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AN INTRODUCTION TO II1 FACTORS

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CYRIL HOUDAYER

Contents

1. Finite von Neumann algebras

1.1. Basics on von Neumann algebras

1.2. Finite von Neumann algebras

1.3. Orbit equivalence relations

2. Hilbert bimodules. Completely positive maps

2.1. Generalities

2.2. Dictionary between Hilbert bimodules and u.c.p. maps

2.3. Popas intertwining techniques

3. Approximation properties

3.1. Amenability

3.2. Property Gamma

3.3. Haagerup property

4. Rigidity of II1 factors

4.1. Rigid inclusions of von Neumann algebras

4.2. Applications to rigidity of II1 factors

4.3. Uniqueness of Cartan subalgebras

Appendix A. Polar decomposition of a vector

Appendix B. Von Neumanns dimension theory

Appendix C. Ultraproducts

Appendix D. On the geometry of two projections

References

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Key words and phrases. Finite von Neumann algebras; Equivalence relations; Hilbert bimodules; Amenability; Haagerup property; Relative property (T); Cartan subalgebras.

Research partially supported by ANR grant AGORA.

1

CYRIL HOUDAYER

1.1. Basics on von Neumann algebras. Let H be a separable complex Hilbert

space. We shall denote by h, i the inner product on H that we assumed to be

linear in the first variable (and conjugate linear in the second one). Let B(H) be

the algebra of all bounded linear maps T : H H. This is a Banach algebra for

the uniform norm:

kT k = sup kT k.

kk1

naturally endowed with -operation called the adjonction defined as follows:

hT , i = h, T i, , H.

We have (T ) = T , kT k = kT k and

kT T k = kT T k = kT k2 .

Thus, B(H) is a C -algebra. We can define several weaker topologies on B(H) as

well, in the following way. Let (Ti ) be a net of operators in B(H).

Topology

Ti 0

norm

kT

k

0

i

P

2

2

ultra--strong

(kT

k

+

kT

k

)

0, (n ) `2 H

i

i

n

i

n

2

2

-strong

kTi kP+ kTi k 0, H

2

ultrastrong

0, (n ) `2 H

n kTi n k

strong

kTi k 0, H

P

2

ultraweak

hT

n i n , n i 0, (n ), (n ) ` H

weak

hTi , i 0, , H

For a non-empty subset S B(H), define the commutant of S in B(H) by

S 0 := {T B(H) : xT = T x, x S}

One can then define inductively S 00 = (S 0 )0 , S (3) = (S 00 )0 , S (k+1) = (S (k) )0 , for all

k 1. It is easy to see that

S

S 00

(k)

S (k+2) , k 1.

Neumann algebra if M 00 = M .

Theorem 1.2 (Von Neumanns Bicommutant Theorem). Let M B(H) be a

unital -subalgebra. The following are equivalent:

(1) M 00 = M .

(2) M is strongly closed.

(3) M is weakly closed.

Proof. We only sketch the proof.

(1) = (2) is clear since commutants are always strongly closed.

(2) = (1). Let x M 00 . Let

V(x, 1 , . . . , n , ) := {y B(H) : kxi yi k < , i = 1, . . . , n}

be a strong neighborhood of x in B(H). Let K = `2n H and observe that B(K) =

Mn (C) B(H). Let = (1 , . . . , n ) K. Define V = (1 M ) K. Since

corresponding orthogonal projection. Since (1 a)PV = PV (1 a), a M , it

follows that 1 x commutes with PV , since x M 00 . Thus (1 x) V and we can

find y M such that (1 x) = (1 y), so in particular y N (x, 1 , . . . , n , ).

Then M 00 is contained in the strong closure of M and hence M = M 00 .

The fact that (2) and (3) are equivalent follows from Hahn-Banach Separation

Theorem (M is convex since it is a vector subspace!).

1.2. Finite von Neumann algebras. A von Neumann algebra M is said to be

finite, if every isometry v M is a unitary, i.e.

v v = 1 = vv = 1, v M.

One can show that a von Neumann algebra is finite if and only if it has a faithful

normal tracial state : M C:

is a positive linear functional with (1) = 1.

is faithful, i.e. x M , (x x) = 0 = x = 0.

is normal, i.e. is weakly continuous on (M )1 , the unit ball of M with

respect to the uniform norm k k .

is a trace, i.e. x, y M , (xy) = (yx).

An infinite dimensional finite von Neumann algebra M with trivial center, i.e.

M 0 M = C, is called a II1 factor.

The most simple examples of finite von Neumann algebras are the following:

(1) Abelian von Neumann algebra. Let (X, ) be a standard probability

space. Represent L (X, ) on the Hilbert space L2 (X, ) by multiplication

(f )(x) = f (x)(x), f L (x, ), L2 (X, ).

The von Neumann algebra M = L (X, ) comes equippedR with the trace given

by integration against the probability measure , i.e. = d.

(2) Group von Neumann algebra. Let be a countable discrete group. The

left regular representation : U(`2 ()) is defined as follows

s t = st .

The von Neumann algebra of is then defined by

L() = {s : s }00 .

The canonical trace on L() is = he , e i. One checks that L() is a II1 factor

if and only if the group has infinite conjugacy classes (icc), that is, t 6= e, the

set {sts1 : s } is infinite.

Exercise 1.3. Let T = [Tst ]s,t B(`2 ()), with Tst = hT t , s i. Show that

T L() if and only if T is constant down the diagonals, i.e. Tst = Txy whenever

st1 = xy 1 .

b is a second countable compact

Assume that is abelian. Then the dual

2

2 b

abelian group. Write F : ` () L () for the Fourier transform which is defined

by F(s ) = 7 hs, i. We get a canonical identification

b = FL()F .

L ()

(3) Group measure space construction. Let y (X, ) be a probability measure preserving (p.m.p.) action. Define an action : y L (X) by

CYRIL HOUDAYER

: U(L2 (X))

the corresponding Koopman representation. We regard L (X) = L (X) 1

B(L2 (X) `2 ()). The unitaries us = s s U(L2 (X) `2 ()), for s ,

satisfy the following covariance relation:

us F us = s (F ).

Observe that by Fells absorption principle, the unitary representation (us )s is

simply a multiple of the left regular representation. The crossed product von Neumann algebra is then defined by

(

)00

X

L (X) o =

B(L2 (X) `2 ()).

as us : as L (X)

finite

Z

X

(

as us ) =

ae d.

X

({x X : sx = x}) = 0, e 6= s .

It is moreover said to be ergodic if

A = A = (A)(1 (A)) = 0, A X.

One can check that the action is free if and only if L (X) is maximal abelian in

L (X) o . In that case, we say that L (X) is a Cartan subalgebra, i.e. L (X)

L (X) o is maximal abelian and regular. Moreover, L (X) o is a II1 factor

if and only if the action is ergodic.

Observe that when the probability space X = {pt} is a point, then the group von

Neumann algebra and the group measure space construction coincide, i.e. L (X)o

= L().

Let M be a finite von Neumann algebra and fix a faithful normal trace. We

endow M with the following sesquilinear form

hx, yi = (y x), x, y M.

Denote by L2 (M, ) or simply by L2 (M ) the completion of M p

with respect to

h, i . The corresponding k k2 -norm on M is defined by kxk2 = (x x). Write

M 3 x xb

1=x

b L2 (M ) for the natural embedding. Note that the unit vector b

1

is cyclic (i.e. M b

1 is dense in L2 (M )) and separating (i.e. xb

1 = 0 = x = 0) for M .

For every x, y M ,

kxyk22

= (y x xy)

(y kx xk y)

kxk2 kyk22 ,

(x)b

y=x

cy, x, y M.

This is the so-called GNS-representation. Observe that : M B(L2 (M )) is a

normal -representation and k(x)k = kxk . Abusing notation, we identify (x)

1

7 x b

1 L2 (M ) be

the canonical antiunitary.

Theorem 1.4. JM J = M 0 .

Proof. We first prove JM J M 0 . Let x, y, a, b M . We have

y , bb i = (bxa y ) = (y bxa )

\

hJxJyb

a, bbi = hxa

yi = hxJb

bi = hyJxJb

d

= hx

a , bc

a, J yc

a, bbi,

Claim. The faithful normal state x 7 hxb

1, b

1i is a trace on M 0 .

Let x M 0 . We first show that Jxb

1 = x b

1. Indeed, for every a M , we have

1, b

1i

hJxb

1, ab

1i = hJab

1, xb

1i = hx ab

b b

b b

= ha x 1, 1i = hx 1, a1i.

Let now x, y M 0 . We have

1i = hyb

1, Jxb

1i = hxb

1, Jyb

1i

1, b

1i = hyb

1, xb

hxyb

= hxb

1, y b

1i = hyxb

1, b

1i.

Denote the trace x 7 hxb

1, b

1i on M 0 by 0 . Define the canonical antiunitary

2

2

0 0

K on L (M , ) = M 0b

1 = L (M ) by Kxb

1 = x b

1, x M 0 . The first part of

1, which is

the proof yields KM 0 K M 00 = M . Since K and J coincide on M 0b

dense in L2 (M ), it follows that K = J. Therefore, we have JM 0 J M and so

JM J = M 0 .

This Theorem shows in particular that the commutant of the (left) group von

Neumann algebra L() inside B(`2 ()) is the right von Neumann algebra R(),

that is, the von Neumann algebra generated by the right regular representation of

the group .

Exercise 1.5. Show that the strong operator topology on (M )1 is given by the

norm k k2 . Thus, strong and -strong topologies coincide on (M )1 since kxk2 =

kx k2 , x M .

Let B M be a von Neumann subalgebra. One can show that there exists

a unique -preserving faithful normal conditional expectation EB : M B (see

Section 2 for details)1. The map EB : M B is unital completely positive and

moreover satisfies

EB (b1 xb2 ) = b1 EB (x)b2 , x M, b1 , b2 B.

We say that EB is B-B bimodular. If we denote by eB : L2 (M ) L2 (B) the

orthogonal projection, we have eB (xb

1) = EB (x)b

1, for every x M .

Proposition 1.6 (Fourier coefficients). Let y (X, ) be a p.m.p. action. let A =

L (X) and M = L (X) o . Every x M has a unique Fourier decomposition

X

x=

xs us ,

s

1These notes are nonlinear!

CYRIL HOUDAYER

2

with

A (xus ). The convergence holds for the k k2 -norm. Moreover, kxk2 =

P xs = E

2

s kxs k2 .

!

X

X

U

as us =

as s .

finite

finite

Then U b

1U = 1X e is a cyclic separating vector for M represented on the Hilbert

2

space L (X)`2 (). Abusing notation, we shall identify L2 (M ) with L2 (X)`2 ().

Under this identification eA is the orthogonal projection L2 (X) `2 () L2 (X)

Ce . Moreover

us eA us is the orthogonal projection L2 (X) `2 () L2 (X) Cs

P

and thus s us eA us = 1. Let x M . Regarding x(1X e ) L2 (X) `2 (),

we know that there exists as L2 (X) such that

X

X

x(1X e ) =

as s and kxk22 =

kas k22 .

s

Then we have

as s

= us eA us x(1X e )

= us eA us xeA (1X e )

= us EA (us x)(1X e )

= EA (xus )(1X s ).

P

It follows that as = EA (xus ). Therefore, we have x = s EA (xus )us and the

P

convergence holds for the k k2 -norm. Moreover, kxk22 = s kEA (xus )k22 .

Exercise 1.7. Let y (X, ) be a p.m.p. action. Let A = L (X) and M =

L (X) o .

(1) Show that y X is free if and only if A = A0 M (A is maximal abelian).

(2) Under the assumption that y X is free, show that M is a II1 factor if

and only if y X is ergodic.

(3) Assume that is icc. Show that M is a II1 factor if and only if y X is

ergodic.

Exercise 1.8. A von Neumann algebra M is diffuse if it has no minimal projection.

(1) Let N M be an inclusion of von Neumann algebras and let e N be a

projection. Show that e(N 0 M )e = (eN e)0 eM e.

