# Modular representations arising from self-dual ℓ-adic representations of finite groups

Silverberg would like to thank NSA, NSF, and the Science Scholars Fellowship Program at the Bunting Institute for financial support. Zarhin would like to thank NSF for financial support.   

Let $`G`$ be a finite subgroup of a symplectic group $`\mathrm{Sp}_{2d}(𝐐_{\mathrm{}})`$. Despite the fact () that $`G`$ can fail to be conjugate in $`\mathrm{GL}_{2d}(𝐐_{\mathrm{}})`$ to a subgroup of $`\mathrm{Sp}_{2d}(𝐙_{\mathrm{}})`$, we prove that it can nevertheless be embedded in $`\mathrm{Sp}_{2d}(𝐅_{\mathrm{}})`$ in such a way that the characteristic polynomials are preserved (mod $`\mathrm{}`$), as long as $`\mathrm{}>3`$.

We start with the following “rigidity” result, which is in the spirit of similar results by Minkowski and Serre.

###### Proposition 1.

Suppose $`\mathrm{}`$ is a prime number, and $`K`$ is a discrete valuation field of characteristic zero and residue characteristic $`\mathrm{}`$. Let $`𝒪`$ denote the valuation ring and $`\lambda `$ the maximal ideal. Let $`e`$ denote the ramification index of $`K`$ (i.e., $`\mathrm{}𝒪=\lambda ^e`$), and suppose $`2e<\mathrm{}1`$. Suppose $`S`$ is a free $`𝒪`$-module of finite rank, $`A`$ is an automorphism of $`S`$ of finite order, and $`(A1)^2\lambda \mathrm{End}(S)`$. Then $`A=1`$.

###### Proof.

This follows directly from Theorem 6.2 of  with $`n=\mathrm{}`$ and $`k=2e`$. ∎

Note that the hypothesis $`2e<\mathrm{}1`$ is satisfied if $`e=1`$ and $`\mathrm{}5`$. Next we state our main theorem.

###### Theorem 2.

Suppose $`\mathrm{}`$ is a prime number, and $`K`$ is a discrete valuation field of characteristic zero and residue characteristic $`\mathrm{}`$. Let $`𝒪`$ denote the valuation ring, let $`\lambda `$ denote its maximal ideal, and let $`k`$ denote the residue field $`𝒪/\lambda `$. Let $`e`$ denote the ramification index of $`K`$, and suppose $`2e<\mathrm{}1`$. Suppose $`V`$ is a $`K`$-vector space of finite dimension $`N`$, suppose $`f:V\times VK`$ is a nondegenerate alternating (respectively, symmetric) $`K`$-bilinear form, suppose $`G`$ is a finite group, and suppose

$$\rho :G\mathrm{Aut}_K(V,f)$$

is a faithful representation of $`G`$ on $`V`$ that preserves the form $`f`$. Then there exist a nondegenerate alternating (respectively, symmetric) $`k`$-valued $`k`$-bilinear form $`f_0`$ on $`k^N`$, and a faithful representation

$$\overline{\rho }:G\mathrm{Aut}_k(k^N,f_0),$$

such that for every $`gG`$, the characteristic polynomial of $`\overline{\rho }(g)`$ is the reduction modulo $`\lambda `$ of the characteristic polynomial of $`\rho (g)`$.

###### Proof.

If $`S`$ is a $`G`$-stable $`𝒪`$-lattice in $`V`$, let

$$S^{}=\{xV:f(x,S)𝒪\}.$$

Fix a $`G`$-stable $`𝒪`$-lattice $`S`$ in $`V`$. Let $`\pi `$ denote a uniformizer for $`𝒪`$. Multiplying $`f`$ by an integral power of $`\pi `$ if necessary, we may assume that $`f(S,S)=𝒪`$. Then $`SS^{}`$. Let $`S_0=S`$ and let

$$S_{i+1}=S_i+(\pi ^1S_i\pi S_i^{})\text{ for }i0.$$

Then $`S_i`$ is a $`G`$-stable $`𝒪`$-lattice in $`V`$, $`f(S_i,S_i)=𝒪`$, and $`S_iS_{i+1}S_{i+1}^{}S_i^{}`$. Note that $`S_{i+1}=S_i`$ if and only if $`\pi S_i^{}S_i`$. We have

