Milne - Introduction To Shimura Varieties

Introduction to Shimura Varieties
J.S. Milne
October 23, 2004
+
Abstract
This is an introduction to the theory of Shimura varieties, or, in other words, to the
arithmetic theory of automorphic functions and holomorphic automorphic forms.
Contents
Notations and conventions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Prerequisites . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
1 Hermitian symmetric domains 8
Brief review of real manifolds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Smooth manifolds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Brief review of hermitian forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Complex manifolds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Hermitian symmetric spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Curvature. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
The three types of hermitian symmetric spaces . . . . . . . . . . . . . . . . . . . . . . . . . 12
Example: Bounded symmetric domains. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Automorphisms of a hermitian symmetric domain . . . . . . . . . . . . . . . . . . . . . . . . . . 14
The homomorphism u
p
: U
1
Hol(D) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Cartan involutions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
Representations of U
1
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Classication of hermitian symmetric domains in terms of real groups . . . . . . . . . . . . . . . 19
Classication of hermitian symmetric domains in terms of dynkin diagrams . . . . . . . . . . . . 21
2 Hodge structures and their classifying spaces 23
Reductive groups and tensors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
Flag varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23
The projective space P(V ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Grassmann varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Flag varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
Hodge structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Denition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
The hodge ltration . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
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Copyright c _ 2004 J.S. Milne
1
2 CONTENTS
Hodge structures as representations of S . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
The Weil operator . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Hodge structures of weight 0. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Tensor products of hodge structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Morphisms of hodge structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Hodge tensors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Polarizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 28
Variations of hodge structures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29
3 Locally symmetric varieties 32
Quotients of hermitian symmetric domains by discrete groups . . . . . . . . . . . . . . . . . . . . 32
Subgroups of nite covolume . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32
Arithmetic subgroups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
Brief review of algebraic varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
Algebraic varieties versus complex manifolds . . . . . . . . . . . . . . . . . . . . . . . . . . . . 36
The functor from nonsingular algebraic varieties to complex manifolds . . . . . . . . . . . . 36
Necessary conditions for a complex manifold to be algebraic . . . . . . . . . . . . . . . . . 37
Projective manifolds and varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37
The theorem of Baily and Borel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
The theorem of Borel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39
Finiteness of the group of automorphisms of D(I) . . . . . . . . . . . . . . . . . . . . . . . . . 40
4 Connected Shimura varieties 42
Congruence subgroups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42
Connected Shimura data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 44
Denition of a connected Shimura variety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 46
The strong approximation theorem . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 47
An ad` elic description of D(I) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 48
Alternative denition of connected Shimura data . . . . . . . . . . . . . . . . . . . . . . . . . . . 50
5 Shimura varieties 51
Notations for reductive groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 51
The real points of algebraic groups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
Shimura data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53
Shimura varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 54
Morphisms of Shimura varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
The structure of a Shimura variety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 56
Zero-dimensional Shimura varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
Additional axioms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 60
Arithmetic subgroups of tori . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61
Passage to the limit. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 62
6 The Siegel modular variety 65
Dictionary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
Symplectic spaces . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 65
The Shimura datum attached to a symplectic space . . . . . . . . . . . . . . . . . . . . . . . . . 66
The Siegel modular variety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 68
Complex abelian varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
A modular description of the points of the Siegel variety . . . . . . . . . . . . . . . . . . . . . . 72
7 Shimura varieties of hodge type 73
CONTENTS 3
8 PEL Shimura varieties 76
Algebras with involution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 76
Symplectic modules and the associated algebraic groups . . . . . . . . . . . . . . . . . . . . . . 77
Algebras with positive involution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79
PEL data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 80
PEL Shimura varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 81
PEL modular varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83
9 General Shimura varieties 84
Abelian motives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 84
Shimura varieties of abelian type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
Classication of Shimura varieties of abelian type . . . . . . . . . . . . . . . . . . . . . . . . . . 86
Shimura varieties not of abelian type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
Example: simple Shimura varieties of type A
1
. . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
10 Complex multiplication: the Shimura-Taniyama formula 88
Where we are headed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 88
Review of abelian varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
CM elds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Abelian varieties of CM-type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
Abelian varieties over a nite eld . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93
The Shimura-Taniyama formula. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 94
The O
E
-structure of the tangent space . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
Sketch of the proof the Shimura-Taniyama formula . . . . . . . . . . . . . . . . . . . . . . 96
11 Complex multiplication: the main theorem 97
Review of class eld theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Convention for the (Artin) reciprocity map . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
The reex eld and norm of a CM-type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
Statement of the main theorem of complex multiplication . . . . . . . . . . . . . . . . . . . . . . 99
12 Denition of canonical models 101
Models of varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
The reex eld . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Special points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103
The homomorphism r
x
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
Denition of a canonical model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 104
Examples: Shimura varieties dened by tori . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Tori . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
CM-tori . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
13 Uniqueness of canonical models 107
Extension of the base eld . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
Uniqueness of canonical models . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
The galois action on the connected components . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
14 Existence of canonical models 110
Descent of the base eld . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
The regularity condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
The continuity condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 110
A sufcient condition for descent . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
Review of local systems and families of abelian varieties . . . . . . . . . . . . . . . . . . . . . . 111
The Siegel modular variety . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
The reex eld . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
The special points . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
4 CONTENTS
A criterion to be canonical . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
Outline of the proof of the existence of a canonical model . . . . . . . . . . . . . . . . . . . 114
Condition (a) of (14.6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
Condition (b) of (14.6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
Condition (c) of (14.6) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
Simple PEL Shimura varieties of type A or C . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
Shimura varieties of hodge type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
Shimura varieties of abelian type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
General Shimura varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
Final remark: rigidity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
15 Abelian varieties over nite elds 118
Semisimple categories . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
Division algebras; the Brauer group . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
Abelian varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
Abelian varieties over F
q
, q = p
n
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
Abelian varieties over F . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
Tori and their representations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
Afne extensions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
The afne extension P . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
The local form P
l
of P . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
The
I
-space attached to a fake motive . . . . . . . . . . . . . . . . . . . . . . . . . . . . 126
The isocrystal of a fake motive . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127
Abelian varieties of CM-type and fake abelian varieties . . . . . . . . . . . . . . . . . . . . 127
16 The good reduction of Shimura varieties 129
The points of the Shimura variety with coordinates in the algebraic closure of the rational numbers 129
The points of the Shimura variety with coordinates in the reex eld . . . . . . . . . . . . . . . . 129
Hyperspecial subgroups . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
The good reduction of Shimura varieties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 130
Denition of the Langlands-Rapoport set . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
Denition of the set S() . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
Denition of the group I(). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
Denition of X
p
(). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
Denition of X
p
(). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
Denition of the Frobenius element . . . . . . . . . . . . . . . . . . . . . . . . . 133
The set S(). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
The admissibility condition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
The condition at o. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
The condition at ,= p. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
The condition at p. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
The global condition. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
The Langlands-Rapoport set . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 134
The conjecture of Langlands and Rapoport . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
17 A formula for the number of points 136
Triples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 136
The triple attached to an admissible pair (, c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . 137
The formula . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 138
18 Endnotes 139
Proof of Theorem 5.4 (footnote 39) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 139
Proof of the claim in 5.23 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 140
References 142
CONTENTS 5
Index of denitions 147
6 CONTENTS
Introduction
The arithmetic properties of elliptic modular functions and forms were extensively studied
in the 1800s, culminating in the beautiful Kronecker Jugendtraum. Hilbert emphasized the
importance of extending this theory to functions of several variables in the twelfth of his
famous problems at the International Congress in 1900. The rst tentative steps in this di-
rection were taken by Hilbert himself and his students Blumenthal and Hecke in their study
of what are now called Hilbert (or Hilbert-Blumenthal) modular varieties. As the theory
of complex functions of several variables matured, other quotients of bounded symmet-
ric domains by arithmetic groups were studied (Siegel, Braun, and others). However, the
modern theory of Shimura varieties
1
only really began with the development of the theory
of abelian varieties with complex multiplication by Shimura, Taniyama, and Weil in the
mid-1950s, and with the subsequent proof by Shimura of the existence of canonical mod-
els for certain families of Shimura varieties. In two fundamental articles, Deligne recast
the theory in the language of abstract reductive groups and extended Shimuras results on
canonical models. Langlands made Shimura varieties a central part of his program, both as
a source of representations of galois groups and as tests for the conjecture that all motivic
L-functions are automorphic. These notes are an introduction to the theory of Shimura
varieties from the point of view of Deligne and Langlands. Because of their brevity, many
proofs have been omitted or only sketched.
Notations and conventions
Unless indicated otherwise, vector spaces are assumed to be nite dimensional and free
Z-modules are assumed to be of nite rank. The linear dual Hom(V, k) of a vector space
(or module) V is denoted V
. For a k-vector space V and a k-algebra R, V (R) denotes

R
k
V (and similarly for Z-modules). By a lattice in an 1-vector space V , I mean a full
lattice, i.e., a Z-submodule generated by a basis for V . The algebraic closure of a eld k is
denoted k
al
.
A superscript

(resp.

) denotes a connected component relative to a real topology
(resp. a zariski topology). For an algebraic group, we take the identity connected compo-
nent. For example, (O
n
)
= SO
n
, (GL
n
)
= GL
n
, and GL
n
(1)
consists of the n n
matrices with det > 0. For an algebraic group G over , G()
= G() G(1)
.
Following Bourbaki, I require compact topological spaces to be separated.
Semisimple and reductive groups, whether algebraic or Lie, are required to be con-
nected. A simple algebraic or Lie group is a semisimple group with no connected proper
normal subgroups other than 1 (some authors say almost-simple). For a torus T , X
+
(T)
denotes the character group of T. The inner automorphism dened by an element g is de-
noted ad(g). The derived group of a reductive group G is denoted G
der
(it is a semisimple
group). For more notations concerning reductive groups, see p51. For a nite extension of
elds L F of characteristic zero, the torus over F obtained by restriction of scalars from
G
m
over L is denoted
2
(G
m
)
L{F
.
1
The term Shimura variety was introduced by Langlands (1976, 1977), although earlier Shimura
curve had been used for the varieties of dimension one (Ihara 1968).
2
Thus, (G
m
)
L{F
has character group X
+
((G
m
)
L{F
) = Z
Hom(L,F
al
)
(free Z-module on Hom(L, F
al
) with
CONTENTS 7
Throughout, I use the notations standard in algebraic geometry, which sometimes con-
ict with those used in other areas. For example, if G and G
t
are algebraic groups over a
eld k, then a homomorphism G G
t
means a homomorphism dened over k; if K is
a eld containing k, then G
K
is the algebraic group over K obtained by extension of the
base eld and G(K) is the group of points of G with coordinates in K. If o: k K is a
homomorphism of elds and V is an algebraic variety (or other algebro-geometric object)
over k, then oV has its only possible meaning: apply o to the coefcients of the equations
dening V .
Let Aand B be sets and let be an equivalence relation on A. If there exists a canonical
surjection A B whose bres are the equivalence classes, then I say that B classies the
elements of A modulo or that it classies the -classes of elements of A.
A functor F: A B is fully faithful if the maps Hom
A
(a, a
t
) Hom
B
(Fa, Fa
t
) are
bijective. The essential image of such a functor is the full subcategory of B whose objects
are isomorphic to an object of the form Fa. Thus, a fully faithful functor F: A B is an
equivalence if and only if its essential image is B (Mac Lane 1998, p93).
References
In addition to those listed at the end, I refer to the following of my course notes (available
at www.jmilne.org/math/).
AG: Algebraic Geometry, v4.0, October 30, 2003.
ANT: Algebraic Number Theory, v2.1, August 31, 1998.
CFT: Class Field Theory, v3.1, May 6, 1997.
FT: Fields and galois Theory, v3.0, August 31, 2003.
MF: Modular Functions and Modular Forms, v1.1, May 22, 1997.
Prerequisites
Beyond the mathematics that students usually acquire by the end of their rst year of grad-
uate work (a little complex analysis, topology, algebra, differential geometry,...), I assume
familiarity with some algebraic number theory, algebraic geometry, algebraic groups, and
elliptic modular curves.
Acknowledgements
I thank the Clay Mathematical Institute and the organizers for giving me the opportunity
to lecture on Shimura varieties, the Fields Institute for providing a excellent setting for the
Summer School, and the audience for its lively participation. Also, I thank Lizhen Ji and
Gopal Prasad for their help with references, and F. H ormann and others for alerting me to
errors in earlier versions.
the natural action of Gal(F
al
,F)), and its points in an F-algebra R are (G
m
)
L{F
(R) = (L
F
R)
.
8 1 HERMITIAN SYMMETRIC DOMAINS
1 Hermitian symmetric domains
In this section, I describe the complex manifolds that play the role in higher dimensions of
the complex upper half plane, or, equivalently, the open unit disk:
{z c C [ `(z) > 0} = H
1
z
z-i
zi
>
-
i
z1
z-1
z
D
1
= {z c C [ [z[ - 1}.
This is a large topic, and I can do little more than list the denitions and results that we
shall need.
Brief review of real manifolds
A manifold M of dimension n is a separated topological space that is locally isomorphic to an open
subset of 1
n
and admits a countable basis of open subsets. A homeomorphism from an open subset
of M onto an open subset of 1
n
is called a chart of M.
Smooth manifolds
I use smooth to mean C
o
. A smooth manifold is a manifold M endowed with a smooth structure,
i.e., a sheaf O
M
of 1-valued functions such that (M, O
M
) is locally isomorphic to 1
n
endowed
with its sheaf of smooth functions. For an open U M, the c O
M
(U) are called the smooth
functions on U. A smooth structure on a manifold M can be dened by a family u
: U
1
n
of
charts such that M =
_
U
and the maps

u
u
-1
: u
(U
) u
(U
)
are smooth for all , . A continuous map : M N of smooth manifolds is smooth if it is a map
of ringed spaces, i.e., smooth on an open V N implies smooth on
-1
(V ).
Let (M, O
M
) be a smooth manifold, and let O
M,p
be the ring of germs of smooth functions
at p. The tangent space T
p
M to M at p is the 1-vector space of 1-derivations X
p
: O
M,p
1.
If x
1
, . . . , x
n
are local coordinates at p, then
J
Jx
1
, . . . ,
J
Jx
n
is a basis for T
p
M and dx
1
, . . . , dx
n
is
the dual basis.
Let U be an open subset of a smooth manifold M. A smooth vector eld X on U is a family
of tangent vectors X
p
c T
p
(M) indexed by p c U, such that, for any smooth function on an
open subset of U, p . X
p
is smooth. A smooth r-tensor eld on U is a family t = (t
p
)
p=M
of multilinear mappings t
p
: T
p
M T
p
M 1 (r copies of T
p
M) such that, for any smooth
vector elds X
1
, . . . , X
r
on an open subset of U, p . t
p
(X
1
, . . . , X
r
) is a smooth function. A
smooth (r, s)-tensor eld is a family t
p
: (T
p
M)
r
(T
p
M)
s
1 satisfying a similar condition.
Note that to give a smooth (1, 1)-eld amounts to giving a family of endomorphisms t
p
: T
p
M
T
p
M with the property that p .t
p
(X
p
) is a smooth vector eld for any smooth vector eld X.
Ariemannian manifold is a smooth manifold endowed with a riemannian metric, i.e., a smooth
2-tensor eld g such that, for all p c M, g
p
is symmetric and positive denite. In terms of local
coordinates
3
x
1
, . . . , x
n
at p,
g
p
=
g
i,j
(p)dx
i
dx
j
, i.e., g
p
_
J
Jx
i
,
J
Jx
j
_
= g
ij
(p).
3
In this situation, we usually write dx
i
dx
j
for dx
i
dx
j
see Lee 1997, p24 for an explanation of this.
Brief review of hermitian forms 9
A morphism of riemannian manifolds is called an isometry.
A real Lie group
4
G is a smooth manifold endowed with a group structure dened by smooth
maps g
1
, g
2
.g
1
g
2
, g .g
-1
.
Brief review of hermitian forms
To give a complex vector space amounts to giving a real vector space V together with an endo-
morphism J: V V such that J
2
= 1. A hermitian form on (V, J) is an 1-bilinear mapping
( [ ) : V V C such that (Ju[:) = i(u[:) and (:[u) = (u[:). When we write
5
(u[:) = (u, :) i[(u, :), (u, :), [(u, :) c 1, (1)
then and [ are 1-bilinear, and
is symmetric (Ju, J:) = (u, :), (2)
[ is alternating [(Ju, J:) = [(u, :), (3)
[(u, :) = (u, J:), (u, :) = [(u, J:). (4)
As (u[u) = (u, u), ( [ ) is positive denite if and only if is positive denite. Conversely, if
satises (2) (resp. [ satises (3)), then the formulas (4) and (1) dene a hermitian form:
(u[:) = (u, :) i(u, J:) (resp. (u[:) = [(u, J:) i[(u, :)) (5)
Complex manifolds
AC-valued function on an open subset U of C
n
is analytic if it admits a power series expan-
sion in a neighbourhod of each point of U. A complex manifold is a manifold M endowed
with a complex structure, i.e., a sheaf O
M
of C-valued functions such that (M, O
M
) is
locally isomorphic to C
n
with its sheaf of analytic functions. A complex structure on a
manifold M can be dened by a family u
: U
C
n
of charts such that M =
_
U
and
the maps u
u
-1
are analytic for all , . Such a family also makes M into a smooth
manifold denoted M
o
. A continuous map : M N of complex manifolds is analytic if
it is a map of ringed spaces. A riemann surface is a one-dimensional complex manifold.
A tangent vector at a point p of a complex manifold is a C-derivation O
M,p
C. The
tangent spaces T
p
M (M as a complex manifold) and T
p
M
o
(M as a smooth manifold)
can be identied. Explicitly, complex local coordinates z
1
, . . . , z
n
at a point p of M dene
real local coordinates x
1
, . . . , x
n
, y
1
, . . . , y
n
with z
r
= x
r
iy
r
. The real and complex
tangent spaces have bases
J
Jx
1
, . . . ,
J
Jx
n
,
J
Jy
1
, . . . ,
J
Jy
n
and
J
Jz
1
, . . . ,
J
Jz
n
respectively. Under
the natural identication of the two spaces,
J
Jz
r
=
1
2
_
J
Jx
r
i
J
Jy
r
_
.
4
According to a theorem of Lie, this is equivalent to the usual denition in which smooth is replaced by
real-analytic.
5
For example, let V = C, so (z[z
t
) = azz
t
for some a > 0. Then
(x iy)(x
t
iy
t
) = a(xx
t
yy
t
) ia(xy
t
yx
t
),
and so
= a(xx
t
yy
t
), [ = a(xy
t
yx
t
).
A C-valued function on an open subset U of C
n
is holomorphic if it is holomorphic
(i.e., differentiable) separately in each variable. As in the one-variable case, is holomor-
phic if and only if it is analytic (Hartogs theorem, Taylor 2002, 2.2.3), and so we can use
the terms interchangeably.
Recall that a C-valued function on U C is holomorphic if and only if it is smooth
(as a function of two real variables) and satises the Cauchy-Riemann condition. This
condition has a geometric interpretation: it requires that d
p
: T
p
U T
((p)
C be C-linear
for all p c U. It follows that a smooth C-valued function on U C
n
is holomorphic if
and only if the maps d
p
: T
p
U T
((p)
C are C-linear for all p c U.
An almost-complex structure on a smooth manifold M is a smooth tensor eld (J
p
)
p=M
,
J
p
: T
p
M T
p
M, such that J
2
p
= 1 for all p, i.e., it is a smoothly varying family of
complex structures on the tangent spaces. A complex structure on a smooth manifold en-
dows it with an almost-complex structure. In terms of complex local coordinates z
1
, . . . , z
n
in a neighbourhood of a point p on a complex manifold and the corresponding real local
coordinates x
1
, . . . , y
n
, J
p
acts by
d
dx
r
.
d
dy
r
,
d
dy
r
.
d
dx
r
. (6)
It follows from the last paragraph that the functor from complex manifolds to almost-
complex manifolds is fully faithful: a smooth map : M N of complex manifolds is
holomorphic (analytic) if the maps d
p
: T
p
M T
(p)
N are C-linear for all p c M. Not
every almost-complex structure on a smooth manifold arises from a complex structure
those that do are said to be integrable. An almost-complex structure J on a smooth man-
ifold is integrable if M can be covered by charts on which J takes the form (6) (because
this condition forces the transition maps to be holomorphic).
6
A hermitian metric on a complex (or almost-complex) manifold M is a riemannian
metric g such that
g(JX, J Y ) = g(X, Y ) for all vector elds X, Y . (7)
According to (5), for each p c M, g
p
is the real part of a unique hermitian form h
p
on
T
p
M, which explains the name. A hermitian manifold (M, g) is a complex manifold with
a hermitian metric, or, in other words, it is a riemannian manifold with a complex structure
such that J acts by isometries.
Hermitian symmetric spaces
A manifold (riemannian, hermitian, . . . ) is said to be homogeneous if its automorphism
group acts transitively. It is symmetric if, in addition, at some point p there is an involution
s
p
(the symmetry at p) having p as an isolated xed point. This means that s
p
is an auto-
morphism such that s
2
p
= 1 and that p is the only xed point of s
p
in some neighbourhood
of p.
6
See Wolf 1984, 8.7.2.
Hermitian symmetric spaces 11
For a riemannian manifold (M, g), the automorphism group is the group Is(M, g) of
isometries. A connected symmetric riemannian manifold is called a symmetric space.
7
For example, 1
n
with the standard metric g
p
=

dx
i
dx
i
is a symmetric space the
translations are isometries, and x .x is a symmetry at 0.
For a hermitian manifold (M, g), the automorphism group is the group Is(M, g) of
holomorphic isometries:
Is(M, g) = Is(M
o
, g) Hol(M) (8)
(intersection inside Aut(M
o
); Hol(M) is the group of automorphisms of M as a complex
manifold). A connected symmetric hermitian manifold is called a hermitian symmetric
space.
8
EXAMPLE 1.1. (a) The complex upper half plane H
1
becomes a hermitian symmetric space
when endowed with the metric
dxdy
y
2
. The action
_
a b
c d
_
z =
az b
cz d
,
_
a b
c d
_
c SL
2
(1), z c H
1
,
identies SL
2
(1),{I} with the group of holomorphic automorphisms of H
1
. For any
x iy c H
1
, x iy =
_
_
y x{
_
y
0 1{
_
y
_
i, and so H
1
is homogeneous. The isomorphism
z . 1,z is a symmetry at i c H
1
, and the riemannian metric
dxdy
y
2
is invariant under the
action of SL
2
(1) and has the hermitian property (7).
(b) The projective line P
1
(C) (= riemann sphere) becomes a hermitian symmetric space
when endowed with the restriction (to the sphere) of the standard metric on 1
3
. The group
of rotations is transitive, and reection along a geodesic (great circle) through a point is a
symmetry. Both of these transformations leave the metric invariant.
(c) Any quotient C, of C by a discrete additive subgroup becomes a hermitian
symmetric space when endowed with the standard metric. The group of translations is
transitive, and z .z is a symmetry at 0.
Curvature.
Recall that, for a plane curve, the curvature at a point p is 1,r where r is the radius of the
circle that best approximates the curve at p. For a surface in 3-space, the principal curva-
tures at a point p are the maximum and minimum of the signed curvatures of the curves
obtained by cutting the surface with planes through a normal at p (the sign is positive
9
or
7
Let (M, g) be a connected riemannian manifold. For each p c M, there is a diffeomorphism on a
neighbourhood of p (the geodesic symmetry at p) that sends sends ;(t ) to ;(t ) for each geodesic ; with
;(0) = p. Geometrically, it is reection along geodesics through p. When the geodesic symmetry at p is an
isometry, M is said to be locally symmetric at p. A symmetry s
p
at p coincides with the geodesic symmetry
at p (see 1.11 below), and conversely (M, g) is (globally) symmetric if, for every p c M, the geodesic
symmetry at p extends to a symmetry s
p
at p.
8
Some authors say globally symmetric riemannian space for symmetric space and globally symmet-
ric hermitian space for hermitian symmetric space.
9
According to my dictionary, positive can mean greater than zero or not negative. I use it only in
the rst sense.
negative according as the curve bends towards the normal or away). Although the principal
curvatures depend on the embedding of the surface into 1
3
, their product, the sectional
curvature at p, does not (Gausss Theorema Egregium) and so it is well-dened for any
two-dimensional riemannian manifold. More generally, for a point p on any riemannian
manifold M, one can dene the sectional curvature K(p, E) of the submanifold cut out
by the geodesics tangent to a two-dimensional subspace E of T
p
M. Intuitively, positive
curvature means that the geodesics through a point converge, and negative curvature means
that they diverge. The geodesics in the upper half plane are the half-lines and semicir-
cles orthogonal to the real axis. Clearly, they diverge in fact, this is Poincar es famous
model of noneuclidean geometry in which there are innitely many lines through a point
parallel to any xed line not containing it. More prosaically, one can compute that the
sectional curvature is 1. The Gauss curvature of P
1
(C) is obviously positive, and that of
C, is zero.
The three types of hermitian symmetric spaces
The group of isometries of a symmetric space (M, g) has a natural structure of a Lie
group
10
(Helgason 1978, IV 3.2). For a hermitian symmetric space (M, g), the group
Is(M, g) of holomorphic isometries is closed in the group of isometries of (M
o
, g) and
so is also a Lie group.
There are three families of hermitian symmetric spaces (ibid, VIII; Wolf 1984, 8.7):
Name example simply connected? curvature Is(M, g)
noncompact type H
1
yes negative adjoint, noncompact
compact type P
1
(C) yes positive adjoint, compact
euclidean C, not necessarily zero
A Lie group is adjoint if it is semisimple with trivial centre.
Every hermitian symmetric space, when viewed as hermitian manifold, decomposes
into a product M
0
M
-
M
with M
0
euclidean, M
-
of noncompact type, and M
of compact type. The euclidean spaces are quotients of a complex space C

g
by a discrete
subgroup of translations. A hermitian symmetric space is irreducible if it is not the product
of two hermitian symmetric spaces of lower dimension. Each of M
-
and M
is a product
of irreducible hermitian symmetric spaces, each of which has a simple isometry group.
We shall be especially interested in the hermitian symmetric spaces of noncompact type
they are called hermitian symmetric domains.
EXAMPLE 1.2 (SIEGEL UPPER HALF SPACE). The Siegel upper half space H
g
of degree
g consists of the symmetric complex g g matrices with positive denite imaginary part,
i.e.,
H
g
= {Z = X iY c M
g
(C) [ X = X
t
, Y > 0}.
Note that the map Z = (z
ij
) . (z
ij
)
j_i
identies H
g
with an open subset of C
g(g1){2
.
The symplectic group Sp
2g
(1) is the group xing the alternating form

g
i=1
x
i
y
-i

10
This was proved by E. Cartan, and extended to all riemannian manifolds by Myers and Steenrod.
Example: Bounded symmetric domains. 13
g
i=1
x
-i
y
i
:
Sp
2g
(1) =
__
A B
C D
_
A
t
C = C
t
A A
t
D C
t
B = I
g
D
t
AB
t
C = I
g
B
t
D = D
t
B
_
.
The group Sp
2g
(1) acts transitively on H
g
by
_
A B
C D
_
Z = (AZ B)(CZ D)
-1
.
The matrix
_
0 -I
g
I
g
0
_
acts as an involution on H
g
, and has iI
g
as its only xed point. Thus,
H
g
is homogeneous and symmetric as a complex manifold, and we shall see in (1.4) below
that H
g
is in fact a hermitian symmetric domain.
Example: Bounded symmetric domains.
A domain D in C
n
is a nonempty open connected subset. It is symmetric if the group
Hol(D) of holomorphic automorphisms of D (as a complex manifold) acts transitively and
for some point there exists a holomorphic symmetry. For example, H
1
is a symmetric
domain and D
1
is a bounded symmetric domain.
THEOREM 1.3. Every bounded domain has a canonical hermitian metric (called
11
the
Bergman(n) metric). Moreover, this metric has negative curvature.
PROOF (SKETCH): Initially, let D be any domain in C
n
. The holomorphic square-integrable
functions : D C form a Hilbert space H(D) with inner product ( [g) =
_
D
gd:.
There is a unique
12
(Bergman kernel) function K: D D C such that
(a) the function z .K(z, () lies in H(D) for each (,
(b) K(z, () = K((, z), and
11
After Stefan Bergmann. When he moved to the United States in 1939, he dropped the second n from his
name.
12
When one ignores convergence questions, the proof is easy. Let k be a second function satisfying the
three conditions. Then
k(z, () =
_
K(z, t )k(t, ()d:(t )
=
_
k((, t )K(z, t )d:(t )
= K(z, (),
which proves the uniqueness. Let
K(z, () =
m
e
m
(z) e
m
(().
Then clearly K(z, () = K((, z), and
=
m
( [e
m
)e
m
=
_
K(, () (()d:(()
(actual equality, not almost-everywhere equality, because the functions are holomorphic).
(c) (z) =
_
K(z, () (()d:(() for all c H(D).
For example, for any complete orthonormal set (e
m
)
m=N
in H(D), K(z, () =

m
e
m
(z)
e
m
(() is such a function. If D is bounded, then all polynomial functions on D are square-
integrable, and so certainly K(z, z) > 0 for all z. Moreover, log(K(z, z)) is smooth and
the equations
h =
h
ij
dz
i
dz
j
, h
ij
(z) =
d
2
dz
i
dz
j
log K(z, z),
dene a hermitian metric on D, which can be shown to have negative curvature (Helgason
1978, VIII 3.3, 7.1; Krantz 1982, 1.4).
The Bergman metric, being truly canonical, is invariant under the action Hol(D). Hence,
a bounded symmetric domain becomes a hermitian symmetric domain for the Bergman
metric. Conversely, it is known that every hermitian symmetric domain can be embedded
into some C
n
as a bounded symmetric domain. Therefore, a hermitian symmetric domain
D has a unique hermitian metric that maps to the Bergman metric under every isomorphism
of D with a bounded symmetric domain. On each irreducible factor, it is a multiple of the
original metric.
EXAMPLE 1.4. Let D
g
be the set of symmetric complex matrices such that I
g
Z
t
Z is pos-
itive denite. Note that (z
ij
) . (z
ij
)
j_i
identies D
g
as a bounded domain in C
g(g1){2
.
The map Z . (Z iI
g
)(Z iI
g
)
-1
is an isomorphism of H
g
onto D
g
. Therefore, D
g
is symmetric and H
g
has an invariant hermitian metric: they are both hermitian symmetric
domains.
Automorphisms of a hermitian symmetric domain
LEMMA 1.5. Let (M, g) be a symmetric space, and let p c M. Then the subgroup K
p
of
Is(M, g)
xing p is compact, and

a K
p
.a p: Is(M, g)
,K
p
M
is an isomorphism of smooth manifolds. In particular, Is(M, g)
acts transitively on M.
PROOF. For any riemannian manifold (M, g), the compact-open topology makes Is(M, g)
into a locally compact group for which the stabilizer K
t
p
of a point p is compact (Helgason
1978, IV 2.5). The Lie group structure on Is(M, g) noted above is the unique such structure
compatible with the compact-open topology (ibid. II 2.6). An elementary argument (e.g.,
MF 1.2) now shows that Is(M, g),K
t
p
M is a homeomorphism, and it follows that
the map a . ap: Is(M, g) M is open. Write Is(M, g) as a nite disjoint union
Is(M, g) =

i
Is(M, g)
a
i
of cosets of Is(M, g)
. For any two cosets the open sets

Is(M, g)
a
i
p and Is(M, g)
a
j
p are either disjoint or equal, but, as M is connected, they
must all be equal, which shows that Is(M, g)
acts transitively. Now Is(M, g)
,K
p

M is a homeomorphism, and it follows that it is a diffeomorphism (Helgason 1978, II
4.3a).
The homomorphism u
p
: U
1
Hol(D) 15
PROPOSITION 1.6. Let (M, g) be a hermitian symmetric domain. The inclusions
Is(M
o
, g) Is(M, g) Hol(M)
give equalities:
Is(M
o
, g)
= Is(M, g)
= Hol(M)
.
Therefore, Hol(M)
acts transitively on M, and Hol(M)
,K
p

= M
o
.
PROOF. The rst equality is proved in Helgason 1978, VIII 4.3, and the second can be
proved similarly. The rest of the statement follows from (1.5).
Let H be a connected real Lie group. There need not be an algebraic group G over 1
such that
13
G(1)
= H. However, if H has a faithful nite-dimensional representation

H GL(V ), then there exists an algebraic group G GL(V ) such that Lie(G) = [h, h]
(inside gl(V )) where h = Lie(H) (Borel 1991, 7.9). If H, in addition, is semisimple, then
[h, h] = h and so Lie(G) = h and G(1)
= H (inside GL(V )). This observation applies

to any connected adjoint Lie group and, in particular, to Hol(M)
, because the adjoint

representation on the Lie algebra is faithful.
PROPOSITION 1.7. Let (M, g) be a hermitian symmetric domain, and let h = Lie(Hol(M)
).
There is a unique connected algebraic subgroup G of GL(h) such that
G(1)
= Hol(M)
(inside GL(h)).
For such a G,
G(1)
= G(1) Hol(M) (inside GL(h));

therefore G(1)
is the stablizer in G(1) of M.

PROOF. The rst statement was proved above, and the second follows from Satake 1980,
8.5.
EXAMPLE 1.8. The map z .z
-1
is an antiholomorphic isometry of H
1
, and every isom-
etry of H
1
is either holomorphic or differs from z . z
-1
by a holomorphic isometry. In
this case, G = PGL
2
, and PGL
2
(1) acts holomorphically on C1 with PGL
2
(1)
as the
stabilizer of H
1
.
The homomorphism u
p
: U
1
Hol(D)
Let U
1
= {z c C [ [z[ = 1} (the circle group).
THEOREM 1.9. Let D be a hermitian symmetric domain. For each p c D, there exists
a unique homomorphism u
p
: U
1
Hol(D) such that u
p
(z) xes p and acts on T
p
D as
multiplication by z.
13
For example, the (topological) fundamental group of SL
2
(1) is Z, and so SL
2
(1) has many proper
covering groups (even of nite degree). None of them is algebraic.
EXAMPLE 1.10. Let p = i c H
1
, and let h: C
SL
2
(1) be the homomorphismz = a
ib .
_
a b
-b a
_
. Then h(z) acts on the tangent space T
i
H
1
as multiplication by z,z, because
d
dz
_
azb
-bza
_
[
i
=
a
2
b
2
(a-bi)
2
. For z c U
1
, choose a square root
_
z c U
1
, and set u(z) = h(
_
z)
mod I. Then u(z) is independent of the choice of
_
z because h(1) = I. Therefore,
u is a well-dened homomorphism U
1
PSL
2
(1) such that u(z) acts on the tangent
space T
i
H
1
as multiplication by z.
Because of the importance of the theorem, I sketch a proof.
PROPOSITION 1.11. Let (M, g) be symmetric space. The symmetry s
p
at p acts as 1 on
T
p
M, and, for any geodesic ; with ;(0) = p, s
p
(;(t )) = ;(t ). Moreover, (M, g) is
(geodesically) complete.
PROOF. Because s
2
p
= 1, (ds
p
)
2
= 1, and so ds
p
acts semisimply on T
p
M with eigenval-
ues 1. Recall that for any tangent vector X at p, there is a unique geodesic ;: I M
with ;(0) = p, ;(0) = X. If (ds
p
)(X) = X, then s
p
; is a geodesic sharing these prop-
erties, and so p is not an isolated xed point of s
p
. This proves that only 1 occurs as an
eigenvalue. If (ds
p
)(X) = X, then s
p
; and t .;(t ) are geodesics through p with
velocity X, and so are equal. For the nal statement, see Boothby 1975, VII 8.4.
By a canonical tensor on a symmetric space (M, g), I mean any tensor canonically
derived from g, and hence xed by any isometry of (M, g).
PROPOSITION 1.12. On a symmetric space (M, g) every canonical r-tensor with r odd is
zero. In particular, parallel translation of two-dimensional subspaces does not change the
sectional curvature.
PROOF. Let t be a canonical r-tensor. Then
t
p
= t
p
(ds
p
)
r
1.11
= (1)
r
t
p
,
and so t = 0 if r is odd. For the second statement, let V be the riemannian connection, and
let R be the corresponding curvature tensor (Boothby 1975, VII 3.2, 4.4). Then VR is an
odd tensor, and so is zero. This implies that parallel translation of 2-dimensional subspaces
does not change the sectional curvature.
PROPOSITION 1.13. Let (M, g) and (M
t
, g
t
) be riemannian manifolds in which paral-
lel translation of 2-dimensional subspaces does not change the sectional curvature. Let
a: T
p
M T
p
0 M
t
be a linear isometry such that K(p, E) = K(p
t
, aE) for every 2-
dimensional subspace E T
p
M. Then exp
p
(X) .exp
p
0 (aX) is an isometry of a neigh-
bourhood of p onto a neighbourhood of p
t
.
PROOF. This follows from comparing the expansions of the riemann metrics in terms of
normal geodesic coordinates. See Wolf 1984, 2.3.7.
PROPOSITION 1.14. If in (1.13) M and M
t
are complete, connected, and simply con-
nected, then there is a unique isometry : M M
t
such that (p) = p
t
and d
p
= a.
PROOF. See Wolf 1984, 2.3.12.
Cartan involutions 17
I now complete the sketch of the proof of Theorem 1.9. Each z with [z[ = 1 denes an
automorphism of (T
p
D, g
p
), and one checks that it preserves sectional curvatures. Accord-
ing to (1.11, 1.12, 1.14), there exists a unique isometry u
p
(z): D D such that du
p
(z)
p
is multiplication by z. It is holomorphic because it is C-linear on the tangent spaces. The
isometry u
p
(z) u
p
(z
t
) xes p and acts as multiplication by zz
t
on T
p
D, and so equals
u
p
(zz
t
).
Cartan involutions
Let G be a connected algebraic group over 1, and let g . g denote complex conjugation
on G(C). An involution 0 of G (as an algebraic group over 1) is said to be Cartan if the
group
G
(0)
(1)
df
= {g c G(C) [ g = 0(g)} (9)
is compact.
EXAMPLE 1.15. Let G = SL
2
, and let 0 = ad
_
0 1
-1 0
_
. For
_
a b
c d
_
c SL
2
(C), we have
0
__
a b
c d
__
=
_
0 1
-1 0
_
_
a b
c d
_
_
0 1
-1 0
_
-1
=
_
d -c
-b a
_
.
Thus,
SL
(0)
2
(1) =
_
_
a b
c d
_
c SL
2
(C) [ d = a, c = b
_
=
_
a b
-b a
_
c GL
2
(C) [ [a[
2
[b[
2
= 1
_
= SU
2
,
which is compact, being a closed bounded set in C
2
. Thus 0 is a Cartan involution for SL
2
.
THEOREM 1.16. There exists a Cartan involution if and only if G is reductive, in which
case any two are conjugate by an element of G(1).
PROOF. See Satake 1980, I 4.3.
EXAMPLE 1.17. Let G be a connected algebraic group over 1.
(a) The identity map on G is a Cartan involution if and only if G(1) is compact.
(b) Let G = GL(V ) with V a real vector space. The choice of a basis for V determines
a transpose operator M . M
t
, and M . (M
t
)
-1
is obviously a Cartan involution. The
theorem says that all Cartan involutions of G arise in this way.
(c) Let G GL(V ) be a faithful representation of G. Then G is reductive if and
only if G is stable under g . g
t
for a suitable choice of a basis for V , in which case the
restriction of g . (g
t
)
-1
to G is a Cartan involution; all Cartan involutions of G arise in
this way from the choice of a basis for V (Satake 1980, I 4.4).
(d) Let 0 be an involution of G. There is a unique real form G
(0)
of G
C
such that
complex conjugation on G
(0)
(C) is g .0(g). Then, G
(0)
(1) satises (9), and we see that
the Cartan involutions of G correspond to the compact forms of G
C
.
PROPOSITION 1.18. Let G be a connected algebraic group over 1. If G(1) is compact,
then every nite-dimensional real representation of G GL(V ) carries a G-invariant
positive denite symmetric bilinear form; conversely, if one faithful nite-dimensional real
representation of G carries such a form, then G(1) is compact.
PROOF. Let ,: G GL(V ) be a real representation of G. If G(1) is compact, then its
image H in GL(V ) is compact. Let dh be the Haar measure on H, and choose a positive
denite symmetric bilinear form ( [ ) on V . Then the form
(u[:)
t
=
_
H
(hu[h:)dh
is G-invariant, and it is still symmetric, positive denite, and bilinear. For the converse,
choose an orthonormal basis for the form. Then G(1) becomes identied with a closed set
of real matrices A such that A
t
A = I, which is bounded.
REMARK 1.19. The proposition can be restated for complex representations: if G(1) is
compact then every nite-dimensional complex representation of G carries a G-invariant
positive denite Hermitian form; conversely, if some faithful nite-dimensional complex
representation of G carries a G-invariant positive denite Hermitian form, then G is com-
pact. (In this case, G(1) is a subgroup of a unitary group instead of an orthogonal group.
For a sesquilinear form to be G-invariant means that (gu, g:) = (u, :), g c G(C),
u, : c V .)
Let G be a real algebraic group, and let C be an element of G(1) whose square is
central (so that adC is an involution). A C-polarization on a real representation V of G is
a G-invariant bilinear form such that the form
C
,
(u, :) .(u, C:),
is symmetric and positive denite.
PROPOSITION 1.20. If adC is a Cartan involution of G, then every nite-dimensional real
representation of G carries a C-polarization; conversely, if one faithful nite-dimensional
real representation of G carries a C-polarization, then adC is a Cartan involution.
PROOF. An 1-bilinear form on a real vector space V denes a sesquilinear form
t
on
V (C),
t
: V (C) V (C) C,
t
(u, :) =
C
(u, :).
Moreover,
t
is hermitian (and positive denite) if and only if is symmetric (and positive
denite).
Let ,: G GL(V ) be a real representation of G. For any G-invariant bilinear form
on V ,
C
is G(C)-invariant, and so
t
(gu, g:) =
t
(u, :), all g c G(C), u, : c V (C). (10)
On replacing : with C: in this equality, we nd that
t
(gu, C(C
-1
gC):) =
t
(u, C:), all g c G(C), u, : c V (C), (11)
1
19
which says that
t
C
is invariant under G
(adC)
.
If , is faithful and is a C-polarization, then
t
C
is a positive denite hermitian form,
and so G
(adC)
(1) is compact (1.19): adC is a Cartan involution.
Conversely, if G
(adC)
(1) is compact, then every real representation G GL(V ) car-
ries a G
(adC)
(1)-invariant positive denite symmetric bilinear form (1.18). Similar cal-
culations to the above show that
C
1 is a C-polarization on V .
1
Let T be a torus over a eld k, and let K be a galois extension of k splitting T. To give
a representation , of T on a k-vector space V amounts
14
to giving an X
+
(T)-grading
V (K) =
y=X
(T)
V
y
on V (K) =
df
K
k
V with the property that
o(V
y
) = V
oy
, all o c Gal(K,k), y c X
+
(T).
Here V
y
is the subspace of K
k
V on which T acts through y:
,(t ): = y(t ) :, for : c V
y
, t c T(K).
If V
y
,= 0, we say that y occurs in V .
When we regard U
1
as a real algebraic torus, its characters are z . z
n
, n c Z. Thus,
X
+
(U
1
)
= Z, and complex conjugation acts on X

+
(U
1
) as multiplication by 1. Therefore
a representation of U
1
on a real vector space V corresponds to a grading V (C) =
n=Z
V
n
with the property that V (C)
-n
= V (C)
n
(complex conjugate). Here V
n
is the subspace of
V (C) on which z acts as z
n
. Note that V (C)
0
= V (C)
0
and so it is dened over 1, i.e.,
V (C)
0
= V
0
(C) for V
0
the subspace V V (C)
0
of V (see AG 14.5). The natural map
V,V
0
V (C),
n_0
V (C)
n

=
n>0
V (C)
n
(12)
is an isomorphism. From this discussion, we see that every real representation of U
1
is a
direct sum of representations of the following types:
(a) V = 1 with U
1
acting trivially (so V (C) = V
0
);
(b) V = 1
2
with z = xiy c U
1
(1) acting as
_
x y
-y x
_
n
, n > 0 (so V (C) = V
n
V
-n
).
Classication of hermitian symmetric domains in terms of real groups
The representations of U
1
have the same description whether we regard it as a Lie group or
an algebraic group, and so every homomorphism U
1
GL(V ) of Lie groups is algebraic.
It follows that the homomorphismu
p
: U
1
Hol(D)

= G(1)
(see 1.9, 1.7) is algebraic.

