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 Textbooks in Mathematics

Timothée Marquis
Timothée Marquis Timothée Marquis
An Introduction to
An Introduction

An Introduction to Kac–Moody Groups over Fields

Kac–Moody Groups over Fields
The interest for Kac–Moody algebras and groups has grown exponentially in the past
decades, both in the mathematical and physics communities, and with it also the need
for an introductory textbook on the topic.
to Kac–Moody
The aims of this book are twofold:
- to offer an accessible, reader-friendly and self-contained introduction to Kac–Moody
algebras and groups;
- to clean the foundations and to provide a unified treatment of the theory.
Groups over Fields
The book starts with an outline of the classical Lie theory, used to set the scene. Part II
provides a self-contained introduction to Kac–Moody algebras. The heart of the book
is Part III, which develops an intuitive approach to the construction and fundamental
properties of Kac–Moody groups. It is complemented by two appendices, respectively
offering introductions to affine group schemes and to the theory of buildings. Many
exercises are included, accompanying the readers throughout their journey.

The book assumes only a minimal background in linear algebra and basic topology,
and is addressed to anyone interested in learning about Kac–Moody algebras and/or
groups, from graduate (master) students to specialists.

ISBN 978-3-03719-187-3

www.ems-ph.org

Marquis Cover | Font: Frutiger_Helvetica Neue | Farben: Pantone 116, Pantone 287 | RB 30 mm
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 Timothée Marquis

An Introduction
to Kac–Moody
Groups over Fields
Author:

Timothée Marquis
IRMP
Université Catholique de Louvain
Chemin du Cyclotron 2
1348 Louvain-la-Neuve
Belgium
E-mail: [email protected]

2010 Mathematics Subject Classification: 20G44, 20E42, 17B67

Key words: Kac–Moody groups, Kac–Moody algebras, infinite-dimensional Lie theory, highest-
weight modules, semisimple algebraic groups, loop groups, affine group schemes, Coxeter groups,
buildings, BN pairs, Tits systems, root group data

ISBN 978-3-03719-187-3

The Swiss National Library lists this publication in The Swiss Book, the Swiss national bibliography,
and the detailed bibliographic data are available on the Internet at http://www.helveticat.ch.

This work is subject to copyright. All rights are reserved, whether the whole or part of the material is
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© 2018 European Mathematical Society

Contact address:

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987654321
To Oliver
Preface

The interest for Kac–Moody algebras and groups has grown exponentially in the
past decades, both in the mathematical and physics communities. In physics, this
interest has essentially been focused on affine Kac–Moody algebras and groups
(see e.g. [Kac90]), until the recent development of M-theory, which also brought
into the game certain Kac–Moody algebras and groups of indefinite type (see
e.g., [DHN02], [DN05], [FGKP18]). Within mathematics, Kac–Moody groups
have been studied from a wide variety of perspectives, reflecting the variety of
flavours in which they appear: as for the group functor SLn , which associates
to each field K the group SLn .K/ D fA 2 Matn .K/ j det A D 1g, Kac–Moody
groups can be constructed over any field K. In addition, Kac–Moody groups come
in two versions (minimal and maximal). To a given Kac–Moody algebra is thus
in fact attached a family of groups, whose nature can greatly vary. Just to give a
glimpse of this variety, here is a (neither exhaustive nor even representative, and
possibly random) list of recent research directions.
Note first that any Kac–Moody group naturally acts (in a nice way) on some
geometric object, called a building. Buildings have an extensive theory of their
own (see [AB08]) and admit several metric realisations, amongst which CAT(0)-
realisations. In turn, CAT(0)-spaces have been extensively studied (see [BH99]).
This already provides powerful machineries to study Kac–Moody groups, and
connects Kac–Moody theory to many topics of geometric group theory.
Over K D R or K D C, minimal Kac–Moody groups G are connected
Hausdorff topological groups. In [FHHK17], symmetric spaces (in the axiomatic
sense of Loos) associated to G are defined and studied. In [Kit14], cohomo-
logical properties of the unitary form K of G (i.e. the analogue of a maximal
compact subgroup in SLn .C/) are investigated. Maximal Kac–Moody groups
over K D C, on the other hand, have a rich algebraic-geometric structure (see
e.g., [Mat88b], [Kum02], [Pez17]).
Over a non-Archimedean local field K, the authors of [GR14] associate spher-
ical Hecke algebras to Kac–Moody groups of arbitrary type, using a variant of
buildings, called hovels.
When K is a finite field, minimal Kac–Moody groups provide a class of dis-
crete groups that combine various properties in a very singular way. For instance,
they share many properties with arithmetic groups (see [Rém09]), but are typi-
cally simple; they in fact provide the first infinite finitely presented examples of
discrete groups that are both simple and Kazhdan (see [CR09]). They also helped
construct Golod–Shafarevich groups that disproved a conjecture by E. Zelmanov
(see [Ers08]).
viii Preface