$$S=S_0S_1S_2\mathrm{}S^{}.$$

Since $`S^{}/S`$ is finite, we have $`S_j=S_{j+1}`$ for some $`j`$. Let $`T=S_j`$. Then $`T`$ is a $`G`$-stable $`𝒪`$-lattice in $`V`$ such that $`f(T,T)=𝒪`$ and $`\lambda T^{}=\pi T^{}T`$.

Let $`\overline{f}:T/\lambda T\times T/\lambda Tk`$ be the reduction of $`f`$ modulo $`\lambda `$. Then $`\mathrm{ker}(\overline{f})=\lambda T^{}/\lambda TT^{}/T`$. Clearly, $`\overline{f}`$ is nondegenerate on $`(T/\lambda T)/\mathrm{ker}(\overline{f})T/\lambda T^{}`$. On $`T^{}\times T^{}`$, the form $`\pi f`$ is $`𝒪`$-valued. Let $`\stackrel{~}{f}`$ denote the reduction modulo $`\lambda `$ of the restriction of $`\pi f`$ to $`T^{}\times T^{}`$. Since $`(T^{})^{}=T`$, we have $`\mathrm{ker}(\stackrel{~}{f})=T/\lambda T^{}`$. Therefore, $`\stackrel{~}{f}`$ is nondegenerate on $`(T^{}/\lambda T^{})/(T/\lambda T^{})T^{}/T\mathrm{ker}(\overline{f})`$. We thus obtain a homomorphism

$$\psi :G\mathrm{Aut}_k((T/\lambda T)/\mathrm{ker}(\overline{f}),\overline{f})\times \mathrm{Aut}_k(\mathrm{ker}(\overline{f}),\stackrel{~}{f})$$

$$\mathrm{Aut}_k(T/\lambda T^{},\overline{f})\times \mathrm{Aut}_k(T^{}/T,\stackrel{~}{f})\mathrm{Aut}_k(T^{}/\lambda T^{},\overline{f}\times \stackrel{~}{f})\mathrm{Aut}_k(k^N,f_0)$$

for an appropriate pairing $`f_0`$. All the elements $`\sigma \mathrm{ker}(\psi )`$ act as the identity on $`T/\lambda T^{}`$ and on $`T^{}/T`$, and thus $`(\sigma 1)^2T^{}\lambda T^{}`$. Proposition 1 implies $`\psi `$ is injective. Let $`\overline{\rho }=\psi `$. ∎

###### Remark 3.

If one is concerned only with preserving the characteristic polynomials, and does not insist that $`\overline{\rho }`$ be an embedding, then in the symplectic case the above result can instead be achieved with the aid of Proposition 8 of , rather than Proposition 1 above.

###### Theorem 4.

Suppose $`\mathrm{}`$ is a prime number, and $`L`$ is a discrete valuation field of characteristic zero and residue characteristic $`\mathrm{}`$. Suppose $`K`$ is a quadratic extension of $`L`$, let $`𝒪`$ denote its valuation ring, let $`\lambda `$ denote the maximal ideal, and let $`k=𝒪/\lambda `$. Let $`e`$ denote the ramification index of $`K`$, and suppose $`2e<\mathrm{}1`$. Suppose $`V`$ is a $`K`$-vector space of finite dimension $`N`$, suppose $`f:V\times VK`$ is a nondegenerate pairing which is hermitian (respectively, skew-hermitian) with respect to the extension $`K/L`$, suppose $`G`$ is a finite group, and suppose $`\rho :G\mathrm{Aut}_K(V,f)`$ is a faithful representation. Suppose $`K/L`$ is unramified and thus $`k`$ is a quadratic extension of the residue field $`k_L`$ of $`L`$. Then there exist a nondegenerate $`k`$-valued pairing $`f_0`$ on $`k^N`$ which is hermitian (respectively, skew-hermitian) with respect to the extension $`k/k_L`$, and a faithful representation $`\overline{\rho }:G\mathrm{Aut}_k(k^N,f_0)`$, such that for every $`gG`$, the characteristic polynomial of $`\overline{\rho }(g)`$ is the reduction modulo $`\lambda `$ of the characteristic polynomial of $`\rho (g)`$.