THEOREM 1.21. Let D be a hermitian symmetric domain, and let G be the associated real
adjoint algebraic group (1.7). The homomorphism u
p
: U
1
G attached to a point p of D
has the following properties:
14
For a split T , this simply says that T is diagonalizable: every representation of T is a direct sum of one
dimensional representations (Borel 1991, 8.4, 8.5). In the general case, let , be a representation of T
K
on
K V . A direct computation shows that o, = , if and only if oV
y
= V
oy
for all y. Now use that o, = ,
for all o if and only if , is dened over k (AG 14.7).
(a) only the characters z, 1, z
-1
occur in the representation of U
1
on Lie(G)
C
dened
by u
p
;
(b) ad(u
p
(1)) is a Cartan involution;
(c) u
p
(1) does not project to 1 in any simple factor of G.
Conversely, let G be a real adjoint algebraic group, and let u: U
1
G satisfy (a), (b),
and (c). Then the set D of conjugates of u by elements of G(1)
has a natural structure of

a hermitian symmetric domain for which G(1)
= Hol(D)
and u(1) is the symmetry

at u (regarded as a point of D).
PROOF (SKETCH): Let D be a hermitian symmetric domain, and let G be the associated
group (1.7). Then G(1)
,K
p

= D where K
p
is the group xing p (see 1.6). For z c U
1
,
u
p
(z) acts on the 1-vector space
Lie(G), Lie(K
p
)
= T
p
D
as multiplication by z, and it acts on Lie(K
p
) trivially. From this, (a) follows.
The symmetry s
p
at p and u
p
(1) both x p and act as 1 on T
p
D (see 1.11); they are
therefore equal (1.14). It is known that the symmetry at a point of a symmetric space gives
a Cartan involution of G if and only if the space has negative curvature (see Helgason 1978,
V2; the real formof G dened by ads
p
is that attached to the compact dual of the symmetric
space). Thus (b) holds.
Finally, if the projection of u(1) into a simple factor of G were trivial, then that factor
would be compact (by (b); see 1.17a), and D would have an irreducible factor of compact
type.
For the converse, let D be the set of G(1)
-conjugates of u. The centralizer K

u
of u
in G(1)
is contained in {g c G(C) [ g = u(1) g u(1)

-1
}, which, according to
(b), is compact. As K
u
is closed, it also is compact. The equality D =
_
G(1)
,K
u
_
u
endows D with the structure of smooth (even real-analytic) manifold. For this structure,
the tangent space to D at u,
T
u
D = Lie(G), Lie(K
u
),
which, because of (a), can be identied with the subspace of Lie(G)
C
on which u(z) acts as
z (see (12)). This endows T
u
D with a C-vector space structure for which u(z), z c U
1
, acts
as multiplication by z. Because D is homogeneous, this gives it the structure of an almost-
complex manifold, which can be shown to integrable (Wolf 1984, 8.7.9). The action of
K
u
on D denes an action of it on T
u
D. Because K
u
is compact, there is a K
u
-invariant
positive denite form on T
u
D (see 1.18), and because J = u(i) c K
u
, any such form will
have the hermitian property (7). Choose one, and use the homogeneity of D to move it
to each tangent space. This will make D into a hermitian symmetric space, which will be
a hermitian symmetric domain because each simple factor of its automorphism group is a
noncompact semisimple group (because of (b,c)).
COROLLARY 1.22. There is a natural one-to-one correspondence between isomorphism
classes of pointed hermitian symmetric domains and pairs (G, u) consisting of a real ad-
joint Lie group and a nontrivial homomorphism u: U
1
G(1) satisfying (a), (b), (c).
EXAMPLE 1.23. Let u: U
1
PSL
2
(1) be as in (1.10). Then u(1) =
_
0 1
-1 0
_
and we saw
in 1.15 that adu(1) is a Cartan involution of SL
2
, hence also of PSL
2
.
Classication of hermitian symmetric domains in terms of dynkin diagrams 21
Classication of hermitian symmetric domains in terms of dynkin dia-
grams
Let G be a simple adjoint group over 1, and let u be a homomorphism U
1
G satisfying
(a) and (b) of Theorem 1.21. By base extension, we get an adjoint group G
C
, which is
simple because it is an inner form of its compact form,
15
and a cocharacter j = u
C
of G
C
satisfying the following condition:
(*) in the action of G
m
on Lie(G
C
) dened by ad j, only the characters
z, 1, z
-1
occur.
PROPOSITION 1.24. The map (G, u) . (G
C
, u
C
) denes a bijection between the sets of
isomorphism classes of pairs consisting of
(a) a simple adjoint group over 1 and a conjugacy class of u: U
1
H satisfying
(1.21a,b), and
(b) a simple adjoint group over C and a conjugacy class of cocharacters satisfying (*).
PROOF. Let (G, j) be as in (b), and let g . g denote complex conjugation on G(C)
relative to the unique compact real form of G (cf. 1.16). There is a real form H of G such
that complex conjugation on H(C) = G(C) is g .j(1) g j(1)
-1
, and u =
df
j[U
1
takes values in H(1). The pair (H, u) is as in (a), and the map (G, j) (H, u) is inverse
to (H, u) .(H
C
, u
C
) on isomorphism classes.
Let G be a simple algebraic group C. Choose a maximal torus T in G and a base (
i
)
i=I
for the roots of G relative to T . Recall, that the nodes of the dynkin diagram of (G, T)
are indexed by I. Recall also (Bourbaki 1981, VI 1.8) that there is a unique (highest) root
=

n
i
i
such that, for any other root
m
i
i
, n
i
_ m
i
all i. An
i
(or the associated
node) is said to be special if n
i
= 1.
Let M be a conjugacy class of nontrivial cocharacters of G satisfying (*). Because all
maximal tori of G are conjugate, M has a representative in X
+
(T) X
+
(G), and because
the Weyl group acts simply transitively on the Weyl chambers (Humphreys 1972, 10.3)
there is a unique representative j for M such that (
i
, j) _ 0 for all i c I. The condition
(*) is that
16
(, j) c {1, 0, 1} for all roots . Since j is nontrivial, not all the values
(, j) can be zero, and so this condition implies that (
i
, j) = 1 for exactly one i c I,
which must in fact be special (otherwise ( , j) > 1). Thus, the M satisfying (*) are in
one-to-one correspondence with the special nodes of the dynkin diagram. In conclusion:
THEOREM 1.25. The isomorphism classes of irreducible hermitian symmetric domains are
classied by the special nodes on connected dynkin diagrams.
The special nodes can be read off from the list of dynkin diagrams in, for example,
Helgason 1978, p477. In the following table, we list the number of special nodes for each
type:
Type A
n
B
n
C
n
D
n
E
6
E
7
E
8
F
4
G
2
n 1 1 3 2 1 0 0 0
15
If G
C
is not simple, say, G
C
= G
1
G
2
, then G = Res
C{R
(G
1
) and any inner form of G is also the
restriction of scalars of a C-group; but such a group can not be compact (look at a subtorus).
16
The j with this property are sometimes said to be minuscule (cf. Bourbaki 1981, pp226227).
In particular, there are no irreducible hermitian symmetric domains of type E
8
, F
4
, or G
2
and, up to isomorphism, there are exactly 2 of type E
6
and 1 of type E
7
. It should be noted
that not every simple real algebraic group arises as the automorphism group of a hermitian
symmetric domain. For example, PGL
n
arises in this way only for n = 2.
NOTES. For introductions to smooth manifolds and riemannian manifolds, see Boothby
1975 and Lee 1997. The ultimate source for hermitian symmetric domains is Helgason
1978, but Wolf 1984 is also very useful, and Borel 1998 gives a succinct treatment close
to that of the pioneers. The present account has been inuenced by Deligne 1973a and
Deligne 1979.
23
2 Hodge structures and their classifying spaces
We describe various objects and their parameter spaces. Our goal is a description of hermi-
tian symmetric domains as the parameter spaces for certain special hodge structures.
Reductive groups and tensors
Let G be a reductive group over a eld k of characteristic zero, and let ,: G GL(V ) be
a representation of G. The contragredient or dual ,
of , is the representation of G on the

dual vector space V
dened by
(,
(g) )(:) = (,(g

-1
) :), g c G, c V
, : c V.
A representation is said to be self-dual if it is isomorphic to its contragredient.
An r-tensor of V is a multilinear map
t : V V k (r-copies of V ).
For an r-tensor t , the condition
t (g:
1
, . . . , g:
r
) = (:
1
, . . . , :
r
), all :
i
c V,
on g denes a closed subgroup of GL(V )
t
of GL(V ). For example, if t is a nondegenerate
symmetric bilinear form V V k, then GL(V )
t
is the orthogonal group. For a set T
of tensors of V ,
_
t=T
GL(V )
t
is called the subgroup of GL(V ) xing the t c T .
PROPOSITION 2.1. For any faithful self-dual representation G GL(V ) of G, there exists
a nite set T of tensors of V such that G is the subgroup of GL(V ) xing the t c T .
PROOF. In Deligne 1982, 3.1, it is shown there exists a possibly innite set T with this
property, but, because G is noetherian as a topological space (i.e., it has the descending
chain condition on closed subsets), a nite subset will sufce.
PROPOSITION 2.2. Let G be the subgroup of GL(V ) xing the tensors t c T. Then
Lie(G) =
g c End(V )
j
t (:
1
, . . . , g:
j
, . . . , :
r
) = 0, all t c T , :
i
c V
_
.
PROOF. The Lie algebra of an algebraic group G can be dened to be the kernel of
G(k[c]) G(k). Here k[c] is the k-algebra with c
2
= 0. Thus Lie(G) consists of
the endomorphisms 1 gc of V (k[c]) such that
t ((1 gc):
1
, (1 gc):
2
, . . .) = t (:
1
, :
2
, . . .), all t c T , :
i
c V.
On expanding this and cancelling, we obtain the assertion.
Flag varieties
Fix a vector space V of dimension n over a eld k.
24 2 HODGE STRUCTURES AND THEIR CLASSIFYING SPACES
The projective space P(V )
The set P(V ) of one-dimensional subspaces L of V has a natural structure of an algebraic
variety: the choice of a basis for V determines a bijection P(V ) P
n-1
, and the structure
of an algebraic variety inherited by P(V ) from the bijection is independent of the choice of
the basis.
Grassmann varieties
Let G
d
(V ) be the set of d-dimensional subspaces of V , some 0 - d - n. Fix a basis
for V . The choice of a basis for W then determines a d n matrix A(W) whose rows
are the coordinates of the basis elements. Changing the basis for W multiplies A(W) on
the left by an invertible d d matrix. Thus, the family of minors of degree d of A(W)
is well-determined up to multiplication by a nonzero constant, and so determines a point
P(W) in P
(
n
d
)-1
. The map W . P(W): G
d
(V ) P
(
n
d
)-1
identies G
d
(V ) with a
closed subvariety of P
(
n
d
)-1
(AG, 5.38). A coordinate-free description of this map is given
by
W .
_
d
W: G
d
(V ) P(
_
d
V ). (13)
Let S be a subspace of V of complementary dimension nd, and let G
d
(V )
S
be the set
of W c G
d
(V ) such that W S = {0}. Fix a W
0
c G
d
(V )
S
, so that V = W
0
S. For any
W c G
d
(V )
S
, the projection W W
0
given by this decomposition is an isomorphism,
and so W is the graph of a homomorphism W
0
S:
n .s == (n, s) c W.
Conversely, the graph of any homomorphism W
0
S lies in G
d
(V )
S
. Thus,
G
d
(V )
S

= Hom(W
0
, S). (14)
When we regard G
d
(V )
S
as an open subvariety of G
d
(V ), this isomorphism identies it
with the afne space A(Hom(W
0
, S)) dened by the vector space Hom(W
0
, S). Thus,
G
d
(V ) is smooth, and the tangent space to G
d
(V ) at W
0
,
T
W
0
(G
d
(V ))
= Hom(W
0
, S)
= Hom(W
0
, V,W
0
). (15)
Flag varieties
The above discussion extends easily to chains of subspaces. Let d = (d
1
, . . . , d
r
) be a
sequence of integers with n > d
1
> > d
r
> 0, and let G
d
(V ) be the set of ags
F : V V
1
V
r
0 (16)
with V
i
a subspace of V of dimension d
i
. The map
G
d
(V )
F|-(V
i
)
i
G
d
i
(V )
i
P(
_
d
i
V )
Hodge structures 25
realizes G
d
(V ) as a closed subset of

i
G
d
i
(V ) (Humphreys 1978, 1.8), and so it is a
projective variety. The tangent space to G
d
(V ) at the ag F consists of the families of
homomorphisms
i
: V
i
V,V
i
, 1 _ i _ r, (17)
satisfying the compatibility condition
i
[V
i1

i1
mod V
i1
.
ASIDE 2.3. A basis e
1
, . . . , e
n
for V is adapted to the ag F if it contains a basis e
1
, . . . , e
j
i
for each V
i
. Clearly, every ag admits such a basis, and the basis then determines the ag.
Because GL(V ) acts transitively on the set of bases for V , it acts transitively on G
d
(V ).
For a ag F, the subgroup P(F) stabilizing F is an algebraic subgroup of GL(V ), and the
map
g .gF
0
: GL(V ),P(F
0
) G
d
(V )
is an isomorphism of algebraic varieties. Because G
d
(V ) is projective, this shows that
P(F
0
) is a parabolic subgroup of GL(V ).
Hodge structures
Denition
For a real vector space V , complex conjugation on V (C) =
df
C
R
V is dened by
z : = z :.
An 1-basis e
1
, . . . , e
m
for V is also a C-basis for V (C) and
a
i
e
i
=
a
i
e
i
.
A hodge decomposition of a real vector space V is a decomposition
V (C) =
p,q=ZZ
V
p,q
such that V
q,p
is the complex conjugate of V
p,q
. A hodge structure is a real vector space
together with a hodge decomposition. The set of pairs (p, q) for which V
p,q
,= 0 is
called the type of the hodge structure. For each n,
pq=n
V
p,q
is stable under complex
conjugation, and so is dened over 1, i.e., there is a subspace V
n
of V such that V
n
(C) =
pq=n
V
p,q
(see AG 14.5). Then V =
n
V
n
is called the weight decomposition of V .
If V = V
n
, then V is said to have weight n.
An integral (resp. rational) hodge structure is a free Z-module of nite rank V (resp.
-vector space) together with a hodge decomposition of V (1) such that the weight decom-
position is dened over .
EXAMPLE 2.4. Let J be a complex structure on a real vector space V , and dene V
-1,0
and
V
0,-1
to be the i and i eigenspaces of J acting on V (C). Then V (C) = V
-1,0
V
0,-1
is a hodge structure of type (1, 0), (0, 1), and every real hodge structure of this type
arises from a (unique) complex structure. Thus, to give a rational hodge structure of type
(1, 0), (0, 1) amounts to giving a -vector space V and a complex structure on V (1),
and to give an integral hodge structure of type (1, 0), (0, 1) amounts to giving a C-vector
space V and a lattice V (i.e., a Z-submodule generated by an 1-basis for V ).
EXAMPLE 2.5. Let X be a nonsingular projective algebraic variety over C. Then H =
H
n
(X, ) has a Hodge structure of weight n for which H
p,q
H
n
(X, C) is canonically
isomorphic to H
q
(X, D
p
) (Voisin 2002, 6.1.3).
EXAMPLE 2.6. Let (m) be the hodge structure of weight 2m on the vector space .
Thus, ((m))(C) = (m)
-m,-m
. Dene Z(m) and 1(m) similarly.
17
The hodge ltration
The hodge ltration associated with a hodge structure of weight n is
F
: F
p
F
p1
, F
p
=
r_p
V
r,s
V (C).
Note that for p q = n,
F
q
=
s_q
V
s,r
=
s_q
V
r,s
=
r_p
V
r,s
and so
V
p,q
= F
p
F
q
. (18)
EXAMPLE 2.7. For a hodge structure of type (1, 0), (0, 1), the hodge ltration is
(F
-1
F
0
F
2
) = (V (C) V
0,-1
0).
The obvious 1-linear isomorphism V V (C),F
0
denes the complex structure on V
noted in (2.4).
Hodge structures as representations of S
Let S be C
regarded as a torus over 1. It can be identied with the closed subgroup of

GL
2
(1) of matrices of the form
18
_
a b
-b a
_
. Then S(C) - C
with complex conjuga-

tion acting by the rule (z
1
, z
2
) = (z
2
, z
1
). We x the isomorphism S
C

= G
m
G
m
so that
S(1) S(C) is z .(z, z), and we dene the weight homomorphism n: G
m
S so that
G
m
(1)
u
S(1) is r .r
-1
: 1
.
The characters of S
C
are the homomorphisms (z
1
, z
2
) . z
p
1
z
q
2
, (r, s) c Z Z. Thus,
X
+
(S) = Z Z with complex conjugation acting as (p, q) . (q, p), and to give a
representation of S on a real vector space V amounts to giving a Z Z-grading of V (C)
such that V
p,q
= V
q,p
for all p, q (see p19). Thus, to give a representation of S on a
real vector space V is the same as to give a hodge structure on V . Following Deligne
1979, 1.1.1.1, we normalize the relation as follows: the homomorphism h: S GL(V )
corresponds to the hodge structure on V such that
h
C
(z
1
, z
2
): = z
-p
1
z
-q
2
: for : c V
p,q
. (19)
17
It would be a little more canonical to take the underlying vector space of (m) to be (2i)
m
because
this makes certain relations invariant under a change of the choice of i =
_
1 in C.
18
This is the transpose of the matrix of a ib acting on C relative to the basis 1, i, but it gives the correct
action on the tangent space, namely, if [z[ = 1, then h(z) acts as z
2
(see 1.10).
Hodge structures 27
In other words,
h(z): = z
-p
z
-q
: for : c V
p,q
. (20)
Note the minus signs! The associated weight decomposition has
V
n
= {: c V [ n
h
(r): = r
n
}, n
h
= h n. (21)
Let j
h
be the cocharacter of GL(V ) dened by
j
h
(z) = h
C
(z, 1). (22)
Then the elements of F
p
h
V are sums of : c V (C) satisfying j
h
(z) : = z
-r
: for some
r _ p.
To give a hodge structure on a -vector space V amounts to giving a homomorphism
h: S GL(V (1)) such that n
h
is dened over .
EXAMPLE 2.8. By denition, a complex structure on a real vector space is a homomor-
phism h: C End
R
(V ) of 1-algebras. Then h[C
: C
GL(V ) is a hodge structure of

type (1, 0), (0, 1) whose associated complex structure (see 2.4) is that dened by h.
19
EXAMPLE 2.9. The Hodge structure (m) corresponds to the homomorphism h: S
G
mR
, h(z) = (zz)
m
.
The Weil operator
For a hodge structure (V, h), the 1-linear map C = h(i) is called the Weil operator. Note
that C acts as i
q-p
on V
p,q
and that C
2
= h(1) acts as (1)
n
on V
n
.
EXAMPLE 2.10. If V is of type (1, 0), (0, 1), then C coincides with the J of (2.4). The
functor (V, (V
-1,0
, V
0,-1
)) . (V, C) is an equivalence from the category of real hodge
structures of type (1, 0), (0, 1) to the category of complex vector spaces.
Hodge structures of weight 0.
Let V be a hodge structure of weight 0. Then V
0,0
is invariant under complex conjugation,
and so V
0,0
= V
00
(C), where V
00
= V
0,0
V (see AG 14.5). Note that
V
00
= Ker(V V (C),F
0
). (23)
19
This partly explains the signs in (19); see also Deligne 1979, 1.1.6. Following Deligne 1973b, 8.12,
and Deligne 1979, 1.1.1.1, h
C
(z
1
, z
2
):
p,q
= z
-p
1
z
-q
2
:
p,q
has become the standard convention in the theory
of Shimura varieties. When one identies complex structures on a real vector space with Hodge structures
of type (1, 0), (0, 1) (or abelian varieties with hodge structures using H
1
rather than H
1
), then it is more
convenient to use the convention h
C
(z
1
, z
2
):
p,q
= z
q
1
z
p
2
:
p,q
(note the switch). I tried this in the lectures, but
have abandoned it because it causes too much confusion. Following Deligne 1971a, 2.1.5.1, the convention
h
C
(z
1
, z
2
):
p,q
= z
p
1
z
q
2
:
p,q
is commonly used in hodge theory (e.g., Voisin 2002, p147).
Tensor products of hodge structures
The tensor product of hodge structures V and W of weight m and n is a hodge structure
of weight mn:
V W, (V W)
p,q
=
rr
0
=p,ss
0
=q
V
r,s
V
r
0
,s
0
.
In terms of representations of S,
(V, h
V
) (W, h
W
) = (V W, h
V
h
W
).
Morphisms of hodge structures
A morphism of Hodge structures is a linear map V W sending V
p,q
into W
p,q
for all
p, q. In other words, it is a morphism (V, h
V
) (W, h
W
) of representations of S.
Hodge tensors
Let R = Z, , or 1, and let (V, h) be an R-hodge structure of weight n. A multilinear
form t : V
r
R is a hodge tensor if the map
V V V R(nr,2)
it denes is a morphism of hodge structures. In other words, t is a hodge tensor if
t (h(z):
1
, h(z):
2
, . . .) = (zz)
-nr{2
t
R
(:
1
, :
2
, . . .), all z c C, :
i
c V (1),
or if
p
i
,=
q
i
=t
C
(:
p
1
,q
1
1
, :
p
2
,q
2
2
, . . .) = 0, :
p
i
,q
i
i
c V
p
i
,q
i
. (24)
Note that, for a hodge tensor t ,
t (C:
1
, C:
2
, . . .) = t (:
1
, :
2
, . . .).
EXAMPLE 2.11. Let (V, h) be a hodge structure of type (1, 0), (0, 1). A bilinear form
t : V V 1 is a hodge tensor if and only if t (Ju, J:) = t (u, :) for all u, : c V .
Polarizations
Let (V, h) be a hodge structure of weight n. A polarization of (V, h) is a hodge tensor
[: V V 1 such that [
C
(u, :) =
df
[(u, C:) is symmetric and positive denite. Then
[ is symmetric or alternating according as n is even or odd, because
[(:, u) = [(C:, Cu) = [
C
(C:, u) = [
C
(u, C:) = [(u, C
2
:) = (1)
n
[(u, :).
More generally, let (V, h) be an R-hodge structure of weight n where R is Z or . A
polarization of (V, h) is a bilinear form [: V V R such that [
R
is a polarization of
(V (1), h).
Variations of hodge structures 29
EXAMPLE 2.12. Let (V, h) be an R-hodge structure of type (1, 0), (0, 1) with R =
Z, , or 1, and let J = h(i). A polarization of (V, h) is an alternating bilinear form
[: V V R such that, for u, : c V (1),
[
R
(Ju, J:) = [(u, :), and
[
R
(u, Ju) > 0 if u ,= 0.
(These conditions imply that [
R
(u, J:) is symmetric.)
EXAMPLE 2.13. Let X be a nonsingular projective variety over C. The choice of an embed-
ding X P
N
determines a polarization on the primitive part of H
n
(X, ) (Voisin 2002,
6.3.2).
Variations of hodge structures
Fix a real vector space V , and let S be a connected complex manifold. Suppose that,
for each s c S, we have a hodge structure h
s
on V of weight n (independent of s). Let
V
p,q
s
= V
p,q
h
s
and F
p
s
= F
p
s
V = F
p
h
s
V .
The family of hodge structures (h
s
)
s=S
on V is said to be continuous if, for xed p and
q, the subspace V
p,q
s
varies continuously with s. This means that the dimension d(p, q) of
V
p,q
s
is constant and the map
s .V
p,q
s
: S G
d(p,q)
(V )
is continuous.
A continuous family of hodge structures (V
p,q
s
)
s
is said to be holomorphic if the hodge
ltration F
s
varies holomorphically with s. This means that the map ,
s .F
s
: S G
d
(V )
is holomorphic. Here d = (. . . , d(p), . . .) where d(p) = dimF
p
s
V =
r_p
d(r, q). Then
the differential of at s is a C-linear map
d
s
: T
s
S T
F
s
(G
d
(V ))
(17)

p
Hom(F
p
s
, V,F
p
s
).
If the image of d
s
is contained in
p
Hom(F
p
s
, F
p-1
s
,F
p
s
),
for all s, then the holomorphic family is called a variation of hodge structures on S.
Now let T be a family of tensors on V including a nondegenerate bilinear form t
0
, and
let d: Z Z N be a function such that
d(p, q) = 0 for almost all p, q;
d(q, p) = d(p, q);
d(p, q) = 0 unless p q = n.
Dene S(d, T) to be the set of all hodge structures h on V such that
dimV
p,q
h
= d(p, q) for all p, q;
each t c T is a hodge tensor for h;
t
0
is a polarization for h.
Then S(d, T) acquires a topology as a subspace of
d(p,q),=0
G
d(p,q)
(V ).
THEOREM 2.14. Let S
be a connected component of S(d, T).

(a) If nonempty, S
has a unique complex structure for which (h

s
) is a holomorphic
family of hodge structures.
(b) With this complex structure, S
is a hermitian symmetric domain if (h

s
) is a variation
of hodge structures.
20
(c) Every irreducible hermitian symmetric domain is of the form S
for a suitable V , d,
and T.
PROOF (SKETCH). (a) Let S
= S(d, T)
. Because the hodge ltration determines the

hodge decomposition (see (18)), the map x . F
s
: S

G
d
(V ) is injective. Let G be
the smallest algebraic subgroup of GL(V ) such that
h(S) G, all h c S
(25)
(take G to be the intersection of the algebraic subgroups of GL(V ) with this property),
and let h
o
c S
. For any g c G(1)
, gh
o
g
-1
c S
, and it can be shown that the map

g .g h
o
g
-1
: G(1)
is surjective:
S
= G(1)
h
o
.
The subgroup K
o
of G(1)
xing h
o
is closed, and so G(1)
,K
o
is a smooth (in fact, real
analytic) manifold. Therefore, S
acquires the structure of a smooth manifold from

S
= (G(1)
,K
o
) h
o

= G(1)
,K
o
.
Let g = Lie(G). From S
h
o
G
Ad
g End(V ), we obtain Hodge structures on g and
End(V ). Clearly, g
00
= Lie(K
o
) and so T
h
o
S

= g,g
00
. In the diagram,
T
h
o
S
= g,g
00
-
End(V ), End(V )
00
g(C),F
0
(23)
?
~
=
-
End(V (C)),F
0
(23)
?
~
=
=T
h
o
G
d
(V ).
(26)
the map from top-left to bottom-right is (d)
h
o
, which therefore maps T
h
o
S
onto a com-
plex subspace of T
h
o
G
d
(V ). Since this is true for all h
o
c S
, we see that identies

S
with an almost-complex submanifold G

d
(V ). It can be shown that this almost-complex
20
In the preliminary version, I claimed that this was if and only if, but, as Fritz H ormann pointed out to
me, the only if is not true. For example, let V = 1
2
with the standard alternating form. Then the functions
d(1, 0) = d(0, 1) = 1 and d(5, 0) = d(0, 5) = 1 give the same sets S(d, T) but only the rst is a variation
of hodge structures. The u given naturally by the second d is the fth power of that given by the rst d, and
u(z) doesnt act as multiplication by z on the tangent space.
Variations of hodge structures 31
structure is integrable, and so provides S
with a complex structure for which is holo-

morphic. Clearly, this is the only (almost-)complex structure for which this is true.
(b) See Deligne 1979, 1.1.
(c) Given an irreducible hermitian symmetric domain D, choose a faithful self-dual rep-
resentation G GL(V ) of the algebraic group G associated with D (as in 1.7). Because
V is self-dual, there is a nondegenerate bilinear form t
0
on V xed by G. Apply Theorem
2.1 to nd a set of tensors T such that G is the subgroup of GL(V ) xing the t c T . Let
h
o
be the composite S
z|-z{z
U
1
u
o
GL(V ) with u
o
as in (1.9). Then, h
o
denes a hodge
structure on V for which the t c T are hodge tensors and t
o
is a polarization. One can
check that D is naturally identied with the component of S(d, T)
containing this hodge

structure.
21
REMARK 2.15. The map S
G
d
(V ) in the proof is an embedding of smooth manifolds
(injective smooth map that is injective on tangent spaces and maps S
homeomorphically
onto its image). Therefore, if a smooth map T G
d
(V ) factors into
T

S
G
d
(V ),
then will be smooth. Moreover, if the map T G
d
(V ) is dened by a holomorphic
family of hodge structures on T, and it factors through S
, then will be holomorphic.

ASIDE 2.16. As we noted in (2.5), for a nonsingular projective variety V over C, the co-
homology group H
n
(V (C), ) has a natural Hodge structure of weight n. Now consider
a regular map : V S of nonsingular varieties whose bres V
s
(s c S) are nonsingu-
lar projective varieties of constant dimension. The vector spaces H
n
(V
s
, ) form a local
system of -vector spaces on S, and Grifths showed that the Hodge structures on them
form a variation of hodge structures in a slightly more general sense than that dened above
(Voisin 2002, Proposition 10.12).
NOTES. Theorem 2.14 is taken from Deligne 1979.
21
Given a pair (V, (V
p,q
)
p,q
, T), dene L to be the sub-Lie-algebra of End(V ) xing the t c T , i.e., such
that
i
t (:
1
, . . . , g:
i
, . . . , :
r
) = 0.
Then L has a hodge structure of weight 0. We say that (V, (V
p,q
)
p,q
, T) is special if L is of type
(1, 1), (0, 0), (1, 1). The family S(d, T)
containing (V, (V
p,q
)
p,q
, T) is a variation of hodge structures
if and only if (H, T) is special.
32 3 LOCALLY SYMMETRIC VARIETIES
3 Locally symmetric varieties
In this section, we study quotients of hermitian symmetric domains by certain discrete
groups.
Quotients of hermitian symmetric domains by discrete groups
PROPOSITION 3.1. Let D be a hermitian symmetric domain, and let I be a discrete sub-
group of Hol(D)
. If I is torsion free, then I acts freely on D, and there is a unique

complex structure on ID for which the quotient map : D ID is a local isomor-
phism. Relative to this structure, a map from ID to a second complex manifold is
holomorphic if and only if is holomorphic.
PROOF. Let I be a discrete subgroup of Hol(D)
. According to (1.5, 1.6), the stabilizer

K
p
of any point p c D is compact and g .gp: Hol(D)
,K
p
D is a homeomorphism,
and so (MF, 2.5):
(a) for any p c D, {g c I [ gp = p} is nite;
(b) for any p c D, there exists a neighbourhood U of p such that, for g c I, gU is
disjoint from U unless gp = p;
(c) for any points p, q c D not in the same I-orbit, there exist neighbourhoods U of p
and V of q such that gU V = 0 for all g c I.
Assume I is torsion free. Then the group in (a) is trivial, and so I acts freely on D.
Endow ID with the quotient topology. If U and V are as in (c) , then U and V
are disjoint neighbourhoods of p and q, and so ID is separated. Let q c ID, and
let p c
-1
(q). If U is as in (b), then the restriction of to U is a homeomorphism
U U, and it follows that ID a manifold.
Dene a C-valued function on an open subset U of ID to be holomorphic if
is holomorphic on
-1
U. The holomorphic functions form a sheaf on ID for which is
a local isomorphism of ringed spaces. Therefore, the sheaf denes a complex structure on
ID for which is a local isomorphism of complex manifolds.
Finally, let : ID M be a map such that is holomorphic, and let be a
holomorphic function on an open subset U of M. Then is holomorphic because
is holomorphic, and so is holomorphic.
When I is torsion free, we often write D(I) for ID regarded as a complex manifold.
In this case, D is the universal covering space of D(I) and I is the group of covering
transformations; moreover, for any point p of D, the map
g .[image under of any path from p to gp]: I
1
(D(I), p)
is an isomorphism (Hatcher 2002, 1.40).
Subgroups of nite covolume
We shall only be interested in quotients of D by big discrete subgroups I of Aut(D)
.
This condition is conveniently expressed by saying that ID has nite volume. By deni-
Arithmetic subgroups 33
tion, D has a riemannian metric g and hence a volume element D: in local coordinates
D =
_
det(g
ij
(x))dx
1
. . . . . dx
n
.
Since g is invariant under I, so also is D, and so it passes to the quotient ID. The
condition is that
_
I\D
D - o.
For example, let D = H
1
and let I = PSL
2
(Z). Then
F = {z c H
1
[ [z[ > 1,
1
2
- +z -
1
2
}
is a fundamental domain for I and
_
I\D
D =
__
F
dxdy
y
2
_
_
o
_
3{2
_
1{2
-1{2
dxdy
y
2
=
_
o
_
3{2
dy
y
2
- o.
On the other hand, the quotient of H
1
by the group of translations z . z n, n c Z, has
innite volume, as does the quotient of H
1
by the trivial group.
A real Lie group G has a left invariant volume element, which is unique up to a positive
constant (cf. Boothby 1975, VI 3.5). A discrete subgroup I of G is said to have nite
covolume if IG has nite volume. For a torsion free discrete subgroup I of Hol(D)
,
an application of Fubinis theorem shows that IHol(D)
has nite volume if and only if

ID has nite volume (Witte 2001, Exercise 1.27).
Arithmetic subgroups
Two subgroups S
1
and S
2
of a group H are commensurable if S
1
S
2
has nite index in
both S
1
and S
2
. For example, two innite cyclic subgroups Za and Zb of 1 are commen-
surable if and only if a,b c
. Commensurability is an equivalence relation.

22
Let G be an algebraic group over . A subgroup I of G() is arithmetic if it is
commensurable with G() GL
n
(Z) for some embedding
23
G GL
n
. It is then com-
mensurable with G() GL
n
0 (Z) for every embedding G GL
n
0 (Borel 1969, 7.13).
PROPOSITION 3.2. Let ,: G G
t
be a surjective homomorphism of algebraic groups
over . If I G() is arithmetic, then so also is ,(I) G
t
().
PROOF. Borel 1969, 8.9, 8.11, or Platonov and Rapinchuk 1994, Theorem 4.1, p204.
An arithmetic subgroup I of G() is obviously discrete in G(1), but it need not have
nite covolume; for example, I = {1} is an arithmetic subgroup of G
m
() of innite
covolume in 1
. Thus, if I is to have nite covolume, there can be no nonzero homomor-

phism G G
m
. For reductive groups, this condition is also sufcient.
22
If H and H
t
are subgroups of nite index in a group G, then H H
t
has nite index in H (because
H,H H
t
G,H
t
is injective). It follows that if H
1
and H
3
are each commensurable with H
2
, then
H
1
H
2
H
3
has nite index in each of H
1
H
2
and H
2
H
3
(and therefore in H
1
and H
3
). Hence,
H
1
H
3
has nite index in each of H
1
and H
3
.
23
Here, embedding means injective homomorphism.
THEOREM 3.3. Let G be a reductive group over , and let I be an arithmetic subgroup of
G().
(a) The space IG(1) has nite volume if and only if Hom(G, G
m
) = 0 (in particular,
IG(1) has nite volume if G is semisimple).
24
(b) The space IG(1) is compact if and only if Hom(G, G
m
) = 0 and G() contains
no unipotent element (other than 1).
PROOF. Borel 1969, 13.2, 8.4, or Platonov and Rapinchuk 1994, Theorem 4.13, p213,
Theorem 4.12, p210. [The intuitive reason for the condition in (b) is that the rational
unipotent elements correspond to cusps (at least in the case of SL
2
acting on H
1
), and so
no rational unipotent elements means no cusps.]
EXAMPLE 3.4. Let B be a quaternion algebra over such that B
Q
1 - M
2
(1), and
let G be the algebraic group over such that G() is the group of elements in B of
norm 1. The choice of an isomorphism B
Q
1 M
2
(1) determines an isomorphism
G(1) SL
2
(1), and hence an action of G(1) on H
1
. Let I be an arithmetic subgroup
of G().
If B - M
2
(), then G - SL
2
, which is semisimple, and so I SL
2
(1) (hence also
IH
1
) has nite volume. However, SL
2
() contains the unipotent element
_
1 1
0 1
_
, and so
I SL
2
(1) is not compact.
If B ,- M
2
(), it is a division algebra, and so G() contains no unipotent element
,= 1 (for otherwise B
would contain a nilpotent element). Therefore, IG(1) (hence

also IH
1
) is compact
Let k be a subeld of C. An automorphism of a k-vector space V is said to be neat
if its eigenvalues in C generate a torsion free subgroup of C
(which implies that does

not have nite order). Let G be an algebraic group over . An element g c G() is neat
if ,(g) is neat for one faithful representation G GL(V ), in which case ,(g) is neat for
every representation , of G dened over a subeld of C (apply Waterhouse 1979, 3.5). A
subgroup of G() is neat if all its elements are.
PROPOSITION 3.5. Let G be an algebraic group over , and let I be an arithmetic sub-
group of G(). Then, I contains a neat subgroup I
t
of nite index. Moreover, I
t
can
be dened by congruence conditions (i.e., for some embedding G GL
n
and integer N,
I
t
= {g c I [ g 1 mod N}).
PROOF. Borel 1969, 17.4.
Let H be a connected real Lie group. A subgroup I of H is arithmetic if there exists
an algebraic group G over and an arithmetic subgroup I
0
of G() such that I
0
G(1)
maps onto I under a surjective homomorphism G(1)
H with compact kernel.