Maximal Kac–Moody groups over finite fields, on the other hand, provide an
important family of simple (non-discrete) totally disconnected locally compact
groups (see [Rém12], [CRW17], and also 9.4).
Despite the manifold attractions of general Kac–Moody groups, the vast ma-
jority of the works in Kac–Moody theory still focus on affine Kac–Moody groups.
We strongly believe that this is in part due to the absence of an introductory text-
book on the subject (apart from Kumar’s book [Kum02] which, however, only
covers the case K D C), which can make learning about general Kac–Moody
groups a long and difficult journey. The present book was born out of the desire
to fill this gap in the literature, and to provide an accessible, intuitive, reader-
friendly, self-contained and yet concise introduction to Kac–Moody groups. It
also aims at “cleaning” the foundations and providing a unified treatment of the
theory. The targeted audience includes anyone interested in learning about Kac–
Moody algebras and/or groups (with a minimal background in linear algebra and
basic topology — this book actually grew out of lecture notes for a Master course
on Kac–Moody algebras and groups), as well as more seasoned researchers and
experts in Kac–Moody theory, who may find in this book some clarifications for
the many rough spots of the current literature on Kac–Moody groups. A descrip-
tion of the structure of the book, as well as a guide to the reader, are provided at
the end of the introduction.
To conclude, some acknowledgements are in order. I am very much indebted
to Guy Rousseau, first for his paper [Rou16] which made it possible for me to
write Chapter 8 of this book, and second for his thorough comments on an earlier
version of that chapter. I am also indebted to Pierre-Emmanuel Caprace, for intro-
ducing me to the world of Kac–Moody groups in the first place, and for his pre-
cious comments on an earlier version of Chapter 7. Finally, I extend my warmest
thanks to Ralf Köhl and anonymous reviewers for their precious comments on an
earlier version of the book. Needless to say, all remaining mistakes are entirely
mine.

Brussels, December 2017

Timothée Marquis1

1 F.R.S.-F.N.R.S Research Fellow

Contents

Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

I A few words on the classical Lie theory . . . . . . . . . . . . . 13

1 From Lie groups to Lie algebras . . . . . . . . . . . . . . . . . . . . 15

2 Finite-dimensional (real or complex) Lie algebras . . . . . . . . . . 19

2.1 A few definitions . . . . . . . . . . . . . . . . . . . . . . . . . . 19
2.2 Levi decomposition . . . . . . . . . . . . . . . . . . . . . . . . . 21
2.3 Semisimple Lie algebras . . . . . . . . . . . . . . . . . . . . . . 22
2.4 Classification of simple Lie algebras . . . . . . . . . . . . . . . . 25

II Kac–Moody algebras . . . . . . . . . . . . . . . . . . . . . . . . 35
3 Basic definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
3.1 Preliminaries: presentations and enveloping algebra
of a Lie algebra . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
3.2 Towards Kac–Moody algebras . . . . . . . . . . . . . . . . . . . 39
3.3 Generalised Cartan matrices . . . . . . . . . . . . . . . . . . . . 40
3.4 Gradations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
3.5 Realisations of GCM and Kac–Moody algebras . . . . . . . . . . 41
3.6 Simplicity of Kac–Moody algebras . . . . . . . . . . . . . . . . . 49
3.7 The invariant bilinear form . . . . . . . . . . . . . . . . . . . . . 51

4 The Weyl group of a Kac–Moody algebra . . . . . . . . . . . . . . . 57

4.1 Integrable modules . . . . . . . . . . . . . . . . . . . . . . . . . 57
4.2 The Weyl group of g.A/ . . . . . . . . . . . . . . . . . . . . . . . 63
4.3 Geometry of the Weyl group . . . . . . . . . . . . . . . . . . . . 72

