )Gn −an → VGn −an is an isomorphism for each n ≥ 1. Passing to the projective limit in n yields the corollary. 
3.5. Locally analytic vectors
In this section we let G denote a locally L-analytic group. We begin by introducing the notion of an analytic open subgroup of G.
Suppose that (φ, H, H) is a chart of G — thus H is a compact open subset of G,
H is an affinoid rigid analytic space over L isomorphic to a closed ball, and φ is an∼
isomorphism φ : H −→ H(L) — with the additional property that H is a subgroupof G. Since H is Zariski dense in H, there is at most one rigid analytic groupstructure on H giving rise to the group structure on H. If such a rigid analytic
group structure exists on H, we will refer to the chart (φ, H, H) as an analytic open
subgroup of G. Usually, we will suppress the isomorphism φ, and simply refer toLOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

63

an analytic open subgroup H of G, and write H to denote the corresponding rigid
analytic group determined by H.
The analytic open subgroups of G form a directed set in an obvious fashion: if
H 0 ⊂ H is an inclusion of open subgroups of G each of which is equipped with thestructure of an analytic open subgroup of G, then we say that it is an inclusion ofanalytic open subgroups if it lifts to a rigid analytic map H0 → H. (Since H 0 and H
are Zariski dense in H0 and H respectively, such a lift is uniquely determined if itexists, and is automatically a homomorphism of rigid analytic groups.) Forgetting
the chart structure yields an order-preserving map from the directed set of analytic
open subgroups of G to the set of all open subgroups of G. Since the group structure
on G is locally analytic by assumption, the image of this map is cofinal in the
directed set of all open subgroups of G. (For example, see [28, LG 4 §8]; standard
open subgroups — in the terminology of that reference — provide examples ofanalytic open subgroups.)
If H is an analytic open subgroup of G and g is an element of G, then multipli∼
cation by g induces an isomorphism H −→ gH. Thus gH is naturally a chart of G.
Just as we let H denote the rigid analytic structure induced on H by its structure
as a chart of G, we will let gH denote the rigid analytic space induced on gH by its∼
structure as a chart of G. (In fact, if φ : H −→ H(L) describes the chart structure∼on H, then the chart structure on gH is describe by the map φ0 : gH −→ H(L) de0
fined as φ : gh 7→ φ(h). Thus the rigid analytic structure on gH is obtained not bychanging the rigid analytic space H, but rather by changing the map φ. However,
it is easier and more suggestive in the exposition to suppress the maps φ and φ0 ,and to instead use the notation gH to denote the rigid analytic structure on gH.)
If g ranges over a set of right coset representatives of H in G, then the collectionof charts {gH}g∈G/H forms an analytic partition of G. If G is compact, then theset of such analytic partitions obtained by allowing H to run over all analytic open
subgroups of G is cofinal in the set of all analytic partitions of G.
We will use a similar notation for the conjugate of an analytic open subgroup.
If H is an analytic open subgroup of G, and g is an element of G, then conjugation∼
by g induces an isomorphism H −→ gHg −1 , and so puts a natural chart structure
on gHg −1 , making gHg −1 an analytic open subgroup of G. We let gHg −1 denote∼the underlying rigid analytic group. (Again, if φ : H −→ H(L) describes thechart structure on H, then the chart structure on gHg −1 is describe by the map∼
φ0 : gHg −1 −→ H(L) defined as φ0 : ghg −1 7→ φ(h). Thus, as in the case of cosets,
the rigid analytic group structure on gHg −1 is obtained not by changing the rigid
analytic group H, but rather by changing the map φ. However, just as in the caseof cosets, it is easier and more suggestive in the exposition to suppress the maps φ
and φ0 , and to instead use the notation gHg −1 to denote the rigid analytic structure
on gHg −1 .)If V is a Hausdorff locally convex topological K-vector space equipped with a
topological action of G then for each analytic open subgroup H of G we may form
the convex K-vector space VH−an of H-analytic vectors in V , equipped with its Hinvariant continuous injection VH−an → V . Since the formation of this space andinjection is functorial in H these spaces form an inductive system: if H 0 ⊂ H is an
inclusion of analytic open subgroups of G then there is a continuous H 0 -equivariant
injection VH−an → VH0 −an , compatible with the injections of each of the source andtarget into V . Passing to the locally convex inductive limit we obtain a continuous

64

MATTHEW EMERTON

injection lim
VH−an → V .
−→H

Lemma 3.5.1. Let V be a Hausdorff convex K-vector space equipped with a topological action of G. If g is an element of G and H is an analytic open subgroup of G
(so that gHg −1 is a second such subgroup) then the automorphism of V induced by∼
the action of g lifts in a unique fashion to an isomorphism VH−an −→ VgHg−1 −an .
Proof. The meaning of the lemma is that there is a unique way to fill in the top
horizontal arrow of the following diagram so as to make it commute:/ VgHg−1 −an

VH−an

V

g·


/ V.

The uniqueness is clear, since the vertical arrows are injections. To see the existence,let φ : H → gHg −1 denote the conjugation map h 7→ ghg −1 . Then the continuous
linear map from V to itself given by the action of g is equivariant with respect toφ. The functoriality of the construction of analytic vectors shows that the actionof g on V lifts to a map VH−an → VgHg−1 −an . 
Corollary 3.5.2. In the preceding situation there is an action of G on the inductive
VH−an , uniquely determined
system {VH−an }, and hence on the inductive limit lim−→
Hby the condition that the continuous injection lim
VH−an → V be G-equivariant.
−→H

Proof. The uniqueness is clear, since all the transition maps in the inductive system{VH−an } are injective. Lemma 3.5.1 shows that if g is an element of G and H isany analytic open subgroup of G then the action of g on V lifts to a map VH−an →VgHg−1 −an . By functoriality of the construction of analytic vectors, these combine
to yield the required action of G on the inductive system {VH−an }. Definition 3.5.3. Suppose that V is a locally convex Hausdorff K-topological
vector space equipped with a topological action of G. We define the locally convex
space Vla of locally analytic vectors in V to be the locally convex inductive limit
Vla := lim
VH−an ,−→
H

where H runs over all the analytic open subgroups of G (and H denotes the rigid
analytic group corresponding to H). If we wish to emphasize the role of the locallyanalytic group G then we will write VG−la in place of Vla .
The space Vla is equipped with a continuous injection into V , and thus is Hausdorff. Lemma 3.5.1 shows that Vla is equipped with a continuous action of G withrespect to which its injection into V is G-equivariant. The construction of Vla (asa locally convex topological K-vector space with G-action) is obviously contravariantly functorial in V and covariantly functorial in G.
Theorem 3.5.7 below justifies our designation of Vla as the space of locally analytic vectors of V . (See the remarks following that theorem for a comparison of ourdefinition of the space of locally analytic vectors with the definition given in [22,§3] and [27, p. 38].)

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

65

Lemma 3.5.4. If H is an open subgroup of G and V is a Hausdorff convex Kvector space equipped with a topological G-action then the natural H-equivariant∼
morphism VH−la −→ VG−la is an isomorphism.
Proof. This follows immediately from the fact that the directed set of analytic open
subgroups of G that are contained in H is cofinal in the directed set of analytic
open subgroups of G. 
Proposition 3.5.5. If V is a Hausdorff convex K-vector space equipped with a
topological action of G then the continuous injection (Vla )la → Vla is a topologicalisomorphism.
Proof. If we fix an analytic open subgroup H of G and an H-invariant BH-subspace
W of V , then the image of W H−an in Vla is an H-invariant BH-subspace of Vla ,and corollary 3.3.6 shows that the natural map (W H−an )H−an → W H−an is an isomorphism. Taking the limit over all such W and H we obtain continuous injections
W H−an .
lim (W H−an )H−an → (Vla )la → Vla = lim
−→

−→
W,H

W,H

Our preceding remarks imply that the composite of these injections is a topologicalisomorphism, and consequently the second injection is also a topological isomorphism. 
Proposition 3.5.6. If V is a Hausdorff convex K-vector space of LF -type (respectively LB-type), then Vla is an LF -space (respectively an LB-space).
Proof. Let {Hn }n≥1 denote a cofinal sequence of of analytic open subgroups of G.
Then Vla = lim
VHn −an . Corollary 3.3.21 shows that each VHn −an is either an LF −→nspace or an LB-space (depending on the hypothesis on V ), and thus the same istrue of Vla . 
Theorem 3.5.7. If V is a Hausdorff convex K-vector space equipped with a topological action of G then there is a (uniquely determined ) continuous injection
Vla → C la (G, V ) such that the diagram(3.5.8)Vla/VC la (G, V )/ F(G, V )ois Cartesian on the level of abstract vector spaces. Thus Vla maps via a continuous
bijection onto C la (G, V )∆1,2 (G) , and the image of the continuous injection Vla → V
is equal to the subspace of V consisting of those vectors v ∈ V for which ov is anelement of C la (G, V ).
Proof. Since the natural maps Vla → V and C la (G, K) → F(G, V ) are injective,
there is at most one map Vla → V making (3.5.8) commute. If H is an analytic
open subgroup of G then theorem 3.3.16 shows that the association of ov|H to anyv ∈ V yields a continuous map VH−an → C an (H, V ). From this we deduce thatthe association of ov|gH to v ∈ V induces a continuous map VH−an → C an (gH, V )for any g ∈ G. Indeed, multiplication on the left by g −1 induces an analytic

66

MATTHEW EMERTON∼

isomorphism gH → H, and thus an isomorphism C an (H, V ) −→ C an (gH, V ). The∼
continuous action of g on V induces an isomorphism C an (gH, V ) −→ C an (gH, V ).
The composite
VH−anv7→ov|H/ C an (H, V )∼/ C an (gH, V ) v7→gv / C an (gH, V )is thus a continuous map from VH−an to C an (gH, V ) which is immediately seen tobe equal to the map v 7→ ov|gH . If we take the product of these maps as g ranges
over a set Q
of right coset representatives for g ∈ G, we obtain a continuous map
VH−an → g∈G/H C an (gH, V ), given by g 7→ gv. Composing with the naturalQ
map g∈G/H C an (gH, V ) → C la (G, V ) (recall that {gH}g∈G/H forms an analytic
partition of G) and then passing to the inductive limit over all analytic open subgroups H of G, we obtain the continuous map Vla → C la (G, V ) which makes (3.5.8)
commutes.
We turn to showing that (3.5.8) is Cartesian. If v is an element of V for which
ov lies in C la (G, V ) then in particular there is an analytic open subgroup H of G
such that ov|H lies in C an (H, V ). Theorem 3.3.16 shows that v then lies in theimage of VH−an , and so in particular in the image of Vla . This proves that (3.5.8)
is Cartesian. 
In the papers [22] and [27], the space of locally analytic vectors in a continuous
representation of G on a Banach space V is defined to be the closed subspace
C la (G, V )∆1,2 (G) of C la (G, V ). (In these references, the authors use the terminology“analytic vectors” rather than “locally analytic vectors”, and write Van rather thanVla .) Thus the topology imposed on the space Vla in these references is in generalcoarser than the topology that we impose on Vla .
Proposition 3.5.9. If V is a convex space of compact type equipped with a topological G-action, then the map Vla → C la (G, V ) of theorem 3.5.7 is a closed embedding.
In particular, Vla is again of compact type.
Proof. Let H be a compact open subgroup of G. It is observed in [22, §3] thatthe natural map C la (H, V )∆1,2 (H) → C la (G, V )∆1,2 (G) is a topological isomorphism.
Thus, replacing G by H if necessary, we may suppose without loss of generality that
G is compact. Proposition 2.1.28 then shows that C la (G, V ) is of compact type,while proposition 3.5.6 shows that Vla is an LB-space. The image of Vla under themap of theorem 3.5.7 is a closed subspace of C la (G, V ), and thus is of compact type.
Theorem 1.1.17 now shows that Vla maps isomorphically onto this subspace. 
Proposition 3.5.10. Let V be a Hausdorff convex K-vector space equipped witha topological G-action, and let W be a G-invariant closed subspace of V . Let W1
denote the preimage of W in Vla under the natural map Vla → V, which is a Ginvariant closed subspace of Vla . Then the map Wla → Vla (induced by functorialityof the formation of locally analytic vectors) induces a continuous bijection of Wla
onto W1 . If Vla is of compact type, then this bijection is even a topological isomorphism.
Proof. The first statement follows from proposition 2.1.27 and theorem 3.5.7.
We now prove the second statement, assuming that Vla is of compact type.
Proposition 3.5.5 implies that the natural map (Vla )la → Vla is a topological isomorphism. The first statement of the proposition, applied to the closed embedding

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

67

W1 → Vla , yields a continuous bijection (W1 )la → W1 . As Vla is assumed to be ofcompact type, its closed subspace W1 is also of compact type. Proposition 3.5.9
implies that (W1 )la is again of compact type, and thus that this continuous bijection is in fact a topological isomorphism. This isomorphism fits into the sequenceof continuous injections (W1 )la → Wla → W1 → W (the first of these being induced by the third and functoriality of the formation of locally analytic vectors).
We conclude that the second of these maps is also a topological isomorphism, as
required. 
Proposition 3.5.11. If G is compact, and if V is either a K-Fréchet space ora convex K-vector space of compact type, then there is a natural isomorphism∼
C(G, V )la −→ C la (G, V ). (Here the spaces C(G, V ) and C la (G, V ) are regarded as
G-representations via the right regular G-action.)
Proof. If H is an analytic
open subgroup of G then it is of finite index in G, and`∼weQ may write G = i∈I gi H, where I is some finite index set. Then C(G, V ) −→i∈I C(gi H, V ), and so proposition 3.3.24 shows that∼

C(G, V )H−an −→Y∼

C(gi H, V )H−an −→i∈IY

C an (gi H, V ).

i∈I

As H ranges over all analytic open subgroups of G, the partitions {gi H}i∈I are
cofinal in the set of all analytic partitions of G. Thus we see thatY∼∼
C an (gi H, V ) −→ C la (G, V ). 
C(G, V )la = lim
C(G, V )H−an −→ lim
−→
−→
H

H

i∈I

The next result is originally due to Feaux de Lacroix [12, bei. 3.1.6].
Proposition 3.5.12. If G is compact, then for any Hausdorff convex K-vector
space V , the natural map C la (G, V )la → C la (G, V ) is a topological isomorphism.
(Here C la (G, V ) is regarded as a G-representation via the right regular G-action.)
Proof. Since G is compact, there is a natural isomorphism∼lim
C la (G, W ) −→ C la (G, V ),−→W

where W runs over all BH-subspaces of V . The functoriality of the formation of
locally analytic vectors gives rise to the commutative diagram(3.5.13)/ C la (G, V )lalim
C la (G, W )la
−→
W


la
lim
C
(G,
W)
−→

∼


/ C la (G, V ).

W

Propositions 3.5.5 and 3.5.11 together show that for each W , the natural map
C la (G, W )la → C la (G, W ) is a topological isomorphism. The left-hand verticalarrow of (3.5.13) is thus a topological isomorphism. Since the lower horizontal
arrow is also an isomorphism, and the other arrows are continuous injections, we
see that the right-hand vertical arrow is a topological isomorphism, as required. 

68

MATTHEW EMERTON

Proposition 3.5.14. If V is a Hausdorff convex K-vector space equipped with∼a topological G-action, and if there is a G-equivariant isomorphism lim
Vn −→ V ,−→nwhere {Vn }n≥1 is an inductive sequence of Hausdorff LB-spaces, each equipped witha topological G-action, admitting injective G-equivariant transition maps, then there∼(Vn )la −→ Vla .
is a natural isomorphism lim−→nProof. It follows from proposition 1.1.10 that any BH-subspace of V lies in theimage of the map Vn → V for some sufficiently large value of n. This yields the
proposition. 
Proposition 3.5.15. If U and V are Hausdorff LB-spaces, each equipped witha topological action of G, for which Ula and Vla are spaces of compact type, then
ˆ K Vla → U ⊗ˆ K V factors as a composite of continuous Gthe natural map Ula ⊗equivariant maps
ˆ K Vla → (U ⊗
ˆ K V )la → U ⊗ˆ K V,Ula ⊗ˆ K V is equipped with thewhere the second arrow is the natural injection. (Here U ⊗diagonal action of G.)
Proof. If {Hn }n≥1 denotes a cofinal sequence of analytic open subgroups of G, thenby definition,∼(W 1 )Hn −an ,Ula −→ lim−→
n,W1

where for a given value of n, we let W1 run over all Hn -invariant BH-subspacesof U . By assumption, Ula is of compact type, and in particular is an LB-space.
Taking into account Proposition 1.1.10, we thus see that we may find an increasing
sequence of BH-subspaces {W1,n }n≥1 of U , with W1,n being Hn -invariant, suchthat∼
(W 1,n )Hn −an .
Ula −→ lim−→nSimilarly, we may find an increasing sequence of BH-subspaces {W2,n }n≥1 of V ,with W2,n being Hn -invariant, such that∼

(W 2,n )Hn −an .
Vla −→ lim−→n

Proposition 1.1.32 yields an isomorphism(3.5.16)∼

ˆ K Vla −→ lim (W 1,n )Hn −an ⊗ˆ K (W 2,n )Hn −an .
Ula ⊗
−→
n

Proposition 3.3.12 yields a mapˆ K (W 2,n )Hn −an → (W 1,n ⊗ˆ K W 2,n )Hn −an(W 1,n )Hn −an ⊗for each n, while functoriality of the formation of analytic vectors yields a map
ˆ K W 2,n )Hn −an → (U ⊗
ˆ K V )Hn −an(W 1,n ⊗for each n. Altogether we obtain a map(3.5.17)

ˆ K (W 2,n )Hn −an → (U ⊗
ˆ K V )la .
lim(W 1,n )Hn −an ⊗−→nˆ K Vla → (U ⊗
ˆ K V )la . ComposComposing (3.5.17) with (3.5.16) yields a map Ula ⊗ˆ K V )la → U ⊗ˆ K V, yields the map Ula ⊗ˆ K Vla →ing this map with the injection (U ⊗
ˆ K V. Thus we have obtained the required factorization. U⊗LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

69

3.6. Analytic and locally analytic representations
In this section we recall the definition of a locally analytic representation ofa locally L-analytic group on a convex K-vector space, and establish some basic
properties of this notion. We begin by introducing the related notion of an analytic
representation of the group of L-valued points of a σ-affinoid rigid analytic group.
Definition 3.6.1. Let G be a σ-affinoid rigid analytic group defined over L, whichis σ-affinoid as a group, in the sense alreadyconsidered in section 3.4, namely,S∞
that G admits an admissible cover G = n=1 Gn , where {Gn }n≥1 is an increasing
sequence of admissible affinoid open subgroups of G. Suppose furthermore that
this cover of G can be chosen so that Gn := Gn (L) is Zariski dense in Gn for eachn ≥ 1, so that G := G(L) is Zariski dense in G. A G-analytic representation of G
then consists of a barrelled Hausdorff convex K-vector space V equipped with a
topological G-action, having the property that the natural injection VG−an → V isin fact a bijection.
The justification for this terminology is provided by theorems 3.3.16 and 3.4.3.
The requirement that V be barrelled is made so as to ensure that the G-action on
V is continuous. (Indeed, since the G-action on VG−an is continuous, we see that
the G-action on V is certainly separately continuous. Since V is barrelled, it follows
that the G-action on V is continuous.)
If V is an arbitrary Hausdorff convex K-vector space equipped with a topological
G-action, and if G is affinoid, then VG−an is barrelled, and so proposition 3.3.22
shows that VG−an affords a G-analytic representation of G. If V is a K-Fréchetspace, then for any σ-affinoid G, corollary 3.4.7 shows that VG−an affords a Ganalytic representation of G.
Let us remark that the notion of G-analytic representation is closely related to
the notion of a uniformly analytic (“gleichmässig analytisch”) representation of G
defined in [12, def. 3.1.5]. Indeed, any such representation of G is H-analytic forsome sufficiently small analytic open subgroup H of G.
Proposition 3.6.2. Let G be a σ-affinoid rigid analytic group satisfying the hypotheses of Definition 3.6.1, let V be a Hausdorff convex K-vector space equippedwith a G-analytic representation, and let W be a closed G-invariant subspace of V .
If W (respectively V /W ) is barrelled, then W (respectively V /W ) is again an analytic representation of G.
Proof. Proposition 3.4.10 shows that the natural map WG−an → W is a bijection.
On the other hand, functoriality of the formation of G-analytic vectors induces acommutative diagram/ (V /W )G−an
VG−an

V


/ V /W.

Since the bottom horizontal arrow is surjective, while both vertical arrows are
injective, we see that if the left-hand vertical arrow is a bijection, the same is trueof the right-hand vertical arrow. 

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MATTHEW EMERTON

Theorem 3.6.3. If either G is a σ-affinoid rigid analytic group satisfying the
hypothese of Definition 3.6.1, and V is a Fréchet space equipped with a G-analytic
representation of G, or if G is in fact an affinoid rigid analytic group such that
G := G(L) is Zariski dense in G, and V is a Hausdorff LF -space equipped with aG-analytic representation of G, then the natural map VG−an → V is a G-equivariant
topological isomorphism.
Proof. Under the first (respectively second) set of assumptions, Proposition 3.4.4(respectively Corollary 3.3.21) shows that VG−an is also a Fréchet space (respectively an LF -space). Thus the map VG−an → V is a continuous G-equivariant
bijection between Fréchet spaces (respectively LF -spaces), and so an isomorphism,by theorem 1.1.17. 
The preceding theorem is the analogue for analytic representations of proposition 3.2.10. Taking into account theorem 3.3.16, it shows that if V is equipped witha G-analytic representation of G, and if V and G satisfy one of the two possible
hypotheses of the theorem, then there is a continuous orbit map o : V → C an (G, V ).
The next result provides a variant in the rigid analytic setting of the untwisting
map of lemma 3.2.4.
Lemma 3.6.4. If G is an affinoid rigid analytic group such that G := G(L) is
Zariski dense in G, and if V is a G-analytic representation of G on a Hausdorff∼
LF -space, then there is a natural isomorphism C an (G, V ) −→ C an (G, V ) whichintertwines the ∆1,2 (G)-action on its source and the left regular G-action on its
target.
Proof. The natural map VG−an → V is a topological isomorphism, by theorem 3.6.3.
Proposition 3.3.21 and its proof then show that V may be written as a G-equivariant
inductive limit (with injective transition maps) of Fréchet spaces equipped with a G∼
analytic action of G, say V −→ lim
Vn . There is then a corresponding isomorphism−→n∼

C an (G, V ) −→ lim
C an (G, Vn ) (since any map from a Banach space to V factors−→nthrough some Vn ). Thus it suffices to prove the lemma with V replaced by each
Vn in turn, and thus we assume for the remainder of the proof that V is a Fréchetspace.
∼
ˆ K V,
Proposition 2.1.13 (ii) gives an isomorphism C an (G, V ) −→ C an (G, K) ⊗while proposition 3.3.18 gives a closed embedding V → C an (G, V ). Together, thesegive a closed embedding(2.1.13)(3.6.5)∼
ˆK V
C an (G, V ) −→C an (G, K) ⊗

ˆ
id ⊗(3.3.18)−→

ˆ (2.1.13)
id ⊗
∼

−→

ˆ K C an (G, V )C an (G, K) ⊗

ˆ K C an (G, K) ⊗
ˆ K V.
C an (G, K) ⊗Now the antidiagonal embedding a : G → G × G (defined by a : g 7→ (g, g −1 ))induces a continuous map∗∼aˆ K C an (G, K) −→C an (G, K) ⊗C an (G × G, K) −→ C an (G, K).

ˆ id with (3.6.5), and with the inverse of the isomorphism of propoComposing a∗ ⊗sition 2.1.13 (ii), yields a continuous map C an (G, V ) → C an (G, V ).

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

71

From its construction, one easily checks that the automorphism of C an (G, V )constructed in the preceding paragraph takes a function φ to the function φ̃ : g 7→
g −1 φ(g). That is, we have shown that the automorphism of F(G, V ) provided bylemma 3.2.4 leaves C an (G, V ) invariant. Similar considerations show that the inverseof this automorphism likewise leaves C an (G, V ) invariant. Thus the automorphismof F(G, V ) provided by lemma 3.2.4 restricts to a topological automorphism of
C an (G, V ). Lemma 3.2.4 shows that this automorphism intertwines the action of∆1,2 (G) and the left regular G-action on C an (G, V ). 
Similarly, we may find an isomorphism from C an (G, V ) to itself that intertwinesthe ∆1,3 (G)-action and the right regular G-action on C an (G, V ).
Proposition 3.6.6. Let G be a σ-affinoid rigid analytic group satisfying the hypotheses of Definition 3.6.1. If V is a Hausdorff convex K-vector space equippedwith a topological G-action, and if W is a finite dimensional G-analytic represen∼tation of G, then there is a natural G-equivariant isomorphism (V ⊗K W )G−an −→VG−an ⊗K W, characterized by the commutativity of the diagram∼ /VG−an ⊗K W
(V ⊗K W )G−an
QQQ
QQQ(3.4.2)
QQQ(3.4.2)⊗id
QQQ
Q(
V ⊗K W.

(Here the various tensor products are equipped with the diagonal G-action.)
Proof. We begin by proving the proposition in the case that G is and affinoid V
is a K-Banach space. If φ ∈ C an (G, V ⊗K W ) then we denote by φ̃ the function
g 7→ (id ⊗ g −1 )φ(g). (Here id ⊗ g −1 is denoting the indicated automorphism ofV ⊗K W .) Since the G-action on W is assumed to be G-analytic, the function φ̃again lies in C an (G, V ⊗K W ), and the association of φ̃ to φ induces an automorphism of C an (G, V ⊗K W ). (The inverse automorphism takes a function φ̃ to thefunction φ : g 7→ (id ⊗ g)φ(g).) In fact, it simplifies our discussion if we use the∼canonical isomorphism C an (G, V ⊗K W ) −→ C an (G, V )⊗K W to regard φ 7→ φ̃ as an∼
isomorphism C an (G, V ⊗K W ) −→ C an (G, V ) ⊗K W . One then checks that this isomorphism intertwines the ∆1,2 (G)-action on the source with tensor product of the∆1,2 (G)-action and the trivial action on the target. Passing to ∆1,2 (G)-invariants∼on the source, we obtain the desired isomorphism (V ⊗K W )G−an −→ VG−an ⊗K W.
Now suppose that G and V are arbitrary. If we fix a value of n ≥ 1, then it follows
from proposition 1.1.8 and its proof that as U ranges over all Gn -invariant BHsubspaces of V , the tensor products U ⊗K W are cofinal among the Gn -invariant
BH-subspaces of V ⊗K W . Combining this observation with the result alreadyproved for Banach spaces and affinoid groups, and the fact that tensor productwith W commutes with inductive limits, we obtain a natural isomorphism∼∼(V ⊗K W )Gn −an −→ lim(U ⊗K W )Gn −an −→ lim(U Gn −an ⊗K W )
−→
−→
U

U

∼

−→ (lim
U Gn −an ) ⊗K W = VGn −an ⊗K W.
−→
U

Taking the inverse limit over n of these natural isomorphisms then yields the re∼quired isomorphism (V ⊗K W )G−an −→ VG−an ⊗K W. 

72

MATTHEW EMERTON

Corollary 3.6.7. Let G be an affinoid rigid analytic group such that G := G(L)is Zariski dense in G. If V is a Hausdorff convex K-vector space equipped with aG-analytic representation of G, and if W is a finite dimensional G-analytic representation of G, then the diagonal G-action on V ⊗K W makes this tensor producta G-analytic representation of G.
Proof. Since V is barrelled and W is finite dimensional, the tensor product V ⊗K W
is certainly barrelled. The corollary is now an immediate consequence of proposition 3.6.6. 
Proposition 3.6.8. If V is a Hausdorff convex K-vector space equipped with a∼
topological G-action, and if there is an isomorphism lim
Vi −→ V, where {Vi }i∈I is−→i∈I

a G-equivariant inductive system of Hausdorff K-vector spaces, each equipped witha G-analytic action of G, then the G-action on V is again G-analytic.
Proof. Functoriality of the formation of G-analytic vectors yields the commutative
diagram/ VG−anlim (Vi )G−an
−→
i∈I


lim
Vi
−→


/ V.

i∈I

The left-hand vertical arrow and lower horizontal arrow are both continuous
bijections, by assumption, and thus so is the right-hand vertical arrow. 
Having introduced analytic representations, we now consider locally analytic
representations.
Definition 3.6.9. Let G be a locally L-analytic group. A locally analytic representation of G is a topological action of G on a barrelled Hausdorff locally convex
topological K-vector space for which the natural map Vla → V is a bijection.
This definition is a reformulation of the one given in [23, p. 12]. (That it isequivalent with the definition given in this reference follows from theorem 3.5.7.)
The requirement that V be barrelled is made so as to ensure that the G-action on
V is continuous. (See the discussion following definition 3.6.1.)
Note that if G is an affinoid rigid analytic group such that G := G(L) and G is
Zariski dense in G, then a G-analytic representation of G is in particular a locallyanalytic representation of G.
If V is an arbitrary Hausdorff convex K-vector space equipped with a topologicalaction of G then Vla is barrelled, and proposition 3.5.5 then shows that Vla isequipped with a locally analytic representation of G. Thus if G is compact then,by proposition 3.5.12, C la (G, V ) is a locally analytic representation of G, which,if V is either of compact type or Banach (respectively Fréchet), is an LB-space(respectively an LF -space), by propositions 2.1.4, 2.1.6, 3.5.6, and 3.5.11.
If V is a locally analytic representation of G then there is induced on V an actionof the universal enveloping algebra U (g) of the Lie algebra g of G by continuous
linear operators [23, p. 13]. (The continuity of this action again depends on thefact that V is barrelled.) This action is functorial in V .

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

73

Proposition 3.6.10. Suppose that L = Qp and that K is local. Then any continuous action of a locally L-analytic group G on a finite dimensional K-vector space
is locally analytic.
Proof. Replacing G by a compact open subgroup if necessary, we may assume that
G is compact. Let n denote the dimension of V over K, and choose a basis of
V over K. The G-action on V then determines a continuous homomorphism of
locally Qp -analytic groups G → GLn (K), which is necessarily locally Qp -analytic[28, LG 5.42, thm. 2]. This implies that the action of G on V is analytic. 
Proposition 3.6.11. If H is an open subgroup of the locally L-analytic group G,
and V is a barrelled Hausdorff convex K-vector space equipped with a topological
G-action, then V is a locally analytic representation of G if and only if it is a locallyanalytic representation of H.
Proof. This follows from lemma 3.5.4.

Theorem 3.6.12. If G is a locally L-analytic group and V is a locally analytic
representation of G on a Hausdorff LF -space, then the natural map Vla → V is aG-equivariant topological isomorphism.
Proof. Proposition 3.5.6 shows that Vla is again an LF -space. Thus the map Vla →V is a continuous G-equivariant bijection between LF -spaces. Theorem 1.1.17
implies that it is a topological isomorphism. The preceding theorem is the analogue for locally analytic representations ofproposition 3.2.10. Taking into account theorem 3.5.7, it shows that if V is alocally analytic representation on an LF -space then there is a continuous orbit
map o : V → C la (G, V ).
Corollary 3.6.13. A K-Fréchet space V equipped with a topological action of G
is a locally analytic representation of G if and only if there is an analytic open
subgroup H of G such that the natural map VH−an → V is an isomorphism.
Proof. If such an H exists then proposition 3.6.11 shows that the G-action on V
gives rise to a locally analytic representation of G, since by assumption V affords
an H-analytic, and so locally analytic, representation of H. Conversely, supposethat V is endowed with a locally analytic representation of G. Let Hn be a cofinal
sequence of analytic open subgroups of G. Theorem 3.6.12 shows that there is an∼
VHn −an −→ V, and propositions 1.1.7 and 3.3.18 then imply thatisomorphism lim−→nthe natural map VHn −an → V is an isomorphism for some n, as required. (In the case of K-Banach spaces, this result is equivalent to [12, kor. 3.1.9].)
Proposition 3.6.14. Let V be a Hausdorff convex K-vector space equipped witha locally analytic representation of G, and let W be a closed G-invariant subspaceof V . If W (respectively V /W ) is barrelled, then W (respectively V /W ) is also a
locally analytic G-representation.
Proof. Proposition 3.5.10 implies that the natural map Wla → W is a bijection. On
the other hand, functoriality of the formation of locally analytic vectors induces a

74

MATTHEW EMERTON

commutative diagram
Vla/ (V /W )laV/ V /W.