24
Recall (cf. the Notations) that Hom(G, G
m
) = 0 means that there is no nonzero homomorphism G
G
m
dened over .
Brief review of algebraic varieties 35
PROPOSITION 3.6. Let H be a semisimple real Lie group that admits a faithful nite-
dimensional representation. Every arithmetic subgroup I of H is discrete of nite covol-
ume, and it contains a torsion free subgroup of nite index.
PROOF. Let : G(1)
H and I
0
G() be as in the denition of arithmetic sub-
group. Because Ker() is compact, is proper (Bourbaki 1989, I 10.3) and, in particular,
closed. Because I
0
is discrete in G(1), there exists an open U G(1)
whose intersec-
tion with I
0
is exactly the kernel of I
0
G(1)
I. Now (G(1)
U) is closed in
H, and its complement intersects I in {1
I
}. Therefore, I is discrete in H. It has nite
covolume because I
0
G(1)
maps onto IH and we can apply (3.3a). Let I

1
be a neat
subgroup of I
0
of nite index (3.5). The image of I
1
in H has nite index in I, and its
image under any faithful representation of H is torsion free.
REMARK 3.7. There are many nonarithmetic discrete subgroup in SL
2
(1) of nite co-
volume. According to the Riemann mapping theorem, every compact riemann surface of
genus g _ 2 is the quotient of H
1
by a discrete subgroup of PGL
2
(1)
acting freely on
H
1
. Since there are continuous families of such riemann surfaces, this shows that there are
uncountably many discrete cocompact subgroups in PGL
2
(1)
(therefore also in SL
2
(1)),
but there only countably many arithmetic subgroups.
The following (Fields medal) theorem of Margulis shows that SL
2
is exceptional in
this regard: let I be a discrete subgroup of nite covolume in a noncompact simple real
Lie group H; then I is arithmetic unless H is isogenous to SO(1, n) or SU(1, n) (see
Witte 2001, 6.21 for a discussion of the theorem). Note that, because SL
2
(1) is isogenous
to SO(1, 2), the theorem doesnt apply to it.
Brief review of algebraic varieties
Let k be a eld. An afne k-algebra is a nitely generated k-algebra A such that A
k
k
al
is
reduced (i.e., has no nilpotents). Such an algebra is itself reduced, and when k is perfect every
reduced nitely generated k-algebra is afne.
Let A be an afne k-algebra. Dene specm(A) to be the set of maximal ideals in A endowed
with the topology having as basis D( ), D( ) = {m [ , c m}, c A. There is a unique sheaf
of k-algebras O on specm(A) such that O(D( )) = A
(
for all . Here A
(
is the algebra obtained
from A by inverting . Any ringed space isomorphic to a ringed space of the form
Specm(A) = (specm(A), O)
is called an afne variety over k. The stalk at m is the local ring A
m
, and so Specm(A) is a locally
ringed space.
This all becomes much more familiar when k is algebraically closed. When we write A =
k[X
1
, . . . , X
n
],a, the space specm(A) becomes identied with the zero set of a in k
n
endowed with
the zariski topology, and O becomes identied with the sheaf of k-valued functions on specm(A)
locally dened by polynomials.
A topological space V with a sheaf of k-algebras O is a prevariety over k if there exists a nite
covering (U
i
) of V by open subsets such that (U
i
, O[U
i
) is an afne variety over k for all i. A
morphism of prevarieties over k is simply a morphism of ringed spaces of k-algebras. A prevariety
V over k is separated if, for all pairs of morphisms of k-prevarieties , : Z V , the subset of Z
on which and agree is closed. A variety over k is a separated prevariety over k.
Alternatively, the varieties over k are precisely the ringed spaces obtained from geometrically-
reduced separated schemes of nite type over k by deleting the nonclosed points.
A morphism of algebraic varieties is also called a regular map, and the elements of O(U) are
called the regular functions on U.
For the variety approach to algebraic geometry, see AG, and for the scheme approach, see
Hartshorne 1977.
Algebraic varieties versus complex manifolds
The functor from nonsingular algebraic varieties to complex manifolds
For a nonsingular variety V over C, V (C) has a natural structure as a complex manifold.
More precisely:
PROPOSITION 3.8. There is a unique functor (V, O
V
) . (V
an
, O
V
an ) from nonsingular
varieties over C to complex manifolds with the following properties:
(a) as sets, V = V
an
, every zariski-open subset is open for the complex topology, and
every regular function is holomorphic;
25
(b) if V = A
n
, then V
an
= C
n
with its natural structure as a complex manifold;
(c) if : V W is etale, then
an
: V
an
W
an
is a local isomorphism.
PROOF. A regular map : V W is etale if the map d
p
: T
p
V T
p
W is an isomor-
phism for all p c V . Note that conditions (a,b,c) determine the complex-manifold structure
on any open subvariety of A
n
and also on any variety V that admits an etale map to an open
subvariety of A
n
. Since every nonsingular variety admits a zariski-open covering by such V
(AG, 4.31), this shows that there exists at most one functor satisfying (a,b,c), and suggests
how to dene it.
Obviously, a regular map : V W is determined by
an
: V
an
W
an
, but not every
holomorphic map V
an
W
an
is regular. For example, z . e
z
: C C is not regular.
Moreover, a complex manifold need not arise from a nonsingular algebraic variety, and
two nonsingular varieties V and W can be isomorphic as complex manifolds without being
isomorphic as algebraic varieties (Shafarevich 1994, VIII 3.2). In other words, the functor
V .V
an
is faithful, but it is neither full nor essentially surjective on objects.
REMARK 3.9. The functor V .V
an
can be extended to all algebraic varieties once one has
the notion of a complex manifold with singularities. This is called a complex space. For
holomorphic functions
1
, . . . ,
r
on a connected open subset U of C
n
, let V (
1
, . . . ,
r
)
denote the set of common zeros of the
i
in U; one endows V (
1
, . . . ,
r
) with a natural
structure of ringed space, and then denes a complex space to be a ringed space (S, O
S
)
that is locally isomorphic to one of this form (Shafarevich 1994, VIII 1.5).
25
These conditions require that the identity map V V be a map of ringed spaces (V
an
, O
V
an )
(V, O
V
). This map is universal.
Algebraic varieties versus complex manifolds 37
Necessary conditions for a complex manifold to be algebraic
3.10. Here are two necessary conditions for a complex manifold M to arise from an alge-
braic variety.
(a) It must be possible to embed M as an open submanifold of a compact complex
manfold M
+
in such a way that the boundary M
+
M is a nite union of manifolds
of dimension dimM 1.
(b) If M is compact, then the eld of meromorphic functions on M must have transcen-
dence degree dimM over C.
The necessity of (a) follows from Hironakas theorem on the resolution of singularities,
which shows that every nonsingular variety V can be embedded as an open subvariety of a
complete nonsingular variety V
+
in such a way that the boundary V
+
V is a divisor with
normal crossings (see p40), and the necessity of (b) follows from the fact that, when V is
complete and nonsingular, the eld of meromorphic functions on V
an
coincides with the
eld of rational functions on V (Shafarevich 1994, VIII 3.1).
Here is one positive result: the functor
{projective nonsingular curves over C} {compact riemann surfaces}
is an equivalence of categories (see MF, pp88-91, for a discussion of this theorem). Since
the proper zariski-closed subsets of algebraic curves are the nite subsets, we see that for
riemann surfaces the condition (3.10a) is also sufcient: a riemann surface M is algebraic
if and only if it is possible to embed M in a compact riemann surface M
+
in such a way that
the boundary M
+
M is nite. The maximum modulus principle (Cartan 1963, VI 4.4)
shows that a holomorphic function on a connected compact riemann surface is constant.
Therefore, if a connected riemann surface M is algebraic, then every bounded holomorphic
function on M is constant. We conclude that H
1
does not arise from an algebraic curve,
because the function z .
z-i
zi
is bounded, holomorphic, and nonconstant.
For any lattice in C, the Weierstrass , function and its derivative embed C, into
P
2
(C) (as an elliptic curve). However, for a lattice in C
2
, the eld of meromorphic
functions on C
2
, will usually have transcendence degree - 2, and so C
2
, is not an
algebraic variety.
26
For quotients of C
g
by a lattice , condition (3.10b) is sufcient for
algebraicity (Mumford 1970, p35).
Projective manifolds and varieties
A complex manifold (resp. algebraic variety) is projective if it is isomorphic to a closed
submanifold (resp. closed subvariety) of a projective space. The rst truly satisfying theo-
rem in the subject is the following:
THEOREM 3.11 (CHOW 1949). Every projective complex manifold has a unique structure
of a nonsingular projective algebraic variety, and every holomorphic map of projective
complex manifolds is regular for these structures. (Moreover, a similar statement holds for
complex spaces.)
26
A complex torus C
g
, is algebraic if and only if it admits a riemann form (see 6.7 below). When is
the lattice in C
2
generated by (1, 0), (i, 0), (0, 1), (, ) with nonreal, C
2
,does not admit a riemann form
(Shafarevich 1994, VIII 1.4).
PROOF. See Shafarevich 1994, VIII 3.1 (for the manifold case).
In other words, the functor V . V
an
is an equivalence from the category of (non-
singular) projective algebraic varieties to the category of projective complex (manifolds)
spaces.
The theorem of Baily and Borel
THEOREM 3.12 (BAILY AND BOREL 1966). Let D(I) = ID be the quotient of a
hermitian symmetric domain by a torsion free arithmetic subgroup I of Hol(D)
. Then
D(I) has a canonical realization as a zariski-open subset of a projective algebraic variety
D(I)
+
. In particular, it has a canonical structure as an algebraic variety.
Recall the proof for D = H
1
. Set H
+
1
= H
1
' P
1
() (rational points on the real axis
plus the point io). Then I acts on H
+
1
, and the quotient IH
+
1
is a compact riemann
surface. One can then show that the modular forms of a sufciently high weight embed
IH
+
1
as a closed submanifold of a projective space. Thus IH
+
1
is algebraic, and as
IH
1
omits only nitely many points of IH
+
1
, it is automatically a zariski-open subset
of IH
+
1
. The proof in the general case is similar, but is much more difcult. Briey,
D(I)
+
= ID
+
where D
+
is the union of D with certain rational boundary components
endowed with the Satake topology; again, the automorphic forms of a sufciently high
weight map ID
+
isomorphically onto a closed subvariety of a projective space, and ID
is a zariski-open subvariety of ID
+
.
For the Siegel upper half space H
g
, the compactication H
+
g
was introduced by Sa-
take (1956) in order to give a geometric foundation to certain results of Siegel (1939), for
example, that the space of holomorphic modular forms on H
g
of a xed weight is nite
dimensional, and that the meromorphic functions on H
g
obtained as the quotient of two
modular forms of the same weight form an algebraic function eld of transcendence de-
gree g(g 1),2 = dimH
g
over C.
That the quotient IH
+
g
of H
+
g
by an arithmetic group I has a projective embedding by
modular forms, and hence is a projective variety, was proved in Baily 1958, Cartan 1958,
and Satake and Cartan 1958.
The construction of H
+
g
depends on the existence of fundamental domains for the arith-
metic group I acting on H
g
. Weil (1958) used reduction theory to construct fundamental
sets (a notion weaker than fundamental domain) for the domains associated with certain
classical groups (groups of automorphisms of semsimple -algebras with, or without, in-
volution), and Satake (1960) applied this to construct compactications of these domains.
Borel and Harish-Chandra developed a reduction theory for general semisimple groups
(Borel and Harish-Chandra 1962; Borel 1962), which then enabled Baily and Borel (1966)
to obtain the above theorem in complete generality.
The only source for the proof is the original paper, although some simplications to the
proof are known.
27
27
For a discussion of later work, see Casselman 1997.
The theorem of Borel 39
REMARK 3.13. (a) The variety D(I)
+
is usually very singular. The boundary D(I)
+

D(I) has codimension _ 2, provided PGL
2
is not a quotient of the -group G giving rise
to I.
(b) The variety D(I)
+
= Proj(
n_0
A
n
) where A
n
is the vector space of automorphic
forms for the n
th
power of the canonical automorphy factor (Baily and Borel 1966, 10.11).
It follows that, if PGL
2
is not a quotient of G, then D(I)
+
= Proj(
n_0
H
0
(D(I), o
n
))
where o is the sheaf of algebraic differentials of maximum degree on D(I). Without
the condition on G, there is a similar description of D(I)
+
in terms of differentials with
logarithmic poles (Brylinski 1983, 4.1.4; Mumford 1977).
(b) When D(I) is compact, Theorem 3.12 follows from the Kodaira embedding the-
orem (Wells 1980, VI 4.1, 1.5). Nadel and Tsuji (1988, 3.1) extended this to those D(I)
having boundary of dimension 0, and Mok and Zhong (1989) give an alternative prove of
Theorem 3.12, but without the information on the boundary given by the original proof.
An algebraic variety D(I) arising as in the theorem is called a locally symmetric va-
riety (or an arithmetic locally symmetric variety, or an arithmetic variety, but not yet a
Shimura variety).
The theorem of Borel
THEOREM 3.14 (BOREL 1972). Let D(I) and D(I)
+
be as in (3.12) in particular, I is
torsion free and arithmetic. Let V be a nonsingular quasi-projective variety over C. Then
every holomorphic map : V
an
D(I)
an
is regular.
The key step in Borels proof is the following result:
LEMMA 3.15. Let D
1
be the punctured disk {z [ 0 - [z[ - 1}. Then every holomorphic
map
28
D
r
1
D
s
1
D(I) extends to a holomorphic map D
rs
1
D(I)
+
(of complex
spaces).
The original result of this kind is the big Picard theorem, which, interestingly, was rst
proved using elliptic modular functions. Recall that the theorem says that if a function
has an essential singularity at a point p c C, then on any open disk containing p,
takes every complex value except possibly one. Therefore, if a holomorphic function
on D
1
omits two values in C, then it has at worst a pole at 0, and so extends to a
holomorphic function D
1
P
1
(C). This can be restated as follows: every holomorphic
function from D
1
to P
1
(C) {3 points} extends to a holomorphic function from D
1
to the
natural compactication P
1
(C) of P
1
(C){3 points}. Over the decades, there were various
improvements made to this theorem. For example, Kwack (1969) replaced P
1
(C) {3
points} with a more general class of spaces. Borel (1972) veried that Kwacks theorem
applies to D(I) D(I)
+
, and extended the result to maps from a product D
r
1
D
s
1
.
Using the lemma, we can prove the theorem. According Hironakas (Fields medal)
theorem on the resolution of singularities (Hironaka 1964; see also Bravo et al. 2002), we
can realize V as an open subvariety of a projective nonsingular variety V
+
in such a way
28
Recall that D
1
is the open unit disk. The product D
r
1
D
s
1
is obtained from D
rs
1
by removing the rst
r coordinate hyperplanes.
that V
+
V is a divisor with normal crossings. This means that, locally for the complex
topology, the inclusion V V
+
is of the formD
r
1
D
s
1
D
rs
1
. Therefore, the lemma
shows that : V
an
D(I)
an
extends to a holomorphic map V
+an
D(I)
+
, which is
regular by Chows theorem (3.11).
COROLLARY 3.16. The structure of an algebraic variety on D(I) is unique.
PROOF. Let D(I) denote ID with the canonical algebraic structure provided by The-
orem 3.12, and suppose ID = V
an
for a second variety V . Then the identity map
: V
an
D(I) is a regular bijective map of nonsingular varieties, and is therefore an
isomorphism (cf. AG 3.19).
The proof of the theorem shows that the compactication D(I) D(I)
+
has the
following property: for any compactication D(I) D(I)
|
with D(I)
|
D(I) a
divisor with normal crossings, there is a unique regular map D(I)
|
D(I)
+
making
D(I)
|
D(I)
@
@
@R
D(I)
+
?
commute. For this reason, D(I) D(I)
+
is often called the minimal compactication.
Other names: standard, Satake-Baily-Borel, Baily-Borel.
ASIDE 3.17. (a) Theorem 3.14 also holds for singular V in fact, it sufces to show that
becomes regular when restricted to an open dense set of V , which we may take to be the
complement of the singular locus.
(b) Theorem 3.14 denitely fails without the condition that I be torsion free. For
example, it is false for IH
1
= A
1
consider z .e
z
: C C.
Finiteness of the group of automorphisms of D(I)
DEFINITION 3.18. A semisimple group G over is said to be of compact type if G(1) is
compact, and it is of noncompact type if it does not contain a nonzero normal subgroup of
compact type.
A semisimple group over is an almost direct product of its minimal connected normal
subgroups, and it will be of noncompact type if and only if none of these subgroups is of
compact type. In particular, a simply connected or adjoint group is of noncompact type if
and only if it has no simple factor of compact type.
We shall need one last result about arithmetic subgroups.
THEOREM 3.19 (BOREL DENSITY THEOREM). Let G be a semisimple group over of
noncompact type. Then every arithmetic subgroup I of G() is zariski-dense in G.
Finiteness of the group of automorphisms of D(I) 41
PROOF. Borel 1969, 15.12, or Platonov and Rapinchuk 1994, Theorem 4.10, p205.
COROLLARY 3.20. For G as in (3.19), the centralizer of I in G(1) is Z(1), where Z is
the centre of G (as an algebraic group over ).
PROOF. The theorem implies that the centralizer of I in G(C) is Z(C), and Z(1) =
Z(C) G(1).
THEOREM 3.21. Let D(I) be the quotient of a hermitian symmetric domain D by a torsion
free arithmetic group I. Then D(I) has only nitely many automorphisms.
PROOF. As I is a torsion free, D is the universal covering space of ID and I is the
group of covering transformations (see p32). An automorphism : ID ID lifts to
an automorphism : D D. For any ; c I, ;
-1
is a covering transformation, and so
lies in I. Conversely, an automorphism of D normalizing I denes an automorphism of
ID. Thus,
Aut(ID) = N, I, N = normalizer of I in Aut(D).
The corollary implies that the map ad: N Aut(I) is injective, and so N is countable.
Because I is closed in Aut(D), so also is N. Write N as a countable union of its nite
subsets. According to the Baire category theorem (MF 1.3) one of the nite sets must have
an interior point, and this implies that N is discrete. Because I Aut(D) has nite volume
(3.3a), this implies that I has nite index in N.
Alternatively, there is a geometric proof, at least when I is neat. According to Mumford
1977, Proposition 4.2, D(I) is then an algebraic variety of logarithmic general type, which
implies that its automorphism group is nite (Iitaka 1982, 11.12).
ASIDE 3.22. In most of this section we have considered only quotients ID with I torsion
free. In particular, we disallowed I(1)H
1
. Typically, if I has torsion, then ID will be
singular and some of the above statements will fail for ID.
NOTES. Borel 1969, Raghunathan 1972, and (eventually) Witte 2001 contain good ex-
positions on discrete subgroups of Lie groups. There is a large literature on the various
compactications of locally symmetric varieties. For overviews, see Satake 2001 and
Goresky 2003, and for a detailed description of the construction of toroidal compactica-
tions, which, in contrast to the Baily-Borel compactication, may be smooth and projective,
see Ash et al. 1975.
42 4 CONNECTED SHIMURA VARIETIES
4 Connected Shimura varieties
Congruence subgroups
Let G be a reductive algebraic group over . Choose an embedding G GL
n
, and dene
I(N) = G() {g c GL
n
(Z) [ g I
n
mod N}.
For example, if G = SL
2
, then
I(N) =
_
a b
c d
_
c SL
2
(Z) [ ad bc = 1, a, d 1, b, c 0 mod N
_
.
A congruence subgroup of G() is any subgroup containing some I(N) as a subgroup
of nite index. Although I(N) depends on the choice the embedding, this denition does
not (see 4.1 below).
With this terminology, a subgroup of G() is arithmetic if it is commensurable with
I(1). The classical congruence subgroup problem for G asks whether every arithmetic
subgroup of G() is congruence, i.e., contains some I(N). For split simply connected
groups other than SL
2
, the answer is yes (Matsumoto 1969), but
29
SL
2
and all nonsimply
connected groups have many noncongruence arithmetic subgroups (for a discussion of the
problem, see Platonov and Rapinchuk 1994, section 9.5). In contrast to arithmetic sub-
groups, the image of a congruence subgroup under an isogeny of algebraic groups need not
be a congruence subgroup.
30
The ring of nite ad` eles is the restricted topological product
A
(
=
(
I
: Z
I
)
29
That SL
2
(Z) has noncongruence arithmetic subgroups was rst noted in Klein 1880. For a proof that
SL
2
(Z) has innitely many subgroups of nite index that are not congruence subgroups see Sury 2003, 3-4.1.
The proof proceeds by showing that the groups occurring as quotients of SL
2
(Z) by congruence subgroups
(especially by principal congruence subgroups) are of a rather special type, and then exploits the known
structure of SL
2
(Z) as an abstract group to construct many nite quotients not of his type.
30
Let G be a semisimple group over . The arithmetic and congruence subgroups of G() dene topolo-
gies on it, and we denote the corresponding completions by

G and G. Because every arithmetic group is
congruence, the identity map on G() gives a surjective homomorphism

G G, whose kernel C(G) is
called the congruence kernel. This kernel is trivial if and only if all arithmetic subgroups are congruence.
The modern congruence subgroup problem is to compute C(G). For example, the group C(SL
2
) is innite.
Now let G be simply connected, and let G
t
= G,N where N is a nontrivial subgroup of Z(G). Consider
the diagram:
1 C(G)

G G 1
_
1 C(G
t
)

G
t
G
t
1.
It follows from the strong approximation theorem (4.16) that G = G(A
(
), and it follows from (3.2) that the
kernel of is N(), which is nite. On the other hand, the kernel of is N(A
(
), which is innite. Because
Ker() ,= N(), : G() G
t
() doesnt map congruence subgroups to congruence subgroups, and
because C(G
t
) contains a subgroup isomorphic to N(A
(
),N(), G
t
() contains a noncongruence arithmetic
subgroup. See Serre 1967 for more details.
Congruence subgroups 43
where runs over the nite primes of (that is, we omit the factor 1). Thus, A
(
is the
subring of
I
consisting of the (a
I
) such that a
I
c Z
I
for almost all , and it is endowed
with the topology for which
Z
I
is open and has the product topology.
Let V = SpecmA be an afne variety over . The set of points of V with coordinates
in a -algebra R is
V (R) = Hom
Q
(A, R).
When we write
A = [X
1
, . . . , X
m
],a = [x
1
, . . . , x
m
],
the map P .(P (x
1
) , . . . , P(x
m
)) identies V (R) with
{(a
1
, . . . , a
m
) c R
m
[ (a
1
, . . . , a
m
) = 0, \ c a}.
Let Z[x
1
, . . . , x
m
] be the Z-subalgebra of A generated by the x
i
, and let
V (Z
I
) = Hom
Z
(Z[x
1
, . . . , x
m
], Z
I
) = V (
I
) Z
m
I
(inside
m
I
).
This set depends on the choice of the generators x
i
for A, but if A = [y
1
, . . . , y
n
], then
the y
i
s can be expressed as polynomials in the x
i
with coefcients in , and vice versa.
For some d c Z, the coefcients of these polynomials lie in Z[
1
d
], and so
Z[
1
d
][x
1
, . . . , x
m
] = Z[
1
d
][y
1
, . . . , y
n
] (inside A).
It follows that for [ d, the y
i
s give the same set V (Z
I
) as the x
i
s. Therefore,
V (A
(
) =
(V (
I
): V (Z
I
))
is independent of the choice of generators for
31
A.
For an algebraic group G over , we dene
G(A
(
) =
(G(
I
): G(Z
I
))
similarly. For example,
G
m
(A
(
) =
I
: Z
I
) = A
(
.
PROPOSITION 4.1. For any compact open subgroup K of G(A
(
), K G() is a congru-
ence subgroup of G(), and every congruence subgroup arises in this way.
32
PROOF. Fix an embedding G GL
n
. From this we get a surjection [GL
n
] [G] (of
-algebras of regular functions), i.e., a surjection
[X
11
, . . . , X
nn
, T],(det(X
ij
)T 1) [G],
31
In a more geometric language, let : V A
m
Q
be a closed immersion. The Zariski closure V
of V in
A
m
Z
is a model of V at over Spec Z. A different closed immersion gives a different at model V
, but for
some d, the isomorphism (V
)
Q

= V

= (V
)
Q
on generic bres extends to an isomorphism V
over
Spec Z[
1
d
]. For the primes not dividing d, the subgroups V
(Z
I
) and V
(Z
I
) of V (
I
) will coincide.
32
To dene a basic compact open subgroup K of G(A
(
), one has to impose a congruence condition at
each of a nite set of primes. Then I = G() K is obtained from G(Z) by imposing the same congruence
conditions. One can think of I as being the congruence subgroup dened by the congruence condition K.
and hence [G] = [x
11
, . . . , x
nn
, t ]. For this presentation of [G],
G(Z
I
) = G(
I
) GL
n
(Z
I
) (inside GL
n
(
I
)).
For an integer N > 0, let
K(N) =
I
K
I
, where K
I
=
_
G(Z
I
) if [ N
{g c G(Z
I
) [ g I
n
mod
r
`
} if r
I
= ord
I
(N).
Then K(N) is a compact open subgroup of G(A
(
), and
K(N) G() = I(N).
It follows that the compact open subgroups of G(A
(
) containing K(N) intersect G()
exactly in the congruence subgroups of G() containing I(N). Since every compact open
subgroup of G(A
(
) contains K(N) for some N, this completes the proof.
REMARK 4.2. There is a topology on G() for which the congruence subgroups form a
fundamental system of neighbourhoods. The proposition shows that this topology coin-
cides with that dened by the diagonal embedding G() G(A
(
).
EXERCISE 4.3. Show that the image in PGL
2
() of a congruence subgroup in SL
2
()
need not be congruence.
Connected Shimura data
DEFINITION 4.4. A connected Shimura datum is a pair (G, D) consisting of a semisimple
algebraic group G over and a G
ad
(1)
-conjugacy class D of homomorphisms u: U

1

G
ad
R
satisfying the following conditions:
SU1: for u c D, only the characters z, 1, z
-1
1
on Lie(G
ad
)
C
dened by u;
SU2: for u c D, adu(1) is a Cartan involution on G
ad
;
SU3: G
ad
has no -factor H such that H(1) is compact.
EXAMPLE 4.5. Let u: U
1
PGL
2
(1) be the homomorphism sending z = (a bi)
2
to
_
a b
-b a
_
mod I
2
(cf. 1.10), and let D be the set of conjugates of this homomorphism, i.e.,
D is the set of homomorphisms U
1
PGL
2
(1) of the form
z = (a bi)
2
.A
_
a b
-b a
_
A
-1
mod I
2
, A c SL
2
(1).
Then (SL
2
, D) is a Shimura datum (here SL
2
is regarded as a group over ).
REMARK 4.6. (a) If u: U
1
G
ad
(1) satises the conditions SU1,2, then so does any
conjugate of it by an element of G
ad
(1)
. Thus a pair (G, u) satisfying SU1,2,3 determines

a connected Shimura datum. Our denition of connected Shimura datum was phrased so
as to avoid D having a distinguished point.
(b) Condition SU3 says that G is of noncompact type (3.18). It is fairly harmless
to assume this, because replacing G with its quotient by a connected normal subgroup
N such that N(1) is compact changes little. Assuming it allows us to apply the strong
approximation theorem when G is simply connected (see 4.16 below).
Connected Shimura data 45
LEMMA 4.7. Let H be an adjoint real Lie group, and let u: U
1
H be a homomorphism
satisfying SU1,2. Then the following conditions on u are equivalent:
(a) u(1) = 1;
(b) u is trivial, i.e., u(z) = 1 for all z;
(c) H is compact.
PROOF. (a)=(b). If u(1) = 1, then u factors through U
1
2
U
1
, and so z
1
can not
1
on Lie(H)
C
. Therefore U
1
acts trivially on Lie(H)
C
,
which implies (b). The converse is trivial.
(a)=(c). We have
H is compact
1.17a
== adu(1) = 1
Z(H)=1
== u(1) = 1.
PROPOSITION 4.8. To give a connected Shimura datum is the same as to give
a semisimple algebraic group G over of noncompact type,
a hermitian symmetric domain D, and
an action of G(1)
on D dened by a surjective homomorphismG(1)
Hol(D)
with compact kernel.

PROOF. Let (G, D) be a connected Shimura datum, and let u c D. Decompose G
ad
R
into
a product of its simple factors: G
ad
R
= H
1
H
s
. Correspondingly, u = (u
1
, . . . , u
s
)
where u
i
is the projection of u into H
i
(1). Then u
i
= 1 if H
i
is compact (4.7), and
otherwise there is an irreducible hermitian symmetric domain D
t
i
such that H
i
(1)
=
Hol(D
t
i
)
and D
t
i
is in natural one-to-one correspondence with the set D
i
of H
i
(1)
-
conjugates of u
i
(see 1.21). The product D
t
of the D
t
i
is a hermitian symmetric domain
on which G(1)
acts via a surjective homomorphism G(1)
Hol(D)
with compact
kernel. Moreover, there is a natural identication of D
t
=
D
t
i
with D =
D
i
.
Conversely, let (G, D, G(1)
Hol(D)
) satisfy the conditions in the proposition.

Decompose G
ad
R
as before, and let H
c
(resp. H
nc
) be the product of the compact (resp.
noncompact) factors. The action of G(1)
on D denes an isomorphism H
nc
(1)

=
Hol(D)
, and {u
p
[ p c D} is an H
nc
(1)
-conjugacy class of homomorphisms U

1

H
nc
(1)
satisfying SU1,2 (see 1.21). Now
(1, u
p
): U
1
H
c
(1) H
nc
(1) [ p c D
_
,
is a G
ad
(1)
-conjugacy class of homomorphisms U

1
G
ad
(1) satisfying SU1,2.
PROPOSITION 4.9. Let (G, D) be a connected Shimura datum, and let X be the G
ad
(1)-
conjugacy class of homomorphisms S G
R
containing D. Then D is a connected com-
ponent of X, and the stabilizer of D in G
ad
(1) is G
ad
(1)
.
PROOF. The argument in the proof of (1.5) shows that X is a disjoint union of orbits
G
ad
(1)
h, each of which is both open and closed in X. In particular, D is a connected

component of X.
Let H
c
(resp. H
nc
) be the product of the compact (resp. noncompact) simple factors
of G
R
. Then H
nc
is a connected algebraic group over 1 such that H
nc
(1)
= Hol(D),
and G(1)
acts on D through its quotient H

nc
(1)
. As H
c
(1) is connected (Borel 1991,
p277), the last part of the proposition follows from (1.7).
Denition of a connected Shimura variety
Let (G, D) be a connected Shimura datum, and regard D as a hermitian symmetric domain
with G(1)
acting on it as in (4.8). Because G

ad
(1)
Aut(D)
has compact kernel,

the image I of any arithmetic subgroup I of G
ad
()
in Aut(D)
will be arithmetic (this

is the denition p34). The kernel of I I is nite. If I is torsion free, then I

= I, and
so the Baily-Borel and Borel theorems (3.12, 3.14) apply to
D(I)
df
= ID = ID.
In particular, D(I) is an algebraic variety, and, for any I I
t
, the natural map
D(I) D(I
t
)
is regular.
DEFINITION 4.10. The connected Shimura variety Sh
(G, D) is the inverse system of lo-

cally symmetric varieties (D(I))
I
where I runs over the torsion-free arithmetic subgroups
of G
ad
()
whose inverse image in G()
is a congruence subgroup.
REMARK 4.11. An element g of G
ad
()
denes a holomorphic map g: D D, and

hence a map
ID gIg
-1
D.
This is again holomorphic (3.1), and hence is regular (3.14). Therefore the group G
ad
()
acts on the family Sh
(G, D) (but not on the individual D(I)s).

LEMMA 4.12. Write for the homomorphism G()
G
ad
()
. The following condi-

tions on an arithmetic subgroup I of G
ad
()
are equivalent:
(a)
-1
(I) is a congruence subgroup of G()
;
(b)
-1
(I) contains a congruence subgroup of G()
;
(c) I contains the image of a congruence subgroup of G()
.
Therefore, the varieties ID with I a congruence subgroup of G()
such (I) is torsion

free are conal in the family Sh
(G, D).
PROOF. (a) ==(b). Obvious.
(b) ==(c). Let I
t
be a congruence subgroup of G()
contained in
-1
(I). Then
I (
-1
(I)) (I
t
).
(c) == (a). Let I
t
be a congruence subgroup of G()
such that I (I
t
), and
consider
-1
(I)
-1
(I
t
) I
t
.
Because (I
t
) is arithmetic (3.2), it is of nite index in I, and it follows that
-1
(I
t
) is
of nite index in
-1
(I). Because Z() I
t

-1
(I
t
) and Z() is nite (Z is the
centre of G), I
t
is of nite index in
-1
(I
t
). Therefore, I
t
is of nite index in
-1
(I),
which proves that
-1
(I) is congruence.
The strong approximation theorem 47
REMARK 4.13. The homomorphism : G()
G
ad
()
is usually far from surjective.

Therefore,
-1
(I) is usually not equal to I, and the family D(I) with I a congruence
subgroup of G()
is usually much smaller than Sh
(G, D).
EXAMPLE 4.14. (a) G = SL
2
, D = H
1
. Then Sh
(G, D) is the family of elliptic modular

curves IH
1
with I a torsion-free arithmetic subgroup of PGL
2
(1)
containing the image

of I(N) for some N.
(b) G = PGL
2
, D = H
1
. The same as (a), except that now the I are required to be
congruence subgroups of PGL
2
() there are many fewer of these (see 4.3).
(c) Let B be a quaternion algebra over a totally real eld F. Then
B
Q
1
:F-R
B
F,
1
and each B
F,
1 is isomorphic either to the usual quaternions H or to M
2
(1). Let G be
the semisimple algebraic group over such that
G() = Ker(Nm: B
).
Then
G(1) - H
1
H
1
SL
2
(1) SL
2
(1) (27)
where H
1
= Ker(Nm: H
). Assume that at least one SL

2
(1) occurs (so that G is
of noncompact type), and let D be a product of copies of H
1
, one for each copy of SL
2
(1).
The choice of an isomorphism (27) determines an action of G(1) on D which satises the
conditions of (4.8), and hence denes a connected Shimura datum. In this case, D(I) has
dimension equal to the number of copies of M
2
(1) in the decomposition of B
Q
1. If
B - M
2
(F), then G() has unipotent elements, e.g.,
_
1 1
0 1
_
, and so D(I) is not compact
(3.3). In this case the varieties D(I) are called Hilbert modular varieties. On the other
hand, if B is a division algebra, G() has no unipotent elements, and so the D(I) are
compact (as manifolds, hence they are projective as algebraic varieties).
ASIDE 4.15. In the denition of Sh
(G, D), why do we require the inverse images of the

Is in G()
to be congruence? The arithmetic properties of the quotients of hermitian

symmetric domains by noncongruence arithmetic subgroups are not well understood even
for D = H
1
and G = SL
2
. Also, the congruence subgroups turn up naturally when we
work ad` elically.
The strong approximation theorem
Recall that a semisimple group G is said to be simply connected if any isogeny G
t
G
with G
t
connected is an isomorphism. For example, SL
2
is simply connected, but PGL
2
is
not.
THEOREM 4.16 (STRONG APPROXIMATION). Let G be an algebraic group over . If G
is semisimple, simply connected, and of noncompact type, then G() is dense in G(A
(
).
PROOF. Platonov and Rapinchuk 1994, Theorem 7.12, p427.
REMARK 4.17. Without the conditions on G, the theorem fails, as the following examples
illustrate:
(a) G
m
: the group
is not dense in
33
A
(
.
(b) PGL
2
: the determinant denes surjections
PGL
2
()
,
2
PGL
2
(A
(
) A
(
,A
2
(
and
,
2
is not dense in A
(
,A
2
(
.
(c) G of compact type: because G(Z) is discrete in G(1) (see 3.3), it is nite, and so it
is not dense in G(
Z), which implies that G() is not dense in G(A

(
).
An ad` elic description of D(I)
PROPOSITION 4.18. Let (G, D) be a connected Shimura datum with G simply connected.
Let K be a compact open subgroup of G(A
(
), and let
I = K G()
be the corresponding congruence subgroup of G(). The map x . [x, 1] denes a bijec-
tion
ID

= G()D G(A
(
),K. (28)
Here G() acts on both D and G(A
(
) on the left, and K acts on G(A
(
) on the right:
q (x, a) k = (qx, qak), q c G(), x c D, a c G(A
(
), k c K.
When we endow D with its usual topology and G(A
(
) with the ad` elic topology (or the
discrete topology), this becomes a homeomorphism.
PROOF. Because K is open, G(A
(
) = G() K (strong approximation theorem). There-
fore, every element of G()D G(A
(
),K is represented by an element of the form
[x, 1]. By denition, [x, 1] = [x
t
, 1] if and only if there exist q c G() and k c K
such that x
t
= qx, 1 = qk. The second equation implies that q = k
-1
c I, and so
[x, 1] = [x
t
, 1] if and only if x and x
t
represent the same element in ID.
Consider
D
x|-(x,[1])
D (G(A
(
),K)
_
ID
[x]|-[x,1]
G()D G(A
(
),K.
As K is open, G(A
(
),K is discrete, and so the upper map is a homeomorphism of D onto
its image, which is open. It follows easily that the lower map is a homeomorphism.
33
Let (a
I
)
I
c

Z
I
A
(
and let S be a nite set. If
is dense, then there exists an a c
that is
close to a
I
for c S and an -adic unit for , c S. But such an a is an -adic unit for all , and so equals 1.
This yields a contradiction.
An ad` elic description of D(I) 49
What happens when we pass to the inverse limit over I? The obvious map
D lim
ID,
is injective because each I acts freely on D and
_
I = {1}. Is the map surjective? The
example
Z lim
Z,mZ =

Z
is not encouraging it suggests that lim
ID might be some sort of completion of D

relative to the Is. This is correct: lim
ID is much larger than D. In fact, when we pass

to the limit on the right in (28), we get the obvious answer:
PROPOSITION 4.19. In the limit,
lim
K
G()D G(A
(
),K = G()D G(A
(
) (29)
(ad` elic topology on G(A
(
)).
Before proving this, we need a lemma.
LEMMA 4.20. Let G be a topological group acting continuously on a topological space
X, and let (G
i
)
i=I
be a directed family of subgroups of G. The canonical map X,
_
G
i

lim
X,G
i
is injective if the G
i
are compact, and it is surjective if in addition the orbits of
the G
i
in X are separated.
PROOF. We shall use that a directed intersection of nonempty compact sets is nonempty,
which has the consequence that a directed inverse limit of nonempty compact sets is nonempty.
Assume that each G
i
is compact, and let x, x
t
c X. For each i, let
G
i
(x, x
t
) = {g c G
i
[ xg = x
t
}.
If x and x
t
have the same image in lim
X,G
i
, then the G
i
(x, x
t
) are all nonempty. Since
each is compact, their intersection is nonempty. For any g in the intersection, xg = x
t
,
which shows that x and x
t
have the same image in X,
_
G
i
.
Now assume that each orbit is separated and hence compact. For any (x
i
G
i
)
i=I
c
lim
X,G
i
, lim
x
i
G
i
is nonempty. If x c lim
x
i
G
i
, then x
_
G
i
maps to (x
i
G
i
)
i=I
.
PROOF OF 4.19. Let (x, a) c D G(A
(
), and let K be a compact open subgroup of
G(A
(
). In order to be able to apply the lemma, we have to show that the image of the orbit
(x, a)K in G()DG(A
(
) is separated for K sufciently small. Let I = G()aKa
-1
we may assume that I is torsion free (3.5). There exists an open neighbourhood V of x
such that gV V = 0 for all g c I {1} (see the proof of 3.1). For any (x, b) c (x, a)K,
g(V aK) (V bK) = 0 for all
34
g c G() {1}, and so the images of V Ka and
V Kb in G()D G(A
(
) separate (x, a) and (x, b).
34
Let g c G(), and suppose that g(V aK) (V bK) ,= 0. Then
gaK = bK = aK
and so g c G() aKa
-1
= I. As gV V ,= 0, this implies that g = 1.
ASIDE 4.21. (a) Why replace the single coset space on the left of (28) with the more
complicated double coset space on the right? One reason is that it makes transparent that
(in this case) there is an action of G(A
(
) on the inverse system (ID)
I
, and hence, for
example, on
lim
H
i
(ID, ).
Another reason will be seen presently we use double cosets to dene Shimura varieties.
Double coset spaces are pervasive in work on the Langlands program.
(b) The inverse limit of the D(I) exists as a scheme it is even locally noetherian and
regular (cf. 5.30 below).
Alternative denition of connected Shimura data
Recall that S is the real torus such that S(1) = C
. The exact sequence

0 1
r|-r
1
C
z|-z{z
U
1
0
arises from an exact sequence of tori
0 G
m
u
S U
1
0.
Let H be a semisimple real algebraic group with trivial centre. A homomorphism u: U
1

H denes a homomorphism h: S H by the rule h(z) = u(z,z), and U
1
will act on
Lie(H)
C
through the characters z, 1, z
-1
if and only if S acts on Lie(H)
C
through the
characters z,z, 1, z,z. Conversely, let h be a homomorphism S H for which S acts
on Lie(H)
C
through the characters z,z, 1, z,z. Then n(G
m
) acts trivially on Lie(H)
C
,
which implies that h is trivial on n(G
m
) because the adjoint representation H Lie(H)
is faithful. Thus, h arises from a u.
Now let G be a semisimple algebraic group over . From the above remark, we see that
to give a G
ad
(1)
-conjugacy class D of homomorphisms u: U

1
G
ad
R
satisfying SU1,2
is the same as to give a G
ad
(1)
-conjugacy class X
of homomorphisms h: S G
ad
R
satisfying the following conditions:
SV1: for h c X
, only the characters z,z, 1, z,z occur in the representation of S on

Lie(G
ad
)
C
dened by h;
SV2: adh(i) is a Cartan involution on G
ad
.
DEFINITION 4.22. Aconnected Shimura datumis a pair (G, X
) consisting of a semisim-
ple algebraic group over and a G
ad
(1)
-conjugacy class of homomorphisms h: S G

ad
R
satisfying SV1, SV2, and
SV3 G
ad
has no -factor on which the projection of h is trivial.
In the presence of the other conditions, SV3 is equivalent to SU3 (see 4.7). Thus,
because of the correspondence u -h, this is essentially the same as Denition 4.4.
Denition 4.4 is more convenient when working with only connected Shimura vari-
eties, while Denition 4.22 is more convenient when working with both connected and
nonconnected Shimura varieties.
NOTES. Connected Shimura varieties were dened en passant in Deligne 1979, 2.1.8.
51
5 Shimura varieties
Connected Shimura varieties are very natural objects, so why do we need anything more
complicated? There are two main reasons. From the perspective of the Langlands program,
we should be working with reductive groups, not semisimple groups. More fundamentally,
the varieties D(I) making up a connected Shimura variety Sh
(G, D) have models over

number elds, but the models depend a realization of G as the derived group of a reductive
group. Moreover, the number eld depends on I as I shrinks the eld grows. For
example, the modular curve I(N)H
1
is naturally dened over [(
N
], (
N
= e
2i{N
.
Clearly, for a canonical model we would like all the varieties in the family to be dened
over the same eld.
35
How can we do this? Consider the line Y i = 0. This is naturally dened over [i],
not . On the other hand, the variety Y
2
1 = 0 is naturally dened over , and over C it
decomposes into a disjoint pair of conjugate lines (Y i)(Y i) = 0. So we have managed
to get our variety dened over at the cost of adding other connected components. It is
always possible to lower the eld of denition of a variety by taking the disjoint union of it
with its conjugates.
36
Shimura varieties give a systematic way of doing this for connected
Shimura varieties.
Notations for reductive groups
Let G be a reductive group over , and let G
ad
G
ad
be the quotient of G by its centre
Z.
37
We let G(1)
denote the group of elements of G(1) whose image in G

ad
(1) lies in its
identity component G
ad
(1)
, and we let G()
= G()G(1)
. For example, GL
2
()
consists of the 2 2 matrices with rational coefcients having positive determinant.