5 Kac–Moody algebras of finite and affine type . . . . . . . . . . . . . 75

5.1 Types of generalised Cartan matrices . . . . . . . . . . . . . . . . 75
5.2 Kac–Moody algebras of finite type . . . . . . . . . . . . . . . . . 78
5.3 Kac–Moody algebras of affine type* . . . . . . . . . . . . . . . . 79

6 Real and imaginary roots . . . . . . . . . . . . . . . . . . . . . . . . 89

6.1 Real roots . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
6.2 Imaginary roots . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
x Contents

III Kac–Moody groups . . . . . . . . . . . . . . . . . . . . . . . . 97

7 Minimal Kac–Moody groups . . . . . . . . . . . . . . . . . . . . . . 101
7.1 Towards Kac–Moody groups . . . . . . . . . . . . . . . . . . . . 101
7.1.1 Some motivations from the classical theory . . . . . . . . . 101
7.1.2 A few attempts to construct Kac–Moody groups . . . . . . 102
7.2 A Z-form of the universal enveloping algebra of g.A/ . . . . . . . 105
7.3 Kac–Moody root data and associated tori . . . . . . . . . . . . . . 111
7.3.1 Kac–Moody root data . . . . . . . . . . . . . . . . . . . . 111
7.3.2 Extensions of Kac–Moody root data* . . . . . . . . . . . . 116
7.3.3 The split torus scheme . . . . . . . . . . . . . . . . . . . . 122
7.4 The constructive Tits functor . . . . . . . . . . . . . . . . . . . . 126
7.4.1 A few words on the classical theory . . . . . . . . . . . . . 127
7.4.2 Kac–Moody groups via representations . . . . . . . . . . . 130
7.4.3 Working out relations . . . . . . . . . . . . . . . . . . . . 132
7.4.4 First properties of GD . . . . . . . . . . . . . . . . . . . . 138
7.4.5 Functoriality of GD in the Kac–Moody root datum* . . . . 144
7.4.6 Geometry of the constructive Tits functor over fields . . . . 147
7.5 In search of axioms . . . . . . . . . . . . . . . . . . . . . . . . . 150
7.6 Affine Kac–Moody groups* . . . . . . . . . . . . . . . . . . . . . 160

8 Maximal Kac–Moody groups . . . . . . . . . . . . . . . . . . . . . . 173

8.1 Motivation and basic constructions . . . . . . . . . . . . . . . . . 173
8.1.1 Motivation . . . . . . . . . . . . . . . . . . . . . . . . . . 173
8.1.2 Some maximal Kac–Moody groups over C . . . . . . . . . 174
8.1.3 Maximal Kac–Moody groups over a ring k: the basic idea . 180
8.2 Geometric completion . . . . . . . . . . . . . . . . . . . . . . . . 186
8.3 Representation-theoretic completion . . . . . . . . . . . . . . . . 190
8.4 Algebraic completion . . . . . . . . . . . . . . . . . . . . . . . . 197
8.5 Scheme-theoretic completion . . . . . . . . . . . . . . . . . . . . 205
8.5.1 The affine group scheme UmaCA . . . . . . . . . . . . . . . 206
8.5.2 Twisted exponentials . . . . . . . . . . . . . . . . . . . . 211
8.5.3 Functoriality of UmaC
A in the generalised Cartan matrix* . . 230
8.5.4 The scheme-theoretic completion of GD .k/ . . . . . . . . 232
8.5.5 The closure of GD .K/ in GschD .K/ . . . . . . . . . . . . . . 241
8.6 Comparisons and GK-simplicity . . . . . . . . . . . . . . . . . . 248
pma
8.7 The maximal Kac–Moody group functor GD . . . . . . . . . . . 259
8.8 The minimal Kac–Moody group functor Gmin D . . . . . . . . . . . 264

9 Loose ends . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 269

9.1 Simplicity of Kac–Moody groups . . . . . . . . . . . . . . . . . . 269
9.2 Isomorphism problem for Kac–Moody groups . . . . . . . . . . . 271
9.3 Linearity problem for Kac–Moody groups . . . . . . . . . . . . . 274
9.4 Kac–Moody groups and locally compact groups . . . . . . . . . . 276
 Contents xi

A Group schemes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 277

A.1 The language of categories . . . . . . . . . . . . . . . . . . . . . 277
A.2 Affine group schemes . . . . . . . . . . . . . . . . . . . . . . . . 279
A.2.1 Linear algebraic groups and affine group schemes . . . . . 280
A.2.2 Hopf algebras . . . . . . . . . . . . . . . . . . . . . . . . 281