###### Proof.

Let $`\pi `$ denote a uniformizer for $`L`$. Then $`\pi `$ is also a uniformizer for $`K`$, and the proof is a repetition of the proof of Theorem 2. The reductions $`\overline{f}`$ and $`\stackrel{~}{f}`$ are now hermitian (respectively, skew-hermitian). ∎

###### Remark 5.

In the setting of Theorem 4, suppose now that $`K/L`$ is ramified. Then $`k_L=k`$, and one can write $`K=L(\sqrt{D})`$ where $`D`$ is a uniformizer for $`L`$ and $`\pi =\sqrt{D}`$ is a uniformizer for $`K`$. Let $`S`$ be a $`G`$-stable $`𝒪`$-lattice in $`V`$. Then $`\pi ^rf(S,S)=𝒪`$ for some integer $`r`$. If $`r`$ is even then $`\pi ^rf`$ is hermitian (respectively, skew-hermitian) and its reduction is symmetric (respectively, alternating). Further, $`\pi ^{r+1}f`$ is skew-hermitian (respectively, hermitian) and its reduction is alternating (respectively, symmetric). If $`r`$ is odd, then $`\pi ^rf`$ is skew-hermitian (respectively, hermitian) and its reduction is alternating (respectively, symmetric). Further, $`\pi ^{r+1}f`$ is hermitian (respectively, skew-hermitian) and its reduction is symmetric (respectively, alternating). In all cases one can proceed as in Theorem 2 and obtain an embedding of $`G`$ into a product of an orthogonal group $`\mathrm{O}_s(k)`$ and a symplectic group $`\mathrm{Sp}_{ns}(k)`$, which “respects” the characteristic polynomials.

###### Lemma 6.

Suppose $`F`$ is a field of characteristic not equal to $`2`$ and $`f:F^2\times F^2F`$ is a nondegenerate symmetric pairing. Let $`g=\left(\begin{array}{cc}1& 1\\ 0& 1\end{array}\right)\mathrm{SL}_2(F)`$. Then $`f`$ is not $`g`$-invariant.

###### Proof.

Let $`\{u,v\}`$ denote the standard basis of $`F^2`$ over $`F`$. Suppose $`f`$ is $`g`$-invariant. Then $`f(u,v)=f(gu,gv)=f(u,u+v)`$, i.e., $`f(u,u)=0`$. Also, $`f(v,v)=f(gv,gv)=f(u+v,u+v)=f(v,v)+2f(u,v)`$, since $`f`$ is symmetric. Since $`\mathrm{char}(F)2`$, we have $`f(u,v)=0`$. Therefore $`f(u,w)=0`$ for every $`wF^2`$, contradicting the nondegeneracy of $`f`$. ∎

Let $`Q_8`$ denote the quaternion group of order $`8`$. Let $`\zeta _{\mathrm{}}`$ denote a primitive $`\mathrm{}`$-th root of unity. The next two results show that the condition $`2e<\mathrm{}1`$ in Theorem 2 is sharp, in both the symmetric and alternating cases.

###### Proposition 7.

Let $`\mathrm{}`$ be an odd prime number, let $`K=𝐐_{\mathrm{}}(\zeta _{\mathrm{}}+\zeta _{\mathrm{}}^1)`$, let $`V`$ be $`𝐐_{\mathrm{}}(\zeta _{\mathrm{}})`$ viewed as a $`2`$-dimensional $`K`$-vector space, and let $`G=𝛍_{\mathrm{}}`$. Then there exists a nondegenerate symmetric $`K`$-bilinear form $`f:V\times VK`$ such that there is a faithful irreducible representation $`G\mathrm{Aut}_K(V,f)`$. However, if $`F`$ is a field of characteristic $`\mathrm{}`$ (in particular, if $`F=𝐅_{\mathrm{}}`$), then there does not exist a nondegenerate symmetric $`F`$-bilinear form $`f_0:F^2\times F^2F`$ such that $`G`$ embeds in $`\mathrm{Aut}_F(F^2,f_0)`$.