For a reductive group G (resp. for GL
n
), there are exact sequences
1
-
G
der
-
G

-
T
-
1
1
-
Z
-
G
ad
-
G
ad
-
1
1
-
Z
t
-
Z
-
T
-
1
1
-
SL
n
-
GL
n
det
-
G
m
-
1
1
-
G
m
-
GL
n
ad
-
PGL
n
-
1
1
-
j
n
-
G
m
x|-x
n
-
G
m
-
1
35
In fact, Shimura has an elegant way of describing a canonical model in which the varieties in the family
are dened over different elds, but this doesnt invalidate my statement. Incidentally, Shimura also requires a
reductive (not a semisimple) group in order to have a canonical model over a number eld. For an explanation
of Shimuras point of view in the language of these notes, see Milne and Shih 1981. See also the footnoted
version of my review of Shimuras Collected Papers on my website.
36
Let V be a connected nonsingular variety over a eld k of characteristic zero. Then V is geometrically
connected (i.e., V
k
k
al
is connected) if and only if k is algebraically closed in I(V, O
V
). Let k
0
be a
subeld of k such that [k: k
0
] - o. Then V can also be regarded as a k
0
-variety (same V , same O
V
but
regarded as a sheaf of k
0
-algebras; note that an afne k-algebra is also an afne k
0
-algebra), and
V
k
0
k
al

=
V
k,o
k
al
where o runs through the k
0
-embeddings of k into k
al
.
37
There is a natural action of G
ad
on G for which ad(g) (g c G(k)) acts as x . gxg
-1
. This explains
why we denote this last map by ad(g). The adjoint representation Ad: G Lie(G) denes an isomorphism
of G,Z onto Ad(G), which explains why we denote G,Z by G
ad
and call it the adjoint group of G. Finally,
G itself is called an adjoint group if G = G
ad
.
52 5 SHIMURA VARIETIES
Here T (a torus) is the largest commutative quotient of G, and Z
t
=
df
Z G
der
(a nite
algebraic group) is the centre of G
der
.
The real points of algebraic groups
PROPOSITION 5.1. For a surjective homomorphism : G H of algebraic groups over
1, G(1)
H(1)
is surjective.
PROOF. The map (1): G(1)
H(1)
can be regarded as a smooth map of smooth

manifolds. As is surjective on the tangent spaces at 1, the image of (1) contains an
open neighbourhood of 1 (Boothby 1975, II 7.1). This implies that the image itself is open
because it is a group. It is therefore also closed, and this implies that it equals H(1)
.
Note that G(1) H(1) need not be surjective. For example, G
m
x|-x
n
G
m
is
surjective as a map of algebraic groups, but the image of G
m
(1)
n
G
m
(1) is G
m
(1)
or
G
m
(1) according as n is even or odd. Also SL
2
PGL
2
is surjective, but the image of
SL
2
(1) PGL
2
(1) is PGL
2
(1)
.
For a simply connected algebraic group G, G(C) is simply connected as a topological
space, but G(1) need not be. For example, SL
2
(1) is not simply connected.
THEOREM 5.2 (CARTAN 1927). For a simply connected group G over 1, G(1) is con-
nected.
PROOF. See Platonov and Rapinchuk 1994, Theorem 7.6, p407.
COROLLARY 5.3. For a reductive group G over 1, G(1) has only nitely many connected
components (for the real topology).
38
PROOF. Because of (5.1), an exact sequence of real algebraic groups
1 N G
t
G 1 (30)
with N Z(G
t
) gives rise to an exact sequence
0
(G
t
(1))
0
(G(1)) H
1
(1, N).
Let

G be the universal covering group of G
der
. As G is an almost direct product of Z =
Z(G) and G
der
, there is an exact sequence (30) with G
t
= Z

G and N nite. Now

0
(

G(1)) = 0 because

G is simply connected,

0
(Z(1)) is nite because Z
has nite index in Z and Z
is a quotient (by a nite

group) of a product of copies of U
1
and G
m
, and
H
1
(1, N) is nite because N is nite.
For example, G
d
m
(1) = (1
)
d
has 2
d
connected components, and each of PGL
2
(1)
and GL
2
(1) has 2 connected components.
38
This also follows from the theorem of Whitney 1957: for an algebraic variety V over 1, V (1) has only
nitely many connected components (for the real topology) see Platonov and Rapinchuk 1994, Theorem
3.6, p119.
Shimura data 53
THEOREM 5.4 (REAL APPROXIMATION). For any connected algebraic group G over ,
G() is dense in G(1).
PROOF. See Platonov and Rapinchuk 1994, Theorem 7.7, p415.
39
Shimura data
DEFINITION 5.5. AShimura datumis a pair (G, X) consisting of a reductive group G over
and a G(1)-conjugacy class X of homomorphisms h: S G
R
satisfying the conditions
SV1, SV2, and SV3 (see p50).
Note that, in contrast to a connected Shimura datum, G is reductive (not semisimple),
the homomorphisms h have target G
R
(not G
ad
R
), and X is the full G(1)-conjugacy class
(not a connected component).
EXAMPLE 5.6. Let G = GL
2
(over ) and let X be the set of GL
2
(1)-conjugates of the
homomorphism h
o
: S GL
2R
, h
o
(a ib) =
_
a b
-b a
_
. Then (G, X) is a Shimura datum.
Note that there is a natural bijection X C 1, namely, h
o
. i and gh
o
g
-1
. gi.
More intrinsically, h - z if and only if h(C
) is the stabilizer of z in GL
2
(1) and h(z)
acts on the tangent space at z as multiplication by z,z (rather than z,z).
PROPOSITION 5.7. Let G be a reductive group over 1. For a homomorphism h: S
G, let h be the composite of h with G G
ad
. Let X be a G(1)-conjugacy class of
homomorphisms S G, and let X be the G
ad
(1)-conjugacy class of homomorphisms
S G
ad
containing the h for h c X.
(a) The map h . h: X X is injective and its image is a union of connected compo-
nents of X.
(b) Let X
be a connected component of X, and let X
be its image in X. If (G, X)

satises the axioms SV13 then (G
der
, X
) satises the axioms SV13; moreover, the

stabilizer of X
in G(1) is G(1)
(i.e., gX
= X
== g c G(1)
).
PROOF. (a) A homomorphism h: S G is determined by its projections to T and G
ad
,
because any other homomorphism with the same projections will be of the form he for
some regular map e: S Z
t
and e is trivial because S is connected and Z
t
is nite. The
elements of X all have the same projection to T , because T is commutative, which proves
that h . h: X X is injective. For the second part of the statement, use that G
ad
(1)
acts transitively on each connected component of X (see 1.5) and G(1)
G
ad
(1)
is
surjective.
(b) The rst assertion is obvious. In (a) we showed that
0
(X)
0
(X). The stabilizer
in G
ad
(1) of [X
] is G
ad
(1)
(see 4.9), and so its stabilizer in G(1) is the inverse image

of G
ad
(1)
in G(1).
COROLLARY 5.8. Let (G, X) be a Shimura datum, and let X
be a connected component
of X regarded as a G(1)
-conjugacy class of homomorphisms S G

ad
R
(5.7). Then
(G
der
, X
) is a connected Shimura datum. In particular, X is a nite disjoint union of

hermitian symmetric domains.
39
See the endnotes for a proof.
PROOF. Apply Proposition 5.7 and Proposition 4.8.
Let (G, X) be a Shimura datum. For every h: S G(1) in X, S acts on Lie(G)
C
through the characters z,z, 1, z,z. Thus, for r c 1
, h(r) acts trivially on Lie(G)

C
.
As the adjoint action of G on Lie(G) factors through G
ad
and Ad: G
ad
GL(Lie(G))
is injective, this implies that h(r) c Z(1) where Z is the centre of G. Thus, h[G
m
is independent of h we denote its reciprocal by n
X
(or simply n) and we call n
X
the weight homomorphism. For any representation ,: G
R
GL(V ), , n
X
denes a
decomposition of V =

V
n
which is the weight decomposition of the hodge structure
(V, , h) for every h c X.
PROPOSITION 5.9. Let (G, X) be a Shimura datum. Then X has a unique structure of a
complex manifold such that, for every representation ,: G
R
GL(V ), (V, , h)
h=X
is
a holomorphic family of hodge structures. For this complex structure, each family (V, ,
h)
h=X
is a variation of hodge structures, and so X is a nite disjoint union of hermitian
symmetric domains.
PROOF. Let ,: G
R
GL(V ) be a faithful representation of G
R
. The family of hodge
structures (V, , h)
h=X
is continuous, and a slight generalization of (a) of Theorem 2.14
shows that X has a unique structure of a complex manifold for which this family is holo-
morphic. It follows from Waterhouse 1979, 3.5, that the family of hodge structures dened
by every representation is then holomorphic for this complex structure. The condition SV1
implies that (V, , h)
h
is a variation of hodge structures, and so we can apply (b) of The-
orem 2.14.
Of course, the complex structures dened on X by (5.8) and (5.9) coincide.
ASIDE 5.10. Let (G, X) be a Shimura datum. The maps
0
(X)
0
(X) and G(1),G(1)

G
ad
(1),G
ad
(1)
are injective, and the second can be identied with the rst once an
h c X has been chosen. In general, the maps will not be surjective unless H
1
(1, Z) = 0.
Shimura varieties
Let (G, X) be a Shimura datum.
LEMMA 5.11. For any connected component X
of X, the natural map

G()
G(A
(
) G()X G(A
(
)
is a bijection.
PROOF. Because G() is dense in G(1) (see 5.4) and G(1) acts transitively on X, every
x c X is of the form qx
with q c G() and x
c X
. This shows that the map is

surjective.
Let (x, a) and (x
t
, a
t
) be elements of X
G(A
(
). If [x, a] = [x
t
, a
t
] in G()X
G(A
(
), then
x
t
= qx, a
t
= qa, some q c G().
Because x and x
t
are both in X
, q stabilizes X
and so lies in G(1)
(see 5.7). Therefore,

[x, a] = [x
t
, a
t
] in G()
X G(A
(
).
Shimura varieties 55
LEMMA 5.12. For any open subgroup K of G(A
(
), the set G()
G(A
(
),K is nite.
PROOF. Since G()
G() G
ad
(1)
G
ad
(1) is injective and the second group is
nite (5.3), it sufces to showthat G()G(A
(
),K is nite. Later (Theorem5.17) we shall
show that this follows from the strong approximation theorem if G
der
is simply connected,
and the general case is not much more difcult.
For K a compact open subgroup K of G(A
(
), consider the double coset space
Sh
K
(G, X) = G()X G(A
(
),K
in which G() acts on X and G(A
(
) on the left, and K acts on G(A
(
) on the right:
q(x, a)k = (qx, qak), q c G(), x c X, a c G(A
(
), k c K.
LEMMA 5.13. Let C be a set of representatives for the double coset space G()
G(A
(
),K,
and let X
be a connected component of X. Then

G()X G(A
(
),K

=
g=C
I
g
X
where I
g
is the subgroup gKg
-1
G()
of G()
. When we endow X with its usual

topology and G(A
(
) with its ad` elic topology (equivalently, the discrete topology), this be-
comes a homeomorphism.
PROOF. It is straightforward to prove that, for g c C, the map
[x] .[x, g]: I
g
X
G()
G(A
(
),K
is injective,
40
and that G()
G(A
(
),K is the disjoint union of the images of these
maps.
41
Thus, the rst statement follows from (5.11). The second statement can be proved
in the same way as the similar statement in (4.18).
Because I
g
is a congruence subgroup of G(), its image in G
ad
() is arithmetic (3.2),
and so (by denition) its image in Aut(X
) is arithmetic. Moreover, when K is sufciently

small, I
g
will be neat for all g c C (apply 3.5) and so its image in Aut(X
will also
be neat and hence torsion free. Then I
g
X
is an arithmetic locally symmetric variety,

and Sh
K
(G, X) is nite disjoint of such varieties. Moreover, for an inclusion K
t
K
of sufciently small compact open subgroups of G(A
(
), the natural map Sh
K
0 (G, X)
Sh
K
(G, X) is regular. Thus, when we vary K (sufciently small), we get an inverse system
of algebraic varieties (Sh
K
(G, X))
K
. There is a natural action of G(A
(
) on the system: for
g c G(A
(
), K .g
-1
Kg maps compact open subgroups to compact open subgroups, and
T (g): Sh
K
(G, X) Sh
g
1
Kg
(G, X)
acts on points as
[x, a] .[x, ag]: G()X G(A
(
),K G()X G(A
(
),g
-1
Kg.
Note that this is a right action: T (gh) = T (h) T (g).
40
If [x, g] = [x
t
, g], then x
t
= qx and g = qgk for some q c G()
and k c K. From the second

equation, we nd that q c I
g
, and so [x] = [x
t
].
41
Let (x, a) c G(A
(
). Then a = qgk for some q c G()
, g c C, k c K. Now [x, a] = [q
-1
x, g],
which lies in the image of I
g
X
. Suppose [x, g] = [x
t
, g
t
], g
t
, g c C. Then x
t
= qx and g
t
= qgk for
some q c G()
and k c K. The second equation implies that g

t
= g, and so the union is disjoint.
DEFINITION 5.14. The Shimura variety Sh(G, X) attached to
42
the Shimura datum(G, X)
is the inverse system of varieties (Sh
K
(G, X))
K
endowed with the action of G(A
(
) de-
scribed above. Here K runs through the sufciently small compact open subgroups of
G(A
(
).
Morphisms of Shimura varieties
DEFINITION 5.15. Let (G, X) and (G
t
, X
t
) be Shimura data.
(a) A morphism of Shimura data (G, X) (G
t
, X
t
) is a homomorphism G G
t
of
algebraic groups sending X into X
t
.
(b) A morphism of Shimura varieties Sh(G, X) Sh(G
t
, X
t
) is an inverse system of
regular maps of algebraic varieties compatible with the action of G(A
(
).
THEOREM 5.16. A morphism of Shimura data (G, X) (G
t
, X
t
) denes a morphism
Sh(G, X) Sh(G
t
, X
t
) of Shimura varieties, which is a closed immersion if G G
t
is
injective.
PROOF. The rst part of the statement is obvious from (3.14), and the second is proved in
Theorem 1.15 of Deligne 1971b.
The structure of a Shimura variety
By the structure of Sh(G, X), I mean the structure of the set of connected components and
the structure of each connected component. This is worked out in general in Deligne 1979,
2.1.16, but the result there is complicated. When G
der
is simply connected,
43
it is possible
to prove a more pleasant result: the set of connected components is a zero-dimensional
Shimura variety, and each connected component is a connected Shimura variety.
Let (G, X) be a Shimura datum. As on p51, Z is the centre of G and T the largest
commutative quotient of G. There are homomorphisms Z G

T, and we dene
T(1)
|
= Im(Z(1) T(1)),
T()
|
= T() T(1)
|
.
Because Z T is surjective, T(1)
|
T(1)
(see 5.1), and so T(1)

|
and T()
|
are of
nite index in T(1) and T() (see 5.3). For example, for G = GL
2
, T()
|
= T()
>0
.
THEOREM 5.17. Assume G
der
is simply connected. For K sufciently small, the natural
map
G()X G(A
(
),K T()
|
T(A
(
),v(K)
42
Or dened by or associated with, but not associated to.
43
The Shimura varieties with simply connected derived group are the most important if one knows
everything about them, then one knows everything about all Shimura varieties (because the remainder are
quotients of them). However, there are naturally occurring Shimura varieties for which G
der
is not simply
connected, and so we should not ignore them.
The structure of a Shimura variety 57
denes an isomorphism
0
(Sh
K
(G, X))
= T()
|
T(A
(
),v(K).
Moreover, T()
|
T(A
(
),v(K) is nite, and the connected component over [1] is canon-
ically isomorphic IX
for some congruence subgroup I of G

der
() containing K
G
der
().
In Lemma 5.20 below, we show that v(G()
) T()
|
. The natural map in the
theorem is
G()X G(A
(
),K
5.11
= G()
G(A
(
),K
[x,g]|-[(g)]
T()
|
T(A
(
),v(K).
The theorem gives a diagram
G()X G(A
(
),K

IX
,
T()
|
T(A
(
),v(K)
?

[1]
?
in which T()
|
T(A
(
),v(K) is nite and discrete, the left hand map is continuous and
onto with connected bres, and IX
is the bre over [1].

LEMMA 5.18. Assume G
der
is simply connected. Then G(1)
= G
der
(1) Z(1).
PROOF. Because G
der
is simply connected, G
der
(1) is connected (5.2) and so G
der
(1)
G(1)
. Hence G(1)
G
der
(1) Z(1). For the converse, we use the exact commutative
diagram:
1 Z
t
(1)
z|-(z
1
,z)
Z(1) G
der
(1)
(z,g)|-zg
G(1) H
1
(1, Z
t
)
_
_
_
_
(z,g)|-g
_
_
_
_
1 Z
t
(1) G
der
(1) G
ad
(1) H
1
(1, Z
t
).
As G
der
G
ad
is surjective, so also is G
der
(1) G
ad
(1)
(see 5.1). Therefore, an

element g of G(1) lies in G(1)
if and only if its image in G

ad
(1) lifts to G
der
(1). Thus,
g c G(1)
== g .0 in H
1
(1, Z
t
)
== g lifts to Z(1) G
der
(1)
== g c Z(1) G
der
(1)
LEMMA 5.19. Let H be a simply connected semisimple algebraic group H over .
(a) For every nite prime, the group H
1
(
I
, H) = 0.
(b) The map H
1
(, H)
l_o
H
1
(
l
, H) is injective (Hasse principle).
PROOF. (a) See Platonov and Rapinchuk 1994, Theorem 6.4, p284.
(b) See ibid., Theorem 6.6, p286.
Both statements fail for groups that are not simply connected.
der
is simply connected, and let t c T(). Then t c T()
|
if and
only if t lifts to an element of G()
.
PROOF. Lemma 5.19 implies that the vertical arrow at right in the following diagram is
injective:
44
1 G
der
() G()

T() H
1
(, G
der
)
_
injective
1 G
der
(1) G(1)

T(1) H
1
(1, G
der
)
Let t c T()
|
. By denition, the image t
R
of t in T(1) lifts to an element z c Z(1)
G(1). From the diagram, we see that this implies that t maps to the trivial element in
H
1
(, G
der
) and so it lifts to an element g c G(). Now g
R
z
-1
.t
R
t
-1
R
= 1 in T(1),
and so g
R
c G
der
(1) z G
der
(1) Z(1) G(1)
. Therefore, g c G()
.
Let t be an element of T() lifting to an element a of G()
. According to 5.18,
a
R
= gz for some g c G
der
(1) and z c Z(1). Now a
R
and z map to the same element in
T(1), namely, to t
R
, and so t c T()
|
The lemma allows us to write
T()
|
T(A
(
),v(K) = v(G()
)T(A
(
),v(K).
We now study the bre over [1] of the map
G()
G(A
(
),K
[x,g]|-[(g)]
v(G()
)T(A
(
),v(K).
Let g c G(A
(
). If [v(g)] = [1]
K
, then v(g) = v(q)v(k) some q c G()
and k c K. It
follows that v(q
-1
gk
-1
) = 1, that q
-1
gk
-1
c G
der
(A
(
), and that g c G()
G
der
(A
(
)
K. Hence every element of the bre over [1] is represented by an element (x, a) with
a c G
der
(A
(
). But, according to the strong approximation theorem (4.16), G
der
(A
(
) =
G
der
() (K G
der
(A
(
)), and so the bre over [1] is a quotient of X
; in particular,
it is connected. More precisely, it equals IX
where I is the image of K G()
in G
ad
()
. This I is an arithmetic subgroup of G

ad
()
containing the image of the

congruence subgroup K G
der
() of G
der
(). Moreover, arbitrarily small such Is arise
in this way. Hence, the inverse system of bres over [1] (indexed by the compact open
subgroups K of G(A
(
)) is equivalent to the inverse system Sh
(G
der
, X
) = (IX
).
The study of the bre over [t ] will be similar once we show that there exists an a c
G(A
(
) mapping to t (so that the bre is nonempty). This follows from the next lemma.
44
The group H
1
(, G
der
) is dened to be the set of continuous crossed homomorphisms Gal(
al
,)
G
der
(
al
) modulo the relation which identies two crossed homomorphisms that differ by a principal crossed
homomorphism. It is a set with a distinguished element e, represented by any principal crossed homomor-
phism. An element of T() lifts to an element of G() if and only if it maps to the distinguished class in
H
1
(, G
der
).
The structure of a Shimura variety 59
der
is simply connected. Then the map v: G(A
(
) T(A
(
) is
surjective and sends compact open subgroups to compact open subgroups.
PROOF. We have to show:
(a) the homomorphism v: G(
I
) T(
I
) is surjective for all nite ;
(b) the homomorphism v: G(Z
I
) T(Z
I
) is surjective for almost all .
(a) For each prime , there is an exact sequence
1 G
der
(
I
) G(
I
)

T(
I
) H
1
(
I
, G
der
)
and so (5.19a) shows that v: G(
I
) T(
I
) is surjective.
(b) Extend the homomorphism G T to a homomorphism of group schemes G T
over Z[
1
N
] for some integer N. After N has been enlarged, this map will be a smooth
morphism of group schemes and its kernel G
t
will have nonsingular connected bres. On
extending the base ring to Z
I
, [ N, we obtain an exact sequence
0 G
t
I
G
I
T
I
0
of group schemes over Z
I
such that v is smooth and (G
t
I
)
F
`
is nonsingular and connected.
Let P c T
I
(Z
I
), and let Y = v
-1
(P) G
I
. We have to show that Y(Z
I
) is nonempty. By
Langs lemma (Springer 1998, 4.4.17), H
1
(F
I
, (G
t
I
)
F
`
) = 0, and so
v: G
I
(F
I
) T
I
(F
I
)
is surjective. Therefore Y(F
I
) is nonempty. Because Y is smooth over Z
I
, an argument as
in the proof of Newtons lemma (e.g., ANT 7.22) now shows that a point Q
0
c Y(F
I
) lifts
to a point Q c Y(Z
I
).
It remains to show that T()
|
T(A
(
),v(K) is nite. Because T()
|
has nite index
in T(), it sufces to prove that T()T(A
(
),v(K) is nite. But v(K) is open, and so
this follows from the next lemma.
LEMMA 5.22. For any torus T over , T()T(A
(
) is compact.
PROOF. Consider rst the case T = G
m
. Then
T(A
(
),T(
Z) = A
(
,
I nite
I
,Z
I
ord
`
~
=
I nite
Z,
which is the group of fractional ideals of Z. Therefore,
(
,
is the ideal class group

of Z, which is trivial: A
(
=
. Hence
(
is a quotient of

Z
, which is compact.
For a number eld F, the same argument using the niteness of the class number of F
shows that F
F,(
is compact. Here A
F,(
=
nite
(F
: O
).
An arbitrary torus T over will split over some number eld, say, T
F
- G
dim(T)
m
. Then
T(F)T(A
F,(
) - (F
F,(
)
dim(T)
, which is compact, and T()T(A
(
) is a closed
subset of it.
REMARK 5.23. One may ask whether the bre over [1] equals
IX
= G
der
()X
G
der
(A
(
),K G
der
(A
(
), I = K G
der
(),
rather than quotient of X
by some larger group than I. This will be true if Z

t
satises the
Hasse principle for H
1
(for then every element in G()
K with K sufciently small

will lie in G
der
() Z()).
45
It is known that Z
t
satises the Hasse principle for H
1
when
G
der
has no isogeny factors of type A, but not in general otherwise (Milne 1987). This is
one reason why, in the denition of Sh
(G
der
, X
), we include quotients IX
in which
I is an arithmetic subgroup of G
ad
()
containing, but not necessarily equal to, the image

of congruence subgroup of G
der
().
Zero-dimensional Shimura varieties
Let T be a torus over . According to Delignes denition, every homomorphismh: C

T(1) denes a Shimura variety Sh(T, {h}) in this case the conditions SV1,2,3 are vac-
uous. For any compact open K T(A
(
),
Sh
K
(T, {h}) = T(){h} T(A
(
),K

= T()T(A
(
),K
(nite discrete set). We should extend this denition a little. Let Y be a nite set on which
T(1),T(1)
acts transitively. Dene Sh(T, Y ) to be the inverse system of nite sets

Sh
K
(T, Y ) = T()Y T(A
(
),K,
with K running over the compact open subgroups of T(A
(
). Call such a system a zero-
dimensional Shimura variety.
Now let (G, X) be a Shimura datum with G
der
simply connected, and let T = G,G
der
.
Let Y = T(1),T(1)
|
. Because T() is dense in T(1) (see 5.4), Y

= T(),T()
|
and
T()
|
T(A
(
),K

= T()Y T(A
(
),K
Thus, we see that if G
der
is simply connected, then
0
(Sh
K
(G, X))
= Sh
(K)
(T, Y ).
In other words, the set of connected components of the Shimura variety is a zero-dimensional
Shimura variety (as promised).
Additional axioms
The weight homomorphismn
X
is a homomorphismG
m
G
R
over 1 of algebraic groups
that are dened over . It is therefore dened over
al
. Some simplications to the theory
occur when some of the following conditions hold:
SV4 The weight homomorphism n
X
: G
m
G
R
is dened over (we then say that the
weight is rational).
45
See the endnote.
Arithmetic subgroups of tori 61
SV5 The group Z() is discrete in Z(A
(
).
SV6 The torus Z
splits over a CM-eld (see p90 for the notion of a CM-eld).

Let G GL(V ) be a representation of G (meaning, of course, a -representation).
Each h c X denes a Hodge structure on V (1). When SV4 holds, these are rational hodge
structures (p27). It is hoped that these hodge structures all occur in the cohomology of
algebraic varieties and, moreover, that the Shimura variety is a moduli variety for motives
when SV4 holds and a ne moduli variety when additionally SV5 holds. This will be
discussed in more detail later. In Theorem 5.26 below, we give a criterion for SV5 to hold.
Axiom SV6 makes some statements more natural. For example, when SV6 holds, n is
dened over a totally real eld.
46
EXAMPLE 5.24. Let B be a quaternion algebra over a totally real eld F, and let G be the
algebraic group over with G() = B
. Then, B
Q
F =

B
F,
1 where : runs
over the embeddings of F into 1. Thus,
B
Q
1 - H H M
2
(1) M
2
(1)
G(1) - H
GL
2
(1) GL
2
(1)
h(a ib) = 1 1
_
a b
-b a
_

_
a b
-b a
_
n(r) = 1 1 r
-1
I
2
r
-1
I
2
Let X be the G(1)-conjugacy class of h. Then (G, X) satises SV1 and SV2, and so it
is a Shimura datum if B splits
47
at at least one real prime of F. Let I = Hom(F,
al
) =
Hom(F, 1), and let I
nc
be the set of : such that B
F,
1 is split. Then n is dened over
the subeld of
al
xed by the automorphisms of
al
stabilizing I
nc
. This eld is always
totally real, and it equals if and only if I = I
nc
.
Arithmetic subgroups of tori
Let T be a torus over , and let T(Z) be an arithmetic subgroup of T(), for example,
T(Z) = Hom(X
+
(T), O
L
)
Gal(L{Q)
,
where L is some galois splitting eld of T. The congruence subgroup problem is known
to have a positive answer for tori (Serre 1964, 3.5), i.e., every subgroup of T(Z) of nite
index contains a congruence subgroup. Thus the topology induced on T() by that on
T(A
(
) has the following description: T(Z) is open, and the induced topology on T(Z) is
the pronite topology. In particular,
T() is discrete == T(Z) is discrete == T(Z) is nite.
EXAMPLE 5.25. (a) Let T = G
m
. Then T(Z) = {1}, and so T() is discrete in T(A
(
).
This, of course, can be proved directly.
48
46
In my view, the extra generality obtained by omitting it is spurious, but Deligne disagrees with me.
47
That is, becomes isomorphic to M
2
(1).
48
It is easy to write down an open subgroup of A
(
whose intersection with
is {1}.
(b) Let T() = {a c [
_
1]
[ Nm(a) = 1}. Then T (Z) = {1,

_
1}, and so
T() is discrete.
(c) Let T() = {a c [
_
2]
[ Nm(a) = 1}. Then T(Z) = {(1

_
2)
n
[ n c Z},
and so neither T(Z) nor T() is discrete.
THEOREM 5.26. Let T be a torus over , and let T
a
=
_
y
Ker(y: T G
m
) (characters
y of T rational over ). Then T() is discrete in T(A
(
) if and only if T
a
(1) is compact.
PROOF. According to a theorem of Ono (Serre 1968, pII-39), T(Z) T
a
() is of nite
index in T(Z), and the quotient T
a
(1),T(Z) T
a
() is compact. Now T(Z) T
a
() is
an arithmetic subgroup of T
a
(), and hence is discrete in T
a
(1). It follows that T(Z)
T
a
() is nite if and only if T
a
(1) is compact.
For example, in (5.25)(a), T
a
= 1 and so certainly T
a
(1) is compact; in (b), T
a
(1) =
U
1
, which is compact; in (c), T
a
= T and T(1) = {(a, b) c 1 1 [ ab = 1}, which is
not compact.
REMARK 5.27. A torus T over a eld k is said to be anisotropic if there are no characters
y: T G
m
dened over k. A real torus is anisotropic if and only if it is compact. The
torus T
a
=
df
_
Ker(y: T G
m
) is the largest anisotropic subtorus of T . Thus (5.26)
says that T() is discrete in T(A
(
) if and only if the largest anisotropic subtorus of T
remains anisotropic over 1.
Note that SV5 holds if and only if (Z
a
)
R
is anisotropic.
Let T be a torus that splits over CM-eld L. In this case there is a torus T
T such
that T
L
=
_
ty=-y
Ker(y: T
L
G
m
). Then T() is discrete in T(A
(
) if and only if T
is split, i.e., if and only if the largest subtorus of T that splits over 1 is already split over
.
Passage to the limit.
(
), and let Z()
-
be the closure of Z() in
Z(A
(
). Then Z() K = Z()
-
K (in G(A
(
)) and
Sh
K
(G, X) =
df
G()X (G(A
(
),K)
=
G()
Z()
_
X (G(A
(
),Z() K)
=
G()
Z()
_
X (G(A
(
),Z()
-
K).
THEOREM 5.28. For any Shimura datum (G, X),
lim
K
Sh
K
(G, X) =
G()
Z()
_
X (G(A
(
),Z()
-
).
When SV5 holds,
lim
K
Sh
K
(G, X) = G() X G(A
(
).
Passage to the limit. 63
PROOF. The rst equality can be proved by the same argument as (4.19), and the second
follows from the rst (cf. Deligne 1979, 2.1.10, 2.1.11).
49
REMARK 5.29. Put S
K
= Sh
K
(G, X). For varying K, the S
K
form a variety (scheme)
with a right action of G(A
(
) in the sense of Deligne 1979, 2.7.1. This means the following:
(a) the S
K
form an inverse system of algebraic varieties indexed by the compact open
subgroups K of G(A
(
) (if K K
t
, there is an obvious quotient map S
K
0 S
K
);
(b) there is an action , of G(A
(
) on the system (S
K
)
K
dened by isomorphisms (of
algebraic varieties) ,
K
(a): S
K
S
g
1
Kg
(on points, ,
K
(a) is [x, a
t
] .[x, a
t
a]);
(c) for k c K, ,
K
(k) is the identity map; therefore, for K
t
normal in K, there is an
action of the nite group K,K
t
on S
K
0 ; the variety S
K
is the quotient of S
K
0 by the
action of K,K
t
.
REMARK 5.30. When we regard the Sh
K
(G, X) as schemes, the inverse limit of the system
Sh
K
(G, X) exists
50
:
S = lim
Sh
K
(G, X).
This is a scheme over C, not(!) of nite type, but it is locally noetherian and regular (cf.
Milne 1992, 2.4). There is a right action of G(A
(
) on S, and, for K a compact open
subgroup of G(A
(
),
Sh
K
(G, X) = S,K
(Deligne 1979, 2.7.1). Thus, the system (Sh
K
(G, X))
K
together with its right action of
G(A
(
) can be recovered from S with its right action of G(A
(
). Moreover,
S(C)
= lim
Sh
K
(G, X)(C) = lim
G()X G(A
(
),K.
49
The proof of Theorem 5.28 in Deligne 1979 reads (in its entirety): Laction de G(),Z() sur X
_
G(A
(
),Z()
-
_
est propre. Ceci permet le passage ` a la limite sur K.
Properness implies that the quotient of X
_
G(A
(
),Z()
-
_
by G(),Z() is separated (Bourbaki 1989,
III 4.2), and hence Lemma 4.20 applies. Presumably, the action is proper, but I dont know a proof that the
quotient is separated even in the easier case (4.19). Heres how the obvious argument goes.
We want to check that G()D G(A
(
) is separated. Choose a compact open subgroup U of G(A
(
)
such that the (congruence) subgroup I = U G(A
(
) is torsion free (3.6). We have to prove that distinct
points [x, a] and [y, b] of G()D G(A
(
) are separated by open neighbourhoods. Because G() is
dense in G(A
(
), we may suppose a, b c U. If x and y are not in the same I-orbit, then there exist open
neighbourhoods V
x
of x and V
y
of y such that gV
x
V
y
= 0 for all g c I (see the proof of 3.1). Then
g(V
x
Ua)(V
y
Ub) = 0 for all g c G(), and so the images of V
x
Ua and V
y
Ub in G()DG(A
(
)
separate [x, a] and [y, b]. When x and y lie in the same I-orbit, we may suppose y = x. There exists an
open neighbourhood V of x such that gV V = 0 for all g c I {1}, and so g(V Ua) (V Ub) = 0
for all g c G() {1} provided ba
-1
c U (but what if it isnt).
50
Let (A
i
)
i=I
be a direct system of commutative rings indexed by a directed set I, and let A = lim
A
i
.
Then, for any scheme X,
Hom(X, Spec A)
= Hom(A, I(X, O
X
))
= lim
Hom(A
i
, I(X, O
X
))
= lim
Hom(X, Spec A
i
).
(For the rst and third isomorphisms, see Hartshorne 1977, II, Exercise 2.4; the middle isomorphism is the
denition of direct limit). This shows that Spec A is the inverse limit of the inverse system (Spec A
i
)
i=I
in
the category of schemes. More generally, inverse limits of schemes in which the transition morphisms are
afne exist, and can be constructed in the obvious way.
NOTES. Axioms SV1, SV2, SV3, and SV4 are respectively the conditions (2.1.1.1), (2.1.1.2),
(2.1.1.3), and (2.1.1.4) of Deligne 1979. Axiom SV5 is weaker than the condition (2.1.1.5)
ibid., which requires that adh(i) be a Cartan involution on (G,n(G
m
))
R
, i.e., that (Z
,n(G
m
))
R
be anisotropic.
65
6 The Siegel modular variety
In this section, we study the most important Shimura variety, namely, the Siegel modular
variety.
Dictionary
Let V be an 1-vector space. Recall (2.4) that to give a C-structure J on V is the same as
to give a hodge structure h
J
on V of type (1, 0), (0, 1). Here h
J
is the restriction to C
of the homomorphism
a bi .a bJ: C End
R
(V ).
For the hodge decompostion V (C) = V
-1,0
V
-1,0
,
V
-1,0
V
0,-1
J acts as i i
h
J
(z) acts as z z
Let [ be a nondegenerate 1-bilinear alternating form on V . A direct calculation
51
shows that
[(Ju, J:) = [(u, :) == [(zu, z:) = [z[
2
[(u, :) for all z c C.
Let [
J
(u, :) = [(u, J:). Then
[(Ju, J:) = [(u, :) == [
J
is symmetric
and
[(Ju, J:) = [(u, :) and
[
J
is positive denite
(2.12)
==
[ is a polarization of the
hodge structure (V, h
J
).
Symplectic spaces
Let k be a eld of characteristic ,= 2, and let (V, [) be a symplectic space of dimension
2n over k, i.e., V is a k-vector space of dimension 2n and [ is a nondegenerate alternating
form [. A subspace W of V is totally isotropic if [(W, W) = 0. A symplectic basis of
51
If [(Ju, J:) = [(u, :), then
[((a bi)u, (a bi):) = [(au, a:) [(au, bi:) [(biu, a:) [(biu, bi:) (biadditivity)
= [(au, a:) [(aiu, b:) [(biu, a:) [(bu, b:) (assumption)
= a
2
[(u, :) b
2
[(u, :) (bilinearity).
66 6 THE SIEGEL MODULAR VARIETY
V is a basis (e
i
)
1_i_n
such that
52
[(e
i
, e
-i
) = 1 for 1 _ i _ n,
[(e
i
, e
j
) = 0 for j ,= i.
LEMMA 6.1. Let W be a totally isotropic subspace of V . Then any basis of W can be
extended to a symplectic basis for V . In particular, V has symplectic bases (and two
symplectic spaces of the same dimension are isomorphic).
PROOF. Standard.
53
Thus, a maximal totally isotropic subspace of V will have dimension n. Such subspaces
are called lagrangians.
Let GSp([) be the group of symplectic similitudes of (V, [), i.e., the group of auto-
morphisms of V preserving [ up to a scalar. Thus
GSp([)(k) = {g c GL(V ) [ [(gu, g:) = v(g) [(u, :) some v(g) c k
}.
Dene Sp([) by the exact sequence
1 Sp([) GSp([)

G
m
1.
Then GSp([) has derived group Sp([), centre G
m
, and adjoint group GSp([),G
m
=
Sp([), I.
For example, when V has dimension 2, there is only one nondegenerate alternating form
on V up to scalars, which must therefore be preserved up to scalars by any automorphism,
and so GSp([) = GL
2
and Sp([) = SL
2
.
The group Sp([) acts simply transitively on the set of symplectic bases: if (e
i
) and
(
i
) are bases of V , then there is a unique g c GL
2n
(k) such that ge
i
=
i
, and if
(e
i
) and (
i
) are both symplectic, then g c Sp([).
The Shimura datum attached to a symplectic space
Fix a symplectic space (V, [) over , and let G = GSp([) and S = Sp([) = G
der
.
Let J be a complex structure on V (1) such that [(Ju, J:) = [(u, :). Then J c
S(1), and h
J
(z) lies in G(1) (and in S(1) if [z[ = 1) see the dictionary. We say that
52
Equivalently, such that the matrix of [ with respect to (e
i
) has 1 down the second diagonal, and zeros
elsewhere:
_
[(e
i
, e
j
)
_
1_i,j_g
=
_
0 I
t
g
I
t
g
0
_
, I
t
g
=
_
_
1
1
_
_
.
53
Certainly, the second statement is true when n = 1. We assume it inductively for spaces of dimension
_ 2n 2. Let W be totally isotropic, and let W
t
be a subspace of V such that V = W
J
W
t
. Then
W

= V,W
J

= W
t
identies W
t
with the dual of W. Let e
1
, . . . , e
m
be a basis for W, and let e
-1
, . . . , e
-m
be the dual basis in W
t
. Then (e
i
)
1_i_m
is a symplectic basis for W W
t
. By induction (W W
t
)
J
has
a symplectic basis (e
i
)
m1_i_n
, and then (e
i
)
1_i_n
is a symplectic basis for V .
The Shimura datum attached to a symplectic space 67
J is positive (resp. negative) if [
J
(u, :) =
df
[(u, J:) is positive denite (resp. negative
denite).
Let X
(resp. X
-
) denote the set of positive (resp. negative) complex structures on
V (1), and let X = X
. X
-
. Then G(1) acts on X according to the rule
(g, J) .gJg
-1
,
and the stabilizer in G(1) of X
is
G(1)
= {g c G(1) [ v(g) > 0}.

For a symplectic basis (e
i
) of V , dene J by Je
i
= e
=i
, i.e.,
e
i
J
.e
-i
J
.e
i
, 1 _ i _ n.
Then J
2
= 1 and J c X
in fact, (e
i
)
i
is an orthonormal basis for [
J
. Conversely,
if J c X
, then J has this description relative to any orthonormal basis for the positive
denite form [
J
. The map from symplectic bases to X
is equivariant for the actions of

S(1). Therefore, S(1) acts transitively on X
, and G(1) acts transitively

54
on X.
For J c X, let h
J
be the corresponding homomorphismC
G(1). Then h
gJg
1(z) =
gh
J
(z)g
-1
. Thus J .h
J
identies X with a G(1)-conjugacy class of homomorphisms
h: C
G(1). We check that (G, X) satises the axioms SV1SV6.

(SV1). For h c X, let V
= V
-1,0
and V
-
= V
0,-1
, so that V (C) = V
V
-
with
h(z) acting on V
and V
-
as multiplication by z and z respectively. Then
55
Hom(V (C), V (C)) = Hom(V
, V
) Hom(V
, V
-
) Hom(V
-
, V
) Hom(V
-
, V
-
)
h(z) acts as 1 z,z z,z 1
The Lie algebra of G is the subspace
Lie(G) = { c Hom(V, V ) [ [( (u), :) [(u, (:)) = 0},
of End(V ), and so SV1 holds.
(SV2). We have to show that adJ is a Cartan involution on G
ad
. But, J
2
= 1 lies in
the centre of S(1) and [ is a J-polarization for S
R
in the sense of (1.20), which shows
that adJ is a Cartan involution for S.
(SV3). In fact, G
ad
is -simple, and G
ad
(1) is not compact.
(SV4). For r c 1
, n
h
(r) acts on both V
-1,0
and V
0,-1
as : . r:. Therefore, n
X
is the homomorphism G
mR
GL(V (1)) sending r c 1
to multplication by r. This is
dened over .
(SV5). The centre of G is G
m
, and
is discrete in A
(
(see 5.25).
(SV6). The centre of G is split already over .
We often write (G([), X([)) for the Shimura datumdened by a symplectic space (V, [),
and (S([), X([)
) for the connected Shimura datum.

54
The element g: e
i
.e
=i
of G(1) has v(g) = 1 and it interchanges X
and X
-
.
55
Recall that the group GL(V ) acts on Hom(V, V ) according to the rule
(:) = ( (
-1
:)), c GL(V ), c Hom(V, V ), : c V.
EXERCISE 6.2. (a) Show that for any h c X([), v(h(z)) = zz. [Hint: for nonzero
:
c V
and :
-
c V
-
, compute [
C
(h(z):
, h(z):
-
) in two different ways.]
(b) Show that the choice of a symplectic basis for V identies X
with H
g
as an
Sp([)-set (see 1.2).
The Siegel modular variety
Let (G, X) = (G([), X([)) be the Shimura datum dened by a symplectic space (V, [)
over . The Siegel modular variety attached to (V, [) is the Shimura variety Sh(G, X).
Let V (A
(
) = A
(

Q
V . Then G(A
(
) is the group of A
(
-linear automorphisms of
V (A
(
) preserving [ up to multiplication by an element of A
(
.
(
), and let H
K
be the set of triples ((W, h), s, jK)
where
(W, h) is a rational hodge structure of type (1, 0), (0, 1);
s is a polarization for (W, h);
jK is a K-orbit of A
(
-linear isomorphisms V (A
(
) W(A
(
) sending [ to an
A
(
-multiple of s.
An isomorphism
((W, h), s, jK) ((W
t
, h
t
), s
t
, j
t
K)
of triples is an isomorphism b: (W, h) (W
t
, h
t
) of rational hodge structures such that
b(s) = cs
t
some c c
and b j = j
t
mod K.
Note that to give an element of H
K
amounts to giving a symplectic space (W, s) over
, a complex structure on W that is positive or negative for s, and jK. The existence
of j implies that dimW = dimV , and so (W, s) and (V, [) are isomorphic. Choose an
isomorphism a: W V sending [ to a
-multiple of s. Then
ah =
df
(z .a h(z) a
-1
)
lies in X, and
V (A
(
)
)
W(A
(
)
a
V (A
(
)
lies in G(A
(
). Any other isomorphism a
t
: W V sending [ to a multiple of s differs
from a by an element of G(), say, a
t
= q a with q c G(). Replacing a with a
t
only
replaces (ah, a j) with (qah, qa j). Similarly, replacing j with jk replaces (ah, a j)
with (ah, a jk). Therefore, the map
(W . . .) .[ah, a j]
K
: H
K
G()X G(A
(
),K
is well-dened.
PROPOSITION 6.3. The set Sh
K
(G, X) classies the triples in H
K
modulo isomorphism.
More precisely, the map (W, . . .) .[ah, a j]
K
denes a bijection
H
K
,-G()X G(A
(
),K.
Complex abelian varieties 69
PROOF. It is straightforward to check that the map sends isomorphic triples to the same
class,
56
and that two triples are isomorphic if they map to the same class.
57
The map is onto
because [h, g] is the image of ((V, h), [, gK).
Complex abelian varieties
An abelian variety A over a eld k is a connected projective algebraic variety over k
together with a group structure given by regular maps. A one-dimensional abelian variety
is an elliptic curve. Happily, a theorem, whose origins go back to Riemann, reduces the
study of abelian varieties over C to multilinear algebra.
Recall that a lattice in a real or complex vector space V is the Z-module generated by an
1-basis for V . For a lattice in C
n
, make C
n
, into a complex manifold by endowing it
with the quotient structure.
58
A complex torus is a complex manifold isomorphic to C
n
,
for some lattice in C
n
.
Note that C
n
is the universal covering space of M = C
n
, with as its group of
covering transformations, and
1
(M, 0) = (Hatcher 2002, 1.40). Therefore, (ib. 2A.1)
H
1
(M, Z)
= (31)
and (Greenberg 1967, 23.14)
H
1
(M, Z)
= Hom(, Z). (32)

PROPOSITION 6.4. Let M = C
n
,. There is a canonical isomorphism
H
n
(M, Z)
= Hom(
_
n
, Z),
i.e., H
n
(M, Z) is canonically isomorphic to the set of n-alternating forms Z.
PROOF. From (32), we see that
_
n
H
1
(M, Z)
=
_
n
Hom(, Z).
Since
59
_
n
Hom(, Z)
= Hom(
_
n
, Z),
56
Suppose b: (W, h)
~
(W
t
, h
t
) sends s to a
-multiple of t
t
and is such that b j = j
t
k for some
k c K. Choose an isomorphism a
t
: W
t
V sending s
t
to a
-multiple of [, and let a = a

t
b. Then
(ah, a j) = (a
t
h, a
t
j
t
k).
57
Let (W . . .) and (W
t
. . .) map to the same class. Choose isomorphisms a: V W and a
t
: V W
t
sending [ to multiples of s and s
t
. We are given that (ah, a j) = (qa
t
h, q a
t
j k) for some q and k.
After replacing a
t
with q a
t
, we may suppose that (ah, a j) = (a
t
h, a
t
j k). Then b = a
t
a
-1
is an
isomorphism ((W, h), . . .) ((W
t
, h
t
), . . .).
58
That is, give it the quotient topology and dene a function on an open subset U of C
n
, to be
holomorphic if is holomorphic on
-1
(U), where : C
n
C
n
, is the quotient map.
59
For a free Z-module of nite rank, the pairing
_
n
_
n
Z
determined by
(
1
. .
n
, :
1
:
n
) = det(
i
(:
j
))
is nondegenerate (since it is modulo p for every p see Bourbaki 1958, ~8).
we see that it sufces to show that cup-product denes an isomorphism
_
n
H
1
(M, Z) H
n
(M, Z). (33)
Let T be the class of topological manifolds M whose cohomology groups are free Z-
modules of nite rank and for which the maps (33) are isomorphisms for all n. Certainly,
the circle S
1
is in T (its cohomology groups are Z, Z, 0, . . .), and the K unneth formula
(Hatcher 2002, 3.16 et seq.) shows that if M
1
and M
2
are in T , then so also is M
1
M
2
.
As a topological manifold, C
n
, - (S
1
)
2n
, and so M is in T .
PROPOSITION 6.5. A linear map : C
n
C
n
0
such that ()
t
denes a holomorphic
map C
n
, C
n
0
,
t
sending 0 to 0, and every holomorphic map C
n
, C
n
0
,
t
sending 0 to 0 is of this form (for a unique ).
PROOF. The map C
n

C
n
0
C
n
0
,
t
is holomorphic, and it factors through C
n
,. Be-
cause C, has the quotient structure, the resulting map C
n
, C
n
0
,
t
is holomorphic.
Conversely, let : C, C,
t
be a holomorphic map such that (0) = 0. Then C
n
and
C
n
0
are universal covering spaces of C
n
, and C
n
0
,
t
, and a standard result in topology
(Hatcher 2002, 1.33, 1.34) shows that lifts uniquely to a continuous map : C
n
C
n
0
such that (0) = 0:
C
n

C
n
0
_
C
n
,
C
n
0
,
t
.
Because the vertical arrows are local isomorphisms, is automatically holomorphic. For
any o c , the map z . (z o) (z) is continuous and takes values in
t
C.
Because C
n
is connected and
t
is discrete, it must be constant. Therefore, for each j,
J
Jz
j
is a doubly periodic function, and so denes a holomorphic function C
n
, C
n
0
,
which must be constant (because C
n
, is compact). Write as an n
t
-tuple (
1
, . . . ,
n
0 )
of holomorphic functions
i
in n variables. Because
i
(0) = 0 and
J
i
Jz
j
is constant for each
j, the power series expansion of
i
at 0 is of the form

a
ij
z
j
. Now
i
and

a
ij
z
j
are
holomorphic functions on C
n
that coincide on a neighbourhood of 0, and so are equal on
the whole of C
n
. We have shown that
(z
1
, . . . , z
n
) = (
a
1j
z
j
, . . . ,
a
n
0
j
z
j
).
ASIDE 6.6. The proposition shows that every holomorphic map : C
n
, C
n
0
,
t
such
that (0) = 0 is a homomorphism. A similar statement is true for abelian varieties over
any eld k: a regular map : A B of abelian varieties such that (0) = 0 is a ho-
momorphism (AG, 5.36). For example, the map sending an element to its inverse is a
homomorphism, which implies that the group law on A is commutative. Also, the group
law on an abelian variety is uniquely determined by the zero element.
Let M = C
n
, be a complex torus. The isomorphism 1
= C
n
denes a complex
structure J on 1. A riemann form for M is an alternating form [: Z such
that [
R
(Ju, J:) = [
R
(u, :) and [
R
(u, Ju) > 0 for u ,= 0. A complex torus C
n
, is said
to be polarizable if there exists a riemann form.
Complex abelian varieties 71
THEOREM 6.7. The complex torus C
n
, is projective if and only if it is polarizable.
PROOF. See Mumford 1970, Chapter I, (or Murty 1993, 4.1, for the if part). Alterna-
tively, one can apply the Kodaira embedding theorem (Voisin 2002, Th. 7.11, 7.2.2).
Thus, by Chows theorem (3.11), a polarizable complex torus is a projective algebraic
variety, and holomorphic maps of polarizable complex tori are regular. Conversely, it is
easy to see that the complex manifold associated with an abelian variety is a complex
torus: let Tgt
0
A be the tangent space to A at 0; then the exponential map Tgt
0
A A(C)
is a surjective homomorphism of Lie groups with kernel a lattice , which induces an
isomorphism (Tgt
0
A),
= A(C) of complex manifolds (Mumford 1970, p2).