B Buildings and BN-pairs . . . . . . . . . . . . . . . . . . . . . . . . . 289

B.1 Coxeter groups and complexes . . . . . . . . . . . . . . . . . . . 289
B.1.1 Finite reflection groups and their associated poset . . . . . 289
B.1.2 Simplicial complexes . . . . . . . . . . . . . . . . . . . . 290
B.1.3 A group theoretic reconstruction of † . . . . . . . . . . . . 291
B.1.4 Coxeter groups and complexes . . . . . . . . . . . . . . . 292
B.1.5 The geometry of Coxeter complexes . . . . . . . . . . . . 296
B.2 Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 300
B.3 BN-pairs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 301
B.3.1 Strongly transitive actions on buildings . . . . . . . . . . . 302
B.3.2 BN-pairs and associated buildings . . . . . . . . . . . . . 303
B.3.3 Twin and refined BN-pairs . . . . . . . . . . . . . . . . . 308
B.4 Root group data . . . . . . . . . . . . . . . . . . . . . . . . . . . 311

Bibliography . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 315

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 321

Index of symbols . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 325

Introduction

The story begins with fundamental works of S. Lie, W. Killing, and E. Cartan back
at the end of the 19th century, which led to the creation of Lie theory. Lie’s orig-
inal motivation was to develop a Galois theory for differential equations; by now,
Lie theory has gone far beyond this objective, and has become a central chapter of
contemporary mathematics. At its heart lies the study of certain groups of symme-
try of algebraic or geometric objects (the Lie groups), of their corresponding sets
of infinitesimal transformations (their Lie algebras), and of the fruitful interplay
between Lie groups and Lie algebras (the Lie correspondence).
To any Lie group G, one can namely associate the vector space g of its tangent
vectors at the identity, and equip g with a Lie bracket g  g ! g W .x; y/ 7! Œx; y,
turning g into a Lie algebra. For our purposes, it will be sufficient to think of
G D SLn .C/, in which case g D sln .C/ is the Lie algebra of traceless complex
nn matrices, with the Lie bracket given by ŒA; B WD AB BA for all A; B 2 g.
Conversely, the Lie group G can be reconstructed from its Lie algebra g by
exponentiation: the exponential map
X 1
expW sln .C/ ! SLn .C/ W A 7! eA WD An
n0
nŠ

yields an identification of the underlying sets, and the group multiplication on

G can be expressed in terms of the Lie bracket. The significance of this Lie
correspondence is that one can basically understand the group G by studying the
linear (hence simpler) object g.
Many interesting examples of “transformation groups” yield finite-dimensional
Lie groups, that is, Lie groups whose Lie algebra has finite dimension as a vector
space. The class of finite-dimensional complex Lie algebras has been extensively
studied since the creation of Lie theory, and the classification by Killing and Car-
tan of its simple pieces (the simple Lie algebras) is arguably one of the greatest
mathematical achievements from around the turn of the twentieth century. This
classification yields a small list of simple Lie algebras (of which sln .C/ is an
example), indexed by some matrices of integers A (the Cartan matrices).
The path to infinite-dimensional Lie algebras and associated groups, on the
other hand, is far less unique, and there is at present no general theory for these
objects. Their study also began much later, around the late 1960’s, and one can
distinguish two general directions: one more analytic, investigating Lie groups
modelled on infinite-dimensional spaces such as Banach or Fréchet spaces, as
in [Nee06], and the other more algebraic, leading to Kac–Moody theory.
By a theorem of J.-P. Serre ([Ser66]), any finite-dimensional (semi-)simple
Lie algebra admits a presentation (i.e. a definition by generators and relations)
2 Chapter 0. Introduction

whose parameters are the entries of the corresponding Cartan matrix A. Now,
this presentation still makes sense if one allows more general integral matrices A,
called generalised Cartan matrices. The corresponding Lie algebras (the Kac–
Moody algebras) were introduced independently in 1967 by V. Kac (whose orig-
inal motivation was to classify certain symmetric spaces, see [Kac67], [Kac68])
and R. Moody ([Moo67], [Moo68]). They share many properties with their (finite-
dimensional) older sisters, but also show some striking differences. These differ-
ences account for a very rich theory of Kac–Moody groups (i.e. of groups asso-
ciated to a Kac–Moody algebra), with the apparition of new phenomena that are
absent from the classical theory.
We give below a brief outline of the story that this book is trying to tell, starting
from finite-dimensional simple Lie algebras, and moving towards the construction
of objects deserving the name of “Kac–Moody groups”.