(2) Let M be a finite von Neumann algebra. Show that M is diffuse if and only

if there exists a sequence of unitaries un U(M ) such that un 0 weakly.

For more on C -algebras and finite von Neumann algebras, we refer to the excellent book by Brown and Ozawa [2].

1.3. Orbit equivalence relations.

2The convergence does not hold in the strong topology.

1.3.1. Basic facts on measured equivalence relations. In this note, (X, ) will denote a nonatomic standard Borel probability space. A countable Borel equivalence

relation R is an equivalence relation defined on the space X X which satisfies:

(1) R X X is a Borel subset.

(2) For any x X, the class or orbit of x denoted by [x]R := {y X : (x, y)

R} is countable.

We shall denote by [R] the full group of the equivalence relation R, i.e. [R]

consists of all Borel isomorphisms : X X such that graph() R. The set of

all partial Borel isomorphisms : dom() range() such that graph() R will

be denoted by [[R]]. If is a countable group and (g, x) gx is a Borel action of

on X, then the equivalence relation given by

(x, y) R( y X) g , y = gx

is a countable Borel equivalence relation on X. Conversely, we have the following:

Theorem 1.9 (Feldman & Moore, [11]). If R is a countable Borel equivalence

relation on X, then there exist a countable group and a Borel action of on X

such that R = R( y X). Moreover, and the action can be chosen such that

(x, y) R g , g 2 = 1 and y = gx.

Given a countable Borel equivalence relation R on X, we say that is Rinvariant if

= , [R],

where (U) = (1 (U)), for any Borel U X. The following proposition is

useful and easy to prove:

Proposition 1.10. Let R be a countable Borel equivalence relation defined on X.

The following are equivalent:

(1) is R-invariant.

(2) is -invariant whenever is a countable group acting in a Borel way on

X such that R = R( y X).

(3) is -invariant for some countable group acting in a Borel way on X

such that R = R( y X).

(4) [[R]], (dom()) = (range()).

For any U X, we define the R-saturation of U by

[

[U]R =

[x]R

xU

{y X : x U, (x, y) R}.

We have U [U]R and [U]R is a Borel subset of X. We say that U X is Rinvariant if [U]R = U (up to null sets). The equivalence relation R is said to be

ergodic if any R-invariant Borel subset U X is null or co-null.

Exercise 1.11. Let R be a measured equivalence relation for which (almost) every

orbit is infinite.

Show that there exists a sequence (gn ) in [R] such that g0 = IdX

F

and R = n graph(gn ). In other words, we can write the equivalence relation R as

a countable disjoint union of graphs of elements in the full group [R].

CYRIL HOUDAYER

relation R defined on (X, ), we always mean a countable Borel equivalence relation

such that the measure is R-invariant. When we write U X, we always mean a

Borel subset of X. From now on, we will neglect null sets, i.e. whenever a property

is true for every x X, we mean for -almost every x X. From now on, we will

always assume that (almost) every orbit of R is infinite, that is, R is a type II1

equivalence relation.

We define now a Borel measure on R. For W R a Borel subset, we define

Wx = {y X : (x, y) W} and W y = {x X : (x, y) W}. We define on R by

Z

(W) =

|Wx |d(x), W R.

X

Z

Z

|Wx |d(x) =

|W y |d(y), W R.

X

F

Proof. From Exercise 1.11, we know thatFR = n graph(gn ), for some gn [R]. Let

W R be a Borel subset. Then W = n (graph(gn ) W) and graph(gn ) W =

graph(n ) for n [[R]]. Thus, we can write W as a countable disjoint union

of graphs of [[R]]. Consequently, we just have to prove the equality when

W = graph(), for [[R]]. For any : dom() range() [[R]], we have

Z

(dom()) =

| graph()x |d(x)

ZX

(range()) =

| graph()y |d(y).

X

For i = 1, 2 let Ri be a countable Borel equivalence relation on (Xi , i ), and

assumed that i is Ri -invariant. We say that R1 and R2 are isomorphic and

denote R1 ' R2 if there exists a Borel isomorphism : X1 X2 , such that

1 = 2 and

(x, y) R1 ((x), (y)) R2 .

We will be using the following important fact. For : X1 X2 a Borel isomorphism such that 1 = 2 , we associate : L (X1 ) L (X2 ) defined by

( F )(x) = F (1 x), for any F L (X1 ), and any x X1 . Moreover the map

is an onto isomorphism (see [28, Proposition XIII.1.2]).

1.3.2. Construction of the von Neumann algebra of R. We define the left regular

representation of the equivalence relation R on the Hilbert space L2 (R, ). For

: dom() range() [[R]] and L2 (R, ), set

(u )(x, y) = 1range() (x)(1 (x), y), (x, y) R.

In other words, (u )(x, y) = (1 (x), y) if x range() and 0 otherwise. The

von Neumann algebra L (X) acts in the following way. If F L (X) and

L2 (R, ), we have

(F )(x, y) = F (x)(x, y), (x, y) R.

F (x) = 1range() (x)F (1 (x)).

In other words, F (x) = F (1 (x)) if x range() and 0 otherwise.

Note that, we can also define the right regular representation of R on L2 (R, )

in the following way: for : dom() range() [[R]] and L2 (R, ), set

(v )(x, y) = 1range() (y)(x, 1 (y)), (x, y) R.

Exercise 1.13. Show that for any , [[R]], we have

(1) u u = u .

(2) u = u1 .

(3) u u = 1dom() and u u = 1range() .

(4) u F = F u , for any F L (X).

Definition 1.14 (Feldman & Moore, [12]). The von Neumann algebra L(R)

B(L2 (R, )) of the equivalence relation R is then defined as follows:

L(R) := W {u : [[R]]}.

Likewise, we define R(R) = W {v : [[R]]}. It is trivial to check that

L(R) R(R)0 . Define the canonical anti-unitary J : L2 (R, ) L2 (R, ) by

(J)(x, y) = (y, x), for any L2 (R, ), for any (x, y) R.

Proposition 1.15. Denote by 0 = 1D L2 (R, ) the characteristic function

corresponding to the diagonal D R.

(1) 0 is a cyclic separating vector for L(R).

(2) The vector state = h0 , 0 i is a faithful normal trace on L(R). In particular, L(R) is a finite von Neumann algebra.

(3) For any [[R]], Ju J = v . In particular, L(R) = R(R)0 .

Proof. (1) Write 0 = 1D , where D R is the diagonal. For [[R]], we have

1graph() = u1 0 . Recall that R can Fbe written as a countable disjoint union

of graphs

F of Borel isomorphisms R = n graph(gn ). Take any W R. Then

W = n Wn , with Wn = W graph(gn ). Since Wn is the graph of a partial Borel

isomorphism, it follows that 1W L(R)0 . Consequently, 0 is cyclic for L(R).

Exactly in the same way, 0 is cyclic for R(R), hence separating for L(R).

(2) It suffices to prove that (u u ) = (u u ), for every , [[R]]. Let

, [[R]]. We have

Z

(u u ) =

1{x=()1 (x)} (x)d(x)

ZX

=

1{x=1 1 (x)} (x)d(x)

X

Z

=

1{x0 =1 1 (x0 )} (x0 )d(x0 ) (x0 = 1 (x))

X

Z

=

1{x=()1 (x)} (x)d(x)

X

(u u ).

It follows that JL(R)J = R(R). By the general theory of finite von Neumann

algebras (see Proposition 1.4), we get L(R) = R(R)0 .

10

CYRIL HOUDAYER

exists a unique -preserving faithful normal conditional expectation EA : M A.

In order to know EA , it is sufficient to compute EA (u ) for any [[R]]. Denote

by eD : L2 (R) L2 (D, 0 ) the orthogonal projection.

Proposition 1.16. We have

(1) EA (ug ) = 1{x=g1 x} , g [R].

(2) eD (x0 ) = EA (x)0 , x L(R).

Proof. In order to prove (1) and (2), it suffices to show that EA (u ) = 1{x=1 (x)} ,

for every [[R]]. Let , [[R]]. Write f = 1{x=1 (x)} L (X). Then, we

have

Z

(EA (u )u ) =

EA (u )(x)1{x=1 (x)} (x)d(x)

X

Z

=

EA (u 1{x=1 (x)} )(x)d(x)

X

=

=

=

Z

1{x=1 (x)} (x)f (x)d(x)

X

Z

f (x)1{x=1 (x)} (x)d(x) = (f u ).

X

1{x=1 (x)} .

Proposition

1.17. Let (gn ) be a sequence in [R] such that g0 = IdX and R =

F

1

).

Then any x L(R) can be uniquely written

graph(g

n

n

X

x=

an ugn ,

n

where an A.

Proof. Since R =

graph(gn1 ), we have

M

L2 (R, ) =

L2 (graph(gn1 ), n ),

n

EA (xugn ). Recall that 1graph(gn1 ) = ugn 0 . Denote by eD : L2 (R, ) L2 (D, 0 )

the orthogonal projection. It is easy to check that ugn eD ugn is the orthogonal

projection L2 (R, ) L2 (graph(gn1 ), n ). We have

ugn eD ugn (x0 )

= ugn EA (ugn x)0

= ugn EA (ugn x)ugn ugn 0

= EA (xugn )ugn 0 .

2

Therefore x0 =

n EA (xugn )ugn 0 in L (R, ) and so x =

where the convergence holds for the k k2 -norm.

EA (xugn )ugn

Proposition 1.18. Denote M = L(R) and A = L (X). Then

11

(2) NM (A)00 = M , i.e. A M is regular.

P

Proof. (1) Let u U(A0 M ). As before we may write u = n an ugn for some

gn [R]. Fix F L (X). Since uF = F u, we get an (Fgn F ) = 0, for any n.

Thus, for any x supp(an ), F (gn1 (x)) = F (x).

P Using a previous remark, we get

gn1 (x) = x, for any x supp(an ). Thus, u = n an 1supp(an ) A.

(2) It is trivial once we noticed that M = (A {ug : g [R]})00 .

From this proposition, it follows that Z(M ) = M 0 M A0 M = A. Moreover,

for any U X, we have the following

U = [U]R gU = U, g [R].

Indeed, assume that U = [U]R and fix g [R]. For any x U, since (x, gx) R,

then gx U. Conversely, assume that gU = U, for any g [R]. Recall that there

exists a countable group and a p.m.p. action of on X such that R = R( y X).

If (x, y) R, with x U, there exists g such that y = gx. But then y U.

Thus we obtain:

Proposition 1.19. L(R) is a factor if and only if R is ergodic.

Then we summarize what we did so far in the following theorem:

Theorem 1.20. Let (X, ) be a nonatomic probability space. Let R be an ergodic

countable Borel equivalence relation on X such that is R-invariant. Then L(R)

is a II1 factor and L (X) L(R) is a Cartan subalgebra.

1.3.3. The full group of R and consequences. Denote A = L (X) and M = L(R).

We prove the following:

Theorem 1.21. We have

[R] = NM (A)/U(A).

P

Proof. Let u NM (A). As before, we may write u = n an ugn , for some an A,

gn [R]. We know that there exists a Borel isomorphism : X X such that

= and uF u = F , for any F A. Thus, uF = F u and so an (Fgn F ) =

0, for any n and any F A. Hence, for any x supp(an ), for any F A

F (gn1 (x)) = F (1 (x)).

Denote Y =

have

1X\Y an ugn = 0

We have constructed a group morphism

:

NM (A) [R]

u 7

ker() = U(A). This completes the proof.

Corollary 1.22. We have NM (A) = U(A) o [R].

12

CYRIL HOUDAYER

1 U(A) NM (A) [R] 1

is exact. It moreover splits with the following section

s:

[R] NM (A)

.

g 7 ug

Denote Ai = L (Xi ) and Mi = L(Ri ). Then

R1 ' R2 (A1 M1 ) ' (A2 M2 ).