For a complex torus M = C
n
,, the isomorphism
Z
1
= C
n
endows
Z
1 with
a complex structure, and hence endows

= H
1
(M, Z) with an integral hodge structure
of weight 1. Note that a riemann form for M is nothing but a polarization of the integral
hodge structure .
THEOREM 6.8 (RIEMANNS THEOREM).
60
The functor A .H
1
(A, Z) is an equivalence
from the category AV of abelian varieties over C to the category of polarizable integral
hodge structures of type (1, 0), (0, 1).
PROOF. We have functors
AV
A|-A
an
{category of polarizable complex tori}
M|-H
1
(M,Z)
{category of polarizable integral hodge structures of type (1, 0), (0, 1)}.
The rst is fully faithful by Chows theorem (3.11), and it is essentially surjective by The-
orem 6.7; the second is fully faithful by Proposition 6.5, and it is obviously essentially
surjective.
Let AV
0
be the category whose objects are abelian varieties over C and whose mor-
phisms are
Hom
AV
0(A, B) = Hom
AV
(A, B) .
COROLLARY 6.9. The functor A .H
1
(A, ) is an equivalence from the category AV
0
to
the category of polarizable rational hodge structures of type (1, 0), (0, 1).
PROOF. Immediate consequence of the theorem.
REMARK 6.10. Recall that in the dictionary between complex structures J on a real vector
space V and hodge structures of type (1, 0), (0, 1),
(V, J)
= V (C),V
-1,0
= V (C),F
0
.
Since the hodge structure on H
1
(A, 1) is dened by the isomorphismTgt
0
(A)
= H
1
(A, 1),
we see that
Tgt
0
(A)
= H
1
(A, C),F
0
(34)
(isomorphism of complex vector spaces).
60
In fact, it should be called the theorem of Riemann, Frobenius, Weierstrass, Poincar e, Lefschetz, et al.
(see Shafarevich 1994, Historical Sketch, 5), but Riemanns theorem is shorter.
A modular description of the points of the Siegel variety
Let M
K
be the set of triples (A, s, jK) in which A is an abelian variety over C, s is an
alternating form on H
1
(A, ) such that s or s is a polarization on H
1
(A, ), and j is
an isomorphism V (A
(
) V
(
(A
(
) sending [ to a multiple of s by an element of A
(
.
An isomorphism from one triple (A, s, jK) to a second (A
t
, s
t
, j
t
K) is an isomorphism
A A
t
(as objects in AV
0
) sending s to a multiple of s
t
by an element of
and jK to
j
t
K.
THEOREM 6.11. The set Sh
K
(G, X) classies the triples (A, s, jK) in M
K
modulo iso-
morphism, i.e., there is a canonical bijection M
K
,-G()X G(A
(
),K.
PROOF. Combine (6.9) with (6.3).
73
7 Shimura varieties of hodge type
In this section, we examine one important generalization of Siegel modular varieties.
DEFINITION 7.1. A Shimura datum (G, X) is of hodge type if there exists a symplectic
space (V, [) over and an injective homomorphism ,: G G([) carrying X into
X([). The Shimura variety Sh(G, X) is then said to be of hodge type. Here (G([), X([))
denotes the Shimura datum dened by (V, [).
The composite of , with the character v of G([) is a character of G, which we again
denote by v. Let (r) denote the vector space with G acting by rv, i.e., g : = v(g)
r
:.
For each h c X, ((r), h v) is a rational hodge structure of type (r, r) (apply 6.2a),
and so this notation is consistent with that in (2.6).
LEMMA 7.2. There exist multilinear maps t
i
: V V (r
i
), 1 _ i _ n, such that
G is the subgroup of G([) xing the t
i
.
PROOF. According to Deligne 1982, 3.1, there exist tensors t
i
in V
r
i
V
s
i
such that
this is true. But [ denes an isomorphism V

= V
(1)), and so
V
r
i
V
s
i
= V
(r
i
s
i
)
(r
i
)
= Hom(V
(r
i
s
i
)
, (r
i
)).
Let (G, X) be of hodge type. Choose an embedding of (G, X) into (G([), X([)) for
some symplectic space (V, [) and multilinear maps t
1
, . . . , t
n
as in the lemma. Let H
K
be
the set of triples ((W, h), (s
i
)
0_i_n
, jK) in which
(W, h) is a rational hodge structure of type (1, 0), (0, 1),
s
0
is a polarization for (W, h),
s
1
, . . . , s
n
are multilinear maps s
i
: W W (r
i
), and
jK is a K-orbit of isomorphisms V (A
(
) W(A
(
) sending [ onto an A
(
-multiple
of s
0
and each t
i
to s
i
,
(*) there exists an isomorphism a: W V sending s
0
to a
-multiple of [,
s
i
to t
i
each i _ 1, and h onto an element of X.
An isomorphismfromone triple (W, . . .) to a second (W
t
, . . .) is an isomorphism(W, h)
(W
t
, h
t
) of rational hodge structures sending s
0
to a
-multiple of s
t
0
, s
i
to s
t
i
for i > 0,
and jK to j
t
K.
PROPOSITION 7.3. The set Sh
K
(G, X)(C) classies the triples in H
K
modulo isomor-
phism.
PROOF. Choose an isomorphism a: W V as in (*), and consider the pair (ah, a j).
By assumption ah c X and a j is a symplectic similitude of (V (A
(
), [) xing the t
i
,
and so (ah, a j) c X G(A
(
). The isomorphism a is determined up to composition
with an element of G() and j is determined up to composition with an element of K. It
follows that the class of (ah, aj) in G()X G(A
(
),K is well-dened. The proof that
(W, . . .) . [ah, a j]
K
gives a bijection from the set of isomorphism classes of triples in
H
K
onto Sh
K
(G, X)(C) is now routine (cf. the proof of 6.3).
74 7 SHIMURA VARIETIES OF HODGE TYPE
Let t : V V (r) (m-copies of V ) be a multilinear form xed by G, i.e.,
such that
t (g:
1
, . . . , g:
m
) = v(g)
r
t (:
1
, . . . , :
m
), for all :
1
, . . . , :
m
c V , g c G().
For h c X, this equation shows that t denes a morphism of hodge structures (V, h)
m
(r). On comparing weights, we see that if t is nonzero, then m = 2r.

Now let A be an abelian variety over C, and let V = H
1
(A, ). Then (see 6.4)
H
m
(A, )
= Hom(
_
m
V, ).
We say that t c H
2r
(A, ) is a hodge tensor for A if the corresponding map
V
2r
_
2r
V (r)
is a morphism of Hodge structures.
Let (G, X) (G([), X([)) and t
1
, . . . , t
n
be as above. Let M
K
be the set of triples
(A, (s
i
)
0_i_n
, jK) in which
A is a complex abelian variety,
s
0
is a polarization for the rational hodge structure H
1
(A, ),
s
1
, . . . , s
n
are hodge tensors for A or its powers, and
(
(
) V
(
(A) sending [ onto an
A
(
-multiple of s
0
and each t
i
to s
i
,
(**) there exists an isomorphism a: H
1
(A, ) V sending s
0
to a
-
multiple of [, s
i
to t
i
each i _ 1, and h to an element of X.
An isomorphism from one triple (A, (s
i
)
i
, jK) to a second (A
t
, (s
t
i
), j
t
K) is an isomor-
phism A A
t
(as objects of AV
0
) sending s
0
to a multiple of s
t
0
by an element of
,
each s
i
to s
t
i
, and j to j
t
modulo K.
THEOREM 7.4. The set Sh
K
(G, X)(C) classies the triples in M
K
modulo isomorphism.
PROOF. Combine Propositions 7.3 and 6.9.
The problem with Theorem 7.4 is that it is difcult to check whether a triple satises
the condition (**). In the next section, we show that when the hodge tensors are endomor-
phisms of the abelian variety, then it is sometimes possible to replace (**) by a simpler
trace condition.
REMARK 7.5. When we write A(C) = C
g
,, then (see 6.4),
H
m
(A, )
= Hom(
_
m
, )
Now C
= T T where T = Tgt
0
(A). Therefore,
H
m
(A, C)
= Hom(
_
m
(C), C)
= Hom(
pq=m
_
p
T
_
q
T, C)
=

pq=m
H
p,q
75
where
H
p,q
= Hom(
_
p
T
_
q
T, C).
This rather ad hoc construction of the Hodge structure on H
m
does agree with the usual
construction (2.5) see Mumford 1970, Chapter I. A hodge tensor on A is an element of
H
2r
(A, ) H
r,r
(intersection inside H
2r
(A, C)).
The Hodge conjecture predicts that all hodge tensors are the cohomology classes of alge-
braic cycles with -coefcients. For r = 1, this is known even over Z. The exponential
sequence
0 Z O
A
z|-exp(2iz)
O
A
0
gives a cohomology sequence
H
1
(A, O
A
) H
2
(A, Z) H
2
(A, O
A
).
The cohomology group H
1
(A, O
A
) classies the divisors on A modulo linear equivalence,
i.e., Pic(A)

= H
1
(A, O
A
), and the rst arrow maps a divisor to its cohomology class. A
class in H
2
(A, Z) maps to zero in H
2
(A, O
A
) = H
0,2
if and only if it maps to zero in its
complex conjugate H
2,0
. Therefore, we see that
Im(Pic(A)) = H
2
(A, Z) H
1,1
.
76 8 PEL SHIMURA VARIETIES
8 PEL Shimura varieties
Throughout this section, k is a eld of characteristic zero. Bilinear forms are always non-
degenerate.
Algebras with involution
By a k-algebra I mean a ring B containing k in its centre and nite dimensional over k. A
k-algebra A is simple if it contains no two-sided ideals except 0 and A. For example, every
matrix algebra M
n
(D) over a division algebra D is simple, and conversely, Wedderburns
theorem says that every simple algebra is of this form (CFT, IV 1.9). Up to isomorphism, a
simple k-algebra has only one simple module (ibid, IV 1.15). For example, up to isomor-
phism, D
n
is the only simple M
n
(D)-module.
Let B = B
1
B
n
be a product of simple k-algebras (a semisimple k-algebra). A
simple B
i
-module M
i
becomes a simple B-module when we let B act through the quotient
map B B
i
. These are the only simple B-modules, and every B-module is a direct sum
of simple modules. A B-module M denes a k-linear map
b .Tr
k
(b[M): B k
which we call the trace map of M.
PROPOSITION 8.1. Let B be a semisimple k-algebra. Two B-modules are isomorphic if
and only if they have the same trace map.
PROOF. Let B
1
, . . . , B
n
be the simple factors of B, and let M
i
be a simple B
i
-module.
Then every B-module is isomorphic to a direct sum
j
r
j
M
j
with r
j
M
j
the direct sum of
r
j
copies of M
i
. We have to show that the trace map determines the multiplicities r
j
. But
for e
i
= (0, . . . , 0, 1
i
, 0, . . .),
Tr
k
(e
i
[
r
j
M
j
) = r
i
dim
k
M
i
.
REMARK 8.2. The lemma fails when k has characteristic p, because the trace map is
identically zero on pM.
An involution of a k-algebra B is a k-linear map b . b
+
: B B such that (ab)
+
=
b
+
a
+
and b
++
= b. Note that then 1
+
= 1 and so c
+
= c for c c k.
PROPOSITION 8.3. Let k be an algebraically closed eld, and let (B, +) be a semisimple
k-algebra with involution. Then (B, +) is isomorphic to a product of pairs of the following
types:
(A) M
n
(k) M
n
(k), (a, b)
+
= (b
t
, a
t
);
(C) M
n
(k), b
+
= b
t
;
(BD) M
n
(k), b
+
= J b
t
J
-1
, J =
_
0 -I
I 0
_
.
Symplectic modules and the associated algebraic groups 77
PROOF. The decomposition B = B
1
B
r
of B into a product of simple algebras
B
i
is unique up to the ordering of the factors (Farb and Dennis 1993, 1.13). Therefore, +
permutes the set of B
i
, and B is a product of semisimple algebras with involution each of
which is either (i) simple or (ii) the product of two simple algebras interchanged by +.
Let (B, +) be as in (i). Then B is isomorphic to M
n
(k) for some n, and the Noether-
Skolem theorem (CFT, 2.10) shows that b
+
= u b
t
u
-1
for some u c M
n
(k). Then
b = b
++
= (u
t
u
-1
)
-1
b(u
t
u
-1
) for all b c B, and so u
t
u
-1
lies in the centre k of M
n
(k).
Denote it by c, so that u
t
= cu. Then u = u
t t
= c
2
u, and so c
2
= 1. Therefore, u
t
= u,
and u is either symmetric or skew-symmetric. Relative to a suitable basis, u is I or J, and
so (B, +) is of type (C) or (BD).
Let (B, +) be as in (ii). Then + is an isomorphism of the opposite of the rst factor
onto the second. The Noether-Skolem theorem then shows that (B, +) is isomorphic to
M
n
(k) M
n
(k)
opp
with the involution (a, b) .(b, a). Now use that a -a
t
: M
n
(k)
opp

=
M
n
(k) to see that (B, +) is of type (A).
The following is a restatement of the proposition.
PROPOSITION 8.4. Let (B, +) and k be as in (8.3). If the only elements of the centre of B
invariant under + are those in k, then (B, +) is isomorphic to one of the following:
(A) End
k
(W) End
k
(W
), (a, b)
+
= (b
t
, a
t
);
(C) End
k
(W), b
+
the transpose of b with respect to a symmetric bilinear form on W;
(BD) End
k
(W), b
+
the transpose of b with respect to an alternating bilinear form on W.
Symplectic modules and the associated algebraic groups
Let (B, +) be a semisimple k-algebra with involution +, and let (V, [) be a symplectic
(B, +)-module, i.e., a B-module V endowed with an alternating k-bilinear form [: V
V k such that
[(bu, :) = [(u, b
+
:) for all b c B, u, : c V. (35)
Let F be the centre of B, and let F
0
be the subalgebra of invariants of + in F. Assume
that B and V are free over F and that for all k-homomorphisms ,: F
0
k
al
, (B
F
0
,p
k
al
, +) is of the same type (A), (C), or (BD). This will be the case, for example, if F is a
eld. Let G be the subgroup of GL(V ) such that
G() = {g c Aut
B
(V ) [ [(gu, g:) = j(g)[(u, :) some j(g) c k
},
and let
G
t
= Ker(j) Ker(det).
EXAMPLE 8.5. (Type A.) Let F be k k or a eld of degree 2 over k, and let B =
End
F
(W) equipped with the involution + dened by a hermitian form
61
: W W F.
61
There is a unique involution of F xing k, which we again denote +. To say that is hermitian means
that it is F-linear in one variable and satises (n, :) = (:, n)
+
.
Then (B, +) is of type A. Let V
0
be an F-vector space, and let [
0
be a skew-hermitian form
V
0
V
0
F. The bilinear form [ on V = W
F
V
0
dened by
[(n :, n
t
:
t
) = Tr
F{k
((n, n
t
)[
0
(:, :
t
)) (36)
is alternating and satises (35): (V, [) is a symplectic (B, +)-module. Let C = End
B
(V )
(the centralizer of B in End
F
(V )). Then C is stable under the involution + dened by [,
and
G(k) = {c c C
[ cc
+
c k
} (37)
G
t
(k) = {c c C
[ cc
+
= 1, det(c) = 1}. (38)
In fact, C

= End
F
(V
0
) and + is transposition with respect to [
0
. Therefore, G is the group
of symplectic similitudes of [
0
whose multiplier lies in k, and G
t
is the special unitary
group of [
0
.
Conversely, let (B, +) be of type A, and assume
(a) the centre F of B is of degree 2 over k (so F is a eld or k k);
(b) B is isomorphic to a matrix algebra over F (when F is a eld, this just means that
B is simple and split over F).
Then I claim that (B, +, V, [) arises as in the last paragraph. To see this, let W be a
simple B-module condition (b) implies that B

= End
F
(W) and that + is dened by a
hermitian form: W W F. As a B-module, V is a direct sum of copies of W, and so
V = W
F
V
0
for some F-vector space V
0
. Choose an element of F k whose square
is in k. Then
+
= , and
[(:, :
t
) = Tr
F{k
_
(:, :
t
)
_
for a unique hermitian form : V V F (Deligne 1982, 4.6), which has the property
that (b:, :
t
) = (:, b
+
:
t
). The form (:, :
t
) . (:, :
t
) is skew-hermitian, and can
be
62
written = [
0
with [
0
skew-hermitian on V
0
. Now [, , [
0
are related by
(36).
EXAMPLE 8.6. (Type C.) Let B = End
k
(W) equipped with the involution + dened by a
symmetric bilinear form : W W k. Let V
0
be a k-vector space, and let [
0
be an
alternating form V
0
V
0
k. The bilinear form [ on V = W V
0
dened by
[(n :, n
t
:
t
) = (n, n
t
)[
0
(:, :
t
)
is alternating and satises (35). Let C = End
B
(V ). Then C is stable under the involution
+ dened by [, and G(k) and G
t
(k) are described by the equations (37) and (38). In fact,
C

= End
k
(V
0
) and + is transposition with respect to [
0
. Therefore G = GSp(V
0
, [
0
) and
G
t
= Sp(V
0
, [
0
). Every system (B, +, V, [) with B simple and split over k arises in this
way (cf. 8.5).
62
Probably the easiest way to prove things like this is use the correspondence between involutions on
algebras and (skew-)hermitian forms (up to scalars) see Knus et al. 1998, I 4.2. The involution on End
F
(V )
dened by [ stabilizes C and corresponds to a skew-hermitian form on V
0
.
Algebras with positive involution 79
PROPOSITION 8.7. For (B, +) of type A or C, the group G is reductive (in particular,
connected), and G
t
is semisimple and simply connected.
PROOF. It sufces to prove this after extending the scalars to the algebraic closure of k.
Then (B, +, V, [) decomposes into quadruples of the types considered in Examples 8.5
and 8.6, and so the proposition follows from the calculations made there.
REMARK 8.8. Assume B is simple, and let m be the reduced dimension of V ,
m =
dim
F
(V )
[B: F]
1
2
.
In case (A), G
t
Q
al
- (SL
m
)
[F
0
:Q]
and in case (C), G
t
Q
al
- (Sp
m
)
[F
0
:Q]
.
REMARK 8.9. In case (BD), the group G is not connected (G
t
is a special orthogonal
group) although its identity component is reductive.
Algebras with positive involution
Let C be a semisimple 1-algebra with an involution +, and let V be a C-module. In the next
proposition, by a hermitian form on V we mean a symmetric bilinear form[: V V 1
satisfying (35)
63
. Such a form is said to be positive denite if [(:, :) > 0 for all nonzero
: c V .
PROPOSITION 8.10. Let C be a semisimple algebra over 1. The following conditions on
an involution + of C are equivalent:
(a) some faithful C-module admits a positive denite hermitian form;
(b) every C-module admits a positive denite hermitian form;
(c) Tr
C{R
(c
+
c) > 0 for all nonzero c c C.
PROOF. (a) == (b). Let V be a faithful C-module. Then every C-module is a direct
summand of a direct sum of copies of V (see p76). Hence, if V carries a positive denite
hermitian form, then so does every C-module.
(b) == (c). Let V be a C-module with a positive denite hermitian form ( [ ), and
choose an orthonormal basis e
1
, . . . , e
n
for V . Then
Tr
R
(c
+
c[V ) =
i
(e
i
[c
+
ce
i
) =
i
(ce
i
[ce
i
),
which is > 0 unless c acts as the zero map on V . On applying this remark with V = C,
we obtain (c).
(c) == (a). The condition (c) is that the hermitian form (c, c
t
) . Tr
C{R
(c
+
c
t
) on C is
positive denite.
DEFINITION 8.11. An involution satisfying the equivalent conditions of (8.10) is said to be
positive.
63
Strictly, a hermitian form should be a form : V V C that is C-linear in one of the variables and
satises (y, x) = (x, y)
+
. But then [ = Tr
C{R
is a symmetric bilinear form satisfying (35), and
(V, ) .(V, [) is an equivalence of categories.
PROPOSITION 8.12. Let B be a semisimple 1-algebra with a positive involution + of type
A or C. Let (V, [) be a symplectic (B, +)-module, and let C be the centralizer of B
in End
R
(V ). Then there exists a homomorphism of 1-algebras h: C C, unique up to
conjugation by an element c of C
with cc
+
= 1, such that
h(z) = h(z)
+
and
u, : .[(u, h(i):) is positive denite and symmetric.
PROOF. To give an h satisfying the conditions amounts to giving an element J (= h(i)) of
C such that
J
2
= 1, [(Ju, J:) = [(u, :), [(:, J:) > 0 if : ,= 0. (39)
Suppose rst that (B, +) is of type A. Then (B, +, V, [) decomposes into systems arising
as in (8.5). Thus, we may suppose B = End
F
(W), V = W V
0
, etc., as in (8.5). We
then have to classify the J c C

= End
C
(V
0
) satisfying (39) with [ replaced by [
0
. There
exists a basis (e
j
) for V
0
such that
([
0
(e
j
, e
k
))
j,k
= diag(i, . . . , i
r
, i, . . . , i), i =
_
1.
Dene J by J(e
j
) = [
0
(e
j
, e
j
)e
j
. Then J satises the required conditions, and it is
uniquely determined up to conjugation by an element of the unitary group of [
0
. This
proves the result for type A, and type C is similar. (For more details, see Zink 1983,
3.1).
REMARK 8.13. Let (B, +) and (V, [) be as in the proposition. For an h satisfying the
conditions of the proposition, dene
t (b) = Tr
C
(b[V,F
0
h
V ), b c B.
Then, t is independent of the choice of h, and in fact depends only on the isomorphism
class of (V, [) as a B-module. Conversely, (V, [) is determined up to B-isomorphism by
its dimension and t . For example, if V = W
C
V
0
, , [
0
, etc. are as in the above proof,
then
Tr
k
(b[V ) = r Tr
k
(b[W),
and r and dimV
0
determine (V
0
, [
0
) up to isomorphism. Since W and are determined
(up to isomorphism) by the requirement that W be a simple B-module and be a hermitian
form giving + on B, this proves the claim for type A.
PEL data
Let B be a simple -algebra with a positive involution + (meaning that it becomes positive
on B
Q
1), and let (V, [) be a symplectic (B, +)-module. Throughout this subsection,
we assume that (B, +) is of type A or C.
PROPOSITION 8.14. There is a unique G(1)-conjugacy class X of homomorphisms h: S
G
R
such that each h c X denes a complex structure on V (1) that is positive or negative
for [. The pair (G, X) satises the conditions SV14.
PEL Shimura varieties 81
PROOF. The rst statement is an immediate consequence of (8.12). The composite of h
with G G([) lies in X([), and therefore satises SV1, SV2, SV4. As h is nontrivial,
SV3 follows from the fact that G
ad
is simple.
DEFINITION 8.15. The Shimura data arising in this way are called simple PEL data of
type A or C.
The simple refers to the fact that (for simplicity), we required B to be simple (which
implies that G
ad
is simple).
REMARK 8.16. Let b c B, and let t
b
be the tensor (x, y) .[(x, by) of V . An element
g of G([) xes t
b
if and only if it commutes with b. Let b
1
, . . . , b
s
be a set of generators
for B as a -algebra. Then (G, X) is the Shimura datum of hodge type associated with the
system (V, {[, t
b
1
, . . . , t
b
s
}).
PEL Shimura varieties
THEOREM 8.17. Let (G, X) be a simple PEL datumof type A or Cassociated with (B, +, V, [)
as in the last subsection, and let K be a compact open subgroup of G(A
(
). Then Sh
K
(G, X)(C)
classies the isomorphism classes of quadruples (A, s, i, jK) in which
A is a complex abelian variety,
s is a polarization of the hodge structure H
1
(A, ),
i is a homomorphism B End(A) , and
jK is a K-orbit of B A
(
-linear isomorphisms j: V (A
(
) H
1
(A, ) A
(
sending [ to an A
(
-multiple of s,
(**) there exists a B-linear isomorphism a: H
1
(A, ) V sending s to a
-multiple of [.
PROOF. In view of the dictionary b - t
b
between endomorphisms and tensors (8.16),
Theorem 7.4 shows that Sh
K
(G, X)(C) classies the quadruples (A, i, t, jK) with the ad-
ditional condition that ah c X, but ah denes a complex structure on V (1) that is positive
or negative for [, and so (8.14) shows that ah automatically lies in X.
Let (G, X) be the Shimura datum arising from (B, +) and (V, [). For h c X, we have
a trace map
b .Tr(b[V (C),F
0
h
): B C.
Since this map is independent of the choice of h in X, we denote it by Tr
X
.
REMARK 8.18. Consider a triple (A, s, i, jK) as in the theorem. The existence of the
isomorphism a in (**) implies that
(a) s(bu, :) = s(u, b
+
:), and
(b) Tr(i(b)[Tgt
0
A) = Tr
X
(b) for all b c B C.
The rst is obvious, because [ has this property, and the second follows from the B-
isomorphisms
Tgt
0
(A)
(34)
= H
1
(A, C),F
0
a
V (C),F
0
h
.
We now divide the type A in two, depending on whether the reduced dimension of V is
even or odd.
PROPOSITION 8.19. For types Aeven and C, the condition (**) of Theorem 8.17 is implied
by conditions (a) and (b) of (8.18).
PROOF. Let W = H
1
(A, ). We have to show that there exists a B-linear isomorphism
: W V sending s to a
-multiple of [. The existence of j shows that W has the same

dimension as V , and so there exists a B
Q
al
-isomorphism: V (
al
) W(
al
) sending
t to a
al
-multiple of [. For o c Gal(
al
,) write o = a
o
with a
o
c G(
al
). Then
o . a
o
is a one-cocycle. If its class in H
1
(, G) is trivial, say, a
o
= a
-1
oa, then
a
-1
is xed by all o c Gal(
al
,), and is therefore dened over .
Thus, it remains to show that the class of (a
o
) in H
1
(, G) is trivial. The existence of
j shows that the image of the class in H
1
(
I
, G) is trivial for all nite primes , and (8.13)
shows that its image in H
1
(1, G) is trivial, and so the statement follows from the next two
lemmas.
LEMMA 8.20. Let G be a reductive group with simply connected derived group, and let
T = G,G
der
. If H
1
(, T)
l_o
H
1
(
l
, T) is injective, then an element of H
1
(, G)
that becomes trivial in H
1
(
l
, G) for all l is itself trivial.
PROOF. Because G
der
is simply connected, H
1
(
l
, G
der
) = 0 for l ,= oand H
1
(, G
der
)
H
1
(1, G
der
) is injective (5.19). Using this, we obtain a commutative diagram with exact
rows
T() H
1
(, G
der
) H
1
(, G) H
1
(, T)
_
injective
_
injective
_
G(1) T(1) H
1
(1, G
der
)

l
H
1
(
l
, G)

l
H
1
(
l
, T).
If an element c of H
1
(, G) becomes trivial in all H
1
(
l
, G), then a diagram chase shows
that it arises from an element c
t
of H
1
(, G
der
) whose image c
t
o
in H
1
(1, G
der
) maps to
the trivial element in H
1
(1, G). The image of G(1) in T(1) contains T(1)
(see 5.1),
and the real approximation theorem (5.4) shows that T() T(1)
= T(1). Therefore,
there exists a t c T() whose image in H
1
(1, G
der
) is c
t
o
. Then t . c
t
in H
1
(, G
der
),
which shows that c is trivial.
LEMMA 8.21. Let (G, X) be a simple PEL Shimura datum of type Aeven or C, and let
T = G,G
der
. Then H
1
(, T)
l_o
H
1
(
l
, T) is injective.
PROOF. For G of type Aeven, T = Ker((G
m
)
F
Nm
F=k
(G
m
)
F
0
) G
m
. The group
H
1
(, G
m
) = 0, and the map on H
1
s of the rst factor is
F
0
, NmF
0
, NmF
.
This is injective (CFT, VIII 1.4).
For G of type C, T = G
m
, and so H
1
(, T) = 0.
PEL modular varieties 83
PEL modular varieties
Let B be a semisimple algebra over with a positive involution +, and let (V, [) be a sym-
plectic (B, +)-module. Let K be a compact open subgroup of G(A
(
). There exists an al-
gebraic variety M
K
over C classifying the isomorphism classes of quadruples (A, s, i, jK)
satisfying (a) and (b) of (8.18) (but not necessarily condition (**)), which is called the PEL
modular variety attached to (B, +, V, [). In the simple cases (Aeven) and (C), Proposition
8.17 shows that M
K
coincides with Sh
K
(G, X), but in general it is a nite disjoint union
of Shimura varieties.
NOTES. The theory of Shimura varieties of PEL-type is worked out in detail in several
papers of Shimura, for example, Shimura 1963, but in a language somewhat different from
ours. The above account follows Deligne 1971c, ~~5,6. See also Zink 1983 and Kottwitz
1992, ~~14.
84 9 GENERAL SHIMURA VARIETIES
9 General Shimura varieties
Abelian motives
Let Hod() be the category of polarizable rational hodge structures. It is an abelian subcat-
egory of the category of all rational hodge structures closed under the formation of tensor
products and duals.
Let V be a variety over C whose connected components are abelian varieties, say V =
V
i
with V
i
an abelian variety. Recall
64
that for manifolds M
1
and M
2
,
H
r
(M
1
. M
2
, )
= H
r
(M
1
, ) H
r
(M
2
, ).
For each connected component V
of V ,
H
+
(V
, )
=
_
H
1
(V
, )
= Hom
Q
(
_
H
1
(V
, ), )
(see 6.4). Therefore, H
+
(V, ) acquires a polarizable hodge structure fromthat on H
1
(V, ).
We write H
+
(V, )(m) for the hodge structure H
+
(V, ) (m) (see 2.6).
Let (W, h) be a rational Hodge structure. An endomorphism e of (W, h) is an idempo-
tent if e
2
= e. Then
(W, h) = Im(e) Im(1 e)
(direct sum of rational hodge structures).
An abelian motive over C is a triple (V, e, m) in which V is a variety over C whose
connected components are abelian varieties, e is an idempotent in End(H
+
(V, )), and
m c Z. For example, let A be an abelian variety; then the projection
H
+
(A, ) H
i
(A, ) H
+
(A, )
is an idempotent e
i
, and we denote (A, e
i
, 0) by h
i
(A).
Dene Hom((V, e, m), (V
t
, e
t
, m
t
)) to be the set of maps H
+
(V, ) H
+
(V
t
, ) of
the forme
t
e with a homomorphismH
+
(V, ) H
+
(V
t
, ) of degree d = m
t
m.
Moreover, dene
(V, e, m) (V
t
, e
t
, m) = (V . V
t
, e e
t
, m)
(V, e, m) (V
t
, e
t
, m) = (V V
t
, e e
t
, mm
t
)
(V, e, m)
= (V, e
t
, d m) if V is purely d-dimensional.
For an abelian motive (V, e, m) over C, let H(V, e, m) = eH
+
(V, )(m). Then (V, e, m) .
H(V, e, m) is a functor from the category of abelian motives AM to Hod() commuting
with , , and

. We say that a rational hodge structure is abelian if it is in the essen-
tial image of this functor, i.e., if it is isomorphic to H(V, e, m) for some abelian motive
(V, e, m). Every abelian hodge structure is polarizable.
64
The set of singular simplexes in M is the disjoint union of the similar sets for M
1
and M
2
. Therefore,
the complex of singular cochains for M is the direct sum of the similar complexes for M
1
and M
2
.
Shimura varieties of abelian type 85
PROPOSITION 9.1. Let Hod
ab
() be the full subcategory of Hod() of abelian hodge
structures. Then Hod
ab
() is the smallest strictly full subcategory of Hod() contain-
ing H
1
(A, ) for each abelian variety A and closed under the formation of direct sums,
subquotients, duals, and tensor products; moreover, H: AM Hod
ab
() is an equivalence
of categories.
PROOF. Straightforward from the denitions.
For a description of the essential image of H, see Milne 1994, 1.27.
Shimura varieties of abelian type
Recall (~6) that a symplectic space (V, [) over denes a connected Shimura datum
(S([), X([)
) with S([) = Sp([) and X([)
the set of complex structures on V (1), [).

DEFINITION 9.2. (a) A connected Shimura datum (H, X
) with H simple is of primitive

abelian type if there exists a symplectic space (V, [) and an injective homomorphism
H S([) carrying X
into X([)
.
(b) A connected Shimura datum(H, X
) is of abelian type if there exist pairs (H

i
, X
i
)
of primitive abelian type and an isogeny
i
H
i
H carrying
i
X
i
into X.
(b) A Shimura datum (G, X) is of abelian type if (G
der
, X
) is of abelian type.
(c) The (connected) Shimura variety attached to a (connected) Shimura datumof abelian
type is said to be of abelian type.
PROPOSITION 9.3. Let (G, X) be a Shimura datum, and assume
(a) the weight n
X
is rational SV4 and Z(G)
splits over a CM-eld SV6, and

(b) there exists a homomorphism v: G G
m
such that v n
X
= 2.
If G is of abelian type, then (V, h ,) is an abelian hodge structure for all representations
(V, ,) of G and all h c X; conversely, if there exists a faithful representation , of G such
that (V, h ,) is an abelian hodge structure for all h, then (G, X) is of abelian type.
PROOF. See Milne 1994, 3.12.
Let (G, X) be a Shimura datum of abelian type satisfying (a) and (b) of the proposition,
and let ,: G GL(V ) be a faithful representation of G. Assume that there exists a pairing
[: V V such that
(a) g[ = v(g)
m
[ for all g c G,
(b) [ is a polarization of (V, h ,) for all h c X.
There exist multilinear maps t
i
: V V (r
i
), 1 _ i _ n, such that G is the
subgroup of GL(V ) whose elements satisfy (a) and x t
1
, . . . t
n
(cf. 7.2).
THEOREM 9.4. With the above notations, Sh(G, X) classies the isomorphism classes of
triples (A, (s
i
)
0_i_n
, jK) in which
A is an abelian motive,
s
0
is a polarization for the rational hodge structure H(A),
s
1
, . . . , s
n
are tensors for A, and
(
(
) V
(
(A) sending [ to an A
(
-
multiple of s
0
and each t
i
to s
i
,
86 9 GENERAL SHIMURA VARIETIES
(**) there exists an isomorphism a: H(A) V sending s
0
to a
-multiple
of [, each s
i
to t
i
, and h onto an element of X.
PROOF. With A replaced by a hodge structure, this can be proved by an elementary argu-
ment (cf. 6.3, 7.3), but (9.3) shows that the hodge structures arising are abelian, and so can
be replaced by abelian motives (9.1). For more details, see Milne 1994, Theorem 3.31.
Classication of Shimura varieties of abelian type
Deligne (1979) classies the connected Shimura data of abelian type. Let (G, X
) be a
connected Shimura datum with G simple. If G
ad
is of type A, B, or C, then (G, X
) is
of abelian type. If G
ad
is of type E
6
or E
7
, then (G, X
) is not of abelian type. If G

ad
is
of type D, (G, X
) may or may not be of abelian type. There are two problems that may
arise.
(a) Let G be the universal covering group of G
ad
. There may exist homomorphisms
(G, X
) (S([), X([)
) but no injective such homomorphism, i.e., there may be a

nonzero nite algebraic subgroup N G that is in the kernel of all homomorphisms
G S([) sending X
into X([)
. Then (G,N
t
, X
) is of abelian type for all N

t
N,
but (G, X
) is not of abelian type.

(b) There may not exist a homomorphism G S([) at all.
This last problem arises for the following reason. Even when G
ad
is -simple, it may
decompose into a product of simple group G
ad
R
= G
1
G
r
over 1. For each i, G
i
has
a dynkin diagram of the shape shown below:
-
n-1
D
n
(1): (n _ 4)
n-2
H
H
H
H
H
-
n-1
D
n
(n): - (n _ 4)
n-2
H
H
H
H
H
n
D
n
(n1): Same as D
n
(n) by with
n-1
and
n
interchanged (rotation about the horizontal
axis).
Nodes marked by squares are special (p21), and nodes marked by stars correspond to
symplectic representations. The number in parenthesis indicates the position of the special
node. As is explained in ~1, the projection of X
to a conjugacy class of homomorphisms

S G
i
corresponds to a node marked with a . Since X
is dened over 1, the nodes can

be chosen independently for each i. On the other hand, the representations G
iR
S([)
R
correspond to nodes marked with a +. Note that the + has to be at the opposite end of the
Shimura varieties not of abelian type 87
diagram from the . In order for a family of representations G
iR
S([)
R
, 1 _ i _ r, to
arise from a symplectic representation over , the +s must be all in the same position since
a galois group must permute the dynkin diagrams of the G
i
. Clearly, this is impossible if
the s occur at different ends. (See Deligne 1979, 2.3, for more details.)
Shimura varieties not of abelian type
It is hoped (Deligne 1979, p248) that all Shimura varieties with rational weight classify
isomorphism classes of motives with additional structure, but this is not known for those
not of abelian type. More precisely, from the choice of a rational representation ,: G
GL(V ), we obtain a family of hodge structures h ,
R
on V indexed by X. When the
weight of (G, X) is dened over , it is hoped that these hodge structures always occur (in
a natural way) in the cohomology of algebraic varieties. When the weight of (G, X) is not
dened over they obviously can not.
Example: simple Shimura varieties of type A
1
Let (G, X) be the Shimura datum attached to a B be a quaternion algebra over a totally
real eld F, as in (5.24). With the notations of that example,
G(1) -
=I
c
H
=I
nc
GL
2
(1).
(a) If B = M
2
(F), then (G, X) is of PEL-type, and Sh
K
(G, X) classies isomorphism
classes of quadruples (A, i, t, jK) in which Ais an abelian variety of dimension d = [F: ]
and i is a homomorphism homomorphism i: F End(A) . These Shimura varieties
are called Hilbert (or Hilbert-Blumenthal) varieties, and whole books have been written
about them.
(b) If B is a division algebra, but I
c
= 0, then (G, X) is again of PEL-type, and
Sh
K
(G, X) classies isomorphism classes of quadruples (A, i, t, jK) in which A is an
abelian variety of dimension 2[F: ] and i is a homomorphism i: B End(A) . In
this case, the varieties are projective. These varieties have also been extensively studied.
(c) If B is a division algebra and I
c
,= 0, then (G, X) is of abelian type, but the weight is
not dened over . Over 1, the weight map n
X
sends a c 1to the element of (F 1)
:F-R
1 with component 1 for : c I
c
and component a for : c I
nc
. Let T be the torus
over with T() = F
. Then n
X
: G
m
T
R
is dened over the subeld L of
whose xed group is the subgroup of Gal(,) stabilizing I
c
I
c
. I
nc
. On choosing a
rational representation of G, we nd that Sh
K
(G, X) classies certain isomorphism classes
of hodge structures with additional structure, but the hodge structures are not motivic
they do not arise in the cohomology of algebraic varieties (they are not rational hodge
structures).
65
65
Summary: MV=modular variety; SV=shimura variety; =rational weight.
{SV of abelian type} {SV}
' '
{PEL SV} {SV of hodge type} {SV of abelian type, } {SV, }
'
{PEL MV simple type A,C} {PEL MV}
88 10 COMPLEX MULTIPLICATION: THE SHIMURA-TANIYAMA FORMULA
10 Complex multiplication: the Shimura-Taniyama for-
mula
Where we are headed
Let V be a variety over . For any o c Gal(
al
,) and P c V (
al
), the point oP c
V (
al
). For example, if V is the subvariety of A
n
dened by equations
(X
1
, . . . , X
n
) = 0, c [X
1
, . . . , X
n
],
then
(a
1
, . . . , a
n
) = 0 == (oa
1
, . . . , oa
n
) = 0
(apply o to the rst equality). Therefore, if we have a variety V over
al
that we suspect is
actually dened over , then we should be able to describe an action of Gal(
al
,) on its
points V (
al
).
Let E be a number eld contained in C, and let Aut(C,E) denote the group of automor-
phisms of C (as an abstract eld) xing the elements of E. Then a similar remark applies:
if a variety V over C is dened by equations with coefcients in E, then Aut(C,E) will
act on V (C). Now, I claim that all Shimura varieties are dened (in a natural way) over
specic number elds, and so I should be able to describe an action of a big subgroup of
Aut(C,) on their points. If, for example, the Shimura variety is of hodge type, then there
is a set M
K
whose elements are abelian varieties plus additional data and a map
(A, . . .) .P(A, . . .): M
K
Sh
K
(G, X)(C)
whose bres are the isomorphism classes in M
K
. On applying o c Aut(C,) to the
coefcients of the polynomials dening A, . . ., we get a new triple (oA, . . .) which may
or may not lie in M
K
. When it does we dene
o
P(A, . . .) to be P(oA, . . .). Our task
will be to show that, for some specic eld E, this does give an action of Aut(C,E) on
Sh
K
(G, X) and that the action does arise from a model of Sh
K
(G, X) over E.
For example, for P c I(1)H
1
,
o
P is the point such that j(
o
P) = o (j(P)). If j were
a polynomial with coefcients in Z (rather than a power series with coefcients in Z), we
would have j(oP) = oj(P) with the obvious meaning of oP, but this is denitely false (if
o is not complex conjugation, then it is not continuous, nor even measurable).
You may complain that our description of the action of Aut(C,E) on Sh(G, X)(C)
is not explicit, but I contend that there can not exist a completely explicit description of
the action. What are the elements of Aut(C,E)? To construct them, we can choose a
transcendence basis B for C over E, choose a permutation of the elements of B, and
extend the resulting automorphism of (B) to its algebraic closure C. But proving the
existence of transcendence bases requires the axiom of choice (e.g., FT, 8.13), and so we
can have no explicit description of, or way of naming, the elements of Aut(C,E), and
hence no completely explicit description of the action is possible.
However, all is not lost. Abelian class eld theory names the elements of Gal(E
ab
,E),
where E
ab
is a maximal abelian extension of E. Thus, if we suspect that a point P has
coordinates in E
ab
, the action of Aut(C,E) on it will factor through Gal(E
ab
,E), and we
may hope to be able to describe the action of Aut(C,E) explicitly. This the theory of
complex multiplication allows us to do for certain special points P.
Review of abelian varieties 89
Review of abelian varieties
The theory of abelian varieties is very similar to that of elliptic curves just replace E
with A, 1 with g (the dimension of A), and, whenever E occurs twice, replace one copy
with the dual A
of A.
Thus, for any m not divisible by the characteristic of the ground eld k,
A(k
al
)
m
- (Z,mZ)
2g
. (40)
Here A(k
al
)
m
consists of the elements of A(k
al
) killed by m. Hence, for ,= char(k),
T
I
A
df
= lim
A(k
al
)
I
n
is a free Z
I
-module of rank 2g, and
V
I
(A)
df
= T
I
A
Z
`

I
is a
I
-vector space of dimension 2g. In characteristic zero, we set
T
(
A =
T
I
A = lim
m
A(k
al
)
m
,
V
(
A = T
(

Z
=
(V
I
A: T
I
A) (restricted topological product).
They are, respectively, a free

Z-module of rank 2g and a free A
(
-module of rank 2g. The
galois group Gal(k
al
,k) acts continuously on these modules.
For an endomorphism a of an abelian variety A, there is a unique monic polynomial
P
a
(T) with integer coefcients (the characteristic polynomial of a) such that [P
a
(n)[ =
deg(a n) for all n c Z. Moreover, P
a
is the characteristic polynomial of a acting on V
I
A
( ,= char(k)).
For an abelian variety A over a eld k, the tangent space Tgt
0
(A) to A at 0 is a vector
space over k of dimension g. As we noted in ~6, when k = C, the exponential map denes
a surjective homomorphism Tgt
0
(A) A(C) whose kernel is a lattice in Tgt
0
(A). Thus
A(C)
m

=
1
m
,
= ,m, and
T
I
A
=
Z
Z
I
, V
I
A
=
Z
I
, T
(
A =
Z

Z, V
(
A =
Z
A
(
. (41)
An endomorphism a of A denes a C-linear endomorphism (da)
0
= of Tgt
0
(A) such
that () (see 6.5), and P
a
(T) is the characteristic polynomial of on .
For abelian varieties A, B, Hom(A, B) is a torsion free Z-module of nite rank. We let
AV(k) denote the category of abelian varieties and homomorphisms over k and AV
0
(k) the
category with the same objects but with
Hom
AV
0
(k)
(A, B) = Hom
0
(A, B) = Hom
AV(k)
(A, B) .
An isogeny of abelian varieties is a surjective homomorphism with nite kernel. A homo-
morphism of abelian varieties is an isogeny if and only if it becomes an isomorphism in the
category AV
0
. Two abelian varieties are said to be isogenous if there is an isogeny from
one to the other this is an equivalence relation.
An abelian variety A over a eld k is simple if it contains no nonzero proper abelian
subvariety. Every abelian variety is isogenous to a product of simple abelian varieties. If A
and B are simple, then every nonzero homomorphism from Ato B is an isogeny. It follows
that End
0
(A) is a division algebra when A is simple and a semisimple algebra in general.
NOTES. For a detailed account of abelian varieties over algebraically closed elds, see
Mumford 1970, and for a summary over arbitrary elds, see Milne 1986.
CM elds
A number eld E is a CM (or complex multiplication) eld if it is a quadratic totally imag-
inary extension of a totally real eld F. Let a . a
+
denote the nontrivial automorphism
of E xing F. Then ,(a
+
) = ,(a) for every ,: E C. We have the following picture:
E
Q
1 - C C
[ [
F
Q
1 - 1 1
(42)
The involution + is positive (in the sense of 8.11), because we can compute Tr
E
Q
R{F
Q
R
(b
+
b)
on each factor on the right, where it becomes Tr
C{R
(zz) = 2[z[
2
> 0. Thus, we are in the
PEL situation considered in ~8.
Let E be a CM-eld with largest real subeld F. Each embedding of F into 1 will
extend to two conjugate embeddings of E into C. A CM-type for E is a choice of one
element from each conjugate pair {, }. In other words, it is a subset Hom(E, C)
such that
Hom(E, C) = . (disjoint union, = { [ c }).
Because E is quadratic over F, E = F[] with a root of a polynomial X
2
aX b.
On completing the square, we obtain an such that
2
c F
. Then
+
= . Such an
element of E is said to be totally imaginary (its image in C under every embedding is
purely imaginary).
Abelian varieties of CM-type
Let E be a CM-eld of degree 2g over . Let A be an abelian variety of dimension g over
C, and let i be a homomorphism E End
0
(A). If
Tr(i(a) [ Tgt
0
(A)) =
=
(a), all a c E, (43)
for some CM-type of E, then (A, i) is said to be of CM-type (E, ).
REMARK 10.1. (a) In fact, (A, i) will always be of CM-type for some . Recall (p71) that
A(C)
= Tgt
0
(A), with a lattice in Tgt
0
(A) (so 1
= Tgt
0
(A)). Moreover,
= H
1
(A, )
1
= H
1
(A, 1),
= Tgt
0
(A)
C = H
1
(A, C)
= H
-1,0
H
0,-1

= Tgt
0
(A) Tgt
0
(A).
Abelian varieties of CM-type 91
NowH
1
(A, ) is a one-dimensional vector space over E, and so H
1
(A, C)
:E-C
C
where C
denotes a 1-dimensional vector space with E acting through . If occurs in

Tgt
0
(A), then occurs in Tgt
0
(A), and so Tgt
0
(A)
=
C
with a CM-type for E.