###### Proof.

Let $`M=𝐐_{\mathrm{}}(\zeta _{\mathrm{}})`$, and let $`x\overline{x}`$ denote the nontrivial automorphism of $`M`$ over $`K`$. Define $`f`$ by $`f(x,y)=\mathrm{tr}_{M/K}(x\overline{y})`$. The desired injection is given by sending $`\zeta _{\mathrm{}}`$ to multiplication by $`\zeta _{\mathrm{}}`$. The nonexistence of $`f_0`$ follows from Lemma 6, since if $`g`$ is an element of $`\mathrm{GL}_2(F)`$ of order $`\mathrm{}`$, then there exists a basis of $`F^2`$ with respect to which $`g=\left(\begin{array}{cc}1& 1\\ 0& 1\end{array}\right)`$. ∎

###### Proposition 8.

Let $`\mathrm{}`$ be an odd prime number, let $`K=𝐐_{\mathrm{}}(\zeta _{\mathrm{}}+\zeta _{\mathrm{}}^1)`$, let $`V`$ be $`𝐐_{\mathrm{}}(\zeta _{\mathrm{}})^2`$ viewed as a $`4`$-dimensional $`K`$-vector space, and let $`G=Q_8\times 𝛍_{\mathrm{}}`$. Then there exist a nondegenerate alternating $`K`$-bilinear form $`f:V\times VK`$ and a faithful irreducible representation $`\rho :G\mathrm{Aut}_K(V,f)`$ such that there do not exist a field $`F`$ of characteristic $`\mathrm{}`$, a nondegenerate alternating $`F`$-valued $`F`$-bilinear form $`f_0`$ on $`F^4`$, and a faithful representation $`\overline{\rho }:G\mathrm{Aut}_F(F^4,f_0)`$, having the property that for every $`gG`$, the characteristic polynomial of $`\overline{\rho }(g)`$ is the reduction of the characteristic polynomial of $`\rho (g)`$.

###### Proof.

Let $`M=𝐐_{\mathrm{}}(\zeta _{\mathrm{}})`$, let $`x\overline{x}`$ denote the nontrivial automorphism of $`M`$ over $`K`$, and let $`V_2`$ be $`M`$ viewed as a $`2`$-dimensional $`K`$-vector space. Then $`V=V_2\times V_2=𝐐_{\mathrm{}}^2_𝐐_{\mathrm{}}V_2`$. Let $`D_2`$ denote the quaternion algebra over $`𝐐`$ ramified exactly at $`2`$ and infinity. Then $`Q_8`$ is a subgroup of $`D_2^\times `$. The isomorphism $`D_2_𝐐𝐐_{\mathrm{}}\mathrm{M}_2(𝐐_{\mathrm{}})`$ induces a natural, absolutely irreducible, faithful representation $`\rho _1:Q_8\mathrm{SL}_2(𝐐_{\mathrm{}})\mathrm{Aut}(𝐐_{\mathrm{}}^2,f_1)`$ where $`f_1`$ is the standard alternating pairing on $`𝐐_{\mathrm{}}^2`$. The natural action of $`𝝁_{\mathrm{}}`$ on $`V_2`$ respects the nondegenerate symmetric bilinear form $`f_2:V_2\times V_2K`$ defined by $`f_2(x,y)=\mathrm{tr}_{M/K}(x\overline{y})`$. We thus obtain a faithful representation $`\rho _2:𝝁_{\mathrm{}}\mathrm{Aut}_K(V_2,f_2)`$. Let $`\rho `$ be the representation

$$\rho :G=Q_8\times 𝝁_{\mathrm{}}\mathrm{SL}_2(𝐐_{\mathrm{}})\times \mathrm{Aut}_K(V_2,f_2)\mathrm{Aut}_K(V,f)$$

defined by $`\rho (a,b)=\rho _1(a)\rho _2(b)`$, where $`f=f_1f_2`$. For every element $`\sigma Q_8G`$ of order $`4`$, the characteristic polynomial of $`\rho (\sigma )`$ is $`(t^2+1)^2`$. For the element $`1Q_8G`$ of order $`2`$, the characteristic polynomial of $`\rho (1)`$ is $`(t+1)^4`$.

Suppose there exist a field $`F`$ of characteristic $`\mathrm{}`$, a nondegenerate $`F`$-valued alternating pairing $`f_0`$ on $`F^4`$, and a faithful representation $`\overline{\rho }:G\mathrm{Aut}_F(F^4,f_0)`$ such that the characteristic polynomial of $`\overline{\rho }(\sigma )`$ is $`(t^2+1)^2`$ for every $`\sigma Q_8`$ of order $`4`$ and the characteristic polynomial of $`\overline{\rho }(1)`$ is $`(t+1)^4`$. Let $`V_0`$ denote the corresponding faithful symplectic $`F[G]`$-module. Since $`\mathrm{\#}Q_8`$ is not divisible by $`\mathrm{}`$, $`V_0`$ is a semisimple $`F[Q_8]`$-module. By choosing a suitable basis we may assume that $`\rho _1(Q_8)\mathrm{SL}_2(𝐙_{\mathrm{}})`$. The composition of $`\rho _1`$ with the reduction map gives a faithful representation $`\overline{\rho }_1:Q_8\mathrm{SL}_2(𝐅_{\mathrm{}})\mathrm{SL}_2(F)`$. The corresponding $`F[Q_8]`$-module $`W`$ is absolutely simple and symplectic. By Schur’s Lemma, every $`Q_8`$-invariant bilinear form on $`W`$ is alternating. Since $`\overline{\rho }_1\overline{\rho }_1`$ and the restriction of $`\overline{\rho }`$ to $`Q_8`$ give rise to the same characteristic polynomials, the semisimple $`F[Q_8]`$-modules $`V_0`$ and $`WW`$ are isomorphic. Since $`\mathrm{End}_{Q_8}(W)=F`$, we have $`\mathrm{End}_{Q_8}(V_0)=M_2(F)`$. Fix a generator $`c`$ of $`𝝁_{\mathrm{}}`$. Then $`c`$ is an element of $`\mathrm{End}_{Q_8}(V_0)`$ of multiplicative order $`\mathrm{}`$. We can therefore identify $`V_0`$ with $`WW`$ in such a way that $`c(x,y)=(x+y,y)`$ for every $`(x,y)WW=V_0`$. As in the proof of Lemma 6, for $`x,yW`$ we have

$$f_0((x,0),(0,y))=f_0(c(x,0),c(0,y))=f_0((x,0),(y,y))=$$

$$f_0((x,0),(0,y))+f_0((x,0),(y,0)).$$

Therefore,

(1) 
$$f_0((x,0),(y,0))=0\text{ for all }x,yW.$$

Further,

$$f_0((0,x),(0,y))=f_0(c(0,x),c(0,y))=f_0((x,x),(y,y))=$$

$$f_0((0,x),(0,y))+f_0((x,0),(y,0))+f_0((x,0),(0,y))+f_0((0,x),(y,0)).$$

Therefore, $`f_0((x,0),(0,y))+f_0((0,x),(y,0))=0`$. Since $`f_0`$ is alternating,

(2) 
$$f_0((x,0),(0,y))=f_0((0,x),(y,0))=f_0((y,0),(0,x)).$$

Define $`h:W\times WF`$ by $`h(x,y)=f_0((x,0),(0,y))`$. By (2), $`h`$ is symmetric. Since $`f_0`$ is $`Q_8`$-invariant, so is $`h`$. The nondegeneracy of $`h`$ follows from (1) and the nondegeneracy of $`f_0`$. Since $`h`$ is a $`Q_8`$-invariant pairing on $`W`$, it is alternating. Since $`h`$ is both alternating and symmetric we have $`h=0`$, giving a contradiction. ∎