Proof. = First assume that R1 ' R2 . Then there exists a Borel isomorphism

: X1 X2 such that 1 = 2 and for any (x, y) X1 X1 , (x, y) R1 iff

((x), (y)) R2 . We define a unitary as follows:

U:

L2 (R1 , 1 ) L2 (R2 , 2 )

7 (x, y) 7 (1 (x), 1 (y)) .

(U ug U )(x, y)

= (g 1 1 (x), y)

(U F U )(x, y)

= F (1 (x))(x, y).

is an onto -isomorphism such that (A1 ) = A2 .

= Assume now that there exists an onto -isomorphism : M1 M2 such

that (A1 ) = A2 . We know that there exists a Borel isomorphism : X1 X2

such that 1 = 2 and (F ) = F , for any F A1 . Fix g [R1 ]. Since ug

normalizes A1 inside M1 , it follows that (ug ) normalizes A2 inside M2 . Thus there

exist h [R2 ] and v U(A2 ) such that (ug ) = uh v.

Fix F A1 . From the one hand, we know that ug F ug = Fg . Thus we obtain

(ug F ug ) = (Fg ) = (Fg ) . On the other hand, we have

(ug F ug )

= uh vF v uh

= uh F uh

=

(F )h .

g = h on X1 . For any x X1 , ((x), g(x)) = ((x), h(x)) R2 , since

h [R2 ].

Let now (x, y) R1 . We know that there exists g [R1 ] such that y = gx.

Thus, ((x), (y)) = ((x), g(x)) R2 . Reasoning exactly the same way with

1 , we obtain that is an isomorphism of equivalence relations.

1.3.4. Group actions and their orbit equivalence relations. Given a p.m.p. action

y (X, ), one can associate the orbit equivalence relation R( y X) defined by

(x, y) R( y X) s , y = sx.

When the action y X is free, the map

( X, counting ) 3 (s, x) 7 (x, sx) (R( y X), )

13

Exercise 1.24. Let y (X, ) be a free p.m.p. action. Show that the von

Neumann algebra of the orbit equivalence relation L(R( y X)) and the group

measure space construction L (X) o are -isomorphic.

Definition 1.25. Let y (X, ) and y (Y, ) be two free p.m.p. actions. We

shall say that

(1) y (X, ) and y (Y, ) are conjugate if there exist a p.m.p. Borel

isomorphism : (X, ) ' (Y, ) and a group isomorphism : ' such

that (sx) = (s)(x), s , x X.

(2) y (X, ) and y (Y, ) are orbit equivalent (abbreviated OE) if there

exist a p.m.p. Borel isomorphism : (X, ) ' (Y, ) such that (x) =

(x), x X.

(3) y (X, ) and y (Y, ) are W -equivalent (abbreviated W E) if L (X)o

' L (Y ) o .

Let A = L (X) L (X) o = M and B = L (Y ) L (Y ) o = N .

Observe that Theorem 1.23 yields

y (X, ) OE y (Y, )

R( y X) ' R( y Y )

(A M ) ' (B N )

conjugacy = orbit equivalence = W -equivalence.

2. Hilbert bimodules. Completely positive maps

2.1. Generalities.

2.1.1. Hilbert bimodules. The discovery of the appropriate notion of representations

for von Neumann algebras, as so-called correspondences or bimodules, is due to

Connes [5].

Definition 2.1. Let M, N be finite von Neumann algebras. A Hilbert space H

is said to be an M -N -bimodule if it comes equipped with two commuting normal

-representations : M B(H) and : N op B(H). We shall intuitively write

x y = (x)(y op ), H, x M, y N .

We shall see that an M -M bimodule H is the analog of a unitary group representation : U(H ).

Example 2.2. The following are important examples of bimodules:

(1) The identity bimodule L2 (M ) with x y = xy.

(2) The coarse bimodule L2 (M ) L2 (N ) with x ( ) y = (x) (y). It

can be checked that as M -N -bimodules,

L2 (M ) L2 (N ) ' HS(L2 (M ), L2 (N ))

where HS(L2 (M ), L2 (N )) denotes the M -N -bimodule of Hilbert-Schmidt

operators on from L2 (M ) to L2 (N ).

(3) For any -preserving automorphism Aut(M ), we regard L2 (M ) with

the following structure: x y = x(y).

14

CYRIL HOUDAYER

L2 (B) the orthogonal projection. Consider the basic construction hM, eB i

which is the von Neumann subalgebra of B(L2 (M )) generated by M and eB .

We endow hM, eB i with the following semifinite trace: Tr(xeB y) = (xy),

for all x, y M (see Subsection 2.3). Then L2 (hM, eB i, Tr) is naturally endowed with a structure of M -M -bimodule. Moreover, as M -M -bimodules,

L2 (hM, eB i, Tr) ' L2 (M ) B L2 (M )

where B denotes Connes fusion tensor product (see [5, Appendix V.B]).

2.1.2. Unital completely positive maps. Let (M, M ), (N, N ) be finite von Neumann

algebras endowed with a fixed faithful normal trace. A linear map : M N is

said to be completely positive if the maps

n = Idn : Mn (C) M Mn (C) N

are positive for every n 1. We shall say that is unital if (1) = 1, and tracepreserving if moreover N ((x)) = M (x), for every x M .

Theorem 2.3 (Stinespring dilation). Let : M N be a (normal) u.c.p. map.

Then there exist a Hilbert space H, an isometry V : L2 (N ) H and a (normal)

-representation : M B(H) such that

(x) = V (x)V, x M.

Proof. Equip H0 = M alg L2 (N ) with the following sesquilinear form

X

X

X

h

ai i ,

bj j i =

h(bj ai )i , j iL2 (N )

i

i,j

and

P promote it to a Hilbert space H by separation and completion. Denote by

( j bj j ) the vector in H which it represents. Define now V : L2 (N ) H by

V = (1 ) . It is clear that V is an isometry, i.e. V V = 1L2 (N ) . For every

x M , we define a bounded linear operator (x) on H by

X

X

(x)(

bj j ) = (

xbj j ) .

j

V (x)V , x M .

It follows that a u.c.p. map : M N satisfies for every x M ,

(x x)

V (x x)V

(x) (x).

defined by

d x M.

T (b

x) = (x),

is bounded and kT k = 1.

Example 2.4. The following are important examples of -preserving u.c.p. maps:

(1) The trace : M M , the identity map Id : M M and more generally

all -automorphisms : M M which preserve the trace.

15

the orthogonal projection. Denote by EB : M B the unique -preserving

conditional expectation from M onto B which satisfies

\

E

x), x M.

B (x) = eB (b

It is easy to see that EB is indeed a u.c.p. map.

(3) Let M = L() be the von Neumann algebra of a countable group . Let

: C be a normalized positive definite function, i.e. for any finite

set F the matrix ((st1 ))s,tF is positive. Define the corresponding

-preserving u.c.p. map : L() L() by

X

X

(

as us ) =

(s)as us .

s

Exercise 2.5. Let : L() L() be a -preverving u.c.p. map. Show that

: C defined by (s) = ((us )us ) is a positive definite function.

2.2. Dictionary between Hilbert bimodules and u.c.p. maps.

2.2.1. From u.c.p. maps to Hilbert bimodules. Let : M N be a trace-preserving

u.c.p. map. Equip H0 = M L2 (N ) with the following sesquilinear form

X

X

X

h

ai i ,

bj j i =

h(bj ai )i , j iL2 (N )

i

i,j

H is a Stinespring Dilation of . Abusing notation, denote by b the vector in

H which it represents. The action is given by

a(b )x = (ab) (x),

for a M and x N . With the unit vector = 1 b

1 H , we have

hax, yiH = h(a)b

x, ybiL2 (N )

for every a M , x, y N . Since the u.c.p. map is assumed to be trace-preserving,

we get

h, i = M and h, i = N .

2.2.2. From Hilbert bimodules to u.c.p. maps. Let H be an M -N bimodule, with

a tracial unit vector , i.e. h, i = M and h, i = N . Then the linear operator

L : L2 (N ) H defined by L (b

x) = x is bounded and kL k = 1. For any

x, y N , we have

hb

x, L (y)iL2 (N )

hx, yiH

(xy )

hb

x, ybiL2 (N ) ,

the canonical antiunitary. Moreover, for any a M , L aL N . Indeed for any

y, z1 , z2 N , we have

h(L aL )(Jy J)zb1 , zb2 iL2 (N )

h(Jy

haz1 y, z2 iH

= haz1 , z2 y iH .

16

CYRIL HOUDAYER

N ((a)) = hL aL b

1, b

1i = ha, i = M (x),

it follows that is trace-preserving. We moreover have

h(a)b

x, ybiL2 (N ) = hax, yiH ,

We can now prove the uniqueness and existence of the trace-preserving faithful

normal conditional expectation EB : M B.

Proposition 2.6. Let (M, ) be a finite von Neumann algebra with a fixed trace

and let B M be a von Neumann subalgebra such that B = |B . Then there exists

a unique normal faithful trace-preserving conditional expectation EB : M B.

Proof. Consider the M -B-bimodule H = M L2 (M )B . The vector b

1 H is obviously

a unit tracial vector. Denote by EB the corresponding normal trace-preserving

u.c.p. map EB : M B. Recall

hxb

1a, b

1biH = hEB (x)b

a, bbiL2 (B) , x M, a, b B.

Let x M , a, b, c, d B. We have

b L2 (B)

hEB (axb)b

c, di

= haxbb

1c, b

1diH

= hxb

1bc, b

1a diH

di 2

b ad

= hEB (x)bc,

L (B)

b

= haEB (x)bb

c, diL2 (B) ,

0 = hEB (x x)b

1, b

1iL2 (B) = hx xb

1, b

1iH = kxk22 ,

and so x = 0. Let E : M B be another trace-preserving conditional expectation.

Then

b L2 (B)

hEB (x)b

c, di

= hxb

1c, b

1diH

= (d xc)

= (E(d xc))

= (d E(x)c)

b L2 (B) ,

= hE(x)b

c, di

hence EB (x) = E(x). Therefore EB : M B is the unique normal faithful tracepreserving conditional expectation.

2.2.3. From unitary group representations to Hilbert bimodules. Let : U(H )

be a unitary representation of a countable discrete group . Let M = L() be the

group von Neumann algebra and denote by (us )s the canonical unitaries. Define

on K = H `2 () the following left and right commuting multiplications: for

every H and every s, t ,

us ( t )

(s s )( t ) = s st

( t ) us

(1H s1 )( t ) = ts .

17

It is clear that the right multiplication extends to the whole von Neumann algebra

M . Observe now that the unitary representations and 1H are unitarily

conjugate. Indeed, define U : H `2 () H `2 () by

U ( t ) = t t .

It is routine to check that U is a unitary and U (1H s )U = s s , for every

s . Therefore, the left multiplication extends to M . We have proven:

Proposition 2.7. The formulae above endow the Hilbert space K with a structure

of L()-L()-bimodule.

Observe that in the case = is the left regular representation of , the M -M bimodule K is nothing but the coarse bimodule L2 (M ) L2 (M ).

Exercise 2.8. Let : C be a normalized positive definite function. Let

(, H , ), with H unit vector, be the GNS-representation of , i.e., (s) =

hs , i, for all s . Show that the u.c.p. map associated to the bimodule K

satisfies

X

X

(

as us ) =

(s)as us .

s

Exercise 2.9. Prove the following dictionary between u.c.p. maps and Hilbert

bimodules:

u.c.p. maps

Hilbert bimodules

Id : M M

Identity bimodule L2 (M )

:M M

Coarse bimodule L2 (M ) L2 (M )

Automorphism : M M

L2 (M ) with x y = x(y)

EB : M M

L2 hM, eB i

2.3. Popas intertwining techniques.

2.3.1. The basic construction. Throughout this section, we will denote by M a finite

von Neumann algebra with a distinguished faithful normal trace . Let B M be

a unital von Neumann subalgebra. Let eB : L2 (M ) L2 (B) be the orthogonal

projection. We will denote by EB : M B the unique faithful normal -preserving

conditional expectation. It satisfies the following:

\

E

B (x)

EB (axb)

= eB (b

x),

= aEB (x)b, x M, a, b B.