(b) A eld E of degree 2g over acting on a complex abelian variety A of dimension
g need not be be CM unless A is simple.
Let be a CM-type on E, and let C
be a direct sum of copies of C indexed by .

Denote by again the homomorphism O
E
C
, a .(a)
=
.
PROPOSITION 10.2. The image (O
E
) of O
E
in C
is a lattice, and the quotient C
,(O
E
)
is an abelian variety A
of CM-type (E, ) for the natural homomorphism i
: E
End
0
(A
). Any other pair (A, i) of CM-type (E, ) is E-isogenous to (A
, i
).
PROOF. We have
O
E

Z
1
= O
E

Z
Q
1
= E
Q
1
er|-(...,re,...)
~
=
C
,
and so (O
E
) is a lattice in C
.
To show that the quotient is an abelian variety, we have to exhibit a riemann form (6.7).
Let be a totally imaginary element of E. The weak approximation theorem allows us to
choose so that `() > 0 for c , and we can multiply it by an integer (in N) to make
it an algebraic integer. Dene
[(u, :) = Tr
E{Q
(u:
+
), u, : c O
E
.
Then [(u, :) c Z. The remaining properties can be checked on the right of (42). Here [
takes the form [ =
=
[
, where
[
(u, :) = Tr
C{R
(
u :),
= (), u, : c C.
Because is totally imaginary,
[
(u, :) =
(u: u:) c 1,
from which it follows that [
(u, u) = 0, [
(iu, i:) = [
(u, :), and [
(u, iu) > 0 for

u ,= 0. Thus, [ is a riemann form and A
is an abelian variety.
An element c O
E
acts on C
as muliplication by (). This preserves (O

E
),
and so denes a homomorphism O
E
End(A
). On tensoring this with , we ob-

tain the homomorphism i
. The map C
,(O
E
) denes an isomorphism C
=
Tgt
0
(C
) Tgt
0
(A
) compatible with the actions of E. Therefore, (A
, i
) is of CM-
type (E, ).
Finally, let (A, i) be of CM-type (E, ). The condition (43) means that Tgt
0
(A) is
isomorphic to C
as an E
Q
C-module. Therefore, A(C) is a quotient of C
by a lattice
such that is stable under the action of E on C
given by (see 6.7 et seq.). This

implies that = (E), and so = (
t
) where
t
is a lattice in E. Now, N
t
O
E
for some N, and we have E-isogenies
C
,
N
C
,N C
,(O
E
).
PROPOSITION 10.3. Let (A, i) be an abelian variety of CM-type (E, ) over C. Then
(A, i) has a model over
al
, uniquely determined up to isomorphism.
PROOF. Let k D be algebraically closed elds of characteristic zero. For an abelian
variety A over k, the torsion points in A(k) are zariski dense, and the map on torsion
points A(k)
tors
A(D)
tors
is bijective (see (40)), and so every regular map A
D
W
D
(W a variety over k) is xed by the automorphisms of D,k and is therefore dened over k
(AG 14.7; see also 13.1 below). It follows that A .A
D
: AV(k) AV(D) is fully faithful.
It remains to show that every abelian variety (A, i) of CM-type over Carises from a pair
over
al
. The polynomials dening Aand i have coefcients in some subring Rof Cthat is
nitely generated over
al
. According to the Hilbert Nullstellensatz, a maximal ideal m of
Rwill have residue eld
al
, and the reduction of (A, i) mod m is called a specialization of
(A, i). Any specialization (A
t
, i
t
) of (A, i) to a pair over
al
with A
t
nonsingular will still
be of CM-type (E, ), and therefore (see 10.2) there exists an isogeny (A
t
, i
t
)
C
(A, i).
The kernel H of this isogeny is a subgroup of A
t
(C)
tors
= A
t
(
al
)
tors
, and (A
t
,H, i) will
be a model of (A, i) over
al
.
REMARK 10.4. The proposition implies that, in order for an elliptic curve A over C to be
of CM-type, its j-invariant must be algebraic.
66
Let A be an abelian variety of dimension g over a subeld k of C, and let i: E
End
0
(A) be a homomorphism with E a CM-eld of degree 2g. Then Tgt
0
(A) is a k-
vector space of dimension g on which E acts k-linearly, and, provided k is large enough to
contain all conjugates of E, it will decompose into one-dimensional k-subspaces indexed
by a subset of Hom(E, k). When we identify with a subset of Hom(E, C), it becomes
a CM-type, and we again say (A, i) is of CM-type (E, ).
Let A be an abelian variety over a number eld K. We say that A has good reduction
at P if it extends to an abelian scheme over O
K,P
, i.e., a smooth proper scheme over O
K,P
with a group structure. In down-to-earth terms this means the following: embed A as a
closed subvariety of some projective space P
n
K
; for each polynomial P(X
0
, . . . , X
n
) in the
homogeneous ideal a dening A P
n
K
, multiply P by an element of K so that it (just)
lies in O
K,P
[X
0
, . . . , X
n
] and let P denote the reduction of P modulo P; the Ps obtained
in this fashion generate a homogeneous a ideal in k[X
0
, . . . , X
n
] where k = O
K
,P; the
abelian variety A has good reduction at P if it is possible to choose the projective embed-
ding of A so that the zero set of a is an abelian variety A over k. Then A is called the
reduction of A at P. It can be shown that, up to a canonical isomorphism, A is indepen-
dent of all choices. For ,= char(k), V
I
(A)

= V
I
(A). There is an injective homorphism
End(A) End(A) compatible with V
I
(A)
= V
I
(A) (both are reduction maps).
66
Consider the curve
E : Y
2
(j 1728)XY = X
3
36(j 1728)
2
X (j 1728)
3
where j c C is transcendental. Specializing E to
al
amounts to replacing j with an algebraic number, say,
j
t
, in the equation. Since E has j-invariant j, and the specialized curve E
t
has j-invariant j
t
, we see that
E
t
C
is not isomorphic to E.
Abelian varieties over a nite eld 93
PROPOSITION 10.5. Let (A, i) be an abelian variety of CM-type (E, ) over a number
eld K C, and let P be a prime ideal in O
K
. Then, after possibly replacing K by a
nite extension, A will have good reduction at P.
PROOF. We use the N eron (alias, Ogg-Shafarevich) criterion (Serre and Tate 1968, Theo-
rem 1):
an abelian variety over a number eld K has good reduction at P if for some
prime ,= char(O
K
,P), the inertia group I at P acts trivially on T
I
A.
In our case, V
I
A is a free E
Q

I
-module of rank 1 because H
1
(A
C
, ) is a one-
dimensional vector space over E and V
I
A

= H
1
(A
C
, )
I
(see (41)). Therefore,
E
Q

I
is its own centralizer in End
Q
`
(V
I
A) and the representation of Gal(
al
,) on
V
I
A has image in (E
I
)
, and, in fact, in a compact subgroup of (E

I
)
. But such
a subgroup will have a pro- subgroup of nite index. Since I has a pro-p subgroup of
nite index (ANT, 7.5), this shows that image of I is nite. After K has been replaced by
a nite extension, the image of I will be trivial, and N erons criterion applies.
Abelian varieties over a nite eld
Let F be an algebraic closure of the eld F
p
of p-elements, and let F
q
be the subeld of F
with q = p
m
elements. An element a of F lies in F
q
if and only if a
q
= a. Recall that, in
characteristic p, (X Y )
p
= X
p
Y
p
. Therefore, if (X
1
, . . . , X
n
) has coefcients in
F
q
, then
(X
1
, . . . , X
n
)
q
= (X
q
1
, . . . , X
q
n
), (a
1
, . . . , a
n
)
q
= (a
q
1
, . . . , a
q
n
), a
i
c F.
In particular,
(a
1
, . . . , a
n
) = 0 == (a
q
1
, . . . , a
q
n
) = 0, a
i
c F.
PROPOSITION 10.6. There is a unique way to attach to every variety V over F
q
a regular
map
V
: V V such that
(a) for any regular map : V W,
V
=
W
;
(b) _
A
n is the map (a
1
, . . . , a
n
) .(a
q
1
, . . . , a
q
n
).
PROOF. For an afne variety V = SpecmA, dene
V
be the map corresponding to the
F
q
-homomorphism x .x
q
: A A. The rest of the proof is straightforward.
The map
V
is called the Frobenius map of V .
THEOREM 10.7 (WEIL 1948). For an abelian variety A over F
q
, End
0
(A) is a nite-
dimensional semisimple -algebra with
A
in its centre. For every embedding ,: [
A
]
C, [,(
A
)[ = q
1
2
.
PROOF. See, for example, Milne 1986, 19.1.
If A is simple, [
A
] is a eld (p89), and
A
is an algebraic integer in it (p89). An
algebraic integer such that [,()[ = q
1
2
for all embeddings ,: [] C is called a Weil
q-integer (formerly, Weil q-number).
For a Weil q-integer ,
,() ,() = q = ,() ,(q,), all ,: [] C,
and so ,(q,) = ,(). It follows that the eld ,([_]) is stable under complex con-
jugation and that the automorphism of [] induced by complex conjugation sends to
q, and is independent of ,. This implies that [] is a CM-eld (the typical case), , or
[
_
p].
LEMMA 10.8. Let and
t
be Weil q-integers lying in the same eld E. If ord
() =
ord
(
t
) for all :[p, then
t
= ( for some root of 1 in E.
PROOF. As noted above, there is an automorphism of [] sending to q,. Therefore
q, is also an algebraic integer, and so ord
() = 0 for every nite : [ p. Since the same

is true for
t
, we nd that [[
= [
t
[
for all :. Hence ,

t
is a unit in O
E
such that
[,
t
[
= 1 for all :[o. But in the course of proving the unit theorem, one shows that
such a unit has to be root of 1 (ANT, 5.6).
The Shimura-Taniyama formula.
LEMMA 10.9. Let (A, i) be an abelian variety of CM-type (E, ) over a number eld
k C having good reduction at P O
k
to (A, {) over O
k
,P = F
q
. Then the Frobenius
map
A
of A lies in {(E).
PROOF. Let =
A
. It sufces to check that lies in {(E) after tensoring
67
with
I
. As
we saw in the proof of (10.5), V
I
A is a free E
Q
I
-module of rank 1. It follows that V
I
A
is also a free E
Q

I
-module of rank 1 (via {). Therefore, any endomorphism of V
I
A
commuting with the action of E
I
will lie in E
I
.
Thus, from (A, i) and a prime P of k at which A has good reduction, we get a Weil
q-integer c E.
THEOREM 10.10 (SHIMURA-TANIYAMA).
68
In the situation of the lemma, assume that k
is galois over and contains all conjugates of E. Then for all primes : of E dividing p,
ord
()
ord
(q)
=
[ H
[
[H
[
(44)
where H
= {,: E k [ ,
-1
(P) = p
} and [S[ denotes the order of a set S.

67
Let W be a subspace of a k-vector space V , and let R be a ring containing k. Then (R
k
W) V = W
(intersection inside V ). To see this, note that an element : of V lies in W if and only if (:) = 0 for all
c (V,W)
, and that (:) is zero if and only if it is zero in R.

68
The rst statement of this result that I know of (in slightly weaker form) is in Weils conference talk
(Weil 1956b, p21), where he writes [For this] it is enough to determine the prime ideal decomposition of
...But this has been done by Taniyama (italics in original).
The Shimura-Taniyama formula. 95
REMARK 10.11. (a) According to (10.8), the theorem determines up to a root of 1. Note
that the formula depends only on (E, ). It is possible to see directly that different pairs
(A, i) over k of CM-type (E, ) can give different Frobenius elements, but they will differ
only by a root of 1.
69
(b) Let + denote complex conjugation on []. Then
+
= q, and so
ord
() ord
(
+
) = ord
(q). (45)
Moreover,
ord
(
+
) = ord
()
and
H
= H
.
Therefore, (44) is consistent with (45):
ord
()
ord
(q)
ord
(
+
)
ord
(q)
(44)
=
[ H
[ [ H
[
[H
[
=
[(' ) H
[
[H
[
= 1.
In fact, (44) is the only obvious formula for ord
() consistent with (45), which is probably

a more convincing argument for its validity than the proof sketched below.
The O
E
-structure of the tangent space
Let R be a Dedekind domain. Any nitely generated torsion R-module M can be written
as a direct sum
i
R,p
r
i
i
with each p
i
an ideal in R, and the set of pairs (p
i
, r
i
) is uniquely
determined by M. Dene
70
[M[
R
=
p
r
i
i
. For example, for R = Z, M is a nite abelian
group and [M[
Z
is the ideal in Z generated by the order of M.
For Dedekind domains R S with S nite over R, there is a norm homomorphism
sending fractional ideals of S to fractional ideals of R (ANT, p58). It is compatible with
norms of elements, and
Nm(P) = p
((P{p)
, P prime, p = P R
Clearly,
[S,A[
R
= Nm(A) (46)
since this is true for prime ideals, and both sides are multiplicative.
PROPOSITION 10.12. Let A be an abelian variety of dimension g over F
q
, and let i be a
homomorphism from the ring of integers O
E
of a eld E of degree 2g over into End(A).
Then
[ Tgt
0
A[
O
E
= (
A
).
PROOF. Omitted (for a scheme-theoretic proof, see Giraud 1968, Th eor` eme 1).
69
Let
t
arise from second model (A
t
, i
t
). Then (A
t
, i
t
) will become E-isogenous to (A, i) over a nite
extension k
t
of k (see 10.2), from which it follows that
(
=
t(
for the degree of the residue eld
extension.
70
Better, the rst statement shows that the K-group of the category of nitely generated torsion R-modules
is canonically isomorphic to the group of fractional ideals of R, and so [M[
R
denotes the class of M in the
K-group.
Sketch of the proof the Shimura-Taniyama formula
We return to the situation of the Theorem 10.10. After replacing A with an isogenous
variety, we may assume i(O
E
) End(A). By assumption, there exists an abelian scheme
A over O
k,P
with generic bre A and special bre an abelian variety A. Because A is
smooth over O
k,P
, the relative tangent space of A,O
k,P
is a free O
k,P
-module T of rank
g endowed with an action of O
E
such that
T
O
k,P
k = Tgt
0
(A), T
O
k,P
O
k,P
,P = Tgt
0
(A).
Therefore,
()
10.12
=
Tgt
0
A
O
E
=
T
O
k,P
(O
k,P
,P)
O
E
. (47)
For simplicity, assume
71
that (p) =
df
PZ is unramied in E. Then the isomorphism
of E-modules
T
O
k,P
k - k
induces an isomorphism of O
E
-modules
T - O
k,P
(48)
In other words, T is a direct sum of copies of O
k,P
indexed by the elements of , and O
E
acts on the
th
copy through the map
O
E
O
k
O
k,P
.
As O
k
,P
= O
k,P
,P (ANT, 3.11), the contribution of the
th
copy to () in (47) is
[O
k
,P[
O
E
(46)
=
-1
(Nm
k{E
P).
Thus,
() =
-1
(Nm
k{E
P). (49)
It is only an exercise to derive (44) from (49).
NOTES. The original formulation of the Shimura-Taniyama theorem is in fact (49). It
is proved in Shimura and Taniyama 1961, III.13, in the unramied case using spaces of
differentials rather than tangent spaces. The proof sketched above is given in detail in
Giraud 1968, and there is a proof using p-divisible groups in Tate 1969, ~5. See also
Serre 1968, pII-28.
71
This, in fact, is the only case we need, because it sufces for the proof of the main theorem in ~10, which
in turn implies the Shimura-Taniyama formula.
97
11 Complex multiplication: the main theorem
Review of class eld theory
Classical class eld theory classies the abelian extensions of a number eld E, i.e., the
galois extensions L,E such Gal(L,E) is commutative. Let E
ab
be the composite of all
the nite abelian extensions of E inside some xed algebraic closure E
al
of E. Then E
ab
is an innite galois extension of E.
According to class eld theory, there exists a continuous surjective homomorphism (the
reciprocity or Artin map)
rec
E
: A
E
Gal(E
ab
,E)
such that, for every nite extension L of E contained in E
ab
, rec
E
gives rise to a commu-
tative diagram
E
E
rec
E
onto
Gal(E
ab
,E)
_
o|-o[L
E
E
, Nm
L{E
(A
L
)
rec
L=E
~
=
Gal(L,E).
It is determined by the following two properties:
(a) rec
L{E
(u) = 1 for every u = (u
) c A
E
such that
i) if : is unramied in L, then u
is a unit,
ii) if : is ramied in L, then u
is sufciently close to 1 (depending only on L,E),

and
iii) if : is real but becomes complex in L, then u
> 0.
(b) For every prime : of E unramied in L, the id` ele
= (1, . . . , 1,
, 1, . . .), a prime element of O

E
v
,
maps to the Frobenius element (:, L,E) c Gal(L,E).
Recall that if P is a prime ideal of L lying over p
, then (:, L,E) is the automorphism of

L,E xing P and acting as x .x
(O
E
:p
v
)
on O
L
,P.
To see that there is at most one map satisfying these conditions, let c A
E
, and use
the weak approximation theorem to choose an a c E
that is close to
for all primes :

that ramify in L or become complex. Then = au with u an id` ele as in (a) and a nite
product of id` eles as in (b). Now rec
L{E
() = rec
L{E
(), which can be computed using
(b).
Note that, because Gal(E
ab
,E) is totally disconnected, the identity component of E
E
is contained in the kernel of rec
E
. In particular, the identity component of
[o
E
is con-
tained in the kernel, and so, when E is totally imaginary, rec
E
factors through E
E,(
.
For E = , the reciprocity map factors through
{} A
(
, and every element in
this quotient is uniquely represented by an element of

Z
(
. In this case, we get the
98 11 COMPLEX MULTIPLICATION: THE MAIN THEOREM
diagram
rec
Q
~
=
Gal(
ab
,)
_
[(
N
]
_restrict
(Z,NZ)
[a]|-(
N
|-
a
N
)
~
=
Gal([(
N
],)
(50)
which commutes with an inverse. This can be checked by writing an id` ele in the form
au as above, but it is more instructive to look at an example. Let p be a prime not dividing
N, and let
= p (1, . . . , 1, p
-1
p
, 1, . . .) c Z A
(
= A
(
.
Then c

Z
and has image [p] in Z,NZ, which acts as (p, [(

N
],) on [(
N
]. On the
other hand, rec
Q
() = rec
Q
((1, . . . , p
-1
, . . .)), which acts as (p, [(
N
],)
-1
.
NOTES. For the proofs of the above statements, see Tate 1967 or my notes CFT.
Convention for the (Artin) reciprocity map
It simplies the formulas in Langlands theory if one replaces the reciprocity map with its
reciprocal. For c A
E
, write
art
E
() = rec
E
()
-1
. (51)
Now, the diagram (50) commutes. In other words,
art
Q
(y(o)) = o, for o c Gal(
ab
,),
where y is the cyclotomic character Gal(
ab
,)

Z
, which is characterized by
o( = (
y(o)
, ( a root of 1 in C
.
The reex eld and norm of a CM-type
Let (E, ) be a CM-type.
DEFINITION 11.1. The reex eld E
+
of (E, ) is the subeld of
al
characterized by any
one of the following equivalent
72
conditions:
(a) o c Gal(
al
,) xes E
+
if and only if o = ; here o = {o [ c };
(b) E
+
is the eld generated over by the elements
=
(a), a c E;
72
If o c Gal(
al
,) permutes the s, then clearly it xes all elements of the form

=
(a). Con-
versely, if
=
(a) =

=
(o)(a) for all a c E
, then {o[ c } = by Dedekinds theorem on

the independence of characters (FT 5.14). This shows that conditions (a) and (b) dene the same eld.
If there exists a k-vector space V as in (c), then clearly k contains the eld in (b). On the other hand, there
exists a representation (G
m
)
E{Q
on a vector space V over the eld E
+
in (a) with as its set of characters
(1), which extends to an action of E with trace
=
(a).
Statement of the main theorem of complex multiplication 99
(c) E
+
is the smallest subeld k of
al
such that there exists a k-vector space V with an
action of E for which
Tr
k
(a[V ) =
=
(a), all a c E.
Let V be an E
+
-vector space with an action of E such that Tr
E
(a[V ) =

=
(a)
for all a c E. We can regard V as an E
+
Q
E-space, or as an E-vector space with a E-
linear action of E
+
. The reex norm is the homomorphism
73
N
: (G
m
)
E
{Q
(G
m
)
E{Q
such that
N
(a) = det
E
(a[V ), all a c E
+
.
This denition is independent of the choice of V because V is unique up to an isomorphism
respecting the actions of E and E
+
.
Let (A, i) be an abelian variety of CM-type (E, ) dened over C. According to
(11.1c) applied to Tgt
0
(A), any eld of denition of (A, i) contains E
+
.
Statement of the main theorem of complex multiplication
A homomorphism o: k D of elds denes a functor V .oV , .o, extension of
the base eld from varieties over k to varieties over D. In particular, an abelian variety A
over k equipped with a homomorphism i: E End
0
(A) denes a similar pair o(A, i) =
(oA,
o
i) over D. Here
o
i: E End(oA) is dened by
o
i(a) = o(i(a)).
Apoint P c A(k) gives a point oP c A(D), and so o denes a homomorphismo: V
(
(A)
V
(
(oA) provided that k and D are algebraically closed (otherwise one would have to
choose an extension of k to a homomorphism k
al
D
al
).
THEOREM 11.2. Let (A, i) be an abelian variety of CM-type (E, ) over C, and let o c
Aut(C,E
+
). For any s c A
,(
with art
E
(s) = o[E
+ab
, there is a unique E-linear
isogeny : A oA such that (N
(s) x) = ox for all x c V

(
A.
PROOF. Formation of the tangent space commutes with extension of the base eld, and so
Tgt
0
(oA) = Tgt
0
(A)
C,o
C
as an E
Q
C-module. Therefore, (oA,
o
i) is of CM type o. Since o xes E
+
, o = ,
and so there exists an E-linear isogeny : A oA (10.2). The map
V
(
(A)
o
V
(
(oA)
V
f
()
1
V
(
(A)
is E
Q
A
(
-linear. As V
(
(A) is free of rank one over E
Q
A
(
= A
E,(
, this map must
be multiplication by an element of a c A
E,(
. When the choice of is changed, then a is
changed only by an element of E
, and so we have a well-dened map

o .aE
: Gal(
al
,E
+
) A
E,(
,E
,
73
One can show that E
+
is again a CM-eld, and that an embedding of E into
al
denes a CM-type on
E
+
. The reex norm is usually dened in terms of
+
but we will not need it.
100 11 COMPLEX MULTIPLICATION: THE MAIN THEOREM
which one checks to be a homomorphism. The map therefore factors through Gal(E
+ab
,E
+
),
and so, when composed with the reciprocity map art
E
, it gives a homomorphism
j: A
,(
,E
+
A
E,(
,E
.
We have to check that j is the homomorphism dened by N
, but it can be shown that this

follows from the Shimura-Taniyama formula (Theorem 10.10). The uniqueness follows
from the faithfulness of the functor A .V
(
(A).
REMARK 11.3. (a) If s is replaced by as, a c E
+
, then must be replaced by
N
(a)
-1
.
(b) The theorem is a statement about the E-isogeny class of (A, i) if : (A, i)
(B, j) is an E-linear isogeny, and satises the conditions of the theorem for (A, i), then
(o)
-1
satises the conditions for (B, j).
ASIDE 11.4. What happens in (11.2) when o is not assumed to x E
+
? This also is known,
thanks to Deligne and Langlands. For a discussion of this, and much else concerning
complex multiplication, see my notes Milne 1979.
101
12 Denition of canonical models
We attach to each Shimura datum (G, X) an algebraic number eld E(G, X), and we
dene the canonical model of Sh(G, X) to be an inverse system of varieties over E(G, X)
that is characterized by reciprocity laws at certain special points.
Models of varieties
Let k be a subeld of a eld D, and let V be a variety over D. A model of V over k (or a
k-structure on V ) is a variety V
0
over k together with an isomorphism : V
0D
V . We
often omit the map and regard a model as a variety V
0
over k such that V
0D
= V .
Consider an afne variety V over C and a subeld k of C. An embedding V A
n
C
denes a model of V over k if the ideal I(V ) of polynomials zero on V is generated
by polynomials in k[X
1
, . . . , X
n
], because then I
0
=
df
I(V ) k[X
1
, . . . , X
n
] is a radical
ideal, k[X
1
, . . . , X
n
],I
0
is an afne k-algebra, and V (I
0
) A
n
k
is a model of V . Moreover,
every model (V
0
, ) arises in this way because every model of an afne variety is afne.
However, different embeddings in afne space will usually give rise to different models.
For example, the embeddings
A
2
C
(x,y)
(x,y)
V (X
2
Y
2
1)
(x,y)
-
(x,y{
_
2)
A
2
C
dene the -structures
X
2
Y
2
= 1, X
2
2Y
2
= 1
on the curve X
2
Y
2
= 1. These are not isomorphic.
Similar remarks apply to projective varieties.
In general, a variety over C will not have a model over a number eld, and when it
does, it will have many. For example, an elliptic curve E over C has a model over a
number eld if and only if its j-invariant j(E) is an algebraic number, and if Y
2
Z =
X
3
aXZ
2
bZ
3
is one model of E over a number eld k (meaning, a, b c k), then
Y
2
Z = X
3
ac
2
XZ
2
bc
3
Z
3
is a second, which is isomorphic to the rst only if c is a
square in k.
The reex eld
For a reductive group G over and a subeld k of C, we write C(k) for the set of G(k)-
conjugacy classes of cocharacters of G
k
dened over k:
C(k) = G(k) Hom(G
m
, G
k
).
A homomorphism k k
t
induces a map C(k) C(k
t
); in particular, Aut(k
t
,k) acts on
C(k
t
).
LEMMA 12.1. Assume G splits over k, so that it contains a split maximal torus T , and let
W be the Weyl group N
G(k)
(T),C
G(k)
(T) of T. Then the map
W Hom(G
m
, T
k
) G(k) Hom(G
m
, G
k
)
is bijective.
102 12 DEFINITION OF CANONICAL MODELS
PROOF. As any two maximal split tori are conjugate (Springer 1998, 15.2.6), the map is
surjective. Let j and j
t
be cocharacters of T that are conjugate by an element of G(k),
say, j = ad(g) j
t
with g c G(k). Then ad(g)(T) and T are both maximal split
tori in the centralizer
74
C of j(G
m
), which is a connected reductive group (ibid., 15.3.2).
Therefore, there exists a c c C(k) such that ad(cg)(T) = T. Now cg normalizes T and
ad(cg) j
t
= j, which proves that j and j
t
are in the same W-orbit.
Let (G, X) be a Shimura datum. For each x c X, we have a cocharacter j
x
of G
C
:
j
x
(z) = h
xC
(z, 1).
A different x c X will give a conjugate j
x
, and so X denes an element c(X) of C(C).
Neither Hom(G
m
, T
Q
al ) nor W changes when we replace C with the algebraic closure
al
of in C, and so the lemma shows that c(X) contains a j dened over
al
and that the
G(
al
)-conjugacy class of j is independent of the choice of j. This allows us to regard
c(X) as an element of C(
al
).
DEFINITION 12.2. The reex (or dual) eld E(G, X) is the eld of denition of c(X),
i.e., it is the xed eld of the subgroup of Gal(
al
,) xing c(X) as an element of C(
al
)
(or stabilizing c(X) as a subset of Hom(G
m
, G
Q
al )).
Note that the reex eld a subeld of C.
REMARK 12.3. (a) Any subeld k of
al
splitting G contains E(G, X). This follows from
the lemma, because W Hom(G
m
, T) does not change when we pass from k to
al
. If
follows that E(G, X) has nite degree over .
(b) If c(X) contains a j dened over k, then k E(G, X). Conversely, if G is quasi-
split over k and k E(G, X), then c(X) contains a j dened over k (Kottwitz 1984,
1.1.3).
(c) Let (G, X)
i
(G
t
, X
t
) be an inclusion of Shimura data. Suppose o xes c(X), and
let j c c(X). Then oj = g j g
-1
for some g c G(
al
), and so, for any g
t
c G
t
(
al
),
o(g
t
(i j) g
t-1
) = (og
t
)(i(g)) i j (i(g))
-1
(og
t
)
-1
c c(X
t
).
Hence o xes c(X
t
), and we have shown that
E(G, X) E(G
t
, X
t
).
EXAMPLE 12.4. (a) Let T be a torus over , and let h be a homomorphismS T
R
. Then
E(T, h) is the eld of denition of j
h
, i.e., the smallest subeld of C over which j
h
is
dened.
(b) Let (E, ) be a CM-type, and let T be the torus (G
m
)
E{Q
, so that T() = E
and
T(1) = (E
Q
1)

= (C
, (e r) .((e) r)
=
.
74
Certainly T C. Let t c T(k
al
) and a c G
m
(k
al
). Then
gtg
-1
j(a) = gt j
t
(a) g
-1
= g j
t
(a) tg
-1
= j(a) gtg
-1
,
and so gTg
-1
C.
Special points 103
Dene h
: C
T(1) to be z .(z, . . . , z). The corresponding cocharacter j
is
C
T(C)

= (C
(C
z . (z, . . . , z, 1, . . . , 1)
Therefore, oj
= j
if and only if o stabilizes , and so E(T, h
) is the reex eld of

(E, ) dened in (11.1).
(c) If (G, X) is a simple PEL datum of type (A) or (C), then E(G, X) is the eld
generated over by {Tr
X
(b) [ b c B} (Deligne 1971c, 6.1).
(d) Let (G, X) be the Shimura datum attached to a quaternion algebra B over a totally
real number eld F, as in Example 5.24. Then c(X) is represented by the cocharacter j:
G(C) - GL
2
(C)
I
c
GL
2
(C)
I
nc
j(z) = (1, . . . , 1)
__
z 0
0 1
_
, . . . ,
_
z 0
0 1
__
.
Therefore, E(G, X) is the xed eld of the stabilizer in Gal(
al
,) of I
nc
I. For ex-
ample, if I
nc
consists of a single element : (so we have a Shimura curve), then E(G, X) =
:(F).
(e) When G is adjoint, E(G, X) can be described as follows. Choose a maximal torus
T in G
Q
al and a base (
i
)
i=I
for the roots. Recall that the nodes of the dynkin diagram ^
of (G, T) are indexed by I. The galois group Gal(
al
,) acts on ^. Each c c C(
al
)
contains a j: G
m
G
Q
al such that (
i
, j) _ 0 for all i (cf. 1.25), and the map
c .((
i
, j))
i=I
: C(
al
) N
I
(copies of N indexed by I)
is a bijection. Therefore, E(G, X) is the xed eld of the subgroup of Gal(
al
,) xing
((
i
, j))
i=I
c N
I
. It is either totally real or CM (Deligne 1971b, p139).
(f) Let (G, X) be a Shimura datum, and let G

T be the quotient of G by G
der
. From
(G, X), we get Shimura data (G
ad
, X
ad
) and (T, h) with h = v h
x
for all x c X. Then
E(G, X) = E(G
ad
, X
ad
) E(T, h) (Deligne 1971b, 3.8).
(g) It follows from (e) and (f) that if (G, X) satises SV6, then E(G, X) is either a
totally real eld or a CM-eld.
Special points
DEFINITION 12.5. A point x c X is said to be special if there exists a torus
75
T G such
that h
x
(C
) T(1). We then call (T, x), or (T, h

x
), a special pair in (G, X). When the
weight is rational and Z(G)
splits over a CM-eld (i.e., SV4 and SV6 hold), the special
points and special pairs are called CM points and CM pairs.
76
REMARK 12.6. Let T be a maximal torus of G such that T(1) xes x, i.e., such that
ad(t ) h
x
= h
x
for all t c T(1). Because T
R
is its own centralizer in G
R
, this implies that
h
x
(C
) T(1), and so x is special. Conversely, if (T, x) is special, then T(1) xes x.

75
Meaning, of course, dened over .
76
Because then the homomorphism h
x
: S T factors through the Serre group, and for any representation
(V, ,) of T, (V, ,
R
h
x
) is the hodge structure of a CM-motive.
EXAMPLE 12.7. Let G = GL
2
and let H
1
= C 1. Then G(1) acts on H
1
by
_
a b
c d
_
z =
az b
cz d
.
Suppose that z c C 1 generates a quadratic imaginary extension E of . Using the -
basis {1, z} for E, we obtain an embedding E M
2
(), and hence a maximal subtorus
(G
m
)
E{Q
G. As (G
m
)
E{Q
(1) xes z, this shows that z is special. Conversely, if z c H
1
is special, then [z] is a eld of degree 2 over .
The homomorphism r
x
Let T be a torus over and let j be a cocharacter of T dened over a nite extension E
of . For Q c T(E), the element
p:E-Q
al
,(Q) of T(
al
) is stable under Gal(
al
,)
and hence lies in T(). Let r(T, j) be the homomorphism (G
m
)
E{Q
T such that
r(T, j)(P) =

p:E-Q
al
,(j(P)), all P c E
. (52)
Let (T, x) (G, X) be a special pair, and let E(x) be the eld of denition of j
x
. We
dene r
x
to be the homomorphism
A
E(x)
r(T,)
T(A
Q
)
project
T(A
Q,(
). (53)
Let a c A
E(x)
, and write a = (a
o
, a
(
) c (E(x)
Q
1)
E(x),(
; then
r
x
(a) =

p:E-Q
al
,(j
x
(a
(
)).
Denition of a canonical model
For a special pair (T, x) (G, X), we have homomorphisms ((51),(53)),
art
E(x)
: A
E(x)
Gal(E(x)
ab
,E(x))
r
x
: A
E(x)
T(A
(
).
DEFINITION 12.8. Let (G, X) be a Shimura datum, and let K be a compact open subgroup
of G(A
(
). A model M
K
(G, X) of Sh
K
(G, X) over E(G, X) is canonical if, for every
special pair (T, x) (G, X) and a c G(A
(
), [x, a]
K
has coordinates in E(x)
ab
and
o[x, a]
K
= [x, r
x
(s)a]
K
, (54)
for all
77
o c Gal(E(x)
ab
,E(x))
s c A
E(x)
_
with art
E(x)
(s) = o.
In other words, M
K
(G, X) is canonical if every automorphism o of C xing E(x) acts on
[x, a]
K
according to the rule (54) where s is any id` ele such that art
E(x)
(s) = o[E(x)
ab
.
77
If q c G() and qx = x, then [x, qa]
K
= [x, a]
K
, and so, according to (54), we should have
[x, r
x
(s)qa]
K
= [x, r
x
(s)a]
K
. Following Deligne 1979, 2.2.4, I leave it to the reader to check this.
Examples: Shimura varieties dened by tori 105
REMARK 12.9. Let (T
1
, x) and (T
2
, x) be special pairs in (G, X) (with the same x). Then
(T
1
T
2
, x) is also a special pair, and if the condition in (54) holds for one of (T
1
T
2
, x),
(T
1
, x), or (T
2
, x), then it holds for all three. Therefore, in stating the denition, we could
have considered only special pairs (T, x) with, for example, T minimal among the tori
such that T
R
contains h
x
(S).
DEFINITION 12.10. Let (G, X) be a Shimura datum.
(a) A model of Sh(G, X) over a subeld k of C is an inverse system M(G, X) =
(M
K
(G, X))
K
of varieties over k endowed with a right action of G(A
(
) such that M(G, X)
C
=
Sh(G, X) (with its G(A
(
) action).
(b) A model M(G, X) of Sh(G, X) over E(G, X) is canonical if each M
K
(G, X) is
canonical.
Examples: Shimura varieties dened by tori
For a eld k of characteristic zero, the functor V . V (k
al
) is an equivalence from the
category of zero-dimensional varieties over k to the category of nite sets endowed with
a continuous action of Gal(k
al
,k). Continuous here just means that the action factors
through Gal(L,k) for some nite galois extension L of k contained in k
al
. In particular,
to give a zero-dimensional variety over an algebraically closed eld of characteristic zero
is just to give a nite set. Thus, a zero-dimensional variety over C can be regarded as a
zero-dimensional variety over
al
, and to give a model of V over a number eld E amounts
to giving a continuous action of Gal(
al
,) on V (C).
Tori
Let T be a torus over , and let h be a homomorphism S T
R
. Then (T, h) is a Shimura
datum, and E =
df
E(T, h) is the eld of denition of j
h
. In this case
Sh
K
(T, h) = T(){h} T(A
(
),K
is a nite set (see 5.22), and (54) denes a continuous action of Gal(E
ab
,E) on Sh
K
(T, h).
This action denes a model of Sh
K
(T, h) over E, which, by denition, is canonical.
CM-tori
Let (E, ) be a CM-type, and let (T, h
) be the Shimura pair dened in (12.4b). Then