Since the bottom horizontal arrow is surjective, while both vertical arrows are
injective, we see that if the left-hand vertical arrow is a bijection, the same is trueof the right-hand vertical arrow. 
Proposition 3.6.15. If V is a Hausdorff convex K-vector space equipped witha topological G-action, and if W is a finite dimensional locally analytic representation of G, then there is a natural isomorphism G-equivariant isomorphism∼(V ⊗K W )la −→ Vla ⊗K W. (Here the tensor products are equipped with the diagonal
G-action.)
Proof. Since W is finite dimensional, we may find an analytic open subgroup H of
G for which W is H-analytic. Let {H 0 } denote the directed set of analytic open
subgroups of H; this set is then cofinal in the directed set of analytic open subgroupsof G. Thus we obtain isomorphisms∼∼(VH0 −an ⊗K W )(V ⊗K W )H0 −an −→ lim(V ⊗K W )la −→ lim
−→
−→
H0

H0

∼

∼

−→ (lim
VH0 −an ) ⊗K W −→ Vla ⊗K W,−→
H0

in which the second isomorphism is provided by proposition 3.6.6, and the third
isomorphism follows from the fact that tensor product with the finite dimensional
space W commutes with inductive limits. 
Corollary 3.6.16. If V is a Hausdorff convex K-vector space equipped with alocally analytic representation of G, and if W is a finite dimensional locally analytic
representation of G, then the diagonal G-action on V ⊗K W makes this tensor
product a locally-analytic representation of G.
Proof. Since V is barrelled and W is finite dimensional, the tensor product V ⊗K W
is certainly barrelled. The corollary is now an immediate consequence of proposition 3.6.15. 
Proposition 3.6.17. If V is a Hausdorff convex K-vector space equipped with a∼
topological G-action, and if there is an isomorphism lim
Vi −→ V, where {Vi }i∈I is−→i∈I

a G-equivariant inductive system of Hausdorff K-vector spaces, each equipped witha locally analytic action of G, then the G-action on V is again locally analytic.
Proof. This is proved in the same manner as proposition 3.6.8. 
Proposition 3.6.18. If U and V are compact type spaces, each equipped with alocally analytic representation of G, then the diagonal G-action on the completed
ˆ K V is again a locally analytic representation of G.
tensor product U ⊗Proof. This follows from proposition 3.5.15, and the fact that the natural maps
Ula → U and Vla → V are both isomorphisms, by theorem 3.6.12. LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

75

Suppose now that E is a local subfield of L. As discussed in section 2.3, wemay restrict scalars from L to E, and so regard the locally L-analytic group G asa locally E-analytic group. Thus if G acts on a convex K-vector space V, we canspeak of the space of locally analytic vectors in V with respect to the action of G
regarded as a locally E-analytic group. (That is, with respect to ResL
E G.) We willrefer to this space as the space of locally E-analytic vectors of V , and denote it by
VE−la . We conclude this section with some discussion about the relations between
locally L-analytic G-representations and locally E-analytic representations.
If g denotes the Lie algebra of G (a Lie algebra over L), then the Lie algebra ofResL
E G is also equal to g, but now regarded as a Lie algebra over E. The Lie algebraLof (ResL
E G)/L is thus equal to L ⊗E g. The natural map (ResE G)/L → G givenby (2.3.2) induces a map on Lie algebras, which is just the natural map L ⊗E g → ggiven by the L-linear structure on g. Let (L ⊗E g)0 denote the kernel of this map.
Observe that if V is a Hausdorff convex K-vector space equipped with a locallyE-analytic action of G, then the g-action on V extends to a K ⊗E g-action, and so
in particular to an L ⊗E g-action.
Proposition 3.6.19. If V is a barrelled Hausdorff convex K-vector space equippedwith a locally E-analytic G-action, then this action is locally L-analytic if and only
if V is annihilated by the Lie subalgebra (L ⊗E g)0 of L ⊗E g.
Proof. If H is an analytic open subgroup of G, let H0 denote the restriction of∼scalars of H from L to E. Then Vla −→ lim
W H−an , where W ranges over the G−→W,Hinvariant BH-subspaces of V , and H ranges over the analytic open subgroups of G,∼
W H0 −an . By assumption, the map VE−la → V is bijective, andwhile VE−la −→ lim−→
W,Hwe must show that the map Vla → V is also bijective if and only if V is annihilatedby (L ⊗E g)0 . For this, it suffices to show, for each fixed W and H, that the naturalmap
W H−an → W H0 −an
is an isomorphism if and only if W H0 −an is annihilated by (L⊗E g)0 . This last claim
0follows from the fact that C an (H, W ) is equal to the subspace C an (H0 , W )(L⊗E g) of
C an (H0 , W ) consisting of functions annihilated by (L⊗E g)0 (under the right regular∼action), together with the defining isomorphisms W H−an −→ C an (H, W )∆1,2 (H) and∼W H0 −an −→ C an (H0 , W )∆1,2 (H) . 
Corollary 3.6.20. If V → W is a continuous injection of G-representations onconvex K-vector spaces, such that V is locally E-analytic and W is locally Lanalytic, then V is necessarily locally L-analytic.
Proof. Proposition 3.6.19 shows that (L ⊗E g)0 acts trivially on W . Thus this Lie
algebra also acts trivially on V , and by that same proposition, we are done. Proposition 3.6.21. Suppose that the Lie algebra of G is semi-simple. If 0 →U → V → W → 0 is a short exact sequence of locally E-analytic representations of
G on convex K-vector spaces, such both U and W are locally L-analytic, then V is
locally L-analytic.
Proof. Proposition 3.6.19 shows that (L ⊗E g)0 annihilates both U and W . Since g
is semi-simple by assumption, the same is true of L⊗E g, and hence of its subalgebra

76

MATTHEW EMERTON(L ⊗E g)0 . Thus the extension V of W by U is also annihilated by (L ⊗E g)0 , andappealing again to proposition 3.6.19, we are done. 
The preceding result does not hold in general if G has non-semi-simple Lie algebra. For example, suppose that G = OL , and suppose that ψ is a K-valued
character of OL that is locally E-analytic, but note locallyL-analytic.
The two di1 ψ
mensional representation of OL defined by the matrix
is then an extension
0 1of the trivial representation of OL by itself, but is not locally L-analytic.
Chapter 4. Smooth, locally finite, and locally algebraic vectors
4.1. Smooth and locally finite vectors and representations
In this section we develop some connections between the notions of smooth andlocally finite representations, and the notion of locally analytic representations.
These connections have already been treated in [24]; our goal is to recall somepoints from this reference, and to present some minor additions to its discussion.
Proposition-Definition 4.1.1. Let G be a topological group and V a K-vector
space equipped with a G-action.
(i) We say that a vector v ∈ V is smooth if there is an an open subgroup of G
which fixes v.
(ii) The set of all smooth vectors in V forms a G-invariant K-linear subspace ofV , which we denote by Vsm .
(iii) We say that V is a smooth representation of G if every vector in V is smooth;that is, if Vsm = V .
(iv) We say that V is an admissible smooth representation of G if it is a smooth
representation of V having the additional property that for any open subgroup H ofG, the subspace of H-fixed vectors in V is finite dimensional over K.
Proof. The only statement to be proved is that of (ii), stating that Vsm is a Ginvariant K-subspace of V , and this is clear. 
The formation of Vsm is covariantly functorial in the G-representation V .
Lemma 4.1.2. If G is a compact topological group and V is a smooth representation of G then V is semi-simple. If furthermore V is irreducible, then V is finite
dimensional.
Proof. This is well-known, and is in any case easily proved. (It easily reduces
to the fact that representations of finite groups on vector spaces over a field of
characteristic zero are semi-simple.) Proposition-Definition 4.1.3. Let G be a locally L-analytic group, and let V bea Hausdorff convex K-vector space equipped with a locally analytic representationof G.
(i) A vector v ∈ V is said to be U (g)-trivial if it is annihilated by the action of g.
(ii) The subset of V consisting of all U (g)-invariant vectors is a closed Ginvariant K-linear subspace of V , which we denote by V g .
(iii) The representation V is said to be U (g)-trivial if every vector in it is U (g)trivial; that is, if V g = V .

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

77

Proof. All that is to be proved is that for any locally analytic representation V of G,
the set of U (g)-trivial vectors V g is a closed G-invariant subspace of V . That V g isclosed follows from the fact that the U (g)-action on V is via continuous operators.
That it is G-invariant follows from the formula Xgv = gAdg−1 (X)v, for g ∈ G,
X ∈ g, and v ∈ V . 
The following lemma and its corollaries relate definitions 4.1.1 and 4.1.3.
Lemma 4.1.4. Suppose that G is equal to the group of L-valued points of a connected affinoid rigid analytic group G defined over L, and that furthermore G is
Zariski dense in G. Let V be a G-analytic representation of G. Then a vector v in
V is U (g)-trivial if and only if v is stabilized by G.
Proof. We may find a G-invariant BH-subspace W of V such that v lies in the imageof the natural map W G−an → V . Consider the tautological G-equivariant map
W G−an → C an (G, W ) (the target being equipped with the right regular G-action). If
v is U (g)-trivial, then its image lies in the U (g)-trivial subspace of C an (G, W ), which
consists precisely of the constant functions. Thus it is G-invariant. Conversely, if
v is G-invariant, then it is certainly U (g)-trivial. 
Corollary 4.1.5. Suppose that G is equal to the group of L-valued points of aconnected affinoid rigid analytic group G defined over L, and that furthermore G
is Zariski dense in G. If V is a Hausdorff convex K-vector space equipped witha topological G-action then the image of the composite (VG−an )g ⊂ VG−an → V isequal to the closed subspace of V consisting of G-fixed vectors.
Proof. Since VG−an is a G-analytic representation of G, lemma 4.1.4 shows that(VG−an )g is the subspace of VG−an consisting of G-fixed vectors. It remains tobe shown that the continuous injection VG−an → V induces a bijection on thecorresponding subspaces of G-fixed vectors. That this is so follows from proposition 3.3.3, since a vector v ∈ V is G-fixed if and only if the orbit map ov is constant,and constant maps are certainly rigid analytic. 
Corollary 4.1.6. If G is a locally L-analytic group and V is a Hausdorff convex Kvector space equipped with a topological action of G then the image of the composite(Vla )g ⊂ Vla → V is equal to the subspace Vsm of V .
Proof. If we let H run over all the analytic open subgroups of G then Vla =lim
VH−an , and so there is a continuous bijection lim(VH−an )g → (Vla )g . Since the
−→
−→
H

H

directed set of analytic open subgroups of G maps cofinally to the directed set of
all open subgroups of G, the corollary follows from corollary 4.1.5. 
It is important to note that if we endow Vsm with the topology it inherits asa subset of V then the natural map Vlag → Vsm , which is a G-equivariant isomorphism of abstract K-vector spaces, need not be a topological isomorphism. For
example, if V = C(G, K), then, by proposition 3.5.11, there is an isomorphism∼
C(G, K)la −→ C la (G, K). The subspace C(G, K)sm consists of the locally constantG-valued functions. This is necessarily a closed subspace of C la (G, K) (being equal
to C la (G, K)g ), but is dense as a subspace of C(G, K).
Corollary 4.1.7. If G is a locally L-analytic group and V is a Hausdorff convex
K-vector space equipped with a locally analytic representation of G then a vector v

78

MATTHEW EMERTON

in V is U (g)-trivial if and only if it is smooth. In particular, Vsm is the underlying
K-vector space of the closed subspace V g of V .
Proof. If V is locally analytic then by definition the natural map Vla → V is acontinuous bijection, and so the induced map (Vla )g → V g is also a continuous
bijection. The result then follows from corollary 4.1.6. In the remainder of this section we discuss locally finite vectors and the classof locally finite G-representations (which contains the smooth representations as a
subclass).
Proposition-Definition 4.1.8. Let G be a topological group and V a K-vector
space equipped with a G-action.
(i) We say that a vector v ∈ V is locally finite if there is an open subgroup
H of G, and a finite dimensional H-invariant subspace W of V that contains v,
such that the H-action on W is continuous (with respect to the natural Hausdorff
topology on the finite dimensional K-vector space W ).
(ii) The set of all locally finite vectors in V forms a G-invariant K-linear subspaceof V , which we denote by Vlf (or by VG−lf , if we wish to emphasize the group G).
(iii) We say that V is a locally finite representation of G if every vector in V is
locally finite; that is, if Vlf = V .
Proof. The only statement to be proved is that of (ii), stating that Vlf is a Ginvariant K-subspace of V , and this is clear. 
Proposition 4.1.9. Let G be a compact topological group, and let V be a locallyfinite G-representation.
(i) If W is any finite dimensional G-invariant subspace of V , then the G-action
on W is continuous (when W is given its canonical Hausdorff topology).
(ii) The natural map lim
W → V , where W ranges over the directed set of all−→W

finite dimensional G-invariant subspaces of V , is an isomorphism.
Proof. Suppose that W is a finite dimensional G-invariant subspace of V . If
{w1 , . . . , wn } denotes a basis of W , then for each of the vectors wi we may find an
open subgroup Hi of G, and a finite dimensional Hi -invariant subspace WT
i of V
that contains wi , and L
on which the Hi -action is continuous. If we let H = i Hi ,then the natural map i Wi → V is an H-equivariant map whose image contains
W , and on whose source the H-action is continuous. It follows that the H-action on
W is continuous. Since H is open in G, and since any group action on a Hausdorff
finite dimensional topological K-vector space is topological, corollary 3.1.3 showsthat the G-action on W is also continuous. This proves (i).
To prove (ii), we must show that each vector v ∈ V is contained in a finite dimensional G-invariant subspace of V . By assumption, we may find an open subgroup
H of G and a finite dimensional H-invariant subspace W of V containing v. Since
G is compact, the index of H in G is finite, and so the G-invariant subspace of V
spanned by W is again finite dimensional. This proves (ii). 
Proposition-Definition 4.1.10. Let G be a locally L-analytic group, and let V bea Hausdorff convex K-vector space equipped with a locally analytic representationof G.
(i) A vector v ∈ V is said to be U (g)-finite if it is contained in a U (g)-invariant
finite dimensional subspace of V .

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

79(ii) The set of all U (g)-finite vectors in V forms a G-invariant K-linear subspaceof V , which we denote by Vg−lf .
(iii) The representation V is said to be U (g)-locally finite if every vector in it is
U (g)-finite; that is, if Vg−lf = V .
(iv) The representation V is said to U (g)-finite if there is an ideal of cofinite
dimension in U (g) which annihilates V .
Proof. The only statement to be proved is that of (ii), which follows from theformula Xgv = gAdg−1 (X)v. 
The notion of U (g)-finite representation was introduced and studied in [24, §3].
The following results relate definitions 4.1.8 and 4.1.10.
Lemma 4.1.11. If G is a locally L-analytic group, and if V is a locally analytic
representation of V , then a vector v ∈ V is U (g)-finite if and only if it is locallyfinite under the action of G.
Proof. If v lies in a finite dimensional G-invariant subspace of V , then v is certainly
U (g)-finite. Conversely, if v is U (g)-finite, let U denote a finite dimensional U (g)invariant subspace of V containing v. If we choose the open subgroup H of G to
be sufficiently small, then we may lift the U (g)-action on U to an action of H.
The space Hom(U, V ) = Ǔ ⊗K V is then a locally analytic H-representation (bycorollary 3.6.16), and the given inclusion of U into V gives a U (g)-fixed point of thisspace. By corollary 4.1.7, replacing H by a smaller open subgroup if necessary, we
may assume that this point is in fact H-invariant, and thus that U is an H-invariant
subspace of V . Thus the U (g)-finite vector v is G-locally finite, as claimed. 
Proposition 4.1.12. If G is a locally Qp -analytic group, if K is local, and if V
is a Hausdorff convex K-vector space equipped with a topological action of G, thenthe image of the composite (Vla )g−lf ⊂ Vla → V is equal to the subspace Vlf of V .
Proof. Since Vla is a locally analytic representation of G, lemma 4.1.11 shows that
(Vla )g−lf is equal to the space (Vla )lf . It remains to be shown that the continuous
injection Vla → V induces a bijection on the corresponding subspaces of locallyfinite vectors.
If v ∈ V is a locally finite vector, then by definition we may find a compact open
subgroup H of G and a finite dimensional H-invariant subspace W of V containing
v on which H acts continuously. By proposition 3.6.10, W is in particular a BHsubspace of V equipped with a locally analytic action of H, and so the inclusion of
W into V factors through the natural map Vla → V . 
Just in the case of smooth vectors, it is important to note that if we endow Vlf(respectively (Vla )g−lf ) with the topology it inherits as a subspace of V (respectively
Vla ), then the natural map (Vla )g−lf → Vlf , which is a G-equivariant isomorphismof abstract K-vector spaces, need not be a topological isomorphism.
The preceding result implies that if V is a K-vector space equipped with a locallyfinite action of a locally Qp -analytic group G, and if we endow V with its finest
convex topology, then the natural map Vla → V is a topological isomorphism, andin particular V becomes a U (g)-locally finite locally analytic representation of G.
Proposition 4.1.13. Suppose that G is a locally Qp -analytic group. Let 0 →U → V → W → 0 be a short exact sequence of continuous G-representations on

80

MATTHEW EMERTON

topological K-vector spaces. If U and W are locally finite, then the same is trueof V .
Proof. Let v be a vector in V , with image w in W . Replacing G by a compact
open subgroup if necessary, we may assume that G is compact, and so find a finite
dimensional G-subrepresentation of W that contains w. Pulling back our extension
along the embedding of this subspace into W , we may thus assume that W is finite
dimensional. Choose a finite dimensional subspace V 0 of V which contains v andprojects isomorphically onto W .
If we tensor our short exact sequence through with the contragredient W̌ of W
we obtain a short exact sequence
0 → U ⊗K W̌ → V ⊗K W̌ → W ⊗K W̌ → 0.
Our choice of V 0 gives rise to an element φ ∈ V ⊗K W̌ , which projects onto theidentity map from W to itself, regarded as an element of W ⊗K W̌ . Since thisidentity map is G-equivariant, the element φ gives rise to a continuous 1-cocycle
σ : G → U ⊗K W̌ . Since G is compact and Qp -locally analytic, it is in particular
topologically finitely generated. Since U is a locally finite representation of G, we
may find a finite dimensional G-invariant subrepresentation U 0 ⊂ U such that σ
takes values in U 0 ⊗K W̌ .
Now consider the short exact sequence 0 → U/U 0 → V /U 0 → W → 0. By
00construction, the subspace
L 0V is G-invariant when regarded as a subspace of V /U .
0
V of V is a finite dimensional G-equivariant subrepresenThus the subspace U
tation of V that contains v. 
Proposition 4.1.14. If G is a compact locally Qp -analytic group with semi-simple
Lie algebra, and if K is local, then the category of locally finite G-representations
is semi-simple, and any irreducible locally finite G-representation is finite dimensional.
Proof. We begin by considering a surjection V → W of finite dimensional continuous representations of G. We must show that this surjection can be split in aG-equivariant fashion. Applying Hom(W, – ) to the given surjection yields the surjection of finite dimensional continuous representations Hom(W, V ) → Hom(W, W ).
Proposition 3.6.10 shows that both of these finite dimensional representations are infact locally analytic, and so are equipped with a natural g-action. Since g is semisimple, passing to g-invariants yields a surjection Homg (W, V ) → Homg (W, W ).
This is a surjection of smooth representations of the compact group G. Since bylemma 4.1.2 smooth representations of a compact group are semi-simple, we mayfind a G-equivariant map from W to V lifting the identity map from W to itself.
Now suppose that V → W is any surjection of locally finite G-representations.
Taking into account proposition 4.1.9, the result of the preceding paragraph showsthat we may find a G-equivariant section to this map over any finite dimensional
subrepresentation of W . A simple application of Zorn’s lemma now allows us to
split this surjection over all of W .
Finally, since G is compact, proposition 4.1.9 implies that any irreducible locallyfinite representation of G is finite. 
Corollary 4.1.15. If G is a locally Qp -analytic group with semi-simple Lie algebra,
and if K is local, then any continuous G-representation on a topological G-vector

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

81

space which may be written as an extension of smooth G-representations is againsmooth.
Proof. Replacing G by a compact open subgroup, if necessary, we may supposethat G is compact. Since any smooth representation is locally finite, the corollary
is now seen to be an immediate consequence of propositions 4.1.13 and 4.1.14. 
Corollary 4.1.16. If G is a compact locally Qp -analytic group with semi-simple
Lie algebra, and if K is local, then any continuous G-representation on a topological
vector space which may be written as an extension of two G-representations equippedwith trivial G-action is itself equipped with trivial G-action.
Proof. Corollary 4.1.15 shows that any such extension is smooth. By lemma 4.1.2
it is semi-simple. The corollary follows. The preceding three results are false for more general locally analytic groups, as
is illustrated by the two-dimensional
representation of the group Zp which sends
1 tt ∈ Zp to the matrix.
0 1
4.2. Locally algebraic vectors and representations
In this section we let G denote a connected reductive linear algebraic groupdefined over L, and let G denote an open subgroup of G(L). In this situation, G
is Zariski dense in G (since G is unirational, by [2, thm. 18.2]). We let C alg (G, K)
denote the affine ring of G over K. Since G is Zariski dense in G, the restriction ofelements of C alg (G, K) to G induces an injection C alg (G, K) → C la (G, K).
Let R denote the category of finite dimensional algebraic representations of G
defined over K. Since G is reductive the category R is a semi-simple abeliancategory. Passing to the underlying G-representation is a fully faithful functor,
since G is Zariski dense in G.
Definition 4.2.1. Let V be a K-vector space equipped with an action of G and
let W be an object of R. We say that a vector v in V is locally W -algebraic ifthere exists an open subgroup H of G, a natural number n, and an H-equivariant
homomorphism W n → V whose image contains the vector v. We say that the Grepresentation V is locally W -algebraic if each vector of V is locally W -algebraic.
Note that W -locally algebraic vectors are in particular G-locally finite, and thusa W -locally algebraic representation is a G-locally finite representation. Thus, if
we equip a W -locally algebraic V with its finest convex topology, then V becomesa locally analytic G-representation, which is U (g)-finite. (It is annihilated by theannihilator in U (g) of the finite dimensional representation W .)For the next several results, we fix an object W of R.
Proposition-Definition 4.2.2. If V is a K-vector space equipped with an actionof G, then we let VW −lalg denote the G-invariant subspace of W -locally algebraic
vectors of V .
Proof. We must show that VW −lalg is a G-invariant subspace of V . It is clear that
the W -locally algebraic vectors do form a subspace of V . If v lies in VW −lalg , thenby assumption there is an open subgroup H of G, a natural number n, and an
H-equivariant map φ : W n → V with v in its image. Let g be an element of G.

82

MATTHEW EMERTON

Then gφ(g −1 – ) : W n → V is gHg −1 -equivariant and has gv in its image. Thus
VW −lalg is G-invariant. The formation of VW −lalg is covariantly functorial in V . Let A1 denote the imageof U (g) in End(W ), and let A2 denote the image of the group ring K[G] in End(W ).
Since each of A1 and A2 act faithfully on the semi-simple module W , they are bothsemi-simple K-algebras. Write
B := EndA1 (W ) = EndG (W ) = EndG (W ) = EndA2 (W ).
(The second equality holds because G is connected, the third equality holds because
G is Zariski dense in G, and the fourth equality holds by definition of A2 .) The
ring B is a semi-simple K-algebra. The double commutant theorem implies that
A1 = A2 = EndB (W ), and from now on we write A in place of A1 or A2 . The
left B-action on W induces a right B-action on the dual space W̌ (the transpose
action).
∼

Proposition 4.2.3. (i) There is a natural isomorphism W̌ ⊗B W −→ Ǎ.
∼(ii) The is a natural injection Ǎ → F(G), such that the composite W̌ ⊗B W −→eve
Ǎ −→ F(G) −→K is the natural evaluation map W̌ ⊗B W → K.
Proof. As already observed, the double commutant theorem implies that the faithful action of A on W induces an isomorphism A → EndB (W ); dualizing this yields
the isomorphism of part (i). Dualizing the surjection K[G] → A induces an injection of Ǎ into the space of functions F(G) on G; this is the map of part (ii). The
claim of part (ii) is easily checked. 
Since G acts on W through an algebraic representation of G, it is immediate thatthe elements of F(G) in the image of Ǎ via the map of part (ii) of the preceding
proposition are the restriction to G of elements of C alg (G).
If U is a smooth G-representation on a right B-module, then U ⊗B W is certainly
a locally W -algebraic representation of G. Note that we may recover U via thenatural isomorphism∼∼

Hom(W, U ⊗B W )sm −→ U ⊗B Endg (W ) = U ⊗B B −→ U.
There is an important converse to this construction. Note that if V is a K-vector
space equipped with a G-action, then Hom(W, V ) is equipped with its natural
G-action, and a commuting right B-action induced by the G-equivariant left Baction on W . The subspace of smooth vectors Hom(W, V )sm is a G-invariant Bsubmodule, on which the G-action is smooth.
Proposition 4.2.4. If V is a K-vector space equipped with a G-representation,then the evaluation map Hom(W, V )sm ⊗B W → V is an injection, with image
equal to VW −lalg .
Proof. By definition, the space Hom(W, V )sm is the inductive limit of the spaces
HomH (W, V ) as H runs over all open subgroups of G. Thus Hom(W, V )sm ⊗B W
is theP
inductive limit of the spaces HomH (W, V ) ⊗B W.
nIf
H (W, V ) ⊗B W , then its image v in
i=1 φi ⊗ wi is an element of HomPn
V under the evaluation map is equal toi=1 φi (wi ). Let φ = (φ1 , . . . , φn ) ∈HomH (W, V )n = HomH (W n , V ), and let w = (w1 , . . . , wn ) ∈ W n . Then φ(w) = v,

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

83

and thus v lies in VW −lalg . Conversely, if v ∈ VW −lalg then there exists some such H
and an element φ = (φ1 , . . . , φn ) ∈ HomH (W n , VP
) such that v lies in the image of φ.
n
If w = (w1 , . . . , wn ) is such that φ(w) = v, then i=1 φi ⊗wi ∈ HomH (W, V )⊗B W
maps to v under the evaluation map HomH (W, V ) ⊗B W → V . This shows that
VW −lalg is equal to the image of the evaluation map.
It remains to be shown that for each open subgroup H of G the evaluation map
HomH (W, V ) ⊗B W → V is injective. Let F(H) denote the space of K-valued
functions on H. Applying proposition 4.2.3 with H in place of G, we obtain an∼
H × H-equivariant injection W̌ ⊗B W −→ Ǎ −→ F(H). Tensoring through by Vyields an H × H × H-equivariant injection
Hom(W, V ) ⊗B W = V ⊗ W̌ ⊗B W → V ⊗ F(H).
Now taking ∆1,2 (H)-equivariant invariants yields an injection HomH (W, V ) ⊗B∼
W −→ (V ⊗ F(H))∆1,2 (H) −→ V, as required. (The final isomorphism is provided
by the map eve . That this composite is the natural evaluation map follows frompart (ii) of proposition 4.2.3.) Proposition 4.2.5. If W1 and W2 are two objects of R then the map VW1 −lalg ⊕VW2 −lalg → V induced by the inclusions VW1 −lalg → V and VW2 −lalg → V has
image equal to VW1 ⊕W2 −lalg . If furthermore HomG (W1 , W2 ) = 0, then the resulting
surjection VW1 −lalg ⊕ VW2 −lalg → VW1 ⊕W2 −lalg is in fact an isomorphism.
Proof. Obviously both VW1 −lalg and VW2 −lalg are contained in VW1 ⊕W2 −lalg . Furthermore, the definition immediately implies that any element of VW1 ⊕W2 −lalg may
be written as the sum of an element of VW1 −lalg and an element of VW2 −lalg . Thus
the image of VW1 −lalg ⊕ VW2 −lalg is equal to VW1 ⊕W2 −lalg .
Now supposethat HomG (W1 , W2 ) = 0. We must show that the intersection
T
VW1 −lalg VW2 −lalg is equal to zero. If v is a vector lying in this intersection thenni
we may find open subgroups Hi of G and Hi -equivariant
T maps φi : Wi → V (fori = 1, 2) that contain v in their image. Let H = H1 H2 , and let U denote theH-invariant subspace of V spanned by v. By our choice of H, U is an H-equivariant
subquotient of both W1n1 and W2n2 . Since the category R is semi-simple, we mayfind both an H-equivariant surjection W1n1 → U and an H-equivariant embedding
U → W2n2 . Since HomH (W1 , W2 ) = HomG (W1 , W2 ) = 0 (by assumption, together
with the fact that H is Zariski
dense), we conclude that U = 0, hence that v = 0,T
and hence that VW1 −lalg VW2 −lalg = 0. 
Proposition-Definition 4.2.6. Let V be a K-vector space equipped with an actionof G.
(i) We say that a vector v ∈ V is locally algebraic if it is W -locally algebraic forsome object W of R.
(ii) The set of all locally algebraic vectors of V is a G-invariant subspace of V ,which we by denote Vlalg .
(iii) We say that V that is a locally algebraic representation of G if every vectorof V is locally algebraic; that is, if Vlalg = V .
Proof. That Vlalg is a subspace of V follows from proposition 4.2.5. 
The formation of Vlalg is covariantly functorial in V .
The class of locally algebraic representations of G is introduced in the appendix[18] to [24]. We will see below that our definition of this notion coincides with thatof [18] (when G is reductive, as we are assuming here).