The basic construction hM, eB i is the von Neumann subalgebra of B(L2 (M )) generated by M and the projection eB . Observe that JeB = eB J and eB xeB = EB (x)eB ,

x M .

Proposition 2.10. The following are true.

(1) hM, eB i = JB 0 J B(L2 (M )).

(2) The central support of eB in hM, eB i equals 1. In particular, the -subalgebra

span(M eB M ) is a -strongly dense in hM, eB i. The formula eB xeB =

EB (x)eB extends the conditional expectation EB : hM, eB i B.

(3) hM, eB i is endowed with a semifinite faithful normal trace defined by

Tr(xeB y) = (xy), x, y M

.

18

CYRIL HOUDAYER

Proof. (1) For x B, we clearly have xL2 (B) L2 (B) and xL2 (B) L2 (B) ,

hence xeB = eB x. If x M {eB }0 , then

EB (x)b

1 = eB (xb

1) = xeB (b

1) = xb

1.

Therefore x = EB (x) B. It follows that B = M {eB }0 . Thus,

JB 0 J = hJM 0 J, JeB Ji = hM, eB i.

(2) The map B 3 x 7 xeB BeB is a -isomorphism. Indeed, if xeB = 0,

then x = 0, for every L2 (B). Since x B, it follows that x = 0. Denote by

z(eB ) the central support of eB in B 0 . Then z(eB ) B and z(eB )eB = eB . Hence

z(eB ) = 1. Thus the central support of eB = JeB J in JB 0 J is equal to 1. It is

clear that I = span(M eB M ) is a -subalgebra of hM, eB i and a 2-sided ideal of

the -algebra generated by M and eB . Thus I is a closed 2-sided ideal of hM, eB i.

Moreover

IL2 (M ) = M eB L2 (M ) = M L2 (B) M b

1.

Since I is nondegenerate, we get I = hM, eB i.

(3) Since eB has central support 1 inP

hM, eB i, one can find partial isometries

(vi ) in hM, eB i such that vi vi eB and i vi vi = 1. It follows that

M

vi L2 (B) = L2 (M ).

i

X

Tr(x) =

hxvib

1, vib

1i, x hM, eB i+ .

i

1 = 0, for every i. For every b B, we have

xvi bb

1 = xvi Jb J b

1 = Jb Jxvib

1 = 0.

Therefore x = 0 and Tr is faithful. For every x, y M , we have

X

X

Tr(xeB y) =

hxeB yvib

1, vib

1i =

heB yvi eB b

1, eB x vi eB b

1i

i

1, EB (x vi )eB b

1i =

(EB (x vi ) EB (yvi ))

1, EB (vi y )eB b

1i

heB vi xeB b

1, eB vi y eB b

1i

= h

hvi vi xb

1, y b

1i

vi vi xb

1, y b

1i

= hxb

1, y b

1i = (xy).

in hM, eB i. For every x, y, z, t hM, eB i, we have

Tr(xeB yzeB t)

=

19

hM, eB i = {T B(L2 (M )) : T (b) = T ()b, L2 (M ), b B}.

Let HB be a right B-submodule of L2 (M )B . Write PH : L2 (M ) H for the

orthogonal projection. It is clear that PH hM, eB i. We define the von Neumann

dimension of HB by dim(HB ) := Tr(PH ).

Exercise 2.11 ([2]). Let (N, Tr) be a semifinite von Neumann algebra. Let =

{x N : kxk2,Tr 1}. Prove that the formal inclusion , L2 (N, Tr) is ultraweakweak continuous.

2.3.2. Intertwining subalgebras. In [23, 19], Popa introduced a very powerful tool

to prove the unitary conjugacy of two von Neumann subalgebras of a tracial von

Neumann algebra (M, ). If A (M, ) is a (possibly non-unital) von Neumann

subalgebras, denote by 1A the unit of A.

Theorem 2.12 (Popa, [23, 19]). Let (M, ) be a finite von Neumann algebra. Let

A M be a possibly non-unital von Neumann subalgebra and B M be a unital

von Neumann subalgebra. The following are equivalent:

(1) There exist n 1, a possibly non-unital -homomorphism : A Mn (C)

B and a non-zero partial isometry v M1,n (C) 1A M such that

xv = v(x), x A.

(2) There exists a nonzero A-B-subbimodule H of

2

A L (1A M )B

such that

dim(HB ) < .

(3) There exists a nonzero element d A0 1A hM, eB i+ 1A such that

Tr(d) < .

(4) There is no sequence of unitaries (uk ) in A such that

lim kEB (a uk b)k2 = 0, a, b 1A M.

embeds into B inside M and denote A M B. For simplicity, we shall write

M n := Mn (C) M .

Proof. We first prove that (1), (2), (3) are equivalent. Then we show (1) = (4)

and (4) = (3).

(1) = (2). Take a nonzero component of v M1,n (C) 1A M that we may

Pn

assume to be v1 . Set w = v1 . We have Aw

j=1 vj B. Define H = AwB.

2

2

Therefore H v(`n L (B)) and dim(HB ) n.

(2) = (3). Write d = PH . Then d hM, eB i+ and Tr(d) = dim(HB ) < .

Since H is moreover a left A-module, we have ad = da, for every a A, hence

d A0 1A hM, eB i+ 1A such that 0 < Tr(d) < .

(3) = (1). Write q = 1[kdk /2,kdk ] (d) for the nonzero spectral projection of

d. We get that K = qL2 (M ) is a nonzero A-B-subbimodule of L2 (1A M ) such that

dim(KB ) = Tr(q) < . Thus, cutting down by a central projection of B (see [29,

Lemma C.1]), we get a nonzero A-B-subbimodule H L2 (1A M ) which is finitely

generated over B. Hence, we can take n 1, a projection p B n and a right

B-module isomorphism

: pL2 (B)n H.

20

CYRIL HOUDAYER

satisfying x() = ((x)) for all x A, and pL2 (B)n . Define now ej

L2 (B)n as ej = (0, . . . , b

1, . . . , 0) and = (1 , . . . , n ) M1,n (C) H, with j =

(pej ). Let j {1, . . . , n}. For any x A, write (x) = (kl (x))kl pB n p. We

have

n

X

xj = x(pej ) = ((x)pej ) = (p(x)ej ) = (p

ij (x)ei )

i=1

=

=

=

=

n

X

i=1

n

X

i=1

n

X

i=1

n

X

((pei )ij (x))

(pei )ij (x) ( is a right B-module isomorphism)

i ij (x).

i=1

B(L2 (M ) L2 (M )n ), define

x

0

Xx =

, x A.

0 (x)

In the space L2 (M n+1 ), define

=

0

0

.

0

obtain Xx = Xx , for all x A. Denote by T the corresponding unbounded

operator affiliated with M n+1 . and write T = V |T | for its polar decomposition

(see Appendix A.1). We get Xx V = V Xx , for every x A, and V V 1An+1 .

Write

u v

V =

.

v0 w

It is straightforward to check that v M1,n (C) 1A M is a partial isometry from

ker w onto ker u such that xv = v(x), for every x A.

(1) = (4). By contradiction, assume that there exists a sequence of unitaries

(uk ) be a sequence of unitaries in A such that limk kEB (a uk b)k2 = 0 for all a, b

1A M . Then k(Idn EB )(v uk v)k2 0. But for every k N, v uk v = (uk )v v.

Moreover, (uk ) U(pB n p) and v v p. Thus,

k(Idn EB )(v v)k2

= k(Idn EB )((uk )v v)k2

= k(Idn EB )(v uk v)k2 0.

(4) = (3). We can take > 0 and K 1A M finite subset such that

max kEB (a ub)k2 , u U(A).

a,bK

21

Note that

kEB (a ub)k22

=

Define

now the element c = aK aeB a in 1A hM, eB i+ 1A . Note that Tr(c) =

P

2

u U(A)}. Observe that C hM, eB i+ L (hM, eB i) is bounded for both kk and

k k2,Tr and is closed in L2 (hM, eB i). Let d C be the unique element of minimal

k k2,Tr -norm. Since kudu k2,Tr = kdk2,Tr for all u U(A), we get u du = d, and

so d A0 1A hM, eB i+ 1A . We show now that d 6= 0. For all u U(A), we have

X

X

Tr(eB b (u cu)beB ) =

Tr(eB (a ub) eB (a ub)eB )

P

bK

a,bK

a,bK

kEB (a ub)k22 2 .

a,bK

Consequently, using the facts that Tr(eB eB ) is a normal state on the basic construction hM, eB i and d C, we get

X

Tr(eB b dbeB ) 2 .

bK

group on a finite von Neumann algebra B. Denote by (vs )s the canonical

unitaries in M which implement the action. It is straightforward to see that A M

B if and only if there a sequence of unitaries un U(A) such that

lim kEB (un vs )k2 = 0, s .

n

In the case when A and B are maximal abelian in M , one can get a more precise

result (see [19, Theorem A.1]).

Proposition 2.13 (Popa, [19]). Let (M, ) be a finite von Neumann algebra. Let

A, B M be a maximal abelian von Neumann subalgebras. The following are

equivalent:

(1) A M B.

(2) There exists a nonzero partial isometry v M such that vv A, v v B

and v Av = Bv v.

Proof. We only need to prove (1) = (2). The proof follows the one of [19, Theorem

A.1]. We will use exactly the same reasoning as in the proof of [29, Theorem C.3].

Since A M B, we can find n 1, a nonzero projection q Mn (C) B, a

nonzero partial isometry w M1,n (C) pM and a unital -homomorphism :

A q(Mn (C) B)q such that xw = w(x), x A. Since we can replace q by an

equivalent projection in Mn (C) B, we may assume q = Diagn (q1 , . . . , qn ) (see for

instance second item in [29, Lemma C.2]). Observe now that Diagn (q1 B, . . . , qn B)

is maximal abelian in q(Mn (C)B)q. Since B is abelian, q(Mn (C)B)q is of finite

type I. Since A is abelian, up to unitary conjugacy by a unitary in q(Mn (C) B)q,

we may assume that (A) Diagn (q1 B, . . . , qn B) (see [29, Lemma C.2]). We can

22

CYRIL HOUDAYER

from the beginning.

Write e = ww A (since A0 pM p = A) and f = w w (A)0 qM q. By

spatiality, we have

f ((A)0 qM q)f = ((A)f )0 f M f = (w Aw)0 f M f = w Aw,

which is abelian. Let Q := (A)0 qM q, which is a finite von Neumann algebra.

Since Bq Q is maximal abelian and f Q is an abelian projection, [29, Lemma

C.2] yields a partial isometry u Q such that uu = f and u Qu Bq. Define

now v = wu. We get

v Av = u w Awu = u f ((A)0 qM q)f u Bq.

Moreover vv = wuu w = wf w = e A. Since v Av and Bv v are both maximal

abelian, we get v Av = Bv v.

We can even go further if we moreover assume that A, B M are both Cartan

subalgebras and M is a II1 factor (see [19, Theorem A.1]).

Theorem 2.14 (Popa, [19]). Let M be a II1 factor. Let A, B M be Cartan

subalgebras. The following are equivalent:

(1) A M B.

(2) There exists u U(M ) such that uAu = B.

Proof. We only need to prove (1) = (2). By Proposition 2.13, there exists a

nonzero partial isometry v M such that vv A, v v B and v Av = Bv v.

Since A is diffuse, we may shrink vv A so that (vv ) = 1/n, for some n N.

Write p1 = vv , q1 = v v and take projections p2 , . . . , pn A, q2 , . . . , qn B

such that (pi ) = (qj ) = 1/n. Since NM (A)00 = NM (B)00 = M and M is a II1

factor, a classical exhaustion argument gives partial isometries ui , wj M such that

p1 = ui ui , pi = ui ui , ui Aui = Aui ui , ui Aui = Aui ui and likewise q1 = wj wj ,

qj = wj wj , wj Bwj = Bwj wj , wj Bwj = Bwj wj . Define

u=

n

X

ui v wi .

i=1

3. Approximation properties

3.1. Amenability.

3.1.1. Noncommutative Lp spaces. We refer to [27, Chapter IX] for the details of

the following facts on noncommutative Lp spaces. Let (N , Tr) be a semifinite

von Neumann algebra endowed with a faithful, normal, semifinite trace Tr. For

1 p < , we define the Lp -norm on N by kxkp = Tr(|x|p )1/p . By completing

{x N : kxkp < } with respect to the Lp -norm, we obtain a Banach space Lp (N ).