E(T, h
) = E
+
, and r(T, j
): (G
m
)
E
{Q
(G
m
)
E{Q
is the reex norm N
.
Let K be a compact open subgroup of T(A
(
). The Shimura variety Sh
K
(T, h
) clas-
sies isomorphism classes of triples (A, i, jK) in which (A, i) is an abelian variety over
C of CM-type (E, ) and j is an E A
(
-linear isomorphism V (A
(
) V
(
(A). An
isomorphism (A, i, jK) (A
t
, i
t
, j
t
K) is an E-linear isomorphism A A
t
in AV
0
(C)
sending jK to j
t
K. To see this, let V be a one-dimensional E-vector space. The action
of E on V realizes T as a subtorus of GL(V ). If (A, i) is of CM-type (E, ), then there
exists an E-homomorphism a: H
1
(A, ) V carrying h
A
to h
(see 10.2). Now the

isomorphism
78
V (A
(
)
)
V
(
(A)
a
V (A
(
)
is E A
(
-linear, and hence is multiplication by an element g of (E A
(
)
= T
E
(A
(
).
The map (A, i, j) .[g] gives the bijection.
In (10.3) and its proof, we showed that the functor (A, i) .(A
C
, i
C
) denes an equiv-
alence from the category of abelian varieties over
al
of CM-type (E, ) to the similar
category over C (the abelian varieties are to be regarded as objects of AV
0
). Therefore,
Sh
K
(T
E
, h
) classies isomorphism classes of triples (A, i, jK) where (A, i) is now an

abelian variety over
al
of CM-type (E, ).
The group Gal(
al
,E
+
) acts on the set M
K
of such triples: let (A, i, j) c M
K
; for o c
Gal(
al
,E
+
), dene o(A, i, jK) to be the triple (oA,
o
i,
o
jK) where
o
j is the composite
V (A
(
)
)
V
(
(A)
o
V
(
(oA); (55)
because o xes E
+
, (oA, oi) is again of CM-type (E, ).
The group Gal(
al
,E
+
) acts on Sh
K
(T
E
, h
) by the rule (54):

o[g] = [r
h
(s)g]
K
, art
E
(s) = o[E
+
.
PROPOSITION 12.11. The map (A, i, j) .[aj]
K
: M
K
Sh
K
(T
E
, h
) commutes with
the actions of Gal(
al
,E
+
).
PROOF. Let (A, i, j) c M
K
map to [aj]
K
for an appropriate isomorphisma: H
1
(A, )
V , and let o c Gal(
al
,E
+
). According to the main theorem of complex multiplica-
tion (11.2), there exists an isomorphism : A oA such that (N
(s) x) = ox
for x c V
(
(A), where s c A
E
is such that art
E
(s) = o[E
+
. Then o(A, i, j) .
[a H
1
()
=1
o j]
K
. But
V
(
()
=1
o = N
(s) = r
h
(s),
and so
[a H
1
()
-1
o j]
K
= [r
h
(s) (a j)]
K
as required.
NOTES. Our denitions coincide with those of Deligne 1979, except that we have corrected
a sign error there (it is necessary to delete inverse in ibid. 2.2.3, p269, line 10, and in
2.6.3, p284, line 21).
78
We are using that V
(
(A)
= H
1
(A, )
Q
A
(
see (41).
107
13 Uniqueness of canonical models
In this section, I sketch a proof that a Shimura variety has at most one canonical model (up
to a unique isomorphism).
Extension of the base eld
PROPOSITION 13.1. Let k be a subeld of an algebraically closed eld D of characteristic
zero. If V and W are varieties over k, then a regular map V
D
W
D
commuting with the
actions of Aut(D,k) on V (D) and W(D) arises from a unique regular map V W. In
other words, the functor
V .V
D
action of Aut(D,k) on V (D)
is fully faithful.
PROOF. See AG 14.7. [The rst step is to show that the D
Aut(D{k)
= k, which requires
Zorns lemma in general.]
COROLLARY 13.2. A variety V over k is uniquely determined (up to a unique isomor-
phism) by V
D
and the action of Aut(D,k) on V (D).
Uniqueness of canonical models
Let (G, X) be a Shimura datum.
LEMMA 13.3. There exists a special point in X.
PROOF (SKETCH). Let x c X, and let T be a maximal torus in G
R
containing h
x
(C).
Then T is the centralizer of any regular element z of Lie(T). If z
0
c Lie(G) is chosen
sufciently close to z, then the centralizer T
0
of z
0
in G will be a maximal torus in G
(Borel 1991, 18.1, 18.2), and T
0
will become conjugate
79
to T over 1:
T
0R
= gTg
-1
, some g c G(1).
Now h
gx
(S) =
df
ghg
-1
(S) T
0R
, and so gx is special.
LEMMA 13.4 (KEY LEMMA). For any nite extension L of E(G, X) in C, there exists a
special point x
0
such that E(x
0
) is linearly disjoint from L.
PROOF. See Deligne 1971b, 5.1. [The basic idea is the same as that of the proof of 13.6
above, but requires the Hilbert irreducibility theorem.]
If G = GL
2
, the lemma just says that, for any nite extension L of in C, there exists
a quadratic imaginary extension E over linearly disjoint from L. This is obvious for
example, take E = [
_
p] for any prime p unramied in L.
79
Any element sufciently close to a regular element will also be regular, which implies that T
0
is a maxi-
mal torus. Not all maximal tori in G
{R
are conjugate rather, they fall into several connected components,
from which the second statement can be deduced.
108 13 UNIQUENESS OF CANONICAL MODELS
LEMMA 13.5. For any x c X, {[x, a]
K
[ a c G(A
(
)} is dense in Sh
K
(G, X) (in the zariski
topology).
PROOF. Write
Sh
K
(G, X)(C) = G()X (G(A
(
),K)
and note that the real approximation theorem (5.4) implies that G()x is dense in X for
the complex topology, and, a fortiori, the zariski topology.
Let g c G(A
(
), and let K and K
t
be compact open subgroups such that K
t
g
-1
Kg.
Then the map T (g)
[x, a]
K
.[x, ag]
K
0 : Sh
K
(C) Sh
K
0 (C)
is well-dened.
THEOREM 13.6. If Sh
K
(G, X) and Sh
K
0 (G, X) have canonical models over E(G, X),
then T (g) is dened over E(G, X).
PROOF. After (13.1), it sufces to show that o(T (g)) = T (g) for all automorphisms o of
C xing E(G, X). Let x
0
c X be special. Then E(x
0
) E(G, X) (see 12.3b), and we
rst show that o(T (g)) = T (g) for those os xing E(x
0
). Choose an s c A
E
0
such that
art(s) = o[E(x
0
)
ab
. For a c G(A
(
),
[x
0
, a]
K
T (g)
-
[x
0
, ag]
K
0
[x
0
, r
x
0
(s)a]
K
?
o
T (g)
-
[x
0
, r
x
0
(s)ag]
K
0
?
o
commutes. Thus, T (g) and o(T (g)) agree on {[x
0
, a] [ a c G(A
(
)}, and hence on all of
Sh
K
by Lemma 13.5. We have shown that o(T (g)) = T (g) for all o xing the reex eld
of any special point, but Lemma 13.4 shows that these os generate Aut(C,E(G, X)).
THEOREM 13.7. (a) A canonical model of Sh
K
(G, X) (if it exists) is unique up to a unique
isomorphism.
(b) If, for all compact open subgroups K of G(A
(
), Sh
K
(G, X) has a canonical model,
then so also does Sh(G, X), and it is unique up to a unique isomorphism.
PROOF. (a) Take K = K
t
and g = 1 in (13.6).
(b) Obvious from (13.6).
In more detail, let (M
K
(G, X), ) and (M
t
K
(G, X),
t
) be canonical models of Sh
K
(G, X)
over E(G, X). Then the composite
M
K
(G, X)
C
Sh
K
(G, X)
01
M
t
K
(G, X)
C
is xed by all automorphisms of C xing E(G, X), and is therefore dened over E(G, X).
REMARK 13.8. In fact, one can prove more. Let a: (G, X) (G
t
, X
t
) be a morphism of
Shimura data, and suppose Sh(G, X) and Sh(G
t
, X
t
) have canonical models M(G, X) and
M(G
t
, X
t
). Then the morphism Sh(a): Sh(G, X) Sh(G
t
, X
t
) is dened over E(G, X)
E(G
t
, X
t
).
The galois action on the connected components 109
The galois action on the connected components
A canonical model for Sh
K
(G, X) will dene an action of Aut(C,E(G, X)) on the set
0
(Sh
K
(G, X)). In the case that G
der
is simply connected, we saw in ~5 that
0
(Sh
K
(G, X))
= T()Y T(A
(
),v(K)
where v: G T is the quotient of G by G
der
and Y is the quotient of T(1) by the image
T(1)
|
of Z(1) in T(1). Let h = v h
x
for any x c X. Then j
h
is certainly dened over
E(G, X). Therefore, it denes a homomorphism
r = r(T, j
h
): A
E(G,X)
T(A
Q
).
The action of o c Aut(C,E(G, X)) on
0
(Sh
K
(G, X)) can be described as follows: let
s c A
E(G,X)
be such that art
E(G,X)
(s) = o[E(G, X)
ab
, and let r(s) = (r(s)
o
, r(s)
(
) c
T(1) T(A
(
); then
o[y, a]
K
= [r(s)
o
y, r(s)
(
a]
K
, for all y c Y, a c T(A
(
). (56)
When we use (56) to dene the notion a canonical model of a zero-dimensional Shimura
variety, we can say that
0
of the canonical model of Sh
K
(G, X) is the canonical model of
Sh(T, Y ).
If o xes a special x
0
mapping to y, then (56) follows from (54), and a slight improve-
ment of (13.4) shows that such os generate Aut(C,E(G, X)).
NOTES. The proof of uniqueness follows Deligne 1971b, ~3, except that I am more un-
scrupulous in my use of the Zorns lemma.
110 14 EXISTENCE OF CANONICAL MODELS
14 Existence of canonical models
Canonical models are known to exist for all Shimura varieties. In this section, I explain
some of the ideas that go into the proof.
Descent of the base eld
Let k be a subeld of an algebraically closed eld D of characteristic zero, and let A =
Aut(D,k). In (13.1) we observed that the functor
{varieties over k} {varieties V over Daction of A on V (D)},
is fully faithful. In this subsection, we nd conditions on a pair (V, ) that ensure that it is
in the essential image of the functor, i.e., that it arises from a variety over k. We begin by
listing two necessary conditions.
The regularity condition
Obviously, the action should recognize that V (D) is not just a set, but rather the set of
points of an algebraic variety. Recall that, for o c A, oV is obtained from V by applying
o to the coefcients of the polynomials dening V , and oP c (oV )(D) is obtained from
P c V (D) by applying o to the coordinates of P.
DEFINITION 14.1. An action of A on V (D) is regular if the map
oP .o P: (oV )(D) V (D)
is a regular isomorphism for all o.
A priori, this is only a map of sets. The condition requires that it be induced by a regular
map
o
: oV V . If (V, ) arises from a variety over k, then oV = V and oP = o P,
and so the condition is clearly necessary.
REMARK 14.2. (a) When regular, the maps
o
are automatically isomorphisms provided
V is nonsingular.
(b) The maps
o
satisfy the cocycle condition
o
o
r
=
or
. Conversely, every family
(
o
)
o=A
of regular isomorphisms satisfying the cocycle condition arises from an action of
A satisfying the regularity condition. Such families (
o
)
o=A
are called descent data, and
normally one expresses descent theory in terms of them rather than actions of A.
The continuity condition
DEFINITION 14.3. An action of A on V (D) is continuous if there exists a subeld L of
D nitely generated over k and a model V
0
of V over L such that the action of Aut(D,L)
on V (D) dened by V
0
is .
More precisely, the condition requires that there exist a model (V
0
, ) of V over L such
that (oP) = o (P) for all P c V
0
(D) and o c Aut(C,L). Clearly this condition is
necessary.
Review of local systems and families of abelian varieties 111
PROPOSITION 14.4. A regular action of A on V (D) is continuous if there exist points
P
1
, . . . , P
n
c V (D) such that
(a) the only automorphism of V xing every P
i
is the identity map;
(b) there exists a subeld L of D nitely generated over k such that o P
i
= P
i
for all
o xing L.
PROOF. Let (V
0
, ) be a model of V over a subeld L of D nitely generated over k.
After possibly enlarging L, we may assume that
-1
(P
i
) c V
0
(L) and that o P
i
= P
i
for
all o xing L (because of (b)). For such a o,
o
and (o)
-1
are regular maps oV V
sending oP
i
to P
i
for each i, and so they are equal (because of (a)). Hence
(oP) =
o
((o)(oP)) =
o
(o((P))) = o (P)
for all P c V
0
(D), and so the action of Aut(C,L) on V (D) dened by (V
0
, ) is .
A sufcient condition for descent
THEOREM 14.5. If V is quasiprojective and is regular and continuous, then (V, ) arises
from a variety over k.
PROOF. This is a restatement of the results of Weil 1956a (see Milne 1999, 1.1).
COROLLARY 14.6. The pair (V, ) arises from a variety over k if
(a) V is quasiprojective,
(b) is regular, and
(c) there exists points P
1
, . . . , P
n
in V (D) satisfying the conditions (a) and (b) of (14.4).
PROOF. Immediate from (14.5) and (14.6).
For an elementary proof of the corollary, not using the results of Weil 1956a, see AG
14.27.
Review of local systems and families of abelian varieties
Let S be a topological manifold. A local system of Z-modules on S is a sheaf F on S that
is locally isomorphic to the constant sheaf Z
n
(n c N).
Let F be a local system of Z-modules on S, and let o c S. There is an action of
1
(S, o) on F
o
that can be described as follows: let ;: [0, 1] S be a loop at o; because
[0, 1] is simply connected, there is an isomorphism from ;
+
F to the constant sheaf de-
ned by a group M say; when we choose such an isomorphism, we obtain isomorphisms
(;
+
F)
i
M for all i c [0, 1]; now (;
+
F)
i
= F
;(i)
and ;(0) = o = ;(1), and so we get
two isomorphisms F
o
M; these isomorphisms differ by an automorphism of F
o
, which
depends only the homotopy class of ;.
PROPOSITION 14.7. If S is connected, then F .(F
o
, ,
o
) denes an equivalence from the
category of local systems of Z-modules on S to the category of nitely generated Z-modules
endowed with an action of
1
(S, o).
PROOF. This is well known; cf. Deligne 1970, I 1.
Let F be a local system of Z-modules on S. Let :

S S be the universal covering
space of S, and choose a point o c

S. We can identiy
+
F with the constant sheaf dened
by F
(o)
. Suppose that we have a hodge structure h
s
on F
s
1 for every s c S. We say
that F, together with the hodge structures, is a variation of integral hodge structures on
S if s . h
(s)
(hodge structure on F
(o)
1) is a variation of hodge structures on

S. A
polarization of a variation of hodge structures (F, (h
s
)) is a pairing [: F F Z such
that [
s
is a polarization of (F
s
, h
s
) for every s.
Let V be a nonsingular algebraic variety over C. A family of abelian varieties over V is
a regular map : A V of nonsingular varieties plus a regular multiplication A
V
A
Aover V such that the bres of are abelian varieties of constant dimension (in a different
language, A is an abelian scheme over V ).
THEOREM 14.8. Let V be a nonsingular variety over C. There is an equivalence (A, ) .
(R
1
+
Z)
from the category of families of abelian varieties over V to the category of

polarizable integral variations of hodge structures of type (1, 0), (0, 1) on S.
This is a generalization of Riemanns theorem (6.8) see Deligne 1971a, 4.4.3.
The Siegel modular variety
Let (V, [) be a symplectic space over , and let (G, X) = (GSp([), X([)) be the as-
sociated Shimura datum (~6). We also denote Sp([) by S. We abbreviate Sh
K
(G, X) to
Sh
K
.
The reex eld
Consider the set of pairs (L, L
t
) of complementary lagrangians in V (C):
V (C) = LL
t
, L, L
t
totally isotropic. (57)
Every symplectic basis for V (C) denes such a pair, and the every such pair arises from a
symplectic basis. Therefore, G(C) (even S(C)) acts transitively on the set of pairs (L, L
t
)
of complementary lagrangians. For such a pair, let j
(L,L
0
)
be the homomorphism G
m

GL(V ) such that j(z) acts as z on L and as 1 on L
t
. Then, j
(L,L
0
)
takes values in G
C
,
and as (L, L
t
) runs through the set of pairs of complementary lagrangians in V (C), j
(L,L
0
)
runs through c(X) (notation as on p101). Since V itself has symplectic bases, there exist
pairs of complementary lagrangians in V . For such a pair, j
(L,L
0
)
is dened over , and so
c(X) has a representative dened over . This shows that the reex eld E(G, X) = .
The special points
(
), and, as in ~6, let M
K
be the set of triples
(A, s, jK) in which A is an abelian variety over C, s is an alternating form on H
1
(A, )
such that s is a polarization, and j is an isomorphism V (A
(
) V
(
(A) sending [ to a
The Siegel modular variety 113
multiple of s. Recall (6.11) that there is a natural map M
K
Sh
K
(C) whose bres are
the isomorphism classes.
In this subsubsection we answer the question: which triples (A, s, jK) correspond to
points [x, a] with x special?
DEFINITION 14.9. A CM-algebra is a nite product of CM-elds. An abelian variety A
over C is CM if there exists a CM-algebra E and a homomorphism E End
0
(A) such
that H
1
(A, ) is a free E-module of rank 1.
Let E End
0
(A) be as in the denition, and let E be a product of CM-elds
E
1
, . . . , E
m
. Then A is isogenous to a product of abelian varieties A
1
A
m
with A
i
of CM-type (E
i
,
i
) for some
i
.
Recall that, for an abelian variety A over C, there is a homomorphism h
A
: C

GL(H
1
(A, 1)) describing the natural complex structure on H
1
(A, 1) (see ~6).
80
PROPOSITION 14.10. An abelian variety A over C is CM if and only if there exists a torus
T GL(H
1
(A, )) such that h
A
(C
) T(1).
PROOF. See Mumford 1969, ~2, or Deligne 1982, ~3.
COROLLARY 14.11. If (A, s, jK) . [x, a]
K
under M
K
Sh
K
(G, X), then A is of
CM-type if and only if x is special.
PROOF. Recall that if (A, s, jK) .[x, a]
K
, then there exists an isomorphismH
1
(A, )
V sending h
A
to h
x
. Thus, the statement follows from the proposition.
A criterion to be canonical
We now dene an action of Aut(C) on M
K
. Let (A, s, jK) c M
K
. Then s c H
2
(A, )
is a hodge tensor, and therefore equals r[D] for some r c
and divisor D on A (see 7.5).

We let
o
s = r[oD]. The condition that s be positive denite is equivalent to an algebro-
geometric condition on D (Mumford 1970, pp2930) which is preserved by o. Therefore,
o
s is a polarization for H
1
(A, ). We dene o(A, s, jK) to be (oA,
o
s,
o
jK) with
o
j
as in (55).
PROPOSITION 14.12. Suppose that Sh
K
has a model M
K
over for which the map
M
K
M
K
(C)
commutes with the actions of Aut(C). Then M
K
is canonical.
PROOF. For a special point [x, a]
K
corresponding to an abelian variety A with complex
multiplication by a eld E, the condition (54) is an immediate consequence of the main
theorem of complex multiplication (cf. 12.11). For more general special points, it also
follows from the main theorem of complex multiplication, but not quite so immediately.
80
If A(C) = C
g
,, then
H
1
(A, Z) = , H
1
(A, ) = , H
1
(A, 1) = 1
= C
g
.
Outline of the proof of the existence of a canonical model
Since the action of Aut(C) on M
K
preserves the isomorphism classes, from the map
M
K
Sh
K
(C), we get an action of Aut(C) on Sh
K
(C). If this action satises the
conditions of hypotheses of Corollary 14.6, then Sh
K
(G, X) has a model over , which
Proposition 14.12 will show to be canonical.
Condition (a) of (14.6). We know that Sh
K
(G, X) is quasi-projective from (3.12).
Condition (b) of (14.6). We have to show that the map
oP .o P: o Sh
K
(C)
(
Sh
K
(C)
is regular. It sufces to do this for K small, because if K
t
K, then Sh
K
0 (G, X) is a
quotient of Sh
K
(G, X).
Recall (5.17) that
0
(Sh
K
)

=
>0
A
(
,v(K). Let c c
>0
A
(
,v(K), and let Sh
t
K
be the corresponding connected component of Sh
K
. Then Sh
t
K
= I
t
X
where I
t
=
G() K
t
for some conjugate K
t
of K (see 5.17, 5.23)
Let (A, s, jK) c M
K
and choose an isomorphism a: H
1
(A, ) V sending s to a
multiple of [. Then the image of (A, s, jK) in
>0
A
(
,v(K) is represented by v(a j)
where a j: V (A
(
) V (A
(
) is to be regarded as an element of G(A
(
). Write M
t
K
for
the set of triples with v(a j) c c. Dene H
t
K
similarly.
The map M
K

>0
A
(
,v(K) is equivariant for the action of Aut(C) when we let
Aut(C) act on
>0
A
(
,v(K) through the cyclotomic character, i.e.,
o[] = [y(o)] where y(o) c

Z
, (
y(o)
= o(, ( a root of 1.
Write X
(I
t
) for I
t
X
regarded as an algebraic variety, and let o(X
(I
t
)) be the
algebraic variety obtained from X
(I
t
) by change of base eld o: C C. Consider the
diagram:
X
_
X
(I
ot
)
(
o(X
(I
t
))
M
ot
K
o
M
t
K
The map o sends (A, . . .) to o(A, . . .), and the map
o
is the map of sets oP . o P.
The two maps are compatible. The map U o(X
(I
t
)) is the universal covering space
of the complex manifold (o(X
(I
t
)))
an
.
Fix a lattice in V that is stable under the action of I
t
. From the action of I
t
on ,
we get a local system of Z-modules M on X
(I
t
) (see 14.7), which, in fact, is a polarized
integral variation of hodge structures F. According to Theorem 14.8, this variation of
hodge structures arises from a polarized family of abelian varieties : A X
(I
t
). As
is a regular map of algebraic varieties, we can apply o to it, and obtain a polarized family
of abelian varieties o : oA o(X
(I
t
)). Then (R
1
(o )
+
Z)
is a polarized integral
Simple PEL Shimura varieties of type A or C 115
hodge structure on o(X
(I
t
)). On pulling this back to U and tensoring with , we obtain
a variation of polarized rational hodge structures over the space U, whose underlying local
system can identied with the constant sheaf dened by V . When this identication is done
correctly, each u c U denes a complex structure on V that is positive for [, i.e., a point
x of X
, and the map u .x makes the diagram commute. Now (2.15) shows that u .x
is holomorphic. It follows that
o
is holomorphic, and Borels theorem (3.14) shows that it
is regular.
Condition (c) of (14.6) For any x c X, the set {[x, a]
K
[ a c G(A
(
)} has the property
that only the identity automorphism of Sh
K
(G, X) xes its elements (see 13.5). But, there
are only nitely many automorphisms of Sh
K
(G, X) (see 3.21), and so a nite sequence
of points [x, a
1
], . . . , [x, a
n
] will have this property. When we choose x to be special, the
main theorem of complex multiplication (11.2) tells us that o [x, a
i
] = [x, a
i
] for all o
xing some xed nite extension of E(x), and so condition (c) holds for these points.
Simple PEL Shimura varieties of type A or C
The proof is similar to the Siegel case. Here Sh
K
(G, X) classies quadruples (A, i, s, jK)
satisfying certain conditions. One checks that if o xes the reex eld E(G, X), then
o(A, i, s, jK) lies in the family again (see 12.7). Again the special points correspond to CM
abelian varieties, and the Shimura-Taniyama theoremshows that, if Sh
K
(G, X) has a model
M
K
over E(G, X) for which the action of Aut(C,E(G, X)) on M
K
(C) = Sh
K
(G, X)(C)
agrees with its action on the quadruples, then it is canonical.
Shimura varieties of hodge type
In this case, Sh
K
(G, X) classies isomorphism classes of triples (A, (s
i
)
0_i_n
, jK) where
the s
i
are hodge tensors. A proof similar to that in the Siegel case will apply once we have
dened
o
s for s a hodge tensor on an abelian variety.
If the Hodge conjecture is true, then s is the cohomology class of some algebraic cycle
Z on A (i.e., formal -linear combination of integral subvarieties of A). Then we could
dene
o
s to be the cohomology class of oZ on oA. Unfortunately, a proof of the Hodge
conjecture seems remote, even for abelian varieties. Deligne succeeded in dening
o
s
without the Hodge conjecture. It is important to note that there is no natural map between
H
n
(A, ) and H
n
(oA, ) (unless o is continuous, and hence is the identity or complex
conjugation). However, there is a natural isomorphism o: H
n
(A, A
(
) H
n
(oA, A
(
)
coming from the identication
H
n
(A, A
(
)
= Hom(
n
_
, A
(
)
= Hom(
n
_
(A
(
), A
(
)
= Hom(
n
_
V
(
A, A
(
)
(or, equivalently, from identifying H
n
(A, A
(
) with etale cohomology).
THEOREM 14.13. Let s be a hodge tensor on an abelian variety A over C, and let s
A
f
be
the image of s the A
(
-cohomology. For any automorphism o of C, there exists a hodge
tensor
o
s on oA (necessarily unique) such that (
o
s)
A
f
= o(s
A
f
).
PROOF. This is the main theorem of Deligne 1982. [Interestingly, the theory of locally
symmetric varieties is used in the proof.]
As an alternative to using Delignes theorem, one can apply the following result (note,
however, that the above approach has the advantage of giving a description of the points of
the canonical model with coordinates in any eld containing the reex eld).
PROPOSITION 14.14. Let (G, X) (G
t
, X
t
) be an inclusion of Shimura data; if Sh(G
t
, X
t
)
has canonical model, so also does Sh(G, X).
PROOF. This follows easily from 5.16.
Shimura varieties of abelian type
Deligne (1979, 2.7.10) denes the notion of a canonical model of a connected Shimura
variety Sh
(G, X). This is an inverse system of connected varieties over

al
endowed with
the action of a large group (a mixture of a galois group and an ad` elic group). A key result
is the following.
THEOREM 14.15. Let (G, X) be a Shimura datum and let X
be a connected component
of X. Then Sh(G, X) has a canonical model if and only if Sh
(G
der
, X
) has a canonical
model.
PROOF. See Deligne 1979, 2.7.13.
Thus, for example, if (G
1
, X
1
) and (G
2
, X
2
) are Shimura data such that (G
der
1
, X
1
) -
(G
der
2
, X
2
), and one of Sh (G
1
, X
1
) or Sh(G
2
, X
2
) has a canonical model, then they both
do.
The next result is more obvious (ibid. 2.7.11).
PROPOSITION 14.16. (a) Let (G
i
, X
i
) (1 _ i _ m) be connected Shimura data. If
each connected Shimura variety Sh
(G
i
, X
i
) has a canonical model M
(G
i
, X
i
), then
i
M
(G
i
, X
i
) is a canonical model for Sh
i
G
i
,
i
X
i
).
(b) Let (G
1
, X
1
) (G
2
, X
2
) be an isogeny of connected Shimura data. If Sh
(G
1
, X
1
)
has a canonical model, then so also does Sh
(G
2
, X
2
).
More precisely, in case (b) of the theorem, let G
ad
()
1
and G
ad
()
2
be the completions
of G
ad
()
for the topologies dened by the images of congruence subgroups in G

1
()
and G
2
()
respectively; then the canonical model for Sh
(G
2
, X
2
) is the quotient of the
canonical model for Sh
(G
2
, X
2
) by the kernel of G
ad
()
1
G
ad
()
2
.
We can now prove the existence of canonical models for all Shimura varieties of abelian
type. For a connected Shimura variety of primitive type, the existence follows from (14.15)
and the existence of canonical models for Shimura varieties of hodge type (see above).
Now (14.16) proves the existence for all connected Shimura varieties of abelian type, and
(14.16) proves the existence for all Shimura varieties of abelian type.
REMARK 14.17. The above proof is only an existence proof: it gives little information
about the canonical model. For the Shimura varieties it treats, Theorem 9.4 can be used to
construct canonical models and give a description of the points of the canonical model in
any eld containing the reex eld.
General Shimura varieties 117
General Shimura varieties
There is an approach that proves the existence of canonical models for all Shimura varieties,
and is largely independent of that discussed above except that it assumes the existence
81
of
canonical models for Shimura varieties of type A
1
(and it uses (14.15) and (14.16)).
The essential idea is the following. Let (G, X) be a connected Shimura datum with G
the group over obtained from a simple group H over a totally real eld F by restriction
of scalars.
Assume rst that H splits over a CM-eld of degree 2 over F. Then there exist many
homomorphisms H
i
H from groups of type A
1
into H. From this, we get many
inclusions
Sh
(G
i
, X
i
) Sh
(G, X)
where G
i
is the restriction of scalars of H
i
. From this, and the existence of canonical
models for the Sh
(G
i
, X
i
), it is possible to prove the existence of the canonical model for
Sh
(G, X).
In the general case, there will be a totally real eld F
t
containing F and such that H
F
0
splits over a CM-eld of degree 2 over F. Let G
+
be the restriction of scalars of H
F
0 . Then
there is an inclusion (G, X) (G
+
, X
+
) of connected Shimura data, and the existence of a
canonical model for Sh
(G
+
, X
+
) implies the existence of a canonical model for Sh
(G, X)
(cf. 14.14).
For the details, see Borovoi 1984, 1987 and Milne 1983.
Final remark: rigidity
One might expect that if one modied the condition (54), for example, by replacing r
x
(s)
with r
x
(s)
-1
, then one would arrive at a modied notion of canonical model, and the same
theorems would hold. This is not true: the condition (54) is the only one for which canon-
ical models can exist. In fact, if G is adjoint, then the Shimura variety Sh(G, X) has no
automorphisms commuting with the action of G(A
(
) (Milne 1983, 2.7), from which it fol-
lows that the canonical model is the only model of Sh(G, X) over E(G, X), and we know
that for the canonical model the reciprocity law at the special points is given by (54).
NOTES. The concept of a canonical model characterized by reciprocity laws at special
points is due to Shimura, and the existence of such models was proved for major families
by Shimura, Miyake, and Shih. Shimura recognized that to have a canonical model it is
necessary to have a reductive group, but for him the semisimple group was paramount:
in our language, given a connected Shimura datum (H, Y ), he asked for Shimura datum
(G, X) such that (G
der
, X
) = (H, Y ) and Sh(G, X) has a canonical model (see his talk at

the 1970 International Congress Shimura 1971). In his Bourbaki report on Shimuras work
(1971b), Deligne placed the emphasis on reductive groups, thereby enlarging the scope of
the eld.
81
In fact, the approach assumes a stronger statement for Shimura varieties of type A
1
, namely, Langlandss
conjugation conjecture, and it proves Langlandss conjecture for all Shimura varieties.
118 15 ABELIAN VARIETIES OVER FINITE FIELDS
15 Abelian varieties over nite elds
For each Shimura datum (G, X), we now have a canonical model Sh(G, X) of the Shimura
variety over its reex eld E(G, X). In order, for example, to understand the zeta function
of the Shimura variety or the galois representations occurring in its cohomology, we need
to understand the points on the canonical model when we reduce it modulo a prime of
E(G, X). After everything we have discussed, it would be natural to do this in terms
of abelian varieties (or motives) over the nite eld plus additional structure. However,
such a description will not be immediately useful what we want is something more
combinatorial, which can be plugged into the trace formula. The idea of Langlands and
Rapoport (1987) is to give an elementary denition of a category of fake abelian varieties
(better, abelian motives) over the algebraic closure of a nite eld that looks just like the
true category, and to describe the points in terms of it. In this section, I explain how to
dene such a category.
Semisimple categories
An object of an abelian category M is simple if it has no proper nonzero subobjects. Let
F be a eld. By an F-category, I mean an additive category in which the Hom-sets
Hom(x, y) are nite dimensional F-vector spaces and composition is F-bilinear. An F-
category M is said to be semisimple if it is abelian and every object is a direct sum (neces-
sarily nite) of simple objects.
If e is simple, then a nonzero morphisme e is an isomorphism. Therefore, End(e) is
a division algebra over F. Moreover, End(re)

= M
r
(End(e)). Here re denotes the direct
sum of r copies of e. If e
t
is a second simple object, then either e - e
t
or Hom(e, e
t
) = 0.
Therefore, if x =

r
i
e
i
(r
i
_ 0) and y =

s
i
e
i
(s
i
_ 0) are two objects of M expressed
as sums of copies of simple objects e
i
with e
i
,- e
j
for i ,= j, then
Hom(x, y) =
M
s
i
,r
i
(End(e
i
)).
Thus, the category M is described up to equivalence by:
(a) the set (M) of isomorphism classes of simple objects in M;
(b) for each o c , the isomorphism class [D
o
] of the endomorphism algebra D
o
of a
representative of o.
We call ((M), ([D
o
])
o=(M)
) the numerical invariants of M.
Division algebras; the Brauer group
We shall need to understand what the set of isomorphism classes of division algebras over
a eld F look like.
Recall the denitions: by an F-algebra, we mean a ring A containing F in its centre
and nite dimensional as F-vector space; if F equals the centre of A, then A is called a
central F-algebra; a division algebra is an algebra in which every nonzero element has an
inverse; an F-algebra A is simple if it contains no two-sided ideals other than 0 and A.
By a theorem of Wedderburn, the simple F-algebras are the matrix algebras over division
F-algebras.
Division algebras; the Brauer group 119
EXAMPLE 15.1. (a) If F is algebraically closed or nite, then
82
every central division
algebra is isomorphic to F.
(b) Every central division algebra over 1 is isomorphic either to 1 or to the (usual)
quaternion algebra:
H = C Cj, j
2
= 1, jzj
-1
= z (z c C).
(c) Let F be a p-adic eld (nite extension of
p
), and let be a prime element of
O
F
. Let L be an unramied extension eld of F of degree n, and let o denote the
Frobenius generator of Gal(L,F) o acts as x . x
p
on the residue eld. For
each i, 1 _ i _ n, dene
D
i,n
= LLa La
n-1
, a
n
=
i
, aza
-1
= o(z) (z c L).
Then D
i,n
is a central simple algebra over F, which is a division algebra if and only
if gcd(i, n) = 1. Every central division algebra over F is isomorphic to D
i,n
for
exactly one relatively prime pair (i, n) (CFT, IV 4.2).
If B and B
t
are central simple F-algebras, then so also is B
F
B
t
(CFT, 2.8). If D
and D
t
are central division algebras, then Wedderburns theorem shows that D
F
D
t
-
M
r
(D
tt
) for some r and some central division algebra D
tt
well-dened up to isomorphism,
and so we can set
[D][D
t
] = [D
tt
].
This law of composition is obviously, and [F] is an identity element. Let D
opp
denote the
opposite algebra to D (the same algebra but with the multiplication reversed: a
opp
b
opp
=
(ba)
opp
). Then (CFT, IV 2.9)
D
F
D
opp

= End
F-linear
(D) - M
r
(F),
and so [D][D
opp
] = [F]. Therefore, the isomorphism classes of central division algebras
over F (equivalently, the isomorphism classes of central simple algebras over F) form a
group, called the Brauer group of F.
EXAMPLE 15.2. (a) The Brauer group of an algebraically closed eld or a nite eld is
zero.
(b) The Brauer group 1 has order two: Br(1)
=
1
2
Z,Z.
(c) For a p-adic eld F, the map [D
n,i
] .
i
n
mod Z is an isomorphism Br(F)
= ,Z.
(d) For a number eld F and a prime :, write inv
for the canonical homomorphism

Br(F
) ,Z given by (a,b,c) (so inv
is an isomorphism except when : is real or

complex, in which case it has image
1
2
Z,Z or 0). For a central simple algebra B over
F, [B
F
F
] = 0 for almost all :, and the sequence

0 Br(F)
[B]|-[B
F
F
v
]
Br(F
inv
v
,Z 0.
is exact.
82
If F is algebraically closed, then each element of a central division algebra over F generates a eld of
nite degree over F, and so lies in F. For the proof in the nite case, see CFT, IV 4.1.
Statement (d) is shown in the course of proving the main theorem of class eld theory
by the cohomological approach (CFT, VIII 2.2). It says that to give a division algebra over
F (up to isomorphism) is the same as to give a family (i
) c

nite
,Z
real
1
2
Z,Z
such that
= 0.
The key tool in computing Brauer groups is an isomorphism
Br(F)
= H
2
(F, G
m
)
df
= H
2
(Gal(F
al
,F), F
al
)
df
= lim
H
2
(Gal(L,F), L
).
The last limit is over the elds L F
al
of nite degree and galois over . This isomor-
phism can be most elegantly dened as follows. Let D be a central simple division of
degree n
2
over F, and assume
83
that D contains a subeld L of degree n over F and galois
over F. Then each c D normalizing L denes an element x . x
-1
of Gal(L,F),
and the Noether-Skolem theorem (CFT, IV 2.10) shows that every element of Gal(L,F)
arises in this way. Because L is its own centralizer (ibid., 3.4), the sequence
1 L
N(L) Gal(L,F) 1
is exact. For each o c Gal(L,F), choose an s
o
c N(L) mapping to o, and let
s
o
s
r
= d
o,r
s
or
, d
o,r
c L
.
Then (d
o,r
) is a 2-cocycle whose cohomology class is independent of the choice of the
family (s
o
). Its class in H
2
(Gal(L,F), L
) H
2
(F, G
m
) is the cohomology class of
[D].
EXAMPLE 15.3. Let Lbe the completion of
un
p
(equal to the eld of fractions of the ring of
Witt vectors with coefcients in F), and let o be the automorphism of L inducing x .x
p
on its residue eld. An isocrystal is a nite dimensional L-vector space V equipped with
a o-linear isomorphism F: V V . The category Isoc of isocrystals is a semisimple
p
-
linear category with (Isoc) = , and the endomorphism algebra of a representative of
the isomorphism class z is a division algebra over
p
with invariant z. If z _ 0, z = r,s,
gcd(r, s) = 1, s > 0, then E
z
can be taken to be (
p
,(T
r
p
s
))
Q
p
L, and if z - 0, E
z
can be taken to be the dual of E
-z
. See Demazure 1972, Chap. IV.
Abelian varieties
Recall (p89) that AV
0
(k) is the category whose objects are the abelian varieties over k,
but whose homs are Hom
0
(A, B) = Hom(A, B) . It follows from results of Weil that
AV
0
(k) is a semisimple -category with the simple abelian varieties (see p89) as its simple
objects. Amazingly, when k is nite, we know its numerical invariants.
q
, q = p
n
Recall that a Weil q-integer is an algebraic integer such that, for every embedding ,: []
C, [,[ = q
1
2
. Two Weil q-integers and
t
are conjugate if there exists an isomorphism
[] [
t
] sending to
t
.
83
This will always be true when F is a p-adic or number eld, but is not true (or, at least, no known to be
true) for other elds. In the general case, it becomes true after D has been replaced by M
r
(D) for some r.
Abelian varieties 121
THEOREM 15.4 (HONDA-TATE). The map A .
A
denes a bijection from (AV(F
q
))
to the set of conjugacy classes of Weil q-integers. For any simple A, the centre of D =
df
End
0
(A) is F = [
A
], and for a prime : of F,
inv
(D) =
_
_
_
1
2
if : is real
ord
v
(
A
)
ord
v
(q)
[F
:
p
] if :[p
0 otherwise.
Moreover, 2 dimA = [D: F]
1
2
[F: ].
In fact, [] can only have a real prime if =
_
p
n
. Let W
1
(q) be the set of Weil
q-integers in
al
C. Then the theorem gives a bijection
(AV
0
(F
q
)) IW
1
(q), I = Gal(
al
,).
NOTES. Except for the statement that every
A
arises from an A, the theorem is due to
Tate. That every Weil q-integer arises from an abelian variety was proved (using 10.10) by
Honda. See Tate 1969 for a discussion of the theorem.
We shall need a similar result for an algebraic closure F of F
p
.
If is a Weil p
n
-integer, then
m
is a Weil p
mn
-integer, and so we have a homomor-
phism .
m
: W
1
(p
n
) W
1
(p
nm
). Dene
W
1
= lim
W
1
(p
n
).
If c W
1
is represented by
n
c W
1
(p
n
), then
m
n
c W
1
(p
nm
) also represents , and
[
n
] [
m
n
]. Dene {} to be the eld of smallest degree over generated by a
representative of .
Every abelian variety over F has a model dened over a nite eld, and if two abelian
varieties over a nite eld become isomorphic over F, then they are isomorphic already over
a nite eld. Let A be an abelian variety over F
q
. When we regard A as an abelian variety
over F
q
m, then the Frobenius map is raised to the m
th
-power (obviously):
A
F
q
m
=
m
A
.
Let A be an abelian variety dened over F, and let A
0
be a model of A over F
q
. The
above remarks show that s
A
(:) =
df
ord
v
(
A
0
)
ord
v
(q)
is independent of the choice of A
0
. More-
over, for any ,: [
A
0
]
al
, the I-orbit of the element
A
of W
1
represented by ,
A
0
depends only on A.
THEOREM 15.5. The map A . I
A
denes a bijection (AV
0
(F)) IW
1
. For any
simple A, the centre of D =
df
End
0
(A) is isomorphic to F = {
A
}, and for any prime :
of F,
inv
(D) =
_
_
_
1
2
if : is real
s
A
(:) [F
:
p
] if :[p
0 otherwise.
PROOF. This follows from the Honda-Tate theorem and the above discussion.
Our goal in the remainder of this section is to give an elementary construction of a
semisimple -category that contains, in a natural way, a category of fake abelian varieties
over F with the same numerical invariants as AV
0
(F).
For the remainder of this section F is a eld of characteristic zero.
Tori and their representations
Let T be a torus over F split by a galois extension L,F with galois group I. As we
noted on p19, to give a representation , of T on an F-vector space V amounts to giving
an X
+
(T)-grading V (L) =

y=X
(T)
V
y
of V (L) with the property that oV
y
= V
oy
for
all o c I and y c X
+
(T). In this, L,F can be an innite galois extension.
PROPOSITION 15.6. Let I = Gal(F
al
,F). The category of representations Rep(T) of T
on F-vector spaces is semisimple. The set of isomorphism classes of simple objects is in
natural one-to-one correspondence with the orbits of I acting on X
+
(T), i.e., (Rep(T)) =
IX
+
(T). If V
Iy
is a simple object corresponding to Iy, then dim(V
Iy
) is the order of
Iy, and
End(V
y
) - F(y)
where F(y) is the xed eld of the subgroup I(y) of I xing y.
PROOF. Follows easily from the preceding discussion.
REMARK 15.7. Let y c X
+
(T), and let I(y) and F(y) be as in the proposition. Then
Hom(F(y), F
al
)
= I, I(y), and so X
+
((G
m
)
F(y){F
) = Z
I{ I(y)
. The map
n
o
o .
n
o
oy: Z
I{ I(y)
X
+
(T)
denes a homorphism
T (G
m
)
F(y){F
. (58)
From this, we get a homomorphism of cohomology groups
H
2
(F, T) H
2
(F, (G
m
)
F(y){F
).
But Shapiros lemma (CFT, II 1.11) shows that H
2
(F, (G
m
)
F(y){F
)

= H
2
(F(y), G
m
),
which is the Brauer group of F(y). On composing these maps, we get a homomorphism
H
2
(F, T) Br(F(y)). (59)
The proposition gives a natural construction of a semisimple category M with (M) =
IN, where N is any nitely generated Z-module equipped with a continuous action of
I. However, the simple objects have commutative endomorphism algebras. To go further,
we need to look at new type of structure.
Afne extensions 123
Afne extensions
Let L,F be a Galois extension of elds with Galois group I, and let G be an algebraic
group over F. In the following, we consider only extensions
1 G(L) E I 1
in which the action of I on G(L) dened by the extension is the natural action, i.e.,
if e
o
.o, then e
o
ge
-1
o
= og (e
o
c E, o c I, g c T(F
al
)).
For example, there is always the split extension E
G
=
df
G(L) I.
An extension E is afne if its pull-back to some open subgroup of I is split. Equiva-
lently, if for the o in some open subgroup of I, there exist e
o
.o such that e
or
= e
o
e
r
.
We sometimes call such an E an L,F-afne extension with kernel G.
Consider an extension
1 T E I 1
with T commutative. If E is afne, then it is possible to choose the e
o
s so that the 2-
cocycle d: I I T(L) dened by
e
o
e
r
= d
o,r
e
o
e
r
, d
o,r
c T(F
al
).
is continuous. Thus, in this case E denes a class cl (E) c H
2
(F, T).
A homomorphism of afne extensions is a commutative diagram
1 G
1
(L) E
1
I 1
_
_
_
1 G
2
(L) E
2
I 1
such that the restriction of the homomorphism to G
1
(L) is dened by a homomorphism
of algebraic groups (over L). A morphism
t
of homomorphisms E
1
E
2
is an
element of g of G
2
(L) such that ad(g) =
t
, i.e., such that
g (e) g
-1
=
t
(e), all e c E
1
.
For a vector space V over F, let E
V
be the split afne extension dened by the algebraic
group GL(V ). A representation of an afne extension E is a homomorphism E E
V
.
REMARK 15.8. To give a representation of E
G
on E
V
is the same as to give a represen-
tation of G on V . More precisely, the functor Rep(G) Rep(E
G
) is an equivalence of
categories. The proof of this uses that H
1
(F, GL(V )) = 1.
PROPOSITION 15.9. Let E be an L,F-afne extension whose kernel is a torus T split
by L. The category Rep(E) is a semisimple F-category with (Rep(E)) = IX
+
(T).
Let V
Iy
be a simple representation of E corresponding to Iy c IX
+
(T). Then, D =
End(V
I
) has centre F(y), and its class in Br(F(y)) is the image of cl (E) under the
homomorphism (59).
PROOF. Omitted (but it is not difcult).
We shall also need to consider afne extensions in which the kernel is allowed to be a
protorus, i.e., the limit of an inverse system of tori. For T = lim
T
i
, X
+
(T) = lim
X
+
(T
i
),
and T . X
+
(T) denes an equivalence from the category of protori to the category of
free Z-modules with a continuous action of I. Here continuous means that every element
of the module is xed by an open subgroup of I. Let L = F
al
. By an afne extension
with kernel T , we mean an exact sequence
1 T(F
al
) E I 1
whose push-out
1 T
i
(F
al
) E
i
I 1
by T(F
al
) T
i
(F
al
) is an afne extension in the previous sense. A representation of such
an extension is dened exactly as before.
REMARK 15.10. Let
L

L
t
F
I
F
t
I
0
be a diagram of elds in which L
t
,F
t
is Galois with group I
t
. From an L,F-afne exten-
sion
1 G(L) E I 1
with kernel G we obtain an L
t
,F
t
-afne extension
1 G(L
t
) E
t
I
t
1
with kernel G
F
0 by pulling back by o . o[L: I
t
I and pushing out by G(L)
G(L
t
)).
EXAMPLE 15.11. Let
un
p
be a maximal unramied extension of
p
, and let L
n
be the
subeld of
un
p
of degree n over
p
. Let I
n
= Gal(L
n
,
p
), let D
1,n
be the division
algebra in (15.1c), and let
1 L
n
N(L
n
) I
n
1
be the corresponding extension. Here N(L
n
) is the normalizer of L
n
in D
1,n
:
N(L
n
) =
0_i_n-1
L
n
a
i
.
This is an L
n
,
p
-afne extension with kernel G
m
. On pulling back by I I
n
and
pushing out by L
n

un
p
, we obtain a
un
p
,
p
-afne extension D
n
with kernel G
m
.
From a representation of D
n
we obtain a vector space V over
un
p
equipped with a o-linear
map F (the image of (1, a) is (F, o)). On tensoring this with the completion L of
un
p
, we
obtain an isocrystal that can be expressed as a sum of E
z
s with z c
1
n
Z.
The afne extension P 125
Note that there is a canonical section to N(L
n
) I
n
, namely, o
i
.a
i
, which denes
a canonical section to D
n
I.
There is a homomorphism D
nm
D
n
whose restriction to the kernel is multiplication
by m. The inverse limit of this system is a
un
p
,
p
-afne extension D with kernel G =
df
lim
G
m
. Note that X
+
(G) = lim
1
n
Z,Z = . There is a natural functor from Rep(D) to
the category of isocrystals, which is faithful and essentially surjective on objects but not
full. We call D the Dieudonn e afne extension.
The afne extension P
Let W(p
n
) be the subgroup of
al
generated by W
1
(p
n
), and let W = lim
W(p
n
). Then
W is a free Z-module of innite rank with a continuous action of I = Gal(
al
,). For
c W, we dene {} to be the smallest eld generated by a representative of . If is
represented by
n
c W(p
n
) and [,(
n
)[ = (p
n
)
m{2
, we say that has weight m and we
write
s
(:) =
ord
(
n
)
ord
(q)
.
THEOREM 15.12. Let P be the protorus over with X
+
(P) = W. Then there exists an
afne extension
1 P(
al
) P I 1
such that
(a) (Rep(P)) = IW;
(b) for c W, let D() = End(V
I
) where V
I
is a representation corresponding to
I; then D() is isomorphic to the division algebra D with centre {} and the
invariants
inv
(D) =
_
_
_
(
1
2
)
ut()
if : is real
s
(:) [{}
:
p
] if :[p
0 otherwise.
Moreover, P is unique up to isomorphism.
PROOF. Let c() denote the class in Br({}) of the division algebra D in (b). To prove
the result, we have to show that there exists a unique class in H
2
(, P) mapping to c()
in Br({}) for all :
c .(c()): H
2
(, P)
(59)