84

MATTHEW EMERTONLet Ĝ denote a set of isomorphism class representatives for the irreducible objectsof R.
Corollary
4.2.7. If V is equipped with an action of G, then the natural map
LV
W ∈Ĝ W −lalg → Vlalg is an isomorphism.
Proof. Since R is a semi-simple abelian category, any object W of R is isomorphic toa direct sum of powers of elements of Ĝ. Given this, the result follows immediatelyfrom proposition 4.2.5. 
Proposition 4.2.8. Let V be an irreducible locally algebraic representation of G.
Then there is an element W of Ĝ, and, writing B = EndG (W ), an irreduciblesmooth representation of G on a right B-module U (here irreducibility is as a representation over B), such that V is isomorphic to the tensor product U ⊗B W.
Conversely, given such a W and U , the tensor product U ⊗B W is an irreducible
locally algebraic representation of G.
Proof. Suppose first that V is an irreducible locally algebraic representation of G.
Then corollary 4.2.7 shows that V = VW −lalg for some element W of Ĝ. Proposi∼tion 4.2.4 then yields an isomorphism Hom(W, V )sm ⊗B W −→ V. This shows that
V is isomorphic to the tensor product over B of a smooth representation and W .
Clearly Hom(W, V )sm must be irreducible, since V is.
Conversely, given such an element W of Ĝ, and an irreducible smooth representation on a B-module U , consider the tensor product V = U ⊗B W . We obtain a∼natural isomorphism of B-modules U −→ Hom(W, V )sm , and so the irreducibilityof U implies the irreducibility of V . 
The following result is an analogue, for locally algebraic representations, of
proposition 4.1.14.
Corollary 4.2.9. Suppose that G is compact. If V is a locally algebraic representation of G, then V is semi-simple as a representation of G, and each irreduciblesummand of V is finite dimensional.
L
Proof. Corollary 4.2.7 shows that V is isomorphic to the direct sum W ∈Ĝ VW −lalg ,and so we may restrict our attention to V being W -algebraic, for some irreducible
algebraic representation W of G. Let B = EndG (W ). Proposition 4.2.4 shows thatthe natural map Hom(W, V )sm ⊗B W → V is an isomorphism. Since Hom(W, V )sm
is a smooth representation of the compact group G, lemma 4.1.2 shows that it isa direct sum of finite dimensional irreducible representations of G on a B-module.
Thus it suffices to show that for any finite dimensional irreducible smooth representation S of G on a B-module, the tensor product representation S ⊗B W issemi-simple. In fact, proposition 4.2.8 shows that such a representation is irreducible. 
The preceding corollary shows that our definition of locally algebraic representation agrees with that of [18]. Indeed, the condition of definition 4.2.6 (iii) amounts
to condition (2) of the definition of [18], and corollary 4.2.9 shows that condition (2)implies condition (1) of that definition. Our proposition 4.2.8 is thus a restatementof [18, thm. 1] (and our method of proof coincides with that of [18]). Note howeverthat [18] does not consider the possibility that EndG (W ) might be larger than the
ground field K.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

85

Suppose now that V is a locally convex K-vector space of compact type equippedwith a topological G-action, let W be an object of R, and write B = EndG (W ). The
evaluation map Hom(W, V )sm ⊗B W → V of proposition 4.2.4 is then a continuous
G-equivariant map (if we equip Hom(W, V )sm with its topology as a subspace ofHom(W, V )), which that proposition shows to be a continuous bijection between
its source and the subspace VW −lalg of its target.
Proposition 4.2.10. If V is a locally convex K-vector space of compact typeequipped with a locally analytic representation of G, then for any W ∈ R, theevaluation map of proposition 4.2.4 is a closed embedding, and induces a topological isomorphism between its source and VW −lalg (which is thus a closed subspaceof V ).
∼

Proof. Since V is a locally analytic representation of G, the space Hom(W, V ) −→V ⊗K W̌ is again a locally analytic representation of G, by corollary 3.6.16. Thus
Hom(W, V )sm = Hom(W, V )g (the equality holding by corollary 4.1.7) is a closed
subrepresentation of Hom(W, V ), and so Hom(W, V )sm ⊗B W is a closed subrepresentation of V ⊗K W̌ ⊗B W. The closed embedding Hom(W, V )sm ⊗B W →∼V ⊗K W̌ ⊗B W has image equal to (V ⊗K W̌ ⊗B W )∆1,2 (g) −→ (V ⊗K Ǎ)∆1,2 (g) (theisomorphism being given by proposition 4.2.3 (i)). We claim that the evaluationmap(V ⊗K Ǎ)∆1,2 (g) → V(4.2.11)is a closed embedding. Once this is known, the proposition follows from proposition 4.2.4.
Since V is a locally analytic representation on a space of compact type, we may∼
Vn , where each Vn is a Banach space equipped with a Hn -analytic
write V −→ lim−→nrepresentation, for some open analytic subgroup Hn of G, and the transition maps
are compact and injective. Thus (by corollary 3.6.7 and lemma 4.1.4) we obtain an
isomorphism∼(Vn ⊗K Ǎ)∆1,2 (Hn ) ,(V ⊗K Ǎ)∆1,2 (g) −→ lim−→
nagain with compact and injective transition maps. The elements of Ǎ, when regarded as functions on G, are algebraic, and so in particular, they restrict toanalytic functions on each Hn . Thus for each n we have a closed embeddingǍ → C an (Hn , K), and hence a closed embedding∼(Vn ⊗K Ǎ)∆1,2 (Hn ) → C an (Hn , Vn )∆1,2 (Hn ) −→ Vn ,the isomorphism being provided by the evaluation map (and the fact that Vn is ananalytic Hn -representation). Since the transition maps for varying n on either sideof this closed embedding are compact and injective, and since(Vn+1 ⊗K Ǎ)∆1,2 (Hn+1 )\Vn = (Vn ⊗K Ǎ)∆1,2 (Hn )(as is easily seen), Proposition 1.1.41 shows that the map obtained after passing
to the locally convex inductive limit in n is again a closed embedding. Thus theevaluation map (4.2.11) is a closed embedding, as claimed. 

86

MATTHEW EMERTONIn the situation of the preceding proposition, one finds in particular that foreach W ∈ Ĝ, the space VW −lalg is again a locally
L analytic representation of G on
a space of compact type. Hence the direct sum W ∈Ĝ VW −lalg (equipped with its
locally convex direct sum topology) is again a locally analytic G-representation ona convex K-vector space of compact type. The isomorphism of corollary 4.2.7 thus
allows us to regard Vlalg as a locally analytic G-representation on a convex K-vector
space of compact type. By construction, the natural map Vlalg → V is continuous.
Note that Vlalg is contained in Vg−lf . If G is semi-simple and simply connected,
then the proof of [24, prop. 3.2] shows that in fact there is equality Vlalg = Vg−lf .
However, the example of [24, p. 120] shows that this is not true for arbitrary
reductive groups G.
Chapter 5. Rings of distributions
5.1. Frobenius reciprocity and group rings of distributions
In this section we describe the convolution structure on the space of distributions
on a group (whether topological, rigid analytic, or locally analytic), and thosemodules over the ring of distributions that can be constructed out of an appropriate
representation of the group. These module structures can be related to some simple
forms of Frobenius reciprocity, which we also recall.
Let G be a group acting on a K-vector space V . If W is a second vector space thenthe function space F(G, W ) is endowed with its commuting left and right regularG-actions, and the space HomG (V, F(G, W )) (defined by regarding F(G, W ) as a
G-representation via the right regular G-action) is equipped with a G-action (via
the left regular G-action on F(G, W )). We will repeatedly apply this observation
below, and the obvious variants in which G is a topological, rigid analytic, or locallyanalytic group, V and W are convex spaces, F(G, W ) is replaced by C(G, W ),C an (G, W ), or C la (G, W ) as appropriate, and Hom is replaced by L.
The following result gives the archetypal form of Frobenius reciprocity for continuous, analytic, and locally analytic representation.
Proposition 5.1.1. (i) Let G be a locally compact topological group and let V bea Hausdorff convex K-vector space equipped with a continuous action of G. If W
is any Hausdorff convex K-vector space then the map eve : C(G, W ) → W induces∼a G-equivariant topological isomorphism of convex spaces LG,b (V, C(G, W )) −→Lb (V, W ).
(ii) Let G be an affinoid rigid analytic group over L such that G := G(L) is
Zariski dense in G and let V be a Hausdorff convex LF -space equipped with ananalytic G-representation. If W is any Hausdorff convex space then the map eve :C(G, W ) → W induces a continuous G-equivariant bijection LG,b (V, C an (G, W )) →Lb (V, W ). If V and W are K-Fréchet spaces then this map is even a topologicalisomorphism.
(iii) Let G be a compact locally L-analytic group and let V be a Hausdorff convex
LF -space equipped with a locally analytic G-representation. If W is any Hausdorffconvex K-vector space then the map eve : C(G, W ) → W induces a G-equivariant
continuous bijection LG,b (V, C la (G, W )) → Lb (V, W ). If V and W are of compact
type then this map is even a topological isomorphism.
Proof. We prove each part in turn. Thus we first suppose that G is a locally

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

87

compact topological group, that V is a Hausdorff convex space equipped with acontinuous G-action, and that W is an arbitrary Hausdorff convex space.
Proposition 2.1.7 shows that the natural map Lb (V, W ) → Lb (C(G, V ), C(G, W ))is continuous. Note that its image lies in LG,b (C(G, V ), C(G, V )). Proposition 3.2.10
shows that o : V → C(G, V ) is continuous and G-equivariant, and so induces
a continuous map LG,b (C(G, V ), C(G, W )) → LG,b (V, C(G, W )). Composing thiswith the preceding map yields a continuous map Lb (V, W ) → LG,b (V, C(G, W )).
It is easily checked that this is inverse to the continuous map LG,b (V, C(G, W )) →Lb (V, W ) induced by eve , and so part (i) of the proposition is proved.
The proof of part (ii) is similar. The functoriality of the construction of C an (G, – )yields a natural map of abstract K-vector spacesanan
Lb (V, W ) → LG,b (C (G, V ), C (G, W )).

(5.1.2)Since V is an LF -space, theorem 3.6.3 shows that the orbit map o : V → C an (G, V )is a continuous embedding, and combining this with (5.1.2) we obtain a K-linear
map Lb (V, W ) → LG,b (V, C an (G, W )), which is easily checked to provide a K-linear
inverse to the continuous map LG,b (V, C(G, W )) → Lb (V, W ) induced by eve . Thus
this latter map is a continuous bijection, as claimed. If V and W are Fréchet spaces
then the map (5.1.2) is continuous, by proposition 2.1.24, and so in this case weeven obtain a topological isomorphism. This completes the proof of part (ii).
The proof of part (iii) is similar again. One uses theorem 3.6.12 and proposition 2.1.31. 
Let us put ourselves in the situation of part (i) of the preceding proposition, with
W = K. Proposition 1.1.36 shows that passing to the transpose yields a topologicalembedding
0LG,b (V, C(G, K)) → LG,b (D(G, K)b , Vb ).

(5.1.3)Thus part (i) yields a topological embedding Vb0 → LG,b (D(G, K)b , Vb0 ), and hencea map
D(G, K)b × Vb0 → Vb0 ,(5.1.4)that is G-equivariant in the first variable, and separately continuous. If µ ∈ D(G, K)
and v 0 ∈ V 0 we let µ ∗ v 0 denote the image of the pair (µ, v 0 ). Tracing through thedefinitions shows that for any element v ∈ V we haveZ
0(5.1.5)hµ ∗ v , vi =hv 0 , gvi d µ(g).
G
0

−1 0

In particular if g ∈ G then δg ∗ v = g v .
If we take V to be C(G, K), we obtain as a special case of (5.1.4) a map
D(G, K)b × D(G, K)b → D(G, K)b ,which we denote by (µ, ν) 7→ µ ∗ ν, which has the property that δg × δh 7→ δhg . Asa special case of (5.1.5) we find thatZ
Z Z
( 5.1.6)
f (g) d (µ ∗ ν)(g) =f (hg) d µ(h) d ν(g).
G

G

G

88

MATTHEW EMERTON

Corollary 5.1.7. Suppose that G is a locally compact topological group.
(i) The formula (5.1.6) defines an associative product on D(G, K)b , which isseparately continuous in each of its variables. If G is compact then it is evenjointly continuous.
(ii) If V is a Hausdorff convex space equipped with a continuous G-action then themap (5.1.4) makes Vb0 a left D(G, K)b -module, and this map is separately continuousin each of its variables. If G is compact then it is jointly continuous.
(iii) If V is as in (ii), then there is a natural isomorphism of K-vector spaces∼
HomD(G,K) (D(G, K), V 0 ) −→ LG (V, C(G, K)).
Proof. We have already observed that the statements concerning separate continuity are consequences of part (i) of proposition 5.1.1. The associativity statementof part (i) can be checked directly from the formula (5.1.6), and a similarly direct
calculation with the formula (5.1.5) shows that (5.1.4) makes Vb0 a left D(G, K)module.
If G is compact then D(G, K)b is a Banach space. Since the product (5.1.4) isdefined by the continuous map (5.1.3), we see that given any bounded subset Aof D(G, K), and any open subset U1 of Vb0 , there is an open subset U2 of Vb0 suchthat A × U2 maps into U1 under (5.1.4). Since D(G, K) is a Banach space, it has aneighbourhood basis of the origin consisting of bounded subsets, and thus (5.1.4)
is actually jointly continuous. This completes the proof of parts (i) and (ii).
∼
To prove part (iii), note that tautologically HomD(G,K) (D(G, K), V 0 ) −→ V 0 ,and that by part (i) of proposition 5.1.1 there is a K-linear isomorphism V 0 =∼L(V, K) −→ LG (V, C(G, K)). In the case where K is local and V is a Banach space, this result almost coincides
with the construction of [25,§2]. The one difference is that we work with the strong
topology on our dual spaces, while in [25] the authors work with the bounded weak
topology on these dual spaces.
Analogous results hold in the situations of parts (ii) and (iii) of proposition 5.1.1.
Corollary 5.1.8. Suppose that G is an affinoid rigid analytic group over L suchthat G := G(L) is dense in G.
(i) Formula (5.1.6) defines an associative product on Dan (G, K)b which is jointly
continuous as a map Dan (G, K)b × Dan (G, K)b → Dan (G, K)b .
(ii) If we are given an analytic G-representation on a Hausdorff convex LF space V , then formula (5.1.5) makes Vb0 a left Dan (G, K)-module. The resultingmap
Dan (G, K)b × Vb0 → Vb0
is continuous in its first variable. If V is a Fréchet space then it is jointly continuous.
(iii) If V is as in (ii), then there is a natural isomorphism of K-vector spaces∼
HomDan (G,K) (Dan (G, K), V 0 ) −→ LG (V, C an (G, K)).
Proof. The proof of this result follows the same lines as that of corollary 5.1.7,
using part (ii) of proposition 5.1.1. In order to get the joint continuity statementsof (i) and (ii), one should take into account that Dan (G, K)b is a Banach space,being the strong dual of the Banach space C an (G, K). LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

89

Corollary 5.1.9. Suppose that G is a locally L-analytic group.
(i) Formula (5.1.6) defines an associative product on Dla (G, K)b which is separately continuous as a map Dla (G, K)b × Dla (G, K)b → Dla (G, K)b . If G is compact
then it is even jointly continuous.
(ii) If we are given a locally analytic representation of G on a Hausdorff convex
LF -space V , then formula (5.1.5) makes Vb0 a left Dla (G, K)-module. The resultingmap
Dla (G, K)b × Vb0 → Vb0
is continuous in its first variable. If V is of compact type then it is separately
continuous in each variable, and if furthermore G is compact then it is jointly
continuous.
(iii) If V is as in (ii), then there is a natural isomorphism of K-vector spaces∼
HomDla (G,K) (Dla (G, K), V 0 ) −→ LG (V, C la (G, K)).
Proof. Suppose first that G is compact. The proof of this result follows the samelines as that of corollary 5.1.7, using part (iii) of proposition 5.1.1. In order to
get the joint continuity statements of (i) and (ii), one takes into account the facts
that because C la (G, K) is of compact type its strong dual Dla (G, K)b is a Fréchetspace, that if V is of compact type then Vb0 is a Fréchet space, and that a separately
continuous map on a product of Fréchet spaces is necessarily jointly continuous.
If G is not compact, one can still check that (5.1.5) and (5.1.6) define an associative product and a left module structure respectively. In order to see the required`
continuity properties, choose a compact open subgroup H of G, and let G = gi HL∼la
Dla (gi H)b =be
L a ladecomposition of G into right H-cosets. Then D (G)b −→D (H)b ∗δgi . Now right multiplication by δgi acts as a topological automorphismof Dla (G) (induced by the automorphism of G given by left multiplication by gi ),and so we see that separate continuity of the multiplication on Dla (G)b follows
from the joint continuity of the multiplication on Dla (H)b . Similarly, if V is an
LF -space equipped with a locally analytic G-action, then the multiplication by δgi
is an automorphism of Vb0 (it is just given by the contragredient action of gi−1 onVb0 ), and so the continuity properties of the Dla (G)b action on Vb0 can be deduced
from the continuity properties of the Dla (H)b -action. Thus parts (i) and (ii) areproved for arbitrary G.
The proof of part (iii) proceeds by a similar reduction. One notes that∼∼∼

HomDla (G,K) (Dla (G, K), V 0 ) −→ V 0 −→ LH (V, C la (H, K)) −→ LG (V, C la (G, K)),
where`the last isomorphism can be deduced immediately usingQ
the decomposition∼
G = gi H and the corresponding isomorphism C la (G, K) −→ C la (gi H, K). 
Part (i) of the preceding result is originally due to Féaux de Lacroix [11, 4.2.1],
and is recalled in [23, §2]. We have included a proof here, since the work of de
Lacroix is unpublished. The case of part (ii) when V is of compact type is originally
due to Schneider and Teitelbaum [23, cor. 3.3].
There are alternative approaches to obtaining a multiplicative structure on the
distribution spaces D(G, K), Dan (G, K) and Dla (G, K). For example, if G is aˆcompact topological group one can use the isomorphism between C(G, K)⊗C(G,K)
and C(G × G, K) to obtain a coproduct on C(G, K), which dualizes to yield the
product on D(G, K), and similar approaches are possible in the analytic or locally

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MATTHEW EMERTON

analytic cases. (This is the approach to part (i) of corollary 5.1.9 explained in [23,§2].)Similarly, one can obtain the module structure on V 0 in other ways. For example,
if V is a Hausdorff convex K-vector space equipped with a continuous action of the
topological group G, then thinking of D(G, K) as a group ring, it is natural toattempt to extend the contragredient G-action on V 0 to a left D(G, K)-module
structure. This is the approach adopted in [25], and in [23, §3] in the locallyanalytic situation.
We also remark that the product structures we have obtained on our distribution
spaces are opposite to the ones usually considered. (For example, δg ∗ δh = δhg ,rather than δgh , and δg ∗v 0 = g −1 v 0 rather than gv 0 .) If we compose these structureswith the anti-involution obtained by sending g 7→ g −1 , then we obtain the usual
product structures.
Let us recall from [23] the following converse to corollary 5.1.9 (ii).
Proposition 5.1.10. If V is a space of compact type, and Vb0 is equipped with a
Dla (G)-module structure for which the corresponding product map Dla (G) × Vb0 →Vb0 is separately continuous, then the G-action on V obtained by passing to thetranspose makes V a locally analytic representation of G.
Proof. This is [23, cor. 3.3]. We recall a proof. We may replace G by a compact
open subgroup, and thus assume that G is compact. Then Dla (G) and Vb0 are both
nuclear Fréchet spaces, and the product map Dla (G)×Vb0 → Vb0 induces a surjection
ˆ K Vb0 → Vb0 . Proposition 1.1.32 shows that the source is a nuclear Fréchet
Dla (G) ⊗space, and so this surjection is strict, by the open mapping theorem. Passing toduals, and taking into account propositions 1.1.32 and 2.1.28, we obtain a closed
embedding V → C la (G, V ), which is G-equivariant, with respect to the transposed
G-action on V and the right regular G-action on C la (G, V ). Propositions 3.5.11
and 3.6.14 show that V is a locally analytic representation of G. 
We have the following application of Frobenius reciprocity for locally analytic
representations.
Proposition 5.1.11. If V is a K-Banach space equipped with a locally analytic
action of the locally L-analytic group G then the contragredient action of G on Vb0
is again locally analytic.
Proof. We may and do assume that G is compact. Frobenius reciprocity (moreprecisely, proposition 5.1.1 (iii), with W = K) yields a G-equivariant isomorphismof abstract K-vector spaces(5.1.12)∼

V 0 −→ LG (V, C la (G, K)).

Since C la (G, V ) is reflexive, passing to the transpose yields a G-equivariant isomorphism(5.1.13)

∼

la
la
0
LG (V, C (G, K)) −→ LG (D (G, K)b , Vb ).
∼Proposition 2.2.10 yields a natural isomorphism L(Dla (G, K)b , Vb0 ) −→ C la (G, Vb0 ),and hence a G-equivariant isomorphism (of abstract K-vector spaces)(5.1.14)

∼

∼

la
0
la
0 ∆ (G)−→ (Vb0 )la .
LG (D (G, K)b , Vb ) −→ C (G, Vb ) 1,2

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91

Working through the definitions, one checks that the composite of (5.1.12), (5.1.13),
and (5.1.14) provides a K-linear inverse to the natural map (Vb0 )la → Vb0 , and thusthat this natural map is an isomorphism of abstract K-vector spaces. Thus Vb0 isequipped with a locally analytic representation of G, as claimed. 
A version of this result is proved in the course of proving [22, prop. 3.8].
We remark that in the context of the preceding proposition, corollary 3.6.13
guarantees that there is an analytic open subgroup H of G such that V is Hanalytic. However, it is not the case in general that Vb0 is also H-analytic (althoughagain by corollary 3.6.13 it will be H0 -analytic for some analytic open subgroup H 0of H).
We can use proposition 5.1.11 to give an example of a non-trivial locally analytic representation on a complete LB-space that is neither of compact type nor
a Banach space. For this, let G be a locally L-analytic group which is σ-compact`
but not compact, let H be an analytic open subgroup of G, and let G = i Hgi
be the decomposition of G into (countably many) left H cosets. The right multiplication of gi−1 Hgi on Hgi makes C an (Hgi ) an analytic gi−1 Hgi -representation
on a Banach space, and so by proposition 5.1.11 the contragredient representation
on Dan (Hgi , K)b is a locally analytic gi−1 Hgi -representation. The right multiplicationright G-action on the countable direct sum
L anof G on itself induces a natural
−1
th
D
(Hg
,
K)
,
extendingthegHgsummand, and thus (byibi -action on the iiiproposition 3.6.17) this direct sum is a locally analytic G-representation. Since it
is a direct sum of a countable collection of Banach spaces it is a complete LB-space[5, prop. 9, p. II.32]. It is not of compact type.
Theorem 5.1.15. (i) Let G be a compact topological group and let V be a Hausdorff LB-space equipped with a continuous G-action. If we equip V 0 with theD(G, K)-action of corollary 5.1.7, then any surjection of left D(G, K)-modules
D(G, K)n → V 0 (for any natural number n) is obtained by dualizing a closed Gequivariant embedding V → C(G, K)n . In particular, V 0 is finitely generated as aleft D(G, K)-module if and only if V admits a closed G-equivariant embedding intoC(G, K)n for some natural number n.
(ii) Let G be an affinoid rigid analytic group defined over L, and assume that
G := G(L) is Zariski dense in G. Let V be a Hausdorff LB-space equipped with aG-analytic G-action. If we equip V 0 with the Dan (G, K)-action of corollary 5.1.8
then any surjection of left Dan (G, K)-modules Dan (G, K)n → V 0 for some natural
number n arises by dualizing a closed G-equivariant embedding V → C an (G, K)n .
In particular, V 0 is finitely generated as a left Dan (G, K)-module if and only if V
admits a closed G-equivariant embedding into C an (G, K)n for some natural number n.
(iii) Let G be a compact locally L-analytic group, and let V be a complete Hausdorff LB-space equipped with a locally analytic G-action. If we equip V 0 with theDla (G, K)-action of corollary 5.1.9, then any surjection Dla (G, K)n → V 0 of left
Dla (G, K)-modules, for some natural number n, arises by dualizing a closed Gequivariant embedding V → C la (G, K)n . In particular, V 0 is finitely generated asa left Dla (G, K)-module if and only if V admits a closed G-equivariant embedding
into C la (G, K) for some natural number n.
Proof. Suppose first that G and V are as in (i), and that we are given a surjection

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MATTHEW EMERTON

of left D(G, K)-modules
D(G, K)nb → Vb0 .

(5.1.16)Since the map D(G, K)nb × Vb0 → Vb0 describing Vb0 as a left D(G, K)nb -module iscontinuous in its first variable, the surjection (5.1.16) is necessarily continuous.
Write V = lim
Vn as the locally convex inductive limit of a sequence of Banach−→nspaces. Dualizing we obtain a continuous bijection
Vb0 → lim
(Vn )0b .
←−(5.1.17)n(Vn )0b is the projective
Since each Vn is a Banach space, so is each (Vn )0b , and so lim←−nlimit of a sequence of Banach spaces, and hence is a Fréchet space. The composite
of (5.1.16) and (5.1.17) is a surjection whose source and target are Fréchet spaces,and so by the open mapping theorem it is strict. Thus each map in this composite
must itself be strict.
Dualizing the strict surjection (5.1.16) yields a closed G-equivariant embedding(5.1.18)∼(Vb0 )0 → (D(G, K)nb )0 −→ ((C(G, K)0b )0b )n .

Let ıi : D(G, K)b → Vb0 denote the ith component of (5.1.16), where 1 ≤ i ≤n. By part (iii) of corollary 5.1.7 each ıi is obtained by dualizing a continuous
G-equivariant map V → C(G, K). Taking the direct sum of these we obtain acontinuous G-equivariant map
V → C(G, K)n ,(5.1.19)

and our original surjection (5.1.16) is obtained by dualizing (5.1.19). We can embed
the maps (5.1.18) and (5.1.19) into the following diagram
V/ C(G, K)n(Vb0 )0b/ ((C(G, K)0 )0 )n ,b b

in which the vertical arrows are double duality maps, which commutes by construction. The bottom arrow is a topological embedding, and since V and C(G, K) areboth barrelled, so are the vertical arrows. Thus the top arrow is an embedding.
It remains to prove that it has closed image. But since V is an LB-space by assumption, and normable, since it can be embedded in the Banach space C(G, K)n ,proposition 1.1.18 implies that V is a Banach space, and so must have closed imagein C(G, K)n .
Conversely, if we dualize a closed G-equivariant embedding V → C(G, K)n , thenwe certainly obtain a surjection of left D(G, K)-modules D(G, K)n → V 0 . This
proves part (i).
Parts (ii) and (iii) are proved in an identical fashion. (For part (iii), rather thanappealing to proposition 1.1.18, we note that V is assumed to be both an LB-spaceand complete, and we use the fact that any complete — or equivalently, closed —subspace of a compact type space is again of compact type. Observe also that thelast part of the proof simplifies somewhat, since Dla (G, K) is reflexive.) LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

93

5.2. Completions of universal enveloping algebras
In this section we explain the relationship between the rings of analytic distributions on (a certain class of) analytic open subgroups of a locally L-analytic group,and certain completions of universal enveloping algebras.
We begin with some simple rigid analysis. For any integer d, rigid analytic affine
d-space Ad represents the functor that attaches to any rigid analytic space X over
L the set Γ(X, OX )d of d-tuples of globally defined rigid analytic functions on X. If
r is any positive real number, then the closed ball of radius r centred at the origin(denoted by Bd (r)) is an open subdomain of Ad . It represents the functor that
attaches to X the set (Γ(X, OX )| |sup ≤r )d consisting of d-tuples of globally defined
rigid analytic functions on X, each of whose sup-norm is bounded above by r.
There is a coordinate-free version of these constructions. Fix a free finite rank
OL -module M , of rank d say, and write V = L ⊗OL M . The functor
X 7→ Γ(X, OX ) ⊗L V
is represented by a rigid analytic space that we denote A(V ). The L-valued pointsof A(V ) are canonically identified with V , as is the tangent space to A(V ) at any
L-valued point of A(V ).
If r is a positive real number, then the functor
X 7→ Γ(X, OX )| |sup ≤r ⊗OL M
is represented by an open subdomain of A(V ), that we denote by B(M, r). The
L-valued points of B(M, 1) are canonically identified with M .
Let us return now to the consideration of a locally L-analytic group G. Supposethat h is an OL -Lie sublattice of g, i.e. that h is an OL -Lie subalgebra of g that is
free of finite rank as an OL -module, and such that the natural map L ⊗OL h → g is
an isomorphism. If in fact [h, h] ⊂ ah for some element a ∈ OL for which ordL (a)is sufficiently large, then it is proved in [28, LG Ch. V, § 4] that we can use the
Baker-Campbell-Hausdorff formula to define a rigid analytic group structure on
B(h, 1), for which the induced Lie algebra structure on g (thought of as the tangent
space to the identity in B(h, 1)) agrees with the given Lie algebra structure on g.
We let H denote B(h, 1) equipped with this rigid analytic group structure, and as
usual we let H denote the underlying locally analytic group. (Thus H and h areequal as sets; h denotes this set regarded as an OL -Lie algebra, while H denotes
this set regarded as a locally L-analytic group.) For any real number 0 < r < 1,
the subdomain B(h, r) is in fact an open subgroup of B(h, 1); we denote this open
subgroup by Hr , and its underlying locally L-analytic group of L-rational points by
Hr . (Here and below, let us make the convention that we only consider values ofr that arise as the absolute values of elements in the algebraic closure of L. Theseelements are dense in the interval (0, 1), and have the merit that the corresponding
groups Hr are affinoid [3, thm. 6.1.5/4].)
If h is any OL -Lie sublattice of g, then since by assumption [h, h] ⊂ h, we see that
if a ∈ OL , then ah is again an OL -Lie subalgebra of g, and in fact [ah, ah] ⊂ a(ah).
Thus choosing a ∈ OL \ {0} with ordL (a) sufficiently large, and replacing h by ah(more colloquially, “shrinking h sufficiently”), we find that we may exponentiate
h to a locally L-analytic group H as in the preceding paragraph. It is proved in[28, LG 5.35, cor. 2] that if we make such a replacement, then, again provided that

94

MATTHEW EMERTON

ordL (a) is sufficiently large, we may furthermore construct an embedding of locallyL-analytic groups exp : H → G, and thus realize H as an analytic open subgroupof G. We refer to the analytic open subgroups of G constructed in this manner(i.e. by exponentiating sufficiently small OL -Lie sublattices of g) as good analytic
open subgroups. The discussion of [28, LG Ch. IV, §8] shows that the set of goodanalytic open subgroups is cofinal in the directed set of all analytic open subgroupsof G. In fact, if H is one good analytic open subgroup of G, corresponding to
the OL -Lie sublattice h of G, then for any a ∈ OL , we may exponentiate ah to agood analytic open subgroup of G, and the resulting family of good analytic open
subgroups of G is clearly cofinal.
Given such an analytic open subgroup H of G, if we fix an OL -basis X1 , . . . , Xn
for h, then then we may define a rigid analytic map from Bd (1) to H via the formula(t1 , . . . , td ) 7→ exp(t1 X1 ) · · · exp(td Xd ).
If [h, h] ⊂ ah with ordL (a) sufficiently large, then this map will be a rigid analytic
isomorphism; we then say that it equips H (or H) with canonical coordinates ofthe second kind. For any 0 < r < 1, the canonical coordinates of the second kind
restrict to an isomorphism between Bd (r) and Hr .
Suppose now that H is a good analytic open subgroup of G equipped withcanonical coordinates of the second kind t1 , . . . , td , corresponding to an OL -basis
X1 , . . . , Xn for h. In terms of these coordinates, we obtain the following descriptionof the Banach space of K-valued rigid analytic functions on the affinoid group Hr :X∼
(5.2.1) C an (Hr , K) −→ {aI ti11 · · · tidd | aI ∈ K, lim |aI |r|I| = 0}.
|I|→∞

I=(i1 ,... ,id )(Here I runs over all multi-indices of length d, and |I| = i1 + . . . + id for any
multi-index I = (i1 , . . . , id ).)The right regular representation of Hr on C an (Hr , K) makes this latter space
an Hr -analytic representation, and thus induces a continuous action of U (g) on
C an (Hr , K). Concretely, an element X ∈ g acts on C an (Hr , K) by the endomorphism(Xf )(h) =df (h exp(tX))|t=0 .
dt(See the discussion of [23, p. 449] — but note that we consider rigid analytic
functions, rather than locally analytic functions, and consider C an (Hr , K) as an
Hr -representation via the right regular action rather than the left regular action.)
This in turn yields a morphism U (g) → Dan (Hr , K), defined via
hX, f i := (Xf )(e).
In particular, any monomial X1i1 · · · Xdid yields an element of Dan (Hr , K). The
X i1 · · · Xdid
elements 1
are “dual” to the monomials ti11 · · · tidd ; i.e. if I = (i1 , . . . , id )i1 ! · · · id !
and J = (j1 , . . . , jd ) are two multi-indices, thenX i1 · · · Xdid j1, t · · · tjdd i =h 1
i1 ! · · · id ! 1

1 if I = J
0 otherwise,

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

95

and thus the entire space Dan (Hr , K) admits the following description in terms ofsuch monomials:∼

Dan (Hr , K) −→ {XbI

I=(i1 ,... ,id )X1i1 · · · Xdid
i1 ! · · · id !

||bI | ≤ Cr|I| for some C > 0}.