We only deal with L1 (N ), L2 (N ), and L (N ) = N . The trace Tr extends to a

contractive linear functional on L1 (N ). We occasionally write x

b for x N when

regarded as an element in L2 (N ). For any 1 p, q, r , with 1/p + 1/q = 1/r,

there is a natural product map

Lp (N ) Lq (N ) 3 (x, y) 7 xy Lr (N )

23

which satisfies kxykr kxkp kykq , x, y. The Banach space L1 (N ) is identified with

the predual of N under the duality

L1 (N ) N 3 (, x) 7 Tr(x) C.

The Banach space L2 (N ) si identified with the GNS-Hilbert space L2 (N , Tr). Elements in Lp (N ) can be regarded as closed operators on L2 (N ) which are affiliated with N and hence in addition to the above-mentioned product, there are

well-defined notions of positivity, square root, etc... We shall use the generalized

Powers-Strmer Inequality (see [27, Theorem IX.1.2]):

k|| ||k22 k 2 2 k1 k + k2 k k2 , , L2 (N ).

The Hilbert space L2 (N ) is an N -N bimodule such that hxy, i = Tr(xy ),

x, y N , , L2 (N ). We also recall

the following formulae. Let fa be the

characteristic function of the interval ( a, +). For any , L2 (N )+ , we have

(see [7, Proposition 1.1] and [27, Theorem IX.2.14])

Z

2

kfa ()k2 da = kk22 ,

0

Z

2

kfa () fa ()k2 da k k2 k + k2 .

0

Let H be a complex separable Hilbert space and let (N , Tr) = (B(H), Tr),

where Tr is the canonical trace on B(H). Then, L1 (B(H)) can be identified with

the space of trace-class operators on H, denoted by S1 (H) in the sequel. In the

same way, L2 (B(H)) can be identified with the space of Hilbert-Schmidt operators

on H, denoted by S2 (H) in the sequel.

Let (M, ) be a finite von Neumann algebra, denote by H = L2 (M, ) its L2 space with respect to the finite trace . The Hilbert space H is endowed with a

c , x M . In the sequel, we shall simply

canonical anti-unitary J defined by J x

b=x

The following linear map

U:

XH H

k k

k

S

2 (H)

X

7

h, k ik

k

Moreover, for any , H, for any x M ,

U (x )

= h, ix = xh, i = xU ( )

U ( x)

structure, as a two-sided ideal of B(L2 (M )), is identified with the so-called coarse

correspondence L2 (M ) L2 (M ).

Finally, note that the symbol Lim will be used for a state on ` (N) or more

generally on ` (I) with I directed set.

3.1.2. Amenable finite von Neumann algebras. Recall that a countable discrete

group is amenable if one the following equivalent conditions holds:

There exists a -invariant state : ` () C, i.e. (s f ) = (f ), for all

s , f ` ().

24

CYRIL HOUDAYER

limn ks n n k2 = 0, for all s .

Let (M, ) be a finite von Neumann algebra with separable predual. Denote H =

L2 (M, ). We regard M B(H) through the GNS-construction. A state on

B(H) is said to be M -central if Ad(u) = , u U(M ).

Theorem 3.1 (Connes, [7]). Let M be a finite von Neumann algebra. The following

are equivalent:

(1) There exists a conditional expectation E : B(H) M .

(2) There exists an M -central state on B(H) such that |M = .

(3) There exists a net of unit vectors (n ) in S2 (H) such that hxn , n i (x),

x M , and k[n , u]k2 0, u U(M ).

Proof. (1) = (2). Let E be a conditional expectation from B(H) onto M . Denote

= E. Then x B(H), u M , one has

(uxu ) = (E(uxu )) = (uE(x)u ) = (E(x)) = (x).

Thus, the state is M -central and |M = .

(2) = (3). Let be an M -central state on B(H) such that |M = . Take a

net (n ) of positive norm-one elements in S1 (H) such that Tr(n ) converges to

pointwise. Then x B(H), u U(M ), one has

lim Tr((n Ad(u)n )x)

n

by assumption. It follows that the net (n Ad(u)n ) in S1 (H) converges to 0 in

the weak topology. By the Hahn-Banach Separation Theorem, one may assume,

by passing to finite convex combinations, that the net (n Ad(u)n ) in S1 (H)

converges to 0 in norm. Thus, k[u, n ]k1 0, u U(M ). Define the unit vectors

1/2

n = n S2 (H). Using the Powers-Strmer Inequality, u U(M ),

k[u, n ]k22

kun u n k22

kun u n k1

k[u, n ]k1 .

limhxn , n i =

n

n

n

(3) = (1). Assume that there exists a net of unit vectors (n ) in S2 (H) such

that hxn , n i (x), x M , and k[n , u]k2 0, u U(M ). Note that we also

have k[n , u]k2 0, u U(M ). Write n = wn n for the polar decomposition,

with n = (n n )1/2 0, kn k2 = 1, and wn partial isometry in B(H). Thus, n,

x B(H),

hxn , n i = Tr(xn n ) = Tr(xn2 ) = hxn , n i.

25

Inequality, n, u U(M ),

= kun u n k22

k[u, n ]k22

kun2 u n2 k1

= ku(n n ) (n n )uk1

Therefore, limn k[u, n ]k2 = 0. So, we may moreover assume that n 0, n. Thus,

c M ,

lim kn ck22

n

lim Tr(n2 cc )

n

= (cc ) = kck22, .

(x) = Limhxn , n i, x B(H).

n

get

|(bcyz)| = | Lim Tr(n2 bcyz)|

n

n

n

n

n

Take now x B(H), a M and write a = v|a| its polar decomposition in M .

Thus, we have a = (v|a|1/2 )|a|1/2 and

|(ax)|

= kak1, kxk .

It follows that |(ax)| kak1, kxk , a M , x B(H). By the duality

M = L1 (M ) , we know that there exists (x) M , such that (a(x)) = (ax),

a M , x B(H). It is straightforward to check that : B(H) M is a

conditional expectation.

The state in (2) of Theorem 3.1 is called a hypertrace. Condition (3) says

that the identity bimodule L2 (M ) is weakly contained in the coarse bimodule

L2 (M ) L2 (M ), that we usually denote by L2 (M ) weak L2 (M ) L2 (M ). This

is the analog of the notion of amenability in the case of groups since the identity

bimodule plays the r

ole of the trivial representation and the identity bimodule plays

the one of the left regular representation. For this reason, a finite von Neumann

algebra M which satisfies one of the equivalent conditions of Theorem 3.1 is said to

be amenable. Note that more generally for any M -M -bimodule H, L2 (M ) weak H

26

CYRIL HOUDAYER

and limn k[u, n ]k = 0.

Proposition 3.2. Let be a countable discrete group. Then, is amenable if and

only if the group von Neumann algebra L() is amenable.

Proof. Assume that is amenable. Denote by the left regular representation of

on `2 (). Then 1 , i.e. there exists a net of unit vectors (n ) in `2 () such

that limn kg n n k2 = 0, g G. We shall identify `2 () with the L2 -space of

L(). Denote the unit vector n = n n `2 () `2 () = S2 (`2 ()). Moreover,

we have for all g ,

kug n n ug k2

= kug n n n n ug k2

kug n n n n k2 + kn n n n ug k2

kg n n k2 + kg1 n n k2 .

satisfied, and L() is amenable.

Assume that L() is amenable. Let H = `2 (). By Condition (3) in Theorem

3.1, we know that there exists a sequence of unit vectors (n ) in H H such

that for any g , limn kug n n ug k2 = 0. Define the unitary representation

: U(H H) by

(g) = ug ug .

It is straightforward to see that is a mutiple of and that 1 . Consequently,

1 and is amenable.

Exercise 3.3. Let M be a diffuse amenable finite von Neumann algebra. Show

that a hypertrace given by Theorem 3.1 can never be normal on B(H).

Recall that a finite von Neumann algebra M is said to be approximately finite

dimensional (AFD) if there exists an

Sincreasing sequence of finite dimensional unital

-subalgebras Qn M such that n Qn is ultraweakly dense in M . Murray and

von Neumann showed in their seminal work the uniqueness of the AFD II1 factor.

The following is easy to prove.

Proposition 3.4. Let M be a finite AFD von Neumann algebra. Then M is

amenable.

Proof.S Let Qn M be a sequence of finite dimensional unital -subalgebras such

that n Qn is ultraweakly dense in M . Denote by n the (probability) Haar measure on the compact group U(Qn ). Fix (N)\N a free ultrafilter. For every

x B(L2 (M )) define

Z

E 0 (x) = lim

uxu dn (u).

n

U (Qn )

canonical antiunitary. Thus E : B(L2 (M )) M defined by E(x) = JE 0 (JxJ)J is

a conditional expectation.

The converse is Connes fundamental result.

Theorem 3.5 (Connes, [7]). Let M be a finite von Neumann algebra. Then M is

AFD if and only if M is amenable. There exists a unique amenable II1 factor. In

particular, all icc amenable countable discrete groups give the same II1 factor.

27

an amenable finite von Neumann algebra P . Show that M = P o is amenable.

3.2. Property Gamma.

Definition 3.7. A II1 factor M is said to have the property Gamma if for every

> 0 and every x1 , . . . , xn (M )1 , there exists u U(M ) such that (u) = 0 and

k[u, xi ]k2 < , for all 1 i n.

Theorem 3.8 (Connes, [8]). Let M be a II1 factor. The following are equivalent:

(1) M does not have property Gamma.

(2) There exists a non-trivial central sequence in M , i.e. M 0 M 6= C.

(3) M 0 M is diffuse.

Proof. For a free ultafilter , we will denote by : ` (N, M ) M the quotient

map. For (1) = (2), fix a free ultrafilter . Since M does not have property

Gamma, there exists a sequence of unitaries un U(M ) such that (un ) = 0 and

limn k[un , x]k2 = 0, for all x M . Define u = ((un )) U(M 0 M ). We have

that (u) = 0 and so M 0 M 6= C. For (2) = (3), let e M 0 M be a nonzero

projection such that e 6= 1. Write = (e) (0, 1). We may find a sequence of

projections en which represents e such ((en )) = e and (en ) = , for all n N.

Observe that (en ) is a central sequence and since M is a II1 factor, we have that

en weakly (by weak compactness of the unit ball (M )1 ). Thus we construct a

subsequence ekn which satisfies for every n N,

1

k[ej , ekn ]k2 <

n

1

, 1 j n.

| (ej ekn ) 2 | <

n

Define f := ((en ekn )) M 0 M . The previous inequalities show that f

M 0 M is indeed a nonzero projection such that f e and f 6= e, since (f ) =

2 < = (e). Therefore, M 0 M cannot have any minimal projections and

hence is diffuse.

(3) = (1). Assume that M 0 M is diffuse. Let e M 0 M be a projection

such that (e) = 1/2. We can then represent e = ((en )) with projections

en U(M ) such that (en ) = 1/2, for all n N. Therefore, u = 2e 1 M 0 M ,

with u = ((un )) and (un ) = 0, for all n N. Hence M does not have property

Gamma.

The next Theorem, due to Connes, gives a spectral gap characterization of property Gamma.

Theorem 3.9 (Connes, [7]). Let M be a II1 factor. The following are equivalent:

(1) M has property Gamma.

(2) There exists a sequence of unit vectors n L2 (M ) Cb

1 such that

lim kxn n xk2 = 0, x M.

n

2

Proof. (1) = (2) is clear. For (2) = (1), write = (n ) L2 (M ) . There are

two cases to consider.