1 Finite-dimensional simple Lie algebras

Let g be a finite-dimensional simple Lie algebra, such as g D sln .C/ (precise
definitions for the terminology used in this section will be given in Chapter 2).
Thus g is a complex vector space with a Lie bracket Œ; , which is encoded in the
adjoint representation

adW g ! End.g/; ad.x/y WD Œx; y for all x; y 2 g

of g on itself.
The first step in trying to understand the structure of g is to prove the existence
of a Cartan subalgebra h of g, namely, of a nontrivial subalgebra h all whose el-
ements h are ad-diagonalisable (i.e. ad.h/ 2 End.g/ is diagonal in some suitable
basis of g) and that is maximal for this property. Then the elements of h are simul-
taneously ad-diagonalisable: in other words, g admits a root space decomposition
M
gD g˛ ; (1)
˛2h

where
g˛ WD fx 2 g j Œh; x D ˛.h/x 8h 2 hg
is the ˛-eigenspace of ad.h/. The nonzero elements ˛ 2 h such that g˛ ¤ f0g
are called roots, and their set is denoted . One shows that g0 D h, so that (1)
may be rewritten as
M
gDh˚ g˛ : (2)
˛2
 1 Finite-dimensional simple Lie algebras 3

Example 1. Let g D sln .C/, and write Eij for the n  n matrix with an entry “1”
in position .i; j / and “0” elsewhere. The subalgebra
h WD spanC h˛i_ WD Ei i  Ei C1;i C1 j 1  i  n  1i
of all diagonal matrices in sln .C/ is a Cartan subalgebra: the ad-diagonalisability
of h follows from the computation
Œ˛i_ ; Ej k  D .ıij ıi k ıi C1;j Cıi C1;k /Ej k D ."j "k /.˛i_ /Ej k for all i; j; k;
where "j .Ei i / WD ıij . The corresponding set of roots and root spaces are then
given by
 D f˛j k WD "j  "k j 1  j ¤ k  ng and g˛j k D CEj k ;
L
yielding the root space decomposition sln .C/ D h ˚ j ¤k CEj k . 

The second step is to establish some properties of the g˛ ’s. Here are some
important ones:
(1) dim g˛ D 1 for all ˛ 2 .
(2) For any nonzero x˛ 2 g˛ (˛ 2 ), there is some x˛ 2 g˛ such that the
assignment
     
0 1 0 0 _ 1 0
x˛ 7! ; x˛ 7! ; ˛ WD Œx˛ ; x˛  2 h 7!
0 0 1 0 0 1
defines an isomorphism g.˛/ WD Cx˛ ˚ C˛ _ ˚ Cx˛ ! sl2 .C/ of Lie
algebras.
(3) ˛.ˇ _ / 2 Z for all ˛; ˇ 2 .
The third step is to study the root system  and to show that, together with
the integers ˛.ˇ _ / (˛; ˇ 2 ), it completely determines g. Actually,  admits
a root basis … D f˛1 ; : : : ; ˛` g (i.e. every ˛ 2  can be uniquely expressed as a
P
linear combination ˛ D ˙ `iD1 ni ˛i for some ni 2 N), and g is already uniquely
determined by the Cartan matrix
A D .aij /1i;j ` WD .˛j .˛i_ //1i;j `:
More precisely, choosing elements ei D x˛i 2 g˛i and fi D x˛i 2 g˛i as
above, g is generated by the ` copies g.˛i / WD Cfi ˚ C˛i_ ˚ Cei of sl2 .C/
(1  i  `), and can even be reconstructed as the complex Lie algebra gA on the
3` generators ei ; fi ; ˛i_ and with the following defining relations (1  i; j  `):
Œ˛i_ ; ˛j_  D 0; Œ˛i_ ; ej  D aij ej ; Œ˛i_ ; fj  D aij fj ; Œfi ; ej  D ıij ˛i_ ; (3)
.ad ei /1aij ej D 0; .ad fi /1aij fj D 0 for i ¤ j : (4)
Note that the relations (4), called the Serre relations, make sense, as the aij 2 Z
in fact satisfy aij  0 whenever i ¤ j .
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