(Compare the discussion of [23, p. 450].) In fact this is an isomorphism not just of
K-vector spaces, but of K-algebras. (Note that the K-algebra structure on U (g)yields a topological K-algebra structure on the space of series in the monomials
X1i1 · · · Xdid appearing on the right hand side of this isomorphism.)
Actually, it will be important for us to consider not only the affinoid groups Hr ,but also certain
S corresponding strictly σ-affinoid subgroups. For any value of r, we
define H◦r = r0 <r Hr0 . The open subspace H◦r is an open subgroup of H, isomorphic
as a rigid analytic space to the open ball of radius r. We write Hr◦ := H◦r (L)to denote the corresponding locally L-analytic group of L-valued points. In theparticular case when r = 1, we write simply H◦ and H ◦ rather than H◦1 and H1◦ .
The space C an (H◦ , K) is defined as the projective limit lim
C an (Hr , K); it is←−r<1

a nuclear Fréchet space (since H◦ is strictly σ-affinoid). Its strong dual space
Dan (H◦ , K)b is then isomorphic to the inductive limit lim
Dan (Hr , K)b . It is a space−→r<1of compact type. Corollary 5.1.8 shows that each of the spaces Dan (Hr , K)b is naturally a topological ring. Passing to the inductive limit, we obtain a ring structure
on Dan (H◦ , K)b , and we may conclude a priori that the multiplication map
Dan (H◦ , K)b ⊗K Dan (H◦ , K)b → Dan (H◦ , K)bis separately continuous. However, since Dan (H◦ , K)b is of compact type, it follows
from proposition 1.1.31 that this map is in fact jointly continuous.
The above explicit description of each of the Banach algebras Dan (H◦r , K) yields
the following explicit description of the inductive limit lim
Dan (H◦r , K):
←−
r<1

∼

Dan (H◦ , K) −→X X i1 · · · X idd{bI 1
i1 ! · · · id !

||bI | ≤ Cr|I| for some C > 0 and some r < 1}.

I

We will now give another description of the compact type algebra Dan (H◦ , K) as
an inductive limit of Banach algebras, via the technique of partial divided powers
introduced in [1]. To this end, we first present some constructions related to theenveloping algebra U (g).
To begin with, fix an integer m ≥ 0, and for j = 1, . . . , d, and for any integeri ≥ 0, let q(i) denotes the integral part of the fraction i/pm . We then define an
OK -submodule A(m) of U (g) via
X

A(m) := {IbIq(i1 )! · · · q(id )! i1
X1 · · · Xdid
i1 ! · · · id !

|bI ∈ OK and bI = 0 for almost all I}.

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MATTHEW EMERTON

We also defineXA(∞) := {IbI

X1i1 · · · Xdid
i1 ! · · · id !

| bI ∈ OK and bI = 0 for almost all I}.

We let Â(m) (respectively Â(∞) ) denotes the p-adic completion of A(m) (respectively A(∞) ).
We will need the following elementary lemma.
Lemma 5.2.2. If n is a natural number and m a non-negative integer, and if we
use the Euclidean algorithm to write n = pm q + r, with 0 ≤ r < pm , thenn!
= (pm !)q r!u,q!
where u is a p-adic unit.
Proof. This follows directly from the well-known formula, stating that the p-adicn − s(n), where s(n) denotes the sum of the p-adic digits
ordinal of n! is equal top−1
of n. We also recall that U (g) is a filtered K-algebra. To be precise, there is a natural
quotient map T (g) → U (g) from the tensor algebra of g onto the universal enveloping algebra. The tensor algebra T (g) is naturally graded, and hence filtered. Moreprecisely, for any integer i we write
T (g)≤i = ⊕j≤i g⊗j ⊂ T (g),and correspondingly write U (g)≤i to denote the image of T (g)≤i in U (g). The key
properties of this filtration on U (g) are that
(5.2.3)

U (g)≤i U (g)≤i0 ⊂ U (g)≤i+i0(i.e. it does indeed make U (g) a filtered algebra), and that
(5.2.4)[U (g)≤i , U (g)≤i0 ] ⊂ U (g)≤i+i0 −1(i.e. the associated graded algebra is commutative).
Lemma 5.2.5. (i) For any m ≥ 0, the OK -submodule A(m) of U (g) is in fact an
OK -subaglebra of U (g). More precisely, it coincides with the OK -subalgebra of U (g)Xji
for 0 ≤ i ≤ pm and 1 ≤ j ≤ d.
generated by the elementsi!
(ii) The OK -submodule A(∞) of U (g) is in fact an OK -subaglebra of U (g).
Proof. We begin by proving part (ii). First note that Â(∞) is the unit ball in
Dan (H, K) with respect to the norm on Dan (H, K) that is dual to the sup norm on
C an (H, K). Thus Â(∞) is closed under multipliction in Dan (H, K), and in particular,TA(∞) = Â(∞) U (g) (the intersection taking place in Dan (H, K)) is closed undermultiplication in U (g), as claimed.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

97

We now turn to proving (i). It follows from Lemma 5.2.2 that A(m) is containedXji
in the OK -subalgebra of U (g) generated by the elements
for 0 ≤ i ≤ pm andi!
1 ≤ j ≤ d. To prove that this inclusion is an equality, it suffices to show thatXji1 Xji2[ 1 , 2 ] ∈ A(m) for any 0 ≤ i1 , i2 ≤ pm and 1 ≤ j1 , j2 ≤ d. For this, it suffices
i1 ! i2 !
in turn to note
T that, by part (ii) together with (5.2.4), the commutator in question
lies in A∞ U (g)≤(i1 +i2 −1) , and that i1 + i2 − 1 < pm+1 . 
We now write Dan (H◦ , K)(m) := K ⊗OK Â(m) . Thus Dan (H◦ , K)(m) is naturally
a K-Banach algebra.
Proposition 5.2.6. There is a natural isomorphism of topological K-algebras of∼compact type lim
Dan (H◦ , K)(m) −→ Dan (H◦ , K).
−→m

Proof. This follows from the fact that the p-adic ordinal of q1 ! · · · qd ! is asymptotic
i1 + · · · + id
as i1 + · · · + id → ∞. 
to(p − 1)pm
In the remainder of this section we prove some additional technical results which
will be required below. We begin with a lemma that is presumably well-known, butwhose proof we include due to not knowing a reference.
Lemma 5.2.7. If h is an OL -Lie algebra such that [h, h] ⊂ ah, for some a ∈ OL ,then [X p , Y ] ∈ (pa, ap )U (h) for any X and Y ∈ h.
Proof. If we replace h by h/ap h, then we may assume furthermore that h is nilpotent
of class < p, and it suffices to show that [X p , Y ] ∈ p[h, h]U (h) for any X and Y ∈ h.
If we let g be the free Lie algebra over OL of nilpotentcy class < p generated
by two elements, then there is a homomorphism g → h taking the generators of g
to the elements X and Y of h, and so it suffices to prove the analogous statement
for g. Since [X p , Y ] ∈ [g, g]U (g), and since [g, g]U (g) is a direct summand of U (g),in fact it suffices to prove the apparently weaker statement that [X p , Y ] ∈ pU (g)for any X and Y ∈ g. Replacing g by its reduction modulo p, it suffices in turnto prove that if g is any nilpotent Lie algebra over a field k of characteristic p ofclass < p, then X p lies in the centre of U (g) for all X ∈ g.
It is a result due to Jacobson [14, eqn. (14a)] that in an associative algebra A
of characteristic p, if we write Da := [a, –] for any a ∈ A, then Dap = (Da )p forpall a ∈ A. Applying this to X ∈ U (g), and noting that DX= 0 because of ourpassumption that g has class < p, we find that X is indeed central in U (g). We also need a variant of the preceding result.
Proposition 5.2.8. Let A be an associative OL -algebra, which is torsion free as an
OL -module, and equipped with an increasing filtration by OL -submodules Fi A (fori ≥ 0), such that Fi A · Fj A ⊂ Fi+j A for all i, j ≥ 0, and such that [Fi A, Fj A] ⊂aFi+j−1 A if i > 0 and j ≥ 0. If X ∈ Fi A and Y ∈ Fj A, for some i > 0 and j ≥ 0,then [X p , Y ] ⊂ (pa, ap )Fpi+j−1 A.
Proof. The present proposition follows from proposition 5.2.7 via a standard argument with a Rees construction.
Namely, for each i ≥ −1 we write h(i) := Fi+1 A,
L
and we write h := i≥−1 h(i). We make h a Lie algebra by equipping it with thebracket[– , –] : h(i) × h(j) → h(max(−1, i + j))

98

MATTHEW EMERTON(i, j ≥ 0) induced by the commutator on A, which by assumption gives rise to amap[– , –] : Fi+1 A × Fj+1 A → Fmax(−1,i+j) A.
L
We write h+ := i≥0 h(i) ⊂ h, and note that h+ is a graded Lie subalgebra of h,
if we declare the direct summand h(i) of h+ to be in degree i, for each i ≥ 0. Our
hypotheses imply that [h, h] ⊂ ah, and so proposition 5.2.7 implies that
(5.2.9)[(X(i−1) )p , Y(j−1) ] ∈ (p, ap )U (h);here we have written X(i−1) and Y(j−1) to denote X (respectively Y ) viewed as anelement of h lying in its direct summand h(i − 1) (respectively h(j − 1)).
There is a natural homomorphism of OL -Lie algebras h → A, given by mapping
the summand h(i) of h identically to its isomorphic image Fi+1 A in A. This induces
a homomorphism of OL -algebras U (h) → A. We wish to define an increasing
filtration F• on U (h) so that this homomorphism is compatible with this filtration
on U (h) and the given filtration on A. To this end, we declare the summand h(i) of
h to lie in Fi+1 U (h), for i ≥ −1. This then determines uniquely a filtration F• U (h),satisfying the condition that Fi U (g) · Fj U (g) ⊂ Fi+j U (g) for all i, j ≥ 0.
Since h = h(−1)⊕h+ decomposes h as the (OL -module) direct sum of two OL -Liesubalgebras, there is an isomorphism(5.2.10)∼U (h(−1)) ⊗OL U (h+ ) −→ U (h).

By construction, U (h(−1)) = F0 U (h). Since h(−1) = F0 A is torsion free over OL ,so is F0 U (h).
On the other hand, the grading on h+ induces a grading on U (h), whose ith
graded piece we denote by U (h+ )(i). As with all enveloping algebras, it is also
equipped with a canonical filtration U (h+ )≤i (defined by placing h+ in the firststage of the filtration). We may then equip U (h+ ) with the total filtration, which
we denote by F• U (h+ ). More precisely,
M \
Fi U (h+ ) :=U (h+ )(j) U (h+ )≤i−j ,0≤j≤i

for i ≥ 0.
Since A is torsion free over OL , the same is true for each Fi A, and hence for h.
The associated graded of U (h), with respect to its filtration U (h)≤i , is thus also OL torsion free, and consequently so is the associated graded with respect to F• U (h+ ).
Furthermore, the isomorphism (5.2.10) then induces an isomorphism∼

F0 U (h) ⊗OL Fi U (h+ ) −→ Fi U (h),and so we see that the associated graded of U (h) with respect to F• U (h+ ) is OL torsion free.
Consequently, taking into account the filtration on U (h), we may improve (5.2.9)
to the statement that[(X(i−1) )p , Y(j−1) ] ∈ (p, ap )Fpi+j−1 U (h)Applying the homomorphism U (h) → A yields the proposition.



We now return to the setting considered above, in which h is an OL - Lie sublatticeof the K-Lie algebra g, which exponentiates to a good analytic open subgroup H
of G, admitting canonical coordinates of the second kind.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS

99

Proposition 5.2.11. If [h, h] ⊂ ah for some a such that ap−1 ∈ pOL , then[A(m+1) , A(m) ] ⊂ A(m)for any m ≥ 0.
Proof. Our argument will be inductive in m, and will proceed in two steps. Namely,
assuming that
[A(m) , A(m) ] ⊂ aA(m) ,(5.2.12)we will deduce first that

[A(m+1) , A(m) ] ⊂ aA(m) ,(5.2.13)and then go on to deduce the analogue of (5.2.12) with m + 1 in place of m.
Clearly (5.2.13) implies the statement of the proposition.
Since A(0) = U (h), and since [h, h] ⊂ ah by assumption, the base case m = 0
case of (5.2.12) is clear. Suppose now that we have established (5.2.12) for somevalue of m. Then Proposition 5.2.7, applied to A(m) (regarded as a Lie algebra via
the commutator), together with the assumption that p divides ap−1 in OL , implies
that [(Z p )/p, W ] ∈ aU (h) for any Z and W ∈ A(m) . In particular, if X ∈ h, thenmtaking Z := X p /(pm )!, and using the formula
m+1

Xp
u
=
(pm+1 )!
p(5.2.14)mXp(pm )!

p
=u

Zp
p

×
for some u ∈ OL
, we find thatm+1

(5.2.15)[

Xp, A(m) ] ⊂ aA(m) .
(pm+1 )!

Since X was an arbitrary element of h, this implies (5.2.13) for our given valueof m.
If we let B denote the OL -Lie subalgbra B of A(m+1) generated by A(m) togetherm+1with the element X p/(pm+1 )!, then we deduce from (5.2.15) that [B, B] ⊂ aB,
and so we may apply Proposition 5.2.7 to B. Letting Y be any element of h, andtaking into account (5.2.14) with Y in place of X, we deduce that
m+1

[

m+1

Yp
Xp
, m+1 ] ∈ aB ⊂ aA(m+1) ,
m+1
(p
)! (p
)!

which in turn (since X and Y were arbitrary elements of h) implies (5.2.12) withm replaced by m + 1. The proposition follows by induction. 
Suppose now given r ∈ (0, 1) such r is equal to absolute value of some α ∈ L× .
Note then that αh is the OK -Lie subalgebra of g that exponentiates to give Hr . For0
any natural number m0 , we let A(m ) (r) denote the OK -subalgebra of the enveloping00
algebra U (g) generated by the monomials (αXj )i /i! for 1 ≤ i ≤ pm . (Thus A(m ) (r)0stands in the same relation to Hr as A(m ) does to H; see Lemma 5.2.5 (i).)

100

MATTHEW EMERTON

We also note that the filtration on U (g) induces a filtration on A(m) , which weT(m)denote in the obvious way, namely A≤i := A(m) U (g)≤i . Explicilty,(m)XA≤i := {

|I|≤i

bI

q(i1 )! · · · q(id )! i1
X1 · · · Xdid
i1 ! · · · id !

| bI ∈ OK }.

The associated graded ring of A(m) with respect to this filtration embeds into thatof U (g), and so is torsion free over OL . Thus
\ (m)
(m)
(5.2.16)aA(m) A≤i = aA≤i ,for each i ≥ 0.
Proposition 5.2.17. If [h, h] ⊂ ah for some a such that ap−1 ∈ pOL , and if
0
0
(m)
(m)
m, m0 ≥ 0, then [A(m ) (r), A≤i ] ⊂ A(m ) (r)A≤i−1 for all i > 0.
Proof. The proof is similar to that of proposition 5.2.11, though a little morestraightforward. We fix m0 and proceed by induction on m, proving the stronger
statement that
0

0

(m)

(m)

[A(m ) (r), A≤i ] ⊂ aA(m ) (r)A≤i−1(5.2.18)

for all i > 0 and m ≥ 0, beginning with the case m = 0.
Let 0 ≤ m00 ≤ m0 and 1 ≤ j ≤ d, and consider one of the monomial generators
000
m00(αXj )p /(pm )! of A(m ) (r). If Y ∈ h, thenm00[(αXj )p00

m00/(pm )!, Y ] = αp

m00

[Xjp

00

m00

/(pm )!, Y ] ∈ αp(m00 )

0aA≤pm00 ⊂ aA(m ) (r)(taking into account (5.2.12) and (5.2.16) with m00 in place of m). This implies (5.2.18) in the case when m = 0.
Suppose now that we have proved (5.2.18) for some m ≥ 0 and all i > 0; wewill deduce the analogous statement for m + 1. To this end, we define Fi B :=0(m)
A(m ) (r)A≤i for all i ≥ 0. One deduces from (5.2.18), via induction on i, that weS0(m)
also have Fi B = A≤i A(m ) (r). If we define B = i≥0 Fi B, then it follows that
B is an OK -subalgebra of U (g), and that Fi B · Fj B ⊂ Fi+j B for all i, j ≥ 0.
Furthermore, from (5.2.18), together with (5.2.12) and (5.2.16), we deduce that[Fi B, Fj B] ⊂ aFi+j−1 B for all i > 0 and j ≥ 0. Proposition 5.2.8 therefore applies
0
to B. In particular, if 1 ≤ j ≤ d, and Y ∈ A(m ) (r) = F0 B, then we deduce thatm !pXjp
, Y ] ∈ pFpm+1 −1 B.
[(pm )!
Taking into account (5.2.14) (with X = Xj ) and the definition of Fpm+1 −1 B, wefind thatm+1(5.2.19)

Xjp
0(m)[ m+1 , Y ] ∈ A(m ) (r)A≤pm+1 −1 .
(p
)!
m+1

Since A(m+1) is generated by A(m) together with the monomials Xjp/(pm+1 )!
for 1 ≤ j ≤ d, we deduce from (5.2.18) and (5.2.19) that the analogue of (5.2.18)
with m replaced by m + 1 holds. The proposition follows by induction. LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 101

5.3. Rings of locally analytic distributions are Fréchet-Stein algebras
Let G be locally L-analytic group, and let H be a compact open subgroup of G.
The main goal of this section is to present a proof of the fact that Dla (H, K) is
a Fréchet-Stein algebra (under the assumption that K is discretely valued). This
result was originally proved by Schneider and Teitelbaum [27, thm. 5.1], by methods
related to those of [16]. The proof we give is different; it relies on an extensionof the methods used in [1] to prove the coherence of the sheaf of rings D† . Our
approach also shows that for any good analytic open subgroup H of G, the algebra
Dan (H◦ , K) is coherent.
Proposition 5.3.1. If H is a good analytic open subgroup of G (in the senseof section 5.2 ), then the K-Fréchet algebra Dla (H ◦ , K)b is a weak Fréchet-Stein
algebra.
Proof. Let {rn }n≥1 be a strictly decreasing sequence of numbers lying in the open
×interval between 0 and 1, and also in |L |, that converges to 0, and form the corresponding decreasing sequence {H◦rn }n≥1 of σ-affinoid rigid analytic
open subgroupsSof H. (As in the preceding section, we have written H◦rn = r<rn Hr .) Each of thesubgroups H◦rn is normalized by H ◦ .
For each n ≥ 1 there are continuous injections(5.3.2)C(H ◦ , K)H◦rn −an → C(H ◦ , K)H◦r

n+1

−an

and
C(H ◦ , K)H◦rn −an → C la (H ◦ , K)

(5.3.3)(the latter being compatible with the former) which, upon passing to the inductive
limit in n, yield an isomorphism(5.3.4)∼C(H ◦ , K)H◦rn −an −→ C la (H ◦ , K).
lim
−→
n

For each value of n ≥ 1, we write D(H◦rn , H ◦ ) to denote the strong dual to thespace C(H ◦ , K)H◦rn −an . The restriction map∼

C(H ◦ , K)H◦rn −an → C(Hr◦n , K)H◦rn −an −→ C an (H◦rn , K)(the isomorphism being provided by proposition 3.4.11) yields a closed embedding Dan (H◦rn , K) → D(H◦rn , H ◦ ). The topological ring structure on Dan (H◦rn , K)
extends
naturally to a ring structure on D(H◦rn , H ◦ ), such that D(H◦rn , H ◦ ) =Lan◦h∈H ◦ /Hr◦n D (Hrn , K) ∗ δh . (As indicated, the direct sum ranges over a set ofcoset representatives of Hr◦n in H ◦ .) Dualizing the isomorphism (5.3.4) yields an∼
isomorphism of topological K-algebras Dla (H ◦ , K)b −→ limD(H◦rn , H ◦ ). We will←−nshow that this isomorphism induces a weak Fréchet-Stein structure on Dla (H ◦ , K).
Each of the algebras D(H◦rn , H ◦ ) is of compact type as a convex K-vector space,and so satisfies condition (i) of definition 1.2.6. Since for each n ≥ 1, the inclusionH◦rn+1 ⊂ H◦rn factors through the inclusion Hrn+1 ⊂ H◦rn , the map (5.3.2) is compact(as follows from proposition 2.1.16), and thus so is the dual map D(H◦rn+1 , H ◦ ) →102

MATTHEW EMERTON

D(H◦rn , H ◦ ). Thus by lemma 1.1.14, condition (ii) of definition 1.2.6 is also satisfied. Finally, since for each n ≥ 1 the map (5.3.3) is a continuous injection ofreflexive spaces, the dual map Dla (H ◦ , K)b → D(H◦rn , H ◦ )b has dense image. Thus
condition (iii) of definition 1.2.6 is satisfied, and the proposition is proved. 
We intend to show that Dla (H ◦ , K)b is in fact a Fréchet-Stein algebra, and we
begin by abstracting the argument used to prove [1, thm. 3.5.3]. We suppose that A
is a (not necessarily commutative) Zp -algebra, which is p-torsion free and p-adicallyseparated. If Â denotes the p-adic completion of A, then Â is also p-torsion free,
and the natural map A → Â is an injection. Tensoring with Qp over Zp , we obtainan injection Qp ⊗Zp A → Qp ⊗Zp Â. We regard A, Qp ⊗Zp A, and Â as subalgebrasof Qp ⊗Zp Â. One easily checks that A is saturated in Â, in the sense that theTinclusion A → Qp ⊗Zp A
Â is an equality.

Multiplication in Qp ⊗Zp Â induces a natural map Â⊗A Qp ⊗Zp A → Qp ⊗Zp Â,which is evidently an isomorphism. More generally, if M is a left A-submodule of
Qp ⊗Zp A, then multiplication in Qp ⊗Zp Â induces a natural map of left Â-modules
ıM : Â ⊗A M → Qp ⊗Zp Â. The following lemma concerns the image of the map ıM .
Lemma 5.3.5. Let M be a left A-submodule of Qp ⊗Zp A. The image of the mapıM is contained in M + Â (the sum taking place in Qp ⊗Zp Â). If A ⊂ M , thenimage of ıM is in fact equal to M + Â.
Proof. The A-module M is the inductive limit of finitely generated A-submodules.
The first statement of the lemma is clearly compatible with passing to inductive
limits, and so it suffices to prove it for M that are finitely generated. We may thus
assume that pn M ⊂ A for some natural number n. The image of ıM is spanned asa Zp -module by the product ÂM . Since Â = A + pn Â, we see that this product is
contained in M + Â, as claimed. This proves the first claim of the lemma.
To prove the second claim, note that if 1 ∈ M, then ÂM contains both M and Â.
Thus in this case M + Â is contained in the image of ıM , and the claimed equality
follows. 
Corollary 5.3.6. If B is a subring of Qp ⊗Zp A that contains A, then the imageof ıB : Â ⊗A B → Qp ⊗Zp Â is a subring of Qp ⊗Zp Â.
Proof. Since B is in particular a left A-submodule of Qp ⊗Zp A that contains A,
lemma 5.3.5 implies that the image of ıB is equal to B + Â. Applying the obvious
analogue of lemma 5.3.5 for right A-modules, we find that the same is true of theimage of the natural map B ⊗A Â → Qp ⊗Zp Â. It is now clear that B + Â is asubring of Qp ⊗Zp Â. 
Lemma 5.3.7. In the situation of lemma 5.3.5, if we
T write N to denote the imageof ıM , and if we assume that A ⊂ M , then M = N
Qp ⊗Zp A .
Proof. Lemma 5.3.5 shows that N = M + T
Â. Taking this into account, the lemma
follows from the fact that A = Qp ⊗Zp A
Â, together with the assumption thatA ⊂ M. 
Lemma 5.3.8. In the situation of corollary 5.3.6, the natural map B → B + Â of
Zp -algebras induces an isomorphism on p-adic completions.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 103

Proof. Since Â = A + pn Â ⊂ B + pn(B + Â) for any natural number n, we seethat the natural map B/pn → B + Â /pn is surjective for any natural number n.
Lemma 5.3.7 implies that this map is also an injection. Passing to the projective
limit in n proves the lemma. 
Lemma 5.3.9. In the situation of corollary 5.3.6, suppose that B is equipped withan exhaustive increasing filtration by Zp -submodules F0 ⊂ F1 ⊂ · · · satisfying thefollowing assumptions:(i) For each pair i, j ≥ 0, we have Fi Fj ⊂ Fi+j . (That is, the Zp -submodules Fi
filter B in the ring-theoretic sense.)(ii) F0 = A. (Note that when combined with (i), this implies that Fi is a two-sided
A-submodule of B, for each i ≥ 0.)F(iii) The associated graded algebra GrF• B is finitely generated over A (= Gr0 B)
by central elements.
If we let C denote the image of ıB (a subalgebra of Qp ⊗Zp Â, by corollary 5.3.6),
and if for each i ≥ 0, we let Gi denote the image of ıFi , then G• is an exhaustive
filtration of C satisfying properties analogous to (i), (ii) and (iii) above. Namely:(i’) For each pair i, j ≥ 0, we have Gi Gj ⊂ Gi+j .
(ii’) G0 = Â.
G(iii’) The associated graded algebra GrG• C is finitely generated over Â (= Gr0 C)
by central elements.
Proof. Since A = F0 ⊂ Fi , lemma 5.3.5 shows that the image Gi of ıFi is equal
to Fi + Â, and also that C = B + Â. It is now immediately checked that G•
is an exhaustive filtration of C, satisfying conclusions (i’) and (ii’)
of the lemma.
 T
Lemma 5.3.7 implies that for each i ≥ 1, the inclusion Fi−1 ⊂ Fi (Fi−1 + Â)G
is an equality, and thus that the natural map GrF
i B → Gri C is an isomorphism
if i ≥ 1. Part (iii’) thus follows from the corresponding assumption (iii), and thelemma is proved. 

We are now ready to generalize [1, thm. 3.5.3].
Proposition 5.3.10. Let A be a (not necessarily commutative) p-torsion free andp-adically separable left Noetherian Zp -algebra. If B is a Zp -subalgebra of Qp ⊗Zp
A that contains A, and that admits an exhaustive increasing filtration F • by Zp modules that satisfies conditions (i), (ii) and (iii) of lemma 5.3.9, then the rings
Qp ⊗Zp Â and Qp ⊗Zp B̂ are left Noetherian Qp -algebras, and Qp ⊗Zp B̂ is flat as aright Qp ⊗Zp Â-module.
Proof. We begin by noting that assumption (iii) of lemma 5.3.9 and the Hilbertbasis theorem imply that GrF• B is left Noetherian, and thus that the same is trueof B. Since the element p is central in A and B, it follows that the p-adic completionsÂ and B̂ are both left Noetherian, and thus the same is true of Qp ⊗Zp Â andQp ⊗Zp B̂. The main point of the proposition, then, is to prove that Qp ⊗Zp B̂ isflat as a right Qp ⊗Zp Â-module.
As in the statement of lemma 5.3.9, let C denote the image of ıB , equipped with
its filtration G• . Since Â is left Noetherian, conclusion (iii’) of lemma 5.3.9 and theHilbert basis theorem imply that GrG• C is left Noetherian, and hence that C is left
Noetherian. As p is central in C, the Artin-Rees theorem applies to show that Ĉ is104

MATTHEW EMERTON

flat as a right C-module. Tensoring with Qp over Zp , we conclude that Qp ⊗Zp Ĉ
is right flat over Qp ⊗Zp C.
Since A ⊂ B ⊂ Qp ⊗Zp A, and since C = B + Â, it is immediate that the inclusionÂ ⊂ C becomes an equality after tensoring through with Qp over Zp . Lemma 5.3.8∼
implies that the inclusion B ⊂ C induces an isomorphism B̂ −→ Ĉ, which of course
remains an isomorphism after tensoring through with Qp over Zp . Combining these
remarks with the conclusion of the preceding paragraph, we deduce that Qp ⊗Zp B̂is right flat over Qp ⊗Zp Â, as required. 
We now present some applications of the preceding proposition.
Proposition 5.3.11. Let H be a good analytic open subgroup of G (in the sense of
section 5.2), obtained by exponentiating the Lie sublattice h of g. Suppose further
that [h, h] ⊂ ah for some a such that ap−1 ∈ pOL , and suppose also that K is
discretely valued.
(i) For each m ≥ 0, the ring Dan (H◦ , K)(m) (as defined in the discussion preceding proposition 5.2.6) is Noetherian.
(ii) If 0 ≤ m1 ≤ m2 , then the natural map Dan (H◦ , K)(m1 ) → Dan (H◦ , K)(m2 ) is
flat.
(m)

Proof. Recall that the filtration on U (g) induces a filtration A≤i on A(m) (i ≥ 0);
we will use a similar notation with m + 1 in place of m. The associated gradedalgebra of A(m) with respect to this filtration is a commutative OK -algebra, andit follows from Lemma 5.2.5 (i) that it is furthermore of finite type over OK . In
particular, it is Noetherian, and thus the same is true of A(m) .
Now consider the inclusions A(m) ⊂ A(m+1) ⊂ Qp ⊗Zp A(m) = U (g). We equip
A(m+1) with the following filtration:(m+1)

Fi := A(m) A≤i

.