Case (1): defines an element in L2 (M ). We have h, b

1i = 0 and x = x,

for all x M . Write = v|| for the polar decomposition of . We have that

28

CYRIL HOUDAYER

Gamma.

Case (2): does not define an element in L2 (M ). We start by proving

the following claim.

Claim. For every finite subset F U(M ), for every > 0, there exists a projection

e M such that (e) < and k[u, e]k2 < kek2 , for all u F .

By Proposition C.2, we know that

c > 0, a > 0, lim kfa (|n |)|n |k2 > c.

n

We may then choose a subsequence (kn ) such that kfn (|kn |)|kn |k2 c, for all n

N. Then with n = kfn (|k 1|)|k |k2 fn (|kn |)|kn |, we still have that limn kxn

n

n

n xk2 = 0, for all x M . Observe that for all a > 0,

n fa (n )n afa (n )

and so (fa (n )) 1/ a.

4

Let F U(M ) be a finite

subset and > 0. Let = /(4|F |). Choose n N

large enough such that 1/ n < and = n satisfies

X

k uu k22 < .

uF

Z

kfa ()k22 da = kk22 = 1

0

and

XZ

uF

k uu k2 k + uu k2

uF

2(|F |

k uu k22 )1/2

uF

p

< 2 |F |

Z

p

= 2 |F |

X

p

kfa () ufa ()u k22 < 2 |F |kfa ()k22 .

uF

Letting e = fa (), we have (e) (fa ()) < and kue euk2 < kek2 , for all

u F . The claim is proven.

The next claim uses a maximality argument.

Claim. For every finite subset F U(M ), for every > 0, there exists a projection

e M such that (e) = 1/2 and k[u, e]k2 < , for all u F .

Once the claim is proven, we are done. Indeed, we can construct a sequence of

projections en M such that (en ) = 1/2 and limn k[x, en ]k2 = 0, for all x M .

We the get a sequence of unitaries un = 2en 1, with (un ) = 0 and such that

limn k[x, un ]k2 = 0, for all x M . Hence, M has property Gamma. It only remains

to prove the claim.

29

such that:

E M is a projection such that (E) 1/2.

Each Uj U(M ) is a unitary commuting with E.

kUj uj k1 (E), for all 1 j k.

We define a partial ordering on I in the following way: we write i i0 if

E E 0 and kUj Uj0 k1 (E 0 E), 1 j k.

It is easy to see that if i i0 and i0 i00 , then i i00 . The set (I, ) is moreover

inductive. By Zorns Lemma, there exists a maximal element i = (E, U1 , . . . , Uk )

I. Assume that (E) < 1/2. We will deduce a contradiction. Let > 0 such

that (E) + < 1/2 and 4 . Let vj = (1 E)Uj = Uj (1 E) U(N ) where

N = (1E)M (1E). By the previous claim (with N ), we know that there exists a

projection e N such that N (e) < and k[vj , e]k2,N kek2,N , for all 1 j k.

By Proposition D.1, there exists wj U(N ) such that wj vj evj wj = e and

kwj (1 E)k1,N 2kvj evj ek1,N 4kvj evj ek2,N kek2,N 4N (e).

Let E 0 = E + e M . It is a projection stricly larger than E and such that

(E 0 ) 1/2. Let Uj0 = Uj E + wj vj . It is easy to see that Uj0 U(M ) and Uj0 is

commuting with E 0 . Moreover, kwj vj vj k1 4 (e), kUj0 Uj k1 4 (e). Since

4 and kUj uj k1 (E) by assumption, we get

kUj0 uj k1 (E + e) = (E 0 ), 1 j k.

The element i0 = (E 0 , U10 , . . . , Uk0 ) satisfies i i0 and i 6= i0 , which contradicts the

maximality of i I. Therefore, we have that (E) = 1/2. We have thus shown for

each > 0, the existence of a projection E M such that (E) = 1/2, [E, Uj ] = 0

and kUj uj k1 . We finally get

k[uj , E]k2 = k[uj Uj , e]k2 2kuj Uj k2 2(2)1/2 .

As > 0 is arbitrary, we are done.

(1) = (3). Assume that K(L2 (M )) C (M, M 0 ) 6= {0}. Since C (M, M 0 )

is a simple C -algebra, we get K(L2 (M )) C (M, M 0 ). Let (xn ) be a (uniformly bounded) central sequence in M . We get that [y, xn ] 0 -strongly for all

y C (M, M 0 ). Denote by PC : L2 (M ) C the orthogonal projection. Since

K(L2 (M )) C (M, M 0 ), we get [PC , xn ] 0 -strongly. We have that

lim kxn (xn )1k2 = lim k(xn PC PC xn )b

1k = 0,

n

(3) = (2). Assume that it is impossible to find a sequence of unit vectors n

like in (2). Then then exists > 0, a finite subset F U(M ) such that

max k uu k2 kk2 , L2 (M ).

uF

1 X

T =

uJuJ C (M, M 0 ).

|F |

uF

We have kT k 1, T b

1=b

1, so that b

1 is an eigenvector for the eigenvalue 1. We

show that T 1 is invertible on L2 (M ) Cb

1, so that there is a spectral gap at 1

30

CYRIL HOUDAYER

unit vectors k L2 (M ) Cb

1 such that limk k(T 1)k k2 = 0. We have

1 X

k(1 T )k k2 = k

(1 uJuJ)k k2 .

|F |

uF

Recall that a Hilbert space is uniformly convex. For all k N, we have that

X 1

kk uJuJk k2 = 2 2<hk , T k i = 2<hk , k T k i 2kk T k k2 .

|F |

uF

is absurd. Thus T 1 is invertible on L2 (M ) Cb

1 and there exists > 0 such

that Sp(T ) [1, 1 ] {1}. By continuous functional calculus, we get that

PC C (M, M 0 ) and so K(L2 (M )) C (M, M 0 ).

A closely related concept for groups is the one of inner amenability. A countable

discrete group G is said to be inner amenable if the adjoint representation Ad : G

U(`2 (G) Ce ) defined by Adg h = ghg1 contains a sequence of almost invariant

unit vectors. Examples of inner amenable groups include amenable groups, direct

product groups G H, where H is infinite amenable, Baumslag-Solitar groups.

Examples of groups which are not inner amenable include free groups Fn , n 2,

and property (T) groups. The following is easy to prove.

Proposition 3.10 (Effros, [10]). Then G be an icc countable discrete group. If

L(G) has property Gamma, then G inner amenable.

Proof. Assume L(G) has property Gamma. There exists a sequence of unitaries

vn U(M ) such that (vn ) = 0 and limn k[vn , x]k2 = 0, for all x M . Define

n := un e `2 (G) Ce . Since

k Adg n n k = kug vn vn ug k2 ,

we get that (n ) is a sequence of almost invariant unit vectors for the adjoint

representation Ad.

The converse is false though, as it was recently discovered by Vaes [30]. We can

illustrate the subtle difference between the property Gamma of L(G) and the inner

amenability of G.

The group G is inner amenable if and only if there exists a sequence of unit

vectors n `2 (G) Ce such that

lim kxn n xk2 = 0, x C (G).

n

The von Neumann algebra L(G) has property Gamma if and only if there

exists a sequence of unit vectors n `2 (G) Ce such that

lim kxn n xk2 = 0, x L(G).

n

Definition 3.11 (Haagerup, [14]). A countable discrete group is said to have

the property (H) if there exists a sequence of positive definite functions n : C

such that limn n = 1 pointwise and n c0 (), for all n N.

We will often write Haagerup property for property (H).

31

Example 3.12. The following groups have the Haagerup property: amenable

groups, free groups and more generally all groups which act properly on a tree.

The Haagerup property is moreover stable under taking subgroups, amenable extentions, free products, wreath products.

We refer to the book by P.A. Cherix, M. Cowling, P. Jolissaint, P. Julg and A.

Valette [3] for a comprehensive of groups with the Haagerup property

Definition 3.13 (Choda, [4]). Let (N, ) be a finite von Neumann algebra endowed

with a fixed faithful normal trace. We say that N has the Haagerup property if

there exists a sequence n : N N of -preserving ucp maps which satisfies:

limn kn (x) xk2 = 0, for all x N .

Whenever wk (N )1 is a sequence such that wk 0 weakly, then we have

limk kn (wk )k2 = 0, for all n N.

Proposition 3.14 (Choda, [4]). Let be a countable discrete group. Then has

the Haagerup property if and only if L() has the Haagerup property.

Proof. Assume that has the Haagerup property. Then there exists a sequence

n : C such that limn n = 1 pointwise and n c0 (), for all n N. We

may assume that n (e) = 1, for all n N. Define n : L() L() by

X

n (

as us ) = n (s)as us .

s

satisfies conditions of Definition 3.13.

Conversely, assume that L() has the Haagerup property. Let n be a sequence

of -preverving ucp maps given by Definition 3.13. Define n (s) = (n (us )us ),

for all s . Then n is a sequence of positive definite functions that does the

job.

Theorem 3.15 (Haagerup, [14]). The free groups Fn have the Haagerup property.

Proof. Denote by Fn 3 g 7 |g| R+ the natural length function. We will show

that for all 0 < < 1, the function defined by

Fn 3 g 7 |g|

is a positive definite function on Fn . Since c0 (Fn ) and lim1 = 1, we get

that Fn has the Haagerup property.

We give a proof using Popas free malleable deformation [21, 24]. We may assume

e n ), where F

e n is a copy of Fn

f = L(Fn F

that n < . Let M = L(Fn ) and M

which is free from Fn . Denote by a1 , . . . , an the canonical generators of L(Fn )

e n )). For 1 k n, let

(resp. b1 , . . . , bn the ones of L(F

hk =

1

log(bk ),

1

principal branch of the logarithm. We get that hk is selfadjoint and bk = exp( 1hk ). For t R, define

e n )).

btk := exp( 1thk ) U(L(F

32

CYRIL HOUDAYER

Z

t

(t) := (bk ) =

sin(t)

exp( 1tx)dx =

t

1

fM

f by

Define the following -automorphism t : M

t (ak ) = ak btk and t (bk ) = bk .

f and are -free from each

Since the unitaries {a1 , . . . , an , a1 bt1 , . . . , ak btk } generate M

other, we check easily that (t ) is a one-paramater family of trace-preserving e = 1 (N ). We see that N N

e = M

f

automorphisms. Write N = L(Fn ) and N

e

f

e

and N is -free from N . Consequently, we get M = N N and (t ) satisfies

1 (x 1) = 1 x, for all x N . Moreover, we have

(EN t )(ug ) = (t)2|g| ug , g Fn ,

Since EN t is u.c.p., it follows that t : Fn C defined by t (g) = ((EN

t )(ug )ug ) = (t)2|g| is a positive definite function. We are done.

4. Rigidity of II1 factors

4.1. Rigid inclusions of von Neumann algebras. The notion of property (T)

for a II1 factor was introduced by Connes and Jones in their seminal work [9]. Its

relative version for a inclusion of finite von Neumann algebras is due to Popa [19].

Definition 4.1 (Popa, [19]). Let (M, ) be a finite von Neumann algebra with a

fixed trace and B M be a subalgebra. The inclusion is said to be rigid if for every

> 0, there exist > 0 and a finite subset F M such that for every -preserving

u.c.p. map : M M , we have

sup k(x) xk2 = sup k(x) xk2 .

xF

x(B)1

The von Neumann algebra M has property (T) if the identity inclusion M M

is rigid. Note that we can relax the assumptions in Definition 4.1. Indeed, let

: M M be a completely positive map such that (1) 1 and . Then,

e : M M defined by

( )(x)

e

(1 (1))

(x)

= (x) +

( )(1)

is a -preserving u.c.p. map.

Theorem 4.2 (Popa, [19]). Let B M be an inclusion of finite von Neumann

algebras and let be a fixed trace on M . The following are equivalent:

(1) The inclusion B M is rigid;

(2) For every > 0, there exist > 0 and a finite subset F M such that

for any M -M bimodule H and any tracial unit vector H for which

kx xk , x F , there exists a B-central vector H such that

k k .