I=I\W
Br({}).
This is an exercise in galois cohomology, which, happily, is easier than it looks.
We call a representation of P a fake motive over F, and a fake abelian variety if its
simple summands correspond to c IW
1
. Note that the category of fake abelian varieties
is a semisimple -category with the same numerical invariants as AV
0
(F).
The local form P
l
of P
Let l be a prime of , and choose a prime n
l
of
al
dividing l . Let
al
l
be the algebraic
closure of
l
in the completion of
al
at n
l
. Then I
l
=
df
Gal(
al
l
,
l
) is a closed subgroup
of I =
df
Gal(
al
,), and we have a diagram
al
al
l
l
.
I
l
(60)
From P we obtain a
al
l
,
l
-afne extension P(l ) by pulling back by I
l
I and pushing
out by P(
al
) P(
al
l
) (cf. 15.10).
The
I
-space attached to a fake motive
Let ,= p, obe a prime of .
PROPOSITION 15.13. There exists a continuous homomorphism (
I
making
I
I
`
[[
1
-
P(
al
I
)
-
P()
-
I
I
-
1
commute.
PROOF. To prove this, we have to show that the cohomology class of P in H
2
(, P) maps
to zero in H
2
(
I
, P), but this is not difcult.
Fix a homomorphism (
I
: I
I
P() as in the diagram. Let ,: P E
V
be a fake
motive. From ,, we get a homomorphism
,(): P() GL(V (
al
I
)) I
I
.
For o c I
I
, let (,() (
I
)(o) = (e
o
, o). Because (
I
is a homomorphism, the automor-
phisms e
o
of V (
al
I
) satisfy
e
o
oe
r
= e
or
, o, t c I
I
,
and so
o : = e
o
(o:)
is an action of I
I
on V (
al
I
), which one can check to be continuous. Therefore (AG, 14.13),
V
I
(,) =
df
V (
al
I
)
I
`
is a
I
-structure on V (
al
I
). In this way, we get a functor , . V
I
(,)
from the category of fake motives over F to vector spaces over
I
.
The (
I
can be chosen in such a way that the spaces V
I
(,) contain lattices
I
(,) that are
well-dened for almost all ,= p, which makes it possible to dene
V
p
(
(,) =
I,=p,o
(V
I
(,):
I
(,)).
It is a free module over A
p
(
=
df
I,=p,o
(
I
: Z
I
).
The afne extension P 127
The isocrystal of a fake motive
Choose a prime n
p
of
al
dividing p, and let
un
p
and
al
p
denote the subelds of the com-
pletion of
al
at n
p
. Then I
p
=
df
Gal(
al
p
,
p
) is a closed subgroup of I =
df
Gal(
al
,)
and I
un
p
=
df
Gal(
un
p
,
p
) is a quotient of I
p
.
PROPOSITION 15.14. (a) The afne extension P(p) arises by pull-back and push-out from
a
un
p
,
p
-afne extension P(p)
un
.
(b) There is a homomorphism of
un
p
,
p
-extensions D P(p)
un
whose restriction to
the kernels, G P
Q
p
, corresponds to the map on characters .s
(n
p
): W .
PROOF. (a) This follows from the fact that the image of the cohomology class of P in
H
2
(I
p
, P(
al
p
)) arises from a cohomology class in H
2
(I
un
p
, P(
un
p
)).
(b) This follows from the fact that the homomorphism H
2
(
p
, G) H
2
(
p
, P
Q
p
)
sends the cohomology class of D to that of P(p)
un
.
In summary:
1 G
m
(
un
p
) D I
un
p
1
_
_
_
_
1 P(
un
p
) P(p)
un
I
un
p
1
_
.
.
.
_
1 P(
al
p
) P(p) I
p
1
A fake motive ,: P E
V
gives rise to a representation of P(p), which arises from a
representation of P(p)
un
(cf. the argument in the preceding subsubsection). On composing
this with the homomorphism D P(p)
un
, we obtain a representation of D, which gives
rise to an isocrystal D(,) as in (15.11).
Abelian varieties of CM-type and fake abelian varieties
We saw in (10.5) that an abelian variety of CM-type over
al
denes an abelian variety
over F. Does it also dene a fake abelian variety? The answer is yes.
PROPOSITION 15.15. Let T be a torus over split by a CM-eld, and let j be a cochar-
acter of T such that j |j is dened over (here | is complex conjugation). Then there
is a homomorphism, well dened up to isomorphism,
: P E
T
.
PROOF. Omitted.
Let A be an abelian variety of CM-type (E, ) over
al
, and let T = (G
m
)
E{Q
. Then
denes a cocharacter j
of T (see 12.4(b)), which obviously satises the conditions of

the proposition. Hence we obtain a homomorphism : P E
T
. Let V = H
1
(A, ).
From and the representation , of T on V we obtain a fake abelian variety , such that
V
I
(, ) = H
1
(A,
I
) (obvious) and D(,) is isomorphic to the Dieudonn e module of the
reduction of A (restatement of the Shimura-Taniyama formula).
ASIDE 15.16. The category of fake abelian varieties has similar properties to AV
0
(F). By
using the
I
-spaces and the isocrystals attached to a fake abelian variety, it is possible to
dene a Z-linear category with properties similar to AV(F).
84
NOTES. The afne extension P is dened in Langlands and Rapoport 1987, ~~13, where
it is called die pseudomotivische Galoisgruppe. There an afne extension is called a
Galoisgerbe although, rather than a gerbe, it can more accurately be described as a concrete
realizations of a groupoid. See also Milne 1992. In the above, I have ignored uniqueness
questions, which can be difcult (see Milne 2003).
84
Abelian varieties over nite elds have applications to coding theory and cryptography. Perhaps false
abelian varieties, being more elementary, also have such applications.
129
16 The good reduction of Shimura varieties
We now write Sh
K
(G, X), or just Sh
K
, for the canonical model of the Shimura variety over
its reex eld.
The points of the Shimura variety with coordinates in the algebraic clo-
sure of the rational numbers
When we have a description of the points of the Shimura variety over C in terms of abelian
varieties or motives plus additional data, then the same description holds over
al
. For
example, for the Siegel modular variety attached to a symplectic space (V, [), Sh
K
(
al
)
classies the isomorphism classes of triples (A, s, jK) in which A is an abelian variety
dened over
al
, s is an element of NS(A) containing a
-multiple of an ample
divisor, and j is a K-orbit of isomorphisms V (A
(
) V
(
(A) sending [ to an A
(
-multiple
of the pairing dened by s. Here NS(A) is the N` eron-Severi group of A (divisor classes
modulo algebraic equivalence).
On the other hand, I do not know a description of Sh
K
(
al
) when, for example, G
ad
has
factors of type E
6
or E
7
or mixed type D. In these cases, the proof of the existence of a
canonical model is quite indirect.
The points of the Shimura variety with coordinates in the reex eld
Over E = E(G, X) the following additional problem arises. Let A be an abelian variety
over
al
. Suppose we know that oA is isomorphic to A for all o c Gal(
al
,E). Does this
imply that A is dened over E? Choose an isomorphism
o
: oA A for each o xing E.
A necessary condition that the
o
arise from a model over E is that they satisfy the cocycle
condition:
o
o
r
=
or
. Of course, if the cocycle condition fails for one choice of the
o
s, we can try another, but there is an obstruction to obtaining a cocycle which lies in the
cohomology set H
2
(Gal(
al
,E), Aut(A)).
Certainly, this obstruction would vanish if Aut(A) were trivial. One may hope that the
automorphism group of an abelian variety (or motive) plus data in the family classied by
Sh
K
(G, X) is trivial, at least when K is small. This is so when condition SV5 holds, but
not otherwise.
In the Siegel case, the centre of G is G
m
and so SV5 holds. Therefore, provided K is
sufciently small, for any eld Lcontaining E(G, X), Sh
K
(L) classies triples (A, s, jK)
satisfying the same conditions as when L =
al
. Here A an abelian variety over L,
s c NS(A) , and j is an isomorphism V (A
(
) V
(
(A) such that jK is stable under
the action of Gal(L
al
,L).
In the Hilbert case (4.14), the centre of G is (G
m
)
F{Q
for F a totally real eld and
SV5 fails: F
is not discrete in A
F,(
because every nonempty open subgroup of A
F,(
will contain innitely many units. In this case, one has a description of Sh
K
(L) when L is
algebraically closed, but otherwise all one can say is that Sh
K
(L) = Sh
K
(L
al
)
Gal(L
al
{L)
.
130 16 THE GOOD REDUCTION OF SHIMURA VARIETIES
Hyperspecial subgroups
The modular curve I
0
(N)H
1
is dened over , and it has good reduction at the primes
not dividing the level N and bad reduction at the others. Before explaining what is known
in general, we need to introduce the notion of a hyperspecial subgroup.
DEFINITION 16.1. Let G be a reductive group over (over
p
will do). A subgroup
K G(
p
) is hyperspecial if there exists a at group scheme G over Z
p
such that
G
Q
p
= G (i.e., G extends G to Z
p
);
G
F
p
is a connected reductive group (necessarily of the same dimension as G because
of atness);
G(Z
p
) = K.
EXAMPLE 16.2. Let G = GSp(V, [). Let be a lattice in V (
p
), and let K
p
be the
stabilizer of . Then K
p
is hyperspecial if the restriction of [ to takes values in
Z
p
and is perfect (i.e., induces an isomorphism
; equivalently, induces a nonde-

generate pairing ,p ,p F
p
). In this case, G
F
p
is again a group of symplectic
similitudes over F
p
(at least if p ,= 2).
EXAMPLE 16.3. In the PEL-case, in order for there to exist a hyperspecial group, the alge-
bra B must be unramied above p, i.e., B
Q
p
must be a product of matrix algebras over
unramied extensions of
p
. When this condition holds, the description of the hyperspecial
groups is similar to that in the Siegel case.
There exists a hyperspecial subgroup in G(
p
) if and only if G is unramied over
p
,
i.e., quasisplit over
p
and split over an unramied extension.
For the remainder of this section we x a hyperspecial subgroup K
p
G(
p
), and
we write Sh
p
(G, X) for the family of varieties Sh
K
p
K
p
(G, X) with K
p
running over the
compact open subgroups of G(A
p
(
). The group G(A
p
(
) acts on the family Sh
p
(G, X).
The good reduction of Shimura varieties
Roughly speaking, there are two reasons a Shimura variety may have bad reduction at a
prime dividing p: the reductive group itself may be ramied at p or p may divide the level.
For example, the Shimura curve dened by a quaternion algebra B over will have bad
reduction at a prime p dividing the discriminant of B, and (as we noted above) I
0
(N)H
1
has bad reduction at a prime dividing N. The existence of a hyperspecial subgroup K
p
forces G to be unramied at p, and by considering only the varieties Sh
K
p
K
p
(G, X) we
avoid the second problem.
THEOREM 16.4. Let Sh
p
(G, X) be the inverse system of varieties over E(G, X) dened
by a Shimura datum (G, X) of abelian type and a hyperspecial subgroup K
p
G(
p
).
Then, except possibly for some small set of primes p depending only on (G, X), Sh
p
(G, X)
has canonical good reduction at every prime p of E(G, X) dividing p, .
REMARK 16.5. Let E
p
be the completion of E at p, let

O
p
be the ring of integers in E
p
,
and let k(p) be the residue eld

O
p
,p.
Denition of the Langlands-Rapoport set 131
(a) By Sh
p
(G, X) having good reduction p, we mean that the inverse system
(Sh
K
p
K
p
(G, X))
K
p, K
p
G(A
p
(
) compact open, K
p
xed,
extends to an inverse system of at schemes S
p
= (S
K
p) over

O
p
whose reduction modulo
p is an inverse system of varieties (Sh
K
p
K
p
(G, X))
K
p over k(p) such that, for K
p
K
tp
sufciently small,
Sh
K
p
K
p
Sh
K
0p
K
p
is an etale map of smooth varieties. We require also that the action of G(A
p
(
) on Sh
p
extends to an action on S
p
.
(b) A variety over E
p
may not have good reduction to a smooth variety over k(p)
this can already be seen for elliptic curves and, when it does it will generally have good
reduction to many different smooth varieties, none of which is obviously the best. For
example, given one good reduction, one can obtain another by blowing up a point in its
closed bre. By Sh
p
(G, X) having canonical good reduction at p, I mean that, for any
formally smooth scheme T over

O
p
,
Hom

O
p
(T, lim
K
p
S
K
p)
= Hom
E
p
(T
E
p
, lim
K
p
Sh
K
p
K
p
). (61)
A smooth scheme is formally smooth, and an inverse limit of schemes etale over a smooth
scheme is formally smooth. As lim
S
K
p is formally smooth over

O
p
, (61) characterizes it
uniquely up to a unique isomorphism (by the Yoneda lemma).
(c) In the Siegel case, Theorem 16.4 was proved by Mumford (his Fields medal theo-
rem; Mumford 1965). In this case, the S
K
p and Sh
K
p
K
p
are moduli schemes. The PEL-case
can be considered folklore in that several authors have deduced it from the Siegel case and
published sketches of proof, the most convincing of which is in Kottwitz 1992. In this
case, S
p
(G, X) is the zariski closure of Sh
p
(G, X) in S
p
(G([), X([)) (cf. 5.16), and it is
a moduli scheme. The hodge case
85
was proved by Vasiu (1999) except for a small set of
primes. In this case, S
p
(G, X) is the normalization of the zariski closure of Sh
p
(G, X) in
S
p
(G([), X([)). The case of abelian type follows easily from the hodge case.
(d) That Sh
p
should have good reduction when K
p
is hyperspecial was conjectured in
Langlands 1976, p411. That there should be a canonical model characterized by a condition
like that in (b) was conjectured in Milne 1992, ~2.
Denition of the Langlands-Rapoport set
Let (G, X) be a Shimura datum for which SV4,5,6 hold, and let
Sh
p
(C) = Sh(C),K
p
= lim
K
p
Sh
K
p
K
p
(G, X)(C).
85
Over the reex eld, Shimura varieties of Hodge type are no more difcult than Shimura varieties of
PEL-type, but when one reduces modulo a prime they become much more difcult for two reasons: general
tensors are more difcult to work with than endomorphisms, and little is known about Hodge tensors in
characteristic p.
For x c X, let I(x) be the subgroup G() xing x, and let
S(x) = I(x)X
p
(x) X
p
(x), X
p
(x) = G(A
p
(
), X
p
(x) = G(
p
),K
p
.
One sees easily that there is a canonical bijection of sets with G(A
p
(
)-action
S(x) Sh
p
(C)
where the left hand side is the disjoint union over a set of representatives for G()X.
This decomposition has a modular interpretation. For example, in the case of a Shimura
variety of hodge type, the set S(x) classies the family of isomorphism classes of triples
(A, (s
i
), jK) with (A, (s
i
)) isomorphic to a xed pair.
Langlands and Rapoport (1987, 5e) conjecture that Sh
p
(F) has a similar description ex-
cept that now the left hand side runs over a set of isomorphism classes of homomorphisms
: P E
G
. Recall that an isomorphism from one to a second
t
is an element g of
G(
al
) such that
t
(p) = g (p) g
-1
, all p c P.
Such a should be thought of as a pre fake abelian motive with tensors. Specically,
if we x a faithful representation G GL(V ) and tensors t
i
for V such that G is the
subgroup of GL(V ) xing the t
i
, then each gives a representation P GL(V (
al
)) I
(i.e., a fake abelian motive) plus tensors.
Denition of the set S()
We now x a homomorphism : P E
G
and dene a set S() equipped with a right
action of G(A
p
(
) and a commuting Frobenius operator .
Denition of the group I(). The group I() is dened to be the group of automor-
phisms of ,
I() = {g c G(
al
) [ ad(g) = }.
Note that if ,: G GL(V ) is a faithful representation of G, then , is a fake motive
and I() Aut(, ) (here we have abbreviated , 1 to ,).
Denition of X
p
(). Let be a prime ,= p, o. We choose a prime n
I
of
al
dividing ,
and dene
al
I
and I
I
I as on p126.
Regard I
I
as an
al
I
,
I
-afne extension with trivial kernel, and write
I
for the homo-
morphism
o .(1, o): I
I
E
G
(), E
G
() = G(
al
I
) I
I
.
From we get a homomorphism (): P() E
G
(), and, on composing this with
the homomorphism (
I
: I
I
P() provided by (15.13), we get a second homomorphism
I
I
E
G
().
Dene
X
I
() = Isom(
I
, (
I
()).
Denition of the Langlands-Rapoport set 133
Clearly, Aut(
I
) = G(
I
) acts on X
I
() on the right, and I() acts on the left. If X
I
()
is nonempty, then the rst action makes X
I
() into a principal homogeneous space for
G(
I
).
Note that if ,: G GL(V ) is a faithful representation of G, then
X
I
() Isom(V (
I
), V
I
(, )). (62)
By choosing the (
I
judiciously (cf. p126), we obtain compact open subspaces of the
X
I
(), and we can dene X
p
() to be the restricted product of the X
I
(). If nonempty, it
is a principal homogeneous space for G(A
p
(
).
Denition of X
p
(). We choose a prime n
p
of
al
dividing p, and we use the notations
of p127. We let L denote the completion of
un
p
, and we let O
L
denote the ring of integers
in L(it is the ring of Witt vectors with coefcients in F). We let o Frobenius automorphism
of
un
p
or L that acts as x .x
p
on the residue eld.
From and (15.14), we have homomorphisms
D P(p)
un
(p)
un
G(
un
p
) I
un
p
.
For some n, the composite factors through D
n
. There is a canonical element in D
n
mapping
to o, and we let (b, o) denote its image in G(
un
p
) I
un
p
. The image b() of b in G(L)
is well-dened up to o-conjugacy, i.e., if b()
t
also arises in this way, then b()
t
= g
-1
b() og.
Note that if ,: G GL(V ) is a faithful representation of G, then D( ,) is V (L)
with F acting as : .b()o:.
Recall p102 that we have a well-dened G(
al
)-conjugacy class c(X) of cocharacters
of G
Q
al . We can transfer this to conjugacy class of cocharacters of G
Q
al
p
, which contains
an element j dened over
un
p
(see 12.3; G splits over
un
p
because we are assuming it
contains a hyperspecial group). Let
C
p
= G(O
L
) j(p) G(O
L
).
Here we are writing G(O
L
) for G(O
L
) with G as in the denition of hyperspecial.
Dene
X
p
() = {g c G(L),G(O
L
) [ g
-1
b() g c C
p
}.
There is a natural action of I() on this set.
Denition of the Frobenius element . For g c X
p
(), dene
(g) = b() ob() o
m-1
b() o
m
g
where m = [E
:
p
].
The set S(). Let
S() = I()X
p
() X
p
().
Since I() acts on both X
p
() and X
p
(), this makes sense. The group G(A
p
(
) acts on
S() through its action on X
p
() and acts through its action on X
p
().
The admissibility condition
The homomorphisms : P E
G
contributing to the Langlands-Rapoport set must satisfy
an admissibility condition at each prime plus one global condition.
The condition at o. Let E
o
be the extension
1 C
E
o
I
o
1, I
o
= Gal(C,1) = (|)
associated with the quaternion algebra H, and regard it as an afne extension with kernel
G
m
. Note that E
o
= C
. C
j and jzj
-1
= z.
From the diagram (60) with l = o, we obtain a C,1-afne extension
1 P(C) P(o) I
o
1.
LEMMA 16.6. There is a homomorphism (
o
: E
o
P(o) whose restriction to the ker-
nels, G
m
.P
C
, corresponds to the map on characters .nt ().
PROOF. This follows from the fact that the homomorphism H
2
(I
o
, G
m
) H
2
(I
o
, P
R
)
sends the cohomology class of E
o
to that of P(o).
LEMMA 16.7. For any x c X, the formulas
x
(z) = (n
X
(z), 1),
x
(j) = (j
x
(1)
-1
, |)
dene a homomorphism E
o
P(o). Replacing x with a different point, replaces the
homomorphism with an isomorphic homomorphism.
PROOF. Easy exercise.
Write
X
for the isomorphism class of homomorphisms dened in (16.7). Then the
admissibility condition at ois that (
o
(o) c
X
.
The condition at ,= p. The admissibility condition at ,= p is that the set X
I
() be
nonempty, i.e., that (
I
() be isomorphic to
I
.
The condition at p. The condition at p is that the set X
p
() be nonempty.
The global condition. Let v: G T be the quotient of G by its derived group. From X
we get a conjugacy class of cocharacters of G
C
, and hence a well dened cocharacter j of
T . Under our hypotheses on (G, X), j satises the conditions of (15.15), and so denes a
homomorphism
: P E
T
. The global condition is that v be isomorphic to
.
The Langlands-Rapoport set
The Langlands-Rapoport set
LR(G, X) =
_
S()
where the disjoint union is over a set of representatives for the isomorphism classes of
admissible homomorphism : P E
G
. There are commuting actions of G(A
p
(
) and of
the Frobenius operator on LR(G, X).
The conjecture of Langlands and Rapoport 135
The conjecture of Langlands and Rapoport
CONJECTURE 16.8 (LANGLANDS AND RAPOPORT 1987). Let (G, X) be a Shimura da-
tum satisfying SV4,5,6 and such that G
der
is simply connected, and let K
p
be a hyperspecial
subgroup of G(
p
). Let p be a prime of E(G, X) dividing p, and assume that Sh
p
has
canonical good reduction at p. Then there is a bijection of sets
LR(G, X) Sh
p
(G, X)(F) (63)
compatible with the actions G(A
p
(
) and the Frobenius elements.
REMARK 16.9. (a) The conditions SV5 and SV6 are not in the original conjecture I
included them to simplify the statement of the conjecture.
(b) There is also a conjecture in which one does not require SV4, but this requires that
P be replaced by a more complicated afne extension
86
Q.
(c) The conjecture as originally stated is denitely wrong without the assumption that
G
der
is simply connected. However, when one replaces the admissible homomorphisms
in the statement with another notion, that of special homomorphisms, one obtains a state-
ment that should be true for all Shimura varieties. In fact, it is known that the statement
with G
der
simply connected then implies the general statement (see Milne 1992, ~4, for the
details and a more precise statement).
(d) It is possible to state, and prove, a conjecture similar to (16.8) for zero-dimensional
Shimura varieties. The map (G, X) (T, Y ) (see p60) denes a map of the associated
Langlands-Rapoport sets, and we should add to the conjecture that
LR(G, X) Sh
p
(G, X)(F)
_
LR(T, Y ) Sh
p
(T, Y )(F)
commutes.
86
This is done in the original paper of Langlands and Rapoport, but their denition is of Q is wrong. For a
correct denition, see Pfau 1996.
136 17 A FORMULA FOR THE NUMBER OF POINTS
17 A formula for the number of points
A reader of the last two sections may be sceptical of the value of a description like (63),
even if proved. In this section we briey explain how it leads to a very explicit, and useful,
formula for the number of points on the reduction of a Shimura variety with values in a
nite eld.
Throughout, (G, X) is a Shimura datum satisfying SV4,5,6 and K
p
is a hyperspecial
subgroup of G(
p
). We assume that G
der
simply connected and that Sh
p
(G, X) has canon-
ical good reduction at a prime p[p of the reex eld E = E(G, X). Other notations are as
in the last section; for example, L
n
is the subeld of
un
p
of degree n over
p
and L is the
completion of
un
p
. We x a eld F
q
k(p) F
p
, q = p
n
.
Triples
We consider triples (;
0
; ;, ) where
;
0
is a semisimple element of G() that is contained in an elliptic torus of G
R
(i.e.,
a torus that is anisotropic modulo the centre of G
R
),
; = (;())
I,=p,o
is an element of G(A
p
(
) such that, for all , ;() becomes conjugate
to ;
0
in G(
al
I
),
is an element of G(L
n
) such that
N
df
= o . . . o
n-1
,
becomes conjugate to ;
0
in G(
al
p
).
Two triples (;
0
; ;, ) and (;
t
0
; ;
t
,
t
) are said to be equivalent, (;
0
; ;, ) (;
t
0
; ;
t
,
t
), if
;
0
is conjugate to ;
t
0
in G(), ;() is conjugate to ;
t
() in G(
I
) for each ,= p, o, and
is o-conjugate to
t
in G(L
n
).
Given such a triple (;
0
; ;, ), we set:
I
0
= G
;
0
, the centralizer of ;
0
in G; it is connected and reductive;
I
o
= the inner form of I
0R
such that I
o
,Z(G) is anisotropic;
I
I
= the centralizer of ;() in G
Q
`
;
I
p
= the inner form of G
Q
p
such that I
p
(
p
) = {x c G(L
n
) [ x
-1
ox = }.
We need to assume that the triple satises the following condition:
(*) there exists an inner form I of I
0
such that I
Q
`
is isomorphic to I
I
for
all (including p and o).
Because ;
0
and ;
I
are stably conjugate, there exists an isomorphism a
I
: I
0,Q
al
`
I
I,Q
al
`
,
well-dened up to an inner automorphism of I
0
over
al
I
. Choose a system (I, a, (j
I
))
consisting of a -group I, an inner twisting a: I
0
I (isomorphism over
al
), and iso-
morphisms j
I
: I
Q
`
I
I
over
I
for all , unramied for almost all , such that j
I
a and a
I
differ by an inner automorphism our assumption (*) guarantees the existence of such a
system. Moreover, any other such system is isomorphic to one of the form(I, a, (j
I
adh
I
))
where (h
I
) c I
ad
(A).
The triple attached to an admissible pair (, c) 137
Let dx denote the Haar measure on G(A
p
(
) giving measure 1 to K
p
. Choose a Haar
measure di
p
on I(A
p
(
) that gives rational measure to compact open subgroups of I(A
p
(
),
and use the isomorphisms j
I
to transport it to a measure on G(A
p
(
)
;
(the centralizer of
; in G(A
p
(
)). The resulting measure does not change if (j
I
) is modied by an element
of I
ad
(A). Write dx for the quotient of dx by di
p
. Let be an element of the Hecke
algebra H of locally constant K-bi-invariant -valued functions on G(A
(
), and assume
that =
p

p
where
p
is a function on G(A
p
(
) and
p
is the characteristic function of
K
p
in G(
p
) divided by the measure of K
p
. Dene
O
;
(
p
) =
_
G(A
p
f
)
\G(A
p
f
)
p
(x
-1
;x) dx
Let dy denote the Haar measure on G(L
n
) giving measure 1 to G(O
L
n
). Choose a
Haar measure di
p
on I(
p
) that gives rational measure to the compact open subgroups, and
use j
p
to transport the measure to I
p
(
p
). Again the resulting measure does not change
if j
p
is modied by an element of I
ad
(
p
). Write dy for the quotient of dy by di
p
.
Proceeding as on p133, we choose a cocharacter jin c(X) well-adapted to the hyperspecial
subgroup K
p
and dened over L
n
, and we let be the characteristic function of the coset
G(O
L
n
) j(p) G(O
L
n
). Dene
TO
() =
_
I(Q
p
)\G(L
n
)
(y
-1
o(y))dy
Since I,Z(G) is anisotropic over 1, and since we are assuming SV5, I() is a discrete
subgroup of I(A
p
(
), and we can dene the volume of I()I(A
(
). It is a rational number
because of our assumption on di
p
and di
p
. Finally, dene
I(;
0
; ;, ) = I(;
0
; ;, )(
p
, r) = vol(I()I(A
(
)) O
;
(
p
) TO
(
r
).
The integral I(;
0
; ;, ) is independent of the choices made, and
(;
0
; ;, ) (;
t
0
; ;
t
,
t
) == I(;
0
; ;, ) = I(;
t
0
; ;
t
,
t
).
The triple attached to an admissible pair (, c)
An admissible pair (, ;
0
) is an admissible homomorphism : P E
G
and a ; c I
()
such that ;
0
x =
r
x for some x c X
p
(). Here r = [k(p): F
p
]. An isomorphism
(, ;
0
) (
t
, ;
t
0
) of admissible pairs is an isomorphism
t
sending ; to ;
t
, i.e., it
is a g c G(
al
) such that
ad(g) =
t
, ad(g)(;) = ;
t
.
Let (T, x) (G, X) be a special pair. Because of our assumptions on (G, X), the
cocharacter j
x
of T satises the conditions of (15.15) and so denes a homomorphism
x
: P E
T
. Langlands and Rapoport (1987, 5.23) show that every admissible pair is
isomorphic to a pair (, ;) with =
x
and ; c T(). For such a pair (, ;), b() is
represented by a c G(L
n
) which is well-dened up to conjugacy.
Let ; be the image of ;
0
in G(A
p
(
). Then the triple (;
0
; ;, ) satises the conditions
in the last subsection. A triple arising in this way from an admissible pair will be called
effective.
138 17 A FORMULA FOR THE NUMBER OF POINTS
The formula
For a triple (;
0
. . .), the kernel of
H
1
(, I
0
) H
1
(, G)
l
H
1
(
l
, I
0
)
is nite we denote its order by c(;
0
).
THEOREM 17.1. Let (G, X) be a Shimura datum satisfying the hypotheses of (16.8). If that
conjecture is true, then
# Sh
p
(F
q
) =
(;
0
;;,)
c(;
0
) I(;
0
; ;, ) (64)
where the sum is over a set of representatives for the effective triples.
PROOF. See Milne 1992, 6.13.
NOTES. Early versions of (64) can be found in papers of Langlands, but the rst precise
general statement of such a formula is in Kottwitz 1990. There Kottwitz attaches a coho-
mological invariant (;
0
; ;, ) to a triple (;
0
; ;, ), and conjectures that the formula (64)
holds if the sum is taken over a set of representatives for the triples with = 1 (ibid. ~3).
Milne (1992, 7.9) proves that, among triples contributing to the sum, = 1 if and only if
the triple is effective, and so the conjecture of Langlands and Rapoport implies Kottwitzs
conjecture.
87
On the other hand, Kottwitz (1992) proves his conjecture for Shimura vari-
eties of simple PEL type A or C unconditionally (without however proving the conjecture
of Langlands and Rapoport for these varieties).
87
At least in the case that the weight is rational Kottwitz does not make this assumption.
139
18 Endnotes
Proof of Theorem 5.4 (footnote 39)
First Proof: A torus T over a eld k is said to be quasisplit if it is a product of tori
of the form Res
F{k
G
m
. For such a torus T , Shapiros lemma and Hilberts Theorem 90
imply that H
1
(k, T) = 0, and the weak approximation theorem in algebraic number theory
implies that real approximation holds.
Let T be a torus over , and let F be a nite galois extension of k splitting T with
galois group I. From an x c X
+
(T) xed by ^ I, we get a homomorphismZ[I,^]
X
+
(T), [;] .;x. On applying this observation to enough xs, we get an exact sequence
0 M
2
M
1
X
+
(T) 0 (*)
of I-modules with M
1
a nite direct sum of modules of the form Z[I,^] (varying ^) and
M
Z
1
X
+
(T)
Z
surjective for all subgroups ^ of I. It follows from the cohomology
sequence of (*) that H
1
(^, M
2
) = 0 for all subgroups ^ of I. The sequence (*) is the
cocharacter sequence of an exact sequence of tori
0 T
2
T
1
T 0 (**)
with T
1
quasisplit. The cohomology sequence of (**) is an exact sequence
T
1
(1) T(1) H
1
(C,1, T
2
).
But
H
1
(C,1, T
2
)
= H
-1
Tate
((|), M
2
)
= H
1
((|), M
2
) = 0
where | denotes complex conjugation (the rst isomorphism is Tate-Nakayama, and the
second is the periodicity of the cohomology of cyclic groups). Therefore, T
1
(1) maps onto
T(1), and so the real approximation theorem for T follows from that for T
1
.
Let S be a group of multiplicative type over (i.e., S is commutative and S
is a
torus). Then X
+
(S) is a quotient of a direct sum of modules of the form Z[I,^] (as in the
preceding paragraph), and correspondingly there is an exact sequence
0 S T
1
T
2
0
with T
1
quasisplit. From the diagram
T
1
() T
2
() H
1
(, S) 0
_dense
_
T
1
(1)
onto T
2
(R)
C
T
2
(1) H
1
(1, S) 0
we see that H
1
(, S) H
1
(1, S) is surjective.
Finally, let G be a reductive group with centre Z. Choose a surjection T Z
with
T a quasisplit torus (cf. (**) above). As G = G
der
Z
(almost direct product), there is an

exact sequence
1 S G
t
T G 1
140 18 ENDNOTES
with G
t
the simply connected covering group of G
der
and S a group of multiplicative type.
The real approximation theorem holds for G
t
because it is unirational (Borel 1991,18.2)
and G
t
(1) is connected. From the diagram
G
t
() T() G() H
1
(, S) H
1
(, G
t
)
_dense
_
onto
_
injective
G
t
(1) T(1)
onto G(R)
C
G(1) H
1
(1, S) H
1
(1, G
t
)
we see that the real approximation theorem holds for G (the injectivity of the arrow at right
is the Hasse principle for G
t
, Platonov and Rapinchuk 1994, Theorem 6.6, p286).
Second Proof (from a letter of G. Prasad, Sept 1, 1987). To prove that G() is
dense in G(1), what you need is a result of H. Matsumoto, which is reproved in Borel-
Tits Groupes r eductifs, Publ. Math. IHES no 27, as Th eor` eme 14.4, according to which
given a maximal 1-split torus S of G, S(1) meets every connected component of G(1).
Now we observe that there is a maximal torus T dened over which contains a maximal
1-split torus of G: To prove this, we will make use of the fact that the closure of G()
contains G(1)
. Take a maximal torus T dened over 1 and containing a maximal 1-split

torus of G. In T (1)
, let U be the set of regular elements. U is open in T (1). Now let

U =
_
g=G(R)
gUg
-1
; then U is an open subset of G(1)
(to see this, consider the map

G(1) U G(1) dened by (g, x) . gxg
-1
; it is everywhere regular). Hence, there
exists t c U G(). As t is regular, the identity component of the centralizer of t in G
is a torus dened over , and as t has a conjugate in U, it is obvious that T contains a
conjugate of the maximal 1-split in T . This proves that there is a maximal torus dened
over which contains a maximal 1-split torus of G.
Proof of the claim in 5.23
PROPOSITION: Let (G, X) be a Shimura datum with G
der
simply connected, and as-
sume that Z
t
=
df
Z G
der
satises the Hasse principle for H
1
, i.e., H
1
(, Z
t
)
l=2,3,...,o
H
1
(
l
, Z
t
) is injective. Then, for any sufciently small compact open sub-
group K of G(A
(
),
G()
K Z() G
der
().
PROOF. (Cf. the proof of 5.20.) Consider the diagram:
1 Z
t
() Z() G
der
() G() H
1
(, Z
t
)
_
_
_
_
_
_
_
1 Z
t
() G
der
() G
ad
() H
1
(, Z
t
).
Let q c G()
. By denition, the image of q in G

ad
(1) lies in its identity compo-
nent, and so lifts to an element of G
der
(1). Therefore, the image of q in H
1
(1, Z
t
) is
zero. The isogeny Z G
der
G extends to a homomorphism over Spec(Z), which
will be an etale isogeny over Spec Z[d
-1
] for some d. For any not dividing d, the
map Z(Z
I
) G
der
(Z
I
) G(Z
I
) is surjective, and so, if q c G(Z
I
), then it maps to
Proof of the claim in 5.23 141
zero in H
1
(
I
, Z
t
). For the remaining , the map Z(Z
I
) G
der
(Z
I
) G(Z
I
) will
have open image K
I
. Therefore, if q c

Id
G(Z
I
)
I[d
K
I
, then it maps to zero in
l nite
H
1
(
l
, Z
t
). Because of the Hasse principle, this implies that g maps to zero in
H
1
(, Z
t
), and therefore lies in Z() G
der
().
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Index of denitions
(highest) root, 21
-algebra, 118
-algebra , 35, 76
-algebra), 76
-category, 118
-integer , 94
-module, 77
-modules on , 111
-polarization , 18
-structure, 101
-tensor, 23
-tensor eld, 8
, 810, 26, 120
dual) eld , 102
eld, 90
the Shimura datum , 56
abelian , 84
abelian motive, 84
abelian type, 85
abelian type , 85
abelian variety , 69
adapted to , 25
adjoint , 12
admissible pair , 137
afne , 35, 123
afne extension with kernel , 124
afne variety , 35
almost-complex structure, 10
analytic , 9
anisotropic , 62
arithmetic, 34
arithmetic , 33
arithmetic locally symmetric variety, 39
arithmetic variety, 39
Artin map, 97
at, 92
attached to, 56
Baily-Borel., 40
Brauer group , 119
canonical, 104, 105
canonical tensor, 16
Cartan , 17
central , 118
characteristic polynomial of , 89
chart, 8
CM, 113
CM , 90
CM pairs, 103
CM points, 103
CM-algebra , 113
CM-type, 92
CM-type , 90
commensurable, 33
compact type, 40
complex, 36
complex manifold, 9
complex multiplication, 90
complex structure, 9
complex torus, 69
congruence kernel, 42
congruence subgroup of , 42
conjugate , 120
connected Shimura datum , 44, 50
connected Shimura variety , 46
continuous, 29
continuous , 110
contragredient, 23
descent data, 110
Dieudonn e afne extension, 125
division algebra , 118
domain, 13
dual , 23
effective., 137
equivalent, 136
fake abelian variety, 125
fake motive, 125
family of abelian varieties over , 112
nite covolume , 33
xing the , 23
Frobenius map of , 93
geodesic symmetry at , 11
147
148 INDEX OF DEFINITIONS
good reduction at , 92
hermitian form, 9
hermitian form , 79
hermitian manifold , 10
hermitian metric , 10
hermitian symmetric domains., 12
hermitian symmetric space, 11
Hilbert , 87
Hilbert modular varieties, 47
Hilbert-Blumenthal, 87
hodge decomposition , 25
hodge ltration, 26
hodge structure, 25
hodge structure , 25
hodge tensor , 28
hodge tensor for, 74
hodge type, 73
hodge type , 73
holomorphic , 10, 29
homogeneous, 10
homomorphism , 123
hyperspecial , 130
idempotent , 84
integrable, 10
integral , 25
involution , 76
irreducible , 12
isocrystal , 120
isogenous , 89
isogeny, 89
isometry, 9
isomorphism, 68
isomorphism , 137
kernel , 123
lagrangians, 66
local system of , 111
locally symmetric at , 11
locally symmetric variety, 39
manifold, 8
minimal, 40
minuscule , 21
model , 101, 105
morphism , 123
morphism of prevarieties over , 35
morphism of Shimura data, 56
morphism of Shimura varieties , 56
neat , 34
negative, 67
noncompact type , 40
numerical invariants , 118
occurs, 19
of degree , 12
of dimension, 8
of hodge structures on , 29
PEL modular variety attached to, 83
polarizable , 70
polarization, 112
polarization , 28
positive, 79
positive , 67
positive denite , 79
prevariety , 35
primitive, 85
projective, 37
quasisplit , 139
rational, 25
real Lie group, 9
reciprocity , 97
reduced dimension, 79
reex (, 102
reex eld , 98
reex norm, 99
regular, 110
regular functions , 36
regular map, 36
representation , 123
riemann form , 70
riemann surface , 9
riemannian manifold , 8
riemannian metric, 8
ring of nite ad` eles , 42
Satake-Baily-Borel, 40
INDEX OF DEFINITIONS 149
sectional curvature, 12
self-dual , 23
semisimple , 76, 118
separated , 35
Shimura datum , 53
Shimura variety , 56
Siegel modular variety attached to , 68
Siegel upper half space , 12
simple , 76, 90, 118
simple PEL data of type A or C, 81
smooth, 8
smooth , 8
smooth functions , 8
smooth manifold, 8
smooth structure, 8
smooth vector eld, 8
space, 36
special , 21, 31, 103
special pair , 103
specialization, 92
split extension, 123
standard, 40
subgroup of , 23
symmetric, 13
symmetric , 10
symmetric space, 11
symmetry at , 10
symplectic , 77
symplectic basis , 65
symplectic similitudes , 66
symplectic space , 65
tangent space, 8
tangent vector, 9
tensor product of hodge structures , 28
the reduction of, 92
the weight is rational)., 60
totally imaginary, 90
totally isotropic , 65
trace map, 76
type , 25
unramied , 130
variation, 29
variation of integral hodge structures on , 112
variety over , 35
weight decomposition , 25
weight homomorphism, 54
Weil , 94
Weil operator, 27
zero-dimensional Shimura variety., 60

Milne - Introduction To Shimura Varieties

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Introduction to Shimura Varieties

. For a k-vector space V and a k-algebra R, V (R) denotes

and the maps

of compact type. The euclidean spaces are quotients of a complex space C

xing p is compact, and

. For any two cosets the open sets

acts transitively. Now Is(M, g)

acts transitively on M, and Hol(M)

= H. However, if H has a faithful nite-dimensional representation

= H (inside GL(V )). This observation applies

, because the adjoint

= G(1) Hol(M) (inside GL(h));

is the stablizer in G(1) of M.

= Z, and complex conjugation acts on X

(see 1.9, 1.7) is algebraic.

has a natural structure of

and u(1) is the symmetry

-conjugates of u. The centralizer K

is contained in {g c G(C) [ g = u(1) g u(1)

of , is the representation of G on the

(g) )(:) = (,(g

regarded as a torus over 1. It can be identied with the closed subgroup of

with complex conjuga-

GL(V ) is a hodge structure of

be a connected component of S(d, T).

has a unique complex structure for which (h

is a hermitian symmetric domain if (h

. Because the hodge ltration determines the

. For any g c G(1)

, and it can be shown that the map

acquires the structure of a smooth manifold from

, we see that identies

with an almost-complex submanifold G

with a complex structure for which is holo-

containing this hodge

, then will be holomorphic.

. If I is torsion free, then I acts freely on D, and there is a unique

. According to (1.5, 1.6), the stabilizer

has nite volume if and only if

. Commensurability is an equivalence relation.

. Thus, if I is to have nite covolume, there can be no nonzero homomor-

would contain a nilpotent element). Therefore, IG(1) (hence

(which implies that does

maps onto I under a surjective homomorphism G(1)

H with compact kernel.

maps onto IH and we can apply (3.3a). Let I

-conjugacy class D of homomorphisms u: U

. Thus a pair (G, u) satisfying SU1,2,3 determines

on D dened by a surjective homomorphismG(1)

with compact kernel.

acts via a surjective homomorphism G(1)

) satisfy the conditions in the proposition.

-conjugacy class of homomorphisms U

satisfying SU1,2 (see 1.21). Now

-conjugacy class of homomorphisms U

h, each of which is both open and closed in X. In particular, D is a connected

acts on D through its quotient H

acting on it as in (4.8). Because G

has compact kernel,

will be arithmetic (this

(G, D) is the inverse system of lo-

whose inverse image in G()