(m+1)

(m+1)

It follows from Proposition 5.2.11 that A(m) A≤i= A≤i A(m) , for each i ≥ 0,
and thus that Fi Fj ⊂ Fi+j for any i, j ≥ 0. Since A(m+1) is generated over A(m)(m+1)
is finitely
by finitely many monomials, the associated graded algebra GrF•A(m)generated over A . Furthermore, these monomials reduce to central elements inthe associated graded algebra, again by Proposition 5.2.11. Altogether, we findthat we are in the situation of proposition 5.3.10 (if we take the ring A of that
proposition to be A(m) and the ring B to be A(m+1) ). That proposition thenimplies that each of the rings Dan (H◦ , K)(m) and Dan (H◦ , K)(m+1) is Noetherian,and that the natural map Dan (H◦ , K)(m) → Dan (H◦ , K)(m+1) is flat. Both partsof the present proposition now follow. 
Corollary 5.3.12. Let H be a good analytic open subgroup of G, obtained by exponentiating the Lie sublattice h of g. If [h, h] ⊂ ah, where ap−1 ∈ pOL , and if K
is discretely valued, then Dan (H◦ , K) is coherent.
Proof. Propositions 5.2.6 and 5.3.11 together imply that Dan (H◦ , K) is equal to the
inductive limit of a sequence of Noetherian rings with flat transition maps. This
immediately implies that Dan (H◦ , K) is coherent. LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 105

Proposition 5.3.13. Let H be a good analytic open subgroup of G, obtained byexponentiating a Lie sublattice h of g such that [h, h] ⊂ ah, where ap−1 ∈ pOL , andsuppose that K is discretely valued. If 0 < r < 1 is a real number lying in |L× |, andif m is a sufficiently large natural number, then the natural map Dan (H◦r , K) →Dan (H◦ , K) factors through the natural map Dan (H◦ , K)(m) → Dan (H◦ , K), andthe resulting map Dan (H◦r , K) → Dan (H◦ , K)(m) is flat.
Proof. By assumption, r is equal to the absolute value of some α ∈ L× ⊂ K × .
Note then that αh is the OK -Lie subalgebra of g that exponentiates to give Hr . As
in the discussion of section 5.2, we choose an OL -basis X1 , . . . , Xj of h, and for any
0natural number m0 , we let A(m ) (r) denote the OK -subalgebra of the enveloping00
algebra U (g) generated by the monomials (αXj )i /i! for 1 ≤ i ≤ pm . If Â(m ) (r)denotes the p-adic completion of this ring, then0

K ⊗OK Â(m ) (r).
Dan (H◦r , K) ∼
= lim
−→
m0

(This follows from proposition 5.2.6, applied to Hr rather than H.) Thus, to prove
the proposition, it suffices to exhibit a natural number m such that, for everym0 ≥ 0, the map
0

K ⊗OK Â(m ) (r) → Dan (H◦ , K)

(5.3.14)
factors as a composite(5.3.15)

0

K ⊗OK Â(m ) (r) → Dan (H◦ , K)(m) → Dan (H◦ , K),

with the first factor being flat.
As in proof of lemma 5.2.2, let s(i) denote the sum of the p-adic digits of i, for
any natural number i. If we fix an integer i, and write i = pm q + r (respectively00
i = pm q 0 + r0 ) with 0 ≤ r < pm (respectively 0 ≤ r0 < pm ), thenordK (q!) =i − s(i)r − s(r)−,(p − 1)pm(p − 1)pm

while
ordK (αi q 0 !) = ordK (α)i +r0 − s(r0 )i − s(i).
0 −m(p − 1)p(p − 1)pm0

The values of r and r0 are bounded independently of i. Thus, if we choose m sothat ordK (α) ≥ 1/(p − 1)pm (a condition independent of m0 ), then we find that
ordK (αi q 0 !) ≥ ordK (q!) − C,for some constant C ≥ 0 independent of i. This inequality in turn shows that0
pk A(m ) (r) ⊂ A(m) for some sufficiently large natural number k. Thus we haveinclusions\000
pk A(m ) (r) ⊂ A(m ) (r) A(m) ⊂ A(m ) (r),from which we conclude that the map of p-adic completions\
0
0(A(m ) (r) A(m) )ˆ→ Â(m ) (r)106

MATTHEW EMERTON

becomes an isomormphism after tensoring with K. Since there is also a natural
map of p-adic completions\
0(A(m ) (r) A(m) )ˆ→ Â(m) ,we deduce that the map (5.3.14) does indeed factor as in (5.3.15). It remains tobe shown that the first factor of (5.3.15) is flat. To this end, we will give anotherdescription of the factorization (5.3.15).
00
It follows from Proposition 5.2.17 that A(m ) (r)A(m) = A(m) A(m ) (r), and hence
0that A(m ) (r)A(m) is an OK -subalgebra of U (g). Note that
0A(m) ⊂ A(m ) (r)A(m) ⊂

1 (m)
A .
pk

Thus the first inclusion induces an isomorphism of p-adic completions, and hence the00inclusion A(m ) (r) → A(m ) (r)A(m) induces, upon passage to p-adic completions andtensoring with K, the first morphism in (5.3.15). We will apply proposition 5.3.10
to deduce that this morphism is flat.
0
To this end, we equip the ring A(m ) (r)A(m) with the following filtration:0(m)

Fi := A(m ) (r)A≤i .
It follows from proposition 5.2.17 that this filtration satisfies conditions (i), (ii),0and (iii) of lemma 5.3.9 (taking the algebra A of that lemma to be A(m ) (r), and0
the algebra B to be A(m ) (r)A(m) ). Proposition 5.3.10 now implies that the naturalmap
00
K ⊗OK Â(m ) (r) → K ⊗OK (A(m ) (r)A(m) )ˆ
is flat. Since this is precisely the first arrow of (5.3.15), the proof of the proposition
is completed. 
In the context of the preceding proposition, the homomorphism Dan (H◦r , K) →D (H◦ , K) extends to a homomorphism
an(5.3.16)D(H◦r , H ◦ ) → Dan (H◦ , K)

(in the notation of the proof of proposition 5.3.1; this homomorphism is dual to
the natural map C an (H◦ , K) → C(H ◦ , K)H◦r −an .) We wish to strengthen proposition 5.3.13 so that is applies to the map (5.3.16).
The following lemma provides the necessary bootstrap. It provides an analogue
in a simple noncommutative situation of the following commutative algebra fact: if
the composite A → B → C is a flat morphism of commutative rings, and if B isfinite étale over A, then B → C is also flat.
Lemma 5.3.17. Let A be an associative K-algebra, and let B be an extensionof A, satisfying the following hypotheses:(i) There exists an element x ∈ B such that B is generated as a ring by A
together with x.
(ii) There is a unit a ∈ A× such that xn = a.
(iii) The element x of B (which is a unit of B, by (ii)) normalizes A; that is,
xAx−1 = A.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 107

If C is an extension of B that is flat as a left (respectively right) A-module, thenC is flat as a left (respectively right) B-module.
Proof. If M is a right B-module, then we define a C-linear automorphism σ ofM ⊗A C as follows:σ(m ⊗ c) = mx−1 ⊗ xc.
The formation of σ is evidently functorial in M . It follows from hypothesis (iii) in
the statement of the lemma that σ is well-defined, and hypothesis (ii) implies that
σ n = 1. Hypothesis (i) implies that M ⊗B C is isomorphic to the coinvariants of
M ⊗A C with respect to the cyclic group hσi generated by σ.
Suppose that C is flat as a left A-module. Since passing to hσi-coinvariants isexact (as K is of characteristic zero), we see that the formation of M ⊗B C is anexact functor of M . Thus C is also flat as a left B-module.
The case when C is flat as a right A-module is proved by an analogous argument. 
Proposition 5.3.18. Let H be a good analytic open subgroup of G, obtained byexponentiating a Lie sublattice h of g such that [h, h] ⊂ ah, where ap−1 ∈ pOL ,and suppose that K is discretely valued. If 0 < r < 1 lies in |L× |, and if m
is a sufficiently large natural number, then the map (5.3.16) factors through thenatural map Dan (H◦ , K)(m) → Dan (H◦ , K), and the resulting map D(H◦r , H ◦ ) →Dan (H◦ , K)(m) is flat.
Proof. The ring D(H◦r , H ◦ ) is free of finite rank as a Dan (H◦r , K)-module (on eitherside), and so in particular is finitely generated as a ring over Dan (H◦r , K). Since
Dan (H◦ , K) is the inductive limit of its subrings Dan (H◦ , K)(m) , and since, by
proposition 5.3.13, the image of the restriction of (5.3.16) to Dan (H◦r , K) lies in
Dan (H◦ , K)(m) for some sufficiently large value of m, we see that D(H◦r , H ◦ ) also
maps into Dan (H◦ , K)(m) for some (possibly larger) value of m.
Again by proposition 5.3.13, the composite of the sequence of maps
Dan (H◦r , K) → D(H◦r , H ◦ ) → Dan (H◦r , K)(m)is flat. Our goal is to show that the second of these maps is flat.
Since H ◦ is a pro-p-group containing Hr◦ as a normal open subgroup, we mayfind a filtration by normal subgroups
Hr◦ = G0 ⊂ G1 ⊂ · · · ⊂ Gn = H ◦ ,such that each quotient Gi+1 /Gi is cyclic. For each i ≥ 0, let D(H◦r , Gi ) denote thedual to the space C(Gi , K)H◦r −an , equipped with its natural ring structure. For eachvalue of i, the inclusion D(H◦r , Gi ) ⊂ D(H◦r , Gi+1 ) then satisfies the hypothesis of
the inclusion A ⊂ B of lemma 5.3.17. Taking Dan (H◦r , K)(m) to be the ring C ofthat lemma, and arguing by induction, starting from the case i = 0 (and notingthat D(H◦r , G0 ) = D(H◦r , Hr◦ ) = Dan (H◦r , K)) we find that Dan (H◦r , K)(m) is flatover D(H◦r , Gn ) = D(H◦r , H ◦ ), as required. 
We next use the preceding results to give a new proof of [27, thm. 5.1], after
first introducing one more piece of notation: we put ourselves in the context ofproposition 5.3.18, and for any 0 < r < 1 lying in |L× |, and any m ≥ 1, we writeM∼
D(H◦r , H ◦ )(m) := K[H ◦ ] ⊗K[Hr◦ ] Dan (H◦r , K)(m) −→δh ∗ Dan (H◦r , K)(m) .
h∈H ◦ /Hr◦

108

MATTHEW EMERTON(Thus D(H◦r , H ◦ )(m) stands in the same relation to Dan (H◦r , K)(m) as D(H◦r , H ◦ )does to Dan (H◦r , K).) Since H ◦ normalizes H◦r , there is a K-algebra structure onD(H◦r , H ◦ )(m) , and it thus a K-Banach algebra. (Another way to describe thisK-algebra structure is to note that the continuous injection Dan (H◦r , K)(m) →Dan (H◦r , K) extends to a continuous injection D(H◦r , H ◦ )(m) → D(H◦r , H ◦ ), whose
image is a K-subalgebra of D(H◦r , H ◦ ). We may then pull back the K-algebra structure on the image to obtain a K-algebra structure on D(H◦r , H ◦ )(m) .)Corollary 5.3.19. If K is discretely valued, and if H is a compact open subgroupof G, then the nuclear Fréchet algebra Dla (H, K) is a Fréchet-Stein algebra.
Proof. It suffices to verify this after replacing H by any open subgroup. (Compare
the second half of the argument in step 1 of the proof of [27, thm. 5.1].) Let h be a
OL -Lie sublattice of g that exponentiates to a good analytic open subgroup of G,
whose L-valued points are contained in H. Replacing h by ah for an appropriate
choice of a ∈ OL , we may furthermore assume (if it is not already true) that[h, h] ⊂ ah, where ap−1 ∈ pOL . If we now let H denote the L-valued points ofthe good analytic open subgroup H obtained by exponentiating h, then it suffices
to show that Dla (H, K) is a Fréchet-Stein algebra. In fact, since H ◦ is an open
subgroup of H, it suffices to show that Dla (H ◦ , K) is a Fréchet-Stein algebra, andthis is what we shall do.
Choose α ∈ L× such that r := |α| < 1. Consider the decreasing sequence{H◦rn }n≥0 of affinoid subgroups of H. Fix a value of n, and apply proposition 5.3.18
to the inclusion H◦rn+1 → H◦rn . We see that we may find an integer mn such thatthe map D(H◦rn+1 , Hr◦n ) → Dan (H◦rn , K) factors asD(H◦rn+1 , Hr◦n ) → Dan (H◦rn , K)(mn ) → Dan (H◦rn , K),
in which both arrows are flat, with dense image. (The flatness of the first arrow is the conclusion of proposition 5.3.18; that of the second arrow follows frompropositions 5.2.6 and 5.3.11. To see that each arrow has dense image, note that
U (g) is a subalgebra of Dan (H◦rn+1 , K), and hence of D(H◦rn+1 , Hr◦n ), and is densein each of Dan (H◦rn , K)(mn ) and Dan (H◦rn , K).) Tensoring with D(H◦rn+1 , H ◦ ) overD(H◦rn+1 , Hr◦n ), we obtain the sequence of continuous homomorphisms of topological K-algebras(5.3.20)

D(H◦rn+1 , H ◦ ) → D(H◦rn , H ◦ )(mn ) → D(H◦rn , H ◦ ),each being flat with dense image.
∼
If we now allow n to vary, and take into account the isomorphism Dla (H ◦ , K) −→◦◦D(Hrn , H ) established in the course of proving proposition 5.3.1, as well as the
lim
←−
n

sequences of flat maps provided by (5.3.20), we obtain an isomorphism∼

Dla (H ◦ , K) −→ limD(H◦rn , H ◦ )(mn ) .
←−nThis isomorphism describes Dla (H ◦ , K) as the projective limit of Noetherian Banach algebras related by transition maps that are flat with dense image, and soestablishes that it is a Fréchet-Stein algebra. In fact, we will require a more general result than the preceding corollary.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 109

Definition 5.3.21. Assume that K is discretely valued, and let A → B be a flat
morphism of commutative Noetherian Banach algebras. A good integral model forthis morphism consists of a p-adically complete Noetherian OK -algebra A, and afinite type A-algebra B such that the induced map K ⊗OK A → K ⊗OK B is an∼∼
isomorphism, together with isomorphisms K ⊗OK A −→ A and K ⊗OK B̂ −→ B
(where B̂ denotes the p-adic completion of B), such that the resulting diagram
K ⊗OK A∼/ K ⊗OK B∼/ K ⊗O B̂
K
∼


/B


A
commutes.

For example, if X → Y is an open immersion of rigid analytic spaces over K,then the induced map C an (Y, K) → C an (X, K) admits a good integral model in thesense of definition 5.3.21, as follows from [4, Lem. 5.7].3
Proposition 5.3.22. Suppose that K is discretely valued. If H is a compact open
subgroup of G, and if A is a commutative Fréchet-Stein algebra over K which∼
possesses a Fréchet-Stein structure A −→ lim
An with the property that each of←−nthe transition maps An+1 → An admits a good integral model (in the sense ofˆ K Dla (H, K) is again adefinition 5.3.21), then the completed tensor product A ⊗Fréchet-Stein algebra.
Proof. As in the proof of corollary 5.3.19, we may assume that H is a good analytic
open subgroup of G obtained by exponentiating a Lie sublattice h of g such that[h, h] ⊂ ah, where ap−1 ∈ pOL . For each n ≥ 1, let An+1 → Bn be a good integral
model for the transition map An+1 → An ; i.e. An+1 is a Noetherian p-adicallycomplete OK -algebra, Bn is a finite type An+1 -algebra, and, letting B̂n denotethe p-adic completion of Bn , the base-change to K over OK of the induced map
An+1 → B̂n recovers the transition map An+1 → An .
Fix an element 0 < r < 1 of |L× |. We may apply arguments analogous tothose used to prove propositions 5.3.11, 5.3.13, and 5.3.18, with U (g) replaced by∼
An+1 ⊗K U (g) −→ An+1 ⊗OK U (g), and with all of the various OK -subalgebras of
U (g) replaced by the corresponding An+1 -subalgebras. In this way we deduce that
if mn is sufficiently large, then for any m0 ≥ mn , the natural map
00ˆ K D(H◦rn+1 , H ◦ )(m ) → An+1 ⊗ˆ K D(H◦rn , H ◦ )(m )An+1 ⊗
factors through the map0ˆ K D(H◦rn , H ◦ )(mn ) → An+1 ⊗ˆ K D(H◦rn , H ◦ )(m ) ,An+1 ⊗
3 More precisely, this result shows that we may find affine formal models X and Y for X andY, an admissible formal blowing-up Ỹ of Y, and an open immersion X → Ỹ, which induces thegiven open immersion X → Y on rigid analytic generic fibres. If we write Y = Spf A, then the
open formal subscheme X of Ỹ is equal to Spf B̂, where B̂ is the p-adic completion of some finite∼
type A-algebra B with the property that K ⊗OK A −→ K ⊗OK B.

110

MATTHEW EMERTON

and that furthermore, the resulting map
0ˆ K D(H◦rn+1 , H ◦ )(m ) → An+1 ⊗ˆ K D(H◦rn , H ◦ )(mn ) ,An+1 ⊗
is flat.
ˆ OK A(mn ) (rn ) to denote the p-adic completion of An+1 ⊗OK
If we write An+1 ⊗(mn ) nˆ OK A(mn ) (rn ) is NoeA(r ), then the same arguments also prove that An+1 ⊗(mn ) n(mn )therian. (Here A(r ) is defined in analogy to A
, but with Hrn in placeˆ OK A(mn ) (rn )of H.) Since Bn is finite type over An+1 , we find that Bn ⊗An+1 An+1 ⊗is Noetherian. Thus the same is true of its p-adic completion, and furthermore, themap from this OK -algebra to its p-adic completion is flat. Clearly this p-adic comˆ An+1 A(mn ) (rn ) (the p-adic completion of B̂n ⊗An+1
pletion is isomorphic to B̂n ⊗(mn ) nˆ OK A(mn ) (rn ) andA(r )), and so we conclude that each of Bn ⊗An+1 An+1 ⊗ˆ An+1 A(mn ) (rn ) is Noetherian, and that the latter is flat over the former.
B̂n ⊗ˆ K Dan (H◦rn , K)(mn ) andTensoring with K over OK , we find that each of An+1 ⊗
an
◦
(m
)
n
ˆ K D (Hrn , K)
An ⊗is Noetherian, and that the latter is flat over the former.
ˆ K D(H◦rn , H ◦ )(mn ) andTensoring with K[H ◦ ] over K[Hr◦n ], we find that An+1 ⊗
◦
◦
(m
)
n
ˆ K D(Hrn , H )An ⊗are each Noetherian, and that the latter is flat over the former. Combining this with the result of the preceding paragraph, taking m0 = mn+1 ,we find that the map
ˆ K D(H◦rn+1 , H ◦ )(mn+1 ) → An ⊗
ˆ K D(H◦rn , H ◦ )(mn )An+1 ⊗
is a continuous flat map of Noetherian K-Banach algebras. It also has dense image,since this is true of each of the maps An+1 → An and D(H◦rn+1 , H ◦ )(mn+1 ) →D(H◦rn , H ◦ )(mn ) separately. The isomorphism∼

ˆ Dla (H ◦ , K) −→ lim An ⊗
ˆ K D(Hr◦n , H ◦ )(mn )A⊗←−nˆ Dla (H ◦ , K), proving the proposithus exhibits a Fréchet-Stein structure on A ⊗tion. If X is a quasi-Stein rigid analytic space over K, then the remark following
definition 5.3.21 shows that the Fréchet-Stein algebra A := C an (X, K) satisfies thecondition of proposition 5.3.22.
Chapter 6. Admissible locally analytic representations
6.1. Admissible locally analytic representations
Fix a locally L-analytic group G. In this section we introduce the notion of anadmissible locally analytic G-representation.
Definition 6.1.1. Let V be a locally analytic representation of G. We say that
V is admissible if it an LB-space, and if for a cofinal sequence of analytic open
subgroups H of G, the space (VH−an )0 is finitely generated as a left Dan (H, K)module.
Note that if V is an LB-space, then corollary 3.3.21 implies that VH−an is also
an LB-space, and so theorem 5.1.15 (ii) implies that (VH−an )0 is finitely generated

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 111

as a Dan (H, K)-module if and only if the space VH−an of H-analytic vectors admits
a closed embedding into C an (H, K)n for some natural number n.
We will show below that a locally analytic G-representation V is admissible if
and only if Vb0 is a coadmissible topological Dla (H, K) for one (or equivalently any)
analytic open subgroup H of G. This will show that our definition of an admissible
locally analytic representation of G is equivalent to that of [27, def., p. 33].
Proposition 6.1.2. If V is an admissible locally analytic representation of G then(VH−an )0 is finitely generated as a left Dan (H, K)-module for every analytic open
subgroup H of G. In particular, for every such H, the space VH−an is a Banach
space.
Proof. Let H be an analytic open subgroup of G. By assumption we may findan analytic open subgroup H 0 ⊂ H such that VH0 0 −an is finitely generated overDan (H0 , K), or equivalently, by the remarks following definition 6.1.1, such that
there is an H 0 -equivariant closed embedding VH0 −an → C an (H0 , K)n for some natural
number n.
We now construct a closed embedding0∼0

VH−an = C an (H, V )∆1,2 (H) → C an (H, V )∆1,2 (H ) −→ C an (H, VH0 −an )∆1,2 (H )0∼

→ C an (H, C an (H0 , K)n )∆1,2 (H ) −→ C an (H, K)n .
(Here the isomorphisms are provided by lemmas 3.3.9 and 3.3.11 respectively.) The
existence of this closed embedding in turn implies that (VH−an )0 is finitely generated
over Dan (H, K), as required. 
Proposition 6.1.3. If V is an admissible locally analytic representation of G thenV is of compact type.
Proof. Replacing G by a compact open subgroup of itself if necessary, we assume
that G is compact. Let {Hm }m≥1 be a cofinal sequence of normal analytic open
subgroups of G, chosen so that the rigid analytic map Hm+1 → Hm is relatively
compact (in the sense
Q of definition 2.1.15) for each m ≥ 1. Fix one such value of m,
and write Hm = i∈I hi Hm+1 . Proposition 6.1.2
Q yields an Hm -equivariant closed
embedding of K-Banach spaces VHm+1 −an → i∈I C an (hi Hm+1 , K)n for some n.
Passing to Hm -analytic vectors and applying proposition 3.3.23 yields a Cartesian
diagram/ C an (Hm , K)n
VHm −an
VHm+1 −an
/

Q

i∈I C

an


(hi Hm+1 , K)nin which the horizontal arrows are closed embeddings. Since the right-hand verticalarrow is compact, by proposition 2.1.16, and since the horizontal arrows are closed∼
embeddings, we see that the left-hand vertical arrow is also compact. Thus Vla −→lim
VHm −an is of compact type. From theorem 3.6.12 we conclude that the natural−→nmap Vla → V is a topological isomorphism, and thus that V is of compact type.



112

MATTHEW EMERTON

Proposition 6.1.4. If V is an admissible locally analytic representation of G and
W is a G-invariant closed subspace of G then W is an admissible locally analytic
representation of G.
Proof. Proposition 6.1.3 shows that V is of compact type, and thus that W is alsoof compact type. In particular, W is an LB-space, and thus barrelled, and so
proposition 3.6.14 shows that W is locally analytic.
Let H be an analytic open subgroup of G. Proposition 6.1.2 shows that VH−an
is a Banach space, and so proposition 3.3.23 shows that the natural map WH−an →00
VH−an is a closed embedding. Hence WH−an
is a quotient of VH−an, and so is finitelyan0generated over D (H, K) (since this is true of VH−an by assumption). 
Proposition 6.1.5. If V is an admissible locally analytic representation of G and
W is a finite dimensional locally analytic representation of G then the tensor product
V ⊗K W is again an admissible locally analytic representation of G.
Proof. From corollary 3.6.16 we conclude that V ⊗K W is a locally analytic representation of G. By assumption V is an LB-space and W is finite dimensional, andso their tensor product is clearly also an LB-space.
Since W is finite dimensional we may find an analytic open subgroup H of G suchthat W is an H-analytic representation of H. If H 0 is an analytic open subgroup of∼
H then proposition 3.6.6 yields an isomorphism (V ⊗K W )H0 −an −→ VH0 −an ⊗K W.
0
Proposition 6.1.2 yields an H -equivariant closed embedding VH0 −an → C an (H0 , K)nfor some n, and thus we obtain a closed embedding VH0 −an ⊗K W → C an (H0 , K)n ⊗K
W (both source and target being equipped with the diagonal action of G). The
remark following the proof of lemma 3.6.4 yields a G-equivariant isomorphism∼
C an (H0 , K)n ⊗K W −→ C an (H0 , K)n ⊗K W, in which the source is equipped withthe diagonal action of G, and the target is equipped with the tensor product of theright regular G-action on C an (H0 , K)n and the trivial G-action on W . Thus, if ddenotes the dimension of W , we obtain altogether a G-equivariant closed embedding (V ⊗K W )H0 −an → C an (H0 , K)nd . This shows that V ⊗K W is admissible, as
required. 
Lemma 6.1.6. If V is an admissible locally analytic representation of G, then forany good analytic open subgroup H of G (in the sense of section 5.2), the space
VH◦ −an of H◦ -analytic vectors in V is a nuclear Fréchet space.
S∞
Proof. Write H◦ = n=1 Hrn , where {rn }n≥1 is a strictly increasing sequence of×
real numbers belonging to |L | and converging to 1 from below. Then {Hrn }n≥1
is an increasing sequence of analytic open subgroups, with the property that eachof the maps Hrn → Hrn+1 is relatively compact,
In the course of proving proposition 6.1.3, it was observed that each of the maps
VHrn+1 −an → VHrn −an is compact. Passing to the projective limit over n, we findthat VH◦ −an = lim
VHrn −an is a projective limit of a sequence of Banach spaces with←−ncompact transition maps, and so is a nuclear Fréchet space. 
Proposition 6.1.7. If V is a locally analytic representation of G on an LB-space,then the following are equivalent.
(i) V is an admissible locally analytic representation.
(ii) For every good analytic open subgroup H of G, there exists a natural numbern and an H ◦ -equivariant closed embedding VH◦ −an → C an (H◦ , K)n . (Here we areLOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 113

using the notation related to good analytic open subgroups that was introduced in
section 5.2.)(iii) For a cofinal sequence of good analytic open subgroups H of G, there exists anatural number n and an H ◦ -equivariant closed embedding VH◦ −an → C an (H◦ , K)n .
Proof. Suppose first that V is admissible, and that H is a good
S∞analytic open
subgroup of G. As in the proof of lemma 6.1.6, we write H◦ = n=1 Hrn , where×{rn }n≥1 is a strictly increasing sequence of real numbers belonging to |L | andconverging to 1 from below. Since each Hrn is normalized by H, it follows that if
V is an H-representation, then for each value of n, the space VHrn −an is naturally
an H-representation, and so in particular, an H ◦ -representation.
From proposition 6.1.2 we deduce the existence of an Hr1 -equivariant closed
embedding VHr1 −an → C an (Hr1 , K)m for some natural number m. Since H ◦ normalizes Hr1 , this embedding lifts to an H ◦ -equivariant closed embedding VHr1 −an →◦C(H ◦ , K)m
Hr1 −an . Passing to H -analytic vectors, and appealing to propositions 3.4.4◦
and 3.4.10, we obtain an H -equivariant closed embedding(6.1.8)(VHr1 −an )H◦ −an → (C(H ◦ , K)m
Hr1 −an )H◦ −an .

Proposition 3.4.12 (and the fact that V is assumed to be an LB-space) implies
that the natural map (VHr1 −an )H◦ −an → VH◦ −an is an isomorphism. Similarly, the◦mnatural map (C(H ◦ , K)m
Hr1 −an )H◦ −an → C(H , K)H◦ −an is an isomorphism. Thus◦
we may rewrite (6.1.8) as an H -equivariant closed embedding(6.1.9)∼an◦m
VH◦ −an → C(H ◦ , K)mH◦ −an −→ C (H , K)(the isomorphism being provided by proposition 3.4.11). Since H was an arbitrary
good analytic open subgroup of G, we find that (i) implies (ii).
It is obvious that (ii) implies (iii), and so we turn to showing that (iii) implies (i).
Suppose that H is a good analytic open subgroup of G for which we have a H ◦ equivariant closed embedding VH◦ −an → C an (H◦ , K)m for some natural number m.
Since H acts on the source (a consequence of the fact that H normalizes H◦ ) thislifts to an H-equivariant closed embedding VH◦ −an → C(H, K)mH◦ −an . Passing toH-analytic vectors, and appealing to Propositions 3.3.18 and 3.3.23, we obtain aclosed H-equivariant embedding(6.1.10)(VH◦ −an )H−an → (C(H, K)H◦ −an )mH−an .

A consideration of propositions 3.3.7 and 3.4.14 shows that the natural map
C an (H, K)m → C(H, K)mH◦ −aninduces an isomorphism∼

C an (H, K)m −→ (C(H, K)mH◦ −an )H−an ,while proposition 3.4.14 also implies that the natural map (VH◦ −an )H−an → VH−an
is an isomorphism. Thus (6.1.10) can be rewritten as a closed embedding VH−an →C an (H, K)m . Since H was one of a cofinal sequence of analytic open subgroups of

114

MATTHEW EMERTON

G, we see that V satisfies the conditions of definition 6.1.1, and so is an admissible
representation of G. 
Let H be a good
S∞ analytic open subgroup of∼G. If asanin the proof of lemma 6.1.6
we write H◦ = n=1 Hrn , then Dan (H◦ , K)b −→ lim
D (Hrn , K)b . As observed in−→nsection 5.2, Dan (H◦ , K)b is a naturally a topological K-algebra of compact type.
Suppose now that V is an admissible locally analytic representation of G. As
VHn −an is a proobserved in the proof of lemma 6.1.6, we see that VH◦ −an = lim←−njective limit of Banach spaces with compact transition maps. Passing to duals,(VHn −an )0b . Corollary 5.1.8 shows that for each n, thewe find that (VH◦ −an )0b = lim−→nBanach space (VHn −an )0b is a left Dan (Hn , K)b -module, and that the multiplication
map Dan (Hn , K)b × (VHn −an )0b → (VHn −an )0b is jointly continuous. Passing to the
locally convex inductive limit in n, we obtain a map(6.1.12)Dan (H◦ , K)b × (VH◦ −an )0b → (VH◦ −an )0b ,which makes (VH◦ −an )0b a left Dan (H◦ , K)-module, and which is a priori separately
continuous. Since each of Dan (H◦ , K)b and (VH◦ −an )0b is of compact type, it follows
from proposition 1.1.31 that in fact this map is jointly continuous, that is, that
(VH◦ −an )0b is a topological Dan (H◦ , K)b -module.
Lemma 6.1.13. If V is an admissible locally analytic G-representation, and if
H is a good analytic open subgroup of G, then the topological Dan (H◦ , K)b -module(VH◦ −an )0b is finitely generated (in the sense of definition 1.2.1 (iii)).
Proof. Dualizing the H ◦ -equivariant closed embedding VH◦ −an → C an (H◦ , K)m of0part (ii) of proposition 6.1.7 yields a surjection Dan (H◦ , K)mb → (VH◦ −an )b . Since
this is a surjection of spaces of compact type, it is an open map, and so (VH◦ −an )0b
is finitely generated in the strict sense of definition 1.2.1 (iii). 
Suppose now that J ⊂ H is an inclusion of good analytic open subgroups of G,
with the property that H ◦ normalizes J◦ . Lemma 6.1.13 shows that the spaces(VH◦ −an )0b and (VJ◦ −an )0b are modules over the convex K-algebras Dan (H◦ , K)b andDan (J◦ , K)b , respectively. Let us simplify our notation a little, and denote these
topological rings by D(H◦ ) and D(J◦ ), respectively. The inclusion J◦ → H◦ induces
a continuous ring homomorphism D(J◦ ) → D(H◦ ).
There is another ring that we will need to consider. We let D(J◦ , H ◦ ) denote thestrong dual to the space C(H ◦ , K)J◦ −an . The natural continuous map C an (H◦ , K) →C(H ◦ , K)J◦ −an has dense image, and so induces a continuous injection D(J◦ , H ◦ ) →D(H ◦ ). The image of this injection is easily checked to be a K-subalgebra of D(H ◦ ),and we define a K-algebra structure on D(J◦ , H ◦ ) by requiring that this injection
be a K-algebra homomorphism. In this way D(J◦ , H ◦ ) becomes a topological K∼
algebra (as one checks). The restriction map C(H ◦ , K)J◦ −an → C(J ◦ , K)J◦ −an −→an ◦C (J , K) (the isomorphism is provided by proposition 3.4.5) yields a closed embedding of topologicalrings D(J◦ ) → D(J◦ , H ◦ ), and one immediately sees that
L◦◦
D(J , H ) = h∈H ◦ /J ◦ D(J◦ ) ∗ δh . (As indicated, the direct sum ranges over a setof coset representatives of J ◦ in H ◦ .) (The notions introduced in this paragraphare similar to those introduced in the proof of proposition 5.3.1.)