Proof. We prove both directions.

(1) = (2). Let 0 < < 1. Let F M be a finite subset and > 0 given by

Condition (1). Let H be an M -M -bimodule and a tracial unit vector H such

that kx xk , x F . Let : M M be the -preserving u.c.p. map

33

x, ybiL2 (N ) , a, x, y M .

Then we have

k(x) xk22

2kxk22 2<hx, xi

= kx xk2 2

for every x F . It follows that k(x) xk2 , for every x (B)1 . We get for

every u U(B),

k uu k2

2 2< ((u)u )

2< (1 (u)u )

2k1 (u)u k2 2.

Denote by the circumcenter of the bounded set C = {uu : u U(B)}. Since

uCu = C, u U(B), by uniqueness it follows that uu = , u U(B). Thus

follows B-central and moreover k k (2)1/2 .

(1) = (2). Let 0 < < 1. Let F M be a finite subset and 0 < < 1 given by

Condition (2). Let : M M be a -preserving u.c.p. such that k(x) xk2

(2kxk2 )1 2 , x F . Let H be the M -M bimodule and be the tracial vector

associated with . We have hax, yiH = h(a)b

x, ybiL2 (N ) , a, x, y M . For every

x F , we get

kx xk22

=

Therefore, there exists a B-central vector H such that k k . For every

x (B)1 , we get

kx (x)k22

2kxk2 2<hx, xi

2kxkkx xk

=

2kxkkx( ) ( )xk

4kxk kxkk k 4.

Exercise 4.3. For i = 1, 2 let Bi Mi be an embedding of finite von Neumann

algebras. Show that the following are equivalent:

(1) For i = 1, 2, the inclusion Bi Mi is rigid.

(2) The inclusion B1 B2 M1 M2 is rigid.

Recall that a pair (, ) consisting of a countable with subgroup is said

to have the relative property (T) of Kazhdan-Margulis [16, 17] if every unitary

representation of which admits a sequence of almost invariant unit vectors, admits

a non-zero -invariant vector. Equivalently, for every > 0, there exist > 0 and

a finite subset F such that for any unitary representation : U(H )

which has a ((F ), )-invariant unit vector , there exists a non-zero ()-invariant

vector such that k k (see [15, Theorem 1.2(a3)]). A group is said to have

property (T) if the pair (, ) has the relative property (T).

34

CYRIL HOUDAYER

(1) The example by excellence of a pair with relative property (T) is (Z2 o

SL(2, Z), Z2 ).

(2) For any n 3, SL(n, Z) has property (T).

(3) For any property (T) group and any group H, the pair (H , ) has

relative property (T).

We refer to the book by Bekka, de la Harpe and Valette [1] for a comprehensive

list of groups with (relative) property (T).

Theorem 4.5 (Popa, [19]). Let be an inclusion of countable groups. The

following are equivalent:

(1) The pair (, ) has the relative property (T);

(2) The inclusion L() L() is rigid.

Proof. Write B = L() L() = M .

(1) = (2). Assume that the pair (, ) has the relative property (T). Fix > 0.

We know that there exist > 0 and a finite subset F such that for any unitary

representation : U(H ) which has a ((F ), )-invariant unit vector , there

exists a non-zero ()-invariant vector such that k k . Let now H be a

M -M -bimodule and a unit tracial vector H such that kus us k , s .

Define the unitary representation : U(H) by s () = us us . The vector

is then ((F ), )-invariant. Thus there exists a ()-invariant vector H such

that k k . It is then clear that is B-central.

(1) = (2). Assume that the inclusion B M is rigid. Let = 1/2. We

know that there exist > 0 and a finite subset F M such that for any M -M bimodule H and any tracial vector H for which kx xk , x F , there

exists a B-central vector H such that k k . Let : U(H ) be a

unitary representation. Consider the M -M -bimodule K = H `2 () associated

with . Take a sequence (n ) H of almost invariant unit vectors and set n =

n e . It is then clear that (n ) K is a sequence of tracial vectors for which

limn kxn n xk = 0, x M . For n N large enough, we have kxn n xk ,

x F . Write = n . Therefore there exists a nonzero B-central

vector K

P

such that k k 1/2. Regard `2 (, H ) and write = s s s , where

s H . We have

X

ke k2 +

ks k2 = k k2 1/4.

s{e}

Since H is a unit vector, we have that e 6= 0. Since e is moreover ()invariant, the proof is complete.

The previous theorem shows in particular that the inclusion L (T2 ) L (T2 )o

SL(2, Z) is rigid.

4.2. Applications to rigidity of II1 factors. We use now the tools we introduced

in the previous sections to get structural properties for property (T) II1 factors.

Most of the proofs are based on a separability vs property (T) argument that

goes back to Connes [6].

35

4.2.1. Symmetry groups of property (T) factors are countable. For a II1 factor M ,

we endow the group Aut(M ) with the topology of pointwise k k2 -convergence: for

a sequence (n ) in Aut(M ), we have

n Id kn (x) xk2 0, x M.

Note that Aut(M ) is a polish group. We shall denote by Inn(M ) Aut(M ) the

subgroup of inner automorphisms. For any u U(M ), we shall write Adu (x) =

uxu , x M . We denote by Out(M ) the quotient group Aut(M )/ Inn(M ).

For the hyperfinite II1 factor R, the outer automorphisms group Out(R) is

huge. Indeed, one can embed any second countable locally compact group G

in Out(R). For property (T) II1 factors, the situation is dramatically different.

Theorem 4.6 (Connes, [6]). Let M be a property (T) II1 factor. Then Out(M ) is

countable.

Proof. We show that Inn(M ) Aut(M ) is an open subgroup. Thus, it follows that

Out(M ) = Aut(M )/ Inn(M ) is a Hausdorff discrete group, and by separability,

Out(M ) is necessarily countable. Fix = 1/2.

By property (T) of M , we know that there exists > 0 and F M finite subset

such that for every u.c.p. -preserving map : M M , we have

sup k(x) xk2 < = sup k(x) xk2 < 1/2.

xF

x(M )1

of Id in Aut(M ). Let V,F . Since k(x) xk2 < , x F , we know that

k(x) xk2 1/2, for every x (M )1 . Observe that k(u)u 1k2 1/2, for

every u U(M ). Consider

C = cow {(u)u : u U(M )}

the weak closure of the convex hull of all the (u)u s, for u U(M ). Observe that

C (M )1 is closed in L2 (M ).

Denote by a C the unique element of minimum k k2 -norm. It follows that

ka 1k2 1/2. We get a 6= 0. Observe that for every u U(M ), (u)au C and

k(u)au k2 = kak2 . By uniqueness, we get (u)au = a, for every u U(M ). So

we have a au = ua a, for every u U(M ). It follows that a a = R+ since M

Observe that a property (T) factor cannot have property Gamma. Recall that

for a II1 factor M , the fundamental group of M is defined as follows:

F(M ) = { (p)/ (q) : pM p ' qM q}.

Murray & von Neumann showed that the unique AFD II1 factor R has full fundamental group, i.e. F(M ) = R+ . There is an alternative way of defining the

fundamental group of M . Denote by M = M B(`2 ) the corresponding II factor with semifinite trace Tr given by Tr = TrB(`2 ) . For any Aut(M ),

there exists a unique > 0 such that Tr = . We shall denote this by mod().

Moreover, the map mod : Aut(M ) R+ is a group homomorphism. It is then

easy to check that

F(M ) = {mod() : Aut(M )}.

Using property (T), Connes [6] gave the first example of II1 factor with countable

fundamental group.

36

CYRIL HOUDAYER

Theorem 4.7 (Connes, [6]). Let M be a property (T) II1 factor. Then F(M ) is

countable.

Proof. We construct a one-to-one map : F(M ) Out(M M ). Since M

has property (T), M M has property (T) as well (cf Exercise 4.3) and then

Out(M M ) is countable by Theorem 4.6. Therefore, F(M ) follows countable.

Claim. Let N be a II1 factor. Let Aut(N ) such that mod() = 1. Then

there exist u U(N ) and Aut(N ) such that

= Adu ( IdB(`2 ) ).

Therefore the group homomorphism

{ Aut(N ) : mod() = 1} 3 7 [] Out(N )

is well-defined.

Denote by (eij ) B(`2 ) the canonical matrix unit such that Tr(eii ) = 1, i

N. Let Aut(N ) such that mod() = 1. Write fij = (1 eij ). Since

Tr(f00 ) = Tr(1 e00 ) = 1, f00 and 1 e00 are equivalent projections in the factor

N , so that there exists P

a partial isometry v N such that vv = f00 and

v v = 1 e00 . Define u =

fj0 v(1 e0j ). It is routine to check that u U(N )

and u(1 eij )u = fij , which finishes the proof of the claim.

Let t F(M ) and choose t Aut(M ) such that mod(t ) = t. Since t t1

Aut((M M ) ) has modulus 1, the claim yields a unique t = [t ] Out(M M ),

so that the map

(1)

F(M ) 3 t 7 t Out(M M )

s 6= t . Since the map (1) is one-to-one, we are done.

4.2.2. Connes rigidity conjecture. Connes in the late 70s conjectured the following:

any countable icc property (T) groups , ,

' L() ' L().

Popa suggested the following strenghthening of Connes rigidity conjecture:

Conjecture 4.8 (Popa, [22]). If is an icc property (T) group and is a group,

then any -isomorphism : L() ' L()t forces t = 1 and there exist a group

isomorphism : ' and a character Hom(, T) such that

X

X

(

as us ) =

(s)as u(s) .

s

In particular,

F(L()) = {1} and Out(L()) = Out() Hom(, T).

Popa observed in [20] that Ozawas original result [18] could be used to prove

Connes rigidity conjecture up to countable classes.

Theorem 4.9 (Ozawa, [18]). For icc countable property (T) groups, the map

L() is countable-to-one.

37

Proof. The proof is an analog of the one of Theorem 2 in [18]. We prove the

result by contradiction and assume that there are uncountably many pairwise nonisomorphic icc property (T) groups (i )iI which give the same II1 factor M . By

Shaloms result [25], we know that each property (T) group is the quotient of a

finitely presented property (T) group. Since there are only countably many finitely

presented groups, we may assume that all the i s are quotients of the same property

(T) group .

We regard M B(L2 (M )) represented in its standard form and M = L(i ) for

every i I, so that i U(M ). Denote by i : U(M ) a group homomorphism

such that i () = i . Fix = 1/4. Since is a property (T) group, there exist

0 < < 1 and a finite subset E such that for any unitary representation

: U(H) and any ((E), )-invariant unit vector H, there exists a ()invariant vector H such that k k 1/4.

Since the finite von Neumann ` (E, M ) is k k2 -separable, there exist i 6= j

I such that maxsE ki (s) j (s)k2 . Let J be the canonical antiunitary

defined on L2 (M ) and define the unitary representation : U(M ) by (s) =

i (s)Jj (s)J. We have

k(s)b

1b

1kL2 (M ) = ki (s)j (s) 1k2 .

Since the vector b

1 is ((E), )-invariant, it follows that there exists a ()-invariant

2

vector L (M ) such that k b

1kL2 (M ) 1/4. Thus, for every s we have

ki (s) j (s)k2

= k(s)b

1b

1kL2 (M )

= k(s)(b

1 ) (b

1 )kL2 (M ) 1/2.

Exactly as in the proof of Theorem 4.6, denote by a the unique element of minimum

k k2 -norm in the weakly closed convex set C = cow {i (s)j (s) : s }. Since

ka 1k2 < 1, it follows that a 6= 0. Observe that i (s)aj (s) C and

ki (s)aj (s) k2 = kak2 . By uniqueness, we have i (s)aj (s) = a. Moreover,

a aj (s) = j (s)a a, for every s

. Since M is a factor and j ()00 = M , we

s . It follows in particular that i and j are isomorphic, contradiction.

