Bomfim–Carneiro conjecture on spectral gaps for nonhyperbolic local diffeomorphisms

Let MM be a compact Riemannian manifold and let f:MMf:M\rightarrow M be a C2C^{2} local diffeomorphism. A transfer operator associated to a complex continuous potential ϕ:MC\phi:M\rightarrow\mathbb{C} is defined by

Lf,ϕ(g)(x):=f(y)=xeϕ(y)g(y).\mathcal{L}_{f,\phi}(g)(x):=\sum_{f(y)=x}e^{\phi(y)}g(y).

The operator has the spectral gap property on a Banach space EE if its spectrum has the form

sp(L)={λ1}Σ1,\operatorname{sp}(\mathcal{L})=\{\lambda_1\}\cup\Sigma_1,

where λ1>0\lambda_1>0 is a leading eigenvalue with one-dimensional associated eigenspace and there is a number 0<λ0<λ10<\lambda_0<\lambda_1 such that Σ1{zC:z<λ0}\Sigma_1\subset\{z\in\mathbb{C}:|z|<\lambda_0\}. Bomfim–Carneiro's conjecture. If ff is neither uniformly expanding nor a uniformly hyperbolic diffeomorphism, then there is a suitable potential ϕ\phi such that Lf,ϕ\mathcal{L}_{f,\phi} does not have the spectral gap property on a suitable Banach space, such as a space of Hölder continuous functions, smooth functions, or distributions.

The conjecture proposes that the spectral gap phenomenon underlying standard thermodynamic formalism cannot hold for every suitable potential outside the uniformly expanding or uniformly hyperbolic settings. The supplied text does not state whether the conjecture has been resolved.

Sources & referencesView supporting material

Primary source

Thiago Bomfim and Afonso Fernandes, “Phase transitions for transitive local diffeomorphism with break points on the circle and Holder continuous potentials”, arXiv:2310.07034 (2026).

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