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 115

Since H ◦ normalizes J◦ , there is a natural action of H ◦ on VJ◦ −an , and hence theD(J◦ )-module structure on (VJ◦ −an )0b extends in a natural fashion to a D(J◦ , H ◦ )module structure. The continuous H-equivariant injection VH◦ −an → VJ◦ −an induces a continuous map(6.1.14)(VJ◦ −an )0b → (VH◦ −an )0b ,which is compatible with the natural map D(J◦ , H ◦ ) → D(H◦ ) and the topological module structures on its source and target. The map (6.1.14) thus induces acontinuous map of D(H◦ )-modules(6.1.15)

ˆ D(J◦ ,H ◦ ) (VJ◦ −an )0b → (VH◦ −an )0b .
D(H◦ ) ⊗The following result deals with a more general situation.
Proposition 6.1.16. If M is a Hausdorff convex K-vector space of compact typeequipped with a finitely generated topological D(J◦ , H ◦ )-module structure, then there
is a natural H ◦ -equivariant isomorphism∼

ˆ D(J◦ ,H ◦ ) M )0b −→ (Mb0 )H◦ −an .
(D(H◦ ) ⊗Proof. Since M is of compact type, its strong dual Mb0 is a nuclear Fréchet space.
Corollary 3.4.5 thus implies that there is a natural isomorphism(6.1.17)∼
ˆ K Mb0 )∆1,2 (H ) .
(Mb0 )H◦ −an −→ (C an (H◦ , K) ⊗◦Proposition 1.2.5, and the fact that compact type spaces are hereditarily complete, implies that the tensor product(6.1.18)

ˆ D(J◦ ,H ◦ ) M
D(H◦ ) ⊗is the quotient of the tensor product D(H◦ ) ⊗K M by the closure of its subspacespanned by expressions of the form µ ∗ ν ⊗ m − µ ⊗ ν ∗ m, with µ ∈ D(H◦ ),ν ∈ D(J◦ , H◦ ), and m ∈ M . Since the delta functions δh , for h ∈ H ◦ , span astrongly dense subspace of D(J◦ , H ◦ ) (see the discussion following definition 2.2.3),
we see that (6.1.18) can also be described as the quotient of D(H◦ ) ⊗K M by theclosure of its subspace spanned by expressions of the form µ ∗ δh ⊗ m − µ ⊗ δh ∗ m,with µ ∈ D(H◦ ), h ∈ H ◦ , and m ∈ M .
This description of (6.1.18), together with proposition 1.1.32 (ii), implies that
there is a natural isomorphism∼
ˆ D(J◦ ,H ◦ ) M )0b −→ˆ K Mb0 )∆1,2 (H ) .
(D(H◦ ) ⊗(C an (H◦ , K) ⊗◦Thus (6.1.17) yields the required isomorphism. Corollary 6.1.19. The morphism (6.1.15) is a topological isomorphism.
∼ˆ D(J◦ ,H ◦ ) (VJ◦ −an )0b )0b −→Proof. Proposition 6.1.16 yields an isomorphism (D(H◦ ) ⊗(VJ◦ −an )H◦ −an . By corollary 3.4.15, the natural map (VJ◦ −an )H◦ −an → VH◦ −an is an
isomorphism. It is easily checked that dualizing the composite of these two isomorphisms yields the map (6.1.15). Thus this map is an isomorphism, as claimed. 

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MATTHEW EMERTON

Theorem 6.1.20. Let H be a good analytic open subgroup of G. Passage to thedual induces an anti-equivalence of categories between the category of admissible locally analytic H ◦ -representations (with morphisms being continuous H ◦ -equivariantmaps) and the category of coadmissible locally convex topological modules over the
weak Fréchet-Stein algebra Dla (H ◦ , K)b .
Proof. Suppose first that V is equipped with an admissible locally analytic representation of H ◦ . Let {rn } be a strictly decreasing sequence of real numbers lying in
the open interval between 0 and 1, converging to 0 from above, and such that each×∼∼
VH◦rn −an , and so Vb0 −→ lim(VH◦rn −an )0b . In the proof ofrn ∈ |L |. Then V −→ lim
−→
←−
n

n

∼

proposition 5.3.1, it is proved that the isomorphism Dla (H ◦ , K) −→ limD(H◦rn , H ◦ )←−nexhibits Dla (H ◦ , K) as a weak Fréchet-Stein algebra. We will show that Vb0 is coadmissible with respect to this weak Fréchet-Stein structure.
For each n ≥ 1, lemma 6.1.13 shows that VH◦rn −an is finitely generated overD(H◦rn ), and so in particular over D(H◦rn , H ◦ ), while corollary 6.1.19 yields an∼ˆ D(H◦ ,H ◦ ) (VH◦ −an )0b −→isomorphism D(H◦rn , H ◦ ) ⊗(VH◦rn −an )0b . Thus the prorn+1
rn+1
jective system {VH◦rn −an }n≥1 satisfies the conditions of definition 1.2.8, showingthat Vb0 is a coadmissible Dla (H ◦ , K)-module.
Conversely, suppose that M = lim
Mn is a coadmissible Dla (H ◦ , K)-module, so←−nthat Mn is a Hausdorff finitely generated locally convex D(H◦rn , H ◦ )-module, foreach n ≥ 1. For each such value of n, we obtain a surjection of spaces of compact
type D(H◦rn , H ◦ )m → Mn , for some natural number m. Dualizing this yields a. Passing toclosed embedding of nuclear Fréchet spaces (Mn )0b → C(H ◦ , K)mH◦
rn −anHrn -analytic vectors, and applying propositions 3.3.23 and 3.4.14 we obtain a closed
embedding((Mn )0b )Hrn −an → C(H ◦ , K)m
Hrn −an .

(6.1.21)

Condition (ii) of definition 1.2.8, together with proposition 6.1.16, yields, for each∼n ≥ 1, a natural isomorphism (Mn )0b −→ ((Mn+1 )0b )H◦rn −an . Passing to Hrn -analytic
vectors, and applying proposition 3.4.14, we obtain an isomorphism∼((Mn )0b )Hrn −an −→ ((Mn+1 )0b )Hrn −an .
∼(Mn )0b , we deduce that the natural map
Since Mb0 −→ lim−→n((Mn )0b )Hrn −an → (Mb0 )Hrn −an
is an isomorphism. In light of the closed embedding (6.1.21), we conclude that Mb0
is an admissible locally analytic H ◦ -representation, as claimed. 
The next result shows that our definition of an admissible locally analytic representation of G agrees with that of [27, p. 33].
Corollary 6.1.22. If G is a locally L-analytic group, and if V is a convex K-vector
space of compact type equipped with a locally analytic representation of G, then V
is admissible if and only if Vb0 is a coadmissible module with respect to the natural

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 117

Dla (H, K)-module structure on V 0 , for some (or equivalently, every) compact open
subgroup H of G.
Proof. Let J be a good analytic open subgroup of G contained in H. The algebra Dla (H, K) is free of finite rank (on both sides) over Dla (J ◦ , K), and so Vb0 is
coadmissible as a Dla (H, K)-module if and only if it is so as a Dla (J ◦ , K)-module.
Similarly, V is an admissible locally analytic G-representation if and only if it isan admissible locally analytic J ◦ -representation. The corollary thus follows fromtheorem 6.1.20. 
The following result is a restatement of [27, prop. 6.4].
Corollary 6.1.23. If G is a locally L-analytic group, and if K is discretely valued,
then the category of admissible locally analytic G-representations and continuous
G-equivariant morphisms is closed under passing to closed subobjects and Hausdorff quotients. Furthermore, any morphism in this category is necessarily strict.
Consequently, this category is abelian.
Proof. This is a consequence of theorem 6.1.20 and corollary 5.3.19, together withthe general properties of coadmissible modules over Fréchet-Stein algebras that aresummarized in theorem 1.2.11 and the remarks that follow it. 
6.2. Strongly admissible locally analytic representations and admissible
continuous representations
The following class of locally analytic representations was introduced by Schneider and Teitelbaum in [23].
Definition 6.2.1. A locally analytic representation V of G is called strongly admissible if V is a complete LB-space, and if its dual space V 0 is finitely generated
as a left Dla (H, K)-module for one (and hence every) compact open subgroup H of
G.
Note that theorem 5.1.15 (iii) implies that a locally analytic representation of G
on a complete LB-space V satisfies the condition of definition 6.2.1 if and only if
V admits a closed embedding into C la (H, K)n for some natural number n, and one(or equivalently, every) compact open subgroup of G. In particular, any such V isnecessarily of compact type.
We also remark that the strongly admissible locally analytic representations of
G are precisely the continuous duals of those Dla (H, K)-modules which are analytic
in the sense of [24, p. 112].
Proposition 6.2.2. If V is a strongly admissible locally analytic representationof G, then V is admissible.
Proof. Since V is strongly admissible, it is an LB-space by assumption. If H is ananalytic open subgroup of G then by assumption we may find a surjection of left
Dla (G, K)-modules Dla (G, K)n → V 0 for some natural number n, which by theorem 3.3.1 arises by dualizing a G-equivariant closed embedding V → C la (G, K)n .
Passing to H-analytic vectors and applying proposition 3.3.23 and corollary 3.3.26
we obtain an H-equivariant closed embedding VH−an → C an (H, K)n . It follows that
(VH−an )0 is finitely generated as a left Dan (H, K)-module. A basic method for producing strongly admissible locally analytic representationsof G is by passing to the locally analytic vectors of continuous representations in G

118

MATTHEW EMERTON

that satisfy the admissibility condition introduced in [25]. We begin by reminding
the reader of that definition.
Proposition-Definition 6.2.3. A continuous G-action on a Banach space V is
said to be an admissible continuous representation of G (or an admissible Banach
space representation of G) if V 0 is finitely generated as a left D(H, K)-module forone (and hence every) compact open subgroup H of G. (This is equivalent, by theorem 5.1.15 (i), to the existence of a closed H-equivariant embedding V → C(H, K)nfor some n ≥ 0.)
Proof. We must check that the definition is independent of the choice of compact
open subgroup H of G. This follows immediately from the fact that if`H1 ⊂ H2 isan inclusion of compact open subgroups of H, and if we write
L H2 = hi H1 as afinite disjoint union of right H1 cosets, then D(H2 , K) =D(H1 , K)δhi , and soD(H2 , K) is finitely generated as a left D(H1 , K)-module. 
Note that in [25], the authors restrict their attention to the case of local K. In
this case, it follows from [25, lem. 3.4] that definition 6.2.3 agrees with the notionof admissibility introduced in that reference. (See also proposition 6.5.7 below.)
Proposition 6.2.4. If V is a Banach space equipped with an admissible continuous
representation of G then Vla is a strongly admissible locally analytic representationof G.
Proof. Since V is a Banach space, proposition 3.5.6 implies that Vla is an LB-space.
By assumption, we may find a surjection D(H, K)n → V 0 for some natural number n and some compact open subgroup H of G, and so a closed H-equivariant
embedding V → C(H, K)n . Now by proposition 3.5.11 there is an isomorphism∼
C(H, K)la −→ C la (H, K). Since C la (H, K) is of compact type, we obtain by proposition 3.5.10 a closed embedding Vla → C la (H, K)n . Dualizing this yields a surjection
Dla (H, K)n → (Vla )0 , proving that Vla is strongly admissible. 
When K is local, the preceding result was established by Schneider and Teitelbaum [27, thm. 7.1]. (As was noted in the remark following the proof of theorem 3.5.7, the topology with which these authors equip Vla is a priori coarser than
the topology with which we equip that space. In the case of V being an admissible
continuous representation, however, both topologies are of compact type, since theyeach underly a strongly admissible locally analytic representation of G. Thus the
topologies coincide.)
The remainder of this section is devoted to establishing some fundamental properties of admissible continuous G-representations. In the local case, all these results(other than propositions 6.2.6 and 6.2.7) are contained in [25]. Using a little morefunctional analysis, we are able to extend these results to the case where K is
discretely valued.
In fact, the first three results require no additional assumption on K at all.
Proposition 6.2.5. If V is a K-Banach space equipped with an admissible continuous representation of G and W is a closed G-invariant K-subspace of V , thenthe continuous G-representation on W is also admissible.
Proof. This follows immediately from the fact that W 0 is a quotient of V 0 . 

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 119

Proposition 6.2.6. If V is a K-Banach space equipped with an admissible continuous representation of G and W is a finite dimensional continuous representation of
G then V ⊗K W, equipped with the diagonal action of G, is an admissible continuous
representation of G.
Proof. Replacing G by a compact open subgroup if necessary, we may assume that
G is compact and that there is a closed G-equivariant embedding V → C(G, K)nfor some n ≥ 0. Tensoring with W over K yields a closed embedding V ⊗K W →C(G, K)n ⊗K W. The remark following the proof of lemma 3.2.11 shows that there∼
is a natural isomorphism C(G, K)n ⊗K W −→ C(G, K)n ⊗K W which intertwines
the diagonal G-action on the source with the tensor product of the right regularG-action and the trivial G-action on the target. If d denotes the dimension of W ,then we may thus find a G-equivariant closed embedding V ⊗K W → C(G, K)nd .
This proves that V ⊗K W is equipped with an admissible continuous representationof G. Proposition 6.2.7. If 0 → U → V → W → 0 is a G-equivariant exact sequenceof K-Banach spaces equipped with continuous G-actions, and if each of U and W isan admissible continuous G-representation, then V is also an admissible continuous
G-representation.
Proof. Without loss of generality, we may assume that G is compact. Passing tostrong duals, and taking into account corollary 5.1.7, we obtain the short exact
sequence of D(G, K)-modules 0 → Wb0 → Vb0 → Ub0 → 0. If each of the end terms is
finitely generated over D(G, K), then the same is true of the middle term. As in [27], the remainder of our results depend on the fact that D(G, OK ) is
Noetherian. When K is local, this is provided by [16, V.2.2.5]. In fact, it is easily
extended to the case where K is discretely valued.
Theorem 6.2.8. If G is a compact locally L-analytic group and K is discretely
valued, then the K-Banach algebra D(G, K), and its unit ball D(G, OK ), are both
Noetherian rings.
Proof. It follows from [16, V.2.2.4] that D(G, Zp ) is Noetherian. Indeed, that reference shows that G contains an open subgroup H such that D(H, Zp ) is equippedwith an exhaustive filtration F • D(H, Zp ), with respect to which it is complete,
whose associated graded ring Gr•F D(H, Zp ) is isomorphic to the enveloping algebra
over the ring Γ := Fp [] of a finite rank Lie algebra over Γ.
If we endow OK with its p-adic filtration, then we may endow the completed
ˆ Zp D(H, Zp ) with the (completion of the) tensor product filtensor product OK ⊗tration. The associated graded ring is then isomorphic to the tensor product(OK /p)⊗Fp Gr•F D(H, Zp ), and thus is isomorphic to the enveloping algebra over the
ring (OK /p)[] of a finite rank Lie algebra over this ring. In particular, it is Noetherˆ Zp D(H, Zp )ian, and hence the same is true of the completed tensor product OK ⊗itself. This ring is naturally isomorphic to D(H, OK ), and D(G, OK ) is free of finite
rank as a module over this latter ring. Thus the theorem is proved. 
Proposition 6.2.9. If K is discretely valued, then any continuous G-equivariant
map between admissible continuous G-representations is strict.
Proof. We may replace G by a compact open subgroup, and thus suppose that G iscompact. If φ : V → W is a continuous G-equivariant map between two admissible

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MATTHEW EMERTON

continuous G-representations, then to show that φ is strict, it suffices to show that
φ0 : Vb0 → Wb0 is strict [5, cor. 3, p. IV.30]. The proposition now follows fromtheorem 6.2.8 and proposition 1.2.4. 
Proposition 6.2.10. Suppose that G is compact, and that K is discretely valued. The association of V 0 to V induces an anti-equivalence between the categoryof admissible continuous G-representations (with morphisms being continuous Gequivariant maps) and the category of finitely generated D(G, K)-modules.
Proof. Since the transpose of a continuous linear map between Hausdorff convex
K-vector spaces vanishes if and only if the map itself does, we see that the passage
from V to V 0 is faithful. We turn to proving that this functor is full.
Suppose that V and W are admissible continuous G-representations, and that
we are given a D(G, K)-linear map
W 0 → V 0.

(6.2.11)

We must show that this map arises as the transpose of a continuous G-equivariant
map V → W .
Let us choose surjections of D(G, K)-modules D(G, K)m → V 0 and D(G, K)n →0
W , for some m, n ≥ 0. Then (6.2.11) may be lifted to yield a commutative squareof D(G, K)-linear maps
(6.2.12)

D(G, K)nb/ D(G, K)m


Wb0


/ V 0.

bb

Part (iii) of corollary 5.1.7 shows that, if we remove the lower horizontal arrowfrom (6.2.12), then the resulting diagram arises by dualizing a diagram of continuous
G-equivariant maps of the form
(6.2.13)VW


C(G, K)m/ C(G, K)n .

Furthermore, part (i) of theorem 5.1.15 implies that the vertical arrows in (6.2.13)
are closed embeddings.
The fact that the lower horizontal arrow of (6.2.12) can be filled in implies thatthe lower horizontal arrow of (6.2.13) restricts to a G-equivariant map φ : V → W.
By construction, the transpose of φ is equal to the morphism (6.2.11) with which
we began, and so the functor under consideration is full, as claimed.
In order to prove that our functor is essentially surjective, it suffices to showthat any surjection of D(G, K)-modules(6.2.14)

D(G, K)n → M

arises by dualizing a closed G-equivariant embedding V → C(G, K)n . For this, itsuffices in turn to show that the kernel of (6.2.14) is closed in D(G, K)ns . For if weLOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 121

then let Ms denote M equipped with the topology obtained by regarding it as a∼quotient of D(G, K)ns , we obtain V as the closed subspace (Ms )0 of C(G, K)n −→(D(G, K)ns )0 .
We must show that any D(G, K)-submodule N of D(G, K)ns is closed. Since
D(G, K) is the dual of the Banach space C(G, K), it suffices to show that theintersection of N with the unit ball of D(G, K)nb is closed in D(G, K)s [5, cor. 3,
p. IV.25].
As in the statement of theorem 6.2.8, let D(G, OK ) denote the unit ball of
the Banach algebra D(G, K)b . If D(G, OK )s denotes D(G, OK ) equipped with the
topology induced from D(G, K)s , then D(G, OK )s is c-compact [20, lem. 12.10].
Passing from D(G, K) to D(G, K)n , we find that D(G, OK )ns is the unit ball ofnwith the topology induced from D(G, K)ns . The intersection
D(G,T K)b , equippedn
N D(G, OK )s is a D(G, K)-submodule of D(G, OK )ns , and we must show that itis closed.
Since the ring D(G, OK ) is Noetherian, by theorem 6.2.8, the D(G, OK )-moduleT
N D(G, OK )ns is finitely generated. If n1 , . . . , nr are generators of this module,
then it is the image of D(G, OK )rs under the map(6.2.15)(µ1 , . . . , µr ) 7→ µ1 ∗ n1 + · · · + µr ∗ nr .

Now (6.2.15) is the restriction to D(G, OK )rs of a corresponding map D(G, K)rs →D(G, K)n , and part (iii) of corollary 5.1.7 shows that this map arises as the dualof a continuous map C(G, K)n → C(G, K)r , and so is continuous. Thus (6.2.15) is
continuous. Its source being
T c-compact , it has c-compact, and hence closed, image.
Thus we conclude that N D(G, OK )ns is closed in D(G, OK )ns , as required. 
Corollary 6.2.16. If K is discretely valued, then the category of admissible continuous G-representations (with morphisms being continuous G-equivariant maps)
is abelian.
Proof. If G is compact, then this follows from proposition 6.2.10. Indeed, the ring
D(G, K) is Noetherian by theorem 6.2.8, and so the category of finitely generatedD(G, K)-modules is abelian. The general case follows easily from this one. We remark that proposition 6.2.9 is also a formal consequence of this result. As
already noted, in the case where K is local, proposition 6.2.10, and hence corollary 6.2.16 and proposition 6.2.9, are established in [25].
6.3. Admissible smooth and admissible locally algebraic representations
In this section we develop some connections between the notions of smooth andlocally algebraic representations, and of admissible locally analytic representations.
Lemma 6.3.1. Suppose that G is equal to the group of L-valued points of anaffinoid rigid analytic group G defined over L, and that furthermore G is Zariski
dense in G. If C an (G, K) is regarded as a locally analytic representation of G via
the right regular G-action then C an (G, K)g is one-dimensional, consisting preciselyof the constant functions.
Proof. Lemma 4.1.4 shows that C an (G, K)g consists of those rigid analytic function
on G that are stabilized by the right regular action of G. Since G is Zariski dense
in G, these are precisely the constant functions. 

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MATTHEW EMERTON

Proposition 6.3.2. If V is an admissible smooth representation of a locally Lanalytic group G, then, when equipped with its finest convex topology, V becomesan admissible locally analytic representation of G that is U (g)-trivial. Conversely,
if V is an admissible locally analytic representation of G that is U (g)-trivial then
the topology on V is its finest locally convex topology, and the G-representation on
the K-vector space underlying V is an admissible smooth representation.
Proof. First suppose that V is an admissible smooth representation of G.SLet Hnbe a cofinal sequence of normal analytic open subgroups of G. Then V = n V Hn .
Since each V Hn is finite dimensional by assumption, we see that V , when equippedwith its finest convex topology, is isomorphic to the locally convex inductive limit
V Hn , and so is of compact type. Corollary 4.1.7 implies that (Vla )g maps bijeclim−→
ntively onto V, and thus in particular that V is locally analytic and that V g = V .
Corollary 4.1.5 then shows that VHn −an = V Hn . Since by assumption this is a finite
dimensional space, its dual is certainly finitely generated over Dan (Hn , K).
Conversely, let V be an admissible locally analytic representation that is U (g)trivial. It follows from corollary 4.1.6 that the G-representation on V is smooth.
We have to show that it is furthermore an admissible smooth representation, andalso that the topology on V is its finest convex topology.
As above, let Hn denote a cofinal sequence of normal analytic open subgroupsof G. Theorem 3.3.1 shows that for each n we may find an embedding of VHn −an into
C an (H, K)m , for some natural number m, and hence an embedding (VHn −an )g →(C an (H, K)m )g . Lemma 6.3.1 shows that the target of this injection is finite dimensional, and thus that (VHn −an )g is also finite dimensional.
By assumption (VHn −an )g is equal to VHn −an for each n, while corollary 4.1.5
shows that (VHn −an )g maps bijectively onto the subspace of Hn -fixed vectors in V .
Thus on the one hand we find that the subspace of Hn -fixed vectors in V is finite dimensional, proving that the smooth G-representation on V is admissible,
while on the other hand, theorem 3.6.12 provides an isomorphism lim(VHn −an )g =
−→
∼

n

lim
VHn −an = Vla −→ V , so that V is the inductive limit of a family of finite−→ndimensional spaces, and so is endowed with its finest convex topology. Thus there is an equivalence of categories between the category of admissible
smooth representations of G and the category of U (g)-trivial admissible locallyanalytic representations of G. (This result, and the next, are due to Schneider andTeitelbaum [27, thm. 6.5].)
Corollary 6.3.3. If V is an admissible locally analytic representation of a locallyL-analytic group G, then the closed subspace V g of V is endowed with its finest
convex topology, and the G-representation on V g is an admissible smooth representation of G.
Proof. Since V g is a closed G-invariant subspace of V , proposition 6.1.4 implies thatV g is again an admissible representation of G, which is U (g)-trivial by construction.
The corollary follows from proposition 6.3.2. For the sake of completeness, we also recall the following definition and result.
Definition 6.3.4. If G is a locally L-analytic group then we say that a smooth
representation V of G is a strongly admissible smooth representation if for one

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 123(or equivalently, every) compact open subgroup H of G, there is an H-equivariant
embedding of V into the a finite direct sum of copies of the space of locally constantfunctions on H.
This is immediately checked to be equivalent to the definition of [24, p. 115].
Proposition 6.3.5. If V is a strongly admissible locally analytic representationof a locally L-analytic group G, then the closed subspace V g of V is endowed with
its finest convex topology, and the G-representation on V g is a strongly admissible smooth representation of G. Conversely, if we endow any strongly admissible
smooth representation of G with its finest convex topology, we obtain a strongly
admissible locally analytic representation of G.
Proof. This is [24, prop. 2.1].



We now suppose that G is a connected reductive linear algebraic group definedover L, and that G is an open subgroup of G(L). As in section 4.2, we let R denotethe category of finite dimensional algebraic representations of G defined over K.
We will also use the other definitions and notations introduced in that section.
Proposition 6.3.6. If V is an admissible locally analytic representation of G and
W is an object of R, then VW −lalg is a closed subspace of V , and the topology
induced on VW −lalg by the topology on V is its finest convex topology. In particular,
VW −lalg is again an admissible locally analytic representation of G.
Proof. Proposition 4.2.10 shows that VW −lalg is a closed subspace of V , topologically isomorphic to Hom(W, V )sm ⊗B W (where B = EndG (W )). Since V isadmissible, proposition 6.1.5 (applied to the tensor product V ⊗K W̌ ) implies that
Hom(W, V ) is also admissible. Proposition 6.3.3 shows that the space Hom(W, V )sm
is equipped with its finest convex topology, and thus the same is true of the tensor
product Hom(W, V )sm ⊗B W. The proposition follows. 
Corollary 6.3.7. If V is an admissible locally analytic representation of G, and
if V is also locally algebraic as a representation of G, then V is equipped with its
finest convex topology.
Proof. Consider the natural map
M(6.3.8)VW −lalg → V.
W ∈Ĝ

Proposition 6.3.6 shows that each summand in the source of (6.3.8) is of compact
type when endowed with its finest convex topology. Since Ĝ is countable, we seethat if we endow the source with its finest convex topology then it is again aspace of compact type. Corollary 4.2.7 then shows that (6.3.8) is a continuous
bijection between spaces of compact type, and thus that (6.3.8) is a topologicalisomorphism. In light of the preceding corollary, we make the following definition.
Definition 6.3.9. If V is a locally algebraic representation of G that becomes
admissible as a locally analytic representation when equipped with its finest convex
topology, then we say that V (equipped with its finest convex topology) is anadmissible locally algebraic representation of G. If V is furthermore locally W algebraic, for some object W of R, then we say that V is an admissible locally
W -algebraic representation of G.

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Proposition 6.3.10. If V is an admissible locally W -algebraic representation of G,
then V is isomorphic to a representation of the form U ⊗B W, where B denotes thesemi-simple K-algebra EndG (W ), and U is an admissible smooth representation of
G over B, equipped with its finest convex topology. Conversely, any such tensor
product is an admissible locally W -algebraic representation of G.
Proof. The first statement of the proposition was observed in the course of proving
proposition 6.3.6. The converse statement follows from the remark preceding thestatement of proposition 4.2.4, together with propositions 6.3.2 and 6.1.5. 
Proposition 6.3.11. If V is a locally algebraic representationof G, and if, follow∼ L
ing proposition 4.2.4 and corollary 4.2.7, we write V −→ n Un ⊗Bn Wn , where Wn
runs over the elements of Ĝ, Bn = EndG (Wn ), and Un is a smooth representationof G over Bn , then V L
is an admissible locally algebraic representation of G if andonly if the direct sum n Un is an admissible smooth representation of G.
Proof. Let H be an analytic open subgroup of G. Propositions 3.3.27 and 3.6.6
and lemma 4.1.4 yield an isomorphism
M∼
VH−an −→(Un )H ⊗Bn WnnL(where each side is equipped
its finest convex topology). If
n Un is adL withH
missible, then the space(U)
isfinitedimensional,
and
so
the
same
is truennof VH−an . Since H was arbitrary, we see that V is an admissible locally analytic
representation of G.
L
On the other hand, if n UL
n is not an admissible smooth representation of G,
then we may find H such that n (Un )H is not finite dimensional. In other words,
H
we may find an infinite
L sequence {ni }i≥1 such that each space (Uni ) is non-zero,
since VH−an
and hence such that i Wni is a subspace of VH−an , necessarily closed, Lis equipped with its finest convex topology. However, the direct sum i Wni (aninfinite direct sum of algebraic representations) cannot embed as a closed subspaceof a finite direct sum C an (H, K)m . Thus neither can VH−an , and so V is not anadmissible locally analytic representation of G. 
6.4. Essentially admissible locally analytic representations
We begin this section by proving some results concerning abelian locally Lanalytic groups.
Proposition 6.4.1. If Z is an abelian locally L-analytic group, then the following
conditions on Z are equivalent:(i) Z is topologically finitely generated.
(ii) For every compact open subgroup Z0 of Z, the quotient Z/Z0 is a finitely
generated abelian group.
(iii) Z contains a compact open subgroup Z0 such that the quotient Z/Z0 is a
finitely generated abelian group.
(iv) Z contains a (necessarily unique) maximal compact open subgroup Z0 , andthe quotient Z/Z0 is a free abelian group of finite rank.
(v) Z is isomorphic to a product Z0 × Λ, where Z0 is a compact locally Lanalytic group and Λ is a free abelian group of finite rank (equipped with its discrete
topology).

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 125

Proof. If Z is topologically finitely generated, and if Z0 is a compact open subgroupof Z, then the quotient Z/Z0 is a topologically finitely generated discrete group,and hence is a finitely generated abelian group. Thus (i) implies (ii), while (ii)obviously implies (iii).
Suppose now that Z satisfies (iii), and hence contains a compact open subgroup
Z00 such that the quotient Z/Z00 is a finitely generated abelian group. Let Z0 be thepreimage in Z of the torsion subgroup of Z/Z00 . Since this subgroup is finite, we
see that Z0 is a compact open subgroup of Z. Since any compact open subgroupof Z has finite, and hence torsion, image in the discrete subgroup Z/Z0 , we seethat Z0 is furthermore the maximal compact open subgroup of Z. Since Z/Z0 is
isomorphic to the quotient of Z/Z00 by its torsion subgroup, it is a free abelian groupof finite rank. Thus (iii) implies (iv). (Note that if Z00 and Z00 are two compact
open subgroups of Z, then the product Z00 Z000 is again a compact open subgroupof Z, containing both Z00 and Z000 . Thus if Z contains a maximal compact open
subgroup, it is necessarily unique.)That (iv) implies (v) is obvious. Finally, suppose that Z satisfies (v). Since Z0dcontains a finite index subgroup isomorphic to OL
for some natural number d, we see∼that Z0 is topologically finitely generated. The same is then true of Z −→ Z0 × Λ,and so Z satisfies (i). This completes the proof of the proposition. 
Definition 6.4.2. If Z is an abelian locally L-analytic group, and X is a rigid
analytic space over L, then we let Ẑ(X) denote the group of characters on Z
with values in C an (X, L)× , with the property that for any admissible open affinoid
subspace X0 of X, the induced character Z → C an (X, L)× → C an (X0 , L)× (thesecond arrow being induced by restricting functions from X to X0 ) is locally analytic
when regarded as a C an (X0 , L)-valued function on Z.
Lemma 6.4.3. Let X be a rigid analytic space over L, and let {Xi }i∈I be anadmissible affinoid open cover of X. If φ : Z → C an (X, L)× is a character suchφthat each of the composites Z −→ C an (X, L)× −→ C an (Xi , L)× (the second arrow
being induced by restriction to Xi ) is a locally analytic C an (Xi , L)-valued function
on Z, then φ lies in Ẑ(X).
T
Proof. Let X0 be an admissible affinoid open in X, and write X0,i := X0 Xi , foreach i ∈ I. These sets form an admissible open cover of X0 . Since X0 is affinoid, it isquasi-compact in its Grothendieck topology, and so we may find a finite subset I 0 of
0
I such that {X` 0,i }i∈I 0 covers X0 . The open immersions X0,i → X0 for ian∈ I induce
a surjection i∈I X0,i → X0 . This in turn induces a closed embedding C (X0 , L) →
L
an
an
×
an
×
i∈I C (X0,i ). Thus to prove that the composite Z → C (X, L) → C (X0 , L)is locally analytic, it suffices (by proposition 2.1.23) to show that each of the composites Z → C an (X, L)× → C an (X0,i , L)× is locally analytic. But each such composite factors through the composite Z → C an (X, L)× → C an (Xi , L)× , which is
locally analytic by assumption. This proves the lemma. 
The preceding lemma implies that the formation of Ẑ(X) is local in the Grothendieck topology on the rigid analytic space X. We observe in the following corollarythat it also implies that Ẑ is a functor on the category of rigid analytic spaces (andso consequently is a sheaf, when this category is made into a site by equipping eachrigid analytic space with its Grothendieck topology).

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MATTHEW EMERTON

Corollary 6.4.4. The formation of Ẑ(X) is contravariantly functorial in the rigid
L-analytic space X.
Proof. Let f : X → Y be a rigid analytic morphism between rigid L-analytic spaces,and suppose that φ : Z → C an (Y, L)× is an element of Ẑ(Y ). Composing φ with thepullback morphism induced by f we obtain a character φ0 : Z → C an (X, L)× . We
must show that this character lies in Ẑ(X). Fix an admissible open cover {Yi }i∈Iof Y , and choose an admissible open cover {Xj }j∈J of X that refines the open cover{f −1 (Yi )}i∈I . Then if Xj lies in f −1 (Yi ), the map f induces a continuous map
φ0of Banach spaces C an (Yi , L) → C an (Xj , L), and consequently the composite Z −→φ

C an (X, L)× −→ C an (Xj , L)× (which is equal to the composite Z −→ C an (Y, L)× −→C an (Yi , L)× −→ C an (Xj , L)× ) is a locally analytic C an (Xj , L)-valued function on Z.
Lemma 6.4.3 now implies that φ0 lies in Ẑ(X). 
In the cases of interest to us, the functor Ẑ is representable, as we now show.
Proposition 6.4.5. If Z is an abelian locally L-analytic group satisfying the equivalent conditions of proposition 6.4.1, then the functor Ẑ of definition 6.4.2 is representable by a strictly quasi-Stein rigid analytic space over L.
∼

Proof. Proposition 6.4.1 (v) allows us to write Z −→ Z0 ×Λ, with Z0 compact and Λ∼a free abelian group of finite rank. Thus there is an isomorphism of functors Ẑ −→Ẑ0 × Λ̂. The functor Λ̂ is clearly representable by the σ-affinoid rigid analytic spaceΛ̌ ⊗Z Gm (where Λ̌ denotes the dual of the finitely generated free abelian group Λ,
and Gm denotes the multiplicative group over L, regarded as a rigid analytic space);
the point is that since Λ is discrete, the condition of locally analyticity in thedefinition of Λ̂ is superfluous. Thus it remains to show that Ẑ0 is representable bya strictly quasi-Stein rigid analytic space.
Since Z0 is compact and locally L-analytic, it contains a finite index subgroupd. In [26] it is shown that ÔL is representable on affinoid spaces
isomorphic to OL
by a twisted form of the open unit disk, which is in particular strictly quasi-Stein.
Lemma 6.4.3 shows that this space in fact represents the functor ÔL on the categorydthen realizes Ẑ0of all rigid analytic spaces. Restricting characters from Z0 to OLdas a finite faithfully flat cover of ÔL , which must also be strictly quasi-Stein. 
If Z satisfies the equivalent criterion of proposition 6.4.1, then we let Ẑ denote therigid analytic space over L constructed in proposition 6.4.5, that parameterizes therigid analytic characters of L. (Yoneda’s lemma assures us that Ẑ is determined
up to natural isomorphism.) Since Ẑ is strictly quasi-Stein, the algebra of rigid
analytic functions C an (Ẑ, K) is a nuclear Fréchet algebra.
Proposition 6.4.6. If Z is an abelian locally L-analytic group satisfying the equivalent conditions of proposition 6.4.1, then there is a natural continuous injection of
topological K-algebras Dla (Z, K)b → C an (Ẑ, K). This map has dense image, and if
Z is compact, it is even an isomorphism.
Proof. If µ ∈ Dla (Z, K)b , then integrating against µ induces a map Ẑ(K) → K. We
will show that this is obtained by evaluating an element of C an (Ẑ, K), and that theresulting map Dla (Z, K)b → C an (Ẑ, K) is continuous, with dense image. If we write∼
Z = Z0 × Λ, as in proposition 6.4.1 (v), then Dla (Z, K)b −→ Dla (Z0 , K)b ⊗K K[Λ],LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 127∼
ˆ K C an (Λ̂, K)b , and so it suffices to prove thewhile C an (Ẑ, K) −→ C an (Ẑ0 , K)b ⊗proposition with Z replaced by Z0 and Λ in turn.
dSince Z0 is compact, it contains a finite index subgroup isomorphic to OL, and sod
our claim is easily reduced to the case where Z0 = OL . In this case, it follows from[26, thm. 2.3] that integrating characters against distributions yields a topological∼isomorphism Dla (Z0 , K)b −→ C an (Ẑ0 , K).
∼
Choosing a basis z1 , . . . , zr for Λ yields an isomorphism Ẑ −→ Grm . Thus
∼
−1
la
−1
D (Λ, K) −→ K[Λ] = K[z1 , z1 , . . . , zr , zr ], the target being equipped with its
finest complex topology (the variable zi in the target of this isomorphism corre∼∼
sponds to the delta function δzi in its source), while C an (Ẑ, K) −→ C an (Grm , K) −→K{{z1 , z1−1 , . . . , zr , zr−1 }} (the variable zi in the target of this isomorphism corresponds to the rigid analytic function that takes a character on Ẑ to its value at zi ;that is, to the delta function δzi ). Thus we see that integrating characters against
distributions yields a map Dla (Λ, K) → C an (Λ̂, K), which corresponds, with respect
to the preceding isomorphisms, to the usual inclusion K[z1 , z1−1 , . . . , zr , zr−1 ] ⊂K{{z1 , z1−1 , . . . , zr , zr−1 }. In particular, this map has dense image. The proof of the preceding proposition shows that if Z is not compact, thenthe map Dla (Z, K)b → C an (Ẑ, K) is not an isomorphism. Rather, C an (Ẑ, K) is acompletion of Dla (Z, K)b with respect to a certain continuous (and locally convex)
metric structure on Dla (Z, K)b .
If V is a convex K-vector space of compact type, equipped with a locally analytic
action of Z, then proposition 5.1.9 (ii) shows that V 0 is a module over the ring
Dla (Z, K)b , and that the multiplication map Dla (Z, K)b × Vb0 → Vb0 is separately
continuous.
Proposition 6.4.7. Let V be a convex K-vector space of compact type, equippedwith a topological action of the topologically finitely generated abelian locally Lanalytic group Z. The following conditions are equivalent:(i) The Z-action on V extends to a C an (Ẑ, K)-module structure for which themultiplication map C an (Ẑ, K)×V → V is separately continuous. (Such an extension
is unique, if it exists.)(ii) The contragredient Z-action on Vb0 extends to a topological C an (Ẑ, K)-module
structure on Vb0 . (Such an extension is unique, if it exists.)(iii) The Z-action on V is locally analytic, and we may write V as a union of
an increasing sequence of BH-subspaces, each invariant under Z.
∼

Proof. If we write Z = Z0 × Λ, as in proposition 6.4.1 (v), then C an (Ẑ, K) −→ˆ K C an (Λ̂, K), and it suffices to prove the above proposition separately
C an (Ẑ0 , K) ⊗for the two cases Z = Z0 and Z = Λ.
If Z = Z0 , then proposition 6.4.6 yields an isomorphism of nuclear Fréchet∼
algebras Dla (Z0 , K)b −→ C an (Ẑ0 , K). The equivalence of conditions (i) and (ii)follows from the equivalence of (i) and (ii) of proposition 1.2.14. These conditions
are also equivalent to the Z0 -action on V being locally analytic, as follows fromcorollary 5.1.9 and proposition 5.1.10. Finally, since Z0 is compact, any compact
type space V equipped with a locally analytic Z0 -representation is the inductive
limit of a sequence of Z0 -invariant BH-subspaces (by proposition 3.2.15).

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MATTHEW EMERTON

Now consider the case Z = Λ. Let z1 , . . . , zr be a basis for Λ. Then∼

C an (Λ̂, K) −→ K{{z1 , z1−1 , . . . , zr , zr−1 }}∼Khhpn z1 , pn z −1 , . . . , pn zr , pn zr−1 ii.
−→ lim←−n∼(The second isomorphism arises from writing the rigid analytic space Λ̌ ⊗Z Gm −→Grm as the union of the affinoid subdomains |p|n ≤ |zi | ≤ |p|−n (i = 1, . . . , r) as ntends to infinity. For each n ≥ 0, we write Khhpn z1 , pn z −1 , . . . , pn zr , pn zr−1 ii to denote the Tate algebra of rigid analytic functions on the corresponding subdomain.)
It follows from proposition 1.2.14 that conditions (i) and (ii) of the proposition areequivalent, and that each in turn is equivalent to the following condition:∼
Vn , where each Vn is a Banach module(iii’) There is an isomorphism V −→ lim−→nover the Tate algebra Khhpn z1 , pn z −1 , . . . , pn zr , pn zr−1 ii, and the maps Vn → V
are Z-equivariant. (Note that Z embeds as a group of units in the Tate algebra
Khhpn z1 , pn z −1 , . . . , pn zr , pn zr−1 ii.)
Clearly (iii’) implies (iii). We must show that the converse holds. For this, itsuffices to show that if W is a Banach space equipped with a topological actionof Λ, then for some sufficiently large value of n, the Banach space W admits a (necessarily unique) structure of topological Khhpn z1 , pn z −1 , . . . , pn zr , pn zr−1 ii-module
extending its Λ-module structure. If we fix a norm on W , then we may certainly findsome n such that ||pn zi±1 || ≤ 1 for i = 1, . . . , r. (Here we are considering the normof pn zi±1 as an operator on the normed space W .) It is then clear that W does indeed admit the required structure of topological Khhpn z1 , pn z −1 , . . . , pn zr , pn zr−1 iimodule. 
Lemma 6.4.8. If V is a convex K-vector space of compact type, equipped with a locally analytic action of Z that satisfies the equivalent conditions of proposition 6.4.7,
then the same is true of any Z-invariant closed subspace of V .
Proof. It is clear that if V satisfies condition (i) of proposition 6.4.7, then theseparately continuous C an (Ẑ, K)-module structure on V restricts to a separately
continuous C an (Ẑ, K)-module structure on any Z-invariant closed subspace of W
(since K[Z] is dense in C an (Ẑ, K)). We now suppose that G is a locally L-analytic group, whose centre Z satisfies
the equivalent conditions of proposition 6.4.1.
If V is a convex K-vector space of compact type, equipped with a locally analytic
G-representation, then by proposition 5.1.9 (ii), Vb0 is equipped with a topological
Dla (G, K)b -module structure. If V furthermore satisfies the hypothesis of proposition 6.4.7, then Vb0 is also equipped with a topological C an (Ẑ, K)-module structure.
Since Z is central in G, the Dla (G, K)b -action and C an (Ẑ, K)-action on Vb0 commute with one another, and so together they induce the structure of a topologicalˆ Dla (G, K)b -module on Vb0 . If H is any compact open subgroup of G,
C an (Ẑ, K) ⊗
ˆ K Dla (H, K)b -module structure on Vb0 .
then we may restrict this to a C an (Ẑ, K) ⊗This completed tensor product is a nuclear Fréchet algebra, by lemma 1.2.13, andhence in particular is a weak Fréchet-Stein algebra, as the discussion preceding thestatement of that lemma shows. If K is discretely valued, then by proposition 5.3.22(and the remarks following it and definition 5.3.21), it is in fact a Fréchet-Stein algebra.

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 129

Definition 6.4.9. Let V be a convex K-vector space of compact type, equippedwith a locally analytic action of G. We say that V is an essentially admissible locallyanalytic representation of G if V satisfies the conditions of proposition 6.4.7, andif for one (equivalently, every) compact open subgroup H of G, the dual Vb0 is
a coadmissible module when endowed with its natural module structure over theˆ K Dla (H, K)b .
nuclear Fréchet algebra C an (Ẑ, K) ⊗Note that in the situation of definition 6.4.9, we have embeddings of Dla (Z, K)
ˆ K Dla (G, K), and the action
into each factor of the tensor product C an (Ẑ, K) ⊗la0
laof D (Z, K) on V obtained by regarding D (Z, K) as a subalgebra of either ofthese factors coincides. (By construction, either of these actions is the natural
Dla (Z, K)-action on V 0 induced by the locally analytic Z-representation on V .)
ˆ K Dla (G, K)-action on G factors through the quotient algebra
Thus the C an (Ẑ, K) ⊗an
ˆ Dla (Z,K) Dla (G, K).
C (Ẑ, K) ⊗T
Similarly, if H is a compact open subgroup of G, and if we write Z0 = H Z,
ˆ K Dla (G, K)-action on V 0 factors through the quotient algethen the C an (Ẑ, K) ⊗anˆbra C (Ẑ, K) ⊗Dla (Z0 ,K) Dla (H, K). Thus V is essentially admissible if and only if
ˆ Dla (Z0 ,K) Dla (H, K).
it is coadmissible for the nuclear Fréchet algebra C an (Ẑ, K) ⊗In particular, if the centre Z of G is compact, then (taking into account proposition 6.4.6) V is essentially admissible if and only if it is admissible.
In general, we have the following proposition.
Proposition 6.4.10. Any admissible locally analytic representation of G is an
essentially admissible locally analytic representation of G.
Proof. Let {Hn }n≥1 be a cofinal sequence of analytic open subgroups of G. If
V is an admissible locally analytic G-representation, then let Vn denote the BHsubspace
S∞ of V obtained as the image of the natural map VHn −an → V . Clearly
V = n=1 Vn , and each Vn is invariant under Z, since multiplication by elementsof Z commutes with the Hn action on V . Thus V satisfies condition (iii) of propoˆ K Dla (H, K)-module. It is certainly
sition 6.4.7, and so is naturally a C an (Ẑ, K) ⊗coadmissible with respect to this nuclear Fréchet algebra, since it is coadmissible
even with respect to Dla (H, K). 
If Z is not compact, then the converse to proposition 6.4.10 is false. For example,
if G = Z is a free abelian group of rank r, then a locally analytic G-representation isadmissible if and only if it is finite dimensional. On the other hand, the essentiallyadmissible locally analytic G-representations correspond (by passing to the dual)
to coherent sheaves on the rigid analytic space Grm . (Among all such sheaves, theadmissible representations correspond to those skyscraper sheaves whose support
is finite.)
More generally, if G = Z is abelian, then the essentially admissible locally analytic Z-representations correspond (by passing to the dual) to coherent sheaves
on the rigid analytic space Ẑ. Such a sheaf corresponds to an admissible locallyanalytic Z-representation if and only if its pushforward to Ẑ0 (where Z0 denotes
the maximal compact subgroup of Z) is again coherent.
Proposition 6.4.11. If G is a locally L-analytic group whose centre Z satisfies
the equivalent conditions of proposition 6.4.1, and if K is discretely valued, then the
category of essentially admissible locally analytic G-representations and continuous

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MATTHEW EMERTON

G-equivariant morphisms is closed under passing to closed subobjects and Hausdorff quotients. Furthermore, any morphism in this category is necessarily strict.
Consequently, this category is abelian.
Proof. This is a consequence of the general properties of coadmissible modules overFréchet-Stein algebras, summarized in theorem 1.2.11 and the remarks that follow
it. 
Definition 6.4.12. If V is a Hausdorff convex K-vector space satisfying the equivalent conditions of proposition 6.4.7, and if J denotes an ideal in the ring C an (Ẑ, K),
then we let V J denote the closed G-invariant subspace of V that is annihilated by
the ideal J.
Proposition 6.4.13. If V is an essentially admissible locally analytic representation of G, and if J is a finite-codimension ideal in C an (Ẑ, K), then V J is anadmissible locally analytic representation of G.
Proof. If J denotes the closure of J in C an (Ẑ, K), then V J = V J , and so, replacing
J by J, we may assume that J is closed.
∼
ˆ C an (Ẑ,K) Vb0 . If we fix
There is a natural isomorphism (V J )0b −→ (C an (Ẑ, K)/J) ⊗0a compact open subgroup H of G then we see that since Vb is coadmissible with
ˆ K Dla (H, K), its quotient (V J )0b is coadmissible with respect
respect to C an (Ẑ, K) ⊗anˆto (C (Ẑ, K)/J) ⊗K Dla (H, K). Since C an (Ẑ, K)/J is finite dimensional, Vb0 is infact coadmissible with respect to Dla (H, K). Thus V J is an admissible locallyanalytic representation of G. 
If χ is an element of Ẑ(K), then we let Jχ denote the maximal ideal of C an (Ẑ, K)
consisting of functions that vanish at χ, and we write V χ in place of V Jχ . Notethat V χ is the closed G-invariant subspace of V consisting of vectors that transformvia χ under the action of Z.
Corollary 6.4.14. If V is an essentially admissible locally analytic representationof G, and if χ is an element of Ẑ(K), then V χ is an admissible locally analytic
representation of G.
Proof. Apply the previous proposition to the ideal Jχ . 
Suppose now that G is an open subgroup of G(L), for some connected reductive
linear algebraic group G over L.
In conjunction with proposition 6.4.13, the following result allows one in certain
situations to reduce questions regarding morphisms from admissible locally algebraic representations into essentially admissible locally analytic representations tothe case in which the target is assumed admissible.
Proposition 6.4.15. If V is an admissible locally algebraic representation of G,
and if we let J run through the directed system of ideals of finite codimension in
C an (Ẑ, K), then the natural map lim
V J → V is an isomorphism.
−→
J

∼ L
Proof. If we use proposition 4.2.4 and corollary 4.2.7 to write V −→ n Un ⊗Bn Wn ,where Wn runs over the elements of Ĝ, Bn = EndG (Wn ), and Un is a smooth
representation of G over Bn , then we see that it suffices to prove the proposition
for each of the direct summands Un ⊗Bn Wn . Since C an (Ẑ, K) acts on Wn through aLOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 131

finite dimensional quotient, we further reduce ourselves to proving the proposition∼
for an admissible smooth representation Un . We may write Un −→ lim
UnH , where−→H

H runs over the directed set of compact open subgroups of G. Each space UnH
is finite dimensional and Z-invariant. Thus C an (Ẑ, K) acts on it through a finite
dimensional quotient, and the proposition is proved. 
6.5. Invariant lattices
We conclude this chapter with a discussion of invariant lattices in convex Kvector spaces equipped with a G-action. We suppose throughout this section that
K is discretely valued.
Recall that if V is a K-vector space, then a lattice in V is an OK -submodule of
V that spans V over K [20, def., p. 7]. We say that two lattices M1 and M2 in V arecommensurable if there exists an element α ∈ K × such that αM2 ⊂ M1 ⊂ α−1 M2 .
Commensurability is obviously an equivalence relation.
We will also consider seminorms on V . (All seminorms and norms on V are
understood to be non-archimedean.) We say that two seminorms q1 and q2 arecommensurable if there exists a positive real number c such that cq1 (v) ≤ q2 (v) ≤c−1 q1 (v) for all v ∈ V .
There is a natural bijection between the set of commensurability classes of lattices
in V and commensurability classes of seminorms on V , obtained by passing from alattice to its corresponding gauge, and from a seminorm to its corresponding unit
ball. (See [20, lem. 2.2].)
Let π be a uniformizer of OK . (Recall that we are assuming that K is discretely
valued.) We say
T that an OK -module M (and so in particular, a lattice M in V )is separated if n≥1 π n M = 0. The property of being separated is an invariantof a commensurability class of lattices. Also, the property of being a norm is aninvariant of a commensurability class of seminorms. Under the above bijection, thecommensurability classes of separated lattices correspond to the commensurability
classes of norms.
If M is a lattice in V , then we let VM denote V , endowed with the locally convex
topology induced by the gauge of M , and let V̂M denote the Hausdorff completionof VM . Note that V̂M is naturally a K-Banach space, and depends up to canonicalisomorphism only on the commensurability class of M . There is a natural K-linear
map V → V̂M , which is an injection if and only if M is separated (so that its gauge
is a norm).
If G acts on V , and if a lattice in V is G-invariant, then the same is true of
its gauge, while if a seminorm is G-invariant, then the same is true of its unit
ball. Thus a commensurability class of lattices in V contains a G-invariant lattice
if and only if the corresponding commensurability class of seminorms contains a
G-invariant seminorm.
Lemma 6.5.1. If V is a K-vector space equipped with a G-action, and M is alattice in V , then G preserves the commensurability class of M (that is, the latticegM is commensurable with M , for each g ∈ G) if and only if the G-action on VM
is topological.
Proof. Given that the topology on VM is defined via the gauge of M , it is clearthat if G preservers the commensurability class of M , then each element of G
acts as a continuous automorphism of VM . Conversely, if each element of G acts

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MATTHEW EMERTON

as a continuous automorphism of VM , then for any g ∈ G, there is an inclusiongM ⊂ αM for some α ∈ K × . Combining this inclusion with the analogous inclusion
for g −1 shows that gM is commensurable with M , for each g ∈ G. 
Lemma 6.5.2. If V is a K-vector space equipped with a G-action, and M is alattice in V , then the following are equivalent:(i) There exists a G-invariant lattice that is commensurable with M .
(ii) There exists a G-invariant seminorm that defines the topology of VM .
(iii) G acts as a group of equicontinuous operators on VM .
Proof. The gauge of a G-invariant lattice is a G-invariant seminorm, and so (i)implies (ii), while (ii) clearly implies (iii). If (iii) holds, then there is α ∈ K × suchthat gM ⊂ αM for all g ∈ G. If we let M 0 be the lattice generated by the lattices
gM for all g ∈ G, then M ⊂ M 0 ⊂ αM , and so M 0 is commensurable with M .
Since M 0 is G-invariant by construction, we see that (iii) implies (i). 
If V is furthermore a topological K-vector space, then the property of being
an open subset of V is an invariant of a commensurability class of lattices, while
the property of being continuous is an invariant of a commensurability class of
seminorms. Under the above bijection, the commensurability classes of open lattices
correspond to the commensurability classes of continuous seminorms. The open
lattices are thus precisely those for which the natural map V → VM is continuous.
Lemma 6.5.3. If V is a topological K-vector space equipped with a continuous
action of G, and if M is G-invariant open lattice in V , then G acts continuously
on VM . If G is compact, and if, conversely, G acts continuously on VM , then there
exists a G-invariant lattice that is commensurable with M .
Proof. If there exists a G-invariant lattice that is commensurable with M , then G
acts as a group of equicontinuous operators on VM . Thus conditions (ii) and (iii) oflemma 3.1.1 hold with respect to the G-action on VM . Since M is open in V , thenatural map V → VM is continuous. Since the G-action on V is continuous (andsince V and VM are equal as abstract K-vector spaces), we see that condition (i)of lemma 3.1.1 is also satisfied, and so the G-action on VM is continuous.
Conversely, suppose that G acts continuously on VM , and furthermore that G
is compact. Lemma 3.1.4 then shows that G acts as an equicontinuous set ofoperators. From lemma 6.5.2, we conclude that there exists a G-invariant latticecommensurable with M . 
Lemma 6.5.4. If V is a topological K-vector space on which G acts as an equicontinuous group of operators (for example, if G is compact and acts continuously
on V ), then any open lattice in V contains a G-invariant open sublattice, and there
is a unique maximal such G-invariant open sublattice.
Proof. If M is a given open lattice in V , then by assumption there exists an open
sublattice M 0 of M such GM 0 ⊂ M. The sublattice of M spanned by GM 0 is thena G-invariant open sublattice of M . If we consider the sublattice of M spannedby all invariant open sublattices, then it is obviously the unique maximal invariant
open sublattice. Lemma 6.5.5. If V is a K-Banach space on which G acts as an equicontinuous
group of operators (for example, if G is compact and acts continuously on V ),then any separated open lattice in V is contained in a G-invariant separated open

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 133

lattice of V , and there is a unique minimal G-invariant separated open lattice of V
containing it.
Proof. Let M denote the given separated open sublattice of V . We may choose
the norm on the Banach space V so that M is the unit ball of V . Since G acts
equicontinuously on V , there is an α ∈ K × such that GαM ⊂ M. Then GM ⊂α−1 M, and so we see that the lattice spanned by GM is a G-invariant separated
open lattice in V that contains M . Taking the intersection of all such lattices yields
the minimal G-invariant separated open lattice containing M . 
Let k = OK /πOK denote the residue field of OK .
Lemma 6.5.6. If V is a convex K-vector space equipped with a continuous Gaction, and M is an open G-invariant lattice in V , then the induced G-action on
the k-vector space M/πM is smooth.
Proof. Lemma 6.5.3 implies that G acts continuously on VM , and thus that wemay replace V by VM in our considerations. If we equip M/πM with the topology
induced by regarding it as a subquotient of VM , then the G-action on M/πM iscontinuous. On the hand, the topology obtained on M/πM in this fashion is thediscrete topology. Thus the G-action on M/πM is smooth, as claimed. 
The following result slightly extends [25, lem. 3] (which treats the case when K
is local).
Proposition 6.5.7. If V is a convex K-vector space equipped with a continuous Gaction, and M is an open G-invariant lattice in V , then the following are equivalent:(i) The Banach space V̂M , when equipped with its natural G-action, becomes anadmissible continuous representation of G.
(ii) The smooth representation of G on M/πM is admissible.
Proof. Replacing V with V̂M , and M with the closure of its image in V̂M (which
does not disturb the isomorphism class of the G-representation M/πM ), we may
assume that V is a Banach space. Also, replacing G by an appropriate pro-p open
subgroup if necessary, we may assume that G is a pro-p group.
As in theorem 6.2.8, let D(G, OK ) denote the unit ball of D(G, K) (that is, thepolar of the unit ball of C(G, OK ) with respect to the sup norm on this latter space).
Corollary 5.1.7 shows that Vb0 is naturally a topological D(G, K)-module, and so
also a D(G, OK )-module. If we equip V with the norm obtained as the gauge ofM , then the polar M 0 of M is a bounded open OK -sublattice of (V 0 )b , which isalso a D(G, OK )-submodule of V 0 .
Let a denote the ideal of D(G, OK ) generated by the uniformizer π of OK , together with the augmentation ideal IG of D(G, OK ). In the case where OK = Zp ,the a-adic filtration of D(G, Zp ) is cofinal with the filtration of D(G, Zp ) considered in [16], and hence D(G, Zp ) is a-adically complete. Writing D(G, OK ) =ˆ Zp D(G, Zp ), we find that D(G, OK ) is a-adically complete.
OK ⊗The quotient M 0 /aM 0 is isomorphic to the OK /πOK -linear dual of the space(M/πM )G . Thus M 0 /aM 0 is finite dimensional over OK /πOK if and only if(M/πM )G is finite dimensional over OK /πOK . On the other hand, since D(G, OK )is a-adically complete, the quotient M 0 /aM 0 is finite dimensional over OK /πOK if
and only if M 0 is finitely generated over D(G, OK ).
Thus if M/πM is an admissible smooth representation of G, then we see thatM 0 is finitely generated over D(G, OK ), and hence that V 0 is finitely generated over

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MATTHEW EMERTON

D(G, K); that is, V is an admissible continuous representation of G. Conversely,
if V is an admissible continuous representation of G, then replacing G by an open
subgroup H, it follows that V 0 is finitely generated over D(H, K). Hence M 0
is finitely generated over D(H, OK ), and so (M/πM )H is finite dimensional overOK /πOK . It follows that M/πM is an admissible smooth representation of G. 
Definition 6.5.8. If V is a convex K-vector space equipped with a continuous
G-action, we say that a G-invariant open lattice in V is admissible if it satisfies theequivalent conditions of proposition 6.5.7.
The following result provides something of a converse to proposition 6.2.4.
Proposition 6.5.9. If V is an essentially admissible locally analytic representationof G, and if G is compact, then the following are equivalent:(i) There is an admissible G-invariant separated open lattice in V .
(ii) There is a continuous G-equivariant injection V → W, with W a K-Banach
space equipped with an admissible continuous representation of G.
(iii) V is a strongly admissible locally analytic G-representation.
Proof. Suppose that V contains an admissible G-invariant separated open lattice M . Proposition 6.5.7 shows that the G-action on V̂M makes this space anadmissible continuous G-representation. Since M is separated and open, the natural map V → V̂M is continuous and injective, and it is certainly G-equivariant.
Thus (i) implies (ii).
Suppose that (ii) holds, so that we are given a continuous G-equivariant injection
V → W with W a K-Banach space on which G acts via an admissible continuous
representation. Lemma 6.5.3 shows that we may choose a G-invariant norm on W .
The unit ball of this norm will be an admissible G-invariant separated open latticein W , and hence its preimage in V will be an admissible G-invariant separated open
lattice in V . Thus (ii) implies (i).
If we continue to assume given a G-equivariant injection V → W as in (ii), thenpassing to locally analytic vectors yields a continuous injection V → Wla . Proposition 6.2.4 shows that Wla is a strongly admissible locally analytic representationof G. Proposition 6.4.11 (together with propositions 6.2.2 and 6.4.10) shows that
V embeds as a closed subspace of Wla , and so Vla is itself strongly admissible.
Thus (ii) also implies (iii).
Finally suppose that (iii) holds, so that V is strongly admissible. The remark following definition 6.2.1 shows that we may find a closed embedding V → C la (G, K)nfor some integer n. Composing this map with the continuous injection C la (G, K)n →C(G, K)n yields a continuous injection V → C(G, K)n . Thus (iii) implies (ii). 
Chapter 7. Representations of certain product groups
7.1. Strictly smooth representations
Throughout this section, we assume that Γ is a locally compact topological group,and that Γ admits a countable neighbourhood basis of the identity consisting of open
subgroups.
If V is a K-vector space equipped with a representation of Γ, and if H is a
subgroup of Γ, then we let V H denote the subspace of V consisting of H-fixed
vectors. As usual, we say that V is a smooth representation of Γ if and only if

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 135

each vector of V is fixed by some compact open subgroup of V ; equivalently, V is asmooth representation if and only if the natural map lim
V H → V is an isomorphism−→H(the inductive limit being taken over all the compact open subgroups of Γ).
If V is a smooth representation of Γ, and if H is a compact open subgroup of
Γ, then we let πH : V → V H denote the operator given by “averaging
P over H”: ifv ∈ V is fixed by the subgroup H 0 of H, then πH (v) := [H : H 0 ]−1 h∈H/H 0 hv.
We will consider a strengthening of the notion of a smooth representation, when
V is assumed to be a Hausdorff locally convex topological K-vector space, and theΓ-action on V is topological. In this context, we let V H denote the space of H-fixed
vectors, equipped with the subspace topology. Thus each V H is a closed subspaceof V .
Definition 7.1.1. If V is a Hausdorff convex K-vector space equipped with a
topological Γ-action, then we define Vst.sm to be the locally convex inductive limit
Vst.sm := lim
V H,
−→
H

where H runs over the compact open subgroups of Γ.
Our assumption on Γ shows that the inductive limit in Definition 7.1.1 canbe replaced by a countable inductive limit. Also, the transition maps are closed
embeddings. Thus the vector space Vst.sm is a strict inductive limit, in the senseof [5, p. II.33]. In particular, it is Hausdorff, and is complete if V is (since each
V H is then complete). There is a natural continuous injection Vst.sm → V , and theΓ-action on V is smooth if and only if this map is a bijection.
The map V 7→ Vst.sm yields a covariant functor from the category of Hausdorffconvex K-vector spaces equipped with topological Γ-actions (with morphisms being
continuous and Γ-equivariant) to itself.
Definition 7.1.2. If V is a Hausdorff locally convex K-vector space equipped witha topological action of Γ, then we say that V is a strictly smooth representation ofΓ if the natural map Vst.sm → V is a topological isomorphism.
In particular, a strictly smooth Γ-representation on a convex K-vector space V
is certainly a topological smooth Γ-action. In general, the converse need not be
true.
Proposition 7.1.3. Let V be a Hausdorff locally convex K-vector space equippedwith a topological action of Γ. If either V is of compact type, or if for a cofinal
sequence of compact open subgroups H of Γ, the closed subspaces V H of Γ are ofcompact type, then Vst.sm is of compact type.
Proof. If V is of compact type, then so is its closed subspace V H , for each compact
open subgroup H of Γ. Thus the first hypothesis implies the second. Let {Hn }n≥1be a cofinal sequence of compact open subgroups of Γ for which V Hn is of compact∼
type. The isomorphism lim
V Hn −→ Vst.sm shows that V is the locally convex−→
ninductive limit of a sequence of spaces of compact type, with injective transition
maps, and so is itself of compact type. 

136

MATTHEW EMERTON

Corollary 7.1.4. Let V be a Hausdorff locally convex K-vector space equipped witha smooth topological action of Γ. If V is of compact type, then V is a strictly smooth
Γ-representation. Conversely, if the Γ-action on V is strictly smooth, and if for a
cofinal collection of compact open subgroups H of Γ the subspaces V H of V are ofcompact type, then V is of compact type.
Proof. By assumption, the Γ-action on V is smooth, and hence the natural map(7.1.5)

Vst.sm → V

is a continuous bijection. Also, either hypothesis on V implies, by lemma 7.1.3,
that Vst.sm is of compact type.
If V is of compact type, then (7.1.5) is a continuous bijection between spaces ofcompact type, and hence is a topological isomorphism. Thus V is a strictly smooth
Γ-representation. Conversely, if the Γ-action on V is strictly smooth, then (7.1.5)
is a topological isomorphism, and so we conclude that V is of compact type. Proposition 7.1.6. If V is a Hausdorff convex K-vector space equipped with astrictly smooth action of Γ, then for each compact open subgroup H of Γ, the operator πH : V → V H is continuous.
Proof. If H 0 is an open subgroup of H, then the formula given above for the re0
striction of πH to V H , and the assumption that the Γ-action on V is topological,
0shows that πH induces a continuous map V H → V H . Passing to the inductive
limit over H 0 , and using the fact that the Γ-action on V is strictly smooth, we seethat the proposition follows. 
Corollary 7.1.7. If V is a Hausdorff convex K-vector space equipped with a strictly
smooth action of Γ, then for each compact
H of Γ, we obtain a
L open subgroup∼
topological direct sum decomposition V H
ker πH −→ V.
Proof. This follows from the fact that the operator πH on V is idempotent, withimage equal to V H , and is continuous, by proposition 7.1.6. 
Corollary 7.1.8. If V is a Hausdorff convex K-vector space equipped with a strictly
smooth action of Γ, then V is barrelled if and only if V H is barrelled for eachcompact open subgroup H of Γ.
∼

Proof. If each V H is barrelled, then the isomorphism lim
V H −→ V shows that V−→H

is barrelled. Conversely, if V is barrelled, and if H is a compact open subgroup of
Γ, then corollary 7.1.7 shows that V H is a topological direct summand of V . It
follows that V H is barrelled [5, cor. 2, p. III.25]. 
We now explain how the countable inductive limit that implicitly appears in
Definition 7.1.1 can be replaced by a countable direct sum. Let us fix a cofinal
decreasing sequence {Hn }n≥1 of compact open subgroups of the identity of Γ. If
V is a Hausdorff convex K-vector space, equipped with a topological action of Γ,nthen for each value of n > 1, the averaging map πHn−1 , when restricted to V H ,induces a continuous map πn : V Hn → V Hn−1 .
Set V1 = V H1 , and Vn = ker πn for n > 1. Each
Ln of these spaces is a closed
subspace of V . For each n ≥ 1, the natural map m=1 Vm → V Hn is a topological isomorphism, and passing to the inductive limit in n, we obtain a topologicalLOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 137

isomorphism(7.1.9)∞M∼

Vn −→ Vst.sm .

n=1

Thus Vst.sm can be written not only as a strict inductive limit of closed subspacesof V , but in fact as a countable direct sum of closed subspaces of V .
If W is a second Hausdorff convex K-vector space equipped with a topologicalΓ-action, and if f : V → W is a continuous Γ-equivariant map, then f induces
continuous maps fn : Vn → Wn for each n ≥ 1, and the map Vst.sm → Wst.sm
induced by f can be recovered as the direct sum of the fn .
We now state some consequences of this analysis.
Lemma 7.1.10. If V is a Hausdorff convex K-vector space equipped with a strictly
smooth action of Γ, then the Γ-action on V is continuous.
Proof. We apply lemma 3.1.1. Condition (i) of that result holds for any smoothaction of Γ, and by definition a strictly smooth Γ-action on V is a topological action,
so that condition (ii) holds. We must verify that condition (iii) holds. Let H be acompact open subgroup of Γ, and choose the cofinal sequence {Hn }n≥1 of compact
open subgroups appearing in the preceding discussion to be normal open subgroupsof H. Each Vn (as defined in that discussion) is then invariant under the actionof H, and the H-action on Vn factors through the finite quotient H/Hn of H. In
particular, the action of H
on Vn is continuous, for each n ≥ 1. It follows that∼ L
the action of H on V ←− n≥1 Vn is continuous, and so in particular the requiredcondition (iii) holds. 
Lemma 7.1.11. If V is a Hausdorff convex K-vector space equipped with a topological action of Γ, then the natural map (Vst.sm )st.sm → Vst.sm is an isomorphism.
Equivalently, the Γ-representation Vst.sm is strictly smooth.
Proof. This follows from the isomorphism (7.1.9), together with the evident isoLn
L∞∼morphism m=1 Vm −→ ( m=1 Vm )Hn . Lemma 7.1.12. If V is a Hausdorff convex K-vector space equipped with a strictly
smooth action of Γ, and if W is a Γ-invariant subspace of V , then W is closed in
V if and only if W H is closed in V H for each compact open subgroup H of Γ.
Furthermore, if these equivalent conditions hold, then the Γ-actions on each of W
and V /W are again strictly smooth, and for each compact open subgroup H of Γ,
the natural map V H /W H → (V /W )H is a topological isomorphism.
T
Proof. Certainly, if W is a closed subspace of V , then W H = V H W is a closed
subspace of V H , for each compact open subgroup H of Γ. Conversely, supposethat the latter is true. Then for each n ≥ 1 we can define Vn and Wn as in thediscussion preceding lemma 7.1.10,
and we seeL
that Wn is a closed subspace of Vn∼ L∞∼∞
for each value of n. Thus W ←− n=1 Wn ⊂ n=1 Vn −→ V is a closed subspaceL∼∞of V . There is also an isomorphism V /W ←− n=1 Vn /Wn . (See proposition 8 andcorollary 1 of [5, p. II.31].) These direct sum decompositions show that each of W
and V /W is again a strictly smooth representation of Γ. Finally, if we fix a compact
open subgroup H of Γ, and choose the sequence {Hn }n≥1 so that H1 = H, then the∼same direct sum decompositions show that V H /W H −→ (V /W )H , as required. 

138

MATTHEW EMERTON

Lemma 7.1.13. Suppose that V and W are a pair of Hausdorff convex K-vector
spaces, each equipped with a strictly smooth action of Γ, and that we are given a
continuous Γ-equivariant map V → W . This map is strict if and only if the sameis true of the induced maps V H → W H , for each compact open subgroup H of Γ.
Proof. This result follows by an argument analogous to the one used to provelemma 7.1.12. 
The following lemma provides an analysis of the “strictly smooth dual” of astrictly smooth representation of Γ.
Lemma 7.1.14. If V is a Hausdorff convex K-vector space equipped with a strictly
smooth action of Γ, let Vb0 be equipped with the contragredient representation of Γ.
(i) For each compact open subgroup H of Γ, there is a natural isomorphism∼(Vb0 )H −→ (V H )0b .
∼(ii) There is a natural Γ-equivariant isomorphism (Vb0 )st.sm −→ lim(V H )0b .
−→H(iii) The natural map V → (Vb0 )0b induces a natural Γ-equivariant injective mapof strictly smooth Γ-representations V → (((Vb0 )st.sm )0b )st.sm , which is a topologicalembedding if the same is true of the first map.
(iv) If V is of compact type, or is a nuclear Fréchet space, then the map V →(((Vb0 )st.sm )0b )st.sm of (iv) is an isomorphism.
Proof. Let H be a compact L
open subgroup of Γ. Lemma 7.1.6 provides a di∼rect sum decomposition V H
ker πH −→ V. Taking strong duals yields an isoL∼morphism Vb0 −→ (V H )0b (ker πH )0b . Thus to prove (i), it suffices to show that((ker πH )0 )H = 0. If v 0 is an H-invariant linear functional defined on ker πH , thenv 0 ◦ πH = v 0 , and so v 0 = 0, as required. Thus (i) is proved. Note that (ii) is animmediate consequence of (i).
To prove (iii), we first construct the required map. Note that the natural map(Vb0 )st.sm → Vb0 induces a continuous map (Vb0 )0b → ((Vb0 )st.sm )0b . Composing withthe double duality map V → (Vb0 )0b yields a map V → ((Vb0 )st.sm )0b , and hence (since∼Vst.sm −→ V ) a map(7.1.15)

V → (((Vb0 )st.sm )0b )st.sm ,as required.
Parts (i) and (ii), applied to first to V and then to (Vb0 )st.sm , yield an isomorphism∼lim((V H )0b )0b −→ (((Vb0 )st.sm )0b )st.sm . The map (7.1.15) admits a more concrete de−→H∼

scription, in terms of this isomorphism and the isomorphism lim
V H −→ V : it is−→H

the locally convex inductive limit over the compact open subgroups H of Γ of the
double duality maps
(7.1.16)

V H → ((V H )0b )0b .

If the double duality map V → (Vb0 )0b is an embedding, then corollary 7.1.7 implies
that the same is true for each of these maps. Since the strict inductive limit ofembeddings is an embedding, this completes the proof of part (iii).
To prove part (iv), note that if V is of compact type (respectively, is a nuclear K-Fréchet space), then the same is true of each of its closed subspaces V H .

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 139

In particular, each of these spaces is reflexive, and so each of the double duality
maps (7.1.16) is a topological isomorphism. Passing to the inductive limit in H,
we see that the same is true of the map (7.1.15). Note that if V is an admissible smooth representation of Γ, equipped with its
finest convex topology, then V becomes a compact type convex K-vector space,equipped with a smooth topological action of Γ, necessarily strictly smooth, bycorollary 7.1.4. The preceding lemma thus implies that the strictly smooth dual
(Vb0 )st.sm to V is then isomorphic to the smooth dual to V , equipped with its finest
convex topology.
We close this section by introducing a notion that we will require below.
Definition 7.1.17. Let A be a Fréchet-Stein K-algebra, in the sense of definition 1.2.10. A coadmissible (A, Γ)-module consists of a topological left A-module M ,equipped with a topological action of Γ that commutes with the A-action on M ,such that:(i) The Γ-action on A is strictly smooth.
(ii) For each compact open subgroup H of Γ, the closed A-submodule M H of M
is a coadmissible A-module in the sense of definition 1.2.8.
In particular, since any coadmissible A-module is a K-Fréchet space, we see that∼M −→ lim
M H is a strict inductive limit of Fréchet spaces. (In fact, the discussion−→
H

preceding lemma 7.1.10 shows that it is even a countable direct sum of Fréchetspaces.)Lemma 7.1.18. If A is a locally convex topological K-algebra, and if M is a
topological left A-module equipped with a topological action of Γ that commutes with
the A-action on M , then Mst.sm is naturally a topological left A-module.
Proof. It is clear by functoriality of the formation of Mst.sm that the A-module
structure on M induces an A-module structure on Mst.sm . We must show that themultiplication map A × Mst.sm → Mst.sm is continuous.
If we adopt the notation introduced preceding lemma 7.1.10, then the isomorphism (7.1.9) shows that it suffices to prove that the multiplication map A × Mn →Mn is jointly continuous for each n ≥ 1. Since Mn is an A-invariant subspace ofM , this follows from the assumption that the multiplication map A × M → M is
jointly continuous (that is, that M is a topological left A-module). 
7.2. Extensions of notions of admissibility for representations of certain
product groups
As in the preceding section, in this section we suppose that Γ is a locally compact topological group, admitting a countable neighbourhood basis of the identity
consisting of open subgroups. We also suppose that G is a locally L-analytic group.
In this section we introduce the notions of admissible continuous, admissible locallyanalytic, and essentially admissible locally analytic representations of the topological group G × Γ.
Definition 7.2.1. Let V be a locally convex Hausdorff K-vector space equippedwith a topological action of G × Γ. We say that V is an admissible continuous
representation of G × Γ if:

140

MATTHEW EMERTON(i) For each compact open subgroup H of Γ the closed subspace V H of Hinvariant vectors in V is a Banach space, and the G-action on V H is an admissible
continuous representation of G.
(ii) The Γ-action on V is strictly smooth, in the sense of Definition 7.1.2. (Thatis, the natural map lim
V H → V is a topological isomorphism, the locally convex−→
H

inductive limit being taken over all compact open subgroups of Γ.)It follows from proposition 6.2.5 that it suffices to check condition (i) of thisdefinition for a cofinal collection of compact open subgroups H of Γ. The discussion preceding lemma 7.1.10 shows that any V satisfying the conditions of Definition 7.2.1 is in fact isomorphic to a countable direct sum of Banach spaces.
Proposition 7.2.2. (i) If V is an admissible continuous representation of G × Γ,then the G × Γ-action on V is continuous.
(ii) If V is an admissible continuous representation of G×Γ, and if W is a closed
G × Γ-invariant subspace of V , then the G × Γ-action on W is also an admissible
continuous representation.
(iii) If K is discretely valued, then any G×Γ-equivariant morphism of admissible
continuous representations of G × Γ is strict, with closed image.
(iv) If K is discretely valued, then the category of admissible continuous representations of G × Γ is abelian.
(v) If H is a compact open subgroup of Γ, then the functor that takes V to theclosed subspace of H-invariants V H is an exact functor from the category of admissible continuous representations of G × Γ to the category of admissible continuous
G-representations.
Proof. If V is an admissible continuous representation of G × Γ, then V is in particular a direct sum of Banach spaces, and so is barrelled. Since V is isomorphic toa locally convex inductive limit of admissible continuous representations of G, theG-action on V is separately continuous, and hence continuous. On the other hand,lemma 7.1.10 shows that the Γ-action on V is continuous. Thus (i) is proved.
Now suppose that we are given a closed G × Γ-invariant subspace W of V . If
H is a compact open subgroup of Γ, then by assumption
V H is an admissible
T
H
H
W, we see that W H is a closed
continuous representation of G. Since W = V
G-invariant subspace of the admissible continuous G-representation V H , and soby proposition 6.2.5 is again an admissible continuous G-representation. We arealso assuming that V is a strictly smooth Γ-representation, and so it follows fromlemma 7.1.12 that the same is true of W . This proves (ii).
Part (iii) follows from lemmas 7.1.12 and 7.1.13 and the fact that, when K is discretely valued, G-equivariant morphisms of continuous admissible G-representations
are strict with closed image, by proposition 6.2.9.
In light of what we have already proved, and the fact that the direct sum of two
admissible continuous representations of G × Γ is again such a representation, toprove part (iv) we need only show that if W is a closed subrepresentation of anadmissible continuous representation V of G × Γ, then the quotient V /W is again
an admissible continuous representation of G × Γ. Lemma 7.1.12 shows that the
representation of Γ on this quotient is strictly smooth. Furthermore, the isomor∼
phism V H /W H −→ (V /W )H , and the fact that, by corollary 6.2.16, the category ofadmissible continuous representations of G is abelian when K is discretely valued,
shows that (V /W )H is an admissible representation of G, for each compact open

LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 141

subgroup H of Γ. Thus V /W is an admissible continuous representation of G × Γ,
as required.
Part (v) follows from the fact that passing to H-invariants yields an exact functor
on the category of smooth Γ-representations. 
If V is a Hausdorff convex K-vector space equipped with a topological action ofG × Γ, then we will let Vla denote the space of G-locally analytic vectors attached
to V , as in definition 3.5.3. The functoriality of the construction of locally analytic
vectors shows that the Γ-action on V lifts to a Γ-action on Vla , and thus that Vla isequipped with a topological G × Γ-action, uniquely determined by the requirementthat the natural continuous injection Vla → V be G × Γ-equivariant.
Definition 7.2.3. We say that a topological action of G×Γ on a Hausdorff convex
K-vector space V is a locally analytic G × Γ-representation if V is barrelled, if thenatural map Vla → V is a bijection, and if the Γ-action on V is strictly smooth.
If V is equipped with a locally analytic G × Γ-representation, then the fact that
the G-action on V is locally analytic, together with lemma 7.1.10, implies that theG × Γ-action on V is continuous. Note that if V is of compact type, then corollary 7.1.4 implies that in the preceding definition, we may replace the requirementthat Γ act via a strictly smooth representation on V with the apparently weakercondition that the action of Γ on V be smooth.
Lemma 7.2.4. If V is a Hausdorff convex K-vector space equipped with a topological action of G × Γ, such that the Γ-action is strictly smooth, then the following
are equivalent:(i) The G × Γ-action on V is locally analytic.
(ii) The G-action on V is locally analytic in the sense of definition 3.6.9.
(iii) For each compact open subgroup H of G, the G-action on V H is locallyanalytic.
Proof. Note that since the Γ-action on V is assumed to be strictly smooth, conditions (i) and (ii) are equivalent by definition.
Corollary 7.1.8 shows that if V is equipped with a strictly smooth Γ-action, thenV is barrelled if and only if V H is barrelled for each compact open subgroup H of
G. It follows from proposition 3.6.14 that (ii) implies (iii).
Conversely, if (iii) holds, then (V H )la → V H is a continuous bijection, for eachcompact open subgroup H of Γ. The sequence of isomorphisms∼∼

Vla ←− (limV H )la −→ lim(V H )la
−→
−→
H

H

(the first following from the assumption that the Γ-action on V is strictly smooth,and the second from proposition 3.5.14) then shows that the natural map Vla → V
is a continuous bijection. Again taking into account corollary 7.1.8, we find that (iii)
implies (ii). 
Proposition 7.2.5. If V is a Hausdorff convex K-vector space, equipped with a
topological G × Γ-action, such that the Γ-action is strictly smooth, then for any∼
compact open subgroup H of Γ there is a natural isomorphism (V H )la −→ (Vla )H .
Proof. Corollary 7.1.7 shows that V H is a topological direct summand of V . Thus
(V H )la is naturally identified with a topological direct summand of Vla , whichclearly must equal (Vla )H . 

142

MATTHEW EMERTON

Corollary 7.2.6. If V is a Hausdorff convex K-vector space, equipped with a topological G × Γ-action, such that the Γ-action is strictly smooth, then Vla is a locallyanalytic G × Γ-representation.
Proof. Propositions 3.5.5 and 7.2.5 show that for each compact open subgroup H
of Γ, the space of H-invariants (Vla )H is a locally analytic G-representation. Bylemma 7.2.4, the corollary will be proved if we show that the Γ-action on Vla isstrictly smooth.
Let {Hn }n≥1 be a cofinal sequence of compact open subgroups of G. By assump∼tion there is a natural isomorphism lim
V Hn −→ V . Passing to locally analytic−→n≥1vectors, and again appealing to proposition 7.2.5, we obtain isomorphisms
∼

∼

∼

∼

(Vla )st.sm −→ lim(Vla )Hn ←− lim(V Hn )la −→ (lim
V Hn )la −→ Vla
−→
−→
−→
n≥1

n≥1

n≥1

(the second-to-last isomorphism following from proposition 3.5.14, and the last fromthe fact that V is assumed to be a strictly smooth Γ-representation), and so theΓ-action on Vla is strictly smooth, as claimed. 
We now extend the notions of admissible and essentially admissible representations of G to the context of representations of G × Γ. Whenever we speak ofessentially admissible locally analytic representations of G or of G × Γ, we assume
that the centre of G is topologically finitely generated, so that the notion of an
essentially admissible locally analytic representation of G is in fact defined.
Definition 7.2.7. Let V be a locally convex Hausdorff K-vector space equippedwith a locally analytic representation of G × Γ. We say that V is an (essentially)
admissible locally analytic representation of G×Γ if for each compact open subgroup
H of Γ the closed subspace V H of H-invariant vectors in V is an (essentially)
admissible locally analytic representation of G.
Lemma 7.1.4 shows that if V is equipped with an (essentially) admissible locallyanalytic representation of G × Γ, then V is of compact type.
Proposition 7.2.8. Suppose that K is discretely valued.
(i) If V is an (essentially) admissible locally analytic representation of G × Γ,then the G × Γ-action on V is continuous.
(ii) If V is an (essentially) admissible locally analytic representation of G × Γ,and if W is a closed G × Γ-invariant subspace of V , then the G × Γ-action on W
is also an (essentially) admissible locally analytic representation.
(iii) Any G × Γ-equivariant morphism of (essentially) admissible locally analytic
representations of G × Γ is strict, with closed image.
(iv) The category of (essentially) admissible locally analytic representations of
G × Γ is abelian.
(v) If H is a compact open subgroup of Γ, then the functor that takes V tothe closed subspace of H-invariants V H is an exact functor from the category of(essentially) admissible locally analytic representations of G × Γ to the category of(essentially) admissible locally analytic representations of G.
Proof. This is proved in an analogous manner to proposition 7.2.2, once one recalls corollary 6.1.23 in the admissible case (respectively proposition 6.4.11 in theessentially admissible case). LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 143

We can give an alternative characterization of (essentially) admissible locallyanalytic representations of G × Γ in terms of their strictly smooth duals.
Suppose that V is a convex K-vector space of compact type, equipped with alocally analytic representation of G × Γ. The strictly smooth dual (Vb0 )st.sm of V
is then a topological left Dla (H, K)-module (by corollary 5.1.9 (ii) together withlemma 7.1.18), for any compact open subgroup H of G, equipped with a commuting
strictly smooth action of Γ (the contragredient action).
Lemma 7.2.9. Suppose that the centre Z of G is topologically finitely generated.
If V is as in the preceding discussion, then the Z-representation on V satisfies theequivalent conditions of proposition 6.4.7 if and only if the same is true for theclosed Z-subrepresentation V H of V , for each compact open subgroup H of G.
Proof. If V is the union of an increasing sequence of Z-invariant BH-subspaces,
then so is any closed subspace of V , and so in particular, so is each V H . Conversely,
if each V H is the union of an increasing sequence of Z-invariant BH-subspaces, thenletting H run throughS a cofinal sequence {Hn }n≥1 of compact open subgroups ofG, and writing V = V Hn , we find that the same is true of V . 
If the centre Z of G is topologically finitely generated, and if the locally analytic G × Γ-representation V satisfies the conditions of proposition 6.4.7, thenlemmas 7.1.18 and 7.2.9, together with that proposition, show that the strictlyˆ K Dla (H, K)-module,smooth dual (Vb0 )st.sm of V is a topological left C an (Ẑ, K) ⊗for any compact open subgroup H of G, equipped with a commuting strictly smoothaction of Γ.
We now state the criterion on (Vb0 )st.sm for V to be an (essentially) admissible
representation of G × Γ.
Proposition 7.2.10. If V is a convex K-vector space of compact type, equippedwith a locally analytic G × Γ-action (respectively, a locally analytic G × Γ-action,
whose restriction to the centre Z of G satisfies the conditions of proposition 6.4.7),
then V is an admissible (respectively, essentially admissible) locally analytic G × Γrepresentation if and only if (Vb0 )st.sm is a coadmissible (Dla (H, K), Γ)-module (reˆ K Dla (H, K), Γ)-module), for one, or equivspectively, a coadmissible (C an (Ẑ, K) ⊗alently every, compact open subgroup H of G, in the sense of definition 7.1.17.
Proof. Let H be a compact open subgroup of Γ. Lemma 7.1.14 shows that the
space of invariants ((Vb0 )st.sm )H (= (Vb0 )H ) is naturally isomorphic to (V H )0b . Thus,by the definition of admissibility (respectively, essential admissibility) of a locally analytic G-representation, the space ((Vb0 )st.sm )H is a coadmissible Dla (H, K)ˆ K Dla (H, K)-module), equipped
module (respectively, a coadmissible C an (Ẑ, K) ⊗H
with its canonical topology, if and only if V is an admissible (respectively, essentially admissible) locally analytic representation of G. Taking into account thedefinition of coadmissibility of a topological (Dla (H, K), Γ)-module (respectively,
ˆ K Dla (H, K), Γ)-module), the proposition follows. (C an (Ẑ, K) ⊗Proposition 7.2.11. If V is an admissible continuous representation of G × Γ,then Vla is an admissible locally analytic representation of G × Γ.
Proof. It follows from corollary 7.2.6 that Vla is a locally analytic representationof G × Γ. It remains to show that for each compact open subgroup H of G, thespace (Vla )H is an admissible locally analytic representation of G. Proposition 7.2.5

144

MATTHEW EMERTON

shows that this space is naturally isomorphic to (V H )la , which proposition 6.2.4
shows is an admissible locally analytic representation of G. 
Proposition 7.2.12. If V is an admissible locally analytic representation of G, and
if W is a finite dimensional locally analytic representation of G, then the tensor
product V ⊗K W , regarded as a G × Γ-representation via the diagonal action of G
and the action of Γ on the left factor, is an admissible locally analytic representationof G × Γ.
Proof. As a Γ-representation, the tensor product V ⊗K W is isomorphic to a finite
direct sum of copies of V , and so is strictly smooth, since V is assumed to be so. If H
is a compact open subgroup of Γ, then the natural map V H ⊗K W → (V ⊗K W )His evidently a G-equivariant topological isomorphism. Since V H is assumed to
be an admissible locally analytic representation of G, we see by proposition 6.1.5
that the same is true of V H ⊗K W . Thus V ⊗K W satisfies the conditions ofDefinition 7.2.7. 
Now suppose that G is a linear reductive algebraic group defined over L, andthat G is an open subgroup of G(L). We can extend the notion of a locally algebraic
representation of G, discussed in section 4.2, to representations of G × Γ. As inthat section we let R denote the semi-simple abelian category of finite dimensional
representations of G. The functor from R to the category of G-representations isfully faithful.
Fix an object W of R. If V is a representation of G × Γ on an abstract Kvector space, then we may in particular regard V is a representation of G, andso (following proposition-definition 4.2.2) construct the space VW −lalg of locally
W -algebraic vectors of V . Since the formation of locally W -algebraic vectors isfunctorial in V , we see that VW −lalg is a G × Γ-invariant subspace of V .
Similarly, we may define the space Vlalg of all local algebraic vectors of V , asin proposition-definition 4.2.6. This is again a G × Γ-invariant subspace of V . If
Ĝ denotes a set of isomorphism class representatives
Lof irreducible objects of R,
then corollary 4.2.7 implies that the natural map
W ∈Ĝ VW −lalg → Vlalg is an
isomorphism.
Proposition 7.2.13. If V is an admissible locally analytic representation of G×Γ,and if W is an object of R, then VW −lalg is a closed G × Γ-invariant subspace of V .
Proof. It is evident that the natural map (V H )W −lalg → (VW −lalg )H is an isomorphism. Thus proposition 4.2.10 shows that (VW −lalg )H is a closed subspaceof V H for each compact open subgroup H of Γ. The proposition follows fromlemma 7.1.12. 
Proposition 7.2.14. If V is an admissible locally analytic representation of G × Γthat is also locally algebraic as a representation of G, then V is equipped with its
finest convex topology.
Proof. If H is a compact open subgroup of Γ then V H is an admissible locallyanalytic representation of G that is also locally algebraic as a representation of G.
It follows from corollary 6.3.7 that V H is equipped with its finest convex topology.
By assumption V is isomorphic to the locally convex inductive limit lim
V H , as H−→
H

ranges over all compact open subgroups of Γ. Thus V is also equipped with its
finest convex topology. LOCALLY ANALYTIC VECTORS IN REPRESENTATIONS OF p-ADIC GROUPS 145

Definition 7.2.15. If V is a representation of G × Γ that is locally algebraic as arepresentation of G, and that becomes admissible as a locally analytic representation when equipped with its finest convex topology, then we say that V (equippedwith its finest convex topology) is an admissible locally algebraic representation ofG × Γ. If V is furthermore locally W -algebraic, for some object W of R, then we
say that V is an admissible locally W -algebraic representation.
Proposition 7.2.16. If V is an admissible locally W -algebraic representation ofG × Γ, for some object W of R, then V is isomorphic to a representation of theform U ⊗B W, where B = EndG (W ) (a finite rank semi-simple K-algebra), U isan admissible smooth representation of G × Γ on a B-module (equipped with its
finest convex topology), and the G × Γ-action on the tensor product is defined by
the diagonal action of G, and the action of Γ on the first factor. Conversely, anysuch tensor product is an admissible locally W -algebraic representation of G × Γ.
Proof. Proposition 4.2.10 yields a G × Γ-equivariant topological isomorphism U ⊗B∼
W −→ V. Let W̌ denote the contragredient representation to W . Proposition 7.2.12
shows that Hom(W, V ) (which is naturally isomorphic to the tensor product V ⊗K
W̌ ) is an admissible locally analytic representation of G × Γ, and hence (by proposition 7.2.8 (ii)) the same is true of its closed subspace U = Homg (W, V ), equipped∼with its natural G×Γ action. Thus there is a topological isomorphism lim
U H −→ U−→
H(the locally convex inductive limit being taken over all compact open subgroups Hof Γ). By corollary 6.3.3, each of the spaces U H is an admissible smooth representation of G, equipped with its finest convex topology. Thus U is an admissible
smooth representation of G × Γ, and is equipped with its finest convex topology, as
claimed.
Now suppose given an object W of R, with algebra of endomorphisms B, anda B-linear admissible smooth representation U of G × Γ (equipped with its finest
convex topology). The remark preceding the statement of proposition 4.2.4 showsthat U ⊗B W is a locally W -algebraic representation of G × Γ. If H is any compact
open subgroup of Γ, then the natural map U H ⊗B W → (U ⊗B W )H is obviously
an isomorphism. The source of this map is the tensor product of an admissible
smooth representation of G and an object of R, and hence by proposition 6.3.9 isan admissible locally analytic representation of G. Since the natural map lim
U H ⊗B−→H

W → U ⊗B W is obviously an isomorphism, we see that U ⊗B W is an admissible
locally analytic isomorphism of G × Γ, as claimed. 
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Northwestern University
Department of Mathematics
2033 Sheridan Rd.
Evanston, IL 60208-2730, USA
E-mail address: emerton@math.northwestern.edu