4.3. Uniqueness of Cartan subalgebras.

Theorem 4.10 (Popa, [19]). Let y B be a trace-preserving action of a countable

group with the Haagerup property on a finite von Neumann algebra B. Denote

by M = B o the crossed product. Let A M be a rigid von Neumann subalgebra.

Then A M B.

Proof. Since has the Haagerup property, let n : C be a sequence of positive

definite functions such that limn n = 1 pointwise and n C0 (), for all n N.

Define n : M M the sequence of -preserving ucp maps as follows:

X

X

n (

as us ) =

n (s)as us .

s

It is straightforward to check that every n satisfies the following relative compactness property: if (wk ) is a sequence in (M )1 which satisfies limP

k kEB (awk b)k2 = 0,

for all a, b M , then limk kn (wk )k2 = 0. Indeed, write wk = s (wk )s us , where

38

CYRIL HOUDAYER

P

(wk )s = EB (wk us ). Then we have n (wk ) = s n (s)(wk )s us and thus

X

kn (wk )k22 =

|n (s)|2 k(wk )s k22 .

s

Assume that limk k(wk )s k2 = 0, for all s . Fix > 0. Since n c0 (),

V := {s : |n (s)| 2 /2} is a finite set. Then we have

X

X

kn (wk )k22 =

|n (s)|2 k(wk )s k22 +

|n (s)|2 k(wk )s k22

sV

/2

sV

k(wk )s k22

sV

/2 +

sV

2

sV

P

We can choose k0 N large enough so that sV |n (s)|2 k(wk )s k22 2 /2. Therefore, we have kn (wk )k2 , for all k k0 .

Since A M is rigid, there exists n N such that kn (w) wk2 1/4, for all

w U(A). By contradiction, assume that A M B. Then there exists a sequence

wk U(A) such that limk kEB (awk b)k2 = 0, for all a, b M . For k N large

enough, we get

1 = kwk k2 kn (wk ) wk k2 + kn (wk )k2 1/4 + 1/4 = 1/2,

which is absurd.

2

Corollary 4.11 (Popa, [19]). Consider the linear action SL2 (Z) y T . Then, up

to unitary conjugacy, L (T2 ) is the unique rigid Cartan subalgebra in L (T2 ) o

SL2 (Z).

Proof. Write M = L (T2 ) o SL2 (Z). Let A M be rigid Cartan subalgebra.

We get A M L (T2 ) by the previous Theorem. Since A, L (T2 ) M are both

Cartan subalgebras of the II1 factor M , Theorem 2.14 yields u U(M ) such that

uAu = L (T2 ).

We can now apply this last result to compute explicitely the fundamental group of

L(Z2 oSL2 (Z)). Gaboriau [13] showed that the group SL2 (Z) has fixed price and its

cost equals 13/12. This means that for every free ergodic p.m.p. SL2 (Z) y X, the

equivalence relation R(SL2 (Z) y X) has cost 13/12. It follows from the induction

formula [13, Proposition II.6] that R(SL2 (Z) y X) has trivial fundamental group.

Corollary 4.12 (Popa, [19]). We have F(L(Z2 o SL2 (Z))) = {1}.

Proof. Let M = L(Z2 o SL2 (Z)) = A o SL2 (Z). Let R be the equivalence relation

induced by the action SL2 (Z) y T2 . Let t 1 such that M ' M t . We can assume

that p A is a projection of trace t so that (pAp pM p) ' (At M t ). It follows

that At M is a rigid Cartan subalgebra and thus there exists u U(M ) such

that uAt u = A, by Corollary 4.11. This shows that R ' Rt (see Theorem 1.23)

and thus t = 1.

Popas result was the first explicit computation of a fundamental group of a II1

factor that was different from R+ , solving then a long-standing open problem of

Kadison.

39

Let (N, ) be a finite von Neumann algebra. Since is fixed, we simply denote

L2 (N, ) by L2 (N ). We regard N B(L2 (N )). Let L2 (N ) such that 6= 0.

b L2 (N ) be the linear operator defined by T 0 (b

Let T0 : N

x) = x, for all x N .

Proposition A.1. The densily defined operator T0 is closable. Denote by T its

closure. The operator T is affiliated with N . Write T = v|T | for its polar decomposition. Then v N and |T | is affiliated with N .

Let B N be a von Neumann subalgebra such that x = x, for all x B. Then

we have xv = vx, for all x B.

Proof. First, we prove that the operator T0 is closable. It suffices to show that

(T0 ) is densily defined. Let y N and z N . Then,

hT0 (b

y ), zbi = hy, zbi = hJy , zbi

= hz Jy J, b

1i = hJy Jz , b

1i

0

= hb

y , Jz i = hb

y , (J)zi = hb

y , TJ

(b

z )i.

0

Then TJ

(T0 ) and so (T0 ) is densily defined. Thus T0 is closable and we

denote by T its closure. We prove now that T is affiliated with N . Let a, x N .

On the one hand,

T0 Ja J(b

x) = T0 (c

xa) = xa.

Ja JT0 (b

x) = xa.

Consequently, we have Ja JT0 T0 Ja J, for all a N . Since JN J = N 0 , it

follows that T is affiliated with N . Write T = v|T | for the polar decomposition

of T . Since v is bounded and affiliated with N , we have that v N . Moreover,

|T | is affiliated with N .

At last, let B N be a von Neumann subalgebra such that for any x B,

x = x. Fix x B. It is straightforward to check that xT T x. We also have

x(T ) (T ) x, and so x(T ) T (T ) T x. By functional calculus, it follows

that x|T | |T |x. Moreover, since N is a finite von Neumann algebra, since x N

and |T | is affiliated with N , it follows that x|T | and |T |x are closed, affiliated

with N and consequently the equality x|T | = |T |x holds. Thus,

xv|T | = xT T x v|T |x vx|T |.

It follows that xv and vx coincide on the range of |T |, and so xv = vx. Thus,

xv = vx, for every x B.

Appendix B. Von Neumanns dimension theory

Let (N, ) be a finite von Neumann algebra with a distinguished faithful normal

trace. Let H be a right Hilbert N -module, i.e. H is a complex (separable) Hilbert

space together with a normal -representation : N op B(H). For any b N ,

and H, we shall simply write (bop ) = b.

Proposition B.1. Let H be a right N -module. Then there exists an isometry

v : H `2 L2 (N ) such that v(b) = v()b, for all H, b N .

40

CYRIL HOUDAYER

(y op )

0

op

.

(y ) =

0

1`2 y op

Let Q = (N op ). It is clear that Q is a finite von Neumann algebra and the

projections

1 0

0

0

p=

and q =

0 0

0 11

belong to Q0 B(H(`2 L2 (N ))) which is a semifinite von Neumann algebra. Since

q is infinite and p is finite, [26, Theorem V.1.8] yields a nonzero central projection

z Z(Q0 ) such that zp - zq. There exists an isometry w Q0 such that w w = zp

and ww zq. If we write

z1

0

a b

z=

and w =

,

0 1 z2

c d

we get

a a + c c = z1

b b + d d =

aa + bb

cc + dd

1 z2 .

(since u u = z1 ) which moreover satifies v(x) = (1 x)v (since w Q0 ). Then a

simple maximality argument finishes the proof.

Since p = vv commutes with the right N -action on `2 L2 (N ), it follows that

p B(`2 )N . Thus, as right N -modules, we have

HN ' p(`2 L2 (N ))N .

On B(`2 )N , we define the following faithful normal semifinite trace Tr (which

depends on ): for any x = [xij ]i,j (B(`2 )N )+ ,

X

Tr ([xij ]i,j ) =

(xii ).

i

We set dim(HN ) = Tr(vv ). Note that the dimension of H depends on but does

not depend on the isometry v. Indeed take another isometry w : H `2 L2 (N ),

satisfying w(b) = w()b, for any H, b N . Note that vw B(`2 )N and

w w = v v = 1. Thus, we have

Tr(vv ) = Tr(vw wv ) = Tr(wv vw ) = Tr(ww ).

We define dim(HN ) := Tr(vv ), for any isometry v as in Proposition B.1.

Appendix C. Ultraproducts

Let be a free ultrafilter on N and (N, ) a finite von Neumann algebra. Let

I be the norm closed ideal of ` (N, N ) defined by

n

o

I = (xn ) ` (N, N ) : lim kxn k2 = 0 .

n

Denote by : ` (N, N ) ` (N, N )/I the quotient map. The tracial ultraproduct of N is defined as N := (` (N, N )) with tracial faithful state

41

( ((xn ))) = limn (xn ). It is easy to check that N is indeed a von Neumann

algebra and is normal on N .

Exercise C.1. Let be a free ultrafilter and (N, ) a finite von Neumann algebra.

Prove that every projection e N lifts to a projection (en ) ` (N, N )

such that limn (en ) = (e).

Show that if N is a II1 factor, so is N .

2

of L (N ) . For a 0, denote by fa the

characteristic function of the interval ( a, +).

satisfies the following equi-integrability condition:

> 0, a > 0, lim kfa (|n |)|n |k2 < .

(2)

Then for some a > 0, one has limn kfa (|n |)n k2 < so that the vector = (n )

with n = n (1fa )(|n |) satisfies kk2 = limn kn n k2 and kn k a.

Thus, L2 (N ).

Conversely assume that L2 (N ). We may assume that kn k2 1, for all

n N. Let (0, 1). We can then find a > 0 and xn N such that kn xn k2

and kxn k a, for all n N. Up to extracting, Powers-Strmer Inequality yields

in particular

k|n | |xn |k22 k|n |2 |xn |2 k1 kn xn k2 kn + xn k2 3, n N.

Using the same trick as in the proof of Theorem 3.9, we get

Z

kfb (|n |) fb (|xn |)k22 k|n |2 |xn |2 k1 3.

0

Since Eb (|xn |) = 0 for all b > a, we get kf2a (|n |)k2 (3)1/2 /a, for all n N.

Then, for all n N,

kf2a (|n |)|n |k2

Proposition D.1 ([7]). Let M be a finite von Neumann algebra. If e and f are

equivalent projections in M , then there exists u U(M ) such that

ueu

= f

u|e f | = |e f |u

2|e f |.

|u 1|

Proof. Recall the analysis of two projections in [26, Chapter V]. Let e = 1 e

and f = 1 f . Set

e0

= e e f e f

f0

= f f e f e .

42

CYRIL HOUDAYER

1 0

e = ef

e f 0 0,

0 0

2

c cs

f = ef

0 e f 0,

cs s2

with c, s (e0 f0 )M (e0 f0 ) positive elements such that c2 + s2 = e0 f0 . Since

e f and e0 f0 , the finiteness of M yields e f e f . Consequently, e f

and e f are represented by matrices:

1 0

e f =

0 0

0 0

e f =

.

0 1

Therefore we come to the following situation:

1 0

1 0

e = ef

0,

0 0

0 0

2

c cs

0 0

f = ef

0.

cs s2

0 1

and

s

|e f | = 0

0

0

1

s

0

0

0.

1

We set

u=ef

c s

0

s c

1

1

(e f ) .

0

that

(u 1) (u 1) 2(e f )2 .

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[23] S. Popa, Strong rigidity of II1 factors arising from malleable actions of w-rigid groups I.

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[24] S. Popa, Some rigidity results for non-commutative Bernoulli Shifts. J. Funct. Anal. 230

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[25] Y. Shalom, Rigidity of commensurators and irreducible lattices. Invent. Math. 141 (2000),

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[26] M. Takesaki, Theory of Operator Algebras I. EMS 124. Springer-Verlag, Berlin, Heidelberg, New-York, 2000.

[27] M. Takesaki, Theory of Operator Algebras II. EMS 125. Springer-Verlag, Berlin, Heidelberg, New-York, 2000.

[28] M. Takesaki, Theory of Operator Algebras III. EMS 127. Springer-Verlag, Berlin, Heidelberg, New-York, 2003.

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CNRS-ENS Lyon, UMPA UMR 5669, 69364 Lyon cedex 7, France

E-mail address: cyril.houdayer@umpa.ens-lyon